NHS (Finch) Pilot: Public report of Final Report

NHS (Finch) Pilot: Public report of Final Report November 2015

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NHS (Finch) Pilot: Public report of Final Report

Contents Executive Summary...................................................................................................... 3 1. Background and establishing the Steering Group ...................................................... 5 2. Pilot Requirements ................................................................................................... 7 3. Publisher Engagement ............................................................................................11 4. Promoting the pilot ................................................................................................ 15 5. The usage analysis .................................................................................................. 17 6. Developing a business model with publishers ......................................................... 21 7. Funding recurrent access ........................................................................................ 26 8. Recommendations ................................................................................................. 27 Annex 1 – Request for information .............................................................................. 28 Annex 2 – Invitation to tender..................................................................................... 38 Annex 3 – Jisc NHS (Finch) pilot usage analysis ........................................................... 52 Annex 4 – Acknowledgements.................................................................................... 79

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NHS (Finch) Pilot: Public report of Final Report

Executive Summary The NHS (Finch) Pilot 2014-15 sought to address an issue raised by the Finch Report that until the Open Access movement could provide freely available content to all, licenses to content should be extended to those researchers in other sectors in the UK who required access to such content. Content licensed by Jisc Collections for its higher education membership in the UK academic sector was identified as content that might be relevant in this context.

In comparison to the access afforded to academic colleagues, the type of scientific journal research content is generally not available to the same extent in NHS Trusts. The NHS purchases clinical content as a priority. There are small pockets of availability but many NHS researchers, particularly those working in collaboration with academic colleagues are at a disadvantage in terms of this type of provision.

This pilot engaged nine journal publishers of primary and reviews journal content to provide free access to their varying amounts of content for up to one year in most cases, to understand how NHS researchers used the content. The publishers who agreed to participate were AAAS, Annual Reviews, Elsevier, IOP Publishing, Karger, Nature Publishing Group, Oxford University Press, The Royal Society of Chemistry and Springer. Access was provided by the publishers to all NHS users in England, Scotland, Wales and Northern Ireland for one year in most cases, by OpenAthens OrgID and by IP address authentication. The pilot access commenced officially from 1st April 2014 and ended officially on 31st March 2015.

The findings of the pilot showed that •

Setting up access to content via OpenAthens OrgID (the preferred NHS authentication method) was time-consuming, unfamiliar, or at a cost to the majority of publishers who preferred to provide IP address authentication for the pilot

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Some publishers were concerned that the pilot might erode subscription revenue in the NHS sector

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Usage of the content at a general level was very low in comparison with the academic sector’s usage, with a few exceptions where some of the journals available were more clinical in nature

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A small number of researchers across the NHS used the content and benefitted from its availability

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Most publishers were willing to engage in discussions to agree a standardised business model that also reflected affordability to the NHS sector

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Recommendations

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Recurrent funding is provided at UK national level to support procurement of the content in the pilot for the NHS

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The business model discussed and accepted by the majority of publishers in this pilot is used as the basis of acceptable pricing

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AHSNs in England establish funding to opt into agreements as an alternative route to access content where national support is unavailable

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Jisc Collections offers an ordering, administration and licensing service to AHSNs in order to collect fees and pay publishers.

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That publishers provide access to the NHS via OpenAthens authentication or its preferred method in future

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Where usage by NHS users across the UK is very low compared to academic usage for the same content, for example below 3%, that publishers enable free access to the NHS in return for an administration fee, rather than for a content fee.

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1. Background and establishing the Steering Group This pilot addressed the challenges surrounding extending access to licensed academic research journal content to NHS users in England, Scotland, Wales and Northern Ireland. The work developed from the Finch Report which suggested that, during the transition to full Open Access, academic content licenses should be extended to provide the same level of research availability to those in sectors where journal content provision was limited. Jisc Collections licenses academic research content for the higher education sector via its negotiated journal agreements and had previously tested extending licence agreements to incorporate access by NHS users in a 2012 pilot involving five Academic Health Science Centres (AHSCs) in England and five publishers. The results of this earlier initiative informed the requirements of this latest NHS (Finch) Pilot. The pilot was established with the help of some limited anonymous funding to enable the administrative support required to set up and maintain OpenAthens and IP address authentication for NHS users, to provide usage data at agreed points and to manage other administrative aspects of the project. No funding was made available to purchase access rights from journal content providers for NHS user access during the pilot period. In summer 2013 Lorraine Estelle, CEO Jisc Collections and Carolyn Alderson, acting head of licensing, Jisc Collections, met with Paul Ayris (UCL), chair of the Electronic Resources Working Group (EIRWG) and Richard Osborn, Health Education England (HEE) Library Lead, to discuss the possibility of meeting the spirit of the Finch Report by developing the earlier AHSC work and extend access to a larger range of research content from more publishers, and to broaden access to all NHS users, to understand usage patterns and the value of non-clinical scientific research content to the NHS. It was recognised that neither Jisc Collections nor the NHS had funds to purchase any content; however, it was agreed that there might be a possibility to provide administrative funding to publishers to enable access to a free trial period. It was agreed to establish a Steering Group in order to scope the pilot and consider funding possibilities. The steering group was established and comprised procurement representatives from the NHS in England, Scotland, Wales and Northern Ireland and others who had expertise in authentication and content requirements. For England: Paul Ayris – Director of UCL Library Services – chair of the group Richard Osborn, Health Education England – NHS in England lead Betsy Anagnostelis – Librarian, Royal Free Hospital Medical Library, UCL Library Services, and University Health and Medical Librarians Group (UHMLG) representative Helen Bingham – Library and eLearning Resources Manager NHS Thames Valley & Wessex For Scotland: Anne Wales – NHS Education for Scotland - NHS in Scotland lead Ann Lees – Information Manager at NHS Education for Scotland

For Wales: Maynard Davies – NHS in Wales lead Janet Peters – Director, Cardiff University Library Bernadette Wales – Library Manager, Cancer Research Wales, Cardiff Meg Gorman - Senior Health Librarian, Cardiff University Library Service and Wales Deanery Library Adviser 5

NHS (Finch) Pilot: Public report of Final Report

Susan Prosser – Health Board Athens Administrator, NHS Wales eLibrary for Health For Northern Ireland: Karen Latimer - Medical & Healthcare Librarian, Queen's University Belfast, N. Ireland

For NICE: Moira Godbert-Laird, Associate Director of National Commissioning and Contract Management. NICE negotiates an Electronic and Print Content framework agreement for NHS users and provides the Healthcare databases advanced search (HDAS) single interface. NHS users accessing resources negotiated by NICE are authenticated by an OpenAthens registration process.

For Jisc Collections: Carolyn Alderson – Head of Licensing, Pilot Manager BenTaplin – Licensing Specialist

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2. Pilot Requirements 2.1 Objectives and desired outcomes The objective of the pilot was to provide NHS users in England, Scotland, Wales and Northern Ireland with free test period access to core research content licensed by Jisc Collections for its academic community, which was generally unavailable to NHS users. The usage would then be assessed and this in turn would inform relevant business models for all parties involved.

2.2 Content The NHS as a priority requires clinical content to support its activities. Jisc Collections licenses very little clinical content. Its remit for the higher education community means that most of the content licensed in STEM subjects reflects scientific research journal content used by academics and researchers in universities and academic institutes. As such the content that could be extended to the NHS was not expected to be used to any great extent by the majority of users in the NHS. It was expected that there would be very few subscriptions ordered at trust level to the published content under discussion. It was agreed that there should be as little overlap as possible between the content made available in the NHS (Finch) pilot by Jisc Collections and content already identified by the NHS, as core content was already purchased and supported via established NHS information and content budgets and the content in the pilot would represent additional content provision. The Steering Group considered the list of journal content licensed by Jisc Collections and agreed a potential list of publishers and content that was generally considered unavailable to the majority of NHS users and unlikely to be purchased centrally for the NHS due to its more scientific nature and therefore predicted low usage. It was intended to understand to what extent this non-clinical content would be used by NHS researchers. The journals identified reflected unique journal content that had been licensed for the UK higher education academic sector under the NESLi2 brand, with the expectation that publishers would agree to extend access to the same content to NHS users. The publishers identified at the outset are shown below: AIP AAAS ACS Annual Reviews Elsevier IOP Publishing Nature Publishing Group Oxford University Press SAGE Publications RSC 7

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Springer Wiley

2.3 Standards It was expected that the content provided for the trial would meet the standards required by the academic research community including: • •

Provision of COUNTER JR1 reports to be used for usage analysis KBART standard used to establish titles lists for NHS access

In addition, standards used during the course of the pilot included: • • • •

One Page Project Manager used to monitor pilot progress Jisc Comms involved to ensure public communications meet Jisc standards Usage analysis undertaken by known expert in industry Jisc Model Licence as the basis for licensing arrangements with publishers during the pilot phase

2.4 Funding the Pilot The pilot could not progress until funding had been established. Funding was required to provide administrative support to publishers (dependant on level of authentication and usage provided), to undertake the usage analysis, to support NICE OpenAthens administration and coordinate procurement activities. Funding was not paid to publishers to provide access to content. The purpose of the pilot was to understand the need for scientific research content in the NHS and to develop relevant business models with the publishers following the usage analysis. It was welcome news when an anonymous funder associated with UCL provided funding of £45,900 and the pilot was able to progress. This funding was received from UCL and held by Jisc Collections on behalf of the pilot. The funding for each publisher was allocated according to amounts agreed and approved by the Steering Group according to the publisher’s response to the Invitation to Tender (see section 3.2 below).

