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Rights retention: publisher responses to the University’s pilot

The University’s one-year rights retention pilot has been running for six months now, during which time many papers containing the rights retention declaration have been submitted by Cambridge authors. As expected, the Office of Scholarly Communication is receiving more queries about rights retention from Cambridge academics, many of which relate to how publishers are responding to submissions containing the rights retention declaration. This post covers some of these queries to offer a picture of how rights retention is being received.   

It is worth reminding ourselves what the rights retention pilot entails. All researchers at Cambridge can sign up to participate in the pilot here. In doing so, the researcher enters into a non-exclusive agreement with the university to make all their papers immediately open access under a Creative Commons attribution (CC BY) licence. When a researcher submits an article to a publisher, they include the following statement in the acknowledgements or funding section of the article file: 

For the purpose of open access, the author has applied a Creative Commons Attribution (CC BY) licence to any Author Accepted Manuscript version arising from this submission’ 

Upon editorial acceptance, the researcher uploads a copy of the accepted manuscript to Symplectic Elements. The Open Access team will deposit the manuscript into Apollo and will release it publicly at the appropriate time. 

Publisher responses 

One of the primary fears researchers have regarding rights retention is that a publisher may editorially reject their article at the point of submission. While we are still dealing in small numbers of submissions and queries associated with the pilot, we have heard from at least two researchers that have been rejected from the journal at the point of submission due to rights retention language in their manuscript. In these cases, journals from the Seismological Society of America and the American Society of Hematology informed the respective authors that rights retention is not permitted because copyright transfer and an embargo period is required for publication in their journals. As a consequence, the authors in each case decided to submit to an alternative journal so that they could comply with their funder requirements. We are also aware of authors who received different answers from the American Society of Hematology, including to pay a fee or to accept rights retention. We hope rights retention will be approved in due course by the publisher as an acceptable route for all authors. 

A second group of publishers have asked for the rights retention language to be removed either because they deemed it not necessary to comply with or because another compliant route was available to the authors. For example, a journal published by Springer Nature asked for the rights retention language to be removed because it was not required for compliance purposes (because the article was submitted prior to the relevant policy coming into effect). Journals published by Elsevier, the American Chemical Society and Optica all asked for the rights retention language to be removed because of pre-existing publishing agreements that allow Cambridge researchers to publish open access free of charge. In these instances, authors were willing to remove the language from the final published version and so it was not clear what would have happened if they had not done so. We have received advice that removing this wording does not negate the fact that the publisher has been informed of the prior licence and so rights retention is still permissible here. We are recommending that researchers include the rights retention declaration where possible even when publishers ask for it to be removed.  

Despite the queries reported here, we have also seen a notable uptick in the number of submissions in the repository containing rights retention language, including within journals published by Elsevier, Wiley, Sage, Springer Nature, the Royal Society of Chemistry, Company of Biologists and JMIR Publications (to name a few). One journal published by the American Psychological Association was willing to accept immediate CC BY for UKRI-funded authors, although this was still subject to a copyright transfer agreement. In the case of Springer Nature, acceptance of the rights retention language also entailed payment of colour charges – something the authors had not anticipated and which we detailed further in this Twitter thread. We urge publishers to be as clear as possible about whether they accept rights retention and upon what conditions.  

I am sharing this data because it offers a snapshot of some of the responses we have seen from publishers so far. While we encourage our researchers to report any publisher pushback, we cannot be sure of all publisher responses, simply because researchers are under no obligation to report them. It is interesting, though, that some publishers are asking researchers to remove the rights retention declaration when there is a publishing agreement in place. We can hypothesise that this is because publishers want to prevent as many articles as possible from using this language because it would set a precedent for other researchers without access to such agreements to use rights retention too. Given this, the Office of Scholarly Communication is continuing to advise that the declaration is included in all manuscripts where possible, although this will be down to how persistent an author wants to be in requesting the language be retained.  

Is a Rights Retention Clause needed for OA books?

Dr. Rupert Gatti is a Fellow and Director of Studies in Economics at Trinity College, Cambridge, and co-founder of the non-profit Open Book Publishers.

In recent discussion about funder-imposed Rights Retention Strategies (RRS) I realised that there is an important consideration for funders of Open Access (OA) books and book chapters that differs significantly to the standard arguments for RRS with journal articles, and that I haven’t seen articulated elsewhere.

The standard motivation for applying RRS to article submissions is that it ensures that the Author Accepted Manuscript (AAM) can be shared and reused under a CC BY licence even if there are greater restrictions over reuse of the final published article. Consequently it allows the author to comply with a funder’s OA mandate without having to pay the publisher’s Article Processing Charge (APC) or requiring the publisher to apply a CC BY licence to the published version. 

(As an aside, such a licence applied to a submitted book manuscript would present no difficulties for Open Book Publishers (OBP) as we require, no –  we impose!, Rights Retention for authors in any case. OBP’s standard contract is that the author maintains all copyright control of their work and provides OBP only with a non-exclusive licence to publish their work in various printed and digital formats. So a RRS would provide no issues for us, or for any of the many other OA book publishers who adopt similar policies.)

In situations where a book is published under a more restrictive CC licence, rather than CC BY, I believe there is a separate case for funders to require that an author Rights Retention Clause be inserted into the final publishing contract the author signs with the publisher.

Many funders are, or have signalled that they will be, allowing more restrictive licences than CC BY for books and book chapters. I believe there ARE very good academic reasons why NC and/or ND licences are the appropriate ones to use in some situations, which typically revolve around the scholarly integrity of the work (for example when the material published is culturally sensitive). Humanities and Social Science scholars have been raising these concerns for several years now, and I agree with many of them. For me, the critical consideration is when the reasons used to justify restrictions on re-use are SCHOLARLY – and based around the scholarly integrity of the work – rather than commercial or based around the perceived needs or demands of the publisher. 

By design, when a title is published under one of these more restrictive licences (say NC-ND) anybody wanting to reuse components of the book will need to seek permission from the copyright holder, in much the same way as for an ‘all rights reserved’ work. Typically, for books, the publishers require the authors to assign the copyright, or controls over the copyright permissions, to them – which means that for the full extent of the copyright term (typically author’s lifetime + 90 years) it is the PUBLISHER that has control over and decides on any allowed reuse of the work, rather than the author. 

