Open Access and Beyond by Dr. Paul Ayris

1. UCL LIBRARY SERVICES
Open Access and
Beyond
Dr Paul Ayris
Director of UCL Library Services and UCL Copyright Officer
President of LIBER (Association of European Research Libraries)
e-mail: p.ayris@ucl.ac.uk
LERU Doctoral Summer School 2012

2. UCL LIBRARY SERVICES
Contents
1. LERU Roadmap
2. Green Open Access
3. DART-Europe Professor Didac Ramirez,
4. Gold Open Access Rector of the Universitat de
Barcelona
5. Research Data
6. LERU Doctoral Student’s Roadmap for Open Scholarship
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1. LERU Roadmap
See http://www.leru.org/publications/LERU_AP8_Open_Access.pdf
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LERU Roadmap
Ponte Vecchio, Florence
 The purpose of the Roadmap is to offer guidance for LERU
members, should they wish to use it, to help them steer
their way to developing an approach to Open
Access, Open Scholarship and Open Knowledge which is
appropriate and sustainable
 Full version of the history will appear in Festschrift to
Professor Ulf Göranson, Chief Librarian at Uppsala
University, in August 2012 4

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Why did LERU ask for the Roadmap?
 A number of drivers
 Open Access was receiving growing coverage in European
Universities
 LERU Rectors wanted to know why
 Is Open Access, and all that flows from it, a hallmark of the
University in the 21st century?
 LERU has a leadership role for research Universities in Europe
 What, if anything, should LERU Universities do?
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Benefits of Open Access
Barcelona Cathedral
 For researchers
 Authors of academic works enjoy increased
visibility, usage and impact for their research outputs when
they are made in Open Access
 It is sobering to note that the World Health Organisation
found in a survey conducted at the start of the millennium
that more than half of research-based institutions in lower-
income countries had no current subscriptions to
international research journals, nor had they had any for
the previous five years
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Benefits of Open Access
Las Ramblas, Barcelona
 For Society
 The free diffusion of knowledge into Society in general
from Europe’s universities aids the building of a knowledge
economy and the raising of scientific and cultural literacy
 Professor John Houghton of Victoria
University, Melbourne, has shown that in all the countries
modelled so far (Australia, UK, Netherlands, Denmark and
the US) Open Access works out as the most cost-effective
option for disseminating research
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Benefits of Open Access
Barcelona Cathedral
 For others
 Economic benefits can accrue across Society, outside the
research sector. Businesses, such as biotechnology
companies, that innovate using basic research as their raw
material – creating wealth in Society in the process –
benefit from Open Access to the information they need
 Particularly important when national Governments are
trying to stimulate national economies during the current
economic crisis
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2. Green Open Access
 Green Open
Access uses
repositories, i
nstitutional or
subject-based
where –
copyright
permissions
allowing –
copies of
published
outputs are
deposited
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 Analysis of repositories by country
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Green Open Access
and Publishers…
Casa Batlló, Barcelona,
Antoni Gaudi
 Many journal publishers do allow deposition after embargo
periods (e.g. 12 months) and these embargo periods are
maintained to ensure the continued value of subscriptions
and therefore ensure sustainable business models for
commercially-published journals.
 Many book publishers do not allow full deposition (of the
full work) into institutional repositories. It should be
noted, however, that advocates of Open Access would
wish to keep embargo periods as short as possible. 11

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 Analysis of repositories by content 12