2.5 Implementation timetable The timetable plan is as shown below. There was a little slippage towards the end of the timetable due to delays in receiving usage data from some publishers.

Date July 2013 October 2013

Item Request for Information to Publishers issued Invitation to Tender issued 8

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November 2013: February 2014: Jan-Mar 2014: April 1st 2014: May 1st 2014: June 2014: October 2014: November 2014: November 2014: November 2014: January/Feb 2014: March 31st 2015: May 2015: July 2015: Jan-July 2015: August 2015:

Steering Group Meeting Steering Group Meeting Pre Pilot test access phase Official start of Pilot Press releases and communications Steering Group Meeting First usage collection and analysis (April 2014 – September 2014 usage). Usage analysis and mid-trial report Steering Group Meeting Meeting to discuss initial pilot outcomes with stakeholders Meetings with publishers to sound out proposed business models Pilot officially ends Second usage collection and analysis (April 2014-March 2015). Usage analysis and final draft report Funding enquiries Final Report

2.6 Role of Jisc Collections The role of Jisc Collections covered the following activities: -

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Establish a Steering Group comprising a partnership between HE representatives, NHS leads in all 4 countries, NICE and Jisc Collections. Manage the regular meetings of the group, setting the agenda, providing minutes and keeping the group informed. Assist in determining relevant content by considering the major STM journal content already licensed by Jisc Collections for the academic community to understand which content was not already available to NHS users. Issue a Request for Information to the Publishers (Annex 1) identified to obtain initial information about their willingness to engage in providing free extended trial access to academic research content and their major concerns. Issue an Invitation to Tender (Annex 2) in order to officially appoint publishers to the free pilot and allocate administrative funding Co-ordinate the publisher responses to the Invitation to Tender to the Steering Group to aid decisionmaking. Negotiate details with publishers including the Administration Fee and manage the publisher relationship from start to end. Consider the relevant licensing structure and draft licenses for publishers that required a signed agreement for the pilot Establish webpages accessible via the Jisc Collections website to explain the pilot. Co-ordinate a Jisc Press Release which will also provide the basis of PRs created by the NHS regions. Engage in other promotional activity to ensure Jisc and Jisc Collections is associated with this activity. Co-ordinate authentication set-up, liaising with NHS access management leads and publishers. Negotiate OCLC’s set up of title lists not included in the NICE contract Provide a usage analysis (Annex 3) and recommendations to the Steering Group for relevant business models Communicate the usage findings and proposed business models to participating publishers and gain indicative views Negotiate agreed business model with publishers, in conjunction with members of the Steering Group Plan processes for an AHSN opt-in model including licensing 9

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Pay publishers and other providers the amounts agreed for participating in the pilot on receipt of an invoice. Collection of case studies to show how the pilot made a difference to some NHS researchers Arrange a final report and final meeting with all stakeholders to review findings from the pilot. Publish the final report and its findings.

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3. Publisher Engagement 3.1 Request for Information (RFI) to Publishers It was agreed that an approach to publishers to understand their likely engagement in a pilot proper and their concerns would help establish the requirements of the Invitation to Tender. The RFI is shown at Annex 1 and was drawn up with the help of Jisc Procurement. The main issue that emerged from this exercise was that most publishers were concerned that provision of a free trial for a year may mean an erosion of subscription revenue which was not considered acceptable. Due to this, the Steering Group decided to adjust the planned timing of the pilot. It was agreed that there would be a ‘pre-pilot’ phase running from January to March 2014, allowing publishers to check that NHS trust subscription renewals had been made, for OCLC to set up titles in the NICE A-Z list and for tests to be made ensuring access to content was in place. The pilot proper would then start from 1st April 2014 and run for 12 months, tying in with the NHS financial year. Publishers would be free to turn off access to the content in January 2015 if they had any concerns. However, this might affect the administration fee paid to each publisher.

3.2 The Invitation to Tender (ITT) and outcomes The ITT was drawn up with the help of Jisc Procurement. The original ITT is shown at Annex 2. It outlined the requirements of publishers in return for an administration fee which would be paid to set up and test authentication by either OpenAthens OrgID and/or by IP address, provide free access for 12 months and to provide usage data at agreed points. Publishers agreeing to participate in the pilot following the ITT process were: AAAS Annual Reviews Elsevier Institute of Physics Publishing (IOPP) Nature Publishing Group (NPG), OUP – a question via the ITT process was not answered correctly Royal Society for Chemistry (RSC) Springer – explained the issue related to OpenAthens authentication

Publishers that declined to participate were: ACS AIP SAGE Publications Wiley

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Following discussion at a meeting of the Steering Group in June 2014, a later request was made to the Society for General Microbiology (SGM) and Karger to participate in the pilot under the ITT terms. SGM declined and Karger agreed to participate. In total, nine publishers agreed to provide free access to their content for a defined period. Three publishers provided free access to their content for at least 12 months by IP address access for no administration fee. With the exception of three publishers, Springer, OUP and AAAS, the remaining publishers asked for anonymity in the reporting of usage. The report has therefore been anonymised from this point concerning those publishers with regards to usage reporting.

3.3 Content There were over 2500 journal titles available in the pilot, of which around 80% were provided by Springer. Publisher3 provided limited access to 146 research titles and Publisher6 enabled their branded titles, along with the majority of other society/academic journal content. The publisher title lists were provided to Jisc Collections by each publisher and were prepared in KBART format by Jisc Collections' KB+ team. The title lists for each publisher were provided to OCLC and were also available to download from the NHS Pilot dedicated website page. Details of the content provision is outlined below: AAAS provided access to 2 titles: Science Signaling and Science Translational Medicine. The title Science was not included. The publisher extended free access for a further month beyond the official pilot end date. Publisher2 provided access to 26 titles in the Biomedical/Life Sciences. Content covered 1996-2014. The free access was extended beyond the official pilot end date. Publisher3 provided access to c.150 titles. This was a subset of the titles available to many academic subscribers under the NESLi2 agreements. Access was to the current year and the previous 4 years. Access ended 31 December 2014. Publisher5 provided access to 130 titles. The free access was extended beyond the official pilot end date. Publisher4 provided access to over 100 titles. This list of titles reflected the full list of titles available to 'Option 2' NESLi2 subscribers. Publisher4 also enabled access to some ebooks. The free access was extended beyond the official pilot end date. Publisher6 provided access to 37 titles and the majority of Society and Academic titles. Content covered 20102014. Oxford University Press (OUP) provided access to 88 titles from their Medical collection on the OxfordJournals platform. Access provided was back to 1996 where available. In late December 2014 members of the Steering Group met with the publisher to discuss possible licensing models.

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Publisher1 provided access to 57 titles. Access included all the archival content. The publisher provided continuing free access beyond the official pilot end date. Springer provided access to 2087 journal titles via SpringerLink reflecting titles which form the Closed Consortium NESLi2 agreement. Access extended back to 1 January 1997, where available. The Publisher also made available a large amount of ebook content. In late December 2014 members of the Steering Group met with the publisher to discuss possible licensing models.

3.4 Pre-Pilot Phase: authentication and access set-up The period from 1st January 2014 to 31st March 2014 was the ‘pre-pilot’ phase allowing for title access set-up, authentication set-up and testing.

Authentication Publishers providing access by OpenAthens OrgIDs were Publisher3, Publisher6 and Springer. Publisher6 and Springer additionally set up access via IP address. AAAS, Publisher2, Publisher4, Publisher5, OUP and Publisher1 provided access via IP address only. Publishers were requested to set up the IP addresses as provided by the contacts in the four participating countries.

Titles set-up: Publishers’ title lists were set up in a priority order according to the priority set by the Steering Group which related to expected use of the content by NHS users. The titles for access by NHS users in England were set up by OCLC via the NICE A-Z list. OCLC provides services to NICE and NHS trusts in support of access requirements and title availability. In the pilot they ensured the titles lists provided by publishers were set up so that NHS users could access the titles via the HDAS A-Z interface managed by NICE. NHS users in England, Scotland, Northern Ireland and Wales were also able to access via their local discovery service front end. Publishers were encouraged to contact Trust librarians directly to offer product training or provide further information about the availability of the content.

3.5 Licensing considerations At the outset of the pilot it was considered likely that Jisc Collections would extend its licence agreements with the publishers concerned to NHS users. 13

NHS (Finch) Pilot: Public report of Final Report

During the pilot, with the exception of two publishers, the publishers were willing to provide free access to the content for NHS users with no formal licence in place. Licenses were drafted and agreed with Publisher4 and Publisher1 and these were signed by NHS representatives in each country. The licenses reflected the Jisc model licence with some adaptation to reflect NHS authorised users and the IP addresses covered by the access. It was considered that, should agreement be met with the publishers to provide access to content beyond the pilot, and involving a coordination or payment process managed by Jisc Collections, the basis of the agreement would be an extension of Jisc Collection’s current agreement with the publisher.

