Open Access Mandates in Australia and New Zealand … · and New Zealand ALPSP International Conference 2014 Paula Callan Scholarly Communications Librarian . Queensland University
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Queensland University of Technology CRICOS No. 00213J Open Access Mandates in Australia and New Zealand ALPSP International Conference 2014 Paula Callan Scholarly Communications Librarian Queensland University of Technology, Brisbane, Australia
Hello everyone. My name is Paula Callan and I am the Scholarly Communications Librarian at Queensland University of Technology in Brisbane, Australia. Known locally as QUT I’ll start with a disclosure statement. I am a member of the Australia Open Access Support Group which advocates for open access and develops resources to support institutions with the delivery of open access. However, after working in academic libraries for over 20 years, I also have a great appreciation of the valuable role publishers play in the scholarly communication landscape. My personal position is that academia, libraries and publishers need to work together to build a successful scholarly communication system for the 21st century. I have been invited to give an overview of the situation in Australian and New Zealand in relation to policies which mandate open access provision for published research articles. In my presentation, I will briefly describe the research environment in this region and the support for the principle of open access at various levels. I will then focus on the details of the existing policies; covering specific requirements or obligations for researchers and their institutions.
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Context : Australia • Population 23 million
• 39 universities
• 53,210 peer-reviewed
articles in 2013 (WoS)
• World share 3.6%
(2012)
• Citation impact 28%
above world average
Source: “Research & Innovation Performance of the G20” published by Thomson Reuters in 2014 http://sciencewatch.com/sites/sw/files/images/basic/research-innovation-g20.pdf
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Presentation Notes
Starting with Australia; we have a population of just over 23 million and 39 universities. Last year, we produced 53,000 peer reviewed articles; which equates to 3.6% of the global output. The citation impact of these articles, overall, was 28% above world average according to the 2014 Thompson Reuters report on “The Research & innovation performance of the G20”.
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Context : New Zealand • Population 4.5 million
• 8 universities
• 13,196 publications in 2013 (Source: SciVal)
• 1.7% of articles are in top 1% (Source: SciVal)
• World share 0.6% in 2008 http://sciencewatch.com/grr/australia-new-zealand
Field weighted citation impact based on 2011-2014 data Source: SciVal
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New Zealand has a population of just over 4.5 Million and 8 universities. In 2013, they produced just over 13,000 peer reviewed articles. 1.7 percent were in the top 1% in terms of citations.
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Attitudes to Open Access (OA)
• Australian and NZ Governments support the principle of open access to Government information and taxpayer-funded research outputs
http://www.ausgoal.gov.au/
http://www.ssc.govt.nz/nzgoal
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I think I can state with some confidence that the all levels of Government in Australia and New Zealand support the principle of open access. And have led by example with open licensing of Government information and data.
Seven years ago, the Australian Federal Government provided funding to the tune of 25 million dollars to the university sector to develop institutional repositories. There is an expectation that this infrastructure will be used to support a range of initiatives related to open access and their own research assessment exercise.
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Attitudes to Open Access (OA)
• Engagement of Australian researchers with OA advocacy is relatively high
The are now a large number of academics in Australia engaging with open access in one form or another. For example, the are 115 open access journals published in Australia. Mostly these are run by groups of academics or scholarly societies. We also have quite a few grassroots open access champions within the research community in Australia. Many are up-and-coming young researchers who understand the power of networks and are frustrated by what they see as lost opportunities. However, it’s also true that many academics are still a little bewildered by some of the terminology around open access… …and can be a bit annoyed by suggestions that they should now be reading publishing agreements before signing them.
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AUSTRALIAN OPEN ACCESS POLICIES (MANDATES)
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I will now move on to the details of the open access mandates in Australia; starting with the funding body mandates.
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Australian Research Council (ARC) http://www.arc.gov.au/applicants/open_access.htm
National Health & Medical Research Council (NHMRC) http://www.nhmrc.gov.au/grants/policy/dissemination-research-findings
Policy driver:
• To maximise the benefits from research, publications resulting from
research activities must be disseminated as broadly as possible to allow
access by other researchers and the wider community.
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In Australia, we have two major research funding bodies; the National Health & Medical Research Council, which, as its name suggests, focuses on health-related research, and the Australian Research Council which funds research in a diverse range of disciplines including health and biomedicine. Their policies align with the Government’s stated reason for investing in research, that is, to support its role in improving the wellbeing of our society. The preamble to their policies includes the following statement: “To maximise the benefits from research, publications resulting from research activities must be disseminated as broadly as possible to allow access by other researchers and the wider community.
