OER FIELD GUIDE FOR SUSTAINABILITY PLANNING
1OER FIELD GUIDE FORSUSTAINABILITY PLANNING:Framework, Information and ResourcesAugust 2019Donna M. Desrochers
2ContentsOER Sustainability Framework.3Infrastructure.41. Guidelines.42. Processes.53. Professional Development.64. Platforms.65. People and Organizational Framework.7Resources.91. Finances.92. Efficiency.10Culture.121. Vision and Strategy.122. Metrics.133. Communication.15Conclusion.16References.17
3This OER Field Guide provides information and resources to help colleges and universitiesimplement sustainable OER programs on their campuses. Although “sustainability” is ofteninterpreted as the financial resources necessary for continued support, it actually requires a broaderconceptualization of resource requirements. The Guide presents a comprehensive OER frameworkbuilt around ten individual components. When implemented as a coordinated system of integratedactivities, it positions colleges and universities to sustain OER well beyond their current state orgrant funding initiatives.This Field Guide is not intended to address the fundamental building blocks of OER course development, such asidentifying OER resources, understanding copyright licensing, and adopting or creating OER content. Instead, itdescribes the scaffolding that should be built to support those activities. This scaffolding allows OER to grow from asingular campus initiative to an integral part of the institution’s academic program.The framework presented below is intentionally comprehensive. Colleges and universities may prefer to adopt a phasedimplementation, beginning with areas that either require the most development on their campus, deliver the easiest“early wins”, or represent the most logical approach based on their program’s current strengths and weaknesses.OER Sustainability FrameworkThe OER Field Guide is organized around three corecomponents of the sustainability framework:1Infrastructure – Building the campus guidelines,processes, and capabilities necessary to support OER;Resources – Identifying the dollars or staff timerequired to support the work, as well as opportunitiesto conserve resources through efficiencyimprovements;Culture – Using OER to support broad institutionalvisions and goals, including measuring andcommunicating OER successes.This OER Framework extends upon an initial framework developed by rpk GROUP as part of the Achieving the Dream OER Degree Initiative (Griffiths et al.,2018).1
4InfrastructureThe first component of sustaining early OER activities on college campuses is putting the necessaryinfrastructure in place to nurture and scale OER. Framing OER as another tool in the instructionaltoolkit can help leverage the creation of administrative policies and procedures, develop adequatetechnical platforms and professional development supports, and ensure faculty and staff areavailable to perform or oversee these activities.1. GuidelinesCrafting formal OER Guidelines2 acknowledges the institution’s commitmentto OER by clearly identifying the purpose and expectations for developingand using open materials in the classroom. At a minimum, OER Guidelinesshould:Articulate the college or university’s purpose for using open resources,andGuidelineResources andExamples:Identify how the college or university’s current OER activities complywith other state and system OER policies or regulations, and relatedcampus policies or guidelines already in place. Tidewater CC – OERPolicyIdeally, OER Guidelines would also set expectations for OER courses andsummarize course development processes and supports. For example,they might specify OER course proposal, review, and approval procedures;identify available professional development and technical supports, anddescribe the requirements and responsibilities for receiving an OER coursedesignation from the college or university. OER Guidelines should bedeveloped in collaboration with appropriate campus stakeholders, includingcampus administrators, faculty, and leaders in the campus OER initiative.Colleges and universities may have previously developed policies orguidelines for other campuses activities, such as online learning or campustechnologies, which could serve as a model for OER. For example, manycolleges have established course development guidelines and reviewchecklists for online courses which might be adapted for OER use. The University ofEdinburgh – OERPolicy Lumen Learning – OERPolicy DevelopmentTool South African Institutefor Distance Education– OER Policy Reviewand DevelopmentToolkitIn the OER community these guidelines are often referred to as “OER Policies.” The term “OER Guidelines” is used in this Field Guide to describeinstitution-based approaches at SUNY campuses, which are distinct from formal Policies set and approved at the SUNY System level.2
52. ProcessesThe process for OER course development and approval should betransparent to all campus stakeholders. The process typically includes:Terms of agreement: Requirements for OER courses should be clearlyoutlined in advance of course development and specify:ÌÌ The type of OER permitted (adopt or adapt existing course materials;create new material);ÌÌ The acceptability and definision of low-cost materials and fees, orwhether courses must be zero-cost;ProcessResources andExamples: SUNY Fredonia – OERCourse Design ProcessÌÌ The terms of any financial incentive for OER course conversions(stipend or course release time), including whether differentiatedstipends will be paid (e.g., for high-cost courses; high-enrollmentcourses; team-based development; full courses vs. single sections),and the timeframe for the financial incentive (e.g., pre- or postdevelopment; summer stipend); and SUNY Hudson ValleyCC – OER CourseProposalÌÌ The expected time commitment for offering the course as OER,including