Großbritannien - Erfahrungen auf dem Weg zu 100% Open Access //Lessons from the Road to 100% OADPG-Jahrestagung 2015, 18th March 2015

Dr Torsten Reimer (@torstenreimer / t.reimer@imperial.ac.uk)

Scholarly Communications Officer, Imperial College Londonhttp://orcid.org/0000-0001-8357-9422

Outline

1. UK: The Bumpy Road to Open Access

2. Towards Solutions: OA at Imperial College

3. Open Access and Total Cost of Ownership

4. Conclusion

Imperial College London

• Seven London campuses• Four Faculties: Engineering,

Medicine, Natural Sciences,Business School

• Ranked 2nd in the world

(QS University Ranking)• Net income (2014): £855m, incl. £351m research grants and contracts• ~15,000 students, ~7,200 staff, incl. ~3,700 academic & research staff• Staff publish ~10,000 scholarly articles per year

http://www.imperial.ac.uk/

Imperial Open Access Options

• College Preference for Green OA• Green OA

• Symplectic Elements (CRIS)• Spiral (DSpace repository)

• Gold OA (2014-15):• ASK OA (APC management)• RCUK fund: £1,35m• Charity Open Access Fund:

£381,000• College fund: £500,000• Existing project budgets

• Uptake of Gold > Green

Wellcome Trust OA Policy

WT early adopter, drives OA policy development.

Policy requires peer-reviewed papers to be available through Europe PMC (& monographs!)

Funds for CC BY publications available through the institution.

Current sector compliance ~2/3, WT introducing sanctions.

Imperial fund management described as “exemplary”.

Fund now includes other charities: Charities OA Fund (COAF).

2012 – Finch Report and Shift to Gold OA

• Driver: boost UK’s digital economy; research public good.

• In June 2012 UK government accepts report of the “Working Group on Expanding Access to Published Research Findings” (aka Finch Group).

• Recommends to make publicly funded research outputs available as OA, with a preference for Gold.

• Controversial, some criticise publisher influence.

www.researchinfonet.org/publish/finch/ https://www.flickr.com/photos/policyexchange/8410110541/ CC BY

RCUK Policy on Open Access

• Policy replaces earlier approach (2005) to pay for OA from project budgets.

• Effective from April 2013.• All RCUK-funded papers to

be OA within 5 years.• 75% gold, 25% green OA• Gold: CC BY; green 6-12(24)

month embargo periods.• RCUK allocates annual OA

budget to universities.• Responsibility to support and

enforce lies with university.

http://www.rcuk.ac.uk/research/openaccess/policy/

Issues Around OA Fund Management

Publishers/journals• Pricing and OA conditions often difficult to identify for authors• Journal OA policies still changing• Journals offer non-compliant licences• Invoicing per individual article• Invoices lack relevant information (such as article title, licence)• Invoices not always sent to correct address• Articles only published after payment received• Publishers sometimes claim copyright for CC BY articles or keep them behind

paywalls• Outdated page and colour charges add complexity (and costs)

Funders• Lack of harmonisation of funder policies• Could sometimes be clearer on compliance procedures

Universities• Standard invoice payment time is 30 days

“red” issues apply predominantly to hybrid journals

College performance in the 2020 REF will depend on open access to research

outputs – currently linked to ~£100m annual income

Post-2014 REF Policy as Game Changer for Open Access

“The core of this policy is as follows: to be eligible for submission to the post-2014 REF, outputs must have been deposited in an institutional or subject repository on acceptance for publication, and made open-access within a specified time period. […]. Only articles and proceedings accepted for publication after 1 April 2016 will need to fulfil these requirements, but we would strongly urge institutions to implement the policy now.”

http://www.hefce.ac.uk/pubs/year/2014/cl072014/#d.en.86764

Þ Applies across all funders, aim to get as close to 100% OA as possibleÞ Gold OA does not help: Green OA, on acceptance (with embargos) Þ From part-automated to fully manual process – dependent on authorÞ However, chance for academia to significantly boost OA

Author action RCUK*compliant

Wellcome**compliant

HEFCE post-2014 REF compliant

NIHR compliant

(APC paid for) Immediate OA in a journal

(APC paid for) Immediate OA in a journal with CC BY licence

(APC paid for) Immediate OA in a journal with CC BY licence and publisher deposit to EuropePMC

***

Deposit, following publication, of accepted/final version with compliant embargo

Deposit, following publication, of accepted/final version with compliant embargo and deposit to EuropePMC

Deposit on acceptance with closed access/on request with compliant embargo

Deposit on acceptance with immediate access

Deposit on acceptance with immediate access and deposit to EuropePMC

Compliance tables by Ruth Harrison (r.e.harrison@imperial.ac.uk)

