Tag Archives: compliance

Blood: in short supply?

Two years ago (almost to the day) we called out Blood for their misleading open access options that they offered to Research Council and Charity Open Access Fund (COAF) authors. Unfortunately, little has changed since then:

Neither of these routes is sufficient to comply with either Research Councils’ or COAF’s open access policies which require that the accepted text be made available in PMC within 6 months of publication, or that the published paper is available immediately under a CC BY licence.

At the time, we called on Blood to change their offerings or we would advise Research Councils and COAF funded authors to publish elsewhere. And that’s exactly what’s happened:

Figure 1. All articles published in Blood since 2007 which acknowledge MRC, Wellcome, CRUK or BHF funding. Data obtained from Web of Science.

Over the last two years we’ve seen a dramatic decline in the number of papers being published in Blood by Medical Research Council (MRC), Wellcome Trust, Cancer Research UK (CRUK) and British Heart Foundation (BHF) researchers. The number of papers published in Blood that acknowledge these funders in now at its lowest point in over a decade.

It’s important to remember that the 23 papers published in Blood in 2017 are all non-compliant with the open access policies of Research Councils and COAF, and if these papers acknowledge Wellcome Trust funding then those researchers may also be at risk of losing 10% of their total grant. If you are funded by Research Councils or one of the COAF members, please consider publishing elsewhere. SHERPA/FACT confirms our assessment:

Sign the open letter

We’re still collecting signatures for our open letter to the editor of Blood in the hope that they’ll reconsider their open access options. Please join us by adding your name.

Compliance is not the whole story

Today, Research England released Monitoring sector progress towards compliance with funder open access policies the results of a survey they ran in August last year in conjunction with RCUK, Wellcome Trust and Jisc.

Cambridge University was one of the 113 institutions that answered a significant number of questions about how we were managing compliance with various open access policies, what systems we were using and our decision making processes. Reading the collective responses has been illuminating.

The rather celebratory commentary from UKRI has focused on the compliance aspect – see the Research England’s press release: Over 80% of research outputs meet requirements of REF 2021 open access policy and the post by the Executive Chair of Research England David Sweeney, Open access – are we almost there for REF?

What’s it all about?

At risk of putting a dampener on the party I’d like to point a few things out. For a start,  compliance with a policy is not the end goal of a policy in itself. While clearly the UK policies over the past five years have increased the amount of UK research that is available open access, we do need to ask ourselves ‘so what?’.

What we are not measuring, or indeed even discussing, is the reason why we are doing this.

While the open access policies of other funders such as Wellcome Trust and Bill and Melinda Gates Foundation articulate the end goal: “foster a richer research culture” in the former and “ information sharing and transparency” in the latter, the REF2021 policy is surprisingly perfunctory. It simply states: “certain research outputs should be made open-access to be eligible for submission to the next Research Excellence Framework”.

It would be enormously helpful to those responsible for ‘selling’ the idea to our research community if there were some evidence to demonstrate the value in what we are all doing. A stick only goes so far.

It’s really hard, people

Part of the reason why we are having so much difficulty selling the idea to both our research community and the administration of the University is because open access compliance is expensive and complicated, as this survey amply demonstrates.

While there may have been an idea that requiring the research community to provide their work on acceptance would mean they would become more aware and engaged with Open Access, it seems this has not been achieved. Given that 71% of HEIs reported that AAMs are deposited by a member of staff from professional services, it is safe to say the past six years since the Finch Report have not significantly changed author behaviour.

With 335 staff at 1.0FTE recorded as “directly engaged in supporting and implementing OA at their institution”, it is clear that compliance is a highly resource hungry endeavour. This is driving the decision making at institutional level. While “the intent of funders’ OA policies is to make as many outputs freely available as possible”, institutions are focusing on the outputs that are likely to be chosen for the REF (as opposed to making everything available).

I suspect this is ideology meeting pragmatism. Not only can institutions not support the overall openness agenda, these policies seem to be further underlining the limited reward systems we currently use in academia.

The infrastructure problem

The first conclusion of the report was that “systems which support and implement OA are largely manual, resource-intensive processes”. The report notes that compliance checking tools are inadequate partly because of the complexity of funder policies and the labyrinth that is publisher embargo policies. It goes on to say the findings “demonstrate the need for CRIS systems, and other compliance tools used by institutions be reviewed and updated”.

This may the case, but buried in that suggestion is years of work and considerable cost. We know from experience. It has taken us at Cambridge 2.5 years and a very significant investment to link our CRIS system (Symplectic Elements) to our DSpace repository Apollo. And we are still not there in terms of being able to provide meaningful reports to our departments.

Who is paying for all of this?

When we say ‘open’…

The report touches on what is a serious problem in the process. Because we are obtaining works at time of acceptance (an aspect of the policy Cambridge supports), and embargo periods cannot be set until the date of publication is known, there is a significant body of material languishing under indefinite embargoes waiting to be manually checked and updated.

The report notes that ‘there is no clear preference…as to how AAMs are augmented or replaced in repositories following the release of later versions’. Given the lack of any automated way of checking this information the problem is unmanageable without huge human intervention.

At Cambridge we offer a ‘Request a Copy’ service which at least makes the works accessible, but this is an already out of control situation that is compounding as time progresses.

Solutions?

We really need to focus on sector solutions rather than each institution investing independently. Indeed, the second last conclusion is that ‘the survey has demonstrated the need for publishers, funders and research institutions to work towards reducing burdensome manual processes”. One such solution, which has a sole mention in the report, is the UK Scholarly Communication Licence as a way of managing the host of licences.

Right at the end of the report in the second last point something very true to my heart was mentioned: “Finally, respondents highlighted the need for training and skills at an institutional level to ensure that staff are kept up to date with resources and tools associated with OA processes.” Well, yes. This is something we have been trying to address at a sector level, and the solutions are not yet obvious.

This report is an excellent snapshot and will allow institutions such as ours some level of benchmarking. But it does highlight that we have a long way to go.

Published 14 June 2018
Written by Dr Danny Kingsley
Creative Commons License

How open is Cambridge?

As part of Open Access Week 2016, the Office of Scholarly Communication is publishing a series of blog posts on open access and open research. In this final OAWeek post Dr Arthur Smith analyses how much Cambridge research is openly available.