whether financial considerations stipulate the course remainOER for a certain period of time. SUNY Hudson ValleyCC – OER CourseApproval RubricProposal process: The process for proposal submissions and approvalsshould be transparent to faculty. OER course conversions typically beginwith an OER proposal or agreement document. For example, a basicOER course conversion proposal or agreement form includes the courseand faculty contact information; a more comprehensive form mightinclude information about current textbook costs and the number ofstudents enrolled in the course so cost savings can be estimated. SUNY Canton – OERProposal MOU CUNY – OER CourseDesignation GuidelinesSome colleges require faculty to attend a workshop or OER training before they can submit a proposal so theyunderstand the basics of OER, the resources available, licensing requirements, and their institution’s courseconversion guidelines. An OER proposal form might also allow faculty to request professional development supportas part of the proposal process.Approval process: Proposal agreements are generally reviewed and approved by an OER committee, withadditional approvals sometimes required by an academic Dean or Provost. After a course is complete, facultytypically provide the OER review team with either a course syllabus or course map containing links to the OERcourse materials; a team member then conducts a license check and confirms that thecourse meets the terms of agreement.In addition to these upfront processes for course conversions, campuses should also consider any post-courseprocesses that may be beneficial. For example, do OER courses need to undergo a separate course review apart fromthe traditional review processes? What is the process for sharing courses with colleagues inside and outside of thecollege? When custom OER is developed for shared courses, who is responsible for updating course materials and linksso it remains current, and at what time intervals?
63. Professional DevelopmentCultivating OER supports and making them easily accessible are key tofaculty recruitment, engagement, and successful OER course conversion.Common barriers to OER adoption could be reduced by educating facultyabout available OER resources and expanding the OER community oncampus.Library. Faculty may be reluctant to transition to OER because they areunfamiliar with available resources in their academic area, are unsure whereto search for materials, or have concerns about quality. Connecting facultywith colleagues and librarians familiar with OER can address many of theseconcerns. Library directors may want to consider assigning library liaisonsto specific departments, host regular OER office hours or OER workshopssimilar to SUNY Fredonia’s Library, or supporting an “OER librarian” byreallocating a few hours of existing staff time to OER activities each week.Library support could improve efficiencies around course development byproviding faculty with leads on course materials and assisting with copyrightlicensing.Technology. Most colleges have instructional designers and/or informationtechnology staff that can assist with OER course delivery. For example,they have the expertise to load course materials into the college’s learningmanagement system and could also help faculty evaluate the technicaldifferences between different OER courseware options (e.g., online coursedelivery software or homework software package).ProfessionalDevelopmentResources andExamples: SUNY Fredonia – OERDiscovery Labs andLibrary Appointments SUNY Canton – OERPD Funding Program SUNY Hudson ValleyCC – Peer-to-PeerOER Contacts MN State – OERLearning CirclesFaculty collaboration. Faculty highly value peer-to-peer learning andcollaboration around OER course development, but are often unawareof other faculty on campus using OER. Some colleges have convened OERcommittees or task forces and strategically selected faculty to provide broad representation across campus. At UAlbany,funded OER Fellows provide outreach across campus, educating their colleagues about OER at various meetings andevents, and serve as initial points of contact for questions on OER. Other colleges have advertised their OER courses,course materials, and faculty contact information prominently on their websites to improve the visibility of OER coursesand make it easier for faculty to connect with their OER-experienced colleagues. An OER professional developmentfund at SUNY Canton provides an opportunity for faculty and staff to attend off-site OER events, and encourages ashare-back with colleagues at the College.4. PlatformsImplementation of appropriate technology platforms and processes can help institutions scale, measure, and supportOER across campus.Learning management systems (LMS). LMS technologies, like Blackboard and Canvas, are already deployed onmost campuses. OER course materials can be loaded directly into the LMS even when they reside on external onlinerepositories (e.g., Lumen Learning). Technology staff can develop processes to import OER course materials into courseshells so students have direct access in the LMS. Colleges and universities that prioritize loading OER materials intothe LMS for all their courses will benefit from additional analytics that can be drawn from the LMS on the utilization of
