DOCSLIB.ORG

UKRI Open Access Review : Consultation Analysis

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
UKRI Open Access Review : Consultation Analysis This is a repository copy of UKRI open access review : consultation analysis. White Rose Research Online URL for this paper: https://eprints.whiterose.ac.uk/176863/ Version: Published Version Monograph: Higton, J., Welford, J., Pinfield, S. orcid.org/0000-0003-4696-764X et al. (3 more authors) (2021) UKRI open access review : consultation analysis. Report. UKRI , London. Reuse This article is distributed under the terms of the Creative Commons Attribution (CC BY) licence. This licence allows you to distribute, remix, tweak, and build upon the work, even commercially, as long as you credit the authors for the original work. More information and the full terms of the licence here: https://creativecommons.org/licenses/ Takedown If you consider content in White Rose Research Online to be in breach of UK law, please notify us by emailing [email protected] including the URL of the record and the reason for the withdrawal request. [email protected] https://eprints.whiterose.ac.uk/ UKRI Open Access Review: Consultation Analysis Final report for UKRI by CFE Research October 2020 Report authors: John Higton Dr Jo Welford Professor Stephen Pinfield Professor James Wilsdon Dr Rebecca Steer Dr Guy Birkin This work is licensed under a Creative Commons Attribution 4.0 International License. For more information about this report please contact: [email protected] CFE Research Phoenix Yard Upper Brown Street Leicester LE1 5TE 0116 229 3300 www.cfe.org.uk Established in 1997, CFE is an independent not-for- profit social research company specialising in three broad fields: education, wellbeing and the economy. Contents Contents ................................................................................................................... 3 1. Introduction and method ............................................................................... 4 1.1 Background and context ..................................................................................... 4 1.2 Methodology ...................................................................................................... 4 2. Executive Summary: Insights and reflections ............................................. 10 3. Review of responses ......................................................................................19 3.1 In-scope outputs and exceptions ......................................................................19 3.2 OA routes and deposit requirements .............................................................. 30 3.3 Licensing requirements, copyright and rights retention ................................. 46 3.4 Technical standards requirements .................................................................. 73 3.5 Timing of implementation ............................................................................... 86 3.6 Public value, costs and funding ....................................................................... 98 3.7 OA infrastructure ........................................................................................... 122 3.8 Preprints ........................................................................................................ 130 3.9 Monitoring compliance ..................................................................................133 3.10 Policy implications and supporting actions ................................................. 139 3.11 Considerations specific to the Research Excellence Framework (REF) ....... 147 3.11.2 Monographs, book chapters and edited collections ................................... 154 Appendix 1: Methodology .................................................................................... 160 Appendix 2: Quantitative response data tables .................................................... 161 Data tables ............................................................................................................ 161 Profile questions .................................................................................................. 162 Section A: Research Articles ................................................................................. 165 Section B: Monographs, Book Chapters and Edited Collections ......................... 178 Section C: Monitoring Compliance ...................................................................... 187 Section D: Policy Implications and Supporting Actions ..................................... 188 Appendix 3: Logistic regression models .............................................................. 190 Regression method .............................................................................................. 190 Correlation matrices ............................................................................................. 191 Regression tables - capacity in response was made ............................................ 