Open Access Policy for Research and Scholarly Outputs

Transcription

1 University f Cumbria Open Access Plicy fr Research and Schlarly Outputs Octber 2017 NB. This plicy is available n the University f Cumbria website and it shuld be nted that any printed cpies are uncntrlled and cannt be guaranteed t cnstitute the current versin f the plicy. POLICY SCHEDULE Plicy title Open Access Plicy fr Research and Schlarly Outputs Plicy wner Infrmatin Services Plicy lead cntact Clin Cghill Apprving bdy Research and Enterprise Cmmittee Date f apprval 18/10/17 Date f implementatin Versin n. 1.3 Related Guidelines, Prcedures, Cdes f Practice etc. Cde f Practice fr Research, Research Data Management Plicy, IPR Plicy, cpyright guidance Review interval Annual Infrmatin Services and Research Office 1

2 Cntents 1. Intrductin 2. Aims and Objectives 3. Scpe 4. Definitins 5. Plicy principles 6. Equality, Diversity and Inclusin 7. Recrds Management 8. Risk Management 9. Rles and Respnsibilities Infrmatin Services and Research Office 2

3 University f Cumbria Open Access Plicy 1. Intrductin The University wishes t supprt the pen access agenda, and t create the maximum benefit frm its practical, applied and practitiner-fcussed research by making utputs as widely accessible as pssible t external stakehlders. Whilst cmplying with cpyright restrictins, the University requires that the majrity f research utputs are publically discverable frm pint f acceptance thrugh the institutinal repsitry, Insight 1. The University favurs, nw and fr the freseeable future, green pen access. This enables authrs t publish in any jurnal and t self-archive a versin f the article, typically the authr s accepted manuscript, fr free public use. 2. Aims and Objectives The plicy aims t make the University s apprach t pen access f research and schlarly utputs clear t all staff, research students and ther stakehlders (e.g. hnrary research cntract hlders). The University supprts the principles f pen access. Hwever, the primary bjective f this plicy is t ensure that all academic staff are in cmpliance with the Higher Educatin Funding Cuncil fr England (HEFCE) Plicy fr pen access in the pst-2014 Research Excellence Framewrk 2. The plicy als seeks t highlight the need t cnsider the cmpliance f publicatin rutes prir t submissin f a manuscript. 2.1 Plicy backgrund Open access is strngly supprted in the UK by the higher educatin funding cuncils and ther majr funders f research, including Research Cuncils UK (RCUK) and the Wellcme Trust. The drive behind pen access is t make research utputs penly available as quickly as pssible, free f charge, and t as wide an audience as pssible. This is t benefit researchers, the public and business, and t ensure that the benefits f the public funding f research are as extensive as pssible. HEFCE have mandated that utputs must be penly accessible in rder t be eligible fr submissin t the next Research Excellence Framewrk (REF). The HEFCE plicy requires that: 1. All jurnal articles and cnference papers 3 must meet the requirements f the HEFCE pen access plicy. 2. Metadata fr each utput is required at the pint f acceptance 4, with the authr s accepted final peerreviewed text 5 available as sn as pssible Open access is an eligibility requirement fr submissin t pst 2014 REF fr all utputs as defined in pint 1 accepted after 1 April Plicy fr pen access in the pst-2014 Research Excellence Framewrk(2014), updated July 2015, available via 3 This applies t cnference prceeding with an Internatinal Standard Serial Number (ISSN), unless as part f a bk series. 4 This must take place as sn after the pint f acceptance as pssible, and n later than three mnths after this date (as given in the acceptance letter r frm the publicatin t the authr). 5 Als knwn as an accepted authr manuscript, final authr versin r pst-print. 6 This may be immediately, at the pint f publicatin, r after an embarg perid, dependent n publisher plicy. Fr utputs published between 1 April 2016 and 1 April 2018, this can be up t three mnths after publicatin. Infrmatin Services and Research Office 3

