Research Councils UK: Open Access Policy (S&T Report)

Debate between Lord Krebs and Lord Popat

Thursday 28th February 2013 Lords Chamber

[Lord Popat]

My Lords, I thank all noble Lords who have spoken in today’s debate. This House always benefits from having Peers who can speak with experience about their fields of expertise, and it has been a great privilege to listen to the contributions today from those with such detailed knowledge of our research and academic sectors. I will do my best to answer all the points raised but if I do not have time to cover any specific points, I will ensure that I will write to noble Lords.

The Government’s open access policy for publicly funded published research forms part of the Government’s transparency agenda. It is important that taxpayers should have access to the research that they have funded. Innovation and economic growth stand to benefit if greater utilisation can be made of the results of this research.

The Government’s innovation and research strategy of December 2011 referred to our overarching commitment to transparency and open data. The Government are committed to ensuring that publicly funded published research should be accessible free of charge. Free and open access potentially offers significant social and economic benefits. By spreading knowledge created by the UK’s science base, we will raise the prestige and productivity of UK research and facilitate its even greater use to beneficial effect.

To expand access in such a way that the policy implications would be well understood, the Government facilitated an independent group of stakeholders chaired by Dame Janet Finch. The Finch group concluded in June 2012 that a mixed economy for open access was most appropriate, but with the policy direction set towards “gold open access”. Gold requires payment, by the researcher, of an up-front article processing charge, with the advantage of making the information freely available immediately to all users and without restriction of use. The Government’s open access policy has a strong preference for gold open access but, in keeping with the mixed economy recommended by the Finch group, also accepts “green open access”, which allows the publisher to charge the user a subscription or access fee to reach the published research during an embargo period.

My right honourable friend the Minister of State for Universities and Science recently discussed the Government’s open access policy with the noble Lord, Lord Krebs, during his Science and Technology Committee’s recent inquiry into open access. The committee’s report, published on 22 February, makes clear that it accepted that the Government are committed to the policy reflected in the Finch group’s recommendations. The committee did not challenge the conclusions of the Finch group or the Government’s open access policy. I pay tribute to the noble Lord, Lord Krebs, for his keen interest and contribution in progressing this important matter.

The Government have also written to the inquiry being held by the Business, Innovation and Skills Committee in another place. The Government have made clear that open access entails a journey, not a step change. Higher education institutions and their researchers will continue to be free to choose their research publication channel, but choice brings responsibility. They will be expected to responsibly strive to comply with RCUK’s stated open access policy—that is, preferably to use gold, or alternatively green, with embargo periods of no more than six or 12 months, for science and technology subjects and arts and humanities subjects respectively.

The policy framework for this transitional process, or journey, is as published by the Government in response to the Finch report and illustrated in the decision tree on the Publishers Association website. This illustrates how longer embargo periods of 12 to 24 months are acceptable for researchers when funds to pay the necessary article processing charges for gold open access are not available to the researcher.

Researchers will therefore be expected, when possible, to publish in journals that comply with RCUK’s policy. As I have said, however, they will remain free to choose which publication best serves their interests and requirements. This allows for a robust policy but one with the necessary degree of flexibility to address the concerns raised by the British Academy and others. The Government’s policy will accommodate the needs of different researchers and their respective disciplines.

Government’s assessment of the implications of RCUK’s open access policy has therefore considered its impact on stakeholders, including researchers and publishers alike, as represented in the Finch group. Indeed, the Government’s open access policy for publicly funded research is more responsive to the needs of all stakeholders than the equivalent policies being proposed in Europe and, as announced on 22 February 2013, by the Office of Science and Technology Policy in the United States. By making funding available through the research councils for gold open access and simultaneously allowing green as an alternative, with longer embargo periods when there is no funding available to the researcher for gold, the Government’s policy is sustainable and well balanced.

A well structured policy is important since open access is expected to strengthen direct and spillover benefits from research to stimulate economic growth. Publicly funded research can lead to important innovations. The internet and global positioning satellite technology both stem from publicly funded research. They now contribute to the global economy and enhance the quality of our lives, producing a significant return on the public investment first made.