194 1. Introduction and method 1.1 Background and context As noted in the supporting consultation document (UKRI, 20201), open research is a key foundation for a research culture and environment that fosters excellent research and innovation. The UK government and UK Research and Innovation (UKRI) recognise open research as an important part of achieving the maximum possible impact from publicly funded research. The UK government’s position, established in 2011, is for publications arising from publicly funded research to be open access. The UK has achieved world leading levels of open access (OA) through the implementation of policies of funders such as Research Councils UK (RCUK) and the Research Excellence Framework (REF). The current RCUK OA policy has been in place since 2012 and the creation of UKRI in 2018 afforded the opportunity to review and develop OA policy across the Research Councils, Innovate UK and Research England, as well as considering alignment with any future REF policy. The UKRI OA Review commenced in late 2018 with a view to delivering a new OA policy by 2021. The UKRI Open Access Review will determine a single UKRI OA policy for research articles and will introduce a new policy for long-form research publications that acknowledge funding from UKRI and its constituent councils. UKRI is seeking to learn from progress made and challenges arising under the existing policies of its councils and from broader developments in OA, to understand how to best move forward in terms of implementing the government’s ambition to transition to full and immediate OA for publicly funded research. The Review includes a consultation exercise, seeking views and evidence on UKRI’s proposed OA policy for publications acknowledging UKRI funding and related considerations (including funding and supporting infrastructure). The consultation ran during spring 2020 and the deadline for responses was extended due to disruption caused by the Covid-19 pandemic. A total of 350 responses were received. CFE Research, with Professor Stephen Pinfield and Professor James Wilsdon of the Research on Research Institute (RoRI), were contracted by UKRI to undertake an analysis of responses to the consultation. The report is for UKRI but has been written in a way that UKRI can published the report once the Review is complete. Therefore, the evidence given by consultees is presented anonymously. The testimony presented and the underlying data collected during the consultation will be used to guide subsequent UKRI OA Review decision-making. 1.2 Methodology UKRI authored the consultation questionnaire and supporting documentation which explained the purpose behind the proposed open access changes (UKRI, 20202). Data was collected via a questionnaire of 68 questions (plus questions describing the background of each consultee) hosted on Survey Monkey. The questionnaire was formatted to predominantly ask a closed question about a given OA topic followed by an open explanation of the closed answer. None of the questions were mandatory and focussed on specific details of the UKRI OA policy rather than 1 UK Research and Innovation (2020) UKRI Open Access Review: Consultation. UKRI. Open access review microsite: https://www.ukri.org/funding/information-for-award-holders/open-access/open-access-review/ Accessed 7th September 2020. 2 ibid. Introduction and method | UKRI Open Access Review: Consultation Analysis Page 4 general views on the principles of OA since UKRI are committed to ensuring access to all publicly funded research. The questionnaire comprised four main sections: • Background information about the viewpoint and professional capacity of the individual responding, and the organisation they represented if relevant • Section A: Views on OA proposals for research articles • Section B: Views on OA proposals for monographs, book chapters and edited collections (these are referred to as "long-form outputs" in the report for the sake of brevity) • Sections C through E covering issues of compliance, policy implications, potential supporting actions and any further comments A note on the profile of consultees Annex A shows the full profile data for all consultees. The interrelationship between two aspects of consultees' profiles are important for the analysis: the capacity in which the consultee responded3; and the disciplines they represent4. Tables 1, 2 and 3 (overleaf) show the distribution of consultees based on these two variables. Table 1 shows more than four in five (84%) consultees responded from six capacities ranging from those representing higher education institutions (HEIs) who comprise more than a quarter (27%) of all, down
Load more

Recommended publications
  • Licensing Open Government Data Jyh-An Lee
    Hastings Business Law Journal Volume 13 Article 2 Number 2 Winter 2017 Winter 2017 Licensing Open Government Data Jyh-An Lee Follow this and additional works at: https://repository.uchastings.edu/ hastings_business_law_journal Part of the Business Organizations Law Commons Recommended Citation Jyh-An Lee, Licensing Open Government Data, 13 Hastings Bus. L.J. 207 (2017). Available at: https://repository.uchastings.edu/hastings_business_law_journal/vol13/iss2/2 This Article is brought to you for free and open access by the Law Journals at UC Hastings Scholarship Repository. It has been accepted for inclusion in Hastings Business Law Journal by an authorized editor of UC Hastings Scholarship Repository. For more information, please contact [email protected]. 2 - LEE MACROED.DOCX (DO NOT DELETE) 5/5/2017 11:09 AM Licensing Open Government Data Jyh-An Lee* Governments around the world create and collect an enormous amount of data that covers important environmental, educational, geographical, meteorological, scientific, demographic, transport, tourism, health insurance, crime, occupational safety, product safety, and many other types of information.1 This data is generated as part of a government’s daily functions.2 Given government data’s exceptional social and economic value, former U.S. President Barack Obama described it as a “national asset.”3 For various policy reasons, open government data (“OGD”) has become a popular governmental practice and international * Assistant Professor at the Faculty of Law in the Chinese University
    [Show full text]
  • The Digital Society New Ways to More Transparency, Participation and Current Issues August 1, 2011 Innovation