4 3. Scpe The plicy sets ut aspiratins fr pen access f research and schlarly publicatins fr all ur staff, research students, and affiliates. Hwever, cmpliance with this plicy is mandatry fr all academic staff. 4. Definitins Open Access is the term used t dente that peer reviewed research and schlarly materials shuld be discverable and available in a manner allwing unrestricted access, usually nline. There are a number f rutes which can be taken t make research utputs penly accessible. The University favurs pen access via the green rute, as defined belw, unless there are specific reasns why this is nt feasible: Green Open Access is where the authr publishes an article in the jurnal f their chice and self-archives the authr s accepted manuscript in their institutinal r subject repsitry, making it freely available nline fr thse wh lack subscriptin access t the publisher s versin f recrd. Access t utputs thrugh the green rute may be granted either immediately r after an agreed embarg perid, dependent n publisher plicy. Gld Open Access is where an article is published in a way that allws immediate access electrnically and free f charge. Often, this invlves the authr paying an Article Prcessing Charge (APC) fr publicatin in an pen access jurnal. Publishers may recup their csts thrugh a number f mechanisms: thrugh APCs, advertising, dnatins, r ther subsidies. Nrmally, a gld pen access jurnal des nt receive incme frm reader subscriptins. Hybrid Open Access is where an authr chses t pay an APC in rder fr a specific article t be made pen access in an therwise subscriptin based jurnal. In effect access has been paid fr twice, an APC and a subscriptin: this is knwn as duble dipping. 5. Plicy principles All academic staff must cmply with the HEFCE pen access plicy. This reflects the University s supprt f the pen access agenda. All ther members f staff are strngly encuraged t make their utputs penly accessible. Expectatins f staff: All staff must cmply with the requirements f this plicy as a minimum. Hwever, staff must als ensure they cmply with the pen access plicies f external funders, where applicable. Assciated csts shuld be factred int grant applicatins if pssible. All staff are required t depsit cpies f any published research and schlarly utputs in the institutinal repsitry, Insight. Fr academic staff, this must be within timescales set ut within HEFCE s pen access plicy, and as set ut in subsequent pints. Nrmally, all staff are expected t use green pen access rutes t publish the results f their research. Individuals anticipating gld pen access will need t demnstrate that this is a funder requirement, r make a case that this is the mst apprpriate rute fr publicatin. The gld rute will ften nly be pssible where funding has been sught t supprt the cst (e.g. in a grant applicatin). Academic staff are required t chse publicatin rutes which cmply with the HEFCE plicy n pen access and the pst-2014 REF. This means: Infrmatin Services and Research Office 4

5 Publicatin rutes must be amenable t green pen access r gld pen access, if pssible. Fr green pen access, publicatin rutes chsen shuld have a maximum embarg perid f 12 mnths fr health related and science subjects (falling within REF2014 Main Panel A r Main Panel B) r 24 mnths fr scial sciences and arts and humanities (falling within REF2014 Main Panel C r Main Panel D). Academic staff are nly allwed t use a publicatin rute that des nt allw pen access, r nt within the timeframes indicated abve, where this can be demnstrably shwn t be the mst apprpriate fr the particular utput (e.g. where there is nly a single jurnal available within a particular disciplinary niche). Where academic staff are cnsidering a gld pen access rute, r the use f publicatin rutes which are nt cmpliant with pen access, they must discuss this issue with the relevant Research Crdinatr as sn as pssible. Infrmatin Services guidance n checking the cmpliance f particular publicatin rutes must be fllwed. Details f any utputs which qualify as exceptins under the HEFCE plicy (e.g. where the nncmpliant publicatin rute is the nly feasible rute fr a particular piece f research) shuld be ntified t Research Office prir t submissin f a manuscript, fllwing discussin with the Research Crdinatr. This must include the ratinale fr being classed as an exceptin. All jurnal articles and cnference prceedings with an Internatinal Standard Serial Number (ISSN) 7 published by academic staff must be depsited by a University f Cumbria c-authr in the institutinal Insight repsitry as sn as pssible after acceptance 8, and within a maximum f ten weeks, and: This applies whether r nt an individual is the lead r crrespnding authr n an utput 9, including where these are nt members f University f Cumbria staff. Depsits must include metadata available at pint f acceptance, the date f acceptance, and include the Digital Object Identifier (DOI) if available, and a cpy f the authr s accepted manuscript. Where an embarg is in place, the authr is required t place the metadata int Insight, and add the authr s accepted manuscript as a clsed depsit. insight@cumbria.ac.uk must be ntified as sn as pssible when the utput is first published (nline first r in print), and the metadata recrd must be updated, including date f publicatin and embarg perid. Ntificatin shuld take place within tw weeks f publicatin. Where pssible, please alert Insight f anticipated publicatin dates ahead f time. Academic staff are strngly encuraged t depsit ther frms f research utput and schlarly cmmunicatins (e.g. bk chapters, research reprts, practice based research) and nn-textual 7 Cnference prceedings with an Internatinal Standard Bk Number (ISBN) r as part f a bk series with ISSN are nt required t cmply with the pen access requirements. 8 Where there is mre than ne University f Cumbria c-authr, arrangements must be made within the research team as t wh will be respnsible fr the depsit f the utput. This wuld nrmally be the lead r crrespnding authr. 9 Where the lead r crrespnding authr is nt a member f Cumbria staff, arrangements must be made fr ntificatin f acceptance t take place as sn as pssible. The member f Cumbria staff remains respnsible fr meeting the requirements f this plicy. Infrmatin Services and Research Office 5

