Charleston 2023 - Batten down the hatches: Navigating the complexities of Open Access implementation

Open access has revolutionized the scholarly communication landscape, offering unrestricted access to research outputs, and fostering collaboration and innovation. The emergence of policies like Plan S and the OSTP/Nelson memo have created further imperatives for the expansion of OA publishing.

The implementation and management of OA can be intricate and challenging for librarians and publishers alike. It has required agility on the part of libraries, who have gone from managing subscriptions to further involvement in the publication process. Libraries must now negotiate entirely different agreements, manage APCs, navigate different publishers’ systems, and collate reports and finances for their institutional leadership.

Conversely, publishers and vendor partners also find themselves adapting to this new OA environment, which comes with challenges and opportunities, including data quality, workflow adjustment and metadata management.

This session aims to provide a comprehensive overview of the complexities surrounding open access management, equipping participants with the knowledge and skills necessary to navigate this evolving landscape successfully. Hearing from key stakeholder perspectives with regards to OA implementation, what they’ve learned along the way, and potential solutions for smooth sailing in institutional open access management.

1. Friday, November 10, 2023 11:50-12:30 PM EST Batten Down the Hatches: Navigating the complexities of Open Access implementation Willa Tavernier Jamie Carmichael Matthew Ragucci Randyn Heisserer-Miller

2. Introductions Perspectives on OA implementation: Library 1 Perspective (IU-B) Intermediary Perspective (CCC) Publisher Perspective (Wiley) Library 2 Perspective (CSU) Closing Questions Agenda

3. Session Speakers Willa Tavernier Research Impact & Open Scholarship Librarian Indiana University - Bloomington Randyn Heisserer-Miller Librarian, Head of Collection Strategies Colorado State University Matthew Ragucci Director, Institutional Product Marketing Wiley Jamie Carmichael Sr. Director, Information and Content Solutions Copyright Clearance Center

4. Willa Tavernier Background and Library Perspective on OA Management Research Impact &   Open Scholarship Librarian  

5. Open Access Landscape at IU Bloomington Institutional Repositories Green OA  Started 2012 - Open Source  7 instances, 5 managed by IU Libraries, 3 managed by Scholarly Communication Dept. Library Publishing Platinum/Diamond OA Started 2008 with  Museum Anthropology Review 50+ journals Hosting and technical support Gold OA Started 2019 SpringerNature /BMC, MDPI, Frontiers, Cambridge, IOP,PLOS, Microbiology Society, Wiley- Hindawi OA Fund Gold OA Started 2019 $35,000 Most used by – Public Health Biggest Spend - SpringerNature Discount &  Transformative  Publisher  Agreements

6. Practical Challenges >> An OA Fund application - 1 month, 12 days, & 34 Emails Later … Contacting applicant to verify co-author status when the work was done Eligibility & Split Calculating supplemental departmental and researcher account funding needed Fund limits & Co-author contributions Pulling fiscal officers into the discussion arranging and identifying transfers Internal Transfers $ APC quoted in pounds and invoiced in Euros - calculating additional internal transfers when credit card statement received Exchange rate differentials €

7. Practical Challenges – Repository Deposit: From Manual to Semi-Automated & Back Faculty Annual Report .xlsx export Cleanup in Open Refine & import to BRITE METADATA ENHANCEMENT PubMed API Cross-Ref API DOAJ API IDENTIFY VERSION FOR SHARING PUBMED API SHERPA ROMEO API OA Metadata Offprint Preprint Postprint Unknown No sharing allowed OA Button DEPOSIT TO IUSW OPEN

8. Has the library assumed the responsibility of paying for publishing? Do we have reliable cost data to make an informed decision on this? How will this impact our budgets? Will we get more funding, or will we have to cut services in other areas? Has this solved the problem we were trying to solve? Do we remember what that problem was? Do we even all agree on what that problem was? Practical Challenges Discount Agreements & Publisher TA’s Make qualifying for coverage under OA agreements easy by recognizing affiliated authors regardless of author role Sometimes the system fails to recognize the affiliation - some of agreements are IU systemwide, and others are for IU Bloomington campus only Sometimes even if everything is correct, the system still fails to recognize the affiliation>> frustration at times leads to researchers simply choosing to paywall, and publisher systems vary as to at what stage of publication or how long after publication, an article can be made OA retroactively There is no single source of data for institutional publishing analysis that will show percentage of output that is OA vs paywalled, breakdown between green and gold, total being paid, and where payments are coming from. Institutional Publishing Analysis needed for administrative decision making requires us to pull data from a variety of sources, run it through various platforms and manually analyze it. OA Switchboard which we now access through the BTAA provides some composite publication data but it is not the full picture, and it does not provide an integrated payment system. This is a challenge that we need to work with vendors to resolve. Some publishers can push metadata or the appropriate article version directly to our repositories but we don’t have the systems in place. Our current version of Dspace cannot implement embargo metadata although automated deposits can be done by several publishers, and we have not implemented SWORD. Updating tech systems Make the system work dammit! Whose responsibility? Interoperability & integration

9. Libraries & Open Access – Major Needs Data Data Libraries need clear, accurate, and timely data on the University’s publishing profile and how this is broken down by publishing venues, and public access vs paywalled publishing. Libraries need clear, accurate, and timely data on the true cost of supporting open research practices, including potential future costs of transferring copyright to publishers directly or via an enforced CC-BY license under transformative agreements. &

10. Jamie Carmichael Intermediary perspective Senior Director, Information and Content Solutions Linkedin.com/in/ jamiecarm

11. 2023 : Agreements climb to 2,000  institutions, consortia, and funders in nearly 70 countries Interactive map: https://www.copyright.com/ccc-pub-solutions/ Source: RightsLink for Scientific Communications Where are deals happening? Global Agreement Expansion Geographic Location of Consortia, Institutional & Funder Deals

12. 10/12/2024 12 Containing OA complexity requires collaboration, standardization, & automation .