By improving access to the results of research, open access could further enhance this process, as observed for the publicly funded human genome programme. The success of the human genome programme—in which a $3.8 billion investment drove $796 billion in economic impact and created 310,000 jobs—was partly attributed to the emphasis placed on open access. We now have an even greater opportunity, by exploiting the internet itself, to further amplify the benefits of publicly funded research. By publishing research papers in an open access way, we allow computers to search for results and, particularly for gold open access, to apply those findings without restriction. This improves the productivity of the science base.

[Lord Krebs]

My Lords, I thank the Minister for his very helpful response. However, will he confirm that RCUK will revise its policy and guidance statement to reflect what he has just said—namely that the research councils will follow the decision tree which has been adopted by BIS and was produced originally by the Publishers Association? The Minister said that that was the Government’s position but I want to be clear that RCUK is following that and is revising its guidelines and policy statement.

[Lord Popat]

I thank the noble Lord for that question. To the best of the Government’s knowledge, RCUK has accepted the decision tree. However, I will write to the noble Lord once we have the paperwork on the implementation, which I believe will be by the end of this month.

The Finch group’s recommendations achieved a balance between meeting the Government’s transparency agenda objective, preserving the integrity of the peer review process for published research and effecting change in a sustainable way. Even so, a preference for gold access was recognised by the Finch group to have a modest cost. It concluded that there could be a transitional cost of some £50 million to £60 million per annum.

The Government have accepted that the cost of publication is a legitimate cost of research. For a fixed science budget, gold access represents an opportunity cost to some in the science base for research forgone. The Government needed to understand the implication of this and their own independent economic analysis, as already submitted to another place, indicated a cost of some £50 million per annum, or 1% of the science base budget of £4.6 billion per annum.

According to the World Economic Forum, UK universities are second only to Switzerland in terms of university-industry collaboration. UK universities are effectively translating the results of research to business. We can witness how important this is when companies such as Tata make substantial inward investments in the UK’s world-class automotive industry. Companies such as Jaguar Land Rover benefit from their links to the UK’s science base, as exemplified by their collaborative research agreement with the Warwick Manufacturing Group of the noble Lord, Lord Bhattacharyya. Even so, publicly funded research is often difficult to find and expensive to access. This can defeat the original purpose of taxpayer-funded academic research. It limits understanding and innovation. The Government’s open access policy, coupled with the new Gateway to Research being developed by the research councils to directly link small businesses to research results and the people behind them, will open up a new age in the translation of research for innovation. The UK’s economy and its people—the taxpayers who fund research—will be the beneficiaries.

I will now address a number of questions raised by noble Lords. As I said earlier, the decision tree is accepted by RCUK. We accept the view expressed by the noble Lord, Lord Krebs, that it is a rapid change, with 2013 being the start of the process. However, it is a journey, not an overnight change. It is feasible to implement policy from 2013 since it is the start of the process of transition over the next five years. All research suggests that it is not disruptive change, but rather reasonable change. Within this five-year period, we will see what we can do to accommodate the concerns of the stakeholders if any difficulties arise in the transition process. Therefore, the noble Lord, Lord Krebs, can rest assured that we will look into and address the concerns of the stakeholders.

The noble Viscount, Lord Hanworth, mentioned a cost of £1,750. This is a broadly based average figure. He was not in favour of what he implied was a monopolistic position. However, the reality is exactly the opposite, as confirmed by the noble Baroness, Lady Sharp. This is very much like free trade. We are taking the lead in this matter compared with our European and American partners.

I may not have covered a number of questions raised by noble Lords but they can rest assured that I will write to them. We will make sure that this policy is implemented as smoothly as possible. Obviously, that process will be reviewed and we will definitely address stakeholders’ concerns.

The noble Baroness, Lady Sharp, talked about other countries. Europe is moving to mandatory open access in the EU framework. The Americans are also now working on this subject. They want to support free access and make sure that free access publicly funded research is fully utilised and benefits the people of the United States.

I hope that I have covered some of the issues raised by the noble Lord, Lord Krebs, and other noble Lords. I will certainly look into this again and make sure that responses are provided as quickly as possible.