    The digital society New ways to more transparency, participation and Current Issues August 1, 2011 innovation Digital structural change. The increasing use of modern network technologies is changing people’s daily social and economic lives. Today, anyone and everyone can engage interactively in digital spaces. This is giving rise to both new forms of participation and new patterns of value creation, accompanied by a shift in power towards citizen and consumer sovereignty. Digital structural change is encouraging the following open source movements in particular: Trend research Trend (Corporate) Social Media. Social networking platforms are penetrating all spheres of life. At the corporate level this is redistributing control over communications towards the internet community. Whilst businesses and organisations can benefit from the powerful ‘recommendation web’, they are also losing some of their control over customers and their communication sovereignty. This is making corporate communications more authentic and informal. Open Innovation. Interactive value creation can make companies more innovative by integrating external specialists’ and communities’ knowledge and creativity into internal processes. The more external ideas that are incorporated, the greater are the potential combinations to create something new. But open innovation also involves risks because classic value creation patterns have to be broken up and modernised with new strategies and, most importantly, with new interaction competencies. Open Government. Political institutions and government agencies are likewise opening up to increased civic engagement. The public data made available can give rise to new applications and business models. Where interaction takes place and government receives external feedback, new collaborative and participatory models are able to evolve between government and citizens.
    [Show full text]
  • Open Data and Open Government
    Open Data and Open Government Information is a valuable national resource and a strategic asset to the Federal government, its partners, and the public. In order to ensure that the Federal government is taking full advantage of its information resources, executive departments and agencies...must manage information as an asset throughout its life cycle to promote openness and interoperability, and properly safeguard systems and information. OMB Open Data Policy — Managing Information as an Asset¹ Summary Responsibilities and governance are widely distributed in this “ policy area. Some initiatives are led by the Federal CIO, while others come directly from The White House. GSA manages Data. Stakeholders gov and Project Open Data. To date, over 185,000 government datasets have been posted on Data.gov. However, it can be difficult to measure the broader economic and civic impacts of open data and open government Impact efforts. While most CIOs reported interest in open government and open data initiatives, many expressed challenges in obtaining resources, navigating conflicts with existing policies, and balancing priorities against other efforts such as infrastructure Risk modernization and cybersecurity. Efficiently managing government data and information can increase operational efficiencies, reduce costs, improve services, and better safeguard personal information. Making information resources accessible, discoverable, and usable by the public can Policy help fuel entrepreneurship, innovation, and scientific discovery. STATE OF FEDERAL IT REPORT / PUBLIC RELEASE VERSION 1.0 C-1 POLICY PAPERS Open Data and Open Government Overview The Federal government creates and systems (see Figure C1) and weather collects a wide variety of valuable data and forecasting that fundamentally changed has long sought to provide citizens with the citizens lives and had a tremendous impact right and ability to access this information.² on the American economy.
    [Show full text]
  • Open Government the Global Context and the Way Forward HIGHLIGHTS 2016
    Open Government The global context and the way forward HIGHLIGHTS 2016 19 The OECD’s work on open government The OECD has been at the forefront of an evidence-based analysis of open government reforms in member and non-member countries. The OECD Open Government Project provides countries with a sequence of analysis and actionable support. This include l Open Government Reviews l Capacity building seminars for public officials and civil society l Regional networks to exchange common challenges and good practices What are OECD open government reviews OECD Open Government Reviews support countries in their efforts to build more transparent, accountable and participatory governments that can restore citizens’ trust and promote inclusive growth. They provide in-depth analyses of open government policies and initiatives, and coupled with actionable recommendations, they help to further embed the principles and practices of open government within policy-making cycles and to evaluate their impacts. What is the purpose of this Highlights This highlights presents selected key facts, findings and recommendations of the Report Open Government: The Global Context and the Way Forward. The Report is based on the responses of more than 50 countries to the 2015 OECD Survey on Open Government Co-ordination and Citizen Participation in the Policy Cycle, as well as on the findings of the OECD Open Government Reviews. In addition to all OECD countries which answered to the Survey, thirteen countries from Latin America (including the two OECD member countries Chile and Mexico) submitted their answers, as well Indonesia, Jordan, Lithuania, Morocco, Philippines, Romania and Tunisia. The global diversity of the responding countries allowed the authors of the Report to draw conclusions on regional differences and provide a solid evidence base for the analysis of open government reforms.
