Update on cOAlition S & Sally Rumsey cOAlition S OA Expert

University of Oxford OA week March 2020 EUROPE I 16-3-2020 cOAlition S I 2

cOAlition S

A DECLARATION OF COMMITMENT BY PUBLIC RESEARCH FUNDERS cOAlition S I 3

Summary

Plan S – what and why cOAlition S Governance Relationship with UKRI Evolving landscape Outreach and consultation cOalition S strands of work Addressing concerns Engagement with libraries Finding out more cOAlition S I 4

Plan S Principle

“With effect from 2021*, all scholarly publications on the results from research funded by public or private grants provided by national, regional and international research councils and funding bodies, must be published in Journals, on Open Access Platforms, or made immediately available through Open Access Repositories without embargo.”

*For funders agreeing after January 2020 to implement Plan S in their policies, the start date will be one year from that agreement

https://www.coalition-s.org/addendum-to-the-coalition-s-guidance-on-the- implementation-of-plan-s/principles-and-implementation/ cOAlition S I 5

Core strong principles of Plan S

Full & immediate OA Authors retain CC-BY licence No hybrid except transformative arrangements with defined endpoint Immediate OA via repositories Transparent pricing Funders commit to support publication fees individual researchers do not pay Assessment for funding via intrinsic merits of work NOT venue of publication or quantitative metrics Multiple routes to OA compliance cOAlition S I 6

Implementation guidance: key changes

Timeline extended by one year: Publications from calls published as of 1 January 2021 must be Open Access. Transformative arrangements supported until end of 2024

Greater clarity on compliance routes: cOAlition S supports a diversity of business models Plan S is NOT just about Gold OA: Immediate Green is fully compliant! cOAlition S I 7

Routes to compliance

Gold/Diamond route Green route Transformative route Open Access Subscription Hybrid/ subscription journals/ platforms journals journals

Authors publish in Authors can publish in a Authors publish in a fully OA journal… subscription journal… journal with a …*IF* they make the Transformative … cOAlition S or Arrangement funders financially Author Accepted support publication instantly cOAlition S funders fees for author available in a repository *CAN* financially cOAlition S funders do support Open Access *NOT* financially under Transformative support publication fees Arrangements in ‘hybrid’ subscription journals cOAlition S I 8 Implementation guidance: Transformative arrangements: ESAC

cOAlition S encourages publishers, institutions, and library consortia to enter into TAs that adhere to Plan S principles and ESAC guidelines

Temporary and transitional [Plan S – end 2024]

Authors retain copyright [Plan S – non-negotiable]

Agreements must be transparent

Experience shows that national (library) consortia teaming up with national funders are best equipped to negotiate successful TAs

https://esac-initiative.org/ cOAlition S I 9 Implementation guidance: Transformative arrangements (1)

Plan S supports three strategies:

1. Transformative agreements (TAs)

Contracts between library consortia and publishers that convert current subscription costs into OA publishing costs. OA2020 promotes TAs to accelerate the transition to Open Access OA2020 aims for cost-neutral TAs (i.e. subscription cost to Publish & Read) cOAlition S I 10

Implementation guidance: Transformative arrangements (1)

Pre-TA Post TA Next expenditure expenditure negotiation

APCs Funder pay- ments and… Current library Library Publish subscription & Read spend agreement … library payments for Funder-paid publishing APCs services cOAlition S I 11 Implementation guidance: Transformative arrangements (2)

2. Transformative model agreements Many journals and publishers, especially smaller society presses, not currently engaged in transformative agreements… Report and Toolkit to Support Publishers Transition to Immediate Open Access https://www.coalition- s.org/spa-ops-project/ cOAlition S I 12

Implementation guidance: Transformative arrangements (3)

3. Transformative journals A framework for journal transitions where: the share of OA content is gradually increased; subscription costs decrease as income from OA fees increases the journal commits to transition to full Open Access in an agreed timeframe Consultation: results and final conditions for TJs to appear in the next few weeks Why Plan S? Why Plan S ? Research funding organizations in cOAlition S want:

To accelerate scholarship by making research results immediately available to the largest possible audience worldwide. Greater transparency in research communication A cost-effective transition from the (unsustainable) subscription model to an OA model. To make their funding conditional on publication in full and immediate OA cOAlition S I 15

Why Plan S ? Visibility of research

In 2019: • 31% of all journal articles are available “OA” • 52% of article views are to “OA” articles Heather Piwowar, Jason Priem, & Given existing trends, we estimate that by 2025: Richard Orr (2019) The Future of OA: A large-scale analysis • 44% of all journal articles will be available as “OA” projecting Open Access publication • 70% of article views will be to “OA” articles and readership. doi: https://doi.org/10.1101/795310 cOAlition S I 16 cOalition S Governance

Executive OA Champion Programme Steering Group Johan Rooryck, Manager NEW! Chair: OA Champion Professor of French Linguistics

Leaders Group Co-Ordinator Communications Chair: President Funder: Robert Kiley

Experts Group OA Expert (funders) Programme Office NEW! Ambassadors Group cOAlition S I 17

cOAlition S office

A cOAlition S office has now been established at the European Science Foundation (ESF) in Strasbourg with €2m contributed by a subset of cOAlition S funders.

Nora Papp-Le Roy (Programme Manager)

Robert Kiley (Coordinator) Johan Rooryck (Open Access Champion) cOAlition S I 18 cOalition S Governance: Activities

Executive Steering Gp Leaders Group Experts Group Chair: OA Champion Chair: President Science Eur (funders)

Task Forces Task & Finish Commissioned Specialist Groups reports expertise Compliance Collaboration SPA-OPS Eg Jisc data Journal Checker with COAR Gaps analysis Tool Research Compliance Monitoring assessment Effects Data ECRs Transparency Framework

Programme Programme Comms OA Expert Office Manager cOAlition S I 19

Relationship with UKRI

UKRI has joined cOAlition S UKRI supports Plan S UKRI Open Access Review Review = Plan S principles + other evidence UKRI proposed OA policy aligns with ambition of Plan S Consultation specifically focused on UKRI’s OA policy not a consultation on Plan S Post-2021 REF Separate consultation Intention: compliance with UKRI’s OA policy will result in compliance with the OA policy for the REF-after-REF 2021. cOAlition S I 20

Evolving landscape 1: Researchers

OA / / Open Scholarship Sorbonne declaration on research data rights https://www.leru.org/files/Sorbonne- declaration.pdf January 2020 Inc Russell Group “We, research university networks, commit to:…Encouraging our universities and their researchers to share data as much as possible.” cOAlition S I 21

Evolving landscape 1: Researchers University of California faculty

“A group of prominent University of California faculty say they will step away from the editorial boards of scientific journals published by until the publishing giant agrees to restart negotiations, which stalled in February and left the 10-campus system without subscriptions to some of the world’s top scholarly journals.” cOAlition S I 22 Evolving landscape 1: Researchers ECRs call to EU

Researchers call on EU institutions to ensure free circulation of scholarly knowledge http://doi.org/10.5281/zenodo.3669124 cOAlition S I 23

Evolving landscape 2 – Publishing

Read & Publish Wiley 2 March 2020 https://www.jisc.ac.uk/news/jisc- uk-institutions-and-wiley-agree- ground-breaking-deal-02-feb- 2020# Publish & read Pre-prints Submission Etc cOAlition S I 24 Working with key stakeholders: Publishers In active discussions with publishers – eg Society Publishers’ Coalition, Springer and others – to explore the “transformative journal” model cOAlition S I 25 Working with key stakeholders: Publishers

…other journals and publishers support “Green Open Access” (at least as an interim model) cOAlition S I 26 Working with key stakeholders: Universities cOAlition S I 27

Evolving landscape 3: Scholarly communications

Research as a global endeavour Policy developments eg OSTP consultation and WH rumours OA2020 https://oa2020.org/ OA2020 is a global alliance committed to accelerating the transition to open access Pre-prints Exploration of overlay on a variety of different repository types (institutional, , data, etc.), OA journals such as OLH or SciPost, China – requirement to publish in Chinese owned publication https://scholarlykitchen.sspnet.org/2020/02/27/new-chinese-policy-could- reshape-global-stm-publishing/ cOAlition S I 28