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http://www.arc.gov.au/applicants/open_access.ht
NHMRC policy applies to: • Peer reviewed journal publications published after the
1st of July 2012, regardless of the start date of the relevant grant.
ARC policy applies to: • All ARC grants awarded after 1st January 2013 • All types of publications (including books and book
chapters)
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The NHMRC policy applies to peer reviewed journal publications published after the 1st of July 2012, regardless of the start date of the relevant grant. Whereas, the ARC policy applies to all ARC grants awarded after 1st January 2013 and applies to all types of publications (including books and book chapters)
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ARC and NHMRC Open Access Policies Obligations:
• Grant (ID) must be acknowledged on publications.
• Publication details (metadata) must be submitted to an institutional repository as soon as possible after the paper is accepted. Must include grant ID.
• Manuscript must be submitted to the repository as soon as possible after the publication date.
• An open access version of the paper must be available within 12 months of the publication date or as soon as possible after that date.
• If an open access copy will never be available, then this must be declared in the Final Report.
The actual obligations of both policies are identical: The grant , including the grant ID must be acknowledged on the publication. The publication details, i.e., the metadata, must be submitted to an institutional repository as soon as possible after the paper is accepted. This must include grant ID. The authors accepted manuscript version must be submitted to the repository as soon as possible after the publication date. However, it need not be openly accessible at this stage if an embargo is required. An open access version of the paper must be available within 12 months of the publication date or as soon as possible after that date. This can be the author’s accepted manuscript version or the published version. If an open access copy will never be available, then this must be declared in the Final Report and a reason given.
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Planning for open access
• ARC grant applications include a requirement to submit a plan for “communicating the research results to other researchers and the broader community”
• No additional funding is provided for Gold OA but researchers can choose to use a portion of their grant to pay APCs.
ARC grant applications include a requirement to submit a plan for “communicating the research results to other researchers and the broader community” This is to encourage researchers to think about how they are going to comply with the open access requirement long before they get to the publishing stage. And certainly before they get to the stage where they have signed a publishing agreement which is non-compliant. No additional funding is being provided for open access publishing but researchers can choose to use a portion of their grant to pay APCs. However, as Green open access is compliant, they are free to choose to publish in subscription journals provided the publisher allows them to post an open access manuscript version within 12 months. In which case, they do not have to use grant money to be compliant.
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Acknowledging grants on publications
• Ideally, the journal manuscript submission platform will prompt authors to list any grants associated with the publication (funder name and ID).
• This information needs to by displayed on the publication and, ideally, in the article metadata supplied to indexing services such as Thomson Reuters Web of Science.
Presenter
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As I mentioned a moment ago, acknowledging the grant on all related publications is one of the requirements. Ideally, journal manuscript submission platforms would prompt authors to supply this information. If possible, the information also needs to be incorporated into the article metadata which is supplied to indexing services such as Scopus and Web of Science.
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Displaying funding details in repository records
• Most universities in Australia have now configured their institutional repository system to accommodate the grant information in the metadata.
• The information must be output as a ‘PURL’
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Most universities in Australia have now created a field for grant information in their repositories. The ARC and NHMRC have requested that the information be displayed as a ‘PURL’. This is a persistent identifier rather like a DOI.
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The PURL links to the relevant project record in Research Data Australia
• Research Data Australia is a metadata repository for research datasets
The PURL will resolve to a web-based record for the research project, created by the Australian National Data Service. The records form part of Research Data Australia, a repository for research datasets and information about Government-funded research. The objective is to enable grant information to be linked to related publications and datasets.
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Trove : National Library of Australia
• Harvests publication metadata from Australian institutional repository (via OAI-PMH).
• Uses the grant metadata to identify publications related to ARC and NHMRC grants
http://trove.nla.gov.au/
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The National Library of Australia harvests publication metadata from Australian institutional repositories. The grant information stored in the metadata allows publications related to ARC and NHMRC grants to be identified.
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Trove Collection Profiler
• Can identify books, journal articles and datasets linked to NHMRC or ARC grants
NHMRC
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Via their ‘Collection Profiler’ it is possible to generate a count of how many publications are tagged with grant ID related to a particular funder. The profiling tool can drill down to data for a particular institution. Consequently, institutions will be keen to make sure all their grant-related publications are tagged with grant IDs.
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• Communicating ARC & NHMRC policy requirements and compliance options
Australian universities have a big task ahead trying to ensure all their grant-funded researchers understand the requirements. Yes, it was in the ‘conditions of grant’ document but many researchers skim read this in the same way they read publishing agreements. The Australian Open Access Support Group has created some resources to help communicate the information.