This, of course, breaks the scholarly argument for imposing the restrictive licence in the first place. If the material is culturally sensitive then it is the AUTHOR who needs to be making any reuse decisions – based on the author’s understanding of the sensitivities, and possibly in consultation with a community of people. The publisher often has none of that knowledge or understanding, and may allow reuses in inappropriate situations (especially if financial remuneration is involved) or not allow appropriate reuses (especially if sufficient financial remuneration is not involved). 

An example may be helpful. Let us suppose that a scholarly work on a culturally sensitive topic is published using a CC BY-NC-ND licence. It may matter enormously how and by whom any translation of the work is created, how the work is commercialised, the specific pronunciation used in any audio edition, or the nature of the images used to illustrate a subsequent edition. With control in the hands of the publisher, culturally insensitive derivative works may be approved, and new works that have been carefully created with the approval of the community may be denied.  

If a funding body is allowing the use of more restrictive licences on scholarly rather than solely commercial grounds – then it is surely also important to ensure that control over reuse of the content is maintained by the scholar/author rather than allowing the publisher to usurp those rights.  

To achieve that, the copyright assignment and reuse controls have to be assigned to the author within the publication contract signed by the author, and thus some form of Rights Retention Clause needs to be included. Without an explicit presubmission funder mandate, authors alone are unlikely to have sufficient bargaining power to ensure the inclusion of such a clause in the publishing contract they sign.

Of course this doesn’t fully resolve the situation when the author dies. By default it will be the author’s estate which heredits those rights and controls for the last 90 years of the copyright term, and they may be no more informed than the publisher about cultural sensitivities. So a further question arises: can/should a rights assignment for the period after the author’s death also be included or considered a requirement of the publishing contract in these circumstances? At the very least, this would seem to be something to encourage authors to consider and include in the publishing contract as well.

Finally, it may be worth noting that the standard RRS on the submitted manuscript alone is not sufficient in the situations described above, as without the proposed clause in the final contract the publisher will still have permission to approve inappropriate reuse of the final published work without need to consult the author.

Acknowledgements: Thanks to Lucy Barnes, Stephen Eglen, Graham Stone, Alessandra Tosi and Niamh Tumelty for helpful feedback on an earlier draft of this post.

This blog has been cross-posted on the Open Book Publisher Blog: http://blogs.openbookpublishers.com/is-a-rights-retention-clause-needed-for-oa-books

Thoughts on the new White House OSTP open access memo

Dr. Samuel A. Moore, Scholarly Communication Specialist, Cambridge University Libraries

In the USA last Thursday, the White House Office of Science and Technology Policy announced its decision to mandate public access to all federally funded research articles and data. From 2026, the permitted embargo period of one year for funded publications will be removed and all publications arising from federal funding will have to be immediately accessible through a repository. Although more details are to be announced, my colleague Niamh Tumelty, the OSC’s Head of Open Research Services, shared a helpful summary of the policy and some initial reaction here. I want to offer my own personal assessment of what the new policy might mean from the perspective of open access to research articles, something we are working hard to promote and support throughout the university.

To be sure, the new OSTP memo is big news: the US produces a huge amount of research that will now be made immediately available without payment to the world at large. Following in the footsteps of Plan S in Europe, the open access policy landscape is rapidly evolving away from embargo periods and towards immediate access to research across all disciplines. Publishing industry consultants Clarke & Esposito have even argued that this intervention will make the subscription journal all the more unviable, eventually leading to its demise.

Indeed, responses from the publishing industry have been mixed. The STM Association, for example, offer a muted one-paragraph response claiming tepid support for the memo, while organisations such as the AAP were more vocally against what they see as a lack of ‘formal, meaningful consultation or public input’ on the memo, despite the fact that many more details are still to be announced (presumably, following consultation). A similar sense of frustration was displayed by some of the authors of the industry-supported Scholarly Kitchen blog. It’s fair to say that the publishing industry itself – at least the part of it that makes money from journal subscriptions – has not welcomed the new memo with open arms.

Understandably, funders and advocacy organisations have welcomed the news. Johan Rooryck from Coalition S called the memo a ‘game changer for scholarly publishing’, while the Open Research Funders Group ‘applauds bold OSTP action’ in its response. Open access advocates SPARC described the memo as a ‘historic win’ for open access and a ‘giant step towards realizing our collective goal of ensuring that sharing knowledge is a human right – for everyone’. Certainly, for those arguing in favour of greater public access to research, the memo will indeed result in just this. But I still have my reservations.

My PhD thesis analysed and assessed the creation and implementation of open access policy in the UK. As Cambridge researchers no doubt know, the open access policy landscape is composed of a number of mandates, with varying degrees of complexity, and affects the vast majority of UK researchers in one way or another. This is for better and for worse: there is an increase in bureaucracy associated with open access policy (particularly through repositories), even though it results in greater access to research. However, when you remove this bureaucracy through more seamless approaches to OA like transformative agreements, there is a risk of consolidating the power of large commercial publishers who dominate this space and make obscene profits (a fear also shared by Jeff Pooley in his write-up of the policy). There is therefore a delicate balance to be struck between simply throwing money at market-based solutions and requiring researchers and librarians to take on more of the burden of compliance.

The problem with indiscriminate policy mandates for public access to research, such as the OSTP’s memo, is that they shore up the idea that publishing has to be provided by a private industry that is not especially accountable to research communities or the university more broadly. This is precisely because these policies are indiscriminate and therefore apply to everyone equally, which for academic publishing means benefitting those already in a good position to profit. Larger commercial publishers have worked out better than anyone else how to monetise open access through a range of different business models. As long as researchers need to continue publishing with the bigger publishers, which they do for career reasons, these publishers will always be in a better position to benefit from open access policies. It is hard to imagine how the individual funding bodies could implement the OSTP memo in a way that does foreground a more bibliodiverse publishing system at the expense of commercialism (not least because this goal does not appear to be the target of the memo).  

I do not mean to overplay the pessimism here: it is great that we are heading for a world of much more open access research. The point now is to couple this policy with funding and support to continue building the capacity of an ethical and accountable publishing ecosystem, all while trying to embed these ethical alternatives within the mainstream. This kind of culture change cannot be achieved by mandates like the OSTP is proposing, but it can be achieved by the harder work of raising awareness of alternatives and highlighting the downsides of current approaches to publishing. It is also important to reveal the ways in which research cultures shape how researchers decide to publish their work – often at the expense of experimentation and openness – and how they can be changed for the better.

