Tag Archives: REF

Open Access monographs: Reflections from our recent symposium

Open access book formats have been under discussion for several years and have attracted interest – and concern – from researchers in Humanities, Arts and Social Sciences as well as amongst institutions, publishers, and funders. Earlier this month the Office of Scholarly Communication organised a one-day symposium on ‘Open Access monographs: from policy to reality which took place at St Catharine’s College, Cambridge. It aimed to enable discussion about the open access monographs agenda and its future challenges with the Cambridge community and beyond, to bring together researchers with publishers, funders, experts and innovators in the field of open monograph publishing, and to share experiences about the opportunities and realities of publishing an open access book. 

In this blog we summarise the key themes that emerged from this symposium. In favour of simplicity we accept that many of the issues discussed do not belong to one theme category only and are interlinked with each other. 

Picture showing the front cover of the symposium programme.
Symposium programme

‘What would it take to implement open access books for REF?’ 

This was one of the first questions in Prof Martin Paul Eve’s (Birkbeck, University of London) keynote speech which highlights an uncomfortable truth in the discussions about open access monograph policy in the UK these days. 

‘To publish 75% of anticipated monographic submission output for the next REF would require approximately £96m investment over the census period. This is equivalent to £19.2m per year. Academic library budgets as they are currently apportioned would not support this cost.’ [1] 

The figures are staggering and immediately show that money is the number one challenge in any discussions about monographs in this context. Which brings us swiftly to our first theme: The economics of open access. 

The economics of open access 

The distribution of the economics is the most important factor in the puzzle of open access monograph publishing. The overall consensus from both publishers and academics are that BPCs (Book Publishing Charges) for monographs do not work well in the humanities. They scale badly and concentrate costs. However, it is clear that one business model does not fit all in this sphere. A diversity of business models and ecosystems in which monographs can be published as open access would give authors choice and avoid monopolies. It was thought provoking to hear Rupert Gatti say that Open Book Publishers couldn’t scale up on their current business model to publish 250-300 books (10 times the amount they do now) but they shouldn’t have to. Instead, they can envisage a system where numerous small publishers like themselves exist next to large publishers, like Cambridge University Press (CUP). The idea of avoiding monopolies is not only key for authors but also readers as having a few publishers controlling the methods of distribution of this literature could end up restricting the way we access and use content. 

Questions were also raised about how BPCs (or their replacement) should be set. Monographs vary in length and complexity, usually determined by their subject matter, which in turn have vastly different production costs. Should there then be a pricing structure that better reflects this? And in a culture of openness, can we ask publishers to be transparent about their costs and services so researchers can make more informed choices about where to spend their grant money? 

Publishers are very aware of the impact that open access is having on the business models and the need to maintain quality in production and the peer review process. CUP stated that digital sales are becoming an important part of monograph publishing and that timing of open access is also quite an important factor in the economics. Exploring models of delayed open access might provide one solution to protecting publisher incomes whilst still opening up access to content. 

‘Students cannot learn without images’ (Dr Nicky Kozicharow, University of Cambridge)

Another important piece of the puzzle is who pays for the costs of publishing an open access book? The current model used for STEMM (Science, Technology, Engineering, Mathematics and Medicine) journal article APCs (Article Processing Charges), where funders usually pay the costs, was referred to an epistemic injustice that should not be replicated as researchers in less economically developed countries are disadvantaged.

The problem around costs of reproducing third-party images was also widely discussed, especially by Dr Nicky Kozicharow. Not enough is being done to support researchers, such as art historians, who rely on images for teaching and research activities. There is a (perceived) lack of training in copyright, which was a useful message, if not an uncomfortable one, to our librarians who routinely deliver training in this and are now revisiting their communications about this. But also image holders should consider how they support researchers – whilst some big holders, such as The Metropolitan Museum of Art, the Wellcome Trust, the Getty Collection and Wikimedia, do provide images free of charge, there was the suggestion that other collection holders should consider opening up access for researchers at affiliated institutions. This access would need to continue for a number of years beyond that affiliation so the images are accessible during the period in which a book will often be written up. 