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4. Promoting the pilot Promotion of the pilot to NHS users was made via library networks, especially the University Health and Medical Librarians Group, which included contacts at the six established AHSCs, during the first part of April 2014. Each country took a different approach relevant to its customer group. Routes identified to promote the pilot were via NIHR, NICE, The Week, CEOs, CILIP, HEE, Jisc, SCONUL, Public Library and BBC News. In Scotland the Scottish Library Information Council and other research forums were identified.

4.1 Website presence Jisc Collections established web site pages for the pilot: Overview of pilot: https://www.jisc-collections.ac.uk/journals/Extending-Access--2014-NHS-Pilot/ Publishers and title information: http://ioppublishing.org/newsDetails/iop-publishing-to-participate-in-nhs-pilot Due to the limited funding for the pilot, the website presence was not developed beyond the basic details of the pilot.

4.2 Press Releases It was agreed to promote the pilot publicly from 22nd April after the Easter holiday period and shortly after the UKSG annual conference in Harrogate where a lightning presentation about the pilot was scheduled. Some publishers also liaised with Jisc to announce the pilot on the same day - 1st May 2014.

Public press releases: 1 May 2014: Jisc Press Release: http://www.jisc.ac.uk/news/healthcare-excellence-gets-boost-from-free-researchjournal-trial-01-may-2014 1 May 2014: Jisc Collections web announcement: https://www.jisc-collections.ac.uk/News/NHS-Pilot-2014--Extending-Access/ 1 May 2014: NICE Press Release: http://www.nice.org.uk/News/Article/nice-to-support-the-nhs-in-gaining-freetrial-access-to-medical-research 1 May 2014 AAAS: http://www.pharmiweb.com/pressreleases/pressrel.asp?ROW_ID=89806#.Vat1iPksCV_ 1 May 2014 IOP Publishing http://ioppublishing.org/newsDetails/iop-publishing-to-participate-in-nhs-pilot 1 May 2014 Springer: https://www.jisc-collections.ac.uk/Global/Springer%20Promo%20A06329_PC_NHS_Trial_A5_lowRes.pdf 18 June 2014: Research Information article: Pilot project improves clinician access to research resources

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4.3 Talks and presentations The following talks and presentations provided various audiences with information and updates concerning the pilot. Betsy Anagnostelis, UCL, gave a talk at the UHLMG Spring Forum 2014. The ppt presentation is here. Carolyn Alderson, Jisc Collections, gave a lightning talk at the April 2014 UKSG Conference in Harrogate. The talk can be viewed here. Richard Osborn, NHS London, provided an update on the pilot at the NHS-HE Forum 14 May 2014. The presentation can be found on the NHS-HE Connectivity site. Richard Osborn, NHS London, provided a presentation concerning the status of the NHS Pilot at UKSG’s 2014 November Conference (21st November) under the session, Academic Content beyond the Academy: http://www.uksg.org/event/forum2014 [Carolyn Alderson chaired this session] Betsy Anagnostelis provided a presentation at the NHS-HE Forum on 4th June 2015: https://community.jisc.ac.uk/groups/nhs-he-forum-connectivity-project/document/jun-15-updatedevelopments-shared-library-content Betsy Anagnostelis provided a presentation at the UHMLG Summer Conference, 19th June 2015.

4.4 Briefing papers 26 January 2015: A briefing paper on the NHS (Finch) Pilot was provided to BIS by Jisc Collections. Regular briefing papers were provided to the Electronic Information Resources Working Group (EIRWG), Jisc Collections’ advisory and support group.

4.5 Feedback from NHS users Feedback from NHS users and librarians was not collected in a systematic way due to resourcing limitations of the pilot. At a general level it was clear that the access was appreciated and the usage showed that the content was relevant to small numbers of research-active users. Some anonymous quotes below reflect how librarians viewed the pilot and the increased availability of content: ‘I'm very pleased to see that the Finch NHS pilot has now started.’ ‘Definitely a positive step forward and let us hope it does lead to something sustainable’ ‘We were very enthusiastic participants in the Finch ejournal pilot and I’m keen to explore ways in which we can extend our HE licences our immediate NHS partner and perhaps to others within our AHSN/AHSC patch now that the pilot has ended.’ ‘Your presentation was very interesting. I hope that other projects will allow for university resources to be shared with NHS partners in the future.’

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5. The usage analysis 5.2 Introduction The usage analysis was undertaken by an external consultant, Angela Conyers, known for her expertise in this area of activity. The final public version of the main report is shown in full at Annex 3. The analysis collected and reported on the usage data provided by the nine publishers participating in the agreement. Usage was reported on officially at two points: October 2014 and July 2015 Usage from April to September 2014 (6 months) was reported in October 2014 and full year (12 months) was reported in July 2015. Not all publishers enabled the trial for a full 12 months. Publisher3 and OUP terminated the trial on 31st December 2014 and two other publishers indicated they had terminated the access at this point also, but access still remained open. Where 12 months usage was not available, an extrapolation was made to estimate the full year usage in order to provide a comparison against other publishers. In addition to the two official usage report points, the consultant provided individual publisher usage reports to Jisc Collections, members of the Steering Group and publishers on an ad-hoc basis which were used to discuss the findings of the pilot and consider a business model (see section 6). The usage analysis focused on considering the usage at UK-wide and country level with specific interest in the following areas: •

Total number of download requests for each publisher

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Total number of download requests for each publisher by country

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Top 25 titles in the pilot across all publishers

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Top 10 titles for each individual publisher

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Total usage requests for top 10 titles for each publisher as a percentage of all usage in the pilot (all publishers)

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Number of download requests per publisher in various usage ranges

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Nil usage

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Comparison of total NHS usage requests with total academic usage as shown in JUSP for same period

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Comparison with academic usage in selected universities from Jisc bands 1, 2, 3, 4 and 5.

Angela Conyers and Carolyn Alderson offer a note of thanks to publishers who responded readily to requests for usage data and were willing to provide clarification regarding data where requested.

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5.2 Points of note from the usage analysis The usage analysis uncovered many interesting facts about how NHS researchers used academic scientific research content when it was made available and some key points of note are mentioned below. Please note that table references relate to tables in the main usage report at Annex 3.

Table 1 -Total number of requests for each publisher •

Over 1 million requests for over 2,700 titles included in the pilot from 9 participating publishers

Table 2a and 2b –Notional costs •

Table 2a brings together requests from all publishers for the whole NHS to suggest a notional value based on the benchmark figure of 80p a download. Table 2b provides a similar report for NHS England. This is further discussed in section 6.2 Pricing Models.

Table 3 –total number of requests by country •

92% of requests were from the NHS England and Scotland shared server/IP address and those England NHS trusts’ with access set up via IP address. Although setting up access via Scotland’s proxy server was designed to remove most of their traffic from the shared server, it was noted that some of Scotland’s user requests may still have gone through the England and Scotland shared server in addition to Scotland’s proxy server.

•

For publishers using OpenAthens authentication (Publisher3, Publisher6 and Springer), reports also included a very large number of IP addresses not all of which could be identified. Springer, for example, included over 9,000 IP addresses. There was generally very little usage reported from England NHS trusts apart from those listed in Table 1 of the main report. Appendix 1 shows usage by these trusts.

Table 4a and 4b – top titles – all publishers •

The 12 titles with the most requests were all from Oxford University Press. The next 15 titles were from a range of different publishers. The OUP title Continuing Education in Anaesthesia, Critical Care and Pain had the most requests (over 57,000). These higher used Oxford University Press titles were considered more clinical in content than the majority of content provided in the pilot.

Table 5 –top 10 as percentage of total requests

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•

In common with usage of journal collections in universities, the top 10 titles generally accounted for a high percentage of total use, with 5 of 7 publishers in this analysis having 40% or more of requests from their top 10 titles.

Table 6a –usage ranges •

Only 4 of 7 publishers in this analysis reported titles with nil use. The numbers in all cases were small ranging from 3-14%. Oxford University Press and Springer included a large number of titles in their JR1 reports which were not part of the pilot agreed title list and which showed minimal usage. Titles from Publisher6 and Oxford University Press had the highest use, with 36-38% of titles having 300 requests or over. Of the 2 titles from AAAS, Science Translational Medicine accounted for 94% of requests.

Table 7 –comparison with academic usage •

Looking at results across all NHS, 3 publishers (AAAS, Publisher5 and Springer) had annual usage that was comparable to a Jisc band 1 institution. Oxford University Press was the only publisher where total requests exceeded that in any of the group of universities selected for this analysis.

Table 8 – total NHS usage compared to total academic usage •

As anticipated, usage across the NHS was generally at a much lower level than across all universities, though in a few cases (notably with Publisher3) the smaller number of titles included in the pilot made such comparisons difficult. For 7 of the 9 publishers NHS usage averaged at 2% equivalence between total NHS usage and total HE usage estimate. In the case of AAAS and Publisher5 it was higher, although it was noted that HE institutions did not licence this content to the same extent.

Tables 9 and 10 –Springer ebooks •

Although out of scope for the content requirement of the pilot, Springer also made available a collection of over 12,000 e-books for which there were almost 900,000 requests reported during the trial period. However, many of these came from IP addresses that could not be identified, and no detailed analysis has been carried out. The top 10 titles are given in Table 10.

