UKSG 2018 Plenary - National license negotiations advancing the OA transition: a view from Sweden - Lunden
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National licence negotiations advancing the OA transition: a view from Sweden Anna Lundén National Library of Sweden
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UKSG 2018 Plenary - National license negotiations advancing the OA transition: a view from Sweden - Lunden
- 1. National Licence Negotiations Advancing the OA Transition – A view from Sweden Anna Lundén, 9th of April 2018, UKSG
- 2. Bibsam Consortium • Formed in 1996 • Paradigm shift from print to e-journals, from individual subscriptions to big deals • 81 participating organisations: HEIs, government agencies & research institutes • 41 agreements • 282 e-resource packages • Turnover € 36 million
- 3. Openaccess.se • Started as a project in 2006 at the National Library of Sweden • Focus on providing information, policy coordination, promoting and supporting open access in Sweden • Swedish NOAD in the EU funded project OpenAire • OA expert in the Swedish advocacy platform for H2020 programme ”Science with and for Society”
- 4. Political Steps Towards Open Access • 2012 Recommendation from the EU commission to member states • 2012 Swedish Research Bill addresses open access • 2015 A Proposal for National Guidelines for Open Access to Scientific Information by the Swedish Research Council in collaboration with the National Library of Sweden – Identifying opportunities for and obstacles to a transition to open access • 2016 Competitiveness Council EU’s ministers for research and innovation agreed on conclusions for Open Science • 2016 Swedish Research Bill “Knowledge in Collaboration”
- 5. Government Appropriation Directive - Coordinate Open Access to Scholarly Publications • All scientific publications resulting from research financed with public funds shall be published immediately open access • Open access is default and toll access an exception • The transition shall be fully realized within 10 years, 2026 • All stakeholders within the Swedish research system shall work towards a common goal ”The National Library of Sweden shall coordinate the implementation of principles for open access in consultation with the Swedish Research Council.”
- 6. Key Stakeholders • Swedish Rector’s Conference – Swedish Association for Higher Education • Swedish Research Council • National Library of Sweden • All stakeholders have signed the OA2020 initiative for the necessary large-scale transformation to OA • The Steering Committee for the Bibsam Consortium and the Open Access Group are chaired by the Vice- Chancellor of Stockholm University, Astrid Söderbergh Widding
- 7. Novel Methods of Working 2018-04-18 • The licensing and OA teams work closely together • Common goal 2020: Lead the work moving from subscription-based to immediate OA • OA parameters are negotiated with all journal publishers • New OA terms and conditions are brought into agreements • Publishing data output is collected, analysed and used in publisher negotiations
- 8. The State of OA in Sweden
- 9. Total Cost of Publication • ”There is enough money in the system” – 17,000 articles per annum x average APC € 2,000 – Total € 34 million • NLS has been assigned to monitor and report the total cost of publication for: – HEIs’ subscription fees, publication fees and associated administrative fees – Will demand an increased cooperation between NLS and HEIs to gather the data for APCs
- 11. LIBER’s Five Principles for Negotiations with Publishers
- 12. Joint Nordic Checklist for OA terms Open access-model (incl cost, content) No non-disclosure clauses License type (E.g. CC-BY) Article types (E.g. Article, Conference Paper / Proceedings Paper, Review) Eligible authors – verifiying, confirmation Metadata Information in reports and on invoices
- 13. National Licences with OA parameters Agreements Time period Business model Capped number of articles Expected publication output 2018 No. of titles for publication No. of titles with reading access Gold OA journals included Springer Compact 2016-2018 Read & Publish 1853 1665 1600 2156 No Institute of Physics (IOP) 2017-2019 Offsetting Uncapped* 30 41 91 No De Gruyter 2018-2020 Read & Publish Uncapped 30 381 381 Yes Royal Society of Chemistry (RSC) 2018-2020 Read & Publish Uncapped 200 40 40 No Taylor & Francis 2018-2020 Read & Publish 1450 2040 2295 167-2391** No * APC’s refunded to a maximum of the yearly license fee. **Different packages available.
- 14. Current Negotiations Ongoing/upcoming negotiations • Elsevier • Cambridge University Press • Oxford University Press • Springer Nature • Wiley
- 15. Analysis of Output with Gold OA Publishers Publisher Number of Articles 2013-2016 (Swepub) BioMed Central 1550 PLOS 1135 MDPI 301 CoAction Publishing 297* (2010 – 2016) Hindawi 291 Frontiers 277 Copernicus Publications 206 EDP 204 Scientific Research Publishing (SCIRP) 129 DovePress 120
- 16. Criteria for Gold OA Publishers • Less administration (for researchers)? • All articles published with a CC BY licence? • Discounts – minimum level? • “Quality” indicators e.g. OASPA and COPE? • The agreements can be published publically open? • Data delivery to CrossRef? • Use of standards? • Usage statistics? • Other?
