Pathfinder: Lessons in OA Compliance for HE (LOCH)University of St Andrews

Case study

Jackie ProvenRepository & Open Access Services Manager

jep10@st-andrews.ac.uk

Open Access and REF: Planning Workshop 4 Dec 2015

Queensferry Crossing - north cable tower © Copyright M J Richardson and licensed for reuse under this Creative Commons Licence.

Building links:The fourth Forth road bridge under construction

St Andrews

• c.700 Academic staff• c. 8000 students (80% UG, 20% PG)• 47% of students non-UK• Student/staff ratio 11:4• Research intensive

4

Activities

Publications

St AndrewsPURE CRIS

Fed Out

REF, RCUK

SFC, HESA

HEI – Strategic

Planning, Benchmarking

Public, Media Recognition / Impact

Industry / SME’s

Interface

Collaborations

Research Pools

Pulled InStaff Records

[HR]

Student Records [Registry]

University Structure [HR]

Projects, Grants, KT

[Finance]

Manual

Input

Entered

WoS, arXiv, PubMed, Scopus…

Harve

sted

Full TextRepository

Open Access

Linke

d

Bibtex, Refman

Uploaded

Award/ recognition

Dissemination// Engagement

Ent

ered

Linked & held

Research data sets(multiple locations and

formats)

Entered

Impact

Indicators

Measures

Case Studies

Anna Clements

Research outputs

• PURE Research Information System (CRIS) since 2010• DSpace repository since 2006 – now linked to PURE• Approx 2,500 research publications annually• 43,800 research outputs recorded in PURE• 6,750 items in our repository (33% theses)

• Digital Research Division in Library• Strong links with Research Policy Office• University OA Policy • http://www.st-andrews.ac.uk/library/services/researchsupport/openaccess/oapolicy/

OA support

• Open Access Support team– 1 permanent FTE – 2 posts funded from RCUK block grant to Apr 2018– 1 short-term ‘Pathfinder’ post

• External funders’ open access mandates and funds– Wellcome Trust/Charities (COAF) and RCUK– Institutional Library OA fund

• Selection and management of publisher schemes• Copyright, licensing and policy advice• Validation of deposited manuscripts• Active programme of advocacy and support• Repository management, journal hosting service, Pure training, REF publications support…

REF OA policy

Post-2014 REF Open Access Policy• Policy applies to journal articles and conference proceedings

with an International Standard Serial Number (ISSN)• To be eligible for REF, final peer-reviewed manuscripts must

have been deposited in an institutional or subject repository on acceptance for publication

• HEFCE understands that not all REF outputs may be able to meet requirements and so limited exceptions will be permitted

Advocacy

• Check the terms of your research grant• Check your publisher’s policy and copyright terms• See Library web pages for guidance • Contact open-access-support@st-andrews.ac.uk for advice• Keep your accepted manuscript and deposit in PURE• Acknowledge funders including Grant IDs• Link Projects to Publications in PURE• Provide statements on access to underlying data and links where

possible (or required)• Use the University’s finance detail code if paying OA fees

OA actions for researchers

Advocacy

• Check the terms of your research grant• Check your publisher’s policy and copyright terms• See Library web pages for guidance • Contact open-access-support@st-andrews.ac.uk for advice• Keep your accepted manuscript and deposit in PURE• Acknowledge funders including Grant IDs• Link Projects to Publications in PURE• Provide statements on access to underlying data and links where

possible (or required)• Use the University’s finance detail code if paying OA fees

OA actions for researchers

Key challenge

How do we get to know about new publications early enough so that the support and dialogue can begin?• The natural dialogue of authors is with their publishers, not the Library• University strongly encourages OA via local deposit but no mandate• Do authors understand the varied options from publishers?• Do authors know their funder has a mandate or if funds are available?• We don’t often see the submission process or publisher’s interface

Solutions

• Change the culture and try to integrate a deposit process into the researchers’ publishing workflow

• Build dialogue through local systems and contacts• Create communication channels between the

researchers’ workflows and open access support • Make it easier for authors.