For us in the Office of Scholarly Communication it’s important that, as much possible, the University’s research is made Open Access. While we can guarantee that research deposited in the University repository Apollo will be made available in one way or another, it’s not clear how other sources of Open Access contribute to this goal. This blog is an attempt to quantify the amount of Cambridge research that is openly available.

In mid-August I used Cottage Labs’ Lantern service in anLantern_Oct2016_Graphic attempt to quantify just how open the University’s research really is. Lantern uses DOIs, PMIDs or PMCIDs to match publications in a variety of sources such as CORE and Europe PMC, to determine the Open Access status of a publication – it will even try to look at a publisher’s website to determine an article’s Open Access status. This process isn’t infallible, and it relies heavily on DOI matching, but it provides a good insight into the possible sources of Open Access material.

To determine the base list of publications against which the analysis could be run,  I queried Web of Science (WoS) and Scopus to obtain a list of publications attributed to Cambridge authors. In 2015, the University published 9069 articles, reviews and conference papers according to Web of Science. Scopus returned a slightly lower figure of 7983 publications. Combining these two publication lists, and filtering to only include records with a DOI, produced one master list of 9714 unique publications (that’s ~26 publications/day!).

In 2015 the Open Access team processed 2746 HEFCE eligible submissions, so naïvely speaking, the University achieved a 28.3% HEFCE compliance rate. That’s not bad, especially because the HEFCE policy had not yet come into force, but what about other Open Access sources? We know that other universities in the UK are also depositing papers in their repositories, and some researchers make their work ‘gold’ Open Access without going through the Open Access team, so the total amount of Open Access content must be higher.

In addition to the Lantern analysis, I also exported all available DOIs from Apollo and matched these to the DOIs obtained from WoS/Scopus. WoS also classifies some publications as being Open Access, and I included these figures too. If a publication was found in at least one potentially Open Access source I classified it as Open Access. Here are the results:

Lantern_Oct2016_Figure1
Figure 1. Of 9714 DOIs analysed by Lantern, 51.8% appear in at least one open access source.

It is pleasing that our naïve estimate of 28.3% HEFCE compliance closely matches the number of records found in Apollo (26.2%). The discrepancy is likely due to a number of factors, including publications received by the Open Access Team that were actually published in 2014 or 2016, but submitted in 2015, and Apollo records that don’t have a publisher DOI to match against. However, the most important point to note is the overall open access figure – in 2015 more than 50% of the University’s scholarly publications with a DOI were available in at least one “open access” source.

Let’s dig a little deeper into the analysis. Using everyone’s favourite metric, the journal impact factor (JIF), the average JIF of articles in Apollo was 5.74 compared to 4.33 for articles that were not OA. Other repositories and Europe PMC achieved even higher average JIFs. On average, Open Access publications by Cambridge authors have a higher JIF (6.04) than articles that are not OA, which suggests that researchers are making value judgements on what to make Open Access based on journal reputation. If a paper appears in a low(er) impact journal, it’s less likely to be made Open Access. Anecdotally this is something we have experienced at Cambridge.

Lantern_Oct2016_Figure2
Figure 2. Average 2015 JIF of papers classified according to their open access status.

The WoS and Scopus exports contain citation information at the article level, so we can also look at direct citations received by these publications (up to 16 August 2016)  rather than relying on the JIF. I found that Open Access articles, on average, received 1.5 to 2 more citations than articles that are not Open Access. However, is this because authors are making their higher impact articles Open Access (which one might expect to receive more citations anyway) and are not bothering with the rest? Or this is effect due entirely to the greater accessibility offered by Open Access publication? Could the differences arise because of different researcher behaviour across different disciplines?

My feeling is that we have reached a turning point – the increased citation rates of Open Access material is not caused by the article being Open Access as these articles would have naturally received more citations anyway. Instead of looking at formal literature citations, the benefits of Open Access need to be measured outside of academia in areas that would not contribute to an articles citations.

Lantern_Oct2016_Figure5
Figure 3. Average citations received by papers according to their open access source.

Breaking it down by the source of Open Access reveals that articles that appear in other repositories receive significantly more citations than any other source. This potentially reveals that collaborative papers between researchers at different institutions are likely to have greater impact than papers conducted solely at one institution (Cambridge), however, a more thorough analysis that looks at author affiliations would be needed to confirm this.

If we focus on the WoS citation distribution the difference in average citations becomes clearer. Of 8348 WoS articles, not only are there fewer Open Access articles with no citations (14% vs 17%), but Open Access articles also receive more citations in general.

Lantern_Oct2016_Figure4
Figure 4. Citation distribution of papers found in WoS depending on their open access status.

What can we take away from this analysis? Firstly, Lantern is a valuable tool for discovering other sources of Open Access content. It identified over a thousand articles by Cambridge researchers in other institutional repositories that we did not know existed. When it comes time for the next REF, these other repositories may prove a vital lifeline in determining whether a paper is HEFCE compliant.

Secondly, more than 50% of the University’s 2015 research publications are potentially Open Access. Hopefully a similar analysis of 2016’s papers will show that even more of the University’s research is Open Access this year. And finally, although Open Access articles receive more citations than articles that are not Open Access, it is no longer clear whether this is caused by the article being Open Access, disciplinary differences, or if authors are more likely to make their best work Open Access.

Published 28 October 2016
Written by Dr Arthur Smith

Creative Commons License

An open letter to Blood

The Office of Scholarly Communication routinely advises Cambridge authors about their publishing options, and in the vast majority of cases we can help authors comply with funder mandates. However, there are a few notable journals that offer no compliant open access options for Research Council UK (RCUK) and Charity Open Access Fund (COAF) authors. One of those journals is Blood. We’ve previously called them out on their misleading advice:

Today we are urging Blood to offer their authors either self-archiving rights without cost and a maximum 6 month embargo or immediate open access under a Creative Commons Attribution (CC BY) licence. If Blood does not offer these options we will advise our researchers that they should publish elsewhere so as to remain compliant with their funders’ open access policies.

You can click through and read the open letter in full below:

If you would like to add your name to the list of signatories, please email info@osc.cam.ac.uk

 

Cambridge University spend on Open Access 2009-2016

Today is the deadline for those universities in receipt of an RCUK grant to submit their reports on the spend. We have just submitted the Cambridge University 2015-2016 report to the RCUK and have also made it available as a dataset in our repository.

