Tag Archives: hybrid

Who is paying for hybrid?

In our related blog ‘Hybrid Open Access  – an analysis‘ we explored the origins and issues with hybrid open access. Here we describe what funders are allowing or not in relation to payments for hybrid Open Access APCs.

Funding agencies and hybrid

Of the 179 Open Access funds listed in the Open Access Directory, 99 (55%) do not allow hybrid publishing; 78 (44%) do, or do not specify. The two remaining funds (1%) allow hybrid but either discourage it or require that the publisher have an offsetting scheme in place. This shows a strong move away from hybrid since 2014, when only 39% of funds rejected hybrid – a rejection of hybrid is now the majority position.

What’s more, these anti-hybrid funders now include some major organisations, particularly in Europe. The EU FP7 post-grant pilot, for example, is only open to authors publishing in fully Open Access journals, and the Netherlands Organization for Scientific Research (NWO) has considered hybrid ineligible for funds since December 2015.

According to a news story in Nature in January this year, the Norwegian Research Council and the German Research Foundation both pay Open Access fees for researchers but do not permit the payment of hybrid costs. The Austrian Science Fund has capped Open Access payments at a certain level; if researchers want to publish in more expensive journals (often the hybrids), they must find the extra cash themselves.

In 2013 Science Europe declared in a position statement that:

The Science Europe member organisations […] stress that the hybrid model, as currently defined and implemented by publishers, is not a working and viable pathway to Open Access. Any model for transition to Open Access supported by Science Europe member organisations must prevent ‘double dipping’ and increase cost transparency.

UK funders’ position on hybrid

The Wellcome Trust, while not yet abandoning hybrid entirely, voiced considerable wariness in its 2014-15 report, and has warned that stricter action will follow if there is not an improvement in publisher behaviour:

We believe declaring that Wellcome funds cannot be used to pay for hybrid OA is too blunt an instrument, unfairly penalising those publishers which provide a good service at a reasonable price, and that it would slow down the transition to a fully OA world – the position we ultimately want to get to.

However, doing nothing is no longer a valid option.  If hybrid publishers are unable to commit to the Wellcome Trust’s set of requirements and do not significantly improve the quality of the service, then classifying those hybrid journals as “non-compliant” will be an inevitable next step.

In 2015 RCUK published an independent review into the implementation of their Open Access policy which, while notably less combative on the issue of hybrid, nevertheless noted the expensiveness of the option and suggested potential future action:

The panel noted that average APCs for articles published in hybrid journals were consistently more expensive than in fully open access journals (despite the fact that hybrid journals still enjoyed a revenue stream through subscriptions). The panel recommends that RCUK continues to monitor this and if these costs show no sign of being responsive to market forces, then a future review should explore what steps RCUK could take to make this market more effective.

In the Universities UK Open Access Coordination Group’s report “Open access to research publications – Independent advice” the author, Professor Adam Tickell noted:

An alternative approach would be to consider whether funding Gold Open Access in Hybrid Journals where there are no equivalent offsets in subscription costs is a good use of public funds. During the course of working on this report, I met with the Publishers Association and Elsevier and I do not believe that the major publishers would find this slight change of course challenging.

Library funds and hybrid

In January this year the Canadian Association of Research Libraries (CARL) published Library Open Access Funds in Canada: review and recommendations. Amongst the summary of fund management recommendations was  ‘do not  fund hybrid journals‘.

SPARC maintains an Open Access Campus Funds page, which provides advice. The document “Campus-based open-access publishing funds: a practical guide to design and implementation” contains a whole section on deciding whether to support hybrid, noting “Many institutions that have functioning Open-access Funds have indicated that the toughest decision they made concerned hybrid journal eligibility”.

US library-run funds

Zuniga, H. & Hoffecker, L. (2016). Managing an Open Access Fund: Tips from the Trenches and Questions for the Future. Journal of Copyright in Education and Librarianship, 1(1), 1-13 discusses the thinking behind a library-run Open Access fund at University of Colorado Health Sciences Library and specifies that funding will only be available for fully Open Access journals and not hybrid ones.