Evolving landscape Learned societies: Society Publishers’ Coalition (SocPC) Likeminded, not-for-profit learned societies & charities publish as part of charitable objectives Re-invest surplus into disciplinary communities Common ambition orderly and sustainable transition to open scholarship improve efficiency of the scholarly communication ecosystem for the benefit of researchers and society in a fair and sustainable way. to achieve this: work with researchers, funders, institutions and other stakeholders. “Get in touch with SocPC to learn more about our work and how you can get involved.” Members include…. cOAlition S I 29

Society Publishers’ Coalition (SocPC) Members include

https://www.socpc.org/ cOAlition S I 30

cOAlition S Outreach and consultation

Working with key stakeholders Plan S consultation 2019 Revised (650 responses) Consultation on Transformative Journals Recent survey – response and revised guidance will be published March Publishers – ongoing dialogue Springer Nature, Els, ALPSP, Emerals, PloS etc Monitoring effects of Plan S – more later… Ambassadors – echo concerns of the community cOAlition S I 31 Working with key stakeholders: Researchers

Working with researcher groups to ensure we understand their concerns and find ways of mitigating them

Ambassador network established – to engage with research community and share concerns with cOAlition S leadership team cOAlition S I 32

Strands of work: 1 Journal checker tool

Making it easy: Journal Checker cOAlition S will work with the Directory Tool of Open Access Journals (DOAJ), the identify journals that enable Directory of Open Access Repositories compliance with Plan S (OpenDOAR), SHERPA/RoMEO, Investigation into data sources Efficiency and Standards for Article Charges (ESAC), and other potential Invitation to Tender (ITT) partners to establish mechanisms for launched 7 February identifying and signalling whether Support researchers who receive journals/publishing platforms, funding from cOAlition S repositories, and transformative members arrangements respectively fulfil the cOAlition S requirements … cOAlition Identify publishing venues that S will support the development of a enable compliance with Plan S tool that researchers can use to Available for use from November identify whether venues fulfil the 2020 requirements. cOAlition S I 33

Developing a Journal Checker Tool

initial focus on identifying publishing venues that: offer a route to compliance, as set out in the Implementation of Plan S offer a CC-BY option to all researchers working under a Plan S policy allow the author to retain copyright simple to use eg: Affiliation/Journal name Red / green indicator Work in progress

https://www.pexels.com/photo/gray-and-gold-steel-gears-159275/ cOAlition S I 34

Strands of work 2: Price Transparency Obligation to use funds responsibly Plan S Guidance specifies: “cOAlition S, in partnership with publisher representatives and other stakeholders, will define the various services (e.g., triaging, peer review, editorial work, copy editing) publishers will be asked to price.” cOAlition S aims to help make the nature and prices of OA publishing services more transparent, to build confidence amongst stakeholders that prices are fair and reasonable Similar to FOAA (Fair OA Alliance) initiative (https://www.fairopenaccess.org/) OA services & prices transparency report & framework cOAlition S I 35

Strands of work 2: Price Transparency Price transparency framework pilot

Recommendation for pilot accepted Name Organisation Stakeholder type Ivy Anderson University of University/Library and adopted California consortium

Pilot Q1 2020: Chris Banks Imperial University College 8 publishers London Annual Reviews; Brill; The Company of Rachel Bruce UKRI Funder

Biologists; EMBO Press; European Liam Earney Jisc Library Respiratory Society; Hindawi; PLOS; Collections consortium SpringerNature; Sarah Greaves Hindawi Publisher “Other publishers are welcome and are Steven Springer Publisher invited to express interest in joining the Inchcoombe Nature Robert Kiley Wellcome Funder pilot via [email protected]” Jasmin Lange Brill Publisher Steering Group Falk Reckling Austrian Funder https://www.informationpower.co.uk/recommen Science Fund dations-for-transparent-communication-of- (FWF) Arthur Smith Cambridge University open-access-prices-and-services/ University cOAlition S I 36

