Challenges for research institutions facing PlanS

PlanS:ExploringPerspectives
London,25thFebruary2019
CCBYIgnasiLabastida
OficinadeDifusiódelConeixement, CRAI UB
Challenges for Research Institutions
facing Plan S
Plan S: Exploring Perspectives
25th February 2019
Ignasi Labastida i Juan
Oficina de Difusió del Coneixement
CRAI Universitat de Barcelona

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CCBY UCLMathematicalandPhysicalSciences
https://www.flickr.com/photos/uclmaps/16916477742/
«I am committed to
completing the transition to
open access by 2020»
CarlosMoedas
Research, Science and Innovation
Comissioner

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«Accelerating the transition to full and immediate Open Access to scientific
publications»
Launched on the 4th of September 2018 by the cOAlition S and supported by the
European Commission and the European Research Council. Developed by Science
Europe, national funders and Robert Jan Smits, Open Access Envoy of the European
Commission
Starting on the 1st of January 2020
Plan S

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1. Austrian Science Fund
2. French National Research Agency
3. Science Foundation Ireland
4. National Institute for Nuclear Physics, Italy
5. National Research Fund, Luxembourg
6. Netherlands Organisation for Scientific Research
7. Research Council of Norway
8. National Science Centre, Poland
9. Slovenian Research Agency
10. Swedish Research Council for Sustainable Development
11. UK Research and Innovation
The initial members of cOAlition S

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The initial members of cOAlition S

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Academy of Finland
Swedish Research Council for Health,Working Life andWelfare
National Science andTechnology Council , Zambia
WellcomeTrust
Bill and Melinda Gates Foundation
Riksbankens Jubileumsfond
Compagnia di San Paolo
New members of cOAlition S

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The new members of cOAlition S

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1. Authors retain copyright on their publications, which must be published under an open license such as CC BY
2. Funders will establish robust criteriaandrequirements for compliant open access journals andplatforms
3. Funders will provide incentives for creating compliant open access journals and platforms if they do not yet
exist
4. Where applicable, publication fees shouldbe covered by the funders or universities, not individual
researchers
5. Such publication fees should be standardized andcapped
6. Universities, research organizations, and libraries shouldalign their policies andstrategies
7. For books and monographs, the timeline may be extendedbeyond 2020
8. Open archives and repositories are acknowledged for their importance
9. Hybrid publishing model is not compliant withthe above principles
10. Members of the coalition will monitor andsanction non-compliance
The 10 Principles of Plan S

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1. Authors retain copyright on their publications, which must be published under an open license such as CC BY
2. Funders will establish robust criteria and requirements for compliant open access journals and platforms
3. Funders will provide incentives for creating compliant open access journals and platforms if they do not yet exist
4. Where applicable, publication fees should be covered by the funders or universities, not individual researchers
5. Such publication fees should be standardized and capped
6. Universities, research organizations, and libraries should align their policies and strategies
7. For books and monographs, the timeline may be extended beyond 2020
8. Open archives and repositories are acknowledged for their importance
9. Hybrid publishing model is not compliant with the above principles
10. Members of the coalition will monitor and sanction non-compliance
The 10 Principles of Plan S

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Initial concerns
1. How much Plan S affects to our research
2. How many articles are published with CC BY
3. In how many articles authors keep copyright
4. How much we pay in publication fees and how much we can afford to pay
5. How our policies are aligned with other policies
6. The role of institutional repositories
7. What is the role of the hybrid model in our institution
8. Our institutional journals are Plan S complaint
9. What will happen if authors publish in a non compliant place

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New concerns
1. Time scales
2. Requirements for institutional repositories
3. How research evaluation and assessment will change accordingly
4. Discipline specificities
5. What will happen with unfunded research
6. How transitional agreements will be treated

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Feedback

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Can we wait and see?

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Let’s start working

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How much does the Plan S affects us?
2015-2018
22862 articles published according toWoS
454 articles state to have received funds from cOAlition S (~2%)
1767 articles if we include EU funding (7,62%)
7625 articles if Catalonia and Spain embrace Plan S (33,35%)
The current situation

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UB2011 UB2012 UB2013 UB2014 UB2015 UB2016 UB2017 UB2018
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
NonOA
Green
Bronze
Hybrid
Gold
OpenAccessSituationattheUniversityofBarcelonaaccordingtoScopusandWoSarticles

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UB2011 UB2012 UB2013 UB2014 UB2015 UB2016 UB2017 UB2018
0,00%
5,00%
10,00%
15,00%
20,00%
25,00%
Gold Open Access at UB
Gold
Hybrid

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2017 2018
Number of Articles 6116 5735
Gold 1194 1256
Hybrid 486 381
Gold Funded 92 100
Hybrid Granted 17 5
Gold Corresponding Author 467 512
Hybrid Corresponding Author 136 112
Actual payment 102456,63 100054,91
Estimated payments 596931,36 746636
Estimated Cost 699387,99 846690,91
EstimatedCostofPublishingOpenAccessatUniversityofBarcelona,2017-18

