Open Access (OA) Policy for published research for published - - PowerPoint PPT Presentation

Open Access (OA) Policy

for published research for published research Westminster Higher Education Forum Westminster Higher Education Forum Royal Society, 5 February 2013

Ron Egginton OBE CEng MBA MIMechE BSc R h F di U it/R h B Di t t BIS Research Funding Unit/Research Base Directorate BIS

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Scope

• Rationale for Open Access (OA)

Rationale for Open Access (OA)

• Policy Formulation – the Finch Group
• Government Policy – the Response to Finch

Government Policy the Response to Finch

• International Considerations
• Implementation Process
• Implementation Process
• Future Steps

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Rationale: Role of Research & Development

• R&D is the most cited metric of innovation in an economy.

y

• Important for many innovative processes.
• Easy to compare across industries and countries.
• Important in technology-intensive sectors but benefits low-

and medium-tech industries which technology supports. I th UK i 2010 61% f ll R&D f d b

• In the UK in 2010, 61% of all R&D was performed by

businesses, with 27% occurring in higher education, 9% in government and the remainder in private non-profit. g p p

(https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/34805/12-p188-annual-innovation-report- 2012.pdf)

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Gross Expenditure on R&D by Sector of Performance, (GERD) 2010

100% 80% 40% 60% 20% 0%

Canda Finland France Germany Italy Japan UK USA (2009) Business Enterprise Higher education Government Private Non-profit

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GERD as a percentage of GDP, 1991 – 2010 – UK Lags Finland, Japan, US, Germany, France.

4% 3% 2% 1% 0%

1 9 9 1 1 9 9 2 1 9 9 3 1 9 9 4 1 9 9 5 1 9 9 6 1 9 9 7 1 9 9 8 1 9 9 9 2 2 1 2 2 2 3 2 4 2 5 2 6 2 7 2 8 2 9 2 1

Canada Finland France Germany Italy Japan UK USA (to 2009)

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Rationale:Economic Case for Research and Open Access

• Social Rate of Return from Academic Research, Mansfield 1990,

‘Academic Research and Industrial Innovation’ for seven sectors was estimated to be about 28 per cent.

(http://www mba intercol edu/Entrepreneurship/UT%20Computer%20Science%20Course/Academic Research and In (http://www.mba.intercol.edu/Entrepreneurship/UT%20Computer%20Science%20Course/Academic_Research_and_In dustrial_Innovation.pdf)

• U.S. Dept of Agriculture “Economic Returns to Public Agricultural

Research” 2007 (http://www ers usda gov/publications/eb economic brief/eb10 aspx ) Research 2007 (http://www.ers.usda.gov/publications/eb-economic-brief/eb10.aspx )

• For 35 studies published over 1965-2005 Professors Wallace Huffman

and Robert Evenson found the median SRR in agriculture was 45 percent.

• Implies that each dollar spent on agricultural research returned about

$10 h f b fi h $10 worth of benefits to the economy.

• Human Genome programme (Battelle) generated $140 to the economy

f $1 h d b fit d f OA for $1 on research and benefited from OA. (http://battelle.org/docs/default-

document-library/economic_impact_of_the_human_genome_project.pdf)

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Rationale: Importance of Higher Education Institutions

• Engagement with business is important to UK universities -

income won from business, charities and other sources was £3.3bn in 2010-11.

• World Economic Forum evaluation ranks UK 2nd in the

ld h d f th US f i it i d t ll b ti world, ahead of the US, for university-industry collaboration in R&D – a notable competitive advantage for the UK. Translating knowledge from the research base to

• Translating knowledge from the research base to

innovative companies is essential and complementary.

• Government’s role is to provide the right framework in
• Government s role is to provide the right framework in

which HEIs operate and collaborate with business, but HEIs are best placed to know how to adapt to challenges. p p g

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Rationale: Conclusion

• UK GERD is lower than our main competitor countries.
• A relatively large proportion of the research that we do in the

UK i i hi h d i h i i i UK is in higher education – hence it is even more important.

• We need to fully exploit publicly funded research undertaken

in higher education through the greatest communication and in higher education through the greatest communication and use of published research.

• Open Access (OA) to publicly funded research is

p ( ) p y strategically important for the UK.