Ethics, Equality, Diversity and Inclusion 

“Who and what is OA for? We need to start with the right question” (Prof Margot Finn, President of the Royal Historical Society) 

It is also important to view the economic question of who can afford to pay to publish an open access monograph through the lens of equality and inclusion. How can we ensure everyone has equal access to the opportunity to publish open access? Is open access a human right? The role of politics here is critical if we want to make open access work for everyone. Policymakers need to consider issues such as access, gender and nationality when making decisions that institutions and publishers have to interpret and adhere to.

Another group that suffers from the current set up for open access monographs are the early career researchers (ECRs). They often work in a precarious situation, moving between institutions on short term contracts. This restricts their ability to publish a monograph, which takes considerable time and effort. It is important that when institutions look to sign up to and implement statements such as DORA (San Francisco Declaration on Research Assessment), that both monographs and journal articles are considered when looking at academic career progression. 

Of course, as we strive to make open access work for everyone, we need to be mindful of impinging on academic freedoms. As noted by Dr Steven Hill (Director of Research, Research England), researchers should still be free to choose the questions they study within the constraints of the system. Academics should also be free to choose the licence that they publish their work under. This has been a major sticking point for many academics (as we have previously written) with CC BY licences seen as an ethical issue in the humanities. Instead, what is needed is a softening of licence choices with options such as non-commercial and non-derivative available – a point also highlighted in the recent Universities UK report on ’Open Access and Monographs’. Finally, we should not make assumptions that the ethical issues around licenses are the same worldwide, because they are not. 

Scalability and sustainability 

‘We need to understand fully the obstacles that underpin academic research in order to have a sustainable, scalable, global open access model – but we are not there’ (Prof Margot Finn, President of the Royal Historical Society)

The issues around open access monographs are, at times, inextricably linked. Problems to do with economics are inseparable from issues of fairness (to sum the above section up badly) but also in scalability and sustainability. The academic monograph has its own distinct ecosystem in scholarly research. Open access monographs have a global readership, but production of open access books is not necessarily global, but concentrated on local or national levels. We need to consider the far-reaching consequences of this, including the relationship between the ‘global’ academic researcher and the ‘local’ publisher. We must also consider the role of the policymakers, often European, who set the rules in one country or part of the world and those academics who are not part of this system. Do the levels of academics in these countries and their outputs justify this dominance? We should also obtain more information on how open access books are used in order to justify the expenditure in publishing them, yet Hannah Hope, speaking for the Wellcome Trust, commented that the impact of open access books is hard to measure. Download statistics are often available and provide one measure. For example, UCL Press have had 2.5 million book downloads since its launch four years ago and Open Book Publishers report that their books are being freely accessed worldwide by over 20,000 readers each month. 

The ability of publishers to innovate is seen as a key factor in the sustainability and scalability of open access monograph publishing. The size of the publisher will most probably determine their ability to innovate, with smaller publishers being in a better position to ‘take risks’ and try out new models, even if such models end up failing or not being appropriate to implement in bigger organisations due to scalability and financial constraints. Radical OA are experimenting with various business models and bringing down BPCs. The RHS’s New Historical Perspectives (NHP) book series is designed to provide high-quality publishing support to ECR historians (ECRs defined as researchers within 10 years of finishing their PhD) whilst absorbing the costs of BPCs and relying on a generous donation to cover some of the image costs. Indeed, ‘Learned societies have a long history of innovation and experimentation in publishing’ according to Prof Margot Finn, but how they take their experimentation to the next level is yet to be figured out. 

Understanding how open access monographs can scale and be sustainable is key to figuring out the type of open access that will prevail. Green open access is not considered to be the future goal for CUP, who are experimenting with a number of different business models such as consortium models, crowdfunding and freemium models. They have also been engaging with authors, researchers and librarians worldwide to understand the monograph landscape better and to demystify issues concerning publishing process. Likewise, SpringerNature voiced concerns with green open access and although open access humanities publications account for a very small proportion of their overall open access publications (~10%) they feel that they are well positioned for a more open future. 