A recent discussion on one of the lists (which is dominated by American institutions) about library funds for open access revealed the very strong preference to support only fully Open Access journals. Of the responses from the US libraries, nine funds did not support hybrid and two did under particular circumstances. The US is not subject to the gold Open Access policies that the UK is:

  • University of Rhode Island only supports “articles published in fully open access, peer-reviewed scholarly journals” that are listed in the DOAJ with its Open Access Fund
  • Texas A&M University Libraries’ Open Access to Knowledge Fund (OAKFund) notes “”Hybrid” Open Access publication venues and publication venues with delayed Open Access models are ineligible.”
  • The University of Pittsburgh’s Open Access Fee Author Policy states “Journals with a hybrid open-access model or delayed open-access model are not eligible.”
  • The One University Open Access (OA) AuthorFund at the University of Kansas supports only publication in “an entirely open access journal. Journals with a hybrid open-access model or delayed open-access model are not eligible”. A definition of hybrid journal is provided. – 2015 article in JLSC “Campus Open Access Funds: experiences of the KU “One University” Open access author fund”.
  • Cornell University’s Open Access Publication Fund does not mention hybrid specifically but the wording implies the fund supports only fully Open Access journals, noting “Since open access publishers do not charge subscription or other access fees, they must cover their operating expenses through other sources.”
  • Concordia University’s Open Access Author Fund states “the article must be published in a fully open access journal. Traditional subscription-based or ‘hybrid’ journals that offer an open access option for a fee are not eligible.”
  • University of Oklahoma’s Open Access (OA) Subvention Fund Policy refers to “true open access journals”, noting “Articles with a hybrid or delayed OA model are not eligible through this fund”
  • The information about University of California San Francisco’s Open Access Publishing Fund includes a section about why it does not support hybrid
  • Northwestern University’s Open Access Fund describes an acceptable open access journal as a “journal published in a fully open access format based on a published schedule of article processing fees”

That said, there were a couple that are considering support for hybrid:

  • Wayne State University’s Scholars Cooperative Open Access Fund states “Hybrid open access arrangements (“paid open access” or “open choice”) may be considered on a case-by-case basis”.
  • Wake Forest University Open Access Fund does support hybrid, but the cost for all open access is split three ways between the Library the Research Office and the author.
UK library-run funds

In November last year the UCL, Newcastle and Nottingham Universities published the results of a survey with Jisc: “Institutional policies on the use of Open Access Funds“. The report noted that of the respondents 18 institutions in the UK had a central institutional fund (not provided by RCUK/COAF). The report noted there were different approaches to using these central funds. At the time four institutions paid for papers in fully Open Access journals only; four paid for papers in both fully Open Access and hybrid journals, without encouraging authors in favour of Green or Gold; and five institutions encourage authors to choose Green where possible.

In response to a list query in October 2016 (which is not a comprehensive survey by any means), there was a mixture of arrangements in the UK library-run funds. Four funds did not support hybrid, four did, and there were three that supported them in particular circumstances.

Some UK funds are primarily non-hybrid with a small number of exceptions.

  • University College London has a fund which provides limited funds “for other UCL corresponding authors who are full (not honorary or visiting) members of staff or students where the funder does not cover open access charges”. This fund generally only pays for papers in fully OA journals. When it comes to hybrids the policy is very much to recommend Green, but the fund does occasionally pay for papers in hybrid journals “where the author makes a case for it”.
  • The University of Bath has a Bath open access fund  for journals that operate “a ‘Gold’ or paid Open Access model only AND the journal is a Q1 title as measured by Journal Citation Reports or SciMago Journal Indicators”. Note that this fund will support hybrid by exception, with Associate Dean agreement.
  • Lancaster University has a small fund available with strict criteria for when it can be used.  The research paper must both be likely to be rated as 4* in the next REF and be the most appropriate place to publish and does not offer a compliant green route or is an open access only journal. Applications need approval from the Heads of Department and Associate Dean for Research.

