Your guide to RaY and Open Access by Library & Learning Services

Your guide to RaY and Open Access

Contents

The basics

The next REF

What should I add to RaY?

Choosing where to publish

Open Access and Licences

Quick-start guidance

Glossary of terms

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Welcome to RaY – Research at York St John

RaY is York St John’s institutional repository service which exists to store, showcase and share the University’s research output. This includes: • Peer-reviewed journal articles • Published conference papers • Books and book chapters • Non-published outputs (e.g. art, performance video, programmes, music, etc.) RaY will also accept deposits of research data, PhDs, MPhils and Masters by research awarded by York St John University.

The basics How is York St John University facilitating its researchers’ move to open access?

What is open access? There are many versions and contested definitions, but essentially, “Open Access literature is digital, online, free of charge and free of most copyright and licensing restrictions.” (Suber 2013). In the context of the requirements for the next REF, it is mainly focused upon allowing access to research without the end user paying. The end user must be able to read published research in an electronic format, and search for and re-use (including download) the content of published research papers subject to proper attribution (RCUK 2013).

A research repository, ‘Research at York St John’ (RaY) has been implemented. ILS will support staff in its use and ensuring they are equipped to deposit their work. Training and discussion sessions will also be offered.

Green or Gold? There are lots of variations in the definitions of these two types of Open Access. Essentially Green is where a version of the output is placed in an open access repository (such as RaY), where anyone can access the work without charge, sometimes after an embargo period has passed. Gold involves the output being free to access at the point of publication, without delay, in the publisher’s system (and can involve a charge to the author).

Why make research open access? There are a number of drivers, not least the Finch Report (2012) and the requirements of the next REF (HEFCE 2014). On a wider level, there are benefits throughout HE and beyond to making research available to a wider audience, free of costs to the end user (Suber 2013; Eve 2014).

The next REF

HEFCE (2014, p.1) states that, “to be eligible for submission to the post2014 REF, authors’ final peer-reviewed manuscripts must have been deposited in an institutional or subject repository on acceptance for publication”.

Section 9 of the open access policy states that, to count for the next REF, research accepted for publication after 1 April 2016 must be included. Is it therefore not compulsory at the moment?

Who is responsible for adding items to the repository? Is there someone who will do this for me?

This is true, however, institutions will gain credit for implementing HEFCE’s policy before this date. We would therefore encourage all researchers to start depositing their outputs as soon as possible and well before the compulsory date.

What are the requirements for entries to the next REF?

It is each researcher’s responsibility to comply with the HEFCE Open Access requirements (2014) and the University’s Open Access Policy and to therefore upload their research. Failure to comply with these policies will mean that either all or part of your research cannot be submitted for inclusion in the REF.

What should I add to RaY?

RaY supports many formats for research output

Is RaY just for journal articles?

I do not have the full text of my research. Can I still add a record to the repository?

No, RaY supports many formats for research output, including conference papers, performances, exhibition evidence (audio or visual) and monographs.

Yes, you can. However, if you want your research to be considered as part of a REF submission, you will need to meet the HEFCE open access requirements (2014).

My research has been published in a journal which is not peer-reviewed. Can I still add this? Yes, you can. However, you will need to consider carefully whether this would be included in a REF submission.

What file formats can I upload to the repository? You can upload most file formats to the repository, including HTML. We would encourage you to upload files in XML format, where possible. For more information on file formats and advice on converting file formats, please contact digitaltraining@yorksj.ac.uk.

REF 2020 outputs must be deposited no later than three months from the point of acceptance by a publisher

Can undergraduate dissertations be added to the repository? RaY does not accept submissions from undergraduates. However, arrangements will be made for an alternative YSJ repository which will accept undergraduate dissertations. For more information please contact Victoria Watt (v.watt@yorksj.ac.uk).

Should I still add work to the Academic Profile System (APS)? There is no need to upload anything in RaY to the APS.

The open access policy states that research outputs should be deposited into the YSJ repository from 1 January 2015, but it is not yet available. Must I add retrospectively?

Can I upload research which I did at another institution to the YSJ repository? Yes, providing that you are complying with any copyright associated with the research output in question. The HEFCE Open Access Policy (2014, p.8) states, “When a researcher moves between two HEIs, it will be acceptable for their deposited outputs to transit to the new institution’s repository, as long as there is no interruption to discovery or access during the transition. We recognise that the use of unique researcher identifiers, such as Open Researcher and Contributor ID (ORCID), can facilitate this process.”.

You can add research outputs as soon as the repository is available. HEFCE (2014, p.4) states “Where a higher education institution (HEI) can demonstrate that it has taken steps towards enabling open access for outputs outside the scope of this definition, credit will be given in the research environment component of the post-2014 REF” so we would encourage researchers to deposit as much as possible to the repository.

Section 9 of the open access policy states that, to count for the next REF, research accepted for publication after 1 April 2016 must be included. Is it therefore not compulsory at the moment?

When should I add my research to RaY? You can add your research at any time, but anything you want to count towards the next REF should be added within three months from the point of acceptance of publication. We strongly recommend that you upload research as early as possible within this timescale.

