This document summarizes a presentation about open access mandates in the UK and their implications. It discusses the key recommendations of the Finch Report that supported gold and hybrid open access. It outlines influential open access mandates from funders like Wellcome Trust and Research Councils UK. It also discusses HEFCE's green open access policy and the total cost of ownership for universities between journal subscriptions and publication fees. Finally, it examines challenges for open access in the humanities given lower research funding levels compared to STEM fields.
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Overview
» A bit about Jisc’s Content and Discovery Division
» Finch Report, OA Mandates, REF and Jisc’s role
» Total Cost of Ownership
› Institutions; Publishers
» AHSS -What’s ahead?
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Jisc’s Content and Discovery Division
» Headed by Lorraine Estelle
» Digital Content
» Scholarly Communications / OA and Projects
» Negotiates for and manages a consortium of HE, FE and RC
institutions – “Jisc Collections”
› Archives, Datasets, eBooks, Journals…….. Open Access
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June 2012 “Finch Report” - UK
» Ten recommendations, including:
› Support for publication in open access or hybrid journals, funded by APCs, as
the main vehicle for the publication of research
› The Research Councils and other public sector bodies funding research in the UK
should establish more effective and flexible arrangements to meet the costs of
publishing in open access and hybrid journals
› During the transition to OA publishing, funds should be found to extend and
rationalise current licences to cover all the institutions in those sectors
› Future discussions between universities and publishers on the pricing of big
deals should take into account the financial implications of the shift to
publication in open access and hybrid journals, of extensions to licensing
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Influential Mandates
› WellcomeTrust
– Gold (CCBY) and Green options
– Provide funding for APCs
› Research Councils UK
– Gold (CCBY) and Green options
– Provide known block funding for APCs from April 2013 to March 2015
In the first year (2013/14), £17m funding to enable around 45% of Research Council funded research papers
to be published usingGold OpenAccess growing to over 50% in the second year (2014/15) with £20m
funding.
– Majority funding STEM
Jisc Collections BMJ Open Access
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Research Council UK Block Grants
» Universities will receive APC publication funding in proportion to the amount of direct
labour costs awarded on grants that they have received over the three years from
April 2009 to March 2012. Direct labour costs have been used as a proxy of research
effort leading to the generation of publications.
» 2015/16; 2016/17, 2017/18 funding levels not provided
» By the fifth year (2017/18) funding is expected to be provided to enable approximately
75% of Research Council funded research papers to be published using Gold Open
Access.The remaining 25% of Research Council funded papers, it is expected will be
delivered via the Green OpenAccess model.
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HEFCE Policy
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HEFCE policy
» Favours Green Route
» Peer reviewed manuscripts must be deposited in an institutional or subject
repository on acceptance for publication
› Huge sector interest regarding REF policy
» The title and author of these deposits, and other descriptive information,
must be discoverable straight away by anyone with a search engine
» The manuscripts must then be accessible for anyone to read and download
once any embargo period has elapsed.
» CC-BY-NC-ND licences are strongly recommended but not mandatory.
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HEFCE Deposit Exceptions Include
» The researcher was not employed by a UK HEI at the time of
submission for publication
» It would be unlawful to deposit, or request deposit of, the output
» Deposit of the output would present a security risk
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Embargo Periods
» HEFCE:
› 12 months for REF Main Panel A and REF Main Panel B
(http://www.ref.ac.uk/panels/unitsofassessment/)
› 24 months for REF Main Panel C and REF Main Panel D
» RCUK-funded research remains as before:
› STEM/M ( MRC, NERC, BBSRC, etc.): 6 months
› HASS (AHRC, ESRC): 12 months
» WellcomeTrust: 6 months
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Mandates and Jisc’s role
» UK Universities and other research organisations respond to
policy changes
› This manifests itself in changing requirements
» Jisc responds to those changing requirements to support the UK
universities as authors, as administrators and as buyers
» Their requirements are paramount
› Jisc aims to help implementation – “our mandate”
State of the Nation(s): Facing Challenges Posed by International Open Access Mandates
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As authors and administrators - from this
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To this
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To this
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What is Jisc Collections’ remit?
