OPENWORKS GUIDE TO OPEN ACCESS FOR SUPPORT STAFF
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1 OPENWORKS GUIDE TO OPEN ACCESS FOR SUPPORT STAFF OPEN ACCESS: BACKGROUND AND DEFINITIONS Background Although Open Access (OA) might feel like a recent development the principles were defined in statements made in 2002 and Since then research funders, Higher Education institutions, researchers and publishers have taken steps to embed and/or facilitate OA in the academic publication lifecycle, but the scholarly communication landscape continues to evolve. Peter Suber s book provides a comprehensive introduction to OA for updates see also There are many sources of information and commentaries about OA developments join discussion lists to keep in touch with the OA community and access digests, eg, NoWAL Research Group Jisc Open Access Good Practice Project Jisc Scholarly Communications blog UK Council of Research Repositories Definitions Open Access (OA) literature is digital, online, free of charge, and free of most copyright and licensing restrictions. Peter Suber. Open Access. Cambridge, Mass.: MIT Press, This work is licensed under a Creative Commons Attribution 4.0 International License. Authored by the openworks project.
2 Open Access can be Gold or Green (key characteristics below) Gold Open Access Published as OA in a journal OA immediately on publication Version of record May require payment of an Article Processing Charge (APC) Green Open Access Published in a subscription-based journal OA, usually after an embargo period Usually Author Accepted Manuscript (AAM) No charge for OA OA publishers Most traditional academic publishers offer a Gold or Green OA option for their journals. Journals that publish Gold OA articles may be fully OA or hybrid, ie, subscription journals with an OA option for individual articles. OA-only publishers are a relatively new phenomenon but are on the increase. BioMed Central and Public Library of Science are well established but authors may be suspicious of publishers they haven t heard of before who require payment to publish. The Directory of Open Access Journals (DOAJ) is a good place to check it provides a white list of journal titles that meet certain quality criteria. Also check if publishers are members of the Open Access Scholarly Publishers Association (OASPA) or the Committee on Publication Ethics (COPE) this signals engagement with widely accepted publishing practices. DOAJ OASPA COPE POLICIES Authors may not always be free to choose between Gold and Green OA. This is likely to depend on policies that authors should adhere to and the availability of OA funds to individual authors. Institutional policies Since the announcement of the REF OA policy many UK institutions have developed policies based on HEFCE s policy. If your institution has adopted an OA policy this will set out the requirements for your researchers and may include reporting requirements for you, as OA support staff. For information on institutional policies in place in the North West contact OA support staff at: Edgehill University Access-Output-Policy-RO-GOV-07.pdf research@edgehill.ac.uk Liverpool John Moores University researchonline@ljmu.ac.uk University of Central Lancashire clok@uclan.ac.uk University of Liverpool Stephen.Carlton@liverpool.ac.uk 2
3 University of Salford Please let us know if your institution has an OA policy and you would like to be added to the online list so that colleagues can contact you for advice and support Funder policies Remember that OA requirements may differ according to research funder. Researchers may be working on grants from funders who have OA policies that differ from the HEFCE policy and an institutional policy. It is likely that you will need to assess compliance options for papers related to multiple funders on a case by case basis. The Wellcome Trust and UK Research Councils (RCUK) OA policies are well established and other funders (HEFCE, European Commission, NIHR) have recently introduced or amended policies. The first thing to check is if a policy requires Gold or Green OA. If Gold, are funds made available to pay APCs? If Green, which version of a paper should be deposited and what is the maximum embargo periods the funder will accept? For example, the HEFCE policy is a Green OA policy. HEFCE will not allocate funding to pay for Gold OA but requires the deposit of AAMs in a repository within 3 months of acceptance for publication and accepts maximum embargo periods of 12 months for Science, Technology, Engineering and Maths (STEM) disciplines (ie, REF panels A and B) and 24 months for Social Sciences and Humanities disciplines (ie, REF panels C and D). To find out about individual funder policies use the SHERPA/Juliet service ( or the resource developed by the Jisc HHULOA Pathfinder project ( If in doubt, see the funder's OA policy which should be available on their website. REPOSITORIES Institutional repositories Institutions may use repository software, eg, EPrints or DSpace, or a repository module as part of their Current Research Information System (CRIS), to record research outputs and make them OA. EPrints users in the North West: Edgehill University ehra-admin@edgehill.ac.uk Liverpool John Moores University University of Central Lancashire University of Liverpool researchonline@ljmu.ac.uk clok@uclan.ac.uk irhelp@liv.ac.uk Please let us know if your institution has a repository and you would like to be added to the online list so that colleagues can contact you for advice and support uml.openaccess@manchester.ac.uk University of Salford usir@salford.ac.uk 3
