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ARMA Webinar: Open Access -
Working with Publishers
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Webinar Overview
• Open Access: background & key terms
• Support for open access: institutions and
publishers
• Longer term / (inter)national initiatives
engaging with publishers on open access
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Open Access: background & key
terms
Jennifer Smith
www.arma.ac.uk@arma_uk
Overview
• Open access definition
• Green and Gold open access
• Publishing models
• Outline of some of the funder policies
• Funding OA
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Open Access: a definition
“By 'open access' to this literature, we mean its free availability on the
public internet, permitting any users to read, download, copy, distribute,
print, search, or link to the full texts of these articles, crawl them for
indexing, pass them as data to software, or use them for any other
lawful purpose, without financial, legal, or technical barriers other than
those inseparable from gaining access to the internet itself.
The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited.”
Budapest Open Access Initiative 2002
http://legacy.earlham.edu/~peters/fos/boaifaq.htm (accessed 24 August 2015)
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Green Open Access
The author’s accepted manuscript
of a published research output
available via an institutional or
subject repository
Publisher usually stipulates an
embargo before article openly
available
Publisher embargoes may be
longer than those required by
Funders
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Gold Open Access
The published version is made
freely available immediately via the
publisher’s website
Article processing charge (APC)
is an upfront fee charged to replace
subscription income
Funder may specify a particular
licence which permits specific re-
use rights, eg CC-BY which allows
further sharing
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Publishing models
Journal e.g. Publisher e.g.
Pure gold Pay APC to publish for
immediate OA
All articles in journal openly
available
PLOS Medicine All journals are pay
to publish and
immediate OA
PLOS (Public Library of
Science)
Hybrid* Some articles will be paid
OA; to access others a
subscription or pay per
view required
Nucleic Acids
Research (OUP)
Mix of journals which
may be OA and
subscription/OA
journals
OUP journals
* Subscriptions to Hybrid journals + APCs paid to Hybrid publishers + staff/system costs = Total Cost of Ownership
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Policy Journal articles /
published conference papers
Monographs
RCUK (£2.3bn p.a.) Immediate Gold OA, under CC-BY,
APC paid, or
Embargoed Green OA
No requirement, but encouragement
and active consideration
Wellcome Trust
(£700m p.a.)
Immediate Gold OA, under CC-BY,
APC paid, or
Embargoed Green OA
Immediate Gold OA, under CC-BY-
NC/D, BPC paid, or
Embargoed Green OA
REF (1.6bn p.a.) Deposit at acceptance
Discoverable by publication
OA within ~RCUK embargo limits
No requirement this time, but active
consideration for future
EC Horizon 2020
(£67bn over six
years)
Deposit by publication
Immediate Gold OA, APC paid, or
Embargoed Green OA
No requirement this time, but
encouragement
Funding for FP7
Outline of some of the funder policies
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Funding OA
• Block grants from funders
• Costs incorporated in original grants
• Direct requests to funders
• Memberships
• Institutional funding
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Support for open access:
institutions and publishers
Helen Dobson and Catherine Sharp
www.arma.ac.uk@arma_uk
Background: publishers & open access
Global Global Global
% of journals % of journals Growth*
Publishing model 2012 2014 CAGR 12-14
Gold-APC 7.8% 8.2% 4.4%
Gold-no APC 8.7% 8.6% 0.8%
Hybrid-Total 45.5% 49.0% 5.5%
Delayed OA 2.3% 2.4% 5.4%
Subscription only 35.6% 31.7% -4.0%#DIV/0!
Immediate OA 62.1% 65.8% 4.7%
Subscription-based 37.9% 34.2% -3.4%
Total No. Journals 21,741 22,486 1.7%
Po
ten
tial
Imm
ed
iate
OA
Sub
scri
pti
on
bas
ed
Journals
Source: Monitoring the Transition to Open Access: A report for the
Universities UK Open Access Co-ordination Group
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Background: institutional variations
• Size of institution
• Type and research intensity
• Level of RCUK/COAF block grant
Review of the Implementation of the RCUK Policy on Open Access, March 2015
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Institutional APC payments
0
100
200
300
400
500
600
700
800
900
January-June 2015. Source: Figshare
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APC payments to publishers
January-June 2015. Source: Figshare
0
100
200
300
400
500
600
700
800
900
Number of APCs 2015
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Publications management
• Pure, Converis, Symplectic
• EPrints, Dspace
• In-house publications management
systems
• Researchfish (RCUK outputs)
Reporting on funded publications is a
challenge
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Sustainability of OA supportAverage time in minutes per Green OA article
Average time in minutes per Gold OA article
Counting the Cost of Open Access,
2014
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Managing messages
• Getting buy-in for new OA requirements
– Inconsistent (and changing!) terminology
– Complexity of varying funder OA policies
– New publisher workflows
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Publishers’ roles, institutional
expectations
Meet funders’ requirements (CC BY, PMC deposit)
Develop systems and implement standards to
support institutions
Offer sustainable APC models (offsetting)
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Challenges for publishers
Changing funder requirements
(nationally and internationally)
Legacy systems (hybrid
publishers)
Stakeholders (authors,
institutions, Jisc, standards suppliers)
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APC payments
Review of the Implementation of the RCUK Policy on Open Access, March 2015
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Offsetting schemes
• IOP: 90% rebate on previous year’s APC
spend
• Sage: flat fee for journal package
subscribers
• Wiley: varying % of previous year’s APC
spend
• T&F / RSC: vouchers based on
subscription spend
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Longer term / (inter)national
initiatives engaging with publishers
on OA
Neil Jacobs
www.arma.ac.uk@arma_uk
Overview
• Benefits of engaging collectively
• Forums, groups
• Initiatives
• Services
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Benefits of engaging collectively
• Publishers work internationally, sometimes
nationally – that is the picture they see
• OA policies are often national, so that
requirements are often shared across
HEIs
• Enables greater:
– Efficiencies (eg, shared services)
– Leverage (eg, collective negotiation)
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Forums and groups
• Universities-UK OA Coordination Group
• UK Open Access Implementation Group
• RLUK Open Access Publisher Processes
Group
• Jisc OA policy expression working group
• Ad hoc task groups
– Jisc journal OA policy expression task group
– RCUK OA policy review panel
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Initiatives engaging with publishers
• ESAC: Efficiency and Standards for Article
Charges [http://esac-initiative.org/]
• Jisc “Desiderata”: the information and
services that HEIs want from publishers [http://scholarlycommunications.jiscinvolve.org/wp/2015/03/26/how-
publishers-might-help-universities-implement-oa/]
• Copyright exceptions for research: text-
and-data-mining [https://www.gov.uk/government/publications/changes-to-copyright-
law]
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Shared services engaging with publishers
• Negotiations: Jisc Collections
– Total Cost of Ownership – data and negotiations
– Principles of “offset” agreements
– Internationally, ICOLC
• Policy information:
– Sherpa RoMEO and FACT
• Operational information:
– Jisc Publications Router
– Usage data, other metrics
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Summary and conclusions
• Open Access is:– Here to stay; no signs of major policy change
– Moving quickly; policy and service development, university implementation…
– Accepted in principle by almost all publishers
• Costs:– Subscriptions + APCs; offset models, progress..
– Future funding of APCs
– Administrative costs
– An effective market?
• Workflows– Academics, library, research office… + publishers