Collaboration, relationships, communication 

Publishing is not the end point. Academy as a whole needs to engage with that’ (Dr Rupert Gatti Trinity College/Faculty of Economics/Open Book Publishers) 

What is clear is that there are many players in the field of open access monograph publishing and continued and open communication between all parties is key. Within institutions, academics and research support providers (such as librarians) need to have conversations to ensure the help required is accessible, so authors are not battling with copyright issues alone or remain unaware of the full spectrum of publishing options available to them. Senior leaders at universities must engage with their academic communities to understand the issues they face. They can then in turn engage with policymakers to encourage realistic rules and guidance that would lead to meaningful, measurable outcomes. It was reassuring to hear that consultative approaches are being taken and we welcome the continuation of these. 

Publishers also have an important role in re-defining their relationship with academics. As Prof Martin Paul Eve questioned, are publishers solely service providers and academics content creators or are both parties co-producers and academic collaborators in the research process? Prof Roger Kain emphasised ‘the relationship of an author with their publisher with a journal is a very different relationship to the relationship of an author and their publisher with a monograph’ and as such this may lead to the chance to experiment further with business models, if publishers offer more added value through intellectual support for their authors. Of course, Learned Societies and holders of large collections of images have to be involved as well so that their position within the research process is well understood. These conversations should also happen in and between different geographical places because academic research will always have international collaborations. 

We also have to be mindful of the messages that come out of these conversations. Time and again we heard the notion that “open access means bad peer review” is still alive in the academic community. This is a myth that all publishers, as well as librarians and other research support staff, are keen to debunk. Another myth is the misconception that “open access is the end of print”. As Prof Roger Kain put it ‘open access does not mean wholly replacing the physical copies of a book but help creators of content to reach wider audiences…OA and print will co-exist’. The term “open science” was noted as appearing to exclude the humanities and, therefore, disengaging researchers before they’ve even got started, even though open science includes all disciplines (this is the reason why in Cambridge we prefer to use “open research”). The language used in Plan S communication was seen as being too opaque, especially for non-native English speakers. If we are encouraging open research, we should be using language that is open and transparent, especially when open research is an international endeavour, as already mentioned. It is important that messages are correct and clear so humanities scholars and other stakeholders can engage fully in debates about the future of open access monograph publishing. 

Summary 

‘If we are going to take open access for monographs forward in a timely fashion it has to be taken forward as a shared enterprise…an enterprise involving academics as content creators, their funders, their universities…but above all their publishers’ (Prof Roger Kain, School of Advanced Study, University of London & Chairman of the UUK OA Monographs Group)

The symposium saw common themes emerging around issues with open access for monographs as the system currently stands, but also the potential benefits and possibilities that open access could open up into the future. There was consensus that open access needs to go forward as a shared enterprise with all stakeholders being equal players. Looking into the future there was also concern about the visibility of humanities research going forward when compared to the natural sciences and that humanities authors should strive to demonstrate the impact of their publishing activities. 

Many of the themes discussed in this symposium echoed the recommendations as well as concerns outlined in the Universities UK Open Access Monograph report which was published a few days after this symposium took place. The report emphasised that complex questions still remained around issues such as costs, scalability and business models, but it was positive to read statements that the ‘academic book occupies a very distinct space in scholarly research’ reinforcing the fact that monographs are fundamentally different in intention and in kind when compared with journals or fields of research, and that ‘academic book publishing is an international activity’, with whatever implications this entails, as discussed earlier. 

Perhaps it is fitting to conclude with a dose of pragmatism by quoting one of Dr Steven Hill’s remarks at the end of the symposium 

‘...a really strong dose of pragmatism has entered this debate; that we all recognise that there are different visions of utopia that different actors in the system might have, but we can see that some of our visions of utopia have to be compromised in order to achieve something that is better than we have now and enable the kind of innovative scholarship that more openness will drive’. 

and a note of optimism by Prof Martin Paul Eve who said the following when he was asked if there are lessons to be learnt from how open access has been applied to journals so far. 