So I am interested to see how the memo is implemented in practice, especially how it is funded and the conditions set on immediate access to research. I am also keen to see what role, if any, rights retention plays in the implementation and how US libraries decide to support the policy and the changing environment more broadly. Ultimately, however, the move to a more scholar-led and scholar-governed ecosystem will not occur on an open/closed binary, nor on a top-down/bottom-up one, and so we must find a range of ways to support new cultures of knowledge production and dissemination in the university and beyond.

Image taken from Public Domain Pictures

Rights Retention Pilot

This interview is reposted with agreement from the sOApbox blog. It is one of a series of blog posts outlining how different institutions are introducing rights retention policies to support their researchers in sharing their research as widely as possible.

14/04/2022
In 2008 Harvard’s Faculty of Arts & Sciences voted unanimously to adopt a ground-breaking open access policy. Since then, over 70 other institutions, including other Harvard faculties, Stanford and MIT, have adopted similar policies based on the Harvard model. In Europe such institutional policies have, so far, been slow to get off the ground.

We are beginning to see that situation change.

The University of Cambridge has recently established a pilot rights retention scheme on an opt-in basis, with a view to informing the next revision of the University’s Open Access policy. In the following interview, Niamh Tumelty, Head of Open Research Services at the University of Cambridge, describes the purpose of the pilot, how researchers can benefit from it and shares her tips for any other institution that might consider adopting a similar policy.

cOAlition S: Could you, please, describe the author copyright policy you have adopted at your university?

Niamh Tumelty: We are inviting researchers to participate in a Rights Retention Pilot, which will run for one year starting April 2022. Participating researchers will grant the University a non-exclusive licence to the accepted manuscripts of any articles submitted during the pilot, making it easier for us to support them in meeting their funder requirements by uploading their manuscripts to our institutional repository, Apollo, without needing to apply an embargo. The pilot has launched using a CC BY approach as required by most cOAlition S funders, and we are exploring providing an option for alternative licences for researchers who do not have that specific requirement.

The researcher will notify the journal by including the rights retention statement on submission. When the paper has been accepted, the researcher will upload the accepted manuscript as normal via Symplectic Elements, indicating during the upload process that they have retained their rights. The Open Access team will do their usual checks, advise the researcher on what will happen next and arrange for the article to be made available on Apollo.

We will closely monitor what happens during the pilot and all participating researchers will be able to comment on their experiences. We will review all feedback and use it to inform our next review of our institutional open access policy.

cOAlition S: Why did the idea of adopting an institutional rights retention policy emerge?

Niamh Tumelty: The introduction of the requirement for immediate open access to research supported by cOAlition S funders has proven challenging in practice, with some publishers offering no compliant publishing route and others charging unsustainable prices for immediate open access to the final published version. Unless researchers want to move exclusively to publishing in journals that are diamond, fully gold or included within read & publish agreements, they need a way to retain sufficient rights, so that they always have the option to post their accepted paper online to achieve open sharing of their scholarship. Some disciplines have been left with little or no choice about where they can publish their research while meeting their funder requirements and their own goals for open research.

“The rights retention strategy is a key tool to enable researchers to openly publish in whatever journal will reach the most appropriate audience.”

cOAlition S: How was consensus reached across the institution?

Niamh Tumelty: The fact that immediate OA is now a funder requirement for the majority of our researchers made the conversation relatively easy. We held a number of discussions at the Open Research Steering Committee to ensure that we had as full an understanding as possible, providing examples of issues that were arising in the first year of the Wellcome Trust rights retention requirement in the absence of an institutional policy.

We considered developing an institutional opt-out policy as others have done but concluded that the highly devolved nature of the University of Cambridge would have made it extremely difficult to conduct a thorough consultation and reach consensus by the deadline of 1 April 2022. We agreed that the most appropriate next step at Cambridge was to run a pilot on an opt-in basis. A working group was established to design this pilot and included researchers from across a range of disciplines along with open access and scholarly communication experts from Cambridge University Libraries. The working group met every two weeks from mid-January to the end of March to consider the issue from different disciplinary perspectives and to develop the approach for the pilot. We drew heavily on the policy that was introduced at the University of Edinburgh earlier this year, learning also from the UK Scholarly Communications Licence and Model Policy and recommendations that have been publicly shared by Harvard University. We brought the proposed pilot to the University’s Research Policy Committee for comment and took legal advice on the detail of how we would approach this before launching.

The beauty of a pilot approach is that no researcher has to participate – they have a choice about whether or not to opt in and will have the opportunity to influence whatever policy is ultimately introduced across the university. We can take this year to really understand the issues in detail and to build consensus about the best approach for Cambridge.

cOAlition S: What challenges had to be overcome before it was agreed to adopt the policy?

Niamh Tumelty: The biggest challenge in the lead up to the pilot has been understanding and developing confidence in the rights retention strategy. The expert legal advice we received following the announcement of the Wellcome Trust requirements and again as we designed the detail of our approach was critical in enabling us to develop the pilot. Now, our challenge is to clearly communicate and explain rights retention to our many researchers as a route they can choose when publishing and to grapple with any issues that arise during the pilot year before developing any full institutional policy.

cOAlition S: What are the advantages of adopting the policy for your researchers and your institution?

Niamh Tumelty: The rights retention strategy is a key tool to enable researchers to openly publish in whatever journal will reach the most appropriate audience. It may be that some publishers decide to reject any papers in which the author has retained their rights, but this seems an unsustainable position given the growing number of authors whose funders require immediate open access for all outputs.

The advantage of a pilot approach rather than a full institutional policy is that it provides space and time for deep engagement across our highly devolved university. It creates a framework for the researchers that wanted to have an early route to support them in retaining their rights and for the open access team that advises and supports them. It enables us to generate evidence from our own researchers, to build confidence and trust and to refine the approach ahead of shaping a full institutional policy.

Researchers are in a stronger position than they realise – if publishers want to continue getting this free content from our researchers, they will need to develop publishing routes that meet the needs of their academic communities.”

cOAlition S: As a conclusion, what are your three top tips for any other university considering adopting a similar permissions-based Open Access policy to yours?

Niamh Tumelty: 1) Include a range of disciplinary perspectives from the earliest stages of planning. This early consideration will make it easier to tailor the messaging to different parts of the university, taking into account the different drivers and concerns that come into play. Make sure that the humanities perspective is included – too often in open research initiatives the humanities appear to be an afterthought, if considered at all.