Deposits can be updated should the status of a work change, e.g. your book chapter moves from being ‘in press’ to ‘published’.

Choosing where to publish I am just starting a research project. How can I determine the appropriate publishing options for the output?

• SHERPA/RoMEO provides a searchable list of publisher copyright policies and self-archiving: www.sherpa.ac.uk/romeo • SHERPA/JULIET provides a searchable list of funders’ open access policies: www.sherpa.ac.uk/juliet

ILS has created a quick guide to getting started, taking funders’ needs and the University’s Open Access Policy into account (see pages 14–15).

• SHERPA/FACT provides a tool which cross checks journals with funder requirements for open access to research: www.sherpa.ac.uk/fact

We would advise that authors consider their options well in advance of publication. What is the publisher’s stance on supporting researchers and open access? What rights do you retain over your own work? Ask for a copy of the licence or publishing agreement when you are considering where to publish. At ILS we can advise on the stages of your publishing journey, including finding publishers, licensing, and negotiation.

How do I know if an open access journal is genuine and not from a predatory publisher? You should use the same critical approach when choosing the quality of an open access journal as you would when choosing one under the traditional model; there are predatory journals in both arenas. Check back issues, details about peer review and the editorial board, and other researchers who have published there previously.

How do I determine my chosen journal/research funder’s open access publishing policy? JISC has created a number of tools to help researchers navigate information on Open Access.

I usually publish articles in a journal to which the library at YSJ subscribes. The open access policy states that YSJ should avoid paying Article Processing Charges to subscription journals, because we will pay twice. It is a crucial title in my subject area. What should I do?

Who decides when APCs will be paid for articles and what is the process? The REF working group will consider applications for APCs, according to established procedures.

We are following the Green Open Access route, so do I just continue submitting research to my usual journals and accept there will be an embargo period?

If you choose the Green Open Access route (i.e. publishing a post-print of the work in the YSJ repository), this is not an issue. You can publish as normal and then place a version in RaY. This should be the default position for most publications – please ensure you check Sherpa/Romeo for the policy linked to that title and that it fits with the REF requirements for your subject area.

This will sometimes be the case. However, you should check SHERPA/ RoMEO for the conditions applied to your chosen title. To comply with the HEFCE (2014, p.4) policy you must deposit the “author’s accepted and final peer-reviewed text”. If an embargo period applies then there are other options for making your work available. Some publishers will allow you to make available your author’s original or accepted manuscript, so long as you do not released the version specified by them, e.g. the published Version of Record.

If you need to publish Gold Open Access, usually to adhere to requirements from a funding body, you may be able to negotiate with the publisher. Many will offset the cost of the APC against the price the library pays for the annual subscription. Or you may have secured the cost as part of the original application to the body which sponsored the research. Please ask ILS if you have more questions on this.

If there is an embargo period then it should not be longer than 12 months for REF Main Panels A and B, and 24 months for REF Main Panels C and D.

Iâ&#x20AC;&#x2122;ve had an email from the publisher of a journal to which I recently submitted, asking if I want to make the article open access via payment of an article processing charge. Should I pay, or apply for funds to do so?

YSJ advocates the Green Open Access route as default, meaning you can place an alternative copy in RaY.

It is not usually necessary to pay this charge in order to make a copy of your research available. The publisher is offering you the chance to have your article made freely available on their website (using Gold Open Access). YSJ advocates the Green Open Access route as default, which means you can place an alternative copy in our repository, RaY. Check SHERPA/RoMEO for the version your publisher will allow you to submit there, along with any embargo periods you must obey.

Open Access and licences Which licence should I choose to attach to my work?

must always credit you for the original creation.

There are six Creative Commons licences from which to choose. It is important to understand the differences as they affect the ways in which others can share and re-use your work. ILS has a Copyright and Licences Officer who can offer guidance on this.

CC BY-NC: attribution, non-commercial use This allows others to share, remix and build upon your work, but they cannot use it for commercial purposes. They must always credit you for the original creation. This licence complies with RCUK requirements when self-archiving in a repository.

CC BY: attribution only This is the most permissive of all the licences. It allows anybody to share, remix and build upon your work, including for commercial purposes. They must always credit you for the original creation. This licence complies with RCUK requirements where a funded APC has been paid for an article.

CC BY-NC-SA: attribution, noncommercial use, share alike This licence allows others to share, remix and build upon your work, but they cannot use it for commercial purposes. They must licence their new creation under identical licence terms. They must always credit you for the original creation.

CC BY-ND: attribution, no derivative works This licence allows others to share your work, including for commercial purposes, so long as they do not change it in any way. They must always credit you for the original creation.

CC BY-NC-ND: attribution, noncommercial use, no derivatives This is the most restrictive of all the licences. It only allows others to download and share your work with others, but they cannot change them in any way, or use them for a commercial purpose. They must always credit you for the original creation. This does not comply with RCUK requirements.