Other funds do not distinguish between hybrid and fully OA journals:

  • King’s College London are in the second pilot year of an Open Scholarship Fund which currently does not distinguish between hybrid and full open access journals – but this may be considered if the funds are exhausted.
  • Northumbria University Newcastle has an institutional Open Access fund to cover APCs in both fully gold and hybrid journals.
  • Liverpool University has an institutional open access fund here that has very minimal criteria (CC BY, no retrospective OA, no page or colour charges) that pays both hybrid and fully OA APCs. The fund is reviewed every six months.
  • Queen Mary University will be starting to offer a small institutional fund this year to cover non funded research which will support hybrid

There are some UK institutions where no central fund exists but Departments or Faculties have established their own funds with their own rules.

Conclusions

The increase in funds that do not allow payment for hybrid since 2014 indicates that increasingly the gloss has come off hybrid. Originally considered to be a transition method towards fully Open Access journals, the lack of movement towards this outcome has meant a tightening by funders on what can be spent on hybrid. It will be interesting to revisit this in another two years’ time.

Published 24 October 2016
Written by Dr Danny Kingsley and Dr Philip Boyes 
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Hybrid open access – an analysis

Welcome to Open Access Week 2016. The Office of Scholarly Communication at Cambridge is celebrating with a series of blog posts, announcements and events. In today’s blog posts we revisit the issue of paying for hybrid open access. We have also published a related post “Who is paying for hybrid?” listing funder policies on hybrid.

Recent years have seen a proliferation of funder open access mandates, the terms of which can differ markedly, adding to the confusion of an already complex area. The Registry of Open Access Repository Mandates and Policies (ROARMAP) lists 80 funders with open access requirements, and the list continues to grow.

Within the UK, policies fall into three broad categories: those that mandate green Open Access without paying a fee, such as the HEFCE policy; those that prefer gold but make no additional funds available, such as the NIHR policy, and those that have a preference for gold and offer block grants to institutions to help cover the associated costs, such as the Research Councils UK (RCUK) and Charities Open Access Fund (COAF) policies.

Accompanying this expansion of mandates, unsurprisingly, has been an increase in the amount being spent to support Open Access. The Open Access Directory lists 179 funds for OA journal articles worldwide, compared with 81 in early 2014.

All this brings into sharper relief the question of how open access funds support hybrid publishing. But first a quick history lesson.

Hybrid origins

Hybrid journals provide open access to specific articles where an Article Processing Charge has been paid in an otherwise subscription journal. A few learned societies offered hybrid options in the early 2000s. Hybrid open access options were first offered by large publishers in 2004 with Springer’s Open Choice product charging USD3000 per article. This price has not changed in the past 12 years. In the UK the Springer Compact now pays for hybrid under a different model.

Wiley Online Open’s trial began the same year, charging USD2500. Today the price ranges from USD1,500 – 5,200. Oxford Open launched in 2005, and in 2006 Elsevier Open Access and Sage Choice began. In 2007, Taylor & Francis Open Select, Cambridge Open and Nature Publishing Group’s open access offering began.

The uptake of hybrid began slowly. It is very difficult to obtain statistics on what percentage of journals have hybrid Open Access content but in his 2012 analysis The hybrid model for open access publication of scholarly articles – a failed experiment?, (open access version here ) Bo-Christer Bjork found the number of hybrid journals had doubled in the previous couple of years to over 4,300, and the number of such articles was around 12,000 in 2011. This represented a small proportion of eligible authors (1-2 %).

That analysis was published the same year as the Finch Report which recommended a gold path to Open Access. The resulting RCUK Open Access Policy and RCUK Block Grants to fund Open Access APCs has dramatically increased the  expenditure on hybrid in the UK since 2013. According to a report published in 2015, “the UK’s profile of OA take-up is significantly different from the global averages: its use of OA in hybrid journals and of delayed OA journals is more than twice the world average in both cases, while its take-up of fully OA journals with no APC (Gold-no APC) is less than half the world average and falling.”

At Cambridge University we have spent literally millions of pounds on hybrid Open Access – which constitutes approximately 85% of our total APC spend. This is a higher percentage than estimates across the country, which are a 76% spend on hybrid Open Access.