13. 13 Publisher Maintain a shared platform to scale OA business models, fulfill agreement terms Provide simple workflows for funded and unfunded authors Facilitate efficiency and transparency in deal modeling and institutional reporting Researcher/Author Maintain cross-publisher portal to manage agreement funding requests Deliver common reporting across multiple access points to streamline disparate data sets Institution/Consortia/Funder Enable intuitive workflows to reduce administrative burden in OA publication Provide forum to incorporate “voice of the researcher” in strategy and development Principal Consultant (Lead) Service Provider Support interoperability throughout article lifecycle Connect to 3 rd -party systems to consolidate OA payment data   OA Switchboard Knowledge Unlatched Integrated Infrastructure to Solve Challenges Together

14. The Data Quality Imperative www.stateofmetadata.com

15. Matthew Ragucci Director, Institutional Product Marketing Linkedin.com/in/ matthew-ragucci Twitter.com/mragucci Publisher Perspectives on Open Access and OA management

16. Open Access Overview at Wiley Among the first publishers to adopt and embrace Open Access OA has become a core part of our strategy and mission – Looking to bring partners along Takes significant, cross-functional work to accomplish each Transformative Agreement Understand this takes equal work on part of the institution, and not all libraries are ready Requires flexibility, reflection and revision Transformative Agreements Wiley Open Access Accounts

17. Randyn Heisserer-Miller Librarian, Head of Collection Strategies Background and Library Perspective on OA Management

18. Changing Landscape at CSU Libraries 2023 New Collection Development Strategy Emphasis on open access; Hiring of Collecton Strategies and Open Access Librarian 2022 Libraries Reorganization Librarians were reorganized into functional units Collections and Discovery Department was created 2021 New Head of Collection Strategies Collection development centralized into the Collection Strategies Unit 2020 New Dean of Libraries CSU Libraries had undergone substantial changes in strategic vision and organization since 2020. These changes are still in the routinization and realization phase with many services and processes still being considered and adjusted.

19. Collection Strategies at CSU Libraries Dean of Libraries Associate Dean for Collections & Discovery Acquisitions and Metadata Services Head of Collection Strategies Collection Strategies and Data Analysis Librarian STEM and Government Documents - Assessment Collection Strategies and Open Access Librarian HASS and Business – Open Access Initiatives Resource Sharing Budget and Assessment Coordinator Administrative Support Collection Strategies is currently comprised of three full-time Librarians and one state classified employee. The Collection Strategies and Open Access Librarian search is in its final stages.  Collection Strategies and Licensing Librarian Interdisciplinary Programs and Veterinary Medicine - Licensing

20. Open Access at CSU Libraries 2022 No cap Gold Open Journals Publish and read 2023 Full APC coverage  Budgeted amount per fiscal year: $40k (FY23); $100k (FY24) 2020 No cap Hybrid and Gold Journals Read and publish 2021 Capped Hybrid (2022) and Gold Open (2023) Full APC Coverage CSU Libraries supports CSU researchers through article processing charges coverage either fully (below) or through negotiated discounts (BioMed Central & Springer Open, MDPI, Sage, and SPIE) with publishers.    No cap Journal limitations Publish and read No cap Hybrid Journals Publish and read No cap Hybrid Journals Read and Publish Gold Open Discount

21. Challenges to OA Support Staffing Negotiating, implementing, managing, and marketing OA agreements is time consuming. Funding Funding is limited, but demand is high for APC support. Collaborating Libraries ‘involvement in spearheading and even supporting open access is up for debate.

22. Lessons Learned at CSU Libraries Limit Staff Time If the goal is to support open access, then micromanaging APC coverage is less important than supporting the action. Who Benefits? Early career faculty and graduate students are set to benefit the most from these efforts. Demand is High The desire to publish open access is high particularly amongst younger academics. Partnerships are Key Libraries can not sustain transforming the scholarly communication ecosystem alone.

23. In Conclusion Partnerships are Key 03 Partnerships are key to OA success Honest collaborations are needed Innovation is Imperative 02 Lean library staffing is prohibitive New workflows are imperative for uptake Publisher innovation is critical OA Responsibility is unclear 01 Universities do not have mandates Libraries don’t have funding to support OA alone Publishers are open, but still have a bottom line

24. Questions? Ask the panelists https://unsplash.com/photos/ship-helm-eUMEWE-7Ewg

25. Thank You! https://unsplash.com/photos/sea-waves-crashing-on-beach-shore-under-cloudy-sky-during-daytime-K7M-TG05LTo Willa Tavernier [email protected] Jamie Carmichael [email protected] Matthew Ragucci [email protected] Randyn.Heisserer -Miller [email protected]