‘…we can learn a lot from how the open access debate has played out. I think we also learn a lot in seeing how compromises were reached within that to get to a point that is far better than a decade ago in terms of open access for journals…Momentum is growing, and acceptance is growing. And the idea that we don’t lose quality when things are available openly is growing. All these things are positive and I think we need to take those positives, articulate them from the start and see where that takes us rather than re-inventing the wheel, having the same argument, the same debates, and ending up in the same place, probably, but 20 years from now rather that in the next decade’

Recordings and most of the presentations are available in the University of Cambridge institutional repository, Apollo as well as the OSC YouTube channel. We would like to acknowledge that this symposium was supported by the Arcadia Fund, a charitable fund of Lisbet Rausing and Peter Baldwin. 

References

(1) Source: Eve, M.P. et al., (2017). Cost estimates of an open access mandate for monographs in the UK’s third Research Excellence Framework. Insights. https://doi.org/10.1629/uksg.392) 

Published 23 October 2019 

Written by Dr Lauren Cadwallader and Maria Angelaki 

This icon displays that the content of this blog is licensed under CC BY 4.0

How open is Cambridge?

As part of Open Access Week 2016, the Office of Scholarly Communication is publishing a series of blog posts on open access and open research. In this final OAWeek post Dr Arthur Smith analyses how much Cambridge research is openly available.

For us in the Office of Scholarly Communication it’s important that, as much possible, the University’s research is made Open Access. While we can guarantee that research deposited in the University repository Apollo will be made available in one way or another, it’s not clear how other sources of Open Access contribute to this goal. This blog is an attempt to quantify the amount of Cambridge research that is openly available.

In mid-August I used Cottage Labs’ Lantern service in anLantern_Oct2016_Graphic attempt to quantify just how open the University’s research really is. Lantern uses DOIs, PMIDs or PMCIDs to match publications in a variety of sources such as CORE and Europe PMC, to determine the Open Access status of a publication – it will even try to look at a publisher’s website to determine an article’s Open Access status. This process isn’t infallible, and it relies heavily on DOI matching, but it provides a good insight into the possible sources of Open Access material.

To determine the base list of publications against which the analysis could be run,  I queried Web of Science (WoS) and Scopus to obtain a list of publications attributed to Cambridge authors. In 2015, the University published 9069 articles, reviews and conference papers according to Web of Science. Scopus returned a slightly lower figure of 7983 publications. Combining these two publication lists, and filtering to only include records with a DOI, produced one master list of 9714 unique publications (that’s ~26 publications/day!).

In 2015 the Open Access team processed 2746 HEFCE eligible submissions, so naïvely speaking, the University achieved a 28.3% HEFCE compliance rate. That’s not bad, especially because the HEFCE policy had not yet come into force, but what about other Open Access sources? We know that other universities in the UK are also depositing papers in their repositories, and some researchers make their work ‘gold’ Open Access without going through the Open Access team, so the total amount of Open Access content must be higher.

In addition to the Lantern analysis, I also exported all available DOIs from Apollo and matched these to the DOIs obtained from WoS/Scopus. WoS also classifies some publications as being Open Access, and I included these figures too. If a publication was found in at least one potentially Open Access source I classified it as Open Access. Here are the results:

Lantern_Oct2016_Figure1
Figure 1. Of 9714 DOIs analysed by Lantern, 51.8% appear in at least one open access source.

It is pleasing that our naïve estimate of 28.3% HEFCE compliance closely matches the number of records found in Apollo (26.2%). The discrepancy is likely due to a number of factors, including publications received by the Open Access Team that were actually published in 2014 or 2016, but submitted in 2015, and Apollo records that don’t have a publisher DOI to match against. However, the most important point to note is the overall open access figure – in 2015 more than 50% of the University’s scholarly publications with a DOI were available in at least one “open access” source.

Let’s dig a little deeper into the analysis. Using everyone’s favourite metric, the journal impact factor (JIF), the average JIF of articles in Apollo was 5.74 compared to 4.33 for articles that were not OA. Other repositories and Europe PMC achieved even higher average JIFs. On average, Open Access publications by Cambridge authors have a higher JIF (6.04) than articles that are not OA, which suggests that researchers are making value judgements on what to make Open Access based on journal reputation. If a paper appears in a low(er) impact journal, it’s less likely to be made Open Access. Anecdotally this is something we have experienced at Cambridge.