Double dipping

Hybrid represents a second income stream to publishers and has raised questions about ‘double dipping’. Some publishers manage this by reducing the cost of subscriptions in proportion to the percentage of hybrid in a given journal, such as Nature Publishing Group. However ‘big deals’ for subscriptions can render this relatively ineffective, and the reduction is spread across all subscribers, regardless of who has paid the article processing charge. This means research intensive institutions (such as Cambridge) are contributing heavily to the system but not receiving a relative reduction.

To address this issue at a local level, several publishers have created offsetting arrangements, where discounts or refunds are provided in proportion to the contribution the institution has made in APC payments above subscriptions. However, each of these schemes operates differently and they can be complicated to administer, or have other preconditions such making large prepayments to publishers.

The biggest problem from an implementation perspective, however, is that they are by no means universal. By far the biggest publisher, Elsevier, for example, offers no form of offsetting at all, although they nevertheless assert that they do not double dip. The result is that in very many cases, institutions and authors continue to have to pay twice for material in hybrid journals, swelling publisher coffers at the expense of research funding.

Very expensive

One of the problems with hybrid is that even ignoring the added cost of subscriptions to the non Open Access material in those journals, hybrid Open Access charges are more expensive than those for fully Open Access journals.

In March last year both the Wellcome Trust and the RCUK undertook a review of their Open Access policies. The Reckoning: An Analysis of Wellcome Trust Open Access Spend 2013 – 14  noted: “The average APC levied by hybrid journals is 64% higher than the average APC charged by a fully OA title”.  In Wellcome’s data, the average APC for a hybrid article in 2014-15 was £2104, compared with only £1396 for fully OA journals. Worryingly, the data showed that fully OA APC costs had risen more than their hybrid counterparts since the previous year.

Similarly in the Research Councils UK 2014 Independent Review of Implementation the observation was that article processing charges for hybrid Open Access were “significantly more expensive” than fully OA journals, “despite the fact that hybrid journals still enjoyed a revenue stream through subscriptions”.

A Max Planck Digital Library Open Access Policy White Paper published on 28 April 2015 noted that The Wellcome Trust had a significantly higher average APC cost than German, Austrian and SCOAP3 figures. This was because the Wellcome Trust pays for hybrid APCs, “which are not only much higher than most pure open access costs but are also widely considered not to reflect a true market value. In Germany and many other countries, hybrid APCs are excluded from the central funding schemes.”

A study undertaken last year considered APCs in the five-year period between 2010 and 2014 found the mean for fully-OA journals published by non-subscription publishers was£1,136 compared with £1,849 for hybrid journals. The same study also found that traditional subscription publishers are capturing most of the APC market. The top-10 publishers in terms of numbers of APCs received from participant institutions (who received 76% of the total APCs paid from the sample) “only included two fully-OA publishers (PLOS and BMC). The others were established publishers (Elsevier, Wiley, Springer and so on) who are mostly gaining APC income from hybrid journals.”

The 2014 report Developing an effective market for open access article processing charges was written for a consortium of research funders comprising Jisc, Research Libraries UK, Research Councils UK, the Wellcome Trust, the Austrian Science Fund, the Luxembourg National Research Fund and the Max Planck Institute for Gravitational Physics. The authors noted of the hybrid journal market that it is “highly dysfunctional, with very low uptake for most hybrid journals and a relatively uniform price in most cases without regard to factors such as discipline or impact“.

Value for money?

A second issue which has become apparent as open access mandates have expanded is the extent to which publishers – mostly of hybrid journals – do not deliver the Open Access option that has been paid for. In many cases, the ‘immediate’ Open Access for which an author or institution has paid an APC may take months or even years to be made Open Access; some articles are never made Open Access at all. Even when articles are made available, there is no guarantee that it will have the appropriate licence. It is by no means uncommon for articles to carry more restrictive licences than those requested, or for the appropriate licence to appear on a journal website while the PDF of the article itself bears only a publisher copyright notice and a prominent ‘All rights reserved’.

In March 2016 the Wellcome Trust published a report into compliance among its paid-for articles in 2014-15, concluding:

The good news is that we have seen an improvement in correct and programmatically identifiable licences (from 61% of papers in ’13-‘14, to 70% in ’14-‘15) and a similar increase in overall compliance from 61% to 70%.  The bad news, however, is that in 30% of cases we are not getting what we are paying for.