2) Anticipate the questions that will be asked and make sure that you have clear and honest answers to those questions. Be honest and open about the fact that we are learning through the process (while building on the experiences of those who have gone before) and that there will be challenges. This enhances credibility and manages expectations as the policy beds in.

3) Have confidence in this approach! This is not new – researchers have been retaining their rights in this way for over a decade and it is becoming increasingly common practice across a range of institutions. Researchers are in a stronger position than they realise – if publishers want to continue getting this free content from our researchers, they will need to develop publishing routes that meet the needs of their academic communities.

Open Research in the Humanities and Social Sciences: Two Working Groups 

This piece by Dr. Meg Westbury (Librarian, Haddon Library) and Dr. Matthias Ammon (Research Support Librarian, Germanic Languages & Film) introduces the work of the open research workings groups in the humanities and qualitative social sciences.

During 2021, two working groups of the Open Research Steering Committee formed to explore disciplinary perspectives on open research. One working group focuses on concerns and interests in open research from the perspective of researchers in the School of Arts and Humanities, and the other focuses on perspectives of researchers engaged in qualitative inquiry mainly from the School of the Humanities and Social Sciences. In this newsletter article, we describe the goals, activities and outputs of each working group. 

Open Research in the Humanities 

The working group on open research in the humanities formed in summer 2021 and is chaired by Dr Emma Gilby, with support from Dr Matthias Ammon. Four meetings were held in which the group discussed ways to make some of the underlying principles of open research – which have often been based on scholarly communication in STEMM subjects (as for example defined by the League of European Research Universities as the ‘8 Pillars of Open Science’) – more applicable to humanities research. This included meeting with academic publishers to discuss the future of scholarly communication in an Open Access landscape. The group is currently working on a report summarising the result of its discussions. 

Open Qualitative Research 

The working group on open qualitative research was formed in autumn 2021 and will have its first meeting in January 2022. The group is chaired by Dr Meg Westbury and has representatives from Criminology, Education, Geography, Social Anthropology, Sociology and the OSC. Over the next few months, the working group will consider how tenets of open research – such as open access, open data and research integrity – can be understood in terms of the ethics and priorities of qualitative researchers who seek to interpret and represent the complex lived experiences of social groups. By the end of the summer, the working group hopes to produce a report with recommendations for how open research might become more embedded in the research culture of qualitative researchers at Cambridge. 

In sum, we are optimistic that both working groups will be able to formulate recommendations for how open research might be understood, operationalised and/or reimagined for scholars across a wide-range of epistemologies and methodological approaches at the university

Open access success stories: interview with Dr. Jacqui Stanford

#ProtestingSewell at the Conservative Party Conference October 2021. All Rights Reserved.

For this post, Katherine Burchell talks to Dr Jacqui Stanford about the success of her open access doctoral thesis: Identities in Transition: theorising race and multicultural success in school contexts in Britain. The thesis is available to download from Apollo here: https://doi.org/10.17863/CAM.58378

Thanks for agreeing to talk about your research. Could you please describe what your PhD thesis is about?

I am interested in how we build a harmonious society given the challenges of our past of chattel slavery and colonialism. As a Black educator of Caribbean heritage, I also have a particular professional interest in schools that are successful for Black children. However, I’ve never been interested in a ten-point list of ‘how to build successful schools’; there was a lot of that in the late 1990s when I turned to graduate studies. And that project seemed to be inconsistent with necessary, actual and sustainable outcomes in schools. Furthermore, that project did not access or address the complexities introduced by race. Yet, as a microcosm of society, schools necessarily had developed strategies that addressed race, especially if they were harmonious spaces, where everyone could be successful.

For my PhD, I was very much interested in writing process, ie, zeroing in and exploring the complexities of transitioning from one thing to another. For example, I was very interested in white teachers and how they imagined – perhaps actually practised – but particularly how they articulated – transition from a past beset by the challenges of race to a context that was considered successful for Black and minority ethnic young people – as well as themselves. I also wanted to see what Black and white identities looked like in these contexts.

Methodological and analytical approaches were paramount in my research enterprise. I was not content with taking up established ideas. I focused on building theories at every stage of the project: a theory for research, ie, for doing race research, and for doing race research in Britain; a theory for analysing data on race; a theory for teachers’ explanations that transformed their personal stories into universal ideas. In other words, I was focused on developing and delineating generic ideas for negotiating race and racial identities as well as philosophical ideas about actually doing race research, as much as I was on delineating ideas about success in the school contexts I researched.

Has open access helped promote your work?

To begin, I remember feeling such discontent back then, and actually writing it in my thesis, that all the tremendous effort would just end up on a shelf in the UL. For me, the award of a PhD was a bonus on top of the actual experience of learning, growing and fashioning another world through research. The PhD was not just the work needed for the award of a qualification; I was intentionally seeking to articulate the aforementioned theories and understanding of the world.  I am glad I did. For following my PhD, lecturing and working internationally in policymaking, activism and community development took precedence over writing. Now, in the wake of George Floyd and Black Lives Matter, as we begin to seek ways to understand and address the racial past, I find myself instinctively returning to my PhD, revisiting theories on whiteness and blackness, how to negotiate challenges posed by race and create harmonious multicultural spaces.

I also note the irrepressible urgency, and opportunity, currently growing in society to grapple with the past. This encouraged me to make my thesis open access in Summer 2020, and I am pleased to see that it has attracted strong interest, from a range of countries, and especially from old colonial countries such as the USA, France, Belgium as well as the UK. And I am definitely interested to note that it has attracted attention from China.

Do you feel open access has helped you reach marginalised groups that your work discusses?

It would seem that my work is reaching marginalised groups, in addition to groups that, though arguably not marginalised, have urgent need for research insight. Here, for example, I would highlight white teachers faced with the responsibility of teaching Britain’s past in the wake of Black Lives Matter etc. The thesis has interest for various groups positioned in various ways in the present historical moment, both here in the UK, and in other countries with whom we share a colonial past, and with others simply seeking information on it.

How has the work been taken up in policy? (Do you feel open access has been helpful in policy?)

I have had opportunity to contribute to government policy here in the UK and internationally over the years, and it has been gratifying to see viewings of my thesis from countries where I have worked. While there has been good indication of interest from the UK, it is noticeable that viewings from the US in particular, is very strong. The ideas in my thesis underpinned international travel and work in the US lecturing, and activism as well as contributing to President Obama’s Race to the Top education policy as a reviewer. So, I am very pleased that open access has made my thesis accessible there, especially as it is also being accessed.