Strands of work 3: Collaboration with COAR

COAR: Confederation of OA Repositories Joint statement Offer wide ranging green option Assists author choice Keep options open – innovation and changing environment Plan S repository technical requirements Mandatory Revised recommended requirements Listen to COAR input https://www.coar-repositories.org/news-updates/coar-and-coalition-s-supporting-repositories-to-comply-with-plan-s/ cOAlition S I 37

Strands of work 3: Collaboration with COAR Green self-archiving option

No hybrid Immediate OA Retaining option assists journal choice Many journals already have zero embargo Empowers authors Institutional collections and preservation Cost – retaining alternative option Option for smaller journals Collaboration with COAR

https://www.pexels.com/photo/green-door-688336/ cOAlition S I 38

Strands of work 3: Collaboration with COAR University of Oxford OA Policy Statement of Intent • The University of Oxford academic community wishes to ensure the widest possible access to its world-class research. • The value and utility of research outputs increases the more broadly they are available to be considered and used by others, including scholars around the globe, businesses and charities, and society in general. • A core component of this, as set out in the University Strategic Plan and the Digital Strategy, is open access (OA) to research outputs. The University favours, now and for the foreseeable future, open access by means of the Green Route. • Access to Oxford’s published research, for everyone, from everywhere, will also help to highlight the excellence of its research, attract scholars and students, foster collaboration, enhance public engagement with research and maximise the intellectual, social, cultural and economic impact of research. http://openaccess.ox.ac.uk/home-2/open-access-at-oxford/ cOAlition S I 39

Strands of work 4: Research assessment & evaluation

Particular ECR concern Funders commit that when Career progression assessing research outputs Journal choice during funding decisions they DORA (San Francisco will value the intrinsic merit of the work and not consider the Declaration on Research publication channel, its impact Assessment) signatories factor (or other journal Viewed seriously by funders metrics), or the publisher …. cOAlition S supports the Each working towards principles of DORA implementation …cOAlition S members will implement such principles in their policies by January 2021. cOAlition S I 40 Strands of work 4: Research assessment & evaluation Working Group

Funders’ adoption of DORA principles Signing Implementation by funders cOAlition S Working Group in preparation Include other models eg Leiden Manifesto and TOP guidelines Relate to UKRI work Fundamental underlying problem Not only cOAlition S concern Broader than OA to articles

https://www.pexels.com/photo/abstract-bright-close-up-color-268460/ cOAlition S I 41

Strands of work 5: Effects of Plans S Concern: if publication choices are reduced, may negatively affect ability to secure future grants and tenure cOAlition S has established a Task Force to measure the effects of Plan S Led by Marion Boland (SFI) Particular focus on ECRs Concerns Academic reward and recognition Choice of journal / compliant venues Not unique to Plan S DORA-related cOAlition S I 42 Working with key stakeholders: Early Career Researchers (ECR)

Privileged to work directly with reps from4 ECR organizations: Global Young Academy (GYA) Young Academy Europe (YAE) Marie Curie Alumni Association (MCAA) EuroDoc Plus Medical Research Council of Plus Arts & humanities rep cOAlition S I 43

Cost & journal choice

Learned societies & small publishers Transformative arrangements – Jisc pilot with learned societies Choice of compliant venues Gaps report Green route DORA The Knowledge Exchange and Transitional Open Access for Smaller Publishers https://scholarlycommunications.jiscinvolve.org/wp/ 2020/01/27/the-knowledge-exchange-and- transitional-open-access-for-smaller-publishers/

https://www.pexels.com/photo/pile-of-covered-books-159751/ cOAlition S I 44 cOAlition S: 24 funders

National European funders: Charitable foundations: : FWF The : AKA The Bill & Melinda Gates Foundation France: ANR Aligning Science Across Parkinson’s Ireland: SFI Italy: INFN Global dimension : FNR World Health Organisation + TDR : NWO Jordan: HCST : RCN : NSTC : NCN South Africa : SAMRC : ARRS African Academy of Sweden: FORMAS, FORTE, VINNOVA São Paulo Statement : AmeliCA, UK: UKRI SciELo, African Platform, OA2020, cOAlition S European funders: Coordinated action with OA2020 European Research Council Coordinated action with COAR cOAlition S I 45