7OER resources. Technical staff also may be positioned to assist faculty inunderstanding and evaluating software that permits them to customizeexisting OER (e.g., edit open textbooks).Legacy systems. Colleges and universities may need to developmechanisms to identify and report the number of OER courses theyoffer. Adding course identification codes to colleges’ enterprise resourceplanning (ERP) systems (e.g., Banner) allows data administrators to add OERcourse identification tags to their back-office systems. Departments willalso need to develop processes to identify and report which courses havean eligible OER designation (as distinct from other “no cost” or “low cost”courses that may not utilize openly licensed materials). These processestend to operate manually at the department level, but automating thesereporting processes can reduce administrative time and improve accuracy.Similarly, colleges should add OER identification tags to their course catalogand class schedule so students can identify and actively search for OERcourses.Auxiliary systems and services. Campus OER leaders may benefit fromincluding the campus bookstore and/or print shop in their OER sustainabilityplanning. These campus units are often well-positioned to provide OERrelated services to students and faculty and may have already adapted theirplatforms and processes to accommodate new types of course materials,including OER. Many bookstores already have processes in place for facultyto report an OER course section during the textbook adoption process, withthis information displayed in the colleges’ online bookstore.PlatformResources andExamples: SUNY Monroe CC –OER Course SearchFilter Santa Ana College –OER Class Schedule SUNY Hudson ValleyCC – Bookstoreand Print Shop OERTextbook Guide Lumen Learning – OERCourse Fee PaymentSystemBookstores may also consider establishing a relationship with their campusprint shop or other print vendor to make optional print versions of OER textbooks available for students to purchase.Bookstores may choose to stock a few copies on the shelf and monitor inventory, or offer a print-on-demand service.Colleges should ask their auxiliary services providers how they can support OER and student learning in new ways. Forexample, at Hudson Valley Community College the bookstore worked with the print shop to determine the most costeffective method for printing OER textbooks. The bookstore also developed guidelines to help faculty determine thenumber of print OER textbooks they should ask the bookstore to stock on their shelves.Options are also now available for students to pay technical support fees associated with some OER courses directlythrough campus bookstore or LMS systems. Campuses that rely on digital courseware and face difficulty adding newOER course fees to support these new delivery methods may want to consider these emerging payment and deliveryplatforms.5. People and Organizational FrameworkThe greatest investment colleges and universities make in OER is around faculty and staff time. Typically, this reflects thereallocation of existing staff time to OER and away from other activities. Sustainability will require that campuses havethese essential human resources in place to develop, manage, and grow their OER programs.Campuses can plan for anticipated OER-related personnel resources by considering: 1) the organizational frameworkenvisioned for OER activities; and 2) the faculty/staff necessary to grow and support the work. It is important torecognize that personnel requirements for a mature OER model may differ from requirements during the growth phase.
8What will the OER organizational structure look like?There are various organizational structures that campuses may consider,including:ÌÌ An OER Coordinator position that oversees and manages the work;ÌÌ Leadership from a support unit, such as the library;ÌÌ Embedding oversight into an existing academic center, such as a centerfor teaching and learning or distance learning/online education office;ÌÌ Embedding the work into departments with a designated facultymember or OER committee/task force leading the work; orÌÌ A hybrid approach that incorporates more than one of the aboveapproaches (or changes over time as the program matures).Once the institution’s preferred organizational approach is selected, thenecessary faculty and staff can be identified to lead and manage the work.What faculty and staff roles will be needed to grow and sustain OERon campus?Beyond the OER organizational framework, college and universities willalso need to identify the support roles necessary to grow and sustain OER.Although much of this support is expected to come from existing facultyand staff, their time comes with real costs—existing work may need to beshifted to others (e.g., hiring an adjunct to compensate for course releasetime) or the work may no longer be performed (e.g., library reference deskhours are reduced to support OER activities).HumanResources andExamples: SUNY Albany – OERFellows Pierce College – OERProject Manager JobDescription CUNY – Library LedOER Initiative Affordable LearningGeorgia – OERChampions &Coordinators SUNY Hudson ValleyCC – Online MediaManager (OER) JobDescriptionSupport staff. Plans to develop and implement the other infrastructurecomponents (policies, processes, professional development and platforms)can help identify the staff roles required to support OER. This will likelyinclude staff from: department administration, information technology,instructional development, library services, and institutional research(reporting). In some areas, anticipated growth of OER courses may promptadditional hiring rather than relying only on reallocation of staff time. Forexample, if existing capacity for instructional designers or library support is unable to meet OER-related demand,additional staff positions may be needed.Faculty. The organization structure to sustain OER will define the additional roles that faculty may assume, such asserving as formal OER mentors, fellows or committee/task force members. For faculty developing OER courses, therecan be considerable variation around time requirements depending on whether they are adopting, adapting, orcreating new OER materials; time may also be needed to create supplemental materials such as homework assignmentsand assessments.