• OA needs to be established in the most effective way.

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Policy Formulation: Scene Setting

• Government’s transparency agenda across all of its
• perations to be publicly accountable.

p p y

• Complicated by Open Access (OA) policy being

simultaneously developed in the UK, Europe and US – but thi i t it ll this is an opportunity as well.

• OA policy formulation is through various complementary

routes with complementary consideration of administrative routes with complementary consideration of administrative data, research publications and research data.

• Government’s Innovation & Research Strategy (Finch,

Administrative Data and the ‘Gateway to Research’).

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Policy Formulation: Innovation and Research Strategy E di A t R h P bli ti d D t

“The Government, in line with our overarching commitment to

Expanding Access to Research Publications and Data , g transparency and open data, is committed to ensuring that publicly-funded research should be accessible free of h F d t t f d d

• charge. Free and open access to taxpayer-funded

research offers significant social and economic benefits by spreading knowledge raising the prestige of UK research spreading knowledge, raising the prestige of UK research and encouraging technology transfer.”

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Policy Formulation: Process Followed in the UK David Willetts’ Roundtable: Access to Research

• David Willetts Roundtable: Access to Research

Publications March 2011.

• Janet Finch’s independent ‘Expanding Access to Published

Janet Finch s independent Expanding Access to Published Research Findings’ Working Group first met October 2011.

• Innovation and Research Strategy December 2011
• Finch Report published in June 2012.
• Royal Society “Science as an Open Enterprise’ published

i J 2012 in June 2012.

• Open Data White paper June 2012
• Government Response to Finch in July 2012
• Government Response to Finch in July 2012.
• “Gateway to Research” – beta version released in

December 2012 (see http://www.rcuk.ac.uk/research/Pages/gtr.aspx. ) (

p g g p )

• Administrative Data Task Force report - December 2012.

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Policy Formulation: Finch Group

• Terms of Reference

Terms of Reference

– To expand access to published research, independent of Government but directly linked to Government’s strategy, focused on publications not data, collaborative and consensus building.

• Membership

Libraries Publishers Learned Societies Welcome HEFCE – Libraries, Publishers, Learned Societies, Welcome, HEFCE, RCUK, Universities, RIN (Secretariat)

• Key Recommendations

– Ten recommendations all accepted apart from removing VAT p p g

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Policy Formulation: Issues to be Considered

• Balancing Access to Research, Publishing Industry,

Learned Society and Political Objectives.

• International considerations (Europe, U.S. and RoW).
• Hargreaves considerations.
• FOI (Freedom of Information) MoJ developments.
• Rapid growth in Data – relationship to OA for published

research.

• Rate of Change
• Journey – Towards a Business model able to promote

Open Access (OA) in a sustainable way.

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Government Policy: Response to Finch

• Accepted all Recommendations (except for VAT issue –

Accepted all Recommendations (except for VAT issue VAT an EU requirement for electronic publications) See

https://www.gov.uk/government/news/government-to-open-up-publicly-funded-research .

• RCUK and Government emphasis on Gold OA

(advantages of immediate access to published version, full search and use capability if CC-BY licence is applied), but Green OA, involving an embargo period, is acceptable.

• Embargo periods should be six months for science and

technolog /12 months for arts and h manities b t UK technology /12 months for arts and humanities, but, UK policy allows, where funds for Article Processing Charges (APCs) are not available 12/24 months respectively and (APCs) are not available, 12/24 months respectively and possibly longer, when balanced against the public interest).

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Implementation Process: RCUK Implementation

• Envisage the ‘mixed economy’ for OA for some time as

referred to in the Finch Report.

• To accelerate the shift to Gold OA, block funding will be

provided by the Research Councils to research institutions t ll th t t P bli ti F d Thi ill to allow them to create Publication Funds. This will incentivise uptake of Gold OA from April 2013. Option for researchers to utilise the less effective ‘Green

• Option for researchers to utilise the less effective Green

OA’ remains.

• Decision on how to publish on an OA basis will be for
• Decision on how to publish on an OA basis will be for

researchers and their institutions.