Compliance

Cambridge had an estimated overall compliance rate of 76% with 46% of all RCUK funded papers  available through the gold route and 30% of all RCUK funded papers available through the green route.

The RCUK Open Access Policy indicates that at the end of the fifth transition year of the policy (March 2018) they expect 75% of Open Access papers from the research they fund will be delivered through immediate, unrestricted, on‐line access with maximum opportunities for re‐use (‘gold’). Because Cambridge takes the position that if there is a green option that is compliant we do not pay for gold, our gold compliance number is below this, although our overall compliance level is higher, at 76%.

Compliance caveats

The total number of publications arising from research council funding was estimated by searching Web of Science for papers published by the University of Cambridge in 2015, and then filtered by funding acknowledgements made to the research councils. The number of papers (articles, reviews and proceedings papers) returned in 2015 was 2080. This is almost certainly an underestimate of the total number of publications produced by the University of Cambridge with research council funding. The analysis was performed on 15/09/2016.

Expenditure

The APC spend we have reported is only counting papers submitted to the University of Cambridge Open Access Team between 1 August 2015 and 31 July 2016. The ‘OA grant spent’ numbers provided are the actual spend out of the finance system. The delay between submission of an article, the commitment of the funds and the subsequent publication and payment of the invoice means that we have paid for invoices during the reporting period that were submitted outside the reporting period. This meant reconciliation of the amounts was impossible. This funding discrepancy was given in ‘Non-staff costs’, and represents unallocated APC payments not described in the report (i.e. they were received before or after the reporting period but incurred on the current 2015-16 OA grant).

The breakdown of costs indicates we have spent 4.6% of the year’s allocation on staff costs and 5.1% on systems support. We noted in the report that the staff time paid for out of this allocation also supports the processing of Wellcome Trust APCs for which no support is provided by Wellcome Trust.

Headline numbers

  • In total Cambridge spent £1,288,090 of RCUK funds on APCs
  • 1786 articles identified as being RCUK funded were submitted to the Open Access Service, of which 890 required payment for RCUK*
  • 785 articles have been invoiced and paid
  • The average article cost was ~£2008

Caveats

The average article cost can be established by adding the RCUK fund expenditure to the COAF fund expenditure on co-funded articles (£288,162.28)  which gives a complete expenditure for these 785 articles of £1,576,252.42. The actual average cost is £2007.96.

* The Open Access Service also received many COAF only funded and unfunded papers during this period. The number of articles paid for does not include those made gold OA due to the Springer Compact as this would throw out the average APC value.

Observations

In our report on expenditure for 2014 the average article APC was £1891. This means there has been a 6% increase in Cambridge University’s average spend on an APC since then. It should be noted that of the journals for which we most frequently process APCs, Nature Communication is the second most popular. This journal has an APC of £3,780 including VAT.

Datasets on Cambridge APC spend 2009-2016

Cambridge released the information about its 2014 APC spend for RCUK and COAF in March last year and intended to do a similar report for the spend in 2015, however a recent FOI request has prompted us to simply upload all of our data on APC spend into our repository for complete transparency. The list of datasets now available is below.

1. Report presented to Research Councils UK for article processing charges managed by the University of Cambridge, 2014-2015

2. Report presented to the Charity Open Access Fund for article processing charges managed by the University of Cambridge, 2015-2016

3. Report presented to the Charity Open Access Fund for article processing charges managed by the University of Cambridge, 2014-2015

4. Report presented to Jisc for article processing charges managed by the University of Cambridge, 2014

5. Open access publication data for the management of the Higher Education Funding Council for England, Research Councils UK, Charities Open Access Fund and Wellcome Trust open access policies at the University of Cambridge, 2014-2016

Note: In October 2014 we started using a new system for recording submissions. This has allowed us to obtain more detailed information and allow multiple users to interact with the system. Until December 2015 our financial information was recorded in the spreadsheet below. There is overlap between reports 5. and 6. for the period 24 October and 31 December 2015.  As of January 2016, all data is being collected in the one place.

6. Open access publication data for the management of Research Councils UK, Charities Open Access Fund and Wellcome Trust article processing charges at the Office of Scholarly Communication, 2013-2015

Note: In 2013 the Open Access Service began and took responsibility for the new RCUK fund, and was transferred responsibility for the new Charities Open Access Fund (COAF). At this time the team were recording when an article was fully Wellcome Trust funded, even though the Wellcome Trust funding is a component of COAF.

7. Open access publication data for the management of Wellcome Trust article processing charges from the School of Biological Sciences, 2009-2014

Note: Management of the funds to support open access publishing has changed over the past seven years. Before the RCUK open access policy came into force in 2013, the Wellcome Trust funds were managed by the School of Biological Sciences.

Published 14 September 2016
Written by Dr Danny Kingsley & Dr Arthur Smith
Creative Commons License

Promoting Open Access in a department – what works

At Cambridge University, the Open Access team offers a centralised service to help our researchers make their work open access and comply with their funder requirements. But getting researchers to visit www.openaccess.cam.ac.uk and engage with the service is proving to be a challenge. We estimate that only around a third of the University’s journal articles are currently being uploaded within the three-month window allowed by HEFCE.

We’re working hard to publicise the message at our end, but centralised services can’t reach all academics in the same way as their departments and colleges can. If we’re to ensure that as much of the University’s output as possible is available Open Access and eligible for the next REF, some of that work has to happen in departments.

Success story

One of the most successful departments in the University is the MRC Epidemiology Unit, which currently submits more than 80% of its manuscripts on time. We went to talk to Signe Wulund, the administrator there who looks after open access, about what she does and the systems she uses.

Workflows

Click on the thumbnail below to open a high resolution version of the ‘MRC Epidemiology & CEDAR Open Access Process’.

MRC Epidemiology poster 1a

At the heart of her workflow is a detailed knowledge of what the department’s 120-130 researchers are publishing. Authors are encouraged to inform her of any articles accepted for publication and to send her their manuscripts. Frequent reminders in the form of posters, newsletter items and emails make sure they don’t forget.