Lantern_Oct2016_Figure2
Figure 2. Average 2015 JIF of papers classified according to their open access status.

The WoS and Scopus exports contain citation information at the article level, so we can also look at direct citations received by these publications (up to 16 August 2016)  rather than relying on the JIF. I found that Open Access articles, on average, received 1.5 to 2 more citations than articles that are not Open Access. However, is this because authors are making their higher impact articles Open Access (which one might expect to receive more citations anyway) and are not bothering with the rest? Or this is effect due entirely to the greater accessibility offered by Open Access publication? Could the differences arise because of different researcher behaviour across different disciplines?

My feeling is that we have reached a turning point – the increased citation rates of Open Access material is not caused by the article being Open Access as these articles would have naturally received more citations anyway. Instead of looking at formal literature citations, the benefits of Open Access need to be measured outside of academia in areas that would not contribute to an articles citations.

Lantern_Oct2016_Figure5
Figure 3. Average citations received by papers according to their open access source.

Breaking it down by the source of Open Access reveals that articles that appear in other repositories receive significantly more citations than any other source. This potentially reveals that collaborative papers between researchers at different institutions are likely to have greater impact than papers conducted solely at one institution (Cambridge), however, a more thorough analysis that looks at author affiliations would be needed to confirm this.

If we focus on the WoS citation distribution the difference in average citations becomes clearer. Of 8348 WoS articles, not only are there fewer Open Access articles with no citations (14% vs 17%), but Open Access articles also receive more citations in general.

Lantern_Oct2016_Figure4
Figure 4. Citation distribution of papers found in WoS depending on their open access status.

What can we take away from this analysis? Firstly, Lantern is a valuable tool for discovering other sources of Open Access content. It identified over a thousand articles by Cambridge researchers in other institutional repositories that we did not know existed. When it comes time for the next REF, these other repositories may prove a vital lifeline in determining whether a paper is HEFCE compliant.

Secondly, more than 50% of the University’s 2015 research publications are potentially Open Access. Hopefully a similar analysis of 2016’s papers will show that even more of the University’s research is Open Access this year. And finally, although Open Access articles receive more citations than articles that are not Open Access, it is no longer clear whether this is caused by the article being Open Access, disciplinary differences, or if authors are more likely to make their best work Open Access.

Published 28 October 2016
Written by Dr Arthur Smith

Creative Commons License

Could the HEFCE policy be a Trojan Horse for gold OA?

The HEFCE Policy for open access in the post-2014 Research Excellence Framework kicks in 9 weeks from now.

The policy states that, to be eligible for submission to the post-2014 REF, authors’ final peer-reviewed manuscripts of journal articles and conference proceedings with an ISSN must have been deposited in an institutional or subject repository on acceptance for publication. Deposited material should be discoverable, and free to read and download, for anyone with an internet connection.

The goal of the policy is to ensure that publicly funded (by HEFCE) research is publicly available. The means HEFCE have chosen to favour is the green route – by putting the AAM into a repository. This does not involve any payment to the publishers. The timing of the policy – at acceptance – is to give us the best chance of obtaining the author’s accepted manuscript (AAM) before it is deleted, forgotten or lost by the author.

Universities across the UK have been preparing. Cambridge has had the ‘Accepted for publication? Send us your manuscript‘ campaign running since May 2014 with a very simple and well liked interface allowing researchers to submit their work. The Open Access team then deposits the item, checks for funding and the publisher policies and then organises payment for open access publication if required.

To give an idea of the numbers we are dealing with at Cambridge, during 2015 the Open Access team deposited 2553 articles into our repository Apollo.

Compliance levels

We have been reporting to Wellcome Trust and the RCUK over the past few years to indicate compliance levels with their policies. However the ‘compliance level’ for the HEFCE policy is a slippery concept. For a start, the policy has not yet come into force. Another complicating factor is the long term nature of the ‘reporting’. We will not truly know how compliant we have been until the time comes to submit to REF – whenever that will be (currently it seems 2021).

