Cairney, M.

McCutcheon, V.

Nixon, W.

English

Enlighten

n       McCutcheon, V., Nixon, W., and Cairney, M. (2014) RCUK Open Access Compliance Monitoring Report 2014. Project Report. University of Glasgow, Glasgow.   Copyright © 2014 The Authors     http://eprints.gla.ac.uk/96892/       Deposited on:  11 September 2014                   Enlighten – Research publications by members of the University of Glasgow http://eprints.gla.ac.uk                                                                              University of Glasgow, charity number SC004401 RCUK OPEN ACCESS COMPLIANCE MONITORING REPORT 2014  Contact: Valerie McCutcheon, Research Information Manager Telephone: (0)141 330 2674 Email: research-openaccess@glasgow.ac.uk  Version 1.0 – 10 September 2014 Download this document at http://eprints.gla.ac.uk/96892 1  Introduction  This report summarises key aspects of the University of Glasgow’s activity in support of the RCUK Open Access Policy1 during the period 1st April 2013 to 31st July 2014. The University received an open access block grant of £407,728 in 2013/14 and £479,680 in 2014/15.  As the reporting period above spans these years we are reporting against the total of £887,408.  The report does not cover expenditure from other sources such as existing grants and local funds within the University.  We are aware of significant expenditure on Article Processing Charges (APCs) outwith the RCUK fund.    An informal summary of activity under the previous open access pump-priming grant from the Department for Business, Innovation & Skills is available at: http://eprints.gla.ac.uk/86332/   Many of the issues remain the same:   There is often a long delay between agreeing to pay an APC and the invoice being received and processed to our ledger.  Publisher policies have to be checked on a case-by-case basis.  The format and terminology of these policies varies making it difficult to ascertain the choices available for open access in some cases     The University has an established process for providing open access support for articles at point of acceptance.    The library performs as much of the administration as possible. This is very popular with authors.  The University of Glasgow seeks free (green) routes to open access as a first choice where these comply with funder requirements.  Staff at the University are frequently consulted by peers and asked to speak at events as experts on the topic of open access.  We represent the community on a number of committees including the Consortia Advancing Standards in Research Administration Information UK group (CASRAI UK2) and as the champion for the Association of Research Managers and Administrators (ARMA3) Open Access Special Interest Group. We are leading a Jisc Pathfinder Project ‘End-to-End – Open Access Process Review and Improvements’[1]with colleagues from the Universities of Kent, Lancaster, and Southampton and with EPrints services.  This project is looking at practical ways of capturing standard metadata requirements for all open access requirements, and at sharing best practice to improve the efficiency by which organisations manage open access.   Workshop summaries, consultations, and information are shared widely with the community.   We actively promote networking with the various stakeholders regularly working with the other Pathfinder projects, system user groups, and Jisc.  Financial Accountability  The bulk of our expenditure has been on article processing charges.  A – Expenditure by Publisher  PUBLISHER EXPENDITURE AEROSPACE TECHNLOGY JAPAN 288.64 AMERICAN CHEMICAL SOCIETY 20608.87 AMERICAN SOCIETY FOR BIOCHEMISTRY AND MOLECULAR BIOLOGY 2609.93                                                           1 http://www.rcuk.ac.uk/research/openaccess/ 2 http://www.jisc.ac.uk/whatwedo/programmes/di_researchmanagement/researchinformation/casraipilot.aspx 3 https://www.arma.ac.uk/ [1] http://e2eoa.org/  Version 1.0 – 10 September 2014 Download this document at http://eprints.gla.ac.uk/96892 2  BIOMED CENTRAL 82000 CADMUS 2165.57 CCC 998.3 DARTMOUTH JOURNAL 2670.92 EDP SCIENCES 655.99 ELSEVIER 71288.2 EUROPEAN GEOSCIENCES UNION 134.64 EUROPEAN RESPIRATORY SOCIETY 2400 FRONTIERS MEDIA 805.48 GEOLOGICAL SOCIETY PUBLISHING HOUSE 1500 IEEE 5414.34 IOP 15174.24 JISC 3180.34 MANEY 3600 MDPI 2842.2 NATURE 7278 OPTICAL SOCIETY OF AMERICA 12938.58 ORCID 5950.53 OUP 11885.4 PEERJ 7298.39 PLOS 3636.95 ROYAL SOCIETY 4872 SOCIETY FOR GENERAL MICROBIOLOGY 2100.01 SPRINGER 25249.2 SWETS 10000 THE ENDOCRINE SOCIETY 2706.1 THE GEOLOGICAL SOCIETY OF AMERICA 1745.45 THIEME 3710.12 WALTER DE GRUYTER 1696.28 WILEY 88693.42 WOLTERS KLUWER 412.06 GRAND TOTAL 408510.15  As a guide to number of articles per publisher below is a list of publications that we have allocated for payment against RCUK funds.  This is taken from a manually maintained spreadsheet.  Some of these may not yet be paid but are included in the commitments figure in section B below.  