Open Access Implications for research funding,
management and assessment
ARMA Conference
9th June 2010
Bill Hubbard
Centre for Research Communications
University of Nottingham
• Bill Hubbard
Head of the Centre for Research Communications,
[email protected]
• Dominic Tate
Coordinator, Repositories Support Project (RSP),
[email protected]
University of Nottingham
What is Open Access?
Why are funders requesting this from researchers?
What impact does it have on research support?
What responses are called for from institutions?
How can we deal with the issues?
What benefits will this bring?
Open Access
• What is Open Access?
• Why is it needed?
– difficulties
– opportunities
• Benefits
– academic
– institutional
– funders’
• Two complementary routes
– Green
– Gold
Sectoral savings from large-scale OA
• Houghton Report (Jan 2009)
• Efficiency savings for the sector of over £100m p.a.
• Benefits of up to £170m p.a.
• June 15th - UUK/JISC event
• July - 5 regional financial workshops
Individual institutional impact
• Development of Houghton model
• Modelling 3 scenarios
– Archiving in repositories (‘Green’ Open Access)
– In parallel with subscription journals
– Instead of subscription journals
• Open Access journals (‘Gold’ Open Access)
• Consultants applied model to 4 UK HEIs
Open Access - issues
• Initial - clarification and reassurance
not a replacement for journals
does more access=more plagiarism?
cost of repositories
sustainability of OA journals
• Practical - issues around support for researchers
– Support processes for deposit in repository
– Financial processes for OA Journal fees
– Some publishers have restrictions
Why are research funders involved?
• Research is funded for social benefit
• Wider and less-restricted circulation means more
readers, more use, better take-up and benefit
• Wellcome Trust, NIH, Cancer Research UK, etc
• Virtually all biomedical funded research in the UK
now has a mandate
• All RCUK councils have policies
• See JULIET -
JULIET introduced in 2006
Lists and analyses Funder mandates
Summarises the mandates and assists support
52 funders listed at present
– 51 publication policies
– 21 data archiving policies
– 19 open access publishing policies
Juliet Home Page
Juliet Detail 1
Juliet Detail 2
What do funders require?
• Open Access to research results as a condition of
• Deposit in a particular repository
• Deposit in the institutional repository
• Publication in an Open Access Journal
Impact for research support
Response necessary as a requirement of grant
Competitive advantage for compliance
Strategic alignment with global changes
Requires different service divisions to work together
Incentive for more closely integrated knowledge
How to respond
• Who is currently aware of these requirements?
• What current structures and processes are in place?
• What level of compliance is currently attained?
Process and support
Compliance process and work-flows
Support for researchers
Financial processes when required
Compliance checking
Compliance process and work-flows
• Publication generally takes place after the close of a
research grant - after the final report - what
connections are there between research support and
researchers some months after the close of a grant?
• What do these processes look like?
• Are researchers aware of their responsibilities?
• How will compliance processes fit into current work
Support for researchers
• Funding policy requirements
• Different types of OA and options
• Funding streams for Open Access publishing
• Copyright
and related support for
• REF-like requirements
• Information reporting for the institution
• Where does this service come from?
Financial processes when required
• Publication normally takes place after a grant has
closed - so where does the money for OA
publication come from?
Direct grant
Indirect grant
Publication fund
Changes to grant period
Compliance checking
• As contractual conditions, there is a need for signing
off completion
• Compliance will be completed after the research
period, after grant closure, after publication
• What is the process by which compliance is checked?
• Who checks?
Discussion session
• Compliance –
identify stakeholders
identify actors
identify structures
identify processes
• Who needs to do what?
External support
Research Communication Strategy (RCS)
Repository Support Project (RSP)
• What joint action is required?
• What individual institutional action is required?
Open Access - Benefits for institutions
• Get a more complete picture of research output from
the institution
• Ensure compliance with funders’ requirements as
competitive advantage for future funding
• Raise citations and enhance intellectual reputation
• Enhance REF and other reporting
• Enhance institution’s public image and reputation
• Enhance knowledge transfer functions
• Support authors in their work within the institution
What do we need to do?
• Get clarity on financial implications
• Collaborate on support given to authors
– Compliance and support are complimentary
• Put in place system to provide consistent, authoritative
information from all stakeholders at point of need
• Leverage infrastructure of repositories to benefit
authors, researchers, institutions and funders
• Bill Hubbard
• Head of Centre for Research Communications
• JISC Research Communication Strategist
• [email protected]