Part of a Lively Lunch discussion at the 2014 Charleston Conference, presented by Barbara DeFelice of Dartmouth College.

1. Funding for Article Fees:
Earnest Conversations
Barbara DeFelice
Director, Digital Resources &
Scholarly Communication Programs
Dartmouth College Library
Lively Lunch:
How to Handle APCs
Charleston Conference
11/6/2014

2. Faculty:
Tenured and tenure track: 589
Total: 1,045
Students:
Undergraduate: 4,276
Graduate/professional: 2,066
Total enrollment: 6,342
Dartmouth by the Numbers
Undergraduate liberal arts education
“very high research activity”
Sponsored research FY’ 13: $199 million

3. Growth of North American OA Funds
North American Campus-Based Open Access Funds: A Five-Year Progress Report; SPARC/Tananbaum

4. News Flash!
“On September 14, 2009, Harvard joined Cornell,
Dartmouth, the Massachusetts Institute of
Technology, and the University of California,
Berkeley, in formalizing a
commitment to open-access publication.”
Compact for Open Access Publication Equity (COPE)
• Increases incentives for authors to choose an
open access journal
• Increases incentives for publishers to try
different business models

5. Who is eligible to receive funding?
Dartmouth faculty, graduate students, undergraduate students &
staff.
Fund of last resort-no grants to pay fees.
What publications are eligible?
• Scholarly open access journals that do not charge any fees to
readers or to institutions in exchange for access to peer-reviewed
articles
• Be listed in the Directory of Open Access Journals (DOAJ)
• Be a member of the Open Access Scholarly Publishers Association
OASPA Members or adhere to its Code of Conduct
• OR
• Be a member of the Committee on Publication Ethics
• Make their standard fee schedules publicly accessible
• By policy, waive their fees in cases of financial hardship

6. Dartmouth OA fund by the Numbers
Since inception:
# Articles Approved: 31
# Articles Reimbursed: 31
# Unique Submitting Authors: 25
# Unique Departments: 10
# Unique Journals: 22
# Unique Publishers: 12

7. How is it done?
Scholarly Communication Program Director:
• Develop outreach & education; forms, FAQ etc.
• Determine eligibility of journal and requestor
• Engage in conversations!
https://openclipart.org/detail/166341/people-talking-bubbles-by-palomaironiquehttps://openclipart.org/detail/26720/add-money-by-baroquon

8. How is it done?
Acquisitions:
• Set up bibliographic records using publisher as
title=“Vendor Name”
• Set up order records – track spending and generate
financial reports
• Key invoices to send payment to Accounts Payable
with “terms immediate”
• Set up chart strings to assign payments to broad
subject areas
• Provide fund reports

9. Workflows for Acquisitions: the same, different?
• Same: Setting up order and bibliographic records;
handling payments using EDI and working with Accounts
Payable
• Different: invoice information makes it difficult to
process and to track; each one is a bit different
Publishers and Invoices:
• Fee waivers on part of publishers- inconsistent in how
these are applied
• The invoice does not describe the prorated fee due to a
waiver
• Timing of payments: although listed as “30 days”, the
publisher often sends the author frequent reminders.

11. Bibliographic record for COPE payments to BMC

12. Order record for COPE payments to BMC
PAID
In# 6106100330 Dated:07-31-14 Amt:$2,395.00 On:08-05-14 Voucher#168386 For 001
copies Batsis/Nutrition Jrnl

13. Earnest Conversations Happen About….
• Open access
• How the institution is supporting open access
• Publishing choices
• “Author’s Choice” options and why we do not fund
those
• The wide range of OA journals, since we evaluate each
request and consider the standing of the journal in
doing that
• Publishing workflows- we learn what the faculty
actually experience in completing the process of
publishing their work
• Staffing and workflows needed to manage open access
content

14. Questions for YOU!
Does your institution fund APCs?
If not, why not?
If so, what are YOUR key concerns?
If so, what is the best thing about funding APCs at your
institution?

15. Acknowledgements
From the Dartmouth College Library:
Eliz Kirk, Associate Librarian for Information Resources
Judy Maynes, Head of Acquisitions
James Fein, Collection Assessment & Analysis Librarian
Jamie Dalton, Vendor Relations Specialist, Acquisitions
Barbara Sterling, Acquisitions Assistant
Colleagues on the OACompact listserv
Greg Tananbaum, ScholarNext
References
North American Campus-Based Open Access Funds: A Five-Year Progress Report,
prepared for SPARC by Greg Tananbaum, Fall 2014
Open Access Funds in Action, prepared for SPARC by Greg Tananbaum, updated
October 1, 2014