Paying for Open Access? institutional funding streams and OA publication charges Stephen Pinfield University of Nottingham

Outline Background Activity in UK universities Case study: University of Nottingham

Open access (OA) mandates Examples: UK Research Councils Wellcome Trust European Research Council National Institutes of Health in USA Australian Research Council

Routes to open access* Publication in OA or hybrid journal Deposit in OA repository * Open Access: Where the full content is freely, immediately and permanently available and can be accessed and reused in an unrestricted way

Publishers and prices: examples PublisherOA optionPrice American Chemical SocietyAuthor Choice$3000 American Institute of PhysicsAuthor Select$1500-$2500 American Physical SocietyFree to Read$975-$1300 BlackwellOnline Open$2600 British Medical Journal PublishingBMJ Unlocked$2220-$3145 Cambridge University PressCambridge Open$2700 ElsevierSponsorship Option$3000 Oxford University PressOxford Open$1500-$2800 Professional Engineering Publishing (IME)Engineering Open Choice£1700 RoutledgeiOpenAccess$3250 Royal SocietyEXIS Open Choice$ and $16 per page for first pages, $93 per page thereafter Royal Society of ChemistryRSC Open Science£1000-£2500 SageSage Open$3000 SpringerOpen Choice$3000 Taylor and FrancisiOpenAccess$3250

Implications for institutions What do these international developments mean for individual institutions? What policies, facilities and services do institutions need to be put in place? How can researchers be helped to pay open- access charges?

Funder policies and universities Mandates v. permissable claims Direct costs: project budget Indirect costs: overheads Institutional funding streams: OA fund Wellcome Trust: exemplar Direct grants Institutional funds Contingency funds

UK data JISC Survey conducted in May/June 2008* Responses from 61 institutions 10 Russell Group 18 Pre–92 institutions 28 Post–92 institutions 5 Colleges of HE No clear pattern of responsibility for OA publication charges in institutions * With thanks to JISC and Fred Friend

OA publication fund Out of 61: 6 institutions have a central OA fund 4 have School/ Faculty funds 11 likely to have fund in future

Author survey General comments: 713 Biomedical researchers Researchers are unsure of their institutions policies and procedures Many do not feel supported by their university in this area

Institutional requirements Senior champion to co-ordinate approach Clarify funds available and funder policies Establish clear institutional management arrangements for grants and cost recovery Set up funds in institutions to cover OA charges Agree policies for researchers not funded by relevant funders Consider relationship to library funding Develop clear institutional procedures documents Undertake institution-wide publicity Provide proactive support for academics

Case study: recommendations to Nottingham Research Committee* 1.All authors should be encouraged to deposit copies of their papers in the Nottingham institutional repository 2.The University should identify a central budget upon which all authors in the institution can call to fund publication/OA charges 3.Wellcome-funded authors should be reminded of the availability of funds to pay for their publication/OA charges 4.Further internal publicity should be carried out in order to inform academic staff of the new requirements of funders 5.Arrangements should be put in place to monitor the Universitys compliance with funder requirements * Adopted November 2006

Case study: Nottingham OA fund Set up as a partnership between Research Innovation Services (RIS) and Information Services Approved by University Research Committee in November 2006; procedures document approved in March 2007 Administered centrally by RIS Designed to fund OA charges (for OA or hybrid journals) not page/colour charges Available to all members of the University regardless of their source of research funding Currently being monitored, but not rationed Additional funds; not diverted from periodical purchases To date, low usage: 75 requests in 18 months, average cost per article of about £1400

References SHERPA JULIET (funder policies) SHERPA ROMEO (publisher copyright policies) JISC Survey to be published Autumn 2008