4 NB The Jisc E2E Pathfinder project has developed standards for recording metadata recording and managing OA metadata for EPrints. See the project blog for further details and advice Validating deposits Use SHERPA/RoMEO ( to check which version of a paper can be deposited in a repository and the length of any embargo period. Check author guidelines on journal websites for any titles that do not appear in SHERPA/RoMEO or check with colleagues in similar roles via lists. It s reasonable to assume that you re able to upload an AAM if you are unable to find any information about self-archiving for a particular journal. NB If an article is available as Gold OA the published version can usually be freely uploaded to your repository with no embargo. Implementing RIOXX All institutions that receive funding from RCUK or HEFCE are expected to have implemented processes to capture mandatory metadata described in RIOXX (as a minimum) by April RIOXX is a metadata standard, containing 21 elements to describe research outputs. As well as bibliographic metadata, mandatory fields include date of acceptance and grant information. Plugins are available for major repository software systems which pull together the metadata specified in the RIOXX standard. Find out more Enhancing discoverability To increase the visibility and usage of the content in your repository, join CORE - CORE harvests repository content and exposes enhanced metadata to academic search engines. UK-CORR is the professional organisation for repository managers the blog and list provide useful updates and insight - Subject repositories In some research disciplines there is a culture of depositing papers in a subject repository. Some disciplines deposit early versions of papers to enable discussion as part of the publication process, eg, ArXiv is well used by some physicists. In the biomedical sciences papers are typically made available through a subject repository after publication, eg, PubMed Central/Europe PMC. This is often a service provided by publishers check SHERPA/FACT ( or journal websites for this information. Some funders require papers to be deposited in specific repositories, eg, all Wellcome Trust-funded papers must be available in Europe PMC; ESRC-funded papers must be deposited in the ESRC Research Catalogue. GOLD OA Researchers wishing to publish in Gold OA journals or required to do so by their funder may need advice on the cost and payment of APCs and selecting Creative Commons licences. APCs are normally paid by funders when an OA policy favours Gold OA: RCUK and the Charity Open Access Fund (COAF) allocate block grants to a number of institutions, and other funders allow researchers to request APC costs within grant applications or to request costs from a central pot. RCUK 4
5 COAF Funder policies often require that when their monies are used to make APC payments papers must be published under a Creative Commons licence, normally the Attribution licence CC-BY ( Journals may offer CC-BY if it is a requirement of an author s funding body. Use SHERPA/FACT to check if journals offer CC-BY, ie, if they comply with the RCUK and COAF OA policies. The average APC is currently but costs vary significantly between discipline area and between hybrid and fully OA journals. STEM researchers requesting APC funding within grant applications should assume a higher cost. NB Fully OA publishers may waive part or all of the APC for authors who do not have funding available to pay. You can help authors in this situation by providing a letter of proof stating that they do not have access to funding for OA fees. REPORTING Institutional repositories are a valuable source of local OA data. Providing research managers with regular school-level reports summarising recent full-text Green OA deposits to the repository can be useful for internal benchmarking, tracking progress against KPIs, and measuring effectiveness of communication and advocacy campaigns. Monitoring your institution or specific authors via publication databases, eg, Web of Science, Scopus, GoogleScholar, may help identify outputs requiring submission to your repository see the appendix for suggested workflows. Keep up to date with the development of Jisc Monitor, another tool to help track institutional outputs and use Jisc s IRUS service to create reports on usage of your repository content for your institution ( Institutional APC payments are