Outline

1. UK: The Bumpy Road to Open Access

2. Towards Solutions: OA at Imperial College

3. Open Access and Total Cost of Ownership

4. Conclusion

Imperial College Open Access Project

Open Access Project (OAP) working group

Project Manager / Scholarly

Communications Officer

OA Implementation Group (OAIG)

Library

Team Leader: Education and

Research Support

Scholarly Communications Support Manager

5 OA Support Assistants

Education and Research Support

Assistant

Team Leader: Systems and

Innovation Support Services

ICT

Business Systems Analyst

Senior Information Officer

Team Leader: Research and

Academic Support

Research Office

(Scholarly Communications

Officer)

Head of Research Systems and Information

College Headquarters

Research Officer

OAP members: • Chair: Associate Provost: Academic Partnerships• Academic representatives of the faculties• College Secretary • Director of the Graduate School• Director of Library Services• Director of the Research Office (Institutional OA Champion)• Senior Planning Officer• Project Manager / Scholarly Communications Officer

APC Process Improvements

Fund Management 09/2013 Fund Management 09/2014

3 application forms, supported by 4 spreadsheets

1 application form supported by online database and fund management tool

No way for authors to save drafts or revisit past applications

Authors can save drafts and revisit past application

All information added manually by authors Author data entry significantly reduced, data feeds from staff directory, grants system etc.

Information exchanged via email and phone Tasks delegated through system

Invoices go to authors Invoices go to the library

Backlog Average response time: one working day

30 days invoice payment time Aim to pay within 5-10 working days

Manual reporting through spreadsheets Reporting from single data source

ASK Open Access

Article publishedCRIS detects publication,

prompts author

Author claims output, ideally

deposits manuscript

APC application

Article published OA

Current Publications/OA Workflows

1) Two separate workflows2) “On acceptance” takes away centrepiece of green OA workflow

(notification on publication)

2015 REF OA Compliance Trial

To provide and, following feedback from the academic community, refine systems and processes to enable authors to comply with the REF OA requirements.

To ensure academic awareness of and engagement with the REF OA requirements.

To provide a single workflow / point of contact for green and gold open access, thereby facilitating not only HEFCE but also RCUK and COAF compliance and wider OA uptake.

To trial additional services such as mediated deposit and a licensing advice service.

To provide reporting to departments, faculties and the College centre, enabling the College to identify issues well before April 2016 and to engage with HEFCE based on evidence.

Gold and Green – Single (draft!) Workflow

Current process Ideal REF process?

Work on REF “on acceptance” Workflow

Article published

CRIS detects publication, collects metadata

Author claims output, ideally adds manuscript

(Manuscript deposited)

Article accepted

Authors uploads manuscript with metadata

Metadata made public

Manuscript deposited(closed with embargo)

Article published

CRIS detects publication, ideally updates metadata, manual

intervention may be required

Article accepted

Publishers share manuscript and metadata

Metadata made public, Manuscript deposited

Article published

CRIS detects publication and claims automatically

REF process

ORCID?

Jisc

Router?

Licensing

ORCID – Open Researcher and Contributor ID

• Emerging global standard for identifying authors of academic outputs• Allows systems like Symplectic to automatically identify your outputs• Will reduce burden for reporting with increasing support from funders• Might play a role in supporting REF open access policy• The College created ORCID identifiers for academic and research staff

in December – within 7 weeks 1,200 colleagues linked their iD back to College systems

http://www3.imperial.ac.uk/scholarly-communication/orcid

New Approach to Licensing

https://www.flickr.com/photos/rooreynolds/243810133 CC BY NC

• Give academics more control over their outputs

• Reduce admin overheard (embargos, checking publisher policies)

• Ensure green OA meets funder requirements

Two options for universities:• SPARC Addendum• Harvard-style policy

Outline

1. UK: The Bumpy Road to Open Access

2. Towards Solutions: OA at Imperial College

3. Open Access and Total Cost of Ownership

4. Conclusion

Cost of OA - Resourcing

Imperial College OA data:• Gold OA requires ~3x management effort of Green OA per article• and about twice the time from academics, in particular hybrid journals

Hypothetical scenarios, assuming 1h per deposit and 3h per gold application, for 10K articles per year and average APC of £1,800:• 100% REF compliant: 6 FTE• 100% REF + 40% Gold (assuming efficiencies): 11 FTE + £7m APC• 100% Gold: 20 FTE + £18m APC

Potential to reduce costs through prepayment deals – but concernsabout some of the current offers.