Table 11- Publisher4 turnaways •

Also out of scope, but included in the usage analysis was information from Publisher4 concerning data on usage and turnaways from two of their e-book collections, though actual usage was very small.

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Appendix 1 – breakdown by NHS England Trust All publishers reported some usage by IP address for NHS England Trusts. The trusts with the largest number of requests are listed in the main report at Annex 3. Trusts with the most usage requests were UCLH with over 31,000 total downloads. Other trusts with over 6,000 requests were Guys & St Thomas (6,980), Oxford University Hospitals (6,146), Royal Free Hospital (7,408) and Southport & Ormskirk Hospital (19,490). Results for NICE (4,542) and PHE (8,934) were also high.

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Appendix 2 –monthly totals •

This table shows how usage built up over the period of the pilot. For some publishers, usage in the first few months was low and this was taken into account when looking at predictions for the coming year.

Appendix 3 and Appendix 4 •

These have lists of top 10 titles for each publisher and lists of nil use title to supplement sections 5 and 7 in the main usage analysis

Appendix 5 –Publisher6 turnaway figures •

As Publisher6 excluded a number of their titles from the pilot, the number of turnaways for these titles was indicative of interest in their future inclusion.

Appendix 6 and Appendix 7 •

Some publishers provided additional information in addition to the JR1 reports. AAAS provided information on the top 10 articles accessed and Publisher4 distinguished between usage of their current and recent archive and their historic archive.

Limitations The usage data collection and analysis was not designed to provide detailed usage data for all individual trusts in the NHS. It was only possible to report usage at individual trust level where an IP address had been provided by the Steering Group (see Section 3.4).

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6. Developing a business model with publishers 6.1 Aims and objectives The usage analysis undertaken by the consultant, Angela Conyers, provided a common approach to informing possible pricing models and discussions with publishers. The desired outcome was to develop and agree a business model suitable for publishers and the NHS and with a basis that was common across all publishers. The main requirements for developing a pricing model were: • • • • • •

Usage analysis to inform relevant pricing Comparative, transparent and fair approach with all publishers in the pilot Pricing that could work at UK level considering NHS as a single institution Pricing that could work at country level Pricing that might work at a regional level in England in conjunction with HEIs in the academic sector A licence agreement extending the terms and conditions already in place for the academic sector via Jisc Collections licence agreements for similar content, with minimal adaptation to reflect the NHS user group

The pilot did not seek a business model for publishers to sell access to NHS trusts directly using the publisher’s own licence.

6.2 Pricing models In November 2014 the Steering Group met to consider possible pricing models based on the mid-term usage analysis.

Models that were considered included: (1) Use total usage for each publisher as an indicator of value of the content using an average cost per download benchmark figure of 80p which was already established in the academic sector for similar content This had the benefit of working at regional level as well as UK and country level and as a fixed figure per download, meant pricing was relatively easy to calculate. (2) Comparative NHS usage to academic usage by publisher as a percentage It was considered that this might work at country level but the question of how comparative percentages translated to values was difficult to assess. (3) Total NHS usage by publisher, with the NHS considered as a single institution and compared to academic Jisc Banded institutional usage for similar content

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NHS (Finch) Pilot: Public report of Final Report

This approach was considered potentially appropriate at NHS UK pricing level but unlikely to be achievable due to the different procurement processes of the participation countries and no UK-wide funding available.

It was agreed that a consistent and transparent approach with publishers in the pricing discussion should be progressed. It was considered that the model offering most consistency would be that based on the benchmark 80p per download figure, as this could work at country level as well as UK level and offered possibilities for regional pricing in England. Scotland, Wales and Northern Ireland each have their own procurement approaches and budgetary concerns. It was concluded that while a UK-wide approach to licensing was useful, without any NHS budget availability at UK level, it would only be possible to use the usage analysis to inform a relevant business model at country level.

6.3 Approach with publishers The meetings with publishers were designed to provide feedback on the usage analysis at UK level and to focus on pricing possibilities specifically for NHS users in England who had used the content to the greatest extent with over 90% of all usage and where funding was being sought. NHS procurement representatives from Scotland, Wales and Northern Ireland would be free to contact publishers directly to discuss a similar business model should funding be available. The approach used with most publishers took the form of providing a publisher-focused usage analysis report by email in advance of a face to face meeting. In the meeting an explanatory Powerpoint presentation was prepared to discuss the publisher’s particular usage, review the key findings of the usage analysis and discuss the preferred business model. In general the presentation covered the following aspects with each publisher: Total usage in the pilot (Usage Analysis, Table 1, Table 3) • • • • •

Total usage in the pilot to date for the publisher’s content for the whole of the NHS A prediction of the total usage for the full year A breakdown of the actual and predicted usage by country and those figures as a percentage of the total downloads A general conclusion that the NHS in England usage was usually a large proportion of the total NHS usage (all countries) in the pilot An understanding that some of the usage would be from Scottish users under the NHS England and Scotland shared IP address, but that in general, the Scottish usage was reported via their proxy server IP address.

Comparison between NHS usage and example academic usage in institutions with different Jisc Bands (Usage Analysis, Table 7) • •

Compares how the NHS usage as an institution compares with the amount paid by an academic institution for the same content based on similar levels of usage. Considers the NHS as a single UK entity, comparing the publisher’s predicted annual pilot usage against the predicted annual usage for 5 HEIS in different Jisc Bands for the same content: University A (Band 1),

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NHS (Finch) Pilot: Public report of Final Report

•

University B (Band 2), University C (Band 3), University D(Band 4) and University E(Band 5). The academic usage was taken from JUSP. A general conclusion that occurred in nearly all cases (but not every case) was that the NHS total usage was lower in total than a single academic institution’s total usage.

NHS usage as a percentage of academic usage (Usage Report, Table 8) • • •

Gives an indication of the value of the content to NHS users compared to users in the academic sector The actual and predicted full year usage was compared to the academic usage in JUSP for the publisher concerned. A general conclusion was that the NHS total predicted usage was a fraction of the academic usage.

Top ten titles used (Usage Report, Tables 4 and 5) • • • • •

The top ten titles used in the pilot across all publishers showed OUP published titles that were most used by the NHS sector The top ten used titles for each publisher concerned provided evidence as to the extent of usage of particular titles NB: Two publishers were not included in this analysis. One publisher provided access to only two titles and the other did not provide usage data at title level. In one case, the top ten titles reflected 91% of the usage. For another, the top ten titles reflected 15% of all the usage. For the rest of the publishers, the range was 42% - 69%. The Steering Group had voted for a pricing model that would provide access to all the content.

Pricing Estimate • • •

Using a benchmark figure of 80p, a value for the publisher’s content for the NHS in the UK was estimated by multiplying the total number of downloads in the pilot by this figure This calculation was also undertaken for each country. A calculation at AHSN level in England was also estimated.

Licensing Approach – NHS in England • • • • • • •

Content: full collection, online-only Authentication: IP address access, with OpenAthens OrgIDs ideally Period: January-December 2015 Business Model: Using April-December 2014 total downloads extrapolated for the year Price: 80p per download (VAT to be added) Licence: a separate NHS licence Process: NHS procurement

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NHS (Finch) Pilot: Public report of Final Report

Licensing Approach – AHSN ‘opt-in’ • • • • • •

Similar to the NHS in England national approach outlined above The total figure agreed to be divided 15, being the number of AHSNs in England Each AHSN then uses available funds to ‘opt in’ to the agreement Managed by Jisc Collections An NHS representative in each AHSN signs the licence agreement A map of the AHSN geographic divisions is shown here http://www.nottingham.ac.uk/emahsn/documents/national-ahsn-map.pdf#page=1&zoom=auto,56,3684

All publishers except one engaged fully in these discussions.

6.4 Predicted values for NHS in England When using a benchmark figure 0f 8op per download multiplied by the annual NHS England usage in the pilot, it was possible to estimate a total value figure of the content to the NHS in 2015.

Table 2: Total 2015 value estimate for NHS in England using 80p benchmark Publisher

Total England Usage: downloads

AAAS

3,286

£2,628.80

Publisher2

3,524

£2,819.20

Publisher3 1

29,531

£23,624.80

Publisher4

14,030

£11,224.00

Publisher5

18,555

£14,844.00

Publisher6

76,830

£61,464.00

515,621

£412,496.80

2,579

£2,063.20

271,083

£216,866.40

1,027,758

£822,206.40

Oxford University Press Publisher1 Springer Totals

1

Value when based on 80p per download

Estimate based on 6 months usage 24

NHS (Finch) Pilot: Public report of Final Report

6.5 Business model developments with publishers Most publishers continued to provide free access to the content during some subsequent months in 2015 following the formal conclusion of the pilot pending further discussions concerning the business model. Publisher3 closed discussions. Jisc Collections and members of the Steering Group continued discussions with the remaining publishers for AHSN and ‘all NHS England’ proposals based on the 80p per download established benchmark figure. In April 2015 agreements in principle had been met with AAAS, Springer and OUP for an AHSN ‘opt in’ model in England for 2015 access. In November 2015, at the time of making this report public, agreements had been met in principle for NHS in England pricing with AAAS, Annual Reviews, Springer, Nature and OUP. It was noted that should universities wish to subscribe for their associated trusts, then agreements would need to be negotiated separately with the publishers.