    [Show full text]
  • An Assessment of Open Government Data Benchmark Instruments
    An Assessment of Open Government Data Benchmark Instruments Ilka Kawashita*, Ana Alice Baptista**, Delfina Soares*** *University of Phoenix, USA, [email protected] **University of Minho, Portugal, [email protected] ***United Nations University (UNU-EGOV), Portugal, [email protected] Abstract: Open Government Data (OGD) is heralded as a pillar for promoting openness and e- Government. Several OGD benchmark instruments have been proposed, and so many options could confuse open data users. We intend to help practitioners and researchers decide which benchmark instrument is most appropriate to evaluate a specific purpose. We aim to investigate the different dimensions that OGD benchmarks evaluate to discover what aspects of publishing and using open data they measure. To achieve this goal, we built upon previous research on how the Open Data Charter principles are measured in OGD assessments and enriched the analysis with additional dimensions. Findings reveal that what differentiates these benchmark instruments is their scope or focus, as their creators have varying interests and objectives. All benchmark instruments measure "data openness"; however, each emphasizes different aspects of "openness." Concepts measured are deeply connected with the six Charter principles. OGD impact, use, and usefulness are addressed by half of the benchmark instruments. Measurements can be compared. Their assessments can be used to help improve data quality and the conditions for sharing and reusing OGD. Keywords: e-Government, Open Data, Open Government Data, Benchmark, Assessment 1. Introduction Governments produce, collect, maintain, and disseminate significant amounts of data (Kalampokis et al., 2011). Thus, data are the driver of the digital transformation as government transitions to e- Government (Attard et al., 2016).
    [Show full text]
  • Jussieu Reflects Our Social, Technical and Political Landscape Laurent Romary, Directeur De Recherche - Inria
    Open Access in France: how the call of Jussieu reflects our social, technical and political landscape Laurent Romary, Directeur de Recherche - Inria OA Tage - Graz, 24 September 2018 Jussieu: why and how… • The gist of Jussieu – We could not accept the (APC-based) golden rush… – First meeting in Jussieu campus on 20 May 2016 • A favourable landscape – Jussieu is just the tip of the French iceberg – The clue: a combination of centralism and consensus building • Infrastructures – HAL, but not only… • A strong political support • A not so typical example: Inria Why are we here today? • Appel de Jussieu: http://jussieucall.org – “This Call is aimed at scientific communities, professional associations and research institutions to promote a scientific publishing open-access model fostering bibliodiversity and innovation without involving the exclusive transfer of journal subscription monies to APC payments.” • What it is about: – Writing practices, peer-review procedures, editorial services on content, additional services (TDM...), business models Concrete measures to re-use saved Springer budget at Université de Lorraine: • SSH: Subscription to open and public platforms (OpenEdition,France; Erudit, Canada, Open Library of Humanities, UK) • STM: Sci-Post (physics), EDP Sciences (France), Epiga (overlay journal on Episciences.org) • Joining the Fair Open Access Alliance • Support to Directory of Open Access Journals – DOAJ, Coalition of Open Access Repositories – COAR, Sparc Europe • Note: favouring free for authors-free for readers approaches
    [Show full text]
  • OPEN GOVERNMENT PLAN National Archives and Records Administration
    OPEN GOVERNMENT PLAN National Archives and Records Administration 2014-2016 MESSAGE FROM THE ARCHIVIST Evidence of our commitment to open government is clear in our mission: We drive openness, cultivate public participation, and strengthen our nation’s democracy through public access to high-value records. It makes a strong case for our approach to open government - it’s fundamentally what we do. As an independent Federal agency, the National Archives and Records Administration serves a crucial open government role in our democracy. In the four years since we published our first Open Government Plan, I’m proud of our significant progress strengthening the principles of open government. We’ve implemented more than 90 actions to improve transparency, participation, and collaboration, while embracing innovation and developing best practices. In our Open Government Plan for 2014-2016, we focus on our efforts to engage the public on more than 160 external projects on more than 15 social media platforms, as well as through our public events, educational programs, Research Services, and Presidential Libraries. We are working to improve internal communications and employee satisfaction and we’ve created a cohort of managers and supervisors with a common ethos that supports the mission of the agency. We’ve created Special Emphasis Program Managers to help build an environment that supports fair and open competition for all employees regardless of their differences and we’ve launched NARA 311, an information line that helps employees access the internal services they need to get the job done. Our Flagship Initiative, “Innovate to Make Access Happen,” describes our digitization, description, and online access efforts for the next two years.