PUBLISHER NUMBER OF APC’S  ACS 7 Aerospace Technology Japan 1 AIP Publishing 1 American Chemical Society 5 American Physical Society 1 American Society for Biochemistry and Molecular Biology 2 American Society of Plant Biologists 1 ASBMB 2 ASN 1  Version 1.0 – 10 September 2014 Download this document at http://eprints.gla.ac.uk/96892 3  Biomed Central 1 BMJ 3 Cambridge University Press 1 Dartmouth Journals 1 De Gruyter 1 EDP Sciences 3 Elsevier 45 Endocrine Society 1 European Geosciences Union 1 European Respiratory Society 1 Frontiers 3 Geological Society   1 Geological Society of America 1 IEEE 5 Institute of Physics 1 IOP 10 Macmillan Publishers Limited 1 Maney Publishing 1 MDPI  3 Meteorical Society 2 National Academy of Sciences 1 Nature Publishing Group 1 Optical Society of America 11 OUP 1 Oxford Journals 1 Oxford University Press 5 PLoS 4 Royal Society of Chemistry 1 Royal Society of London 1 RSC 7 Sage 8 Society for General Microbiology 1 Springer 15 Taylor & Francis 8 The Royal Society 4 Thieme 1 University of Nebraska Press 1 Wiley 52 Grand Total 230  B – Other Expenditure Analysis  Expenditure/Income £ Description 403.71 Consumables – hand-outs, refreshments for briefing sessions 1747.38 Staffing  -14473.45 Costs recovered e.g. against pre-payments made from RCUK fund where funder on paper was not RCUK 3634.83 Adjustments still to be finalised  Version 1.0 – 10 September 2014 Download this document at http://eprints.gla.ac.uk/96892 4  -8687.53    Category £ Sub-total paid to publishers 408,510.15 Sub-total other expenditure/income -8687.53 Total Net Spend 399,822.62 Block grant 887,408.00 Balance of block grant left Finance System (for use to 31/03/15) 487,585.38 Estimated commitments to 31/07/14 90,100.00 Estimated realistic balance of block grant left 397,485.38  At 31st July 2014 we had 44% of the total budget allocated for 2 years left with 33% of the budget period to run.  We expect to spend all of the funds as:   The process is becoming more established and awareness of requirements is growing.   There was a slow start to spend on the RCUK allocation. Various pre-payments were in place before the 1st April 2013 and have used some of these first before using the RCUK funds.     There are a number of applications pending decision on open access.   VAT for some cases included in the totals has not yet come through on our ledgers.  There may also be some further recoveries to the RCUK fund to be made.  Policy Compliance  We have identified 362 papers funded by one or more RCUK awards in our institutional repository. Of these papers:  Gold 232 Green 50 Non-compliant 80 Grand Total 362  Publications were selected based on date added to the repository 1st of April 2013 to 31st July 2014 inclusive and filtered for peer-reviewed papers published during 2013-14.  We do not currently capture full DD/MM/YY data for publication date so it is possible that the dataset above includes a few publications that were published early in 2013 before the RCUK policy started.  Publications by funder attribution can be seen at: http://eprints.gla.ac.uk/view/funder/   The items categorised as non-compliant may include:   Outputs where open access was not addressed at time of acceptance  Outputs where the publisher does not offer suitable open access options  Outputs which are compliant but for which we don’t yet have details of open access status.  We identified 29 papers presented at conferences and were funded by RCUK. Of these 2 have been identified as Green, they do not however have ISSNs. Only 1 paper of the 29 has an ISSN and it is not compliant with RCUK requirements.  Version 1.0 – 10 September 2014 Download this document at http://eprints.gla.ac.uk/96892 5       Version 1.0 – 10 September 2014 Download this document at http://eprints.gla.ac.uk/96892 6  Publication-Level Compliance Data  A listing of publication level compliance data taken from our institutional repository is available at http://eprints.gla.ac.uk/96892  Accuracy  Actual transactions from the Finance System were analysed and some adjustments made.   This included some recoveries and adjustments to be made for further recoveries yet to be made.  Typically these relate to cases where we have lodged funds with a publisher as a pre-payment to secure discounts.  As all University of Glasgow cases are then charged to the pre-payment for a publisher we refund the RCUK account periodically e.g. from the Wellcome Trust account if papers relate to Wellcome Trust awards.    Internal budget checks have been done throughout the budget period by reconciling commitments and actual spend manually in a spreadsheet.  The compliance statistics have come from our repository and are not a direct match to the transactions summarised in the financial accountability section.  We do not currently hold comprehensive records of the open access status in the same place as the financial transactions.  There is also some difficulty with matching transactions to publications.  There is not always a one-to-one relationship and therefore no unique identifier to link the transactions to the publication.  In addition many of the open access fees have been paid from sources other than the block grant for which we are providing the financial aspects of this report.    The list of open access compliance includes all publications that we know of where these are linked to one or more RCUK award.    We have only been able to provide compliance information for those articles linked to RCUK awards on our repository.  There may be other articles that relate to RCUK funding but the article is not on our repository or the funding has not been identified on the repository.    We have reported on items published during 2013 and 2014 (and added to our repository from the 1st of April 2013).  We do not currently hold the precise date of publication therefore the compliance report may contain some items published prior to the start of the policy on 1st April 2013.   Please do contact us if further explanation of our approach to reporting is required.  Report compiled by:  Valerie McCutcheon, William J Nixon, and Marie Cairney  research-openaccess@glasgow.ac.uk  