Papers can be uploaded to www.openaccess.cam.ac.uk by either the academics themselves or by an administrator on their behalf. Since 2013 MRC Epidemiology has had a great deal of success with either Signe or her colleague Karen handling manuscript uploads rather than the authors themselves. The expertise they have developed in the policies and workflows makes the process run extremely smoothly. They also check that the version of the article they’ve been sent is the correct one and that funders have been correctly acknowledged. This all means that by the time we received the manuscript, it’s exactly what we need and we can get back to them with advice and information on any payments as quickly as possible.

Click on the thumbnail below to see a high resolution version of ‘Open Access Process Flowchart – who does what?’

MRC Epidemiology poster 2a

Added benefits

The most valuable aspect to this approach, however, is that it allows Signe to keep centralised records of the department’s publishing output. She maintains a spreadsheet that tracks all the Unit’s known papers, including where they are in the publication process and their open access status. This includes both papers authors have directly notified her about and those which she has found later through other sources like Symplectic.

This has uses well beyond Open Access, but also enables Signe to maintain an organised overview of the department’s output and to chase up any issues that might arise; it also allows the department to follow up with journals and post manuscripts eligible for green Open Access to Europe PubMed Central.

Open Access is strongly backed by the department’s leadership and made part of regular research group leader meetings, with papers included and discussed about open access performance. This maintains high awareness among researchers and allows group leaders to remind or inform colleagues who are not taking the appropriate action.

This is the key advantage that departmental administrators have over a centralised service – the fact that they are a regular part of department life and can reach researchers more directly and more often than the Office of Scholarly Communication can, however many events or presentations we hold.

There are, of course, resource implications. We know that many administrative staff within the University are overstretched. However, the time demands of the work Signe does on open access are not extravagant, and well worth the modest investment.

Take home messages

So the key things that the MRC Epidemiology Unit do that other departments could try to improve their open access rates are:

  • Consistent administrators with responsibility for open access, working on it regularly and so able to develop expertise.
  • Engage with researchers to keep track of departmental publications.
  • Administrators upload articles to Open Access website to increase efficiency.
  • Strong support from departmental leadership.
  • Frequent reminders and publicity about open access, using a variety of means.
  • Open access made a regular part of PI meetings, which can be used to increase engagement with open access.

The impact such measures can have speaks for itself. The MRC Epidemiology Unit’s submission and compliance rates are more than double the University average. But the key thing to note is that such work also needn’t be especially burdensome from a time or resource standpoint. Of course, different departments have different organisational structures, publishing patterns and needs, but many of these approaches are common sense and applicable anywhere.

If you’d like more detailed advice or suggestions for how to promote open access in your own department, please get in touch with us at info@openaccess.cam.ac.uk.

Published 7 March 2016
Written by Dr Philip Boyes

Creative Commons License

 

Open Data – moving science forward or a waste of money & time?

On the 4 November the Research Data Facility at Cambridge University invited some inspirational leaders in the area of research data management and asked them to address the question: “is open data moving science forward or a waste of money & time?”. Below are Dr Marta Teperek’s impressions from the event.

Great discussion

Want to initiate a thought-provoking discussion on a controversial subject? The recipe is simple: invite inspirational leaders, bright people with curious minds and have an excellent chair. The outcome is guaranteed.

We asked some truly inspirational leaders in data management and sharing to come to Cambridge to talk to the community about the pros and cons of data sharing. We were honoured to have with us:

  • PRE_IntroSlide_V3_20151123Rafael Carazo-Salas, Group Leader, Department of Genetics, University of Cambridge
    @RafaCarazoSalas
  • Sarah Jones, Senior Institutional Support Officer from the Digital Curation Centre; @sjDCC
  • Frances Rawle, Head of Corporate Governance and Policy, Medical Research Council; @The_MRC
  • Tim Smith, Group Leader, Collaboration and Information Services, CERN/Zenodo; @TimSmithCH
  • Peter Murray-Rust, Molecular Informatics, Dept. of Chemistry, University of Cambridge, ContentMine; @petermurrayrust

The discussion was chaired by Dr Danny Kingsley, the Head of Scholarly Communication at the University of Cambridge (@dannykay68).

What is the definition of Open Data?

IMG_PMRWithText_V1_20151126The discussion started off with a request for a definition of what “open” meant. Both Peter and Sarah explained that ‘open’ in science was not simply a piece of paper saying ‘this is open’. Peter said that ‘open’ meant free to use, free to re-use, and free to re-distribute without permission. Open data needs to be usable, it needs to be described, and to be interpretable. Finally, if data is not discoverable, it is of no use to anyone. Sarah added that sharing is about making data useful. Making it useful also involves the use of open formats, and implies describing the data. Context is necessary for the data to be of any value to others.

What are the benefits of Open Data?

IMG_RCSWithText_V1_20151126Next came a quick question from Danny: “What are the benefits of Open Data”? followed by an immediate riposte from Rafael: “What aren’t the benefits of Open Data?”. Rafael explained that open data led to transparency in research, re-usability of data, benchmarking, integration, new discoveries and, most importantly, sharing data kept it alive. If data was not shared and instead simply kept on the computer’s hard drive, no one would remember it months after the initial publication. Sharing is the only way in which data can be used, cited, and built upon years after the publication. Frances added that research data originating from publicly funded research was funded by tax payers. Therefore, the value of research data should be maximised. Data sharing is important for research integrity and reproducibility and for ensuring better quality of science. Sarah said that the biggest benefit of sharing data was the wealth of re-uses of research data, which often could not be imagined at the time of creation.

Finally, Tim concluded that sharing of research is what made the wheels of science turn. He inspired further discussions by strong statements: “Sharing is not an if, it is a must – science is about sharing, science is about collectively coming to truths that you can then build on. If you don’t share enough information so that people can validate and build up on your findings, then it basically isn’t science – it’s just beliefs and opinions.”

IMG_TSWithText_V1_20151126Tim also stressed that if open science became institutionalised, and mandated through policies and rules, it would take a very long time before individual researchers would fully embrace it and start sharing their research as the default position.

I personally strongly agree with Tim’s statement. Mandating sharing without providing the support for it will lead to a perception that sharing is yet another administrative burden, and researchers will adopt the ‘minimal compliance’ approach towards sharing. We often observe this attitude amongst EPSRC-funded researchers (EPSRC is one of the UK funders with the strictest policy for sharing of research data). Instead, institutions should provide infrastructure, services, support and encouragement for sharing.