    [Show full text]
  • Editorial Jedem Vol. 12, No. 2 (2020)
    JeDEM 12(2): i-iii, 2020 ISSN 2075-9517 http://www.jedem.org DOI: 10.29379/jedem.v12i2.628 Editorial JeDEM Vol. 12, No. 2 (2020) Judith Schoßböck & Noella Edelmann Department for E-Governance and Administration, Danube University Krems {noella.edelmann, judith.schossboeck}@donau-uni.ac.at Welcome to the new issue of JeDEM! This second part of JeDEM Vol. 12 comprises the ongoing papers submitted to our platinum open access journal during the second half of 2020 that made it through our double-blind review process. (Have you ever wondered why we define ourselves as platinum? Then we recommend this article titled “Noble metals for a noble cause” by Jean-Sébastien Caux). But before we dive into the content, let us tell you a bit about what else we have been up to. This year, the thematic trends in JeDEM and the motivation of its users to publish open access has been the topic of two research outputs of the editors. One is based on a survey we did within the JeDEM community, and one based on data-mining of journal content in order to derive topical trends and insights for journal editors. If you are interested in the outcome, please check out the links below! Additionally, we are now a member of OASPA (the Open Access Scholarly Publishers Association), and have been working together with our chief editor Anneke Zuiderwijk to improve the vision of the journal. As always, open data and co-creation will stay a big thematic focus – by all means check out our current call for papers if you are working on related projects.
    [Show full text]
  • Software Development Processes
    software studio software development processes Daniel Jackson 1 1 One of the planning documents for software research revealed --in a parenthetical remark only-- an unchallenged tacit assumption by referring to "the tradeoff between cost and quality". Now in all sorts of mechnical engineering it may make sense to talk about "the tradeoff between cost and quality", in software development this is absolute nonsense, because poor quality is the major contributor to the soaring costs of software development. —Dijkstra, EWD690 © E.W. Dijkstra. All rights reserved. This content is excluded from our Creative Commons license. For more information, see http://ocw.mit.edu/fairuse. 2 Quotation from Fred Brook's The Mythical Man Month, 1975 removed due to copyright restrictions. 3 the waterfall model, 1970 System Requirements Software Requirements Analysis Program Design Coding Testing Operations Ideal waterfall model. Image by MIT OpenCourseWare. from: Winston Royce, “Managing the Development of Large Software Systems”, Proceedings of IEEE WESCON 26 (August): 1–9, 1970. 4 what Royce actually said System Requirements Software Requirements Analysis Program Design Coding Testing Operations Waterfall model with iterative interactions restricted to successive steps. Image by MIT OpenCourseWare. 5 what happens in practice System Requirements Software Requirements Analysis Program Design Coding Testing Operations Waterfall model in practice, iterations are not restricted to successive steps. Image by MIT OpenCourseWare. 6 Royce’s fixes program design comes first › do some design between requirements and analysis phases document the design › how much? “my own view is quite a lot” do it twice › “If the computer program in question is being developed for the first time, arrange matters so that the version finally delivered to the customer for operational deployment is actually the second version insofar as critical design/operations areas are concerned” plan, control and monitor testing › with a separate testing team involve the customer › “in a formal way, committed..
