Open Access Research Publications and Data

1. Open Access Research Publications and Data Professor Andrew J Deeks PVC (Science) Durham University

2. Finch report • Accessibility, sustainability, excellence: how to expand access to research publications • Report released18 June 2012 • Key recommendations • a clear policy direction should be set towards support for publication in open access or hybrid journals, funded by APCs, as the main vehicle for the publication of research, especially when it is publicly funded; • the Research Councils and other public sector bodies funding research establish more effective and flexible arrangements to meet the costs of publishing in open access and hybrid journals.

3. Finch rationale • Most people outside the HE sector and large research-intensive companies do not have ready access to research and its results. • The issue addressed is how to expand and improve access to research publications for the benefit of all who have a stake or an interest in research and its results. • The principle that the results of research that has been publicly funded should be freely accessible in the public domain is “a compelling one, and fundamentally unanswerable”.

4. Government response • Willets, July 16 2012 • “We are firmly committed to improving access so the Government accepts the proposals in your report, except for one specific point on VAT.” • “… current VAT rules agreed at EU level preclude a reduced or zero rate for e-journals.” • “We recognise that whilst Open Access (OA) means free access to the user and full right of search, it does not follow that OA has no cost.” • “Support for publicly funded research institutions will be needed to pay the cost of APCs this funding will will (sic) come out of existing research funds.”

5. RCUK response • New policy on access to research outputs • Peer reviewed research papers which result from research that is wholly or partially funded by the Research Councils: • 1. must be published in journals which are compliant with Research Council policy on Open Access. • 2. must include details of the funding that supported the research, and a statement on how the underlying research materials – such as data, samples or models – can be accessed.

6. RCUK compliant journals • The RCUK will recognise a journal as being compliant with their policy on Open Access if: • 1. The journal provides via its own website immediate and unrestricted access to the publisher’s final version of the paper, and allows immediate deposit in other repositories without restriction on re-use. This may involve payment of an ‘Article Processing Charge’ (APC) to the publisher. (GOLD) • 2. Where option 1 is not provided, the journal must allow deposit of papers in other repositories, within a defined period (12 months for AHRC and ESRC, 6 months for all others). (GREEN) • RCUK preference is for Gold open access, but that where a journal offers both Gold and Green the choice lies with the researcher and his/her institution (clarified at RCUK w/shop 13 Nov)

7. RCUK HEI block grants for APCs • Announced November 8, 2012 • Research Councils committed to providing funding for APCs in the long term; funding levels specified from 1 April 2013 to 31 March 2015 • 2013/14 funding provided to enable around 45% of RC funded research papers to be published using Gold OA • Growing to 50% in the second year • By 2017/18 funding is expected to be provided to enable approximately 75% of RC funded research papers to be published using Gold OA. • Remaining 25% expected to be delivered via the Green OA model.

8. RCUK HEI block grants for APCs • Cost over 5 years estimated at £100m, of a total RCUK research budget of some £11.2b. • Grants calculated 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 • HEIs to administer • Minimum grant to any HEI of £10,000

9. Points for discussion • The policy recommended by the Finch report sees a future where Gold publishing is the norm and subscriptions disappear • Only 6% of the worlds research output comes from the UK • I have not found figures for the portion of that research output that comes from un-funded research • How would researchers in developing countries be treated in such a world?

10. Points for discussion • Publishers have indicated that at current APC levels and publication volumes, they would not be able to continue current levels of service without subscription charges • On the other hand most UK HEIs are locked into ‘big deal’ subscriptions with the publishers • It is unclear how much publishers would lose in lost access charges • In the short term this is may be a £100m windfall for the publishers

11. Points for discussion • How will institutions apply the APC block grants? • REF post-2014 is likely to require all outputs submitted to be open access. • Is Green access likely to stay? • If so, could we pressure publishers to provide Green access through their websites (i.e. automatically waive access fees once the embargo period has elapsed) • What effect could this have on subscriptions?

12. Points for discussion • Is there a role for intermediaries (e.g. JISC) in managing both the processing of APCs and in managing repositories? • What are the consequences of the second part of the RCUK policy requiring “a statement on how the underlying research materials – such as data, samples or models – can be accessed”? • What is the view/role of the UK Deans of Science in this debate?