Here in the UK, my thesis was used to evidence arguments made in submission to the recent government consultation for the Sewell Report, aka Race Report published in March2021. Controversially, like other submissions, it was not listed in the acknowledgment; nevertheless, my PhD was offered and reviewed as an example of how we create successful multicultural schools and society. There was a significant uptick in viewings of my thesis following submission, dramatically so after publication of the report. Perhaps there is a link between the events.

It certainly feels as if the time has come to share my exploration of the UK’s history of race and schooling in relation to government policymaking, and specifically my thorough going examination of Tony Sewell’s seminal text which anticipated the Commission on Race and Ethnic and Disparities’ report. It is certainly the case that my PhD informs my current #ProtestingSewell campaign, which denounces the report as a source of legislation and policymaking on race in the UK today.

Additional Notes

On the strength of my PhD, I was the first person in my Cambridge Education department to be a Post-Doctoral Research Fellow having been the first person to be awarded the ESRC (Economic and Social Research Council) Post-Doctoral Research Fellowship. This followed the ESRC award for my PhD as well as other awards including the three-year Isaac Newton Award for young researchers, and the Barbadian High Commission award for Outstanding Students of Caribbean Heritage studying in Britain.

Bios

Jacqui Stanford: Having suffered life-changing injuries while working as a professor in the US, I am presently in rehabilitation, focusing on opportunities to make ideas and theories generated in my thesis widely available.

Katherine Burchell is Scholarly Communication Support at the Office of Scholarly Communication at Cambridge University Libraries

Informing the Elsevier negotiations: Dominic Dixon on the work of the Data Analysis Working Group

As part of our series of posts on the Elsevier negotiations, Dominic Dixon, Research Librarian at Cambridge University Libraries, explains the work of the library’s Data Analysis Working Group to access, understand and analyse the data relating to how researchers at Cambridge use Elsevier publications. These findings are also presented as a series of data visualisations on the recently launched Elsevier Data Dashboard [Cambridge University Raven account required].

Having a strong underpinning of data is critical to strengthening the University and sector position in negotiations with Elsevier. This post outlines our approach in the data analysis working group to gathering and presenting the data underpinning the negotiations, looks at some of the questions we have sought to answer, and shares some high-level findings from our analysis.

As with many data science projects, a large majority of the time has been spent on data cleaning. This is in part due to the way the exports from the platforms we used are structured but also to allow us to carry out a more fine-grained analysis than would have been possible with the data in its default state. Some of this work involved disambiguating publisher names, splitting and pivoting fields with multiple entries (e.g., funders, disciplines, and subjects), and enriching the records with metadata not included in the original files.

Publishing

To build a profile of research published by Cambridge researchers in Elsevier journals, we experimented with three platforms: Dimensions, Scopus, and Web of Science (WoS). Each of these platforms is commercial and each has varying levels of coverage and richness of metadata. A recent comparative analysis between WoS, Scopus and Dimensions found that Dimensions indexed 82.22% more journals than WoS and 48.17% more journals than Scopus. We decided to compare the coverage in each of these platforms for articles published between 2015 & 2020 by a Cambridge affiliated author. In this case, WoS (n=59, 587) returned 1% more results than Dimensions (n=58,908) and 32% more than Scopus (n=40,385).* However, filtering to Elsevier gave a different picture. We found that Dimensions (n=11,431) returned 16% more articles than WoS (n=9,504) and 44% more than Scopus (n=6,345). Given this and considering that our primary focus was research published by Elsevier, we opted to use Dimensions.

Of the 58,908 records exported from Dimensions, we found that 19% were published in Elsevier journals, making Elsevier the single most chosen publishing venue for Cambridge authors. Filtering to only articles with a Cambridge corresponding author, we again found that Elsevier was the most chosen publishing venue, with over 34% (n=4,564) of the articles published in Elsevier journals. Having looked at publishing levels more broadly, we then broke down the articles published with a Cambridge corresponding author by Open Access category. We found that 22% (n=1,137) of the articles were categorised as closed and therefore behind a paywall, 35%(n=1,585) were paid for via different routes including funder block grants administered by the University, 32% (n=1,467) were self-archived (Green OA), and 8% (n=375) were published in journals that do not charge APCs. Thus, the percentage of articles that are either behind a paywall, or are only available openly because an APC has been paid, is significantly higher than the amount that is published open access without any associated fees.

Another aspect of publishing we decided to focus on is funding, asking specifically “Who is funding the Cambridge research published with Elsevier?”. Given the inclusion of funder data in the Dimensions export, we were able to break down the articles by both funder and funder groups. This enabled us to determine who is funding the research. Looking at articles with a Cambridge affiliated author, Cambridge corresponding author, and articles resulting from grants we found that in each category over 70% were linked to at least one cOAlition S funder. The wider implication of this – specifically for the corresponding author articles – is that in the absence of a read and publish agreement, many of the funders would not pay the APCs associated with publishing in Elsevier journals.

Reading

To provide a picture of the extent to which articles published in Elsevier subscription journals are read at Cambridge, we gathered usage data from COUNTER and the Alma library management system. This allowed us to consider reading over the 6-year between 2015 and 2020 both overall and at a disciplinary level. We found that reading of Elsevier journals was consistently higher in each year than for any other publisher. Reading of Elsevier in 2020 represented 20% of all reading and was at its highest level in physical sciences and engineering. The single highest total of reading in the sub-categories within each discipline was in biochemistry, genetics, and molecular biology within the life sciences, with over 400,000 article downloads in 2020 alone.

Another question we considered is how frequently articles published in Elsevier journals are cited by researchers at Cambridge. To answer this, we took advantage of the Dimensions API to gather a dataset of the cited publications from articles published with a Cambridge affiliated author between 2015 and 2020. The resulting data set consisted of over 1.2m bibliographic records and revealed that 22% (n=269,917) of the cited articles were published by Elsevier. Interestingly, this percentage closely matches both the percentage of articles published in Elsevier journals by Cambridge affiliated authors (19%), the percentage of articles read at Cambridge (21.78%) (2015-20), as well as the percentage of publishing with Elsevier at the national level (20%). Using the Dimensions API to enrich the citation data with the open access category, we were able to see that 66% (over 174,000 publications) of the cited Elsevier content is currently paywalled. Elsevier is both the most cited and most paywalled publisher. This observation has wider implications for open research given that many of these articles would be inaccessible to those who are not affiliated with an institution that subscribes to the journals in which the articles appear.