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Implementation Process: RCUK Implementation

• Government’s strong preference for Gold has already been

made clear in part through the release of an additional one-

• ff £10million to the Research Councils in summer 2012 to
• ff £10million to the Research Councils in summer 2012 to

‘kick start’ the transition to Gold OA.

• This is serving to ‘pump-prime’ the formation of 30
• This is serving to pump-prime the formation of 30

Publication Funds and establish best practice (such as through the Centre for Research Communications see g

http://crc.nottingham.ac.uk/ . )

• Research Councils will allocate systemic funds (£17 million

in 2013/14 and £20 million in 2014/15) from existing in 2013/14 and £20 million in 2014/15) from existing budgets and monitor compliance with Green and Gold OA.

• RCUK will undertake a review in 2014 and will adjust future

RCUK will undertake a review in 2014 and will adjust future financial allocations for Publication Funds accordingly.

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Government Policy: Implications

• On a journey five year transition (RCUK review in 2014)

On a journey, five year transition (RCUK review in 2014).

• Increased number of OA papers available for the public,

students, researchers and business (contributing to ‘open , ( g p innovation’ and economic growth).

• Increased recognition and citations for UK research.
• UK and global ‘spill over’ beneficiaries including developing

countries (DFID now have an OA policy).

• Complements the UK’s ‘Gateway to Research’ – access to

researchers, strengthens dialogue, evidence for the REF.

• Strengthens UK’s research standing - inward investment.
• Re-engineering of HEI/researcher to publisher process.
• Opportunity cost to research (about one per cent).
• Challenges for some publishers, but there is time to adjust.

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International Considerations: European Aim Horizon 2020 and 2030 Vision

• Open Access (OA) is consistent with the November 2007

EU Council Conclusion on ‘Scientific Information In The Digital Age: Access Dissemination and Preservation’ Digital Age: Access, Dissemination and Preservation .

• Europe’s aim is to create a flourishing digital economy and

Open Access will be a requirement for research published Open Access will be a requirement for research published under Horizon 2020 (which starts in 2014).

• Open Access pilot, FP7 grant recipients are expected to…

“make their best effort to ensure Open Access to these articles within either 6 months (health, energy, environment, information and communication technologies, environment, information and communication technologies, research infrastructures) or 12 months (science in society, socioeconomic sciences and humanities) after publication”.

• EC Recommendation on Open Access for Horizon 2020 for

which BIS produced an Explanatory Memorandum.

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International Considerations: U.S. Developments

• Research Works Act Abandoned (‘Academic Spring’)
• National Institutes of Health (NIH) will no longer tolerate

( ) g grantees who fail to submit manuscripts reporting the results of NIH-funded research to an open-access (OA) it th ’ 4 ld OA li repository, as per the agency’s 4-year-old OA policy.

• Spring 2013, NIH will delay funding grants if any of the

papers tied to the research it supports are out of papers tied to the research it supports are out of compliance with NIH OA policy.

• Papers resulting from NIH funded work must be submitted
• Papers resulting from NIH-funded work must be submitted

to PubMed Central within 12 months of publication. Previously, OA policy was only loosely enforced, if at all. y, p y y y ,

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International Considerations: Global Trends in OA for Published Scientific Articles

• Austria, Germany, Australia.

O A bli h d 22 O t b 2012

• Open Access paper published on 22 October 2012

“Anatomy of open access publishing: a study of longitudinal development and internal structure.” See g p

http://www.biomedcentral.com/1741-7015/10/124 , Mikael Laakso and Bo-Christer Bjork.

• OA represented 340,000 of the 1.66 million articles

published during 2011 (according to Scopus) published during 2011 (according to Scopus).

• So 17 per cent OA, 11 per cent “Gold” six per cent ”Green”.
• 56,000 social sciences, arts and humanities articles (2011).

, , ( )

• OA has grown from a base of 20,000 OA articles in 2000.
• Europe 37 per cent, N. America 19 percent and Asia 25

per cent per cent.

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International Considerations: Open Knowledge and GDP

• The Open Knowledge Index is a composite indicator that

“captures three dimensions of knowledge”.

• Based on: capability (access to knowledge), legislation

(availability of knowledge), and open society (effective use of knowledge and feedback) knowledge and feedback).