Big data

Data sharing is not without problems. One of the biggest issues nowadays it the problem of sharing of big data. Rafael stressed that with big data, it was extremely expensive not only to share, but even to store the data long-term. He stated that the biggest bottleneck in progress was to bridge the gap between the capacity to generate the data, and the capacity to make it useful. Tim admitted that sharing of big data was indeed difficult at the moment, but that the need would certainly drive innovation. He recalled that in the past people did not think that one day it would be possible just to stream videos instead of buying DVDs. Nowadays technologies exist which allow millions of people to watch the webcast of a live match at the same time – the need developed the tools. More and more people are looking at new ways of chunking and parallelisation of data downloads. Additionally, there is a change in the way in which the analysis is done – more and more of it is done remotely on central servers, and this eliminates the technical barriers of access to data.

Personal/sensitive data

IMG_FRWithText_V1_20151126Frances mentioned that in the case of personal and sensitive data, sharing was not as simple as in basic sciences disciplines. Especially in medical research, it often required provision of controlled access to data. It was not only important who would get the data, but also what they would do with it. Frances agreed with Tim that perhaps what was needed is a paradigm shift – that questions should be sent to the data, and not the data sent to the questions.

Shades of grey: in-between “open” and “closed”

Both the audience and the panellists agreed that almost no data was completely “open” and almost no data was completely “shut”. Tim explained that anything that gets research data off the laptop to a shared environment, even if it was shared only with a certain group, was already a massive step forward. Tim said: “Open Data does not mean immediately open to the entire world – anything that makes it off from where it is now is an important step forward and people should not be discouraged from doing so, just because it does not tick all the other checkboxes.” And this is yet another point where I personally agreed with Tim that institutionalising data sharing and policing the process is not the way forward. To the contrary, researchers should be encouraged to make small steps at a time, with the hope that the collective move forward will help achieving a cultural change embraced by the community.

Open Data and the future of publishing

Another interesting topic of the discussion was the future of publishing. Rafael started explaining that the way traditional publishing works had to change, as data was not two-dimensional anymore and in the digital era it could no longer be shared on a piece of paper. Ideally, researchers should be allowed to continue re-analysing data underpinning figures in publications. Research data underpinning figures should be clickable, re-formattable and interoperable – alive.

IMG_DKWithText_V1_20151126Danny mentioned that the traditional way of rewarding researchers was based on publishing and on journal impact factors. She asked whether publishing data could help to start rewarding the process of generating data and making it available. Sarah suggested that rather than having the formal peer review of data, it would be better to have an evaluation structure based on the re-use of data – for example, valuing data which was downloadable, well-labelled, re-usable.

Incentives for sharing research data

IMG_SJWithText_V1_20151126The final discussion was around incentives for data sharing. Sarah was the first one to suggest that the most persuasive incentive for data sharing is seeing the data being re-used and getting credit for it. She also stated that there was also an important role for funders and institutions to incentivise data sharing. If funders/institutions wished to mandate sharing, they also needed to reward it. Funders could do so when assessing grant proposals; institutions could do it when looking at academic promotions.

Conclusions and outlooks on the future

This was an extremely thought-provoking and well-coordinated discussion. And maybe due to the fact that many of the questions asked remained unanswered, both the panellists and the attendees enjoyed a long networking session with wine and nibbles after the discussion.

From my personal perspective, as an ex-researcher in life sciences, the greatest benefit of open data is the potential to drive a cultural change in academia. The current academic career progression is almost solely based on the impact factor of publications. The ‘prestige’ of your publications determines whether you will get funding, whether you will get a position, whether you will be able to continue your career as a researcher. This, connected with a frequently broken peer-review process, leads to a lot of frustration among researchers. What if you are not from the world’s top university or from a famous research group? Will you be able to still publish your work in a high impact factor journal? What if somebody scooped you when you were about to publish results of your five years’ long study? Will you be able to find a new position? As Danny suggested during the discussion, if researchers start publishing their data in the ‘open”’ there is a chance that the whole process of doing valuable research, making it useful and available to others will be rewarded and recognised. This fits well with Sarah’s ideas about evaluation structure based on the re-use of research data. In fact, more and more researchers go to the ‘open’ and use blog posts and social media to talk about their research and to discuss the work of their peers. With the use of persistent links research data can be now easily cited, and impact can be built directly on data citation and re-use, but one could also imagine some sort of badges for sharing good research data, awarded directly by the users. Perhaps in 10 or 20 years’ time the whole evaluation process will be done online, directly by peers, and researchers will be valued for their true contributions to science.

And perhaps the most important message for me, this time as a person who supports research data management services at the University of Cambridge, is to help researchers to really embrace the open data agenda. At the moment, open data is too frequently perceived as a burden, which, as Tim suggested, is most likely due to imposed policies and institutionalisation of the agenda. Instead of a stick, which results in the minimal compliance attitude, researchers need to see the opportunities and benefits of open data to sign up for the agenda. Therefore, the Institution needs to provide support services to make data sharing easy, but it is the community itself that needs to drive the change to “open”. And the community needs to be willing and convinced to do so.

Further resources

  • Click here to see the full recording of the Open Data Panel Discussion.
  • And here you can find a storified version of the event prepared by Kennedy Ikpe from the Open Data Team.

Thank you

We also wanted to express a special ‘thank you’ note to Dan Crane from the Library at the Department of Engineering, who helped us with all the logistics for the event and who made it happen.

Published 27 November 2015
Written by Dr Marta Teperek
Creative Commons License

Where to from here? Open Access in Five Years

As part of the Office of Scholarly Communication Open Access Week celebrations, we are uploading a blog a day written by members of the team. Thursday is a piece by Dr Arthur Smith looking to the future.

Introduction

Academic publishing is not what it used to be. Open access has exploded on the scene and challenged the established publishing model that has remained largely unchanged for 350 years. However, for those of us working in scholarly communications, the pace of change feels at times frustratingly slow, with constant roadblocks along the way. Navigating the policy landscape provided by universities, funders and publishers can be maddening, yet we need to remain mindful of how far we have come in a relatively short time. There is no sign that open access is losing momentum, so it’s perhaps instructive to consider the direction we want open access to take over the next five years, based upon the experiences of the past.