Paying

One of the main questions we considered when looking at data relating to expenditure on Elsevier was how much we pay to publish with Elsevier journals. Our source for this data was OpenAPC – an initiative that aggregates data on open access expenditure and makes it openly available – combined with data from our internal compliance reports. Looking at the overall spend across all institutions that have contributed to the OpenAPC dataset, we can see that over €49,000,000 has been paid to Elsevier. This represents 19% of the total reported spend on article processing charges (APCs). Looking at data the data on Cambridge expenditure, we found that between 2015 and 2020, 30% (over £3,000,000) of our total spend on APCs from block grants was paid to Elsevier (the highest spend on any single publisher), with a single payment averaging at £3,302 and ranging between £450 and £7320.

Final notes

This post has covered just some of the questions we have been able to answer with the data. We think that overall, we have been able to demonstrate that Elsevier journals are among the most read and published in, but also consistently the most paywalled and expensive to publish in journals of all publishers. This serves to highlight the importance of the ongoing negotiations and of considering other options such as those explored in previous posts. Our complete findings are presented on a dashboard that is accessible to members of the University. Unfortunately, legal restrictions mean we are not able to share the dashboard or underlying datasets externally; however, we have made the Python code we used to gather the citation data available as a Jupyter notebook on Google Colab. This can be used to retrieve the dataset we used to carry out the citation analysis and is easily modifiable for other purposes (see the notebook for full details). We refer the interested reader to the Dimensions API Lab, and the ESAC guide to uncovering the publishing profile of your institution. The former was helpful for learning how to take advantage of the Dimensions API (as were the staff at Dimensions), and the latter has been useful in formulating our approach to the whole project. We are also happy to answer questions about any aspect of our work.

* The original percentage quoted here was 18%. This was incorrect and has now been corrected to 32%.

How might we reduce our dependency on legacy publishers such as Elsevier?

To coincide with our first townhall event on the Elsevier negotiations, Professor Stephen Eglen offers his perspective on the University’s future relationship with the publishing industry. Prof. Eglen is Professor of Computational Neuroscience in the Department of Applied Mathematics and Theoretical Physics at the University of Cambridge.

I’m often asked why I single out Elsevier when discussing spurious publishing practices*. The simple reason is that they are the single largest publisher that most institutions deal with. Other legacy publishers adopt similar practices, outlined below, that I disagree with. However, given that Elsevier tends to take about 40% of our journal subscription costs, it is worth focusing on. Even finding out these costs required an extensive set of FOI requests over several years, revealing a large disparity in costs between UK Universities. However, I do not blame Elsevier for the current situation – they are a successful business with shareholders to satisfy. Their consistent high operating margins (~ 30%) indicate that they are very capable. However, this comes at a price, e.g. their current median gender pay gap in 2020/21 was 36%, compared to 11.1% at the University of Cambridge, and 7.3% at Springer Nature.

Big Deals

We currently ‘rent’ the collection of Elsevier-published articles via ScienceDirect; this is analogous to a cable TV subscription where you pay a monthly amount to access all of the TV channels from a particular company. Just like a cable TV subscription, it is significantly cheaper and convenient to buy everything, than it is to just buy what you really need.

In the case of Elsevier, I would argue that they publish a few, very popular, journals, such as The Lancet, Cell, and many others within Cell Press. In my corresponding slides, I analyse our University’s download statistics of articles for 2019. I am unable to publicly share these findings, as the download statistics data are not freely available. However, it was no surprise to see that some journals are much more popular than others. Our costs for the Big Deal have steadily increased in recent years, on the notion that we are getting access to more content with more journals being added. However, these would seem to be journals that are rarely read.

Transformative deal elements

Jisc are now negotiating with Elsevier for a ‘transformative deal’ which will allow us to both read and publish in these journals. Although on the surface attractive, they simply maintain the ‘lock in’ to the publisher, and come with their own problems. For example, often the number of articles that can be published per year is capped – what happens when the cap is exceeded? They also unwittingly introduce problems for scholars in poorly funded institutions who cannot afford such deals nor high article processing charges (APCs). Why should we continue to support a system that negatively impacts on scholars in the Global South?

Embargoes and Rights Retention

The UKRI currently have clear requirements for dates by which research articles should be open access: 6 months for STEM, and 12 months elsewhere. Journals therefore had a choice: to allow authors to meet UK open access policy by paying an APC, or by reducing embargo periods on author accepted manuscripts to meet UK constraints without paying an APC. Unsurprisingly, Elsevier saw no reason to reduce their embargo periods. From 2022, however, UKRI have reduced these embargo periods to zero months. While it is highly unlikely that Elsevier will reduce their embargoes to comply with this new policy, we can look to alternative approaches to facilitate immediate open access.

For example, the Rights Retention Strategy is a recent innovation to allow authors to maintain rights over their work, rather than signing over copyright to the publishers, which enables the immediate release of author accepted manuscripts upon publication. This is seen as a valuable tool for promoting green open access. However, many publishers, including Elsevier, noted their vocal opposition to the Rights Retention Strategy. Further, In July 2021, Elsevier wrote to editorial board members noting that it had been lobbying UKRI and Government regarding its opposition to planned changes to UKRI policy.

What next?

The publishing industry is moving towards deals combining both read access to journals and the ability to publish in those journals. I dislike such deals, as I think they continue a ‘lock in’ of funds to one publisher, having negative consequences for those that cannot afford them. I believe all scientific articles need to be free to access, and ideally free for authors to publish. So, how might we reduce our dependency on legacy publishers such as Elsevier?

  1. Decline a big deal and instead subscribe to individual journals from the ScienceDirect catalogue that our tailored to our local needs. US institutions have done this recently, saving significant sums (Thornton and Brundy, 2021).
  2. Use the savings to invest in more ethical approaches to scholarly publishing. This would include Diamond OA journals, such as Discrete Analysis, Volcanica and Beilstein Journal of Organic Chemistry. Such journals are supported by grants, and are free of author-fees and free to read. We could also invest further in infrastructure to support scholarly publishing. For example, UK has been a long-term supporter of the arXiv preprint server – in 2020, we contributed $55,000 to its running costs. Finally, libraries are now choosing to directly fund open access journals in models such as Subscribe to Open and The Open Library of Humanities.
  3. Support researchers to adopt the Rights Retention Strategy as a way of maintaining rights over their works, and being able to publish their work as green open access.
  4. Work together with other institutions to ensure legal, low cost, alternative routes to accessing scientific literature (e.g. rapid interlibrary loans).

