AAUP 2014: OA State of the Nation (C. Alderson)

Mandates, monographs and money: clues from the UK on OA futures in the humanities

23rd June 2014 State of the Nation(s): Facing Challenges Posed by International Open Access Mandates 2

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

› Wellcome Trust – 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 using Gold Open Access 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 Open Access 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

» Wellcome Trust: 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 Open Access 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

State of the Nation(s): Facing Challenges Posed by International Open Access Mandates

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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?

State of the Nation(s): Facing Challenges Posed by International Open Access Mandates

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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 of APCs

» Use value of subscriptions to reduce cost of APCs

» Subscription-like models for APCs

» 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”

› Links Gold OA APCs to subscriptions

› Vouchers to cover the cost of APCs for RSC Gold 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 on APC

› From 2015 SAGE will globally discount the subscription rate of journals where more than 5% of articles are published as Gold OA.

State of the Nation(s): Facing Challenges Posed by International Open Access Mandates

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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 regarding Total 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

» Supporting Authors 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