So how much is the University of Cambridge publishing and is it open access? Since 1980, according to Web of Science, the University’s publications increased from 3000 articles per year to more than 11,000 in 2014 (Fig. 1). Over the same period the proportion of gold open access articles rose steadily since first appearing on the scene in the late 1990s. Thus far in 2015 nearly one in ten articles is available gold open access, although this ignores the many articles available via green routes.

image02

Fig. 1. Publications at the University of Cambridge since 1980 according to WoS (accessed 14/10/2015).

 

The HEFCE policy

By far the most important development for open access in the UK has been the introduction of HEFCE’s open access policy. As the policy applies to all higher education institutions it affects every university researcher in the UK. While the policy doesn’t formally start until April 2016, so far progress has been slow (Fig. 2). We believe that less than a third of all the University’s articles that are published today are currently compliant with the HEFCE policy, and despite a strong information campaign, our article submission rate has stagnated at around 250 articles per month, well off the monthly target of 930.

image03 image04

Fig. 2. Publications received to the University of Cambridge open access service. The target number of articles per month is 930.

It’s understandable that some papers will fall through the cracks, but even for high impact journals many papers still don’t comply with the policy. But let’s be clear, aside from any policy compliance issues and future REF eligibility, these numbers reveal that fully two thirds of research papers produced at the University cannot be read without a journal subscription. And if readers can’t afford to pay for access then they’ll happily find other means of obtaining research papers.

What about inviting authors to make their research papers open access? Since June I have tracked five high impact journals and monitored the papers published by University of Cambridge authors (Fig. 3). Upon first discovery of a published paper, only 29% of articles were compliant with the HEFCE policy, which is consistent with our overall experience in receiving AAMs. But even after inviting authors to submit their accepted manuscripts to the University’s open access repository, the number of compliant articles rose to only 42%. Less than a third of authors who were directly contacted and asked to make their work open access eventually submitted their manuscripts. Clearly, the merits of open access are not enough to convince authors to act and distribute their manuscripts.

image03

Fig. 3. Compliant articles published in five high impact journals. Even after direct intervention less than half of all articles are HEFCE compliant.

SCOAP³

The SCOAP3 initiative is a publishing partnership that makes journals in the field of particle physics open access. This innovative scheme brings together multiple universities, funders and publishers and turns traditional journals, that are already widely respected by the physics community, into purely open access journals. No intervention is required by either authors or university administrators, making the process of publishing open access as simple as possible. The great advantage of this scheme is that authors don’t need to worry about choosing an open access option from the publisher, nor deal with messy invoices or copyright issues. All of these problems have been swept away.

Jisc Springer Compact

Like SCOAP3 the recently announced Jisc Springer Compact is a coalition of universities in the UK that have agreed a publishing model with Springer that makes ~1600 journals open access. Following a similar Dutch agreement, this publishing model means that any authors with qualifying institutional affiliations will have their publications made open access automatically. We’ve already started receiving our first requests under this scheme. However, unlike the SCOAP3 initiative which ‘flips’ entire journals to gold OA, the journals under the UK Jisc Springer Compact are still hybrid and only content produced by qualifying authors is open access. While this is great for those universities signed up to the deal, it still leaves a great many papers languishing under the subscription model.

Affiliation vs. Community

So which of these strategies will prove to the most successful? Will universities take ownership of open access publishing or will subject based communities come together in publishing coalitions.

The advantage of subject based initiatives is they flip entire journals for the benefit of a whole research community, making all the work within a specific discipline open access. However, without sufficient cohesion and drive within an academic community it’s likely that adoption will be fragmented across the myriad of disciplines. It’s no surprise that SCOAP3 emerged out of the particle physics community, given this scholarly community’s involvement in the development of arXiv, but it’s unrealistic to expect this will be the case everywhere.

Publishing agreements based around institutional affiliations will undoubtedly become more common, but until all universities have agreements in place with all the major publishers (Elsevier, Wiley, Springer, etc.) then a large fraction of scholarly outputs will still remain locked down.

What does the future hold?

Ultimately I want to do myself out of a job. As odd as that sounds, the current system of paying publishers for individual papers to be made open access is a laborious and time consuming process for authors, publishers and universities. Similarly the process of making accepted manuscripts available under the green model is equally ridiculous. Publishers should be automatically depositing AAMs on behalf of authors. There is no evidence that making AAMs available has ever killed a journal, and besides, the sooner we can reach agreements with all the major publishers and research funders that result in change on a global scale the better it will be for everyone.

Published 22 October 2015
Written by Dr Arthur Smith
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A Day in the Life of an Open Access Research Adviser

As part of the Office of Scholarly Communication Open Access Week celebrations, we are uploading a blog a day written by members of the team. Monday is a piece by Dr Philip Boyes reflecting on the variety of challenges of working in the Open Access team.

As anyone working in it knows all too well, Open Access can be a complicated field, with multiple policies from funders, institutions and publishers which can be complex, sometimes obscure and sometimes mutually contradictory. While we’re keen to raise awareness of and engagement with Open Access issues, the University of Cambridge’s view is that expecting academics to get to grips with all this themselves would represent an unreasonable demand on their time and likely lead to errors and resentment.

Instead, Cambridge’s policy is that authors should simply send us their Accepted Manuscript at acceptance through our simple upload system and our team of Research Advisers will check out exactly what they need to do to comply with all the relevant funder and journal policies and get back to them with individually-tailored advice. The same system also allows us to take care of deposit into the repository for HEFCE and to manage payments from the block grants we’ve received from the UK Research Councils (RCUK) and the Charities Open Access Fund (COAF – seven biomedical charities, including the Wellcome Trust).

The idea is that from the academic’s point of view the process feels smooth and seamless. But the reality is that very little of the process is automated. Behind the scenes there’s a lot of (thankfully metaphorical) running around by our team of three Open Access Research Advisers to provide this service, as well as working on broader issues of communication, processing APCs and improving our systems.