• Involving the right people• Originally envisaged to cover APC processing• Extended to cover REF OA policy and publication

lifecycle• Focus to create simple message(s) at key points• Using 2014 and 2015 as a learning experience and

build up to the real onset of compliance in April 2016

Lean exercise: process mapping

Pathfinder project

Joint LOCH project with Edinburgh and Heriot Watthttp://libraryblogs.is.ed.ac.uk/loch/2014/06/24/welcome-to-the-loch-blog/

http://openaccess.jiscinvolve.org/wp/pathfinder-projects/

• Synergies with Lean

Mini pathfinder pilot projects with academic schools to lead on best practice and efficiencies

Mini pathfinders

• Initial meeting with Head of School, Director of Research and/or key School managers or administrative staff

• Have a set of questions and discussion points ready, relevant to their discipline. Ask how they think they can achieve compliance

• Seed ideas for partnerships and joint working• Listen!

Chemistry pilot

• High volume of publications and staff• RCUK funding, so familiar with OA requirements• Existing publisher schemes eg RSC vouchers, ACS membership• New HoS, keen on getting processes in place• Piloting a distributed model:

– School admin staff become a hub for the deposit of publications when they are accepted for publication and do deposit into Pure

– Library and RPO teams do training and support– Additional activity with specific research groups

• Benchmarking on progress by regular compliance reports • Goal = 100% of publications meeting REF OA policy compliance

20Jackie Proven LIBER 2015, London, June 24-26

Additional actions

Library advises authors on additional funder requirements Library advises on funding for immediate OA

Follow-up and adviceLibrary contacts authors/office for additional information and/or correct versions

Library validationLibrary enhances metadata Library checks version, applies embargoes

School office enters article in PURECreate new metadata record Upload full text accepted manuscript

Author notifies School officeForward notification email Send accepted manuscript

Article accepted by publisherAuthor receives notification (Library may receive notification)

Advice on data management

Support for OA compliance: Pathfinder

• Initial deposit in Pure at date of acceptance – mediated by School office

• Queries, funder requirements, Gold OA – emails to open-access-support

• Embargoes, licences, enhanced metadata – managed by OA team in Library

Supporting tools

• New simple webpages• Help pages for PURE deposit • ‘REF monitoring’ email templates and workflow

– mainly addressing deposit versions and acceptance date

• RCUK and funder compliance checklist as additional ‘layer’ on REF-monitoring work

• PURE full text workflow and validation checks • Minimum metadata set

http://openaccess.wp.st-andrews.ac.uk/

Checklist

Dec 2015: Pathfinder feedback and review

• Top-down approach has driven uptake• Face-to-face interaction is a motivator• ‘Stick’ (REF compliance) works• Deposit ‘receipt’ would instil trust• Biochemical research – opportunity to build

deposit hub in Biology • Hardcopy guides appreciated

Results

SCHOOL APR JUL OCT

Chemistry 70% 80% 81%

Computer Science 25% 77% 89%

University 51% 60% 70%

Percentage of articles & proceedings, published in 2015, with full text deposits

The figures show simply that full text is deposited in Pure. These outputs are not necessarily fully REF compliant, as they may have been deposited after publication rather than at acceptance, and may not be the correct version. We are working towards being able to monitoring these aspects by April 2016.

Jackie Proven

Changing profile of deposits

Pure deposits validated 2014 - 2015

© Copyright M J Richardson and licensed for reuse under this Creative Commons Licence

The Queensferry Crossing - November 2015

Building links:Never too early to start!

CLOSED FOR EMERGENCY REPAIRS

Which key stakeholders will you engage with to make

open access compliance happen?

How do we get to know about newly

accepted publications so that

the support, dialogue and compliance

workflow can begin?

How will you resource your

compliance work? Will it be centralised or distributed? Will

it be mediated centrally or chiefly

done by the author/researcher?

Developing your own process

OA support

‘Essential information’ web pages

http://openaccess.wp.st-andrews.ac.uk/

Library web pageshttp://www.st-andrews.ac.uk/library/services/researchsupport/openaccess/

Blog: http://univstandrews-oaresearch.blogspot.co.uk/

Email: openaccess@st-andrews.ac.uk