At Cambridge have been working on the assumption that because we do not know which outputs will be the ones that we will claim we should collect all eligible articles. However, the number of deposited articles Open Access team received over the past year represents approximately 30% of the full eligible output of the University. This might seem concerning in some ways, but it must be remembered that each researcher in the University will only be reporting four research outputs for the REF.

There are some articles that are obvious contenders for REF. By concentrating on researchers who are publishing in very high impact journals we have been trying to catch those articles we are extremely likely to claim.

During the course of 2015 we discovered 93 papers published in Nature, Science, Cell, The Lancet and PNAS. 33% of these papers were already HEFCE compliant. Of the remaining non-compliant papers we contacted 47 authors, made them aware of the HEFCE open access policy, and invited them to submit their accepted manuscript to the Open Access Service. Less than 40% of those authors who were contacted responded with their accepted manuscript. Therefore, even after direct intervention only 49% papers were HEFCE compliant, which means that still more than half of all eligible papers published in Nature, Science, Cell, The Lancet and PNAS during this period would not have been HEFCE compliant had the policy been in place.

The lack of engagement by members of the academic community with this process is a serious concern – and potentially due to four reasons:

  • Lack of awareness of the policy
  • Putting it off until the policy is in place
  • Deliberately choosing not to submit a work because it is not considered important enough or they do not consider their contribution to be significant enough
  • Some form of conscientious objection to the policy

We should note that the third reason is a matter of some concern to the University as it is not the researcher who decides which articles are put forward for REF. In addition, the University is interested in having a high overall level of compliance for REF as it considers making the research output of the institution available to be important.

Temporary reprieve

Cambridge is no island when it comes to facing significant challenges in capturing all outputs in preparation for HEFCE’s policy. While the highly devolved nature of the institution and the sheer volume of publications may be a problem unique to Cambridge and Oxford, other institutions are still developing the technology they intend to use or are facing staffing issues.

In a concession to serious concern across the sector about the ability to meet the deadline, on 24 July 2015 HEFCE announced that there was a temporary modification to the policy. They now allow research outputs to be made open access up to three months after publication until at least April 2017 (and until such time that the systems to support deposit at acceptance are in place).

This means for the first year of the policy we have a small window after publication to locate articles, determine if they are in our repositories, and if not chase the authors for the Author’s Accepted Manuscript.

The trick is knowing that an article has been published. At Cambridge our ‘best bet’ is to use Symplectic which scrapes various aggregating sources such as Scopus. However Symplectic is hindered by the efficiency of its sources. There is no guarantee that a given article will appear in Symplectic within three months of publication. And even if it is, we have already discussed the low engagement by the research community to approaches from the Open Access team for AAMs.

Subject based repositories

So far this blog has been talking about using institutional repositories for compliance. But the policy specifically states: “The output must have been deposited in an institutional repository, a repository service shared between multiple institutions, or a subject repository“.

The oldest, most established subject repository is arXiv.org and it makes sense for us to consider using arXiv as part of Cambridge’s compliance strategy. After all, some areas of high energy physics, most of computer science and much of mathematics use arXiv as a means to share their research papers. In 2014, the number of articles that were deposited into arXiv.org and subsequently picked up in Symplectic and approved by researchers were 582 – approximately 6.5% of Cambridge’s total eligible articles.

If we are able to claim these articles for HEFCE compliance without any behaviour change requirement from our academic staff then this is an ideal situation. But how do we actually do this? There is a footnote to the HEFCE statement above which says that: “Individuals depositing their outputs in a subject repository are advised to ensure that their chosen repository meets the requirements set out in this policy.” And this is the crunch point. arXiv does not currently identify which version of the work has been deposited, nor does it record the acceptance date of the work. Because of this we are currently not able to simply use the work being uploaded to arXiv.

There is work underway to look at this possibility and what would be required to allow us to use the subject based repositories as a means for compliance. HEFCE themselves have identified under ‘Further areas of work‘ that  “measures to support compliance in subject repositories” is an area of uncertainty and they will work with the community to address this.

Alternative approach?

It is possibly a good moment to take a step back from the minutiae of the means and the timing of the HEFCE policy and focus on the goal that publicly funded research is publicly available. We are in a complex policy environment. HEFCE affects all researchers but many researchers are also funded through COAF or the RCUK with their respective (gold leaning) Open Access policies.