» Guiding framework is the Finch report
“Future discussions between universities and publishers on the pricing of big
deals should take into account the financial implications of the shift to
publication in open access and hybrid journals, of extensions to licensing”
» RLUK (with which we are working closely) has a number of concerns
about the implementation of UK open access policies:
› transparency of publisher costs
› double-dipping
› the total cost of Journal Agreements and OpenAccess at institutional level
» Jisc Collections’ purpose is to discuss the “Total Cost of Ownership”
with publishers and to mitigate unaffordable increases in costs at the
local level
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A focus on major journal “NESLi2”
agreements with hybrid OA
» Elsevier, Wiley, Springer
» Taylor & Francis, SAGE, OUP, CUP
» NPG, BMJ
» AIP, IOP,
» RSC, ACS
» Annual Reviews, Project MUSE
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Pegs and Holes
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UK Library budget problem
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Block RC grants don’t solve the problem
» Finite: only two years secure
» Insufficient in medium term
› Predicted OA growth trend would see block grant exceeded soon
› Even if it did continue only at present levels, smaller HEIs already close to
spending their small grants
» Does not cover all research
› What happens when authors not funded by RCUK want to publish in
hybrid journals?
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Of £3 billion invested in UK research
» Funding Focus is on STEM
» The ESRC is the UK's largest organisation for funding research on economic
and social issues. It supports independent, high quality research which has an
impact on business, the public sector and the third sector.The ESRC's total
budget for 2013/14 is £212 million.At any one time the ESRC supports over
4,000 researchers and postgraduate students in academic institutions and
independent research institutes
» The AHRC supports research into arts and humanities. It uses public funding
of approximately £98 million per annum to fund research among one quarter
of the UK's research population.
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UK APC expenditure
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APC Expenditure by Publisher: UK data
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Average APC rates over time: UK data
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Possible schemes for consultation
» Offset costs of subscriptions by value ofAPCs
» Use value of subscriptions to reduce cost of APCs
» Subscription-like models forAPCs
» Modelling
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The problem in numbers
» Assume:
› An Institution spends £20,000 per year in subscription fees
with a publisher with an annual 3% price increase cap
› The Institution has typically published 11 articles based on
RCUK-funded research each year with that publisher
› The publisher’s APC is £2,200 per article
› The Institutional compliance with the RCUK mandate is 40%
in year 1, 60% in year 2 and 100% year 3 onwards
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Cumulative % increases in charges
» 51% increase in Institutional Expenditure 2013-14
» 79% increase in Institutional Expenditure 2013-15
» 130% increase in Institutional Expenditure 2013-16
» …and on and on
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Some publishers leading from the front
» Royal Society for Chemistry “Gold for Gold”
› LinksGold OA APCs to subscriptions
› Vouchers to cover the cost of APCs for RSCGold subscribers (RSC Gold is premium collection of journals)
› 1 voucher per £1,600 subscription value
» SAGE Publications
› Covers APCs in SAGE journals
› Authors based at subscribing “NESLi2 UK institutions” are entitled to APCs at a discounted rate of £200
› Between 75% and 85% discount depending onAPC
› From 2015 SAGE will globally discount the subscription rate of journals where more than 5% of articles are
published as Gold OA.
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Project MUSE
» A very successful NESli2 collection agreement
» What are the plans of the participating publishers regarding
Open Access? Is hybrid OA on the cards?
» Transparency regardingTotal Cost of Ownership
» Impact on pricing of collection over 3 year term?
» Additional information required
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AHSS Society Publishers
» Impact of UK OA Funder Mandates
» Visibility
› Inside/ Outside Big Deals?
– Not offering hybrid option (yet)?
› Clear and consistent messages to authors
» SupportingAuthors and Administrators for the next UK REF:
› University author’s accepted manuscript (AAM) - repository deposit on
acceptance
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Thank you for listening
And thanks to Neil Jacobs, Balviar Notay and Stuart Lawson for
slides used in this presentation
Contact me:
c.alderson@jisc-collections.ac.uk
State of the Nation(s): Facing Challenges Posed by International Open Access Mandates