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NHS (Finch) Pilot: Public report of Final Report

7. Funding recurrent access The NHS in England, Wales, Northern Ireland and Scotland have their own processes for procuring content. Funding agreements reached with publishers based on a relevant business model was outside the scope of the original pilot as pilot funding was purely to support the administration of the pilot and the usage analysis. However, this report includes brief details of discussions and activity that were considered for recurrent funding for NHS users in England and that are still ongoing.

7.1 Funding recurrent access for NHS users in England The possible NHS funders identified by NHS representatives on the Steering Group for NHS England to provide funding for access by NHS England users and/or NHS users associated with Academic Health Science Networks in England were identified as shown below: •

• •

• •

Health Education England (HEE), established “to provide national leadership and oversight on strategic planning and development of the health and public health workforce, and the allocation of education and training resources” (Liberating the NHS: Developing the Healthcare Workforce – Design to Delivery, published January 2012). Effective from April 2013. LETBs being closely aligned with Academic Health Science Networks (AHSNs) AHSNs. These are concerned with wealth creation and innovation and work closely with higher education. AHSNs create the research environment within the NHS and help universities in demonstrating impact within the Research Excellence Framework. New AHSN designations were announced 31st May 2013. Health Research Authority NIHR (National Institute for Health Research)

Various contacts were approached concerning the outcome of the Finch pilot and funding considerations.

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NHS (Finch) Pilot: Public report of Final Report

8. Recommendations The pilot has shown that non-clinical content is used by researchers in the NHS. Jisc Collections and the Steering Group recommend that:

-

Recurrent funding is provided at UK national level to support procurement of the content in the pilot for the NHS

-

The business model discussed and accepted by the majority of publishers in this pilot is used as the basis of acceptable pricing

-

AHSNs in England establish funding to opt into agreements as an alternative route to access content where national support is unavailable

-

Jisc Collections offers an ordering, administration and licensing service to AHSNs in order to collect fees and pay publishers.

-

That publishers provide access to the NHS via OpenAthens authentication or its preferred method in future

-

Where usage by NHS users across the UK is very low compared to academic usage for the same content, for example below 3%, that publishers enable free access to the NHS in return for an administration fee, rather than for a content fee.

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NHS (Finch) Pilot: Public report of Final Report

Annex 1 – Request for information

Extending access to academic licensed research content to NHS users Request for Information

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NHS (Finch) Pilot: Public report of Final Report

Copyright © 2013 Jisc Collections and Janet Ltd.

Authorised by:

Authorised by:

Name:

Carolyn Alderson

Signature:

Position: Chair of Procurement Panel

Date:

Name:

Signature:

Sue Weston

Position: Head of Procurement Unit

Date:

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Table of Contents

1 Introduction ..............................................................................................................31 1.1

JISC Collections

31

1.2

Contracting Authority

31

2 Background to Requirement .................................................................................... 32 2.1

Background

32

2.2

Aims

32

2.3

In Scope Content

33

2.4

Trials

33

2.5

Connected Activity to Inform the Trials

34

2.6

Trial Usage Collection Stages

34

2.7

Contract term

34

3 Procedure ................................................................................................................ 34 3.1

General

35

3.2

Registration

35

3.3

Timetable

35

3.4

Format and Delivery of Responses

35

3.5

Contact for Clarification and for Meetings

35

4Information Required ............................................................................................... 36 5 Indicative Fees ......................................................................................................... 36 6 Freedom of Information (FOI) .................................................................................. 36 7 record retention ...................................................................................................... 37

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1 Introduction This document contains a Request for Information (RFI) for extending access to academic research content to NHS users. This is an information gathering exercise by JISC Collections. JISC Collections and NHS England, Scotland, Wales and Northern Ireland, invites publishers to engage in a oneyear free trial period to extend access to NESLi2 academic research content licensed for the UK academic sector to NHS users. For this one-year period, funding would be made available to publishers to enable Athens and IP set-up, ongoing maintenance and usage data collection and analysis. No funding would be available to licence NESLi2 academic research content for NHS users during the trial period. The results of the trial will inform JISC Collections, publishers and NHS libraries about future decisions about relevant access and/or pricing models for NHS users to extend the existing JISC Collections’ NESLi2 licence agreements. The purpose of the RFI process is to identify the content that each publisher is willing to commit to the trial and also to identify what administrative fees (if any) each publisher would require to resource the set up and ensure appropriate usage data is provided to enable JISC Collections and the NHS to agree a funding model going forward for the one year trial to inform the subsequent enquiry about relevant funding to extend JISC Collections’ licence agreements to the NHS. JISC Collections will use the information obtained from this RFI to inform its strategy to extend licenses for academic research content to NHS users. The in-scope publishers outlined in section 2.3 are invited to respond to this RFI. Publishers wishing to respond to this RFI should read this document carefully and follow the guidance for responding in sections 3. Any information submitted at this RFI stage will be confidential and non-binding.

1.1 JISC Collections JISC Collections and Janet(UK) are two trading divisions of Jisc Collections and Janet Ltd, a company limited by guarantee that mutually trades with its members and is a Jisc funded service (www.jisc.ac.uk). JISC Collections will provide the project management for this project.

1.2 Contracting Authority The Janet(UK) Procurement Unit is responsible for the management of the tender process and the contracting authority is Jisc Collections and Janet Ltd.

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2 Background to Requirement 2.1 Background JISC Collections is working closely with academic medical librarians and the NHS to provide access to NESLi2 academic research content and will liaise with libraries to facilitate the information publishers require to set up Athens authentication to enable usage data provision at NHS trust level. JISC Collections is investigating the publisher administration resourcing requirements for an initial trial launching in September 2013 leading to usage collection and analysis by March 2014. An outcome of the trial will be a clear indication of the resources required to extend access to the NHS sector. The Finch Report2 recommendation stated that during the period of transition to open access publishing worldwide, in order to maximise access in the HE and health sectors to journals and articles produced by authors in the UK and from across the world that are not accessible on open access terms, funds should be found to extend and rationalise current licences to cover all the institutions in those sectors. The idea would be to make as many journals as possible accessible to everyone working or studying in those sectors and a maximum figure of £1M was suggested as a relevant additional amount to cover the cost of providing access to the content. JISC Collections licenses content for the academic sector and has considered how it might extend licence agreements for NESLi2 academic research content to incorporate access by NHS users. JISC Collections met with representatives of the NHS in England, Scotland and Wales at a meeting chaired by Paul Ayris, UCL, on 21st March to discuss how the extension might be implemented. The recommendation to the group was that the funding raised by the NHS should be used to extend Athens and IP address authenticated trials to the NHS in England, Scotland, Wales and Northern Ireland to prove the value/demonstrate impact of “in scope” NESLi2 academic research content. In scope content would be those NESLi2 academic licence agreements JISC Collections has in place for the HE sector for access to research content.

2.2

Aims

The aim of the trial period is for publishers to partner with JISC Collections to provide access and to assess and demonstrate the use, value and impact of “in scope” licensed NESLi2 academic research content to the NHS. In

2

Report of the Working Group on Expanding Access to Published Research Findings – the Finch Group http://www.researchinfonet.org/publish/finch/ 32

NHS (Finch) Pilot: Public report of Final Report

scope content would be those academic licence agreements JISC Collections has in place for the HE sector for access to research content. Any funds provided by the NHS would support the administration undertaken by the publishers in terms of Athens and IP set-up, ongoing maintenance and providing usage data at Trust level during various stages of the trial.

2.3

In Scope Content

“In Scope” Content for extending access: NESLi2 academic research agreements with JISC Collections: Current Licenses negotiated by JISC Collections for the Academic Community: • • • • • • • • • • • •

Wiley Springer Elsevier Publisher1 American Chemical Society IoP Publishing American Institute of Physics Nature Publishing Group Annual Reviews SAGE (health titles) OUP AAAS

Only these publishers will be able to take part in the trial and ongoing service as only they have agreements with JISC Collections for relevant licensed academic research content to extend to NHS users. An outcome of the trial will be that participating publishers will have access to a much broader level of usage figures than can be seen at the moment. In addition JISC Collections believes that this will lead to a package of opportunities with NHS colleagues.

2.4

Trials

The trials will last for one year from 1st September 2013 to 31st August 2014. The following access and usage data are required for the duration of the trial period: • • • •

Athens set-up and ensuring that Athens authentication access works consistently Access to NESLi2 licensed research content via IP address also Provide usage data to show use of the content by NHS users at two assessment points Help evaluate usage statistics

JISC Collections may engage in qualitative evaluation. Publishers are being asked to indicate if there is an administration charge to cover the resourcing of the trials.

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2.5

Connected Activity to Inform the Trials

The academic sector usage would be reviewed in Journal Usage Statistics Portal (JUSP) as a benchmark to compare with the NHS usage and inform the NHS usage analysis. The AHSC pilot work has shown that for access to NESLi2 research content beyond core NHS requirements, the expected NHS trust usage will be comparatively low when accessing via Athens authentication. The figures showed total NHS trust usage for four out of five publishers to be less than 2% of the total usage of their associated academic institution when accessing the same content. See https://www.jisccollections.ac.uk/Reports/AHSC-Pilot-Report-August-2012/

2.6

Trial Usage Collection Stages

The stages of the trial are: Date March 2014

Milestone First usage analysis (September 2013 – February 2014 usage). Publishers to provide usage data for NHS trusts. [JISC Collections to collect Academic usage on country basis from JUSP.]

