Mathew Willmott California Digital Library 3rd ESAC Workshop:

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Presentation transcript:

Goals and challenges for APC-based publishing models at the California Digital Library Mathew Willmott California Digital Library 3rd ESAC Workshop: On the Effectiveness of APCs June 29, 2018

About CDL/UC

About CDL/UC: Background Serves 190,000 faculty and staff and 239,000 students across the 10 campuses of the University of California system (among many other functions) negotiates licenses for content access for all campuses for major publishers. Publishing output accounts for about 2% of the world’s publication volume (about 8% of the US publication volume). Green OA policies starting in 2013

About CDL/UC: Internal Drivers OA2020 Pathways to OA Pay-It-Forward Move-It-Forward Declaration of Rights and Principles to Transform Scholarly Communication Negotiating Journal Agreements at UC: A Call To Action Commitment to a multi-pronged approach (including APC-based models as a strategy to transform existing subscription publishers to OA) Animate this for each item to pop up in sequence, with image below.

Challenges of APC-based models in the US

Challenges of APC-based models in the US US higher education system is decentralized and heterogeneous. Therefore: Institutions are generally operating on their own; consortia are at best regional and usually negotiate opt-in licenses. Grant funding flows through authors rather than through direct partnerships between institution and granting agency.

Challenges of APC-based models in the US 2) National grant funding agencies are showing no signs of getting involved in immediate OA mandates: Current policies are green (e.g. submission to PubMed Central) Most allow APCs to be charged to grants but make no requirements for this.

Challenges of APC-based models in the US 3) Conclusions from the Pay-It-Forward project: Under competitive market conditions in an APC-based model, high-output research-intensive North American institutions are likely to shoulder a larger burden for scholarly communication than in the subscription model In general, this extra burden could be addressed by incorporating funding from research grants where available.

Challenges of APC-based models in the US 4) Author impressions (correct or not): OA is generally a Good Thing, but: Not enough to change where I want to publish Everybody that needs to read my article sees it anyway Paying to publish is equivalent to vanity publishing OA journals imply lesser quality University is abdicating its responsibilities when authors need to make APC payments

Challenges of APC-based models in the US 5) Concerns from institutions or libraries: A transition to APC-based OA models gives more market power to publishers Authors will place price pressure on their own institutions rather than on publishers Offsetting agreements are normalizing hybrid publication APC based models are maintaining commercial for-profit publishers in the marketplace The cost will be too great for our institution to bear Incentives created for publishers will be in conflict with the needs of academia (new journals, higher acceptance rates) We can do this cheaper through green policies etc. etc. etc.

Strategies for creating a model to support an APC-based transition to OA

Strategies for creating a model 1) APC payments by author: Incorporates grant funding via the author Involves authors in the process, starting to socialize them with the economics and incorporate their price sensitivity Doesn’t require additional money out of their pocket Maintains library’s relationship with the publisher Support model extensible across other publishers (including full OA)

Strategies for creating a model 2) General financial structure: Based around containing our current costs Not willing to increase our financial outlay without Clear decreases elsewhere Evidence of transition in the model Mechanisms may allow that in the future

Strategies for creating a model 2) General financial structure - systemwide: Current Model Potential New Model Grant available No grant Two variables: APC size Subsidy size Subscription journals OA journals Blue = Library Spend Total Green = Grant Spend

Strategies for creating a model 2) General financial structure - systemwide: Current Model Potential New Model Grant available No grant Two variables: APC size Subsidy size Goal: Library spend approx. same in current and new models Subscription journals OA journals Blue = Library Spend Total Green = Grant Spend

Strategies for creating a model 2) General financial structure – individual publisher: Control overall spend with publisher Publication volume is estimated, but risk is capped on both sides: Publish over maximum (~2% over estimate): content still made OA at no additional cost Publish under minimum (~2% under estimate): UC still pays minimum fee Results: Costs are controlled and predictable Author experience is consistent Spend varies with publication volume

Strategies for creating a model 3) Building transitional language into the agreement Key for partnership with publisher: ensure that there is a shared understanding of the goal MIT/RSC example: “transitional business model whose aim is to provide a mechanism to shift over time to full open access.” Other ideas: A percentage of journals is converted to full OA in a given time period A named subset is converted to full OA in a given time period A journal is converted to full OA when the percentage of OA content in the journal reaches a certain threshold

Strategies for creating a model 4) Messaging and education For faculty: understand the model, our goals, and why they will start to see APCs on certain journals Externally: try to create support for the model in the community, identify other institutions or consortia to implement a pilot of their own

Strategies for creating a model 5) Additional risks: Increasing administrative burden on authors Incentivizing authors to choose different journals, or to opt out Incentivizing authors to choose these hybrid journals rather than full OA journals Impacting editorial behavior Impacting publisher price-setting behavior

…that we as libraries must work together to mitigate Overall risks …that we as libraries must work together to mitigate

Overall risks Disadvantaging full OA publishers or other small mission-driven publishers. How to mitigate this risk? Ensure that models we implement are extensible to these publishers. Stress test our overall models to observe their impacts on these publishers Collaborate with these publishers to understand how we can implement an APC-based or other alternate model with them

Overall risks Disadvantaging institutions or countries with little funding available for APC payments How to mitigate this risk? Further research (similar to the Pay-It-Forward study) to observe the impact of APC-based models on small institutions and/or the Global South Collaboration with representatives from these institutions or nations to determine the appropriate strategy for model implementation

Overall risks Potentially unsustainable/unjustifiable price increases in APCs How to mitigate this risk? Observe APC-setting behavior, avoid using agreements to normalize prices that are unsustainable Combat the drive of legacy subscription publishers to replicate their current revenue in an APC-based model – encourage and incentivize appropriate cost-setting

Overall risks Predatory publishing (not a new problem, but using new strategies) How to mitigate this risk? Author education and messaging Collaborative work across institutions: possible certification system Local approach analogous to collection-building

Overall risks Enshrining the hybrid model as a new permanent fixture in the subscription system How to mitigate this risk? Collaborate on language used to extract transitional commitments from publishers Advocate within the library community for increased uptake to move closer to a full transition

Overall risks Models which are not compatible across different contexts or geographic regions How to mitigate this risk? Continued communication and collaboration across all areas working on this problem Concerted effort to draw in representatives from other approaches, regions, backgrounds

Thank you! Questions? Mathew Willmott mathew.willmott@ucop.edu