valuable data to the wider community and can be shared via institutional repositories, Figshare, or by submitting to JISC s Total Cost of Ownership initiative. Sharing data may contribute to fairer pricing for subscriptions and will increase transparency in the APC market. See also openworks toolkit resources: 1. Customisable OA PPT presentation with support notes 2. Ask an OA colleague (prototype for future wiki for OA support staff) 1 Pinfield, Stephen, Jennifer Salter and Peter A. Bath. The total cost of publication in a hybrid open-access environment: Institutional approaches to funding journal article-processing charges in combination with subscriptions. Journal of the Association for Information Science and Technology. In Press (2015) /asi
6 APPENDIX WORKFLOWS FOR OPEN ACCESS REPORTING WORK (MONITORING YOUR INSTITUTION OR SPECIFIC AUTHORS VIA PUBLICATION DATABASES MAY HELP IDENTIFY OUTPUTS REQUIRING SUBMISSION TO YOUR REPOSITORY) 1. Scopus How to set up Scopus alerts to track your institution s research outputs Step 1: Author search Select Author search tab within the Search screen. Note: Alerts tab can only be used to manage existing alerts, not set up a new alert. Input author s surname, first name and affiliation, and click first magnifying glass button to search. OR input author s ORCID if applicable, and click second magnifying glass button to search. 6
7 Step 2: Identify and confirm Check results. Unless you have searched via ORCID, there may be more than one author with the same name. Subject area and institutional affiliation should assist in identifying correct author. The number next to the author s subject areas indicates the number of articles detailed on this author s record. Checking articles may be useful in determining author s identity and affiliation. Click author name for more information, and to set alert (See Step 3: Follow) 7
8 Step 3: Follow Once you have identified the correct author and wish to set an alert, select Follow this Author in top right of screen. 8
9 Step 4: Log in You will be prompted to log in. There are several ways to do this, including using Elsevier credentials, OpenAthens or institutional log in. NB Further steps may be required depending on the log-in method you select and your institution s Shibboleth arrangements or similar. 9
10 Step 5: Set alert Complete the Search Alert box to suit your requirements, including the address to which the alert will be sent, the frequency and date of alerts. You can also rename the alert if you wish. Select Save. You will receive an alert whenever your author has a paper added to or updated on Scopus, eg, when a paper is published online and in issue. 10
11 2. Web of Science How to access data on your institution s research output Step 1: Initial search Select Web of Science Core Collection from list of databases, by clicking orange arrow Select Organization-Enhanced option from drop-down menu to the left of the blue Search button. Selecting this option minimises the possibility of false drops appearing in your results. Type the name of your institution, OR click Select from index. This option allows you to add several linked departments that make up your institution as part of your search. If selecting your institution from index, please see next page for instructions. Select timespan, e.g Click Search 11
12 Selecting institution from index Type institution name into search box at top of page, or browse by first letter. Select Find. Check list of results, and click Add next to each institution you wish to include in your search. Once all institutions are added, scroll to bottom of page. All selected institutions will be listed in the provided search string. Select OK to return to homepage and begin search. 12
13 Step 2: Refine Scroll down the toolbar on the left-hand side of the page Select Funding agencies - Select more options/values - Tick boxes next to funders you wish to consider. - Note that some appear Research Councils appear multiple times: abbreviated and in full - Select Refine 13
14 Step 3: Save Select drop-down arrow next to Save to EndNote online - Select Save to other file formats 14
15 Step 3: Save (continued) - In record number boxes, type the number of records you would like. The maximum number of records that can be retrieved at one time is 500. You can check the total number of results in the top left corner of screen. You may wish to select records from 1 500, and then repeat the process to select records from , for example. - Under Record content select the option that you require. - Under File format select Tab-delimited (Win) - Click Send Save appropriately with preferred name and location 15
16 Step 4: Open data in Excel - Open Excel - File Open Select All files (*.*) - Locate document and double click to open - On Text Import Wizard window, select Next, Next, Finish as these options appear - Save document appropriately - Organise data as required, ie, delete unwanted columns 16
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