October 2014

Second usage analysis (September 2013-August 2014 usage). Publishers to provide usage data for NHS trusts. [JISC Collections to collect Academic usage on country basis from JUSP.]

November 2014

Trial analysis and draft report

November 2014

Meeting to discuss pilot outcomes with stakeholders

December 2014

Final Report

2.7 Contract term JISC Collections is inviting all publishers listed in section 2.3 to participate in providing a one year trial to NESLi2 licensed research content to NHS users. As a consequence of the trial JISC Collections will decide whether it will extend the current licenses for 3 years subject to NHS funding being available.

3 Procedure 34

NHS (Finch) Pilot: Public report of Final Report

3.1 General JISC Collections will be pleased to discuss with any publisher, on an individual and confidential basis, any approach being considered and the likely consequences in terms of facilities offered and costs involved. Publishers are invited to meet with JISC Collections, on an individual basis, in order to discuss the requirements in more detail and for publishers to propose possible solutions. Any publisher wishing to book a meeting should contact the Janet(UK) Procurement Unit, [email protected]. Following such discussions, publishers are asked to provide a written response outlining their proposals and giving indicative pricing. The details of indicative pricing suggested by any publisher responding to this RFI will remain strictly confidential and non-binding.

3.2 Registration Janet(UK) is responsible for co-ordinating this RFI. Each interested publisher is requested to register its intention to submit a response to this RFI to the Janet(UK) Procurement Unit, [email protected]. Once a publisher has registered Janet(UK) will be able to provide any supplementary information should it arise. 3.3

Timetable

The steps and timetable for this procurement are as follows: Activity

Date

RFI available Closing date for RFI responses

4 June 2013 12:00 Noon 21 June 2013

Announcement of next steps Start of trials

5 July 2013 1 September 2013

3.4 Format and Delivery of Responses Publishers are asked to email its response to [email protected] by 12:00 Noon BST on 21 June 2013 JISC Collections requests that the documents be provided in PDF format with the exception of charges, which should be provided in an Excel spreadsheet. Any non-standard fonts used in submissions should be embedded in the document.

3.5

Contact for Clarification and for Meetings

Requests for clarification of any item in this RFI document and general enquiries should be sent to the Procurement Unit at Janet(UK) [email protected]. 35

NHS (Finch) Pilot: Public report of Final Report

4 Information Required 1.

The publisher must state what administration resources it will provide to ensure that the appropriate content and access set-up is available to NHS users and that the usage data is provided to JISC Collections during the one year trial.

2.

The publisher must state how it will ensure that appropriate usage data is provided to JISC Collections during the one year trial.

3.

The publisher must state what usage data it will commit to provide to JISC Collections during the one year trial.

4.

The publisher must state what the likely charges are (if any) to ensure that the different levels of usage data are provided to JISC Collections during the one year trial.

5 Indicative Fees In making its response to this RFI, the publisher is asked to provide indicative charges for the facilities it would propose to supply. Charges should be shown excluding VAT. 5.

Any administration resourcing fee paid to a publisher will be based on: • • •

6.

Any administration resourcing fee paid to a publisher will relate particularly to the level of usage data it will be able to provide with the minimum of: • •

7.

Athens set up for all trusts to the NESLi2 licensed content by the trial start date IP address set-up by the trial start date Providing usage data at the agreed dates

NHS Usage by country (England, Scotland, Northern Ireland, Wales) NHS Usage by title in country

An additional administration resourcing fee would only be considered by JISC Collections should the publisher be able to provide additional usage data including one or more of: • • •

NHS Usage by trust NHS Usage relating to NHS subscribed and non-subscribed content Other breakdown publisher thinks would be relevant

Publishers are invited to present a number of different usage data solutions if that is appropriate. If applicable, any details should be given of alternative profiling of payment that is likely to be available. The publisher is free to provide any supplementary information that it feels would be appropriate in clarifying its response to this RFI.

6 Freedom of Information (FOI) While JISC Collections and Janet Ltd is not obliged to respond to any requests for information, whether under the Freedom of Information Act (the “FOIA”) or otherwise (except where it has a legal obligation for other purposes),

36

NHS (Finch) Pilot: Public report of Final Report

we endeavour to respond in the spirit of the FOIA, where we are reasonably able to do so, taking into account the resource implications in preparing a response. If the publisher considers that any information supplied in its response is either commercially sensitive or confidential in nature, this must be clearly marked and the reasons for the sensitivity given. In such cases, the relevant material will, in respect of any request for information made by a third party to JISC Collections and Janet Ltd, be examined in the light of the exemptions provided in the FOIA. However, by virtue of its submission of a response to this RFI, the publisher accepts that the decision as to whether to disclose such marked parts of the submission will rest solely with JISC Collections and Janet Ltd. 8.

Publishers must highlight any information that is either commercially sensitive or confidential in nature and reasons for the sensitivity should be given.

9.

Publishers must provide contact details (name, telephone number and email address) of the person within their organisation that is responsible for dealing with FOI requests.

7 Record retention By submitting a response to this RFI, a publisher accepts that Janet(UK) will keep a copy of the response and all other documentation and correspondence received from the publisher relating to this procurement for seven years. Janet(UK) will keep this information in order to maintain the records required for audit purposes. At the end of the seven year period Janet(UK) will destroy any information that it holds relating to this RFI.

37

NHS (Finch) Pilot: Public report of Final Report

Annex 2 – Invitation to tender

Extending access to academic licensed research content to NHS users

Invitation to Tender

Copyright © 2013 Jisc Collections and Janet Ltd.

38

NHS (Finch) Pilot: Public report of Final Report

Authorised by:

Name:

Carolyn Alderson

Position: Chair of Procurement Panel

Authorised by:

Name:

Sue Weston

Signature:

Date: Signature:

Position: Head of Procurement Unit

Date:

Table of Contents

1 INTRODUCTION .................................................................................. 41 1.1 JISC COLLECTIONS ......................................................................................................... 41 1.2 CONTRACTING AUTHORITY .......................................................................................... 41

2 BACKGROUND TO REQUIREMENT .................................................... 42 2.1 BACKGROUND ................................................................................................................ 42 2.2 AIMS ................................................................................................................................ 42 2.3 IN SCOPE CONTENT ....................................................................................................... 42 2.4 PRE-PILOT TEST PHASE ................................................................................................. 44 2.5 PILOT PROPER ................................................................................................................ 44 2.6 CONNECTED ACTIVITY TO INFORM THE TRIALS .......................................................... 44 2.7 PILOT PROPER STAGES .................................................................................................. 44 2.7 CONTRACT TERM ........................................................................................................... 45

3 PROCEDURE....................................................................................... 46 3.1 GENERAL ......................................................................................................................... 46 3.2 REGISTRATION ............................................................................................................... 46 3.3 TIMETABLE ...................................................................................................................... 46 3.4 FORMAT AND DELIVERY OF RESPONSES...................................................................... 46 3.5 CONTACT FOR CLARIFICATION AND FOR MEETINGS ................................................... 47

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NHS (Finch) Pilot: Public report of Final Report

4 REQUIREMENTS ................................................................................. 48 5 FEES .................................................................................................... 49 6 FREEDOM OF INFORMATION (FOI) .....................................................50 7 RECORD RETENTION .......................................................................... 51

40

NHS (Finch) Pilot: Public report of Final Report

1

INTRODUCTION

This document contains an Invitation to Tender (ITT) for extending access to academic research content to NHS users. Jisc Collections and NHS England, Scotland, Wales and Northern Ireland, invites publishers to engage in a one-year free trial period to extend access to NESLi2 academic research content licensed for the UK academic sector to NHS users. For this one-year period, funding would be made available to publishers to enable Athens and IP set-up, ongoing maintenance and usage data collection and analysis. No funding is available to licence NESLi2 academic research content for NHS users during the trial period. A level of funding has been established and will be transferred to Jisc Collections by 31st December 2013. This funding is limited and is available to selected publishers to provide the administration of the pilots. The results of the trial will inform Jisc Collections, publishers and NHS libraries about future decisions about relevant access and/or pricing models for NHS users to extend the existing Jisc Collections’ NESLi2 licence agreements. Jisc Collections and Janet Limited requested feedback from publishers via a Request for Information (RFI) process with the purpose of understanding if publishers would be willing to commit to the trial and also to identify what administrative fees (if any) each publisher would require to resource the set up and ensure appropriate usage data is provided to enable Jisc Collections and the NHS to inform a funding model going forward following the one year trial. Jisc Collections has used the information obtained from the respondents to the RFI to inform this ITT. The in-scope publishers outlined in section 2.3 are invited to respond to this ITT. Publishers wishing to respond to this ITT should read this document carefully and follow the guidance for responding in sections 3.

1.1 Jisc Collections Jisc Collections and Janet(UK) are two trading divisions of Jisc Collections and Janet Ltd, a company limited by guarantee that mutually trades with its members and is a Jisc funded service (www.jisc.ac.uk). Jisc Collections will provide the project management for this pilot.