RCUK Open Access Compliance Monitoring Report 2014

Enlighten: Publications

n 
 
 
 
 
 
 
McCutcheon, V., Nixon, W., and Cairney, M. (2014) RCUK Open Access 
Compliance Monitoring Report 2014. Project Report. University of 
Glasgow, Glasgow. 
 
 
Copyright © 2014 The Authors 
  
 
 
http://eprints.gla.ac.uk/96892/  
 
 
 
 
 
Deposited on:  11 September 2014 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Enlighten – Research publications by members of the University of Glasgow 
http://eprints.gla.ac.uk 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
University of Glasgow, charity number SC004401 
RCUK OPEN ACCESS COMPLIANCE MONITORING REPORT 2014 
 
Contact: Valerie McCutcheon, Research Information Manager 
Telephone: (0)141 330 2674 
Email: research-openaccess@glasgow.ac.uk 
 Version 1.0 – 10 September 2014 
Download this document at http://eprints.gla.ac.uk/96892 
1 
 
Introduction 
 
This report summarises key aspects of the University of Glasgow’s activity in support of the RCUK Open Access 
Policy1 during the period 1st April 2013 to 31st July 2014. 
The University received an open access block grant of £407,728 in 2013/14 and £479,680 in 2014/15.  As the 
reporting period above spans these years we are reporting against the total of £887,408. 
 
The report does not cover expenditure from other sources such as existing grants and local funds within the 
University.  We are aware of significant expenditure on Article Processing Charges (APCs) outwith the RCUK fund.   
 
An informal summary of activity under the previous open access pump-priming grant from the Department for 
Business, Innovation & Skills is available at: http://eprints.gla.ac.uk/86332/  
 
Many of the issues remain the same: 
 
 There is often a long delay between agreeing to pay an APC and the invoice being received and processed to 
our ledger. 
 Publisher policies have to be checked on a case-by-case basis.  The format and terminology of these policies 
varies making it difficult to ascertain the choices available for open access in some cases    
 
The University has an established process for providing open access support for articles at point of acceptance.    The 
library performs as much of the administration as possible. This is very popular with authors. 
 
The University of Glasgow seeks free (green) routes to open access as a first choice where these comply with funder 
requirements. 
 
Staff at the University are frequently consulted by peers and asked to speak at events as experts on the topic of open 
access.  We represent the community on a number of committees including the Consortia Advancing Standards in 
Research Administration Information UK group (CASRAI UK2) and as the champion for the Association of Research 
Managers and Administrators (ARMA3) Open Access Special Interest Group. 
We are leading a Jisc Pathfinder Project ‘End-to-End – Open Access Process Review and Improvements’[1]with 
colleagues from the Universities of Kent, Lancaster, and Southampton and with EPrints services.  This project is 
looking at practical ways of capturing standard metadata requirements for all open access requirements, and at 
sharing best practice to improve the efficiency by which organisations manage open access.   Workshop summaries, 
consultations, and information are shared widely with the community.   We actively promote networking with the 
various stakeholders regularly working with the other Pathfinder projects, system user groups, and Jisc. 
 
