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 Research Funding Unit/Research Base Directorate BIS R h F di U it/R h B Di t t BIS

2 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

3 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. • In the UK in 2010, 61% of all R&D was performed by I th UK i 2010 61% f ll R&D f d b 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)

4 Gross Expenditure on R&D by Sector of Performance, (GERD) 2010 100% 80% 60% 40% 20% 0% Canda Finland France Germany Italy Japan UK USA (2009) Business Enterprise Higher education Government Private Non-profit

5 GERD as a percentage of GDP, 1991 – 2010 – UK Lags Finland, Japan, US, Germany, France. 4% 3% 2% 1% 0% 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 9 9 9 9 9 9 9 9 9 0 0 0 0 0 0 0 0 0 0 1 9 9 9 9 9 9 9 9 9 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 1 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 Canada Finland France Germany Italy Japan UK USA (to 2009)

6 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 $10 worth of benefits to the economy. h f b fi h • Human Genome programme (Battelle) generated $140 to the economy for $1 on research and benefited from OA. (http://battelle.org/docs/default- f $1 h d b fit d f OA document-library/economic_impact_of_the_human_genome_project.pdf)

7 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 world, ahead of the US, for university-industry collaboration ld h d f th US f i it i d t ll b ti 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

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

9 Policy Formulation: Scene Setting • Government’s transparency agenda across all of its operations to be publicly accountable. p p y • Complicated by Open Access (OA) policy being simultaneously developed in the UK, Europe and US – but this is an opportunity as well. thi i t it ll • 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’).

10 Policy Formulation: Innovation and Research Strategy E Expanding Access to Research Publications and Data di A t R h P bli ti d D t “ The Government, in line with our overarching commitment to , g transparency and open data, is committed to ensuring that publicly-funded research should be accessible free of charge. Free and open access to taxpayer-funded h F d t t f d d 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 .”

11 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 in June 2012. i J 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.

12 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

13 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.

14 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).

15 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 to allow them to create Publication Funds. This will t ll th t t P bli ti F d Thi ill 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.