The source of this non-compliance was overwhelmingly hybrid journals, and the largest publishers were the worst offenders: in the Wellcome data, 31% of Elsevier hybrid articles (and 26% of their ‘fully OA’ articles!) were non-compliant, as were 54% of Wiley’s.

One might conclude, then, that hybrid Open Access represents a bad deal for funders and institutions, with poor service and double-dipping.

Other hybrid issues

To further complicate matters, some have argued that the open access/hybrid dichotomy is too stark. Some journals, particularly coming from learned societies, (e.g. Plant Physiology, from the American Society of Plant Biologists) make all articles open access after a certain period, but charge an optional APC to make them available sooner. This would generally be considered hybrid publishing, but could be seen as a rather different category from the majority of corporate hybrid journals, in which articles never become Open Access unless an APC is paid. There is a possibility that strict funder mandates against hybrid could close off such journals to researchers, exacerbating the anxieties regarding open access felt by many learned societies.

Where does this leave authors and institutions? It’s clear that the situation remains very much in flux. The problems that have existed with hybrid since the beginnings of Open Access are far from resolved, despite the expansion of journal offsetting schemes. Meanwhile, prices continue to rise and while many funders have taken the step of allowing their funds to be used only for fully Open Access journals, it is still a minority of the largest and most powerful funding bodies.

The result is confusion for researchers and an increased administrative burden for institutions, who have to manage and advise on a proliferation of divergent funder and publisher policies, as well as conducting regular and extremely resource-intensive compliance-checking of hybrid publications to ensure publishers have delivered what has been paid for. As numbers of Open Access publications increase, it is questionable how sustainable this will be.

Published 24 October 2016
Written by Dr Philip Boyes and Dr Danny Kingsley 
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Dutch boycott of Elsevier – a game changer?

A long running dispute between Dutch universities and Elsevier has taken an interesting turn. Yesterday Koen Becking, chairman of the Executive Board of Tilburg University who has been negotiating with scientific publishers about an open access policy on behalf of Dutch universities with his colleague Gerard Meijer, announced a plan to start boycotting Elsevier.

As a first step in boycotting the publisher, the Association of Universities in the Netherlands (VSNU) has asked all scientists that are editor in chief of a journal published by Elsevier to give up their post. If this way of putting pressure on the publishers does not work, the next step would be to ask reviewers to stop working for Elsevier. After that, scientists could be asked to stop publishing in Elsevier journals.

The Netherlands has a clear position on Open Access. Sander Dekker, the State Secretary  of Education has taken a strong position on Open Access, stating at the opening of the 2014 academic year in Leiden that ‘Science is not a goal in itself. Just as art is only art once it is seen, knowledge only becomes knowledge once it is shared.’

Dekker has set two Open Access targets: 40% of scientific publications should be made available through Open Access by 2016, and 100% by 2024. The preferred route is through gold Open Access – where the work is ‘born Open Access’. This means there is no cost for readers – and no subscriptions.

However Gerard Meijer, who handles the negotiations with Elsevier, says that the parties have not been able to come close to an agreement.

Why is this boycott different?

It is true that boycotts have had different levels of success. In 2001, the Public Library of Science started as a non-profit organization of scientists ‘committed to making the world’s scientific and medical literature freely accessible to both scientists and to the public’. In 2001 PLoS (as it was then) published an open letter asking signatories to pledge to boycott toll-access publishers unless they become open-access publishers. The links to that original pledge are no longer available. Over 30,000 people signed , but did not act on their pledge. In response, PLOS became an open access publisher themselves, launching PLOS Biology in October 2003.

In 2012 a Cambridge academic Tim Gowers started the Cost of Knowledge boycott of Elsevier which now has over 15,000 signatures of researchers agreeing not to write for, review for, or edit for Elsevier. In 2014 Gowers used a series of Freedom of Information requests to find out how much Elsevier is charging different universities for licence subscriptions. Usually this information is a tightly held secret, as individual universities pay considerably different amounts for access to the same material.