I hope the discussions that we are having in Cambridge around the Elsevier negotiations are just one part of a larger move to consider our future vision of an ethical and inclusive scholarly publishing system. Legacy publishers will not provide this; we in academia need to build this vision, working with forward-looking partners.

*(Disclaimer: I am writing this from the point of view of a researcher in Computational Neuroscience, where I routinely read journal articles in both biological and mathematical domains. I am aware that views on open access vary across disciplines.)

Staff introduction: Dr. Samuel Moore, Scholarly Communication Specialist

I am delighted to have joined the Office for Scholarly Communication here at Cambridge and wanted to post a brief introduction about my previous work in scholarly communication and the vision I have for my role as Scholarly Communication Specialist.

I have been involved in open research and scholarly communication for the past fifteen years, having both worked for a number of open access publishers and completed a PhD on the transition to open access in humanities disciplines. I am an information studies researcher by training and a strong advocate for openness in scholarly research. I therefore hope to help Cambridge continue to steer towards an open future for scholarly communication, but importantly one that does not leave any discipline or researcher behind.  Open research needs to be sensitively embedded in our disciplinary cultures so that it is a natural and easy thing to practice.

My doctoral research in the Department of Digital Humanities at King’s College London explored the contrasting approaches to open access publishing of policy-based and grassroots initiatives. From studying the UK funder policies, I identified a tendency to frame open access in terms of compliance rather than something good for its own sake. This meant that many researchers found open access an institutional burden or something not relevant to their own discipline or working practices, while others assumed that OA is just another way for commercial publishers to make increasing amounts of money. Though I think this reputation has improved, my position at Cambridge will be based on helping to show the exciting potential of open research, particularly its ability to contribute to a healthier publishing culture across all scholarly disciplines. For example, a focus of my initial work will be around monographs and the various ways of supporting researchers to explore the diverse ecosystem of long-form open publishers that exists in the humanities, especially those presses that do not charge a fee to publish.

Yet in order to move away from the culture of compliance across all disciplines, we not only have to show the full range of open access publishing opportunities available to researchers, we also have to build upon the work of educating our colleagues about publishing not just as a practice but an industry that shapes this practice. Fairly or unfairly, the publishing industry receives a great deal of bad press within higher education and this has led to a continual reappraisal of academia’s relationship with publishing, specifically with respect to open access. Using this blog and other channels, I hope to inform the university of the debates around the future of scholarly publishing so that researchers can better understand how their publishing decisions are situated in this changing environment. This will involve showcasing a range of views on publishing and the changing ways in researchers communicate and distribute their work.

One way of increasing academic engagement in scholarly publishing is through community consultation on forthcoming developments. The libraries have recently announced a renegotiation of Cambridge’s contract with Elsevier, which is due to expire at the end of this year, in order to seek an affordable Read & Publish deal with the publisher if possible. We are hoping to hear from as many voices at Cambridge about what the university’s future relationship with Elsevier should look like. Alongside showcasing views on this blog, we encourage academics to get in touch via this form to let us know your views and to stay informed about future activities in this area. Please do also contact me if you are interested in writing a blogpost on the topic or interested in learning more.

Related to the future of open access, I am also interested in providing support for academic governance of scholarly communication. I am a scholar of digital commons and community governance and I hope to impart of some of this knowledge to ensure greater accountability of publishing by research communities themselves. Currently, academics have a great deal of editorial oversight over the publications they edit, but less surrounding issues of price, ownership and other policy-related matters, despite the free labour and content we give to publishing houses. I will be discussing with academics and publishers about how we can work together to return accountability of publishing to research communities from the market at large.

Finally, I hope to support and showcase all the excellent work going in scholarly communication at Cambridge. There are pockets of activity across the university that would benefit from wider recognition and greater support, and I have already been contacted by colleagues looking to start or reinvigorate their small-scale publishing project. I will be exploring the ways that libraries can help here, ideally through resources and software, but also through sharing expertise with one another. Again, do get in touch if you have a publishing project that I should know about or can help with.

Scholarly communication is changing rapidly, not least due to the pandemic’s demand for openness, collaboration and immediacy of dissemination, but also through policies like Plan S and the soon-to-be-announced revised UKRI Open Access Policy. As we move in the direction of openness, it is important that all voices in the academic community are heard and that researchers feel confident that open research works for them. I look forward to working with colleagues to help shape Cambridge’s strategy for the future of scholarly communication.

Cambridge Data Week 2020 day 1: Who are the winners and losers of good data practices?

Cambridge Data Week 2020 was an event run by the Office of Scholarly Communication at Cambridge University Libraries from 23–27 November 2020. In a series of talks, panel discussions and interactive Q&A sessions, researchers, funders, publishers and other stakeholders explored and debated different approaches to research data management. This blog is part of a series summarising each event.  

The rest of the blogs comprising this series are as follows:
Cambridge Data Week day 2 blog
Cambridge Data Week day 3 blog
Cambridge Data Week day 4 blog
Cambridge Data Week day 5 blog

Introduction

The first day of Cambridge Data Week 2020 kicked off with a tantalisingly open question: who are the winners and losers of good data practices? This question was addressed via two different perspectives: those of a funder, provided by Dr Georgie Humphreys (Wellcome), and of a publisher, provided by Dr Catriona MacCallum (Hindawi). Discussion of this topic during presentations and the Q&A session looked through various (but not mutually exclusive) lenses, including those of data sharing, quality, ethics, and research culture. Funder mandates for data sharing and what these have achieved (e.g. saving research funds related to data reuse) were reflected upon, as were disciplinary differences between STEMM, social sciences, arts and humanities. There was also a discussion of evidence relating to shifts in research culture and if this is pointing to better data practices. As a whole, the webinar explored a broader view of good data practices, the consequences of these, and the progress being made in embedding good data management in research. 