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We have analised 9607 journals where our authors publish
696 journals are using CC BY (7,24%)
14 journals under CC BY-SA (0,15%)
2754 no embargo (28,67%)
907 of them with authors retaining copyright (9,44%)
~36% Journals providing immediate public access
~17% Journals providing immediate public access and authors keeping copyright

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OpenAccessSitautionattheSchoolsoftheUniversityofBarcelona,2017

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2010 2011 2012 2013 2014 2015 2016 2017 2018
0,00%
5,00%
10,00%
15,00%
20,00%
25,00%
30,00%
Percentageofarticlesavailableintheinstitutionalrespositoryvs.articlesavailableatCRIS,UniversityofBarcelona

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Institutional Journals
69 Journals published
23 Journals in DOAJ (33,33 %)
62 Journals use CC licenses (89,86%)
33 CC BY (47,83%)
23 CC BY-NC-ND, 3 CC BY-NC, 3 CC BY-NC-SA

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Some challenges
Funding Open Access
Transformative agreements
Social Sciences, Arts and Humanities
Changes in Evaluation
Cultural Change

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Challenges: Funding
Source:OA2020Initiative,MaxPlanckSociety

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Challenges: Funding
Current Spending
Jounals subscription 4 M €
APC spending 0,85 M € (estimation, funds mostly provided by funders)
Productivity
Number of Articles 5700
Number of Articles with corresponding author 2300
Calculations
Current Spending/Articles 2100 € per article
Average APC full OA (1500 €) 3,2-3,5 M € spending

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Challenges: Funding
Are journals publishing costs enough?
What about open infrastructures?
Publishing Platforms?
Collective/Collaborative initiatives?
Books, monographs?

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Challenges:Transformative Agreements
cOAlition S recognises models that avoid non-transparent and non-fair pricing, such as‘offsetting’
and‘read & publish’models as a way of achieving compliance with Plan S during a transition
period. cOAlition S will require that the details of such agreements are listed on a website to ensure
transparency, and encourages consortia to develop shared requirements for this.
The contracts (including costs) of such agreements need to be made publicly available.
Contract negotiations need to be concluded before the end of 2021, and contracts may not last
for longer than three years.
The negotiated agreements need to include a scenario that describes how the publication
venues will be converted to full Open Access after the contract expires.
The effects of the transformative agreements will be reviewed in 2023.

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Challenges: Social Sciences, Arts and Humanities
The principles of Plan S shall apply to all types of scholarly publications, but it is understood that
the timeline to achieve Open Access for monographs and books may be longer than 1 January
2020.
Some experiences with collaborative projects: Knowledge Unlatched
Some initiatives at own university press

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Challenges: Evaluation

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the need to eliminate the use of journal-based metrics, such as Journal Impact Factors, in funding,
appointment, and promotion considerations
the need to assess research on its own merits rather than on the basis of the journal in which the
research is published
Quantitative evaluation should support qualitative, expert assessment
Measure performance against the research missions of the institution, group or researcher
Protect excellence in locally relevant research
Keep data collection and analytical processes open, transparent and simple
Allow those evaluated to verify data and analysis
Account for variation by field in publication and citation practices
...
Challenges: Evaluation

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Challenges: Cultural Change

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Successful engagement with Open Science requires a holistic vision by the
institution, working together to deliver a set of goals in a complex and evolving mix
of themes and priorities, to which all members can commit
Bringing about change at universities requires:
● leadership, vision, strategy and adequate resources for implementation
● a mix of targeted measures to achieve cultural change
● transparency, accountability and monitoring
● trust and confidence in a shared vision

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To take into account
Prevalence of copyright assignment to commercial publishers and weak
copyright literacy amongst researchers
Costs involved in developing Open Science approaches
Not everything can be open
Statements such as the San Francisco Declaration are by no means universally
accepted across academic communities
Communities throughout the world are not all equally committed to openness.
It is important that all stakeholders start the journey to embrace Open Science
principles, policies and practices

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Cultural change
Leadership Has your university appointed a senior manager to lead
Open Science approaches across all eight pillars of the
Open Science debate identified by the European
Commission?

HR Has your university developed a programme of cultural
change, which is necessary to support the changes in
principle and practice which Open Science brings?

Advocacy Does your university have advocacy programmes to
identify the benefits of Open Science approaches, whilst
being realistic about the challenges?

Communication Does your university have communication strategies which
enable the whole university body to become familiar with
Open Science practices?

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Some comments
Limitations on Academic Freedom
There are not enough quality open access journals to cover all disciplines
Open Access have low quality
Young researchers’careers are in risk
Plan S will forbid to access to high quality journals by shifting the subscription
budgets to paying APC
Differences around the globe: Europe vs. the rest of the world
...
Challenges: Opposition from researchers

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Thanks
ilabastida@ub.edu
@ignasi
Oficina de Difusió del Coneixement
CRAI Baldiri Reixac, 2
http://www.ub.edu/odc

Challenges for research institutions facing PlanS

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