Meeting on Provisions in Licensing Incorporating new developments in daily licensing practice: Setting conditions for open access, patron driven access, and data & text mining

Following the workshop on new developments in daily licensing practice in November 2011, we brought together fourteen representatives from national consortia (from Denmark, Germany, Netherlands and the UK) and publishers (Elsevier, SAGE and Springer) met in Copenhagen on 9 March 2012 to discuss provisions in licences to accommodate new developments. The one day workshop aimed to: present background and ideas regarding the provisions KE Licensing Expert Group developed; introduce and explain the provisions the invited publishers currently use;ascertain agreement on the wording for long term preservation, continuous access and course packs; give insight and more clarity about the use of open access provisions in licences; discuss a roadmap for inclusion of the provisions in the publishers’ licences; result in report to disseminate the outcome of the meeting. Participants of the workshop were: United Kingdom: Lorraine Estelle (Jisc Collections) Denmark: Lotte Eivor Jørgensen (DEFF), Lone Madsen (Southern University of Denmark), Anne Sandfær (DEFF/Knowledge Exchange) Germany: Hildegard Schaeffler (Bavarian State Library), Markus Brammer (TIB) The Netherlands: Wilma Mossink (SURF), Nol Verhagen (University of Amsterdam), Marc Dupuis (SURF/Knowledge Exchange) Publishers: Alicia Wise (Elsevier), Yvonne Campfens (Springer), Bettina Goerner (Springer), Leo Walford (Sage) Knowledge Exchange: Keith Russell The main outcome of the workshop was that it would be valuable to have a standard set of clauses which could used in negotiations, this would make concluding licences a lot easier and more efficient. The comments on the model provisions the Licensing Expert group had drafted will be taken into account and the provisions will be reformulated. Data and text mining is a new development and demand for access to allow for this is growing. It would be easier if there was a simpler way to access materials so they could be more easily mined. However there are still outstanding questions on how authors of articles that have been mined can be properly attributed.

The impact of Open Access outside of European Universities

The Open Access movement has encouraged the availability of publicly-funded research papers, data and learning content for barrier-free use of that content without payment by the user. The impact of increasing availability of content to researchers in European universities is understood in terms of easier access to previous research and greater exposure for new research results, bringing benefits to the research community itself. A new culture of informal sharing is evident within the teaching and learning communities and to some extent also within the research community, but as yet the growth in informal sharing has not had a major effect upon the use of formal publication choices. This briefing paper explores the impact of open access upon potential users of research outputs outside the walls of research-led European universities, where the economic value of open access may be even greater than the academic value within universities. The potential impact of open access is understood in many communities but requires a greater volume of open access content to be available for the full potential to be realised. More open access content will become available as the opportunities in open, internet-based digital scholarship are understood. This briefing paper was written in cooperation with SPARC Europe. All links provided in footnotes in this Briefing Paper are to studies available in open access.

Submission Fees - A Tool in the Transition to Open Access?

Knowledge Exchange examined different routes in achieving the vision of 'having a layer of scholarly and scientific content openly available in the internet'. One of these routes involves exploring new developments in the future of publishing. Work is being undertaken investigating interesting alternative business models which could contribute to the transition to open access. In this light KE has commissioned a study investigating whether submission fees could play a role in a business model for Open Access journals. The general conclusion of the report bearing the title ‘Submission Fees a tool in the transition to open access?', written by Mark Ware, is that there are benefits to publishers in certain cases to switch to a model in which an author pays a fee when submitting an article. Especially journals with a high rejection rate might be interested in combining submission fees with article processing charges in order to make the transition to open access easier. In certain disciplines, notably economic and finance journals and in some areas of the experimental life sciences, submission fees are already common. Overall there seems to be an interest in the model but the risks, particularly those involved in any transition, are seen by the publishers to outweigh the perceived benefits. There is also a problem in that the advantages offered by submission fees are often general benefits that might improve the system but do not provide publishers and authors with direct incentives to change to open access. To support transition funders, institutions and publication funds could make it clear that submission fees would be an allowable cost. At present this is often unclear in their policies. Author acceptance of submission fees is critical to its success. It is an observable fact that authors will accept them in some circumstances. Author acceptance would require further study though. Based on the interviews and the modelling in the study one model in particular is regarded as the most suitable way to meet the current requirements (i.e. to strengthen open access to research publications). In this model authors pay a submission fee plus an Article Processing Fee and the article is subsequently made available in open access. Both fees are set at levels that balance acceptability with the author community with securing a meaningful mix of revenues for the Publisher.