- 17. Support of OA Initiatives • OA Content Services – Kriterium – Knowledge Unlatched – Open Book Publishers – Open Library of Humanities • OA Infrastructure Services – COAR – COUNTER – DOAJ – Sherpa/ROMEO – SPARC
- 18. Five Studies on OA NLS initiates and coordinates further studies during 2017-2019 in collaboration with main stakeholder groups - funders, HEIs, researchers and libraries: 1. The current research merit and resource allocation system versus incentives for open access 2. Funding for a transition from a subscription to an open access publishing system 3. Open access to scholarly monographs 4. Financial and technical support for converting peer reviewed scholarly journals from toll access to open access 5. Monitoring of compliance with open access policies and mandates
- 19. National Licence Negotiations Advancing the OA Transition • Political Support • OA2020 initiative signed by key stakeholders • Continuous support on University level in negotiation with publishers • Collection of publication data to support these negotiations – Development of Open APC Sweden
- 20. Challenges Ahead • Further develop infrastructure for administration of APCs in order to get a national overview of the total cost of publication • Redirect funding streams from subscriptions to open access - from funders to HEIs • Redesign of current cost reallocation model • Funders to monitor and follow-up on OA mandates • Give incentives for OA publishing - change the merit system, research assessment and allocation system • Engage in communication with the research community, e.g. information about OA deals
- 21. Thank you! Questions? Anna Lundén Head of Division National Coordination of Libraries National Library of Sweden anna.lunden@kb.se
Editor's Notes
- E-journals account for approx. 85 % of turnover 10 largest publishers account for 86 % of turnover 10 largest organisations account for 73 % of turnover
- Hearing in December 2015
- As a result of the research bill the National Library of Sweden got in 2017 an appropriation directive to coordinate OA to scholarly publications.
- High strategic level - all key stakeholders have endorsed the global alliance OA2020 committed to accelerating the transition to OA The committee members take an active part in high-level negotiations with publishers.
- Include OA paragraph in all journal agreements If acceptable terms regarding OA cannot be met, an agreement should be limited to a single calendar year. ”Licensor undertakes to keep Licensee informed of any alternative business models during the Term, including but not limited to models taking into account both subscription journals and Author Processing Charges for Open Access publishing in so-called hybrid journals. Should Licensee agree to switch to any such alternative business models, the parties will formalize the new business model in a separate agreement signed by both parties. In the event that the Swedish government implements an Open Access policy during the term of this Agreement, the parties will, at the request of the Licensee, renegotiate the terms of this agreement in accordance with this policy.”
- In 2017 an annual report was made, showing that 42 % of Swedish article output was OA, a percentage similar to statistics published in other, pivotal, international studies. The statistics show that the proportion of OA has increased from approx. 30 % in 2010 until 42 % in 2015. The reason for the lower figure in 2016 is because of the delays in registration of articles in the local repositories, and also due to publishers’ embargo periods. The proportion of gold OA has more than doubled from 8 to 18 % during 2010-2016, and the proportion of hybrid OA has risen from 1 to 5 %.
- According to the White Paper by Max Planck Digital Library there is enough money in the current publishing system for a transition to OA. Calculations carried out by the NLS have shown that this hypothesis holds true for also Sweden! The average publication output by corresponding authors affiliated with Sw. HEIs amount to around 17,000 articled per annum. Assuming a mean APC of 2,000 EURO the total expenditure on APCs would amount to 34 million EURO. From 2018 the NLS has been assigned to monitor and report this cost on a yearly basis to the Swedish Government. 1st year total amount based on estimations.
- The need to start to get in control of the APC spending was recognised in 2016 when NLS and 5 HEIs held a workshop and set up a pilot - an aggregation of Swedish APC costs at GitHub github.com/Kungbib/openapc-se Modelled from the German INTACT project's Open APC Open APC Sweden is an important factor in the desired monitoring and overview of the TCP It gives more information and knowledge about the development of OA in Sweden Transparent is vital, to publically show OA publishing costs Create possibilities to coordinate APC and subscription costs through library budgets
- The need to start to get in control of the APC spending was recognised in 2016 when NLS and 5 HEIs held a workshop and set up a pilot - an aggregation of Swedish APC costs at GitHub github.com/Kungbib/openapc-se Modelled from the German INTACT project's Open APC Open APC Sweden is an important factor in the desired monitoring and overview of the TCP Transparency is vital, to publically show OA publishing costs The Swedish Rectors’ Conference has introduced a recommendation that all HEIs should use a specific code when registering invoices for APCs in the local finance systems, which will make it easier to collect this data both at the University level and nationally to get an overview of these increasing cost. Colleagues of mine from Stockholm University and Karolinska Instiute will tell you more about these approaches in the outbreak session group C.