The 2015 Dutch boycott is significant. Typically negotiations with publishers occur at an institutional level and with representatives from the university libraries. This makes sense as libraries have long standing relationships with publishers and understand the minutiae of the licencing processes . However the Dutch negotiations have been led by the Vice Chancellors of the universities.  It is a country-wide negotiation at the highest level. And Vice Chancellors have the ability to request behaviour change of their research communities.

This boycott has the potential to be a significant game changer in the relationship between the research community and the world’s largest academic publisher. The remainder of this blog looks at some of the facts and figures relating to expenditure on Open Access in the UK. It underlines the importance of the Dutch position.

UK Open Access policies mean MORE publisher profit

There have also been difficulties in the UK in relation to negotiations over payment for Open Access. Elsevier has consistently resisted efforts by Jisc to negotiate an offsetting deal  – where a publisher provides some sort of concession for the fact that universities in the UK are paying unprecedented amounts in Article Processing Charges on top of their subscriptions because of the RCUK open access policy.

Elsevier is the world’s largest academic publisher. According to their Annual Report the 2014 STM revenue was £2,048 million, with an operating profit of £762 million. This is a profit margin of 37%. That means if we pay an Article Processing Charge of $3000 then $1,170 of that (taxpayers’) money goes directly to the shareholders of Elsevier.

The numbers involved in this space are staggering. The Wellcome Trust stated in their report on 3 March 2015 The Reckoning: An Analysis of Wellcome Trust Open Access Spend 2013 – 14: ‘The two traditional, subscription-based publishers (Elsevier and Wiley) represent some 40% of our total APC spend’.

And the RCUK has had similar results, as described in a Times Higher Education article on 16 April 2015 Publishers share £10m in APC payments: “Publishers Elsevier and Wiley have each received about £2 million in article processing charges from 55 institutions as a result of RCUK’s open access policy”.

Hybrid open access – more expensive and often not compliant

Another factor is the considerably higher cost of  Article Processing Charges for making an individual article Open Access within an otherwise subscription journal (called ‘hybrid’ publishing) compared to the Article Processing Charges for articles in fully Open Access journals.

In The Reckoning: An Analysis of Wellcome Trust Open Access Spend 2013 – 14, the conclusion was that the average Article Processing Charge levied by hybrid journals is 64% higher than the average Article Processing Charge of a fully Open Access title. The March 2015 Review of the implementation of the RCUK Policy on Open Access concluded the Article Processing Charges for hybrid Open Access were ‘significantly more expensive’ than fully OA journals, ‘despite the fact that hybrid journals still enjoyed a revenue stream through subscriptions’.

Elsevier has stated that in 2013 they published 330,000 subscription articles and 6,000 author paid articles. There is no breakdown of how many of those 6,000 were in fully open access journals and how many were hybrid. However in 2014 Elsevier had 1600 journals offering their hybrid option, and 100 journals that were fully open access (6%). Note that the RCUK open access policy came into force in April 2013. It would be interesting to compare these figures with  the 2014 ones, however I have been unable to find them.

While the higher cost for hybrid Article Processing Charges is in itself is an issue, there is a further problem. Articles in hybrid journals for which an Article Processing Charge has been paid are not always made available at all, or are available but not under the correct licence as required by the fund paying the fee. Here at Cambridge, the five most problematic publishers with whom we have paid more than 10 Article Processing Charges have a non compliance rate from 11-25%. With this group of publishers we are having to chase up between three and 31 articles per publisher. This takes considerable time and significantly adds to the cost of compliance with the RCUK and COAF policies.

According to the March 2015 Review of the implementation of the RCUK Policy on Open Access, ‘Elsevier stated that around 40% of the articles from RCUK funding that they had published gold were not under the CC-BY licence and are therefore not compliant with the policy’ (p19).

We support our Dutch colleagues

In summary, the work happening in The Netherlands to break the stranglehold Elsevier have on the research community is important. We need to stand by and support our Dutch colleagues.

NOTE: This blog was subsequently reblogged on the London School of Economics Impact Blog and later listed as one of the Top Ten Posts for 2015: Open Access. It was also listed as one of the blogs that had an average minute per page measurement of over 6 minutes and 30 seconds.

Published 3 July 2015, added to on 22 January 2016
Written by Dr Danny Kingsley
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