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PEER project
 PEER project
 See http://www.peerproject.eu
 Investigated the potential effects of the large-
scale, systematic depositing of authors’ final peer-
reviewed manuscripts (so called Green Open Access or
stage-two research output) on reader access, author
visibility, and journal viability, as well as on the broader
ecology of European research
 The project ran from 1 September 2008 – 31 May 2012
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PEER – main findings
 Author self-archiving alone is unlikely to generate a critical
mass of Green OA content
The author deposit rate in the PEER Project was
exceptionally low
 The acceptance and utility of open access publishing has
increased rapidly
Open access publishing is increasingly important for
publishers, repositories and the research community
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PEER – main findings
 Overall, PEER is associated with a significant, if relatively
modest, increase in publisher downloads, in the
confidence range 7.5% to 15.5%
 Publisher downloads are growing at a faster rate the repository
downloads
 The likely mechanism is that PEER offers high quality
metadata, allows a wider range of search engine robots to
index its content than the typical publisher, and thus helps
to raise the digital visibility of scholarly content
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3. DART-Europe and UCL Discovery
 Doctoral research theses very popular
 UCL Discovery download statistics (April 2012)
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DART-Europe
 DART-Europe E-Theses portal
 www.dart-europe.eu
 303,232 Open Access theses (as of 22.6.12)
 24 European countries
 427 Universities
 A LIBER service for members (Association of European
Research Libraries)
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4. Gold Open Access
Palau de Les
Heures, Universitat de
Barcelona
 The Gold route has been defined as journal publishing
operating with a business model not based on
subscription, but rather on either publication charges
(where the author or an organization on behalf of the
author funds the publishing costs) or on subsidy
 Gold Open Access journals do not charge readers and
grant extensive usage rights
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Issues to note
 There are two types of OA journal:
 full Open Access journals and hybrid journals
 While Gold Open Access has been shown
to increase usage, there is no decisive
evidence to date that it increases Lucas Cranach the Elder
citations Adam and Eve
 Some publishers ‘double dip’ – i.e. charge full subscription
prices as well as charging authors publication fees in
hybrid journals.
 Researchers should not to pay Open Access fees in such
publishers’ journals
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Finch Report
 See http://www.researchinfonet.org/publish/finch/
 Report to Department of Business, Innovation and Skills
 UCL responses
 See http://poynder.blogspot.com.es/2012/06/finch-report-in-global-
open-access.html and
http://poynder.blogspot.com.es/2012/06/finch-report-ucls-david-
price-responds.html
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Finch Recommendations
King’ Cross Station, London 2012
 Gold Open Access is the future
 UK produces 6% of world’s global research output
 For an extra £38 million to UK HE, UK research outputs
could be published as Gold OA research outputs
 Green OA would be for grey literature, theses
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Finch Recommendations
Universitat Politècnica de
Catalunya, Barcelona
 National licensing solutions could extend access to the
National Health Service, SMEs (Small + Medium sized
Enterprises)
 £6 million - £12 million extra a year for equality of access across
HE
 £1 million - £2 million a year for access by the NHS
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New work by Houghton and Swan
For an individual
institutional policy, as
things stand, Green is
the only affordable and
practical option
JISC Report appearing
imminently - Going for
Gold?
– see http://ie-
repository.jisc.ac.uk/610
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Debate in the UK
 Debate in the UK is polarised between the benefits of
Green or Gold
 2 solutions not mutually exclusive
 Finch talks about a Gold OA future, not set in a timeframe
 Also relies on the whole world going Gold OA
 Houghton and Swan look at transition issues and the
position NOW
 World will not go Gold OA overnight
 For the short to medium term, Green route is more cost effective
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LERU Universities
Going for Gold
Professor Kurt Deketelaere
Secretary General of LERU
 One of the recommendations of the Finch Report is that
experiments in Gold Open Access monograph publishing
should continue
 Debate to date has been largely about Gold Open Access
journals, not monographs
 Some LERU universities, with others, bidding for EU
funding for pan-European Gold Open Access publishing
infrastructure for monographs
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Library Other
plugin? services
Catalogues
plugin Public
Orders Orders
Ordering
DOAB Catalogue
plugin? plugin?
APIs
OAI-PMH Requests Paid-for OA Book
Orders etc versions PDF
Secure
plugin?
payment
Metadata
Fulfilment Order
management
Book Master Secure delivery
Master
XML Repository Finance
Other e- Hard
Kindle
versions copy
DP support
BPCs Subs
On
Technical demand
Publication Format
transformer University
Management Admin
Suite
OA Book
Editorial
PDF
Orders
plugin?
Editorial boards Authors Institutional
repository
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5. Research Data
 Data-drive science is replacing hypothesis-driven science
as a methodology for scientific enquiry
 Riding the Wave (2010) sets the scene for data-driven
science
 See http://cordis.europa.eu/fp7/ict/e-infrastructure/docs/hlg-sdi-
report.pdf
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UK developments
 EPSRC – Engineering and Physical Sciences Research
Council has taken the initiative in the UK
 See
http://www.epsrc.ac.uk/about/standards/researchdata/Pages/default.
aspx
 Policy founded in 7 core principles
 No. 1: EPSRC-funded research data is a public good produced in
the public interest and should be made freely and openly available
with as few restrictions as possible in a timely and responsible
manner
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EPSRC expectations
1. All institutions will promote awareness of the EPSRC
policy
2. Published papers will explain how data can be accessed
3. Each institution will have relevant policies and
procedures, and researchers and students will comply
with them
4. Research data not in digital form must still be made
available for sharing
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EPSRC expectations
5. Appropriate metadata describing the data will be available
within 12 months of the data being generated
6. If data is restricted, the metadata must explain why and
indicate how access would be possible
7. EPSRC-funded research data must be digitally curated for
at least 10 years from the time it is public
8. Effective digital curation will be provided throughout the
whole lifecycle
9. Organisations will pay for the infrastructure for data
curation via existing funding streams 31

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6. LERU Doctoral Student’s Roadmap for
Open Scholarship
OA Data
Copyright
publication management
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Copyright
 Manage your copyright
 Your institutional copyright and IPR policies determine who owns
copyright in your research outputs. Typically it will be you
 Try not to sign copyright over to a publisher as a condition of being
published. Grant the publisher a non-exclusive licence instead
See http://scholars.sciencecommons.org/
Scholar’s Copyright Addendum can be added to a publisher’s
licence, which will ensure that you retain certain rights
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OA publication
UCL, London
 Open Access publication
 If possible, choose an Open Access Journal in which to publish
 PLoS suite of journals and new e-Life journal are major routes to
high visibility Open Access publication
 Monograph publication in Open Access is more difficult
 Amsterdam University Press is a leading OA publisher
 If you publish with a commercial publisher, make sure your
research output is available in Green Open Access in a repository
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Data Management
 Data Management
 Ensure that you have a Data Management plan, which covers the
management of your research data throughout its lifecycle
 Assign a Creative Commons CC0 licence to your data, to facilitate
sharing and re-use by others
 Creative Commons licences are available for many jurisdictions
 Ensure that you have access to a trusted digital repository which
will curate your data
 Institutional or subject based repository
 How much will it cost?
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If you have been…
 Thanks for listening
 Happy to answer questions
UCL, London
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