Financial Accountability 
 
The bulk of our expenditure has been on article processing charges. 
 
A – Expenditure by Publisher 
 
PUBLISHER EXPENDITURE 
AEROSPACE TECHNLOGY JAPAN 288.64 
AMERICAN CHEMICAL SOCIETY 20608.87 
AMERICAN SOCIETY FOR BIOCHEMISTRY AND MOLECULAR BIOLOGY 2609.93 
                                                          
1
 http://www.rcuk.ac.uk/research/openaccess/ 
2
 http://www.jisc.ac.uk/whatwedo/programmes/di_researchmanagement/researchinformation/casraipilot.aspx 
3
 https://www.arma.ac.uk/ 
[1]
 http://e2eoa.org/ 
 Version 1.0 – 10 September 2014 
Download this document at http://eprints.gla.ac.uk/96892 
2 
 
BIOMED CENTRAL 82000 
CADMUS 2165.57 
CCC 998.3 
DARTMOUTH JOURNAL 2670.92 
EDP SCIENCES 655.99 
ELSEVIER 71288.2 
EUROPEAN GEOSCIENCES UNION 134.64 
EUROPEAN RESPIRATORY SOCIETY 2400 
FRONTIERS MEDIA 805.48 
GEOLOGICAL SOCIETY PUBLISHING HOUSE 1500 
IEEE 5414.34 
IOP 15174.24 
JISC 3180.34 
MANEY 3600 
MDPI 2842.2 
NATURE 7278 
OPTICAL SOCIETY OF AMERICA 12938.58 
ORCID 5950.53 
OUP 11885.4 
PEERJ 7298.39 
PLOS 3636.95 
ROYAL SOCIETY 4872 
SOCIETY FOR GENERAL MICROBIOLOGY 2100.01 
SPRINGER 25249.2 
SWETS 10000 
THE ENDOCRINE SOCIETY 2706.1 
THE GEOLOGICAL SOCIETY OF AMERICA 1745.45 
THIEME 3710.12 
WALTER DE GRUYTER 1696.28 
WILEY 88693.42 
WOLTERS KLUWER 412.06 
GRAND TOTAL 408510.15 
 
As a guide to number of articles per publisher below is a list of publications that we 
have allocated for payment against RCUK funds.  This is taken from a manually 
maintained spreadsheet.  Some of these may not yet be paid but are included in the 
commitments figure in section B below. 
 
PUBLISHER 
NUMBER OF 
APC’S  
ACS 7 
Aerospace Technology Japan 1 
AIP Publishing 1 
American Chemical Society 5 
American Physical Society 1 
American Society for Biochemistry and Molecular Biology 2 
American Society of Plant Biologists 1 
ASBMB 2 
ASN 1 
 Version 1.0 – 10 September 2014 
Download this document at http://eprints.gla.ac.uk/96892 
3 
 
Biomed Central 1 
BMJ 3 
Cambridge University Press 1 
Dartmouth Journals 1 
De Gruyter 1 
EDP Sciences 3 
Elsevier 45 
Endocrine Society 1 
European Geosciences Union 1 
European Respiratory Society 1 
Frontiers 3 
Geological Society   1 
Geological Society of America 1 
IEEE 5 
Institute of Physics 1 
IOP 10 
Macmillan Publishers Limited 1 
Maney Publishing 1 
MDPI  3 
Meteorical Society 2 
National Academy of Sciences 1 
Nature Publishing Group 1 
Optical Society of America 11 
OUP 1 
Oxford Journals 1 
Oxford University Press 5 
PLoS 4 
Royal Society of Chemistry 1 
Royal Society of London 1 
RSC 7 
Sage 8 
Society for General Microbiology 1 
Springer 15 
Taylor & Francis 8 
The Royal Society 4 
Thieme 1 
University of Nebraska Press 1 
Wiley 52 
Grand Total 230 
 
B – Other Expenditure Analysis 
 
Expenditure/Income 
£ 
Description 
403.71 Consumables – hand-outs, refreshments for briefing sessions 
1747.38 Staffing  
-14473.45 Costs recovered e.g. against pre-payments made from RCUK fund 
where funder on paper was not RCUK 
3634.83 Adjustments still to be finalised 
 Version 1.0 – 10 September 2014 
Download this document at http://eprints.gla.ac.uk/96892 
4 
 