1.2 Contracting Authority The Janet(UK) Procurement Unit is responsible for the management of the tender process and the contracting authority is Jisc Collections and Janet Ltd.

41

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2

BACKGROUND TO REQUIREMENT

2.1 Background The Finch Report3 recommendation stated that during the period of transition to open access publishing worldwide, in order to maximise access in the HE and health sectors to journals and articles produced by authors in the UK and from across the world that are not accessible on open access terms, funds should be found to extend and rationalise current licences to cover all the institutions in those sectors. The idea would be to make as many journals as possible accessible to everyone working or studying in those sectors and a maximum figure of £1M was suggested as a relevant additional amount to cover the cost of providing access to the content. Jisc Collections licenses content for the academic sector and has considered how it might extend licence agreements for NESLi2 academic research content to incorporate access by NHS users. Jisc Collections has met with representatives of the NHS in England, Scotland and Wales to discuss funding for the administration of the pilot, the issues involved for the libraries and the time-frame for the pilot.

2.2 Aims The aim of the trial period is for publishers to partner with Jisc Collections to provide access and to assess and demonstrate the use, value and impact of “in scope” licensed NESLi2 academic research content to the NHS. In scope content would be those academic licence agreements Jisc Collections has in place for the HE sector for access to research content. The funding offered to publishers for the Pilot period would support the administration undertaken by the publishers in terms of Athens and IP set-up, ongoing maintenance and providing usage data at Trust level during various stages of the trial. An outcome of the trial will be that participating publishers will have access to a much broader level of usage figures than can be seen at the moment. In addition Jisc Collections believes that this will lead to a package of opportunities with NHS colleagues.

2.3 In Scope Content “In Scope” Content for extending access: NESLi2 academic research agreements with JISC Collections:

3

Report of the Working Group on Expanding Access to Published Research Findings – the

Finch Group http://www.researchinfonet.org/publish/finch/ 42

NHS (Finch) Pilot: Public report of Final Report

Current Licenses negotiated by Jisc Collections for the Academic Community: • • • • • • • • • • • •

Wiley Springer Elsevier Publisher1 American Chemical Society IoP Publishing American Institute of Physics Nature Publishing Group Annual Reviews SAGE (health titles) OUP AAAS

Only these publishers will be able to take part in the trial and ongoing service as only they have agreements with Jisc Collections for relevant NESLi2 licensed academic research content to extend to NHS users. Please note that NHS Education for Scotland is willing to participate in the pilot on behalf of NHSScotland ONLY with the following publishers: Wiley Springer Elsevier Nature Publishing Group Annual Reviews SAGE (health titles) OUP In each of these cases, NHS Scotland already has subscriptions, authentication mechanisms and statistical reporting in place. The objective from NES’ perspective is to establish the level of use by NHSScotland staff of titles beyond the current subscription scope. The model which NES wishes to aim for is equitable access across NHS and HEIs in Scotland to the same range of content through a single administrative arrangement costing no more than the current national investment across the two sectors. NES believes they could jointly design an approach to afford mutual benefit in terms of simplified administration, securing publisher income and user access for a substantial period, raising the profile of publishers’ content, and remaining within the constrained, non-extensible budget envelope available across the system.

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NHS (Finch) Pilot: Public report of Final Report

2.4 Pre-Pilot Test Phase A pre-trial period has been identified from 1st January 2014 to 31st March 2014 in order for a small sub-set of libraries in England to work with publishers to test and ensure Athens setup and ensuring Athens authentication is robust and works consistently in advance of the actual trial start date. During this phase Jisc Collections will work with publishers to vary the current NESLi2 agreement to extend access to NHS users for the duration of the pilot.

2.5 Pilot Proper The trials will last for one year from 1st April 2014 to 31st March 2014. The following access and usage data are required for the duration of the trial period: • • •

Athens access for England, Scotland and Wales Shibboleth access for Northern Ireland participants Access to NESLi2 licensed research content via IP address also where access to the content is enabled for all NHS in the United Kingdom

• •

Provide usage data to show use of the content by NHS users at two assessment points Help evaluate usage statistics

Jisc Collections may engage in qualitative evaluation.

2.6 Connected Activity to Inform the Trials The academic sector usage would be reviewed in the Journal Usage Statistics Portal (JUSP) as a benchmark to compare with the NHS usage and inform the NHS usage analysis. The AHSC pilot work has shown that for access to NESLi2 research content beyond core NHS requirements, the expected NHS trust usage will be comparatively low when accessing via Athens authentication. The figures showed total NHS trust usage for four out of five publishers to be less than 2% of the total usage of their associated academic institution when accessing the same content. See https://www.jisccollections.ac.uk/Reports/AHSC-PilotReport-August-2012/

2.7 Pilot Proper Stages The stages of the trial are:

Date

Milestone 44

NHS (Finch) Pilot: Public report of Final Report

October 2014

First usage analysis (April 2014 – September 2014 usage). Publishers to provide usage data for NHS trusts. [Jisc Collections to collect Academic usage from JUSP.]

November 2014

Usage analysis and mid-trial report

November 2014

Meeting to discuss initial pilot outcomes with stakeholders

March 31st 2015

Pilot officially ends

May 2015

Second usage analysis (April 2014-March 2015). Publishers to provide usage data for NHS trusts. [Jisc Collections to collect Academic usage from JUSP.]

June 2015

Publishers paid

June 2015

Usage analysis and final draft report

June 2015

Meeting to discuss pilot outcomes with stakeholders

July 2015

Final Report

2.7 Contract term Jisc Collections is inviting all publishers listed in section 2.3 to participate in providing a one year trial to NESLi2 licensed research content to NHS users. As a consequence of the trial and the findings of the report, Jisc Collections will decide whether it will extend its current license agreements for 3 years subject to NHS funding being available, and following further discussions with NHS representatives.

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NHS (Finch) Pilot: Public report of Final Report

3

PROCEDURE

3.1 General Publishers are asked to provide a written response to this ITT.

3.2 Registration The Janet(UK) Procurement Unit is responsible for co-ordinating this ITT. Each interested publisher is requested to register its intention to submit a response to this ITT to the Janet(UK) Procurement Unit, [email protected]. Once a publisher has registered Janet(UK) will be able to provide any supplementary information should it arise.

3.3 Timetable The steps and timetable for this procurement are as follows: Activity ITT available Closing date for ITT responses

Steering Group Meeting Announcement of participating publishers Start of test phase

Date 1 October 2013 12:00 Noon 4 November 2013 8 November 2013 11 November 2013 1 January 2014

Start of trials proper

1 April 2014

3.4 Format and Delivery of Responses Publishers are asked to email its response to [email protected] by 12:00 Noon BST on 4 November 2013 Jisc Collections requests that the documents be provided in PDF format. Any non-standard fonts used in submissions should be embedded in the document.

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NHS (Finch) Pilot: Public report of Final Report

3.5 Contact for Clarification and for Meetings Requests for clarification of any item in this ITT document and general enquiries should be sent to the Procurement Unit at Janet(UK) [email protected].

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NHS (Finch) Pilot: Public report of Final Report

4

REQUIREMENTS

4.1

Pre-Pilot Test Phase: a. The publisher must state its willingness to engage in a 3 month period from 1st January 2014 to 31st March 2014 before the Pilot Proper in order to test Athens with a small sub-group of libraries. b. The publisher must provide the title lists that it will provide access to for the duration of the Pilot phase. The title lists should match the Licensed Material in the NESLi2 academic agreements with Jisc Collections. The publisher must confirm whether there is any variation to this and state reasons for the variation. c. The publisher must state its willingness to work with Jisc Collections to vary the current NESLi2 agreement to extend access to NHS users for the duration of the pilot.

4.2

Pilot Proper: d. By 1st April 2014 and following the Pre-Pilot stage the publisher will commit to enabling Athens set up for all trusts in England and Wales to the NESLi2 licensed research content. e. By 1st April 2014 the publisher will commit to enabling Shibboleth access to the NESLi2 licensed research content for NHS participants in Northern Ireland. f.

By 1st April 2014 the publisher will commit to enabling Athens access to the NESLi2 licenced research content to NES Scotland if NHS Scotland participates in this trial.

g. By 1st April 2014 the publisher will commit to enabling IP address access where all NHS England, Scotland, Wales and Northern Ireland participate. h. The publisher will commit to maintaining access during the Pilot Proper phase 4.3

Usage data Collection: i.

The publisher must state how it will ensure that appropriate usage data is provided to Jisc Collections during the one year trial.

j.

The publisher must state what usage data it will commit to provide to Jisc Collections during the one year trial from the list below: • • • •

COUNTER JR 1 NHS usage by Trust listed by title COUNTER JR1 NHS usage by title, consolidated by each Country NHS Usage relating to NHS subscribed and non-subscribed content A description of any other breakdown that the publisher thinks would be relevant.

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NHS (Finch) Pilot: Public report of Final Report

5.