CC BY-SA: attribution, share alike This licence allows others to share, remix, and build upon your work, including for commercial purposes. They must licence their new creation under identical licence terms. They

Quick-start guidance Applying for external funding

Yes

Check SHERPA/JULIET for fundersâ&#x20AC;&#x2122; open access policies. Does the funding body require you to publish Gold OA?

Are you applying for external funding?

Yes

Check the cost of the Article Processing Charge (if there is one) of the journal in which you will publish, and write it into the bid

Check the University Open Access Policy and your Faculty guidelines for publishing Green OA (the default) or Gold OA

Gold

Check cost of APC with chosen journal and include that in your application for funding.

Green

Check SHERPA/RoMEO for the terms and conditions applied to your chosen journal. Each will have a different approach to self archiving and embargo periods.

Green or Gold? Item submitted for publication

Externally funded?

Yes

Chosen journal allows OA?

Yes

No Take the Green option

Publisher offers Gold OA

Publisher offers Hybrid

Opt for Green if available; avoid paying APC if possible

Publisher offers Green OA

APC funding available?

Consider different journal that has OA or publish in traditional way & deposit final accepted copy (following peer review but before copy editing) in RaY or OA subject repository

Publish with embargoes & in RaY, subject to copyright APC funding awarded? Publish in journal & RaY

Yes

Glossary of terms Accepted manuscript

Author’s original manuscript

The accepted version of a paper after it has been through peer review. It has not had any value added by the publisher, such as editing or formatting. See also post-print, author accepted manuscript and accepted version.

The author’s version of the paper that has not been through peer review, nor had any changes made to it by the publisher (such as editing, formatting, etc.). See also pre-print and submitted version.

Accepted version

Bibliographic metadata

See accepted manuscript.

Metadata is constructed information that is used to describe an object or concept. Bibliographic metadata specifically describes a resource such as an article, book, chapter, etc. and includes information such as author, title and date of publication.

Additional metadata See bibliographic metadata.

Altmetrics A method for establishing the impact/ influence of a piece of research, including news outlets, social media and policy documents as well as more traditional citation counting.

Embargo period A length of time you must wait before depositing the post-print version of your research in an open access repository, according to the publisher with whom you have submitted. These vary and can be checked on SHERPA/RoMEO. There are maximum embargo periods associated with the REF for each subject area.

Article processing charge (APC) A charge levied to authors in order to make research available, open access, at the point of publication. These are associated with the Gold open access route and need not be paid for Green.

Gold open access

Author accepted manuscript

The research output is free to access at the point of publication, without delay, in the publisher’s system (and can involve a charge to the author).

See accepted manuscript.

Green open access

SHERPA/JULIET

A version of the research output is placed in an open access repository (such as RaY), where anyone can access the work without charge, sometimes after an embargo period has passed. To comply with REF guidelines, the version must be a post-print.

A searchable list of funders’ open access policies . www.sherpa.ac.uk/juliet

SHERPA/RoMEO A searchable list of publisher copyright policies and self-archiving guidelines. www.sherpa.ac.uk/romeo

Orcid An Open Researcher and Contributor ID. A unique code, similar to a DOI, which makes it simple for search engines to distinguish between researchers with similar names, or to locate all of the research done by a single person whose name may have changed. Free to sign up to at orcid.org.

Submitted version

Post-print

Updated version

See accepted manuscript.

Only to be used for changes made postpublication, e.g. correction of errors in a published work.

See author’s original manuscript.

Supplemental material Items related to a piece of work, e.g. tables, figures, datasets, etc.

Pre-print

Version of record

See author’s original manuscript.

The final, published version of a paper which appears in a journal. It has been through peer review, and had publisher formatting and editing changes.

Published version See version of record.

SHERPA/FACT A tool which cross checks journals with funder requirements for open access to research. www.sherpa.ac.uk/fact

References Eve, M.P. (2014) Open access and the Humanities: contexts, controversies and the future [Internet]. Cambridge, Cambridge University Press. Available from http://dx.doi.org/10.1017/CBO9781316161012 [Accessed 15 January 2015]. Finch Group (2012) Accessibility, sustainability, excellence: how to expand access to research publications: Report of the Working Group on Expanding Access to Published Research Findings [Internet]. London, Finch Group. Available from http://www.researchinfonet.org/publish/ finch/ [Accessed 15 January 2015]. HEFCE (2014) Policy for open access in the post-2014 Research Excellence Framework [Internet]. London, HEFCE. Available from http://www.hefce.ac.uk/whatwedo/ rsrch/rinfrastruct/oa/policy/ [Accessed 15 January 2015]. RCUK (2013) RCUK policy on open access and supporting guidance [Internet]. Swindon, RCUK. Available from http:// www.rcuk.ac.uk/research/openaccess/policy/ [Accessed 15 January 2015]. Suber, P. (2013) Open access overview [Internet]. Available from http://legacy.earlham.edu/~peters/fos/ overview.htm [Accessed 15 January 2015].

Information Learning Services York St John University Lord Mayor’s Walk York, YO31 7EX T: 01904 876696 E: ils@yorksj.ac.uk W: www.yorksj.ac.uk/ils