Executive Summary
This report examines the operational challenges that universities, funders and publishers face
in the UK relating to the payment of article processing charges (APCs) – the charges levied
by the publishers of open access and hybrid journals to meet the costs of the publication
process. It then examines the feasibility of using intermediaries of various kinds to provide
services to aggregate payments as between universities and publishers, along with other
services relating to the processes involved in ensuring that an article is published on open
access terms. The aim would be to improve the efficiency and effectiveness of the processes
involved for funders, universities and publishers.
The study on which this report is based was limited in scope, but set in a broader strategic
context. The recommendations of the Finch Report on how to expand access to published
research findings have been followed by a significant shift in policy in the UK towards the
support of open access publishing funded by APCs. The assumptions underlying the new
policies are that they represent the most effective way to increase access to the UK’s
excellent research, with publications underpinned by high-quality and sustainable services for
both authors and readers; and that they should support the development of an effective,
transparent and growing market for ‘Gold’ open access publishing. The development of such
a market, however, depends not only on efficient operational processes, but also on effective
flows of information between the different agents and players. More generally, it is likely that
as the transition to open access gathers pace, there will be a complex set of interactions
between developments at strategic and operational levels.
We conclude as a result of our work that with a very few exceptions, the systems and
processes currently associated with the payment of APCs are sub-optimal, and could present
a significant barrier to the wider adoption of open access publishing. Our research also
indicates, however, that there is no consensus on the potential value of the use of
intermediaries as a means of addressing these problems, or whether it would indeed be
beneficial to introduce intermediary services, or whether the benefits would outweigh the
disadvantages or risks. Such concerns are exacerbated by lack of clarity as to how
intermediary services might be organised, structured and managed.