Topical for this year, both speakers discussed data sharing related to Covid-19 research. Catriona stated that Covid has exposed systemic flaws in the existing system (in relation to data sharing), and Georgie highlighted some surprising results regarding data availability statements in Covid-related articles. The CARE Principles for Indigenous Data Governance were also bought to the fore by Catriona, who argued for attention to be placed on potential power issues surrounding data sharing. These are a set of principles, complementary to the FAIR principles, but which encourage the open research movement to fully engage with Indigenous Peoples rights and interests. A pervasive undercurrent ran throughout the webinar – research culture and some problems therein. These were addressed explicitly by both speakers, with both stating that more needs to be done by institutions to implement DORA and reward researchers for their achievements and good research practices and not just according to where (i.e. in what journals) their research is published. Catriona highlighted results from a 2019 EUA report that shows that institutions have some way to go in this regard, that the value of data is not fully recognised, and that responsible research assessment is at the heart of cultural change in the right direction.

We had some great questions from the audience that were answered in the Q&A session, such as “In countries without the REF, is data sharing better?”, and “How do you get qualitative researchers on board with this?”, and “What is the role of universities in the so-called data-driven economy?”. Our audience also responded to the poll we held at the end of the webinar, where we asked participants to select one from seven given options that they regard as most likely to prevent good data practices among researchers. Resource indicators (knowledge, time, money for RDM) amounted to 46% of responses (blue in the chart below) and cultural indicators amounted to 53% (orange in the chart). Overall, the results were rather surprising but optimistic, revealing that a dominant perception among the participants is that a shift in cultural practices is one of the leading factors necessary to drive forward good data practices in research.

Graph showing the results of the poll held during the webinar, indicating what participants consider most likely to prevent or inhibit good data practices.
Figure 1. Results of the poll held during the webinar, where participants were asked to choose one of seven factors that they consider most likely to prevent or inhibit good data practices.

Audience composition

We had 274 registrations for this webinar, with just over 70% originating from the Higher Education sector. Researchers and PhD students accounted for 40% of registrations and research support staff for an additional 30%. On the day, we were thrilled to see that 164 people attended the webinar, participating from a wide range of countries.

Recording , transcript and presentations

The video recording of the webinar can be found below and the recording, transcript and presentations are present in Apollo, the University of Cambridge repository.

Bonus material

There were a few questions we did not have time to address during the live session, so we put them to the speakers afterwards. Here are their answers:

What are the ethics of using secondary data, particularly in relation to primary versus secondary researchers’ objectives, meaning of data/methods, consent of participants, and in the case of qualitative data, the personal relationships built between researcher and participants?

Georgie Humphreys This question seems to allude to informed consent which is still a topic of active discussion in terms of what one tries to build into the original informed consent to allow subsequent secondary use down the line. There is this idea of broad consent now where a participant would consent to that particular project but they’re also consenting to their data being kept and maybe reused for other purposes related to different scientific questions, but maybe with clauses such as ‘not for commercial benefits’. There are potential concerns about re-identification but there are mechanisms for dealing with that – mechanisms which reduce risk whilst retaining value, such as anonymisation or synthetic data creation. But there are other datasets where that’s just not going to be possible, where you lose all value of the original dataset. The UKDS have a nice page on informed consent, providing information on what you put in your consent forms to enable secondary use. This needs to be thought about at the very start of the study prior to collection of the primary data.

Catriona MacCallum This question is really focusing on data privacy issues. The primary researcher collects the data, the secondary researcher reuses the data. There are ways that researchers can be given access to the data while maintaining privacy. The primary researcher is creating the relationships with participants in order to obtain data, so what does this mean ethically for those wishing to reuse the data? Safety nets do need to be put into place. Here, it’s important to raise the CARE principles again. These were the result of a working group that came about as a result of concerns about how data from indigenous people are being treated. The slogan is now ‘Be FAIR and CARE’. The CARE principles are emerging in the UN’s agenda, and UNESCO, and I’m sure it will come up with the Research Council’s too.

What are the best practices to ensure data quality? 

Catriona MacCallum It depends what is meant by ‘quality’ as there are various ways of looking at this. The European Commission came up with the economic loss of not publishing failed experiments; in other words, the publication bias that results. We need to redefine what we mean by quality, integrity and again this speaks to the research culture as no one gets rewarded for publishing a failed result and in fact the researchers end up feeling embarrassed and tend not to do it. Publication bias is huge! It also applies to the humanities and social sciences as well but potentially in a different way, and there are huge biases in terms of what gets published and what is allowed to get published.

Georgie Humphreys This issue is probably a plug for the open peer review model where the filter is not at the beginning but later on. [In open peer review, authors and reviewers are aware of each other’s identity and encouraged to engage in open discussion. This makes the process more transparent, removing bias or conflicts of interest. Manuscripts are made publicly available pre-review, and reviews are published alongside the article].

Conclusion

So, who are the winners and losers of good data practices? Georgie believes that everyone, in the long term, will be a winner. If time is spent ensuring data is well-documented, well-organised, has dictionaries, is stored somewhere for the long term, then it will benefit the data creators just as much as anyone else. In the short term, she acknowledges that there may be people that find being a champion in this field a challenge for them individually, but it’s just about continuing along this journey to get to the point where everything is in place to truly reward and recognise those that have good open practices and good data management practices. Catriona says that there are so many winners: the economy, society, and science, the social sciences and humanities – all will benefit from data sharing. Taking society as an example, sharing data and sharing it well (through good research data management) will increase public trust in science, benefit public health and even help toward achieving multiple sustainable development goals.

Resources

A Covid-19 press release by Wellcome in January 2020 called on researchers, publishers and funders to share or facilitate the sharing of interim and final data as rapidly as possible. Wellcome have been exploring the impact of this statement on data sharing.

‘The FAIR Guiding Principles for Scientific Data Management and Stewardship’ by Wilkinson et al. in Scientific Data (March 2016).

CARE Principles of Indigenous Data Governance. The full CARE principles are outlined here.

UKDS information on informed consent, including a downloadable model consent form with suggested wording to allow secondary data reuse.

An April 2020 publication by Colavizza et al. on ‘The citation advantage of linking publications to research data’ showing that article citations are greater when they have data availability statements that include a link (e.g. DOI) to data archived in a repository.

A European University Association (EUA) report published in October 2019 by Saenen et al. on ‘Research assessment in the transition to Open Science: 2019 EUA Open Science and Access Survey Results’.

Published 25 January 2021

Written by Dr Sacha Jones with contributions from Dr Georgie Humphreys, Dr Catriona MacCallum and Maria Angelaki.  

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