Bringing the emphasis back to OA David C Prosser Executive Director RLUK

Who we are Membership organisation of 32 libraries 27 university libraries 3 national libraries Wellcome and V&A Vision: The UK should have the best research library support in the world

Budapest Open Access Initiative Two complementary strategies: Self-Archiving: Scholars should be able to deposit their refereed journal articles in open electronic archives which conform to Open Archives Initiative standards Open-Access Journals: Journals will not charge subscriptions or fees for online access. Instead, they should look to other sources to fund peer-review and publication (e.g., publication charges)

The Purpose of an IR - Eric van der Velde Release hidden information Rein in journal prices Archive an institution’s scholarly record Enable fast research communication Provide free access to author- formatted articles.

The Purpose of an IR - Eric van der Velde Release hidden information Rein in journal prices Archive an institution’s scholarly record Enable fast research communication Provide free access to author-formatted articles Aid research management.

Providing free access to (author-formatted) articles Have we failed over the past ten years to convince authors that archiving their papers is in their interests?

Providing free access to articles The key drivers for authors: Access problems Citation Mandates (And a barrier – uncertainty over rights)

Access problems The growth of the OA movement coincided with a massive growth in online access: Big deals - bringing access to previously unsubscribed titles Archives - free and purchased through back- file deals Already a disconnect between researcher as ‘reader’ and researcher as ‘author’ Harder to convince authors that there is an access problem when they have access to ‘everything’!

Access problems - Becoming more acute? Even with access to ‘everything’, a third of researchers have access problems ‘very’ or ‘quite’ often (PEER Behavioural Research SEPT11.pdf) 29SEPT11.pdf) Budget cuts mean that libraries are now cancelling subscriptions

Budgets are Falling Fall in value of Sterling has impacted UK Libraries Library purchasing power reduced by 16% in , leaving shortfall of up to £400,000 for some RLUK members in 2009 Even optimistic estimates of income from students shows teaching income flat over the next few years (after an initial dip). STEM research funding flat - real-term cuts Libraries, in line with all parts of HE, are facing real-term cuts Implications will be felt in the library for years to come

Prices are Rising In the UK, journal prices rose 158% between 1991 and 2001 over five times the level of CPI inflation Prices of the “Big Deals” for Elsevier and Wiley-Blackwell journals rose by more than double the rate of CPI inflation in the six years from 2004 to 2010 With exchange-rate fluctuations this has translated to cost increases of over 50% in the last four years Some big deals now cost the institution over £1m per year Arbitrary ‘list prices’ for individual journal titles mean breaking the big deals could actually be more expensive for institutions

A Solution? "The only way for universities to save money is to make people redundant” Graham Taylor, Publishers Association

The Only Way? HE spends ~£190m per year on journals and databases Roughly 10% of total QR funding Each 1% price rise costs us £1.9m How do we find those multiples of £1.9m? Cut services (opening hours?) Cut monograph purchasing (even further) Cut textbook purchasing Cut non-big-deal journals - often smaller, society journals Or start to cut big deals

Is the ‘golden age’ of subscription access over? We know that institutions in the UK and abroad are beginning to cut some of their big deals Researchers will see a reduction in the number of titles (papers) they can access Libraries will attempt to minimise the effect by cancelling low- use titles first - but there will be an effect Will this feed into an understanding that researchers can improve the dissemination of the own papers by self- archiving? Even if yes, this could be a long process as we sign-up to more multi-year big deals

The Promise of Citations We OA advocates were very clear: Self-archiving will lead to Greater discoverability, leading to Greater usage, leading, inevitably, to Increased citations

The Promise of Citations - Fulfilled? It is clear that OA increases downloads But the evidence on citations less clear-cut Especially once all other possible effects are taken into account (early citations, author- bias, etc)

The Promise of Citations - Fulfilled? Perhaps greater usage does not inevitably lead to increased citations Do researchers cite what they read and read what they cite? If not, then greater access will not have an effect on citations Until we can unequivocally promise a citation effect we do not have a strong message to researchers

The Growth in Mandates One area of unequivocal advocacy success is the growth in the number of OA mandates and policies at the level of: Research groups Universities Research centres Funding bodies Governments

The Growth in Mandates But have we seen the effects of these mandates in our repositories? Publisher-mediated, funder-paid deposit (eg, Wellcome’s agreement with publishers) appears to be the most successful to date Why low compliance with mandates? Lack of awareness Lack of carrot or stick Time lag (mandates applied to new grants)

The Role of the REF? Could repository deposit be seen as sign of attempts at engagement and ‘impact”? Could future REFs be based on OA outputs?

OA and the Reward Structure “All it takes is a few minutes of political courage and let their research community know that any author's refereed, corrected, accepted final draft of any refereed journal article that is not in the Institutional Repository will be disregarded in any performance assessment within the University.” Bernard Rentier, Rector, Université de Liège

European Commission Pilot Project EC pilot launched in August 2008 to give OA to results from approximately 20% of projects from the 7 th Research Framework Programme (FP7) - especially in health, energy, environment, social sciences and information and communication technologies. Grantees required to: deposit peer reviewed research articles or final manuscripts resulting from their FP7 projects into an online repository, with either six or twelve month embargo (depending on subject area). The European Research Council (ERC) In December 2007 the ERC issued Guidelines for Open Access and the ERC Scientific Council has established the following interim position on open access:Guidelines for Open Access All peer-reviewed publications from ERC-funded research projects be deposited on publication into an appropriate research repository where available and subsequently made Open Access within 6 months of publication. The ERC is keenly aware of the desirability to shorten the period between publication and open access beyond the currently accepted standard of 6 months.

Open Access – A Policy Issue We see a growing consensus between funders and university administrators on the need for OA mandates Funders see dissemination as part of the research process and publication costs as research costs Administrators see repositories as a key tool to support research and learning This leads to a growth in the number of OA mandates being adopted The mandates in place should result in a significant number of papers being made OA over the next few years. We are fast approaching the point where it will be unusual for any leading institution or funder not to have a mandate! These policies and high-level support will underpin work on institutional repositories

The key drivers for authors Access problems Will get worse - this may work in favour of IRs Citation Evidence may prove conclusive benefit - would work in favour of IRs Mandates Need to be strengthened and/or applied - again, would work in favour of IRs

A Pragmatic Approach to Idealism! “It is one of the noblest duties of a university to advance knowledge, and to diffuse it not merely among those who can attend the daily lectures--but far and wide. ” Daniel Coit Gilman, First President, Johns Hopkins University, 1878 (on the university press) “ An old tradition and a new technology have converged to make possible an unprecedented public good. ” Budapest Open Access Initiative, Feb. 14, 2002