9ResourcesIdentifying financial resources to fund OER activities is often a top concern of OER advocates andrepresents the second component of the OER Sustainability Framework. There are various supportmodels that could be adopted depending on the college’s vision for its OER program. The requiredresources include not only dollars, but reallocated staff time. In addition, colleges should considerhow they could organize and deliver OER more efficiently to reduce resource requirements.1. FinancesThe financial resources required to sustain OER over the long-term will vary,depending on the organizational structure, infrastructure supports, numberof course conversions and the course development incentives offered.Before determining the best source of revenue for sustaining OER, collegesand universities should understand the costs associated with these activities,as well as any ancillary course delivery fees that may be assessed.Colleges should recognize that OER start-up costs may be higher thanlong-term operating costs. For example, faculty stipends initially paidto convert courses to OER may eventually be phased out. Also, timerequirements may diminish as OER expertise grows and policies andprocedures are put firmly in place.Financial sustainability planning includes:Estimating program costs. Anticipated annual program costs shouldinclude the personnel expenses (existing faculty/staff and newhires) associated with the program’s organizational framework andthe operational and professional development supports previouslyidentified. Any non-personnel operating costs, such as technology,marketing, or communications should also be captured.Estimating course-related costs. Course-related costs include facultytime, financial incentives for course development (such as stipends orcourse releases), post-development reviews and revisions, and vendorfees for OER courseware. These variable costs depend on the numberof courses or students enrolled.Exploring potential funding sources.ÌÌ Potential tuition revenue recapture (Return on Investment). OERhas the potential to generate additional tuition dollar revenue forinstitutions by improving student retention. Precisely determining thetuition revenue recaptured because of OER may be difficult to quantifyand transform into annual budget requests. But evidence that OERhas positive financial and non-financial impacts for the institution mayprovide leverage for securing institutional investments in OER.ÌÌ Institutional budget support. Campuses that expect to embed OERinto existing departments or academic centers would include fundingfor OER activities in their regular budget process. Budget requestsFinancialResources andExamples: SUNY TompkinsCortland CC –OER Course Fee(Description) Ivy Tech CC – OpenMaterial Selection Fee OregonOpen – How toPay for OER Salt Lake CC – OERFee Guidelines andBudget Tool SRI Education and rpkGROUP – ATD OERDegree Initiative Year2 Report (FinancialImpacts) Wiley, et al. – Return onInvestment from OER
10should include adequate funding for faculty andstaff to take on new OER-related work, or includeexpansion funds when capacity is limited.ÌÌ Fee structures. There are several ways that OER feescan be implemented and structured. However, newstudent fees may be politically untenable at someinstitutions or require onerous approval processes. Vendor pass-through fee. These fees are assessedonly for courses that use courseware from thirdparty vendors, and are typically between 5- 25per student. The institution may collect the feesand pass them through to the vendor, or studentscan pay the fees directly when direct-paymentplatforms are available. The vendor chargesthese fees for technical access and support; theinstitution does not receive any supplementalrevenue from these fees. OER course fee. These fees are assessed for anyOER-designated course and typically range from 10- 20 per OER course. The revenue may be usedin a variety of ways (depending on acceptableinstitutional uses), including paying for vendor passthrough fees, supporting professional development,and development/maintenance of OER courses.In the model employed by Kansas State University,10% of the fee is used to support its OER initiativewhile departments receive the remaining 90%.Departments have broad latitude in spendingthe funds, which provides an incentive to convertcourses to OER.Bookstore revenue impacts. OER may have modest financial impacts on the income that campuses receive from theirbookstores. Institutions concerned about these impacts can work with their bookstore and auxiliary services departmentto estimate the potential loss in textbook sales, and the related loss in sales commission from vendors (using thecommission rate schedule in the vendor contract) or the profits that independent stores may share with the collegeor university. The revenue impact for colleges is typically smaller than expected (and significantly lower than overallstudent savings) because the bookstore commission reflects only a percentage of lost textbook sales, and some studentspurchase textbooks from non-campus stores (or not at all).2. EfficiencyColleges and universities can consider different ways to generate efficiencies within their OER programs to drive downcosts. There are multiple ways that colleges could chose to reduce development costs:Create one master OER section per course.Developing one master OER course avoids creation ofmultiple OER sections of the same course, reducingstipends for similar work and the expense associatedwith reviewing and maintaining multiple coursesections.Provide differentiated financial incentives. Largerstipends for converting high-enrollment coursesreduces the development cost per student enrolledand boosts potential student savings; incentivizingconversion of courses with high textbook costsincreases student savings.Limit editing privileges. Once an OER section isdeveloped, limiting editing privileges reduces timespent revising and reapproving new versions of acourse.Encourage team-based development. Team-baseddevelopment offers several potential benefits,including: faster time to course completion; increasedconfidence in course quality; a collegial developmentexperience; and possible adoption by multiple facultymembers. These factors can reduce the developmentcost per section and per student. However, thegreatest savings occur when faculty effectivelydelegate work tasks and reduce duplication of effort.Stipends that are offered per course, and then sharedamong contributing faculty members, also curbs percourse development expenses.One OER section All OER sections. Departmentsthat require adoption of the same textbook forall course sections may consider a similar policyfor all OER courses sections; standardizationavoids duplication of effort and streamlines coursemanagement.