- For the national licence negotiations we are guided by the 5 principles for negotiations set out by LIBER in this very clear and straight forward way. 7 september 2017 http://libereurope.eu/blog/2017/09/07/open-access-five-principles-negotiations-publishers/
- In June 2017 we hosted a Nordic workshop which resulted in a joint Nordic checklist for OA terms which is intended for the use of consortium or library staff negotiating OA agreements with publishers. It is build upon a checklist made by our colleagues in the Netherlands and is aligned with ESAC recommendations http://esac-initiative.org/.
- The Bibsam Consortium has successfully negotiated 5 national licences including OA parameters. These are only to be regarded as pilots or transitional models. Different models: Offset, Read & Publish, Vouchers /Discounts, Pay-as-you-publish In addition to the above mentioned there are APC discounts in Bibsam agreements with the following publishers: IOS Press (€100 discount), ISPG (10% discount, open access journals only), Karger (50% discount, open access journals only) Discounts on Publisher memberships: Royal Society, BMJ, MaryAnn Liebert
- Sweden, the first Nordic country to do so, signed a pilot with Springer in July 2016 which will end in December 2018. This ‘read and publish’ model combines licensing and publishing fees in a single agreement. The aim is to increase OA publishing and at the same time create an overview of the costs involved in order to get control over the total spend. Approximately 1,400 articles were published as immediate OA in 2017. This can be compared to numbers from 2015, when only 162 articles were published OA. As the Springer agreement was the first Swedish OA pilot combining licensing and publishing, an independent national evaluation group was formed with the objective of studying the outcome of the pilot. A third interim report in a series of four was published in February 2018. It provides evidence-based guidelines for the upcoming renegotiation, recommending, for example, inclusion of gold OA journals and lower levels of APCs. Focus areas/objectives for the evaluation: Economy, Administration, Attitudes, Research dissemination http://openaccess.blogg.kb.se/files/2018/02/Evaluation_of_offset_agreements_SC_Report_3.pdf Output covered: Original Paper, Review Paper, Brief Communication, Continuing Education Oversized agreement when it comes to publication out put - prognosis 2016: 700 articles : 1614 articles : 1848 articles Total: 4162 articles
- Of course negotiations with Elsevier has proven difficult but interesting due to the situation in Germany and the Finnish agreement model that has not been accepted by the Swedish Rectors Conference. Hope to be able to tell you more about this at the end of April… It’s clear that there is currently no perfect or really satisfying OA business model on the market. Prepaid read and publish models with large publishers, containing a licence to read the content and an option to publish a set number of projected articles, are only to be regarded as pilots or transitional models since there is a risk of such agreements becoming permanent, which in turn would threaten to replicate the current lock-in with bundled journal collections tying up a substantial part of library budgets.
- Even though negotiations with traditional publishers offering hybrid OA journals have hitherto been the focus of the Bibsam Consortium, we are also exploring the possibility of entering into agreements with gold OA publishers. An overview of the Swedish article output with gold OA publishers has therefore been compiled in preparation for forthcoming negotiations.
- The steering committee are currently discussing evaluation criteria for Gold OA publishers. And we’re likely to follow the Austrian consortium who has signed an agreement with Frontiers regarding discounts on APC’s and central invoicing. OASPA: Open Access Scholarly Publishers Association COPE: Committee on Publication Ethics
- Apart from journal negotiations, the NLS also supports initiatives for both OA infrastructure services and for OA content services. It’s important to participate in this kind of crowd funding to make sure that these initiatives survive and develop into sustainable OA services.
- Since the NLS received its official coordinating role from the Sw. government we have initiated five further studies on OA – all tackling major hinder to reach OA. The second study, ‘Funding for a transition from a subscription-based to an open access publishing system’, is of particular interest in this context and will be finalized at the end of 2018. Although the matter needs to be further explored in the study and new workflow processes to be developed, a need for institutional redirection of funding streams in Sweden among national stakeholders has already become clear.
- As a summary it can be concluded that there is enough money in the current subscription system for a transition to OA and that an OA publishing system is no longer only a mirage on the horizon, but is in fact currently under way in Sweden through: national OA co-ordination ongoing OA studies new evidence-based ways of collecting publication data to support high-level negotiations with publishers for agreements combining both OA components and subscriptions monitoring of funding streams and compliance with funder mandates national and international co-operation on these issues.
- In order to reach the target of immediate OA on publication of publicly funded research outputs by 2026 set by the Swedish Government, there is a strong need for institutional reallocation of funds. The main stakeholders in Sweden must not lose momentum in this process but make a concerted push forward in negotiations with publishers to achieve a sustainable scholarly publishing system in unison with its international counterparts.