Tag Archives: compliance

How open is Cambridge?

As part of Open Access Week 2016, the Office of Scholarly Communication is publishing a series of blog posts on open access and open research. In this final OAWeek post Dr Arthur Smith analyses how much Cambridge research is openly available.

For us in the Office of Scholarly Communication it’s important that, as much possible, the University’s research is made Open Access. While we can guarantee that research deposited in the University repository Apollo will be made available in one way or another, it’s not clear how other sources of Open Access contribute to this goal. This blog is an attempt to quantify the amount of Cambridge research that is openly available.

In mid-August I used Cottage Labs’ Lantern service in anLantern_Oct2016_Graphic attempt to quantify just how open the University’s research really is. Lantern uses DOIs, PMIDs or PMCIDs to match publications in a variety of sources such as CORE and Europe PMC, to determine the Open Access status of a publication – it will even try to look at a publisher’s website to determine an article’s Open Access status. This process isn’t infallible, and it relies heavily on DOI matching, but it provides a good insight into the possible sources of Open Access material.

To determine the base list of publications against which the analysis could be run,  I queried Web of Science (WoS) and Scopus to obtain a list of publications attributed to Cambridge authors. In 2015, the University published 9069 articles, reviews and conference papers according to Web of Science. Scopus returned a slightly lower figure of 7983 publications. Combining these two publication lists, and filtering to only include records with a DOI, produced one master list of 9714 unique publications (that’s ~26 publications/day!).

In 2015 the Open Access team processed 2746 HEFCE eligible submissions, so naïvely speaking, the University achieved a 28.3% HEFCE compliance rate. That’s not bad, especially because the HEFCE policy had not yet come into force, but what about other Open Access sources? We know that other universities in the UK are also depositing papers in their repositories, and some researchers make their work ‘gold’ Open Access without going through the Open Access team, so the total amount of Open Access content must be higher.

In addition to the Lantern analysis, I also exported all available DOIs from Apollo and matched these to the DOIs obtained from WoS/Scopus. WoS also classifies some publications as being Open Access, and I included these figures too. If a publication was found in at least one potentially Open Access source I classified it as Open Access. Here are the results:

Lantern_Oct2016_Figure1
Figure 1. Of 9714 DOIs analysed by Lantern, 51.8% appear in at least one open access source.

It is pleasing that our naïve estimate of 28.3% HEFCE compliance closely matches the number of records found in Apollo (26.2%). The discrepancy is likely due to a number of factors, including publications received by the Open Access Team that were actually published in 2014 or 2016, but submitted in 2015, and Apollo records that don’t have a publisher DOI to match against. However, the most important point to note is the overall open access figure – in 2015 more than 50% of the University’s scholarly publications with a DOI were available in at least one “open access” source.

Let’s dig a little deeper into the analysis. Using everyone’s favourite metric, the journal impact factor (JIF), the average JIF of articles in Apollo was 5.74 compared to 4.33 for articles that were not OA. Other repositories and Europe PMC achieved even higher average JIFs. On average, Open Access publications by Cambridge authors have a higher JIF (6.04) than articles that are not OA, which suggests that researchers are making value judgements on what to make Open Access based on journal reputation. If a paper appears in a low(er) impact journal, it’s less likely to be made Open Access. Anecdotally this is something we have experienced at Cambridge.

Lantern_Oct2016_Figure2
Figure 2. Average 2015 JIF of papers classified according to their open access status.

The WoS and Scopus exports contain citation information at the article level, so we can also look at direct citations received by these publications (up to 16 August 2016)  rather than relying on the JIF. I found that Open Access articles, on average, received 1.5 to 2 more citations than articles that are not Open Access. However, is this because authors are making their higher impact articles Open Access (which one might expect to receive more citations anyway) and are not bothering with the rest? Or this is effect due entirely to the greater accessibility offered by Open Access publication? Could the differences arise because of different researcher behaviour across different disciplines?

My feeling is that we have reached a turning point – the increased citation rates of Open Access material is not caused by the article being Open Access as these articles would have naturally received more citations anyway. Instead of looking at formal literature citations, the benefits of Open Access need to be measured outside of academia in areas that would not contribute to an articles citations.

Lantern_Oct2016_Figure5
Figure 3. Average citations received by papers according to their open access source.

Breaking it down by the source of Open Access reveals that articles that appear in other repositories receive significantly more citations than any other source. This potentially reveals that collaborative papers between researchers at different institutions are likely to have greater impact than papers conducted solely at one institution (Cambridge), however, a more thorough analysis that looks at author affiliations would be needed to confirm this.

If we focus on the WoS citation distribution the difference in average citations becomes clearer. Of 8348 WoS articles, not only are there fewer Open Access articles with no citations (14% vs 17%), but Open Access articles also receive more citations in general.

Lantern_Oct2016_Figure4
Figure 4. Citation distribution of papers found in WoS depending on their open access status.

What can we take away from this analysis? Firstly, Lantern is a valuable tool for discovering other sources of Open Access content. It identified over a thousand articles by Cambridge researchers in other institutional repositories that we did not know existed. When it comes time for the next REF, these other repositories may prove a vital lifeline in determining whether a paper is HEFCE compliant.

Secondly, more than 50% of the University’s 2015 research publications are potentially Open Access. Hopefully a similar analysis of 2016’s papers will show that even more of the University’s research is Open Access this year. And finally, although Open Access articles receive more citations than articles that are not Open Access, it is no longer clear whether this is caused by the article being Open Access, disciplinary differences, or if authors are more likely to make their best work Open Access.