So what does a Cambridge Open Access Research Adviser do all day? Here’s a typical day in the life…

8.45am- Getting started

Arriving in the office, I check my emails and look at the Open Access Helpdesk. Overnight we’ve received around 15 new tickets, as well as some further correspondence on existing ones. Fairly typical. It’s split between manuscript uploads that need advice, general queries and invoicing correspondence from publishers. I start working through these on a first-come-first served basis.

They’re a real mixed bag. If a submitted article is straightforward we can deal with it in a few minutes – we check the journal site for their green and gold options and then advise the author on which is appropriate in each case. We also flag the manuscript for deposit into our repository – at the moment that’s a manual process and is mostly handled by temps.

Today things aren’t straightforward. A lot of the submissions are conference proceedings and there’s very little information on the conference websites. It’s not even clear whether some of these are being formally published (does private distribution on memory stick count? Do they have ISBNs or ISSNs?) It’s going to be a slow morning of chasing up authors and conference organisers for any information they have.

 10.00am – Complexity

I’m more or less through the conference proceedings, but we’re not through with complex cases. One of the invoices we’ve received is for an article we’ve not heard about before. It’s from a senior professor but he’s never submitted it to the open access service so we weren’t able to advise him on policy or eligibility for block grant funds. He selected the gold option for a Wellcome-funded correspondence article and now wants us to pay the $5000 + VAT bill. The trouble is, letters aren’t covered by the Wellcome policy so technically it isn’t eligible. I contact the author and break the news that he might have to pay this large bill himself and that this is why we like people to contact us first.

 11.00am – Clarity

The professor has got back to us. Although the journal’s classed it as a letter, the paper’s actually a very short research article, he says. I decide to contact Wellcome for guidance and let them decide whether they want this to be paid for from the COAF block grant.

 11:30am – Deja-vu

For the moment the backlog on the helpdesk has been cleared and our temps are busy adding manuscripts to the repository and updating previously-added articles with citation details and embargo end-dates. I have a bit of free time to move on to something else so begin to tackle the stack of publisher APC invoices that need processing.

They’re mostly correct, but some publishers and invoicing companies are better than others. Inevitably there are a few errors that need chasing up or publishers who have invoiced us repeatedly for the same thing. Among the stack is an overdue notice from a major publisher for a familiar article. It’s one we’ve repeatedly confirmed was paid fully almost two years ago but every few months ever since the publisher has told us it’s outstanding. I send them back the payment reference and details yet again and ask them to mark the issue as resolved. I somehow suspect we’ll be seeing it again.

 2.00pm – Presentation

Today offers a welcome opportunity to get out of the office. We’re holding a joint Open Access/Open Data presentation to researchers in one of the University’s departments to try and increase awareness of the policies. Our stats show that this department has particularly low engagement with the Open Access service so we’re keen work out why. It’s a fractious crowd. One or two people are keen Open Access advocates and speak up to say how simple the system is, but some others are vocal about their view that it’s an unwarranted burden and tell us they don’t see why they should bother.

We try to explain the benefits and funder mandates, as well as how we’ve tried to make the system as simple as possible. When we get back to the office we find that one of those present has sent us their back-catalogue of thirty articles stretching back to 2007 to put into the repository.

 4.00 – Compliance

While my colleagues work on the helpdesk I need to turn my attention to compliance and reporting. All too often when we’ve paid an APC the publisher hasn’t delivered Open Access with the correct licence, or in some cases at all. I generally try to do a weekly check of the articles for which we’d paid APCs to see whether they’ve been published correctly but it’s time-consuming and things have been busy lately. It’s been around three weeks since the last check so it really needs doing.

But the deadline is also fast approaching for annual reports to RCUK and COAF. These are both large and complex, and cover slightly different periods (and different again from the Jisc report a couple of months ago). It’s proving a major challenge to get the information together from our various systems and to match it to the relevant figures from the University Finance System. I decide to let the compliance checking wait a bit longer and work on trying to move things along on the reports. I make a bit of progress, but there’s still a huge amount left to do – information on thousands of articles that needs to be manually collated. With luck in the future we’ll have integrated systems that can do much of this automatically, but for now each report represents weeks of work.

Wrap up

There is, then, a huge variety and amount of work that goes into the Open Access service. The Helpdesk and the reporting alone would be more than enough to keep us busy, but we also have to make time for outreach and communications, managing the finances, improving our systems and more. We’re finding that as our team grows, we’re starting to specialise more into particular areas, but we’re still basically all generalists, working on all areas of the job. This balance between specialisation for the purposes of efficiency and the need for individuals to be able to move effectively from one task to another – not least to keep our jobs interesting and varied – is one that’s likely to become ever more challenging as the volume of articles we handle increases.

Published 19 October 2015
Written by Dr Philip Boyes
Creative Commons License

A review of the RCUK review of implementation of its OA policy

The RCUK released its ‘Review of the implementation of the RCUK Policy on Open Access’ today and it makes interesting reading. First I should state that I think this is a good report, it seems well researched and balanced in tone and it is well written and laid out. Jisc also welcomes the report.

Overall findings

It seems that a ‘common factor’ amongst all of the people and groups interviewed was ‘a general acceptance and welcome given to the concept of open access’. However, the administrative effort to implement the policy and distribute the funds is significant. This is not helped by a level of confusion about different funding policies, particularly relating to embargo length, licence usage and expectations of data collection for compliance monitoring.

Not only is this an administrative problem but it is ‘leading to researchers ultimately not engaging with open access at all as it was perceived as being ‘too difficult’.’ (p16) Certainly there have been instances of this view expressed by researchers at Cambridge University.

This blog will concentrate on a few aspects of the review I thought interesting – support or otherwise of hybrid, reporting issues, non-compliance amongst publishers, lack of awareness amongst researchers and licenses. It finishes with an observation that the review validates some of the decisions Cambridge has made in relation to implementing the RCUK policy.

I should note the review includes some interesting information about learned societies, embargo periods and monographs but these are big issues that need teasing out on their own.

Supporting hybrid

As the Wellcome Trust found in their recent analysis of open access spend in 2013/2014 the RCUK reported that the amount charged for APCs for hybrid open access continue to be ‘consistently more expensive’ than fully OA journals, ‘despite the fact that hybrid journals still enjoyed a revenue stream through subscriptions’.

The review recommended that this should be monitored and ‘if these costs show no sign of being responsive to market forces, then a future review should explore what steps RCUK could take to make this market more effective’ (p25).