    [Show full text]
  • Educational Curriculum for the Usage of Linked Data Project URL Document URL EU Project Officer
    Deliverable 3.4.2 Exploitation and dissemination plan Coordinator: Elena Simperl With contributions from: John Domingue, Peter Haase, Maria Maleshkova, Marin Dimitrov Quality Assessor: Maria Maleshkova Editor: Elena Simperl, STI-R Deliverable nature: R Dissemination level: PU Contractual delivery date: 30.04.2014 Actual delivery date: 16.05.2014 Version: 1.0 Total number of pages: 29 Keywords: Exploitation, commercialization, dissemination, communication, community building, sustainability EUCLID 296229 Executive summary Following the strategy laid out in D3.4.1 this document analyses the impact of the dissemination and exploitation activities performed throughout the duration of the project and gives an outline of the plans the consortium has defined to continue such activities after the project’s end in order to ensure the sustainability and full uptake of EUCLID’s major achievements. Most importantly, this deliverable is concerned with the way the consortium will make use of the results of the project, be that for educational purposes in academia, or as part of commercial products and services offered by the core and associate industry partners. In EUCLID dissemination and community engagement activities are implemented in WP2. As such, three deliverables in that work package (D2.2.3, D2.3.3, and D2.1.5), all due M24, provide a comprehensive overview and analysis of the activities the project has pursued online and offline to ensure that its outcomes, most importantly the suite of learning materials produced in the last two years, are promoted to the right audiences and widely used throughout Europe and worldwide in higher education and commercial training offerings. From a dissemination and community engagement point of view the focus of this deliverable will be on providing an executive summary of the strategy and plans of the project vs.
    [Show full text]
  • OGP Brochure
    OPEN GOVERNMENT PARTNERSHIP OPEN BY DEFAULT POLICY BY THE PEOPLE ACCOUNTABILITY FOR RESULTS OPEN GOVERNMENT DECLARATION As members of the Open Government Partnership, committed to the mechanisms to enable greater collaboration between governments and principles enshrined in the Universal Declaration of Human Rights, the civil society organizations and businesses. UN Convention against Corruption, and other applicable international instruments related to human rights and good governance: Implement the highest standards of professional integrity throughout our administrations. Accountable government requires high ethical WE ACKNOWLEDGE that people all around the world are demanding more standards and codes of conduct for public officials. We commit to having openness in government. They are calling for greater civic participation robust anti-corruption policies, mechanisms and practices, ensuring in public affairs, and seeking ways to make their governments more transparency in the management of public finances and government transparent, responsive, accountable, and effective. purchasing, and strengthening the rule of law. We commit to maintaining or establishing a legal framework to make public information on the income WE RECOGNIZE that countries are at different stages in their efforts and assets of national, high ranking public officials. We commit to enacting to promote openness in government, and that each of us pursues an and implementing rules that protect whistleblowers. We commit to making approach consistent with our national priorities and circumstances and the information regarding the activities and effectiveness of our anticorruption aspirations of our citizens. prevention and enforcement bodies, as well as the procedures for recourse to such bodies, available to the public, respecting the confidentiality of WE ACCEPT responsibility for seizing this moment to strengthen our specific law enforcement information.
    [Show full text]
  • A Brief History of Open Educational Resources T
    A Brief History of Open Educational Resources T. J. Bliss* and M. Smith Hewlett Foundation *[email protected] Editors’ Commentary The Hewlett Foundation has been a key supporter of the open movement, donating over US170 million dollars over the past 15 years. In this chapter, authors T. J. Bliss and M. Smith—both of the Hewlett Foundation—ask whether this investment has been worthwhile. To answer this provocative question they trace the history of the open movement itself. They begin in the 1990s with fledging programs that formed the foundation for modern open education. From there, they cover the period they refer to as ‘open’s adolescence’ from 2004 to 2010. Finally, they discuss recent trends in open, Hewlett Foundation funding priorities, and their hopes for the future of the movement. Introduction The Open Educational Resources (OER) movement is fifteen years old. This essay reviews OER’s history, extraordinary growth, and place in education from the perspective of one current and one former employee of the William and Flora Hewlett Foundation.1,2 Since 2001, the Hewlett Foundation has pro- vided just over US$170 million to develop and extend the reach and effective- ness of OER. We tell the story of OER’s development, provide examples and discuss uses of OER, and sketch its potential as a powerful tool for reducing How to cite this book chapter: Bliss, T J and Smith, M. 2017. A Brief History of Open Educational Resources. In: Jhangiani, R S and Biswas-Diener, R. (eds.) Open: The Philosophy and Practices that are Revolutionizing Education and Science.
    [Show full text]