Published 28 October 2016
Written by Dr Arthur Smith

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An open letter to Blood

The Office of Scholarly Communication routinely advises Cambridge authors about their publishing options, and in the vast majority of cases we can help authors comply with funder mandates. However, there are a few notable journals that offer no compliant open access options for Research Council UK (RCUK) and Charity Open Access Fund (COAF) authors. One of those journals is Blood. We’ve previously called them out on their misleading advice:

Today we are urging Blood to offer their authors either self-archiving rights without cost and a maximum 6 month embargo or immediate open access under a Creative Commons Attribution (CC BY) licence. If Blood does not offer these options we will advise our researchers that they should publish elsewhere so as to remain compliant with their funders’ open access policies.

You can click through and read the open letter in full below:

If you would like to add your name to the list of signatories, please email info@osc.cam.ac.uk

 

Cambridge University spend on Open Access 2009-2016

Today is the deadline for those universities in receipt of an RCUK grant to submit their reports on the spend. We have just submitted the Cambridge University 2015-2016 report to the RCUK and have also made it available as a dataset in our repository.

Compliance

Cambridge had an estimated overall compliance rate of 76% with 46% of all RCUK funded papers  available through the gold route and 30% of all RCUK funded papers available through the green route.

The RCUK Open Access Policy indicates that at the end of the fifth transition year of the policy (March 2018) they expect 75% of Open Access papers from the research they fund will be delivered through immediate, unrestricted, on‐line access with maximum opportunities for re‐use (‘gold’). Because Cambridge takes the position that if there is a green option that is compliant we do not pay for gold, our gold compliance number is below this, although our overall compliance level is higher, at 76%.

Compliance caveats

The total number of publications arising from research council funding was estimated by searching Web of Science for papers published by the University of Cambridge in 2015, and then filtered by funding acknowledgements made to the research councils. The number of papers (articles, reviews and proceedings papers) returned in 2015 was 2080. This is almost certainly an underestimate of the total number of publications produced by the University of Cambridge with research council funding. The analysis was performed on 15/09/2016.

Expenditure

The APC spend we have reported is only counting papers submitted to the University of Cambridge Open Access Team between 1 August 2015 and 31 July 2016. The ‘OA grant spent’ numbers provided are the actual spend out of the finance system. The delay between submission of an article, the commitment of the funds and the subsequent publication and payment of the invoice means that we have paid for invoices during the reporting period that were submitted outside the reporting period. This meant reconciliation of the amounts was impossible. This funding discrepancy was given in ‘Non-staff costs’, and represents unallocated APC payments not described in the report (i.e. they were received before or after the reporting period but incurred on the current 2015-16 OA grant).

The breakdown of costs indicates we have spent 4.6% of the year’s allocation on staff costs and 5.1% on systems support. We noted in the report that the staff time paid for out of this allocation also supports the processing of Wellcome Trust APCs for which no support is provided by Wellcome Trust.

Headline numbers

  • In total Cambridge spent £1,288,090 of RCUK funds on APCs
  • 1786 articles identified as being RCUK funded were submitted to the Open Access Service, of which 890 required payment for RCUK*
  • 785 articles have been invoiced and paid
  • The average article cost was ~£2008

Caveats

The average article cost can be established by adding the RCUK fund expenditure to the COAF fund expenditure on co-funded articles (£288,162.28)  which gives a complete expenditure for these 785 articles of £1,576,252.42. The actual average cost is £2007.96.

* The Open Access Service also received many COAF only funded and unfunded papers during this period. The number of articles paid for does not include those made gold OA due to the Springer Compact as this would throw out the average APC value.

Observations

In our report on expenditure for 2014 the average article APC was £1891. This means there has been a 6% increase in Cambridge University’s average spend on an APC since then. It should be noted that of the journals for which we most frequently process APCs, Nature Communication is the second most popular. This journal has an APC of £3,780 including VAT.

Datasets on Cambridge APC spend 2009-2016

Cambridge released the information about its 2014 APC spend for RCUK and COAF in March last year and intended to do a similar report for the spend in 2015, however a recent FOI request has prompted us to simply upload all of our data on APC spend into our repository for complete transparency. The list of datasets now available is below.

1. Report presented to Research Councils UK for article processing charges managed by the University of Cambridge, 2014-2015

2. Report presented to the Charity Open Access Fund for article processing charges managed by the University of Cambridge, 2015-2016

3. Report presented to the Charity Open Access Fund for article processing charges managed by the University of Cambridge, 2014-2015

4. Report presented to Jisc for article processing charges managed by the University of Cambridge, 2014

5. Open access publication data for the management of the Higher Education Funding Council for England, Research Councils UK, Charities Open Access Fund and Wellcome Trust open access policies at the University of Cambridge, 2014-2016

Note: In October 2014 we started using a new system for recording submissions. This has allowed us to obtain more detailed information and allow multiple users to interact with the system. Until December 2015 our financial information was recorded in the spreadsheet below. There is overlap between reports 5. and 6. for the period 24 October and 31 December 2015.  As of January 2016, all data is being collected in the one place.

6. Open access publication data for the management of Research Councils UK, Charities Open Access Fund and Wellcome Trust article processing charges at the Office of Scholarly Communication, 2013-2015

Note: In 2013 the Open Access Service began and took responsibility for the new RCUK fund, and was transferred responsibility for the new Charities Open Access Fund (COAF). At this time the team were recording when an article was fully Wellcome Trust funded, even though the Wellcome Trust funding is a component of COAF.

7. Open access publication data for the management of Wellcome Trust article processing charges from the School of Biological Sciences, 2009-2014

Note: Management of the funds to support open access publishing has changed over the past seven years. Before the RCUK open access policy came into force in 2013, the Wellcome Trust funds were managed by the School of Biological Sciences.

Published 14 September 2016
Written by Dr Danny Kingsley & Dr Arthur Smith
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