Addressing concerns: Coverage

Coverage Recognise limits Share of papers indexed in WoS acknowledging Plan S funder account for about 6% papers indexed (2017) Member 24 members Recognition of need for more members Recent new members WHO/TDR; South African Medical Research Council; Aligning Science Against Parkinson’s Engagement activities continue Continue to work with many other agencies US funding agencies White House executive order / OSTP consultation cOAlition S I 46

Addressing concerns: Coverage Plan S Visibility

Punches above its weight in setting the OA agenda worldwide https://clarivate.com/webofsciencegroup/campaigns/plan-s-footprint/

Caveats 1. ISI figures 2. Science journals 3. What I just said about research evaluation cOAlition S I 47

Addressing concerns: Learned societies & small publishers Effect on learned societies & small publishers Concerns: Retain wide variety of publishers Avoid consolidation to small number of major publishers cOAlition S commitment not to fund hybrid Requires reassessment of/alternative business models Example: Brill small niche publishers: TA with Dutch libraries Lingua/Glossa; Join OLH Green route option Effect on learned society publishing Report and toolkit for learned societies https://www.coalition-s.org/spa-ops-project/ Jisc pilot with small learned societies: Transformative arrangements Agreement with funders to use block grants for up-front fees cOAlition S I 48

Addressing concerns: Gap analysis

Gap analysis to identify areas currently compliant and gaps Goal: inform Coalition S on the OA options per field and identify fields where there is a need to increase the share of OA journals/platforms. Good level of compliant options for licences, copyright and green – both ‘gold’ and ‘hybrid’ Disciplinary differences in provision & take-up Further work could be done as landscape changes

Bianca Kramer & Jeroen Bosman, Nov 2017. Open access potential and uptake in the context of Plan S - a partial gap analysis. https://doi.org/10.5281/zenodo.3543000 data: https://doi.org/10.5281/zenodo.3549020 cOAlition S I 49

OA

UKRI draft policy and consultation Proposed policy would apply from 1 January 2024 Separate to Plan S guidelines Plan S Understands that the timeline to achieve OA for monographs and chapters will be longer and requires a separate and due process cOAlition S will, by the end of 2021, issue a statement on Plan S principles as they apply to monographs and book chapters, together with related implementation guidance https://www.pexels.com/photo/book-pages-books-close-up-grass-415078/ cOAlition S I 50

Engagement with libraries

Working with repositories COAR COAR – encourage membership Concern – Administrative burden Avoiding confusion Checker tool Me! IARLA RLUK SPARC Europe

https://www.pexels.com/photo/aerial-photo-of-building-1046125/ cOAlition S I 51

Working together to deliver OA

Plan S is part of a wider open scholarship movement, looking to accelerate the transition to providing research results in Open Access

To fully deliver on its ambition – to make full and immediate OA a reality – we need a global coalition of funders, but also institutions, researchers, and publishers cOAlition S I 52

Help please... cOAlition S I 53

How would you describe yourself? Tick all that apply

Researcher: Academic staff Researcher: Post graduate Early career researcher Member of learned society Scholarly journal editor / on editorial board / other journal production role Journal publisher Librarian Research support office staff / departmental research support staff Other (please add details) cOAlition S I 54

3 questions…

1. What one thing concerns you most about implementation of Plan S?

2. What one thing do you think is a positive outcome / element of Plan S?

3. What question would you like to see included, together with a response, on the Plan S list of FAQs? Confuses cOAlition S I 55

Finding out more

cOAlition S website https://www.coalition-s.org/ Plan S rationale Plan S principles and implementation Who’s involved Reports, news and consultations Website refresh [forthcoming] FAQs [forthcoming] Twitter @cOAlitionS_OA Email https://www.coalition-s.org/contact-us/ cOAlition S I 56

Questions Sally Rumsey cOAlition S OA Expert [email protected] This presentation distributed under SCIENCE EUROPE I 16-3-2020 Attribution 4.0 International (CC BY 4.0) licence