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Institutional Open Access Policies in Australia
• Australian National University Position Statement • Bond University Policy • Charles Sturt University Policy • Deakin University Policy • Edith Cowan University Policy • James Cook University Policy • Macquarie University Policy • Queensland University of Technology Policy • University of Newcastle Policy • University of Queensland Policy • University of South Australia Policy • University of Wollongong Policy • Victoria University Policy
Note: Policy strength varies. Some ‘strongly encourage’ whilst others ‘require’
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In terms of institutional open access mandates, 13 out the 39 universities have an open access policy of some sort. Most are harmonising their policies with the ARC and NHMRC policies; allowing 12 month embargoes and accepting peer reviewed author manuscript versions as compliant.
Using the Web of Science database, I was able to determine that just over 10% of the Australian papers published in 2013 were published in open access journals. It is difficult to get information about the proportion which involved an article processing fee and, if it did, who provided the funds. My own university, QUT , sets aside a portion of the Library Resource Allocation each year to provide financial support for Gold OA publishing To ensure the money only goes to genuine scholarly journals, strict criteria must be met. For example, the journal must be fully open access, not hybrid, and it must be indexed by Scopus or Web of Science.
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OPEN ACCESS POLICIES IN NEW ZEALAND
Photo Credit: Pam Jenkins, Smithsonian's National Zoo
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So, what is happening in New Zealand, or ‘across the ditch’ as we say in Australia.
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Open Access in New Zealand
• Directory of Open Access Journals lists 114 NZ journals
• Nationally, there is a lot of support for open access to taxpayer-funded resources.
• . http://collections.tepapa.govt.nz/
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There is a lot of activity in open access journal publishing. The Directory of Open Access Journals lists 114 open access NZ journals Nationally, there is a lot of support for open access to taxpayer-funded resources. However, at the moment, this is more evident in relation to Government information and digitization projects related to cultural heritage. http://collections.tepapa.govt.nz
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Open Access in New Zealand
Funder OA Mandates • Marsden Fund requires data sharing • No mandates apply to publications at
this stage
Institutional OA Mandates • University of Waikato • Lincoln University • University of Canterbury (in the wings) • Otago (Polytech, not the University)
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Currently, while open access is strongly, encouraged, there are no funder mandates which apply to research publications. Two universities and one polytechnic have institutional policies. I believe there many be another in the wings but it is still a work in progress.
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Support for ‘Gold’ OA journals
• 11,594 papers by identified New Zealand authors published in 2013 were identified in Web of Science.
• Just over 7% (846) were published in an OA journal
• Funding for the APCs comes from a variety of sources (grants, faculties, researchers’ own pockets)
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In 2013, just over 7% of the New Zealand articles in Web of Science were published in an OA journal Consultation with NZ colleagues revealed that the funding for the APCs comes from a variety of sources (grants, faculties, researchers’ own pockets) A major NZ university estimated that their annual spend on APCs was between NZ$100,000 to NZ$200,000
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Concluding remarks
• In Australia and New Zealand, there is support at both the top level (Government) and the grassroots level (researchers) for open access.
• Some of the levels in between are still struggling with how the concept fits into existing academic reward structures and discipline cultures.
• An increasing proportion of authors now need to check that a journal will allow them to comply with a mandate.
• Journal publishers can assist by making this information readily available on the journal website .
Presenter
Presentation Notes
To wrap up, I have some concluding remarks. In Australia and New Zealand there is support at both the top level and grassroots level for open access. Some of the levels in between are still struggling with how the concept fits into existing academic reward structures and discipline cultures. Before submitting a manuscript, an increasing number of authors will be checking that the journal will allow them to comply with a mandate which requires an open access copy within 12 months. Journal publishers can assist by making this information readily available on the journal website .
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Concluding remarks
• With the current focus on rankings, universities expect their libraries to help increase the quality and impact of its research.
• Librarians understand that this requires both the additional dissemination opportunities afforded by open access AND the valuable services offered by journal publishers.
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With the current focus on rankings, universities expect their libraries to help increase the quality and impact of its research. Librarians understand that this requires both the additional dissemination opportunities afforded by open access AND the valuable services offered by journal publishers. Libraries are not cancelling subscriptions based on the availability of open access manuscript versions. The continued success of publishers like Sage Publications which allows un-embargoed Green open access for over 700 of its journals shows that Green Open Access can coexist quite happily with subscription publishing.
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