11Academic efficiencies (Return on Investment). OER may generateefficiencies for departments if it improves academic outcomes for students.When fewer students withdraw or receive grades of D or F (DFW rates)because of first-day access to OER materials and/or changes in pedagogyassociated with OER materials, fewer students will need to retake thecourse. This reduction in course repeats may reduce the number of sectionsa department needs to offer, which can have real budgetary savings if feweradjuncts are needed to teach the course.EfficiencyResources andExamples: SUNY Fredonia –Differentiated OERIncentives Tidewater CC – OERPolicy (Section 4.7) SRI and rpk GROUP– ATD OER DegreeInitiative Year 2 Report(Course DevelopmentCosts) Colvard et al. – TheImpact of OER onVarious StudentSuccess Metrics (GA)
12CultureThe third critical component of sustainability is developing an OER culture on campus. OERadvocates can help cultivate high-level support for OER by demonstrating how it connects totheir institution’s strategic plan and helps accomplish institutional objectives. Measuring OER’scontribution to those objectives requires that colleges and universities develop and monitormeaningful metrics around OER. These metrics can then be used to share OER’s successes andimpacts with the college community.1. Vision and StrategyAccess, affordability, student success and academic transformation are top priorities for many college and universityleaders. These themes are often observed in institutions’ strategic visions, objectives, and plans. Demonstrating ways inwhich OER can help institutions meet their objectives across these areas can garner institutional support for OER.Potential connections that institutions may draw between OER and common strategic objectives are shown below.AccessÌÌ Eliminating or reducing course material expenses lowers cost-related barriers to enrollment.ÌÌ Converting first-year courses to OER offers a fresh recruitment strategy for new students.ÌÌ Open materials are accessible to students on the first day of class, andstudents receiving financial aid will no longer have to wait for funds topurchase textbooks.AffordabilityÌÌ No-cost or low-cost course materials reduce students’ cost ofattendance.ÌÌ Students indicate the quality of OER resources are comparable tocommercial materials, but at lower cost (Griffiths et al., 2018).ÌÌ OER has the potential to reduce costs associated with unproductivecredit hours, repeated courses, and time to degree if the courses leadto improved student outcomes.Student successVisionResources andExamples: UWisconsin-Madison– OER StrategicFrameworkÌÌ Learning outcomes are comparable for students in OER and traditionalcourses, but with the added benefit of eliminating or reducing coursematerial costs (Hilton III, 2016). CUNY – LibraryStrategic PrioritiesÌÌ Using OER in transformative ways that change pedagogical practices(e.g., courseware) has the potential to improve student learningoutcomes. Penn State – OER TaskForce Report(Ch. 1 & 2)Academic transformationÌÌ Use of openly licensed materials gives faculty the flexibility tocustomize instructional materials for their course.ÌÌ Digital OER course materials offer a low-cost alternative to costlypublisher access codes, often bundled together with traditionaltextbooks. Open Education Group(Hilton) – Research onOER Perceptions andEfficacy
13OER leaders can highlight the types
of other faculty on campus using OER. Some colleges have convened OER committees or task forces and strategically selected faculty to provide broad representation across campus. At UAlbany, funded OER Fellows provide o
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