The reported amounts being spent on APCs are also interesting. The average APC paid during the first year, at £1,600 inc VAT was £472 less than the average APC assumed by the Finch Group, which was used as a proxy when calculating the size of the RCUK block grant (£1,727 + VAT = £2,072) (p11). While this in itself is not surprising as the amount quoted in the Finch report was seen to be high by open access advocates at the time, it is interesting to note that the average APC paid by Cambridge in 2014 was higher than the average quoted in the review at £1891.63.

Despite this large amount of money being spent on APCs, publishers offering hybrid – not the fully open access publishers, it should be noted – ’questioned’ level of the block grant currently offered by RCUK. These publishers expressed the view that the block grant ‘was too low to properly fund the transition to gold. Publishers felt that the transition to full gold open access publishing would be successful only if it was fully funded’ (pp15-16). It does beg the question as to what ‘fully funded’ means in this context.

Researcher awareness

Researchers appear to remain unaware of the tsunami that is occurring in scholarly communication. By centralising the payment of APCs we once again have a situation where researchers are divorced from the economic realities of publishing, in the same way libraries have traditionally been the foil between the economics of subscriptions and the access to the materials.

This concern is supported by the review’s observation that: ‘There is little evidence to suggest that the introduction 
of the RCUK policy had much of an impact on author behaviour, with publishers reporting that authors did not seem to be changing their choices on where to publish.
’ (p15)

If anything it has had a negative effect where ‘RCUK’s preference for gold has therefore been, at times, seen as a barrier to implementation and ‘buy-in’ from various communities across the disciplines’(p26). Anecdotally we are seeing this happening at Cambridge.

The review did note that ‘further transparency on what is being paid in APCs by institutions to publishers will be crucial in helping to change behaviours and ease the transition towards open access’.

Reporting issues

The review noted at several stages that there have been difficulties with collecting data and that they ‘have been more reliant on opinion than perhaps
 we might have liked to at the outset of the review’ (p4). They acknowledge the process would have been assisted greatly if there had been some standardisation in what the RCUK was asking for as the ‘template was, understandably, interpreted in a variety 
of ways’ (p9) I should note that Jisc is attempting to standardise the reporting.

When Cambridge was asked to report on compliance levels for the RCUK we were hampered by our inability to articulate the complete number of articles being published that have been funded  by RCUK. The review recognises that this was a widespread problem, particularly in ‘larger, distributed institutions (such as the research intensive universities)’. (p9). Many institutions provided estimates for the compliance reporting.

The review also looked at the (substantial) costs associated with collecting this data and noted that publishers could help given that the sources of data held by publishers ‘would be administratively simpler to collect’ (p10).

Not only could publishers reduce the costs of compliance by providing data, but, the review noted that  ‘complexities in working with publishers [was] one of the areas that had generated considerable administrative effort’ (p21). The problems include initial negotiations and ensuring that licences and invoicing were correct. The cost for this is borne by authors, library and administrative staff and the finance team.

Non compliant publishers

This then moves the focus to the compliance of publisher – which can be taken in a couple of ways. First, the review panel looked at how 
the publishers had helped institutions and researchers to comply with the policy by ensuring that their journals were ‘compliant’ (p11).

It seems that a considerable amount of funded research where an APC has been paid is not compliant with the RCUK policy because the license is not a CC-BY license. For example Elsevier stated that around 40% of the articles from RCUK funding that they had published gold were not under the CC-BY licence and are therefore not compliant with the policy. The American Society of Plant Biologists noted that its journal was not compliant as it did not offer the CC-BY licence and that was unlikely to change in the near future (p19).

Other publishers offer more than one type of license which makes it confusing for the authors, indeed  there was clear evidence that some publishers were offering a choice of licences, even when they knew that the author was RCUK-funded..

The question of publishers not making articles available even after an APC was paid was not singled out in the report but is implied in a  few of the statements in the review, particularly in the institutions having to double check if work is available post publication. This is an area which needs further analysis.

Licensing

The issue of the CC-BY licenses was a recurrent theme in the review. Many arts, humanities and social science disciplines hold ‘principled and practical objections to the use of CC-BY licences’ (p18). This is partly because work under a CC-BY license ‘could be both used commercially in ways of which the author does not approve and also might not be properly acknowledged as their work’ (pp19-20).

This does demonstrate a lack of full understanding of what a CC-By license allows, but  this is not surprising as  ‘Many publishers … reported a significant number of researchers were signing licence agreements without understanding what they were signing’ (p19).

Also highlighted in evidence was an issue with third
party copyright in that some rights owners (for example, image libraries) are reluctant to license material for digital reproduction, let alone for reproduction in an article that
is published under a CC-BY licence.

Support for the University of Cambridge approach

It was heartening to read of a couple of areas that support the position that Cambridge University has taken towards the implementation of the RCUK and HEFCE policies.

The review mentioned visits to institutions and noted how long it takes 
for researchers to learn about open access including the requirements, expectations and processes they need to follow. ‘One senior researcher commented that it had taken a full half a day to learn about open access.’ At Cambridge University we have taken a very soft touch approach to the researcher who simply has to fill in a few fields and upload a file through a simple interface and the Open Access team takes care of the rest.

Cambridge University has also taken a ‘first in best dressed’ approach to expenditure of the block grant. This seems to have been a good decision as the review has noted that there were concerns raised within both written and oral evidence that where institutions had distributed the block grant by department or faculty, as it had a detrimental impact on some disciplines.

About the review

The review covered the period from April 2013 to July 2014. When the RCUK policy was announced they did say that there would be a review within a year, however there was a need for a full year of implementation before they collected the data so hence the delay.

Chaired by an independent researcher, Professor Sir Robert Burgess, the review panel consisted of ‘knowledgeable members of the various communities and sectors with an interest in the policy and open access’. The evidence collected was through over 80 submissions,  some verbal evidence and a small number of visits to institutions to talk informally with researchers, librarians and institutional administrative staff about their experiences of implementing the policy.

The report mentions on no fewer than three occasions that it is a review of the policy implementation not a debate on the merits of open access.

The next planned review will be in 2016.

Published 26 March 2015
Written by Dr Danny Kingsley
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