• Data from the Open Economics group show that there is a

positive relationship between their open knowledge index and GDP per capita. Richer countries have higher scores in the open knowledge index (see http://blog.okfn.org/2011/08/26/introducing-the-open-knowledge-index/ ). Co ntries ith lo er GDP per capita s ch as India China

• Countries with lower GDP per capita such as India, China,

Turkey, Mexico, Brazil, Chile and Russia present lower scores in the Open Knowledge Index compared to richer countries like p g p Germany, South Korea, Norway or Luxembourg.

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International Considerations: Open Knowledge and GDP Correlation

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Implementation Process: UK’s Published Decision Tree

This flow diagram below was drawn up by the Publishers Association in consultation with BIS and RCUK This flow diagram below was drawn up by the Publishers Association in consultation with BIS and RCUK and is on the Publishers Association website and available from the Gov.UK website. http://www.bis.gov.uk/news/topstories/2012/Jul/government-to-open-up-publicly-funded-research . Research publicly funded?

Research publicly funded? Research publicly funded? Research publicly funded? Yes

Yes No

No Gold OA option available from your publisher?

Gold OA option available from your publisher? Yes

• r the image may have been corrupted. Restart your computer, and then open the file again. If the

Yes No

No Are APC funds available from research funder?

Are APC funds available from research funder? Green OA after 6 months (AHRC/ ESRC after 12 months)

Green OA after 6 months (AHRC/ ESRC after 12 months) research funder? research funder? (AHRC/ ESRC after 12 months) (AHRC/ ESRC after 12 months) Ye s

• pen the image, or the image may have been corrupted. Restart your computer, and

No

• again. No

Immediate Gold OA

Immediate Gold OA Green OA after 12‐24 months

Green OA after 12‐24 months

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Future Steps: Research Sector Transparency Board

• An open research sector.
• Chaired by David Willetts, the Board will offer advice to

G i h l h Government on transparency issues as they relate to the national research effort, and improved access for SMEs to the research base. the research base.

• Will bring together the full range of stakeholders.
• Cover all relevant issues including access to research

g publications and access to data.

• Will consider The Royal Society’s work on ‘Science as an

t i ’ Fi h d th th f d t i th

• pen enterprise’, Finch and the growth of data in the

modern research environment to preserve the principle of

• penness and to exploit data in ways that have the

p p y potential to create a second ‘open science’ revolution.

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Future Steps: Parliamentary Inquiries H f L d S i d T h l S l t C itt

• House of Lords Science and Technology Select Committee

Inquiry on Open Access. Written Submissions were made on 18 January 2013 – Written Submissions were made on 18 January 2013 – Minister for Science and Universities, David Willetts MP appeared for BIS/Government on 29 January appeared for BIS/Government on 29 January.

• House of Commons Business Innovation and Skills
• House of Commons Business Innovation and Skills

Committee inquiry on Open Access – Written submissions will be made by 7 February 2013 Written submissions will be made by 7 February 2013.

• Progress meeting with Finch Group by Autumn 2013

Progress meeting with Finch Group by Autumn 2013.

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Future Steps :Shakespeare Review of PSI

• Launched on 22 October 2012 & led by Stephan

Shakespeare (CEO YouGov Plc)

• Independent review to examine the evidence base &

assess the market for public sector information (PSI)

• Final report due in Spring 2013

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Future Steps : Open Data Institute

• Officially opened in December 2012
• Supports the commercial exploitation of open data
• Supported by investment from Technology Strategy Board

& private sector

• Currently provides incubator space for four open data start

up SMEs p

• TSB £1.1 million of Innovation Vouchers allocated every

three months, with 25 available each quarter

http://www.theodi.org/news/%C2%A311m-boost-open-data-innovation

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Future Steps : Administrative Data

• Administrative Data Taskforce
• Administrative Data Taskforce
• Sir Alan Langlands’ Report – ‘Improving Access for

Research and Policy’ (see http://www esrc ac uk/funding- Research and Policy (see http://www.esrc.ac.uk/funding- and-guidance/collaboration/collaborative- initiatives/Administrative-Data-Taskforce.aspx) p )

• Will be addressed as part of the ‘Big Data’ element of the

‘Eight Great Technologies’ as described in David Willetts’ speech at the Policy Exchange on 24 January 2013.