-8687.53  
 
 
Category £ 
Sub-total paid to publishers 408,510.15 
Sub-total other expenditure/income -8687.53 
Total Net Spend 399,822.62 
Block grant 887,408.00 
Balance of block grant left Finance System (for use to 31/03/15) 487,585.38 
Estimated commitments to 31/07/14 90,100.00 
Estimated realistic balance of block grant left 397,485.38 
 
At 31st July 2014 we had 44% of the total budget allocated for 2 years left with 33% of the budget period to run.  We 
expect to spend all of the funds as: 
 
 The process is becoming more established and awareness of requirements is growing. 
  There was a slow start to spend on the RCUK allocation. Various pre-payments were in place 
before the 1st April 2013 and have used some of these first before using the RCUK funds.   
 
 There are a number of applications pending decision on open access. 
 
 VAT for some cases included in the totals has not yet come through on our ledgers. 
 There may also be some further recoveries to the RCUK fund to be made. 
 Policy Compliance 
 
We have identified 362 papers funded by one or more RCUK awards in our institutional repository. Of these papers: 
 
Gold 232 
Green 50 
Non-compliant 80 
Grand Total 362 
 
Publications were selected based on date added to the repository 1st of April 2013 to 31st July 2014 inclusive and 
filtered for peer-reviewed papers published during 2013-14. 
 
We do not currently capture full DD/MM/YY data for publication date so it is possible that the dataset above includes 
a few publications that were published early in 2013 before the RCUK policy started. 
 
Publications by funder attribution can be seen at: http://eprints.gla.ac.uk/view/funder/  
 
The items categorised as non-compliant may include: 
 
 Outputs where open access was not addressed at time of acceptance 
 Outputs where the publisher does not offer suitable open access options 
 Outputs which are compliant but for which we don’t yet have details of open access status. 
 
We identified 29 papers presented at conferences and were funded by RCUK. Of these 2 have been identified as 
Green, they do not however have ISSNs. Only 1 paper of the 29 has an ISSN and it is not compliant with RCUK 
requirements. 
 Version 1.0 – 10 September 2014 
Download this document at http://eprints.gla.ac.uk/96892 
5 
 
 
 
  
 Version 1.0 – 10 September 2014 
Download this document at http://eprints.gla.ac.uk/96892 
6 
 
Publication-Level Compliance Data 
 
A listing of publication level compliance data taken from our institutional repository is available at 
http://eprints.gla.ac.uk/96892 
 
Accuracy 
 
Actual transactions from the Finance System were analysed and some adjustments made.   This included some 
recoveries and adjustments to be made for further recoveries yet to be made.  Typically these relate to cases where 
we have lodged funds with a publisher as a pre-payment to secure discounts.  As all University of Glasgow cases are 
then charged to the pre-payment for a publisher we refund the RCUK account periodically e.g. from the Wellcome 
Trust account if papers relate to Wellcome Trust awards.   
 
Internal budget checks have been done throughout the budget period by reconciling commitments and actual spend 
manually in a spreadsheet. 
 
The compliance statistics have come from our repository and are not a direct match to the transactions summarised 
in the financial accountability section.  We do not currently hold comprehensive records of the open access status in 
the same place as the financial transactions.  There is also some difficulty with matching transactions to publications.  
There is not always a one-to-one relationship and therefore no unique identifier to link the transactions to the 
publication.  In addition many of the open access fees have been paid from sources other than the block grant for 
which we are providing the financial aspects of this report.   
 
The list of open access compliance includes all publications that we know of where these are linked to one or more 
RCUK award.   
 
We have only been able to provide compliance information for those articles linked to RCUK awards on our 
repository.  There may be other articles that relate to RCUK funding but the article is not on our repository or the 
funding has not been identified on the repository.   
 
We have reported on items published during 2013 and 2014 (and added to our repository from the 1st of April 2013).  
We do not currently hold the precise date of publication therefore the compliance report may contain some items 
published prior to the start of the policy on 1st April 2013.  
 
Please do contact us if further explanation of our approach to reporting is required. 
 
Report compiled by: 
 
Valerie McCutcheon, William J Nixon, and Marie Cairney 
 
research-openaccess@glasgow.ac.uk  


http://eprints.gla.ac.uk/96892/3/96892.pdf

RCUK Open Access Compliance Monitoring Report 2014

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