Counting the Costs of OA

• Cost of compliance with RCUK OA policy in 2013/14: £9.2m

• Estimated cost for 2020 REF OA requirements: £4-5m

• Per article cost:• Gold : 2 hours / £81• Green: 45+ min / £33

• Significant scope for efficiency savings

Wellcome Trust release APC Data, 2012-13

• WT released data on 2012-2013 APC spend: http://dx.doi.org/10.6084/m9.figshare.963054

• Data cleaned up and analysed by the community (http://bit.ly/1qQHet9)

• 2129 APC, 94 publishers• Michelle Brook’s analysis

highlights massive spend on hybrid journals:

“In Oct 2012 – Sept 2013, academics spent £3.88 million to publish articles in journals with immediate online access – of which £3.17 million (82 % of costs, 74 % of papers) was paying for publications that Universities would then be charged again for.” http://access.okfn.org/2014/03/24/scale-hybrid-journals-publishing/

http://blog.wellcome.ac.uk/2014/03/24/new-data-on-wellcome-trust-grant-spending/

WT Data highlights Cost and Quality of Service Issues

WT highlights the following issues:• Content remaining hidden behind pay-walls;• Content not available in PMC/Europe PMC;• Missing, incorrect, or contradictory licence;• CC-BY licensed articles still linked to sites

where readers may be charged.

“In summary we contacted 20 publishers in relation to 150 articles (approximately 7%of the total number of articles for which an APC had been paid).”

“The bigger issue concerns the high cost of hybrid open access publishing, which we have found to be nearly twice that of born-digital fully open access journals.”

http://blog.wellcome.ac.uk/2014/03/28/the-cost-of-open-access-publishing-a-progress-report

/

The Issue with Hybrid Journals

Academia pays twice: through subscription and APC (“double dipping”).

Very few hybrids “flipping” to Gold; limited (but growing) number of “offsetting” options.

Developing an Effective Market for Open Access Article Processing Charges:

• Average APCs vary from $1,418 (OA journal) to $2,097 (OA journal, subscription publisher) and $2,727 (hybrid journal)

• Full OA journal market seen as functioning• Hybrid market extremely dysfunctional

http://www.wellcome.ac.uk/About-us/Policy/Spotlight-issues/Open-access/Guides/WTP054773.htm

“Total Cost of Publication”

Based on data from 23 HEI (incl. Imperial) 2007-2014.

‘Hybrid’ subscription/OA journals consistently more expensive (£1,849) than fully-OA journals (£1,136).

APCs constitute 10% of total cost of ownership for publishing (excluding administrative costs).

http://eprints.whiterose.ac.uk/81227/

Universities release APC Data

http://figshare.com/articles/Imperial_APC_data_2006_2014_/1086122

http://figshare.com/articles/University_of_Edinburgh_RCUK_Gold_Open_Access_APC_data_2013_14_/1146256

http://figshare.com/articles/University_of_Glasgow_APC_data_2013_14_/1117888

http://figshare.com/articles/Liverpool_APC_data/1083499

http://figshare.com/articles/University_of_Sheffield/1116258

http://figshare.com/articles/University_of_St_Andrews_APC_data_2013_2014/1150253

http://figshare.com/articles/Sussex_APC_data_2013_14_/1066953

http://figshare.com/articles/Warwick_APC_data/1063704

http://libraryblogs.is.ed.ac.uk/openscholarship/2014/05/01/university-of-edinburgh-open-access-update-april-2014/

http://figshare.com/articles/Jisc_Collections_aggregated_APC_data_2014/1060243

RCUK Review of OA

Data from the Imperial College Response to RCUK

Category Numbers

Papers estimated to relate to RCUK projects ~4,000

Sample known to relate to RCUK-projects 1,326

Papers from sample published as Gold OA 709

Papers from sample deposited in Spiral 31

Total spend from RCUK fund £299,492.12

Average APC paid from RCUK fund £1,837

Spend on hybrid journals £252,683.02

Average hybrid APC £1,974

Average APC for full OA journals £1,337

https://spiral.imperial.ac.uk:8443/handle/10044/1/15558 CC BY

Outline

1. UK: The Bumpy Road to Open Access

2. Towards Solutions: OA at Imperial College

3. Open Access and Total Cost of Ownership

4. Conclusion

Conclusions

• Sustainability of Gold OA at current prices:

• £163m subscriptions vs• £245m Gold OA for UK

• Hybrid journals deliverless and cost more

• Need to make (OA) publication processes more efficient

• Understand TCO, negotiate OA and subscriptions together

• HEFCE policy challenge and chance – trigger for change