This document summarizes information about open access publishing and policies from research funders like RCUK and HEFCE. It discusses the green and gold routes to open access, including self-archiving outputs in repositories or publishing in open access journals. It provides case studies showing how authors can comply with funder policies through either route. It also describes the services and support provided by the library, such as managing applications for article processing charges and consulting on open access, copyright, and data management requirements.

1. Open Access Publishing:
Understanding the implications for
the Arts and Humanities
Nancy Pontika, PhD
Information Consultant for Research
@nancypontika
Library
Services
23/10/2013

2. Open Access
“Open-access (OA) literature is
digital, online, free of charge, and free of most
copyright and licensing restrictions. What
makes it possible is the internet and the consent
of the author or copyright-holder”
(Suber, 2007)
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Library
Services

3. Library
Services
Routes to open access
Repositories
Green route
Gold route
Journals
Open Access Journals offer peer-reviewed
research. 30% charge an Article Processing
Charge (APC), 70% do not
Subscription based journals that offer an
open route- hybrid journalsalways (100%) charge Article Processing
Charges (APCs)
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Institutional
Royal Holloway
Research
Online
Subject
arXiv.org
Repositories
- Do NOT perform peer-review
- Pre-prints, post-prints, final version
- Standardised: OAI-PMH compatible

4. Royal Holloway Open Access Publications Policy
Library
Services
• Research Councils promote unrestricted access to published outputs from the
research they fund
• Aims to maximise the visibility, citation, usage and impact of the College's
research output
• Aims to minimise the effort to provide open online access to College’s research
• From September 1st 2010, it is a requirement for all researchers
to submit copies of their research outputs, after they have been
accepted as suitable for publication, to the Institutional
Repository accessed via Pure (http://pure.rhul.ac.uk/admin)
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5. RCUK Policy on Access to Research Outputs (July 2012)
Library
Services
• In effect from April 1st 2013
• Journal articles and conference proceedings
• RCUK green compliant journals:
• 7/8 of 40% UK’s OA literature, world’s 20%
- Allow self-archiving in repositories
- 12 months embargo period for STEM
- 24 months embargo period for HSS
RCUK will provide funding to
enable:
• 45% compliance the first
year
• 50% compliance the
second year
• RCUK gold compliant journals:
[http://www.rcuk.ac.uk/media/news/2012news/Pag
- Open Access or hybrid journals with CC-BY
es/121108.aspx]
• Article Processing Charges (APCs)
• 59% paid by funder, 24% institution, 12% author
• Double dipping, no transparency in publishers’ subscription deals
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6. Policy for the Administration of the RCUK Block Grant for Open Access
to Fund Article Processing Charges: Part 1
Library
Services
• On April 1st 2013 Royal Holloway received a block grant from RCUK
to cover Article Processing Charges (APCs)
• The funds from the APC block grant are allocated on a first
come, first served basis
• Corresponding authors must make an APC application prior to
submitting an article for publishing
• Decisions on awarding funds for APCs are not based on academic
criteria but only on verification of the eligibility criteria
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7. Case study 1: Repositories / Green route
RCUK-funded author chooses to publish
in Journal X
Journal X complies with the RCUK open
access policy via the green route only
Author submits article to the journal and
self-archives into the repository
respecting the embargo period
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Library
Services

8. Case study 2: Journals / Gold route
RCUK-funded author chooses to publish in Journal X
Journal X complies with the RCUK open access policy via
the gold route only
Author applies to the Library for an APC grant prior to
submission. The application is accepted and author
submits article to Journal X
Article is published with a CC-BY license
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Library
Services

9. Case study 3: Green OA and Gold OA
Library
Services
RCUK-funded author chooses to publish in Journal X
Journal X complies with the RCUK open access policy
both via Gold OA and Green OA
There is no RCUK funding available anymore at Royal
Holloway. Author complies with the green route by
self-archiving into the repository
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10. Case study 4: Foreign Journals
RCUK-funded author chooses to publish in Journal X, which is a foreign journal
Journal X has no provision about the RCUK open access policy
Author contacts publisher to ask if s/he can have a special agreement t0 help her/him
comply with the RCUK open access policy:
Option 1: Publisher agrees and author submits the article to the journal
Option 2: Publisher disagrees. Author chooses to publish somewhere else
Option 3: Publisher disagrees. Author chooses to publish in Journal X and not comply
with the RCUK open access policy
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Library
Services

11. HEFCE: Consultation on the criteria for post-2014 REF
Green open access only/ repository submission
The outputs that the criteria apply to are:
• Journal articles or conference proceedings only
• Published after a two year notice period (i.e. 2016)
• With UK HEIs in address field
Consultation from the UK HEIs:
• Licenses: CC-BY or any other liberal license
• Immediate deposit or delayed deposit
• Full compliance or percentage compliance
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Library
Services

12. Library Services
Library
Services
• Open Access Team provides support on APC funding
allocation, manages applications and administers the APC
block grant
• Library offers consultation on alternative ways of complying
with the RCUK policy, i.e. green OA and self-archiving
• Consultation on copyrights
• Consultation on research data management
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13. Library
Services
Thank you!
Q&A
Website and Contact information:
Open Access: www.rhul.ac.uk/library/openaccess
Email: openaccess@rhul.ac.uk & nancy.pontika@rhul.ac.uk
Twitter: @OpenRHUL
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