Of the HEFCE eligible articles submitted to to Open Access team in 2015, after working through all the different funder requirements, there was a split of 44% gold Open Access and 56% green Open Access. Of the gold payments the split is approximately 74% for hybrid journals and 26% for fully open access journals.  That said, the three journals with which we have published the most – PLOS ONE, Nature Communications and Scientific Reports – are fully Open Access journals with APCs of $1495, $5200 and $1495 respectively.

A highly relevant question is – outside of the efforts by our Open Access compliance teams, how much Cambridge research is being made open access anyway?

Open access articles

The Web of Science (WoS) allows a filter on ‘Open Access’. It does not appear to list articles that are made open access on a hybrid basis, only picking up fully open access journals. While these are not definitive numbers, it does give us some idea of the scale we are looking at. In 2014 WoS gives us a figure of 981 articles published as open access by a University of Cambridge author in a fully open access journal.

The Springer Compact to which many institutions (including Cambridge) have signed up means that now all articles published by that research community will be made open access. In 2014, the Open Access Service had paid for 21 articles to be made open access. In the same period across the institution we had published 695 articles with Springer. (Note that in 2015 we paid 51 Springer  APCs). This means that for the cost of the Springer subscription and our APC payments for the previous year we will have a good proportion of Cambridge articles published as open access articles.

These two sets of numbers only allow for articles published either in fully open access journals or with Springer. It does not account for the articles where the University (or a Department or individual) pays an APC to make an article available in a hybrid (non Springer) journal. The upshot is – a significant proportion of Cambridge research is published open access.

Skip the AAM on acceptance part?

So what does this published open access research mean for compliance with the HEFCE policy? The updated HEFCE policy has addressed this:

“… we have decided to introduce an exception to the deposit requirements for outputs published via the gold route. This may be used in cases where depositing the output on acceptance is not felt to deliver significant additional benefit. We would strongly encourage these outputs to be deposited as soon as possible after publication, ideally via automated arrangements, but this will not be a requirement of the policy.”

This makes sense from an administrative perspective if the article appears in a journal where there is an embargo period on making the AAM available, forcing the University to pay an APC to make the work Open Access to meet RCUK requirements. It would avoid the palaver of:

  • obtaining the AAM from the author
  • depositing it into the repository
  • having to check to see when the article has been published
  • updating the details and
  • either set the embargo on the AAM or change the attachment in the record to the Open Access final published version

However journals where there is an embargo period on making the AAM available forcing an APC payment is in fact almost a definition of hybrid journals. We know there are issues with hybrid – of the extra expense, of double dipping, of the higher APC charges for hybrid over fully Open Access journals. Putting these aside, what this HEFCE policy change means is that publishers have effectively shifted the HEFCE policy away from a green open access policy to a gold one for a significant proportion of UK research. This is a deliberate tactic, along with the unsubstantiated campaign that green Open Access poses a major threat to scholarly publishing and therefore embargoes should be even longer.

We are already facing the problem that hybrid journals are forcing the move towards green open access being ‘code’ for a 12 month delay. This is the beginning of a very slippery slope. We have been outplayed. It really is time for the RCUK and Wellcome Trust to stop paying for hybrid Open Access.

But I digress.

The cons

The message is confusing enough – three sets of policies and three different requirements in terms of the timing and the means to make work compliant and available. We are trying to make it as simple as possible for researchers – with limited success.

The move to widespread Open Access in the UK is a huge shift for the research community and those that support them. It would be very difficult to debate the ‘against’ argument for the statement that publicly funded research should be publicly available but the devil is very much in the detail.

It would be an incredible shame if the HEFCE policy is hijacked into a partial gold OA policy, but as administrators we are drowning in compliance. There needs to be a broad discussion across the funders to try and address the conflicting compliance requirements and the potentially negative effect these policies are having on the future of open scholarly publishing. 

We welcome the opportunity to discuss these issues with HEFCE, Wellcome Trust and the RCUK. There’s plenty to talk about.

Published 25 January 2016
Written by Dr Danny Kingsley
Creative Commons License