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.

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.

Open Access in the UK Briefing on the UK Open Access Case Study

Open Access (OA) policies have been adopted at the national, institutional and funder levels in the UK and various infrastructural support mechanisms are available to facilitate open access. In July 2012, following an independent study on ‘Accessibility, sustainability, excellence: how to expand access to research publications’ the UK Government announced its OA policy. The Government’s policy determines that ‘support for publication in open access or hybrid journals, funded by Article Processing Charges (APCs), [i]s the main vehicle for the publication of research’. At the same time that the UK Government announced its OA policy, the UK’s major research funder, the Research Councils UK (RCUK), revised its OA policy announcing its ‘preference for immediate [Gold] Open Access with the maximum opportunity for re-use’. In March 2014, the UK Funding Councils announced their OA policy for the post-2014 Research Evaluation Framework (REF). The policy requires the deposit of peer-reviewed article and conference proceedings in repositories (Green OA) and is applicable from 1 April 2016. By and large, two distinct OA routes are being promoted by the UK Government and RCUK (Gold OA) and the Funding Councils (Green OA). This scenario requires that continued efforts are made to ensure that advice and support are provided to universities, academic libraries and researchers on the distinct OA policies and on policy compliance. The UK research institutions have been adopting OA policies from as early as 2003 and there currently are 85 institutional OA policies. Despite distinct OA policies having been adopted by policymakers, national research funders and research institutions, the UK’s movement towards OA has been a result of stakeholders coordinated efforts and is considered to be a case of good practice.

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.

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.

Regional Challenges in Achieving Open Access and Proposed Recommendations

Working Together to Promote Open Access Policy Alignment in Europe

From policy development to effectiveness and alignment: An analysis of the UK’s Higher Education Open Access policy landscape

The number of Open Access (OA) policies that have been adopted by universities, research institutes and research funders has been increasing at a fast pace. The Registry of Open Access Repository Mandates and Policies (ROARMAP) records the existence of 724 OA policies across the world, of which 512 have been adopted by universities and research institutions. The UK is one of the leading countries in terms of OA policy development and implementation with a total of 85 institutional1 and an estimated 35 funder2 OA policies. In order to understand and contextualise how OA policies are developed and how they can be effectively implemented and aligned, this brief looks at two areas. The first section provides an overview on the processes evolving around policy making, policy effectiveness and policy alignment. In particular, it summarises the criteria and elements generally specified in OA policies, it points out some of the relevant steps informing the development, monitoring and revision of OA policies, it outlines what OA policy elements contribute to policy effectiveness, and highlights the benefits in aligning OA policies. The second section revisits the issues previously discussed within the context of the UK institutional (universities) OA policy landscape.

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.