Practical challenges in moving to Open Access: a focus on research funders and universities

At the Berlin7 conference in Paris on 3 December 2009 Knowledge Exchange provided a workshop on the practical challenges to be addressed in moving to Open Access. Presentations where provided by John Houghton and Alma Swan discussing the outcomes of studies on the costs and benefits of Open Access for institutions and the society as a whole. These were followed by presentations by two funding agencies on the results of financing publication costs both at an institutional and national level in Germany. Also the results of the Springer deal in the Netherlands where presented. The third section was focused on the results of implementing mandates both by funding bodies and institutions.

Costs and Benefits of Open Access

In June 2009 a study was completed that had been commissioned by Knowledge Exchange and written by Professor John Houghton, Victoria University, Australia. This report on the study was titled: "Open Access – What are the economic benefits? A comparison of the United Kingdom, Netherlands and Denmark." This report was based on the findings of studies in which John Houghton had modelled the costs and benefits of Open Access in three countries. These studies had been undertaken in the UK by JISC, in the Netherlands by SURF and in Denmark by DEFF. In the three national studies the costs and benefits of scholarly communication were compared based on three different publication models. The modelling revealed that the greatest advantage would be offered by the Open Access model, which means that the research institution or the party financing the research pays for publication and the article is then freely accessible. Adopting this model could lead to annual savings of around EUR 70 million in Denmark, EUR 133 million in The Netherlands and EUR 480 in the UK. The report concludes that the advantages would not just be in the long term; in the transitional phase too, more open access to research results would have positive effects. In this case the benefits would also outweigh the costs.

Sustainability of Open Access Services: Phase 4 Workshop report

Phase 4: Review of the conditions under which individual services and platforms can be sustained On Tuesday 1 October 2013, in Bristol, United Kingdom, Knowledge Exchange brought together a group of international Open Access Service providers to discuss the sustainability of their services. A number of recurring lessons learned were mentioned; Though project funding can be used to start up a service, it does not guarantee the continuation of a service and it can be hard to establish the service as a viable entity, standing on its own feet. Research funders should be aware that if they have policies or mandates for making research outputs available they will eventually also be responsible for on-going support for the underlying infrastructure. At present some services are used globally but the costs are only covered by a limited geographic spread, sometimes only a number of institutions or only one country. Finding other funding sources can be challenging. Various routes were mentioned including commercial partnerships, memberships, offering additional paid services or using a Freemium model. There is not one model that will fit all. As more services turn to library sponsorship to sustain them, one strategy might be to bundle the requests and approach a group of research and infrastructure funders or institutions (and others) with a package rather than each service going through the same resource consuming process of soliciting funding. This will also allow the community to identify gaps, dependencies and overlap in the services. The possibility of setting up an organisation to bundle the services was discussed and a number of risks were identified.

Preparing for the Research Excellence Framework: Examples of Open Access Good Practice across the United Kingdom

This article concerns how higher education institutions across the United Kingdom are implementing systems and workflows in order to meet open access requirements for the next Research Excellence Framework. The way that institutions are preparing is not uniform, although there are key areas which require attention: cost management, advocacy, systems and metadata, structural workflows, and internal policy. Examples of preparative work in these areas are taken from institutions who have participated in the Open Access Good Practice initiative supported by Jisc.

KNOWLEDGE EXCHANGE BRIEFING PAPER ON JOURNAL BUSINESS MODELS

Over the past few years many studies have been published on the costs and economic benefits of journal business models. Early studies considered only the costs incurred in publishing traditional journals made available for purchase on a subscription or licensing business model. As the open access business model became available, some studies also covered the cost of making research articles available in open access journals. More recent studies have taken a broader perspective, looking at the position of journal publishers in the market and their business models in the context of the economic benefits from research dissemination. This briefing paper also looks at the outcomes of the broadly cited RIN study and various national studies performed by John Houghton. All links provided in footnotes in this Briefing Paper are to studies available in open access.