6 material within the repsitry. Where this is nt pssible, a metadata recrd shuld be prvided at minimum. Individual members f academic staff and individual utputs which d nt cmply with this pen access plicy will nt be cnsidered fr selectin fr the next Research Excellence Framewrk (REF). HEFCE have mandated that utputs which d nt meet the pen access requirements will nt be eligible fr REF. Our institutinal selectin decisins will therefre be made n the basis f cmpliant utputs nly, and will nt cnsider the quality f utputs which are nt made penly accessible in line with the requirements set ut in this plicy. Outputs made accessible retrspectively will nt be cnsidered. Academic staff must be able t prvide evidence f the date f acceptance fr jurnal articles and cnference prceedings, as cnfirmatin will be sught thrugh Departments that this plicy is being fllwed. Please see the additinal guidance prvided by Infrmatin Services n the pen access publishing prcess. If yu have any queries abut hw t cmply with the plicy, please cntact: insight@cumbria.ac.uk OR research.ffice@cumbria.ac.uk 6. Equality, Diversity and Inclusin The Equality Act 2010 cvers the prtected characteristics f age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religin r belief (including lack f belief), sex and sexual rientatin. The University has develped a Single Equality Scheme and Equality Objectives t implement the Equality Act within the University practices and prcedures. Within the Equality Act it remains permissible t treat a disabled persn mre favurably than a nn-disabled persn. It remains lawful t make reasnable adjustments in relatin t emplyment, educatin and services t ensure that there is true equality f pprtunity fr disabled peple. This plicy and its implementatin will be mnitred, as apprpriate, in line with relevant legislatin fr its impact n different equality grups. This prcess will prvide a check n whether there are any differences and allw the University t assess whether these differences have an adverse impact n any particular grup such that apprpriate actin is taken. 7. Recrds Management The recrds assciated with this plicy are cntrlled by Infrmatin Services and Research Office and will be created, stred and dispsed f in line with the University s Recrds Management guidelines and prcedures. The University is cmmitted t cmplying with the requirements f Data Prtectin legislatin and regulatins and any persnal data created as part f this plicy will be prcessed in accrdance with the University s Data Prtectin Act prcedures. This includes ensuring that data is held securely, is nt disclsed unlawfully and is destryed when n lnger needed. The University als aims t ensure that users f this plicy are aware f Data Prtectin, Freedm f Infrmatin and Recrds Management issues assciated with this plicy. 8. Risk Management Infrmatin Services and Research Office 6

7 It is the respnsibility f the individual t ensure that they are nt in breach f cpyright law by depsiting text int Insight. Guidance n checking publisher plicy and its cmpliance with this plicy is prvided by Infrmatin Services. 9. Rles and Respnsibilities Respnsible persn Respnsibilities Research Office T mnitr external cmpliance issues relating t pen access, and prvide advice n REF and funder eligibility. T prvide advice n suitable publicatin rutes. Infrmatin Services T deliver pen access awareness and Insight training wrkshps as part f the Researcher Develpment Prgramme and as required by academic departments. T prvide advice and guidance n publisher plicies and cmpliance with these. T prvide advice n suitable publicatin rutes. T prvide supprt in depsit f metadata and full text n the Insight repsitry. T mnitr and negtiate additinal repsitry functinalities t autmate depsit prcesses, and input int updates t the plicy accrdingly. Managers Ensure that all academic staff are aware f the plicy and its implicatins fr REF selectin. Supprt mnitring f cmpliance. Academic staff members T ensure that they understand the requirements f the pen access plicy, That they act in cmpliance with the plicy, chsing cmpliant publicatin rutes where pssible and fllwing the requirements t discuss and lg exceptins if necessary. T create metadata recrds and depsit authr accepted manuscripts within the timeframes utlined within the plicy. Infrmatin Services and Research Office 7

8 UNIVERSITY OF CUMBRIA POLICY DOCUMENT CONTROL SCHEDULE All University f Cumbria Plicies must include a cmpleted Plicy Dcument Cntrl Schedule cnsisting f the Plicy Schedule (see frnt cver), Review Schedule and Drafting Schedule (see belw) which shuld be cmpleted as apprpriate. REVIEW SCHEDULE Review n. Due date Reviewed by Apprved by Cmpletin date T versin 1.1 September 2015 due t changes in HEFCE plicy Research Office Margaret Weaver, ntified t REC 09/2015 T Versin 1.2 March 2017 due t changes in infrastructure and HEFCE plicy Research Office and Infrmatin Services (James Stephens, Anna Luptn and Alisn Lundbeck) Diane Cx and Clin Cghill 03/2017 T Versin 1.3 Octber 2017 due t REC chair's actin t mandate depsits fr published utputs REC Vice Chancellr Julie Mennell, Clin Cghill 10/2017 DRAFTING SCHEDULE Draft n. Date 0.1 July Octber Nvember December January 2015 Final Versin /06/2015 Infrmatin Services and Research Office 8