FEES

Jisc Collections has a budget that will enable each participating publisher to be offered up to £10,000 excluding VAT as an Administration Resourcing Fee (ARF) for the trials. However, the preference is that publishers participate and waive the ARF. The ARF paid to a publisher relates to: • • • • •

Athens access for all trusts in England and Wales to the NESLi2 licensed research content by the trial proper start date Shibboleth access for all trusts in Northern Ireland by the trial proper start date IP address set-up by the trial proper start date (if relevant) Providing COUNTER usage data at the agreed dates according to the Timetable at 3.3 Providing COUNTER NHS usage by title, consolidated by each Country • NHS usage by Trust listed by title

Providing COUNTER

The publisher must state whether it will waive the ARF or whether it does require it in order to participate.

6. If required, the ARF will be paid in full to each participating publisher in June 2015, following the second (final) usage provision

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NHS (Finch) Pilot: Public report of Final Report

7.

FREEDOM OF INFORMATION (FOI)

While Jisc Collections and Janet Ltd is not obliged to respond to any requests for information, whether under the Freedom of Information Act (the “FOIA”) or otherwise (except where it has a legal obligation for other purposes), we endeavour to respond in the spirit of the FOIA, where we are reasonably able to do so, taking into account the resource implications in preparing a response. If the publisher considers that any information supplied in its response is either commercially sensitive or confidential in nature, this must be clearly marked and the reasons for the sensitivity given. In such cases, the relevant material will, in respect of any request for information made by a third party to Jisc Collections and Janet Ltd, be examined in the light of the exemptions provided in the FOIA. However, by virtue of its submission of a response to this RFI, the publisher accepts that the decision as to whether to disclose such marked parts of the submission will rest solely with Jisc Collections and Janet Ltd. a. The publisher must highlight any information that is either commercially sensitive or confidential in nature and reasons for the sensitivity should be given. b. The publisher must provide contact details (name, telephone number and email address) of the person within their organisation that is responsible for dealing with FOI requests.

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NHS (Finch) Pilot: Public report of Final Report

8.

RECORD RETENTION

By submitting a response to this ITT a publisher accepts that Janet(UK) will keep a copy of the response and all other documentation and correspondence received from the publisher relating to this procurement for seven years. Janet(UK) will keep this information in order to maintain the records required for audit purposes. At the end of the seven year period Janet(UK) will destroy any information that it holds relating to this ITT.

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NHS (Finch) Pilot: Public report of Final Report

Annex 3 – Jisc NHS (Finch) pilot usage analysis 1. Introduction This report is based on usage data from the 9 publishers who are taking part in the Jisc NHS Finch pilot. It covers the full 12 months of the pilot from 1 April 2014-31 March 2015. For 6 publishers (AAAS, Publisher2, Publisher5, Publisher4, Publisher1 and Oxford University Press (OUP)) usage is based on IP address access. This is mainly based on the following IP addresses: • • • •

NHS England and Scotland’s IP range Scotland’s proxy server Wales individual NHS Trusts Health & Social Care staff in Northern Ireland

Some of these publishers have also provided usage by IP address for individual NHS England Trusts, and for bodies such as NICE and Public Health England (PHE). For the most part this usage is minimal compared to that coming from the IP addresses listed above, and in the tables in the main report such usage has been combined under the heading ‘England NHS Trusts ’. A breakdown of usage by certain individual Trusts is given in Appendix 1. For Publisher3, Publisher6 and Springer, authentication is via OpenAthens and usage by individual Trusts has been provided by the publishers, though it has not always been possible to identify all Trusts from the lists provided. Given the number of Trusts involved, only those with a certain volume of usage have been identified in the report. Further information is provided in Appendix 1. For Publisher3, usage statistics have been provided for the 9 months that this publisher took part in the trial (April – December 2014). To provide comparison with other publishers, usage for the full 12 months has been estimated based on the figures provided. For Publisher6, usage statistics for the NHS consortia have been provided for April 2014-February 2015. March 2015 statistics were not available for technical reasons, and an estimate has been provided in this report to provide comparison with other publishers over a full year. Usage statistics for NHS England have been provided for April-December 2014 but there are no separate figures for January-March 2015, so only April-December 2014 have been included here. In addition, requests for non-trial and open access titles have been excluded from tables showing usage by title, but are included in country and Trust breakdowns. Turnaway figures for titles not in the trial are given in Appendix 5. Springer and Publisher4 also provided access to e-book collections during the trial. More details of these are given in section 9.

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NHS (Finch) Pilot: Public report of Final Report

2. Total number of requests for each publisher Number of titles

Publisher AAAS Publisher2 Publisher3

4

Publisher4 Publisher5

2

Total requests 6,355

Requests by title 3,178

26

4,050

156

147

41,319

281

100

14,924

149

119

21,042

177

5

112

140,221

1,252

Oxford University Press

88

549,545

6,245

Publisher6 Publisher1

50

2,712

54

Springer6

2,087

283,226

136

Total

2,752

1,063,394

386

Table 1 Total number of requests for each publisher

Table 1 shows the total number of requests (JR1) for each publisher and the number of requests by title. The number of titles shown here is that ‘officially’ included in the pilot. The actual number of titles given in the various usage reports received varied, with nil use not always recorded and additional titles with minimal use often included. This is further discussed in section 6 on usage ranges.

4

Publisher3 usage data covers the 9 months of the trial (Apr-Dec 2014). For comparative purposes, data has been rounded up to cover a full year. Monthly usage is shown in appendix 2. 5 Publisher6 usage data covers 11 months (Apr 2014-February 2015) and has here been rounded up to cover a full year. The number of titles shown here excludes non-pilot and Open Access titles. 6

Springer includes NHS Scotland figures obtained directly. These were not included in the reports sent by Springer. 53

NHS (Finch) Pilot: Public report of Final Report

3. Notional costs Table 2a suggests some notional costs for all NHS usage based on the figure of 80p per download. Table 2b suggests similar costs for NHS England alone. Publisher

Requests

AAAS Publisher2 Publisher3 7 Publisher4 Publisher5 Publisher6 Oxford University Press Publisher1 Springer Totals

Value at 80p per download

6,355 4,050 41,319 14,924 21,042 140,221 549,545 2,712 283,226 1,051,948

£5,084 £3,240 £33,055 £11,939 £16,834 £112,177 £439,636 £2,170 £226,581 £850,715

Table 2a Usage and possible costs – all NHS Publisher AAAS Publisher2

Publisher38 Publisher4 Publisher5 Publisher6 Oxford University Press Publisher1 Springer Totals

Requests 3,286 3,524 29,531 14,030 18,555 76,830 515,621 2,579 271,083 1,027,758

Value at 80p per download £2,628.80 £2,819.20 £23,624.80 £11,224.00 £14,844.00 £61,464.00 £412,496.80 £2,063.20 £216,866.40 £822,206.40

Table 2b –usage and possible costs –NHS England

7

Estimate based on 9 months usage

8

Estimate based on 9 months usage

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NHS (Finch) Pilot: Public report of Final Report

Total number of requests by country

4. Publisher

England &Scotland shared server

England NHS Trusts

Scotland’s Proxy Server/

Wales NHS Trusts

Northern Ireland

Total

NHS Scotland

AAAS

3,263

23

3,012

52

5

6,355

Publisher2

2,391

1,133

169

313

44

4,050

29,531

9,640

2,148

Publisher39

41,319

Publisher4

11,575

2,455

67

827

-

14,924

Publisher5

14,300

4,255

1,707

780

-

21,042

Publisher6

96,974

72,575

15,401

5,432

84

190,466

496,592

19,029

5,118

28,538

268

549,545

Publisher1

1,784

795

14

117

2

2,712

Springer11

209,426

61,657

11,446

452

Total12

836,305

191,453

46,574

38,659

Group10 Oxford University Press

9

282,981 403

1,113,394

Figures for Publisher3 are for April-December 2014 plus an estimate for January-March 2015.

10

Figures for Publisher6 are for April 2014-February 2015 plus an estimate for March 2015. The total here (190,466) includes requests for non-trial and Open Access titles which cannot be separately identified from Consortia tables.

11

Total for Springer here (282,981) is taken from the Springer IP address report plus separate figures for NHS Scotland. The total for the

Springer title requests report plus NHS Scotland is 283,226, a discrepancy of 245. 12

Total is different from that in table 1 due to different methods of counting titles and Consortia requests in Publisher6 and discrepancy in

Springer.

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NHS (Finch) Pilot: Public report of Final Report

Table 3 Total number of requests for each publisher by country

Table 3 shows the number of requests from each country. It should be noted that some usage requests in Scotland may go through the England and Scotland shared server rather than Scotland’s proxy server. It is therefore impossible to entirely separate out English and Scottish use. Publisher3, Publisher6 and Springer give usage statistics for a very large number of separate accounts. It was not possible to identify all of these and, especially in the case of Springer, it is not certain whether all these relate to NHS Trusts. Out of 248 NHS England Trusts listed by Publisher6, 192 (77%) have no usage recorded. Springer includes over 9,000 IP addresses most of which cannot be identified and where usage is generally minimal.

5. Top titles –all publishers Title

Publisher

Number of requests

Continuing Education in Anaesthesia, Critical Care & Pain

OUP

57,260

BJA: British Journal of Anaesthesia

OUP

47,173

Clinical Infectious Diseases

OUP

45,513

European Heart Journal

OUP

38,603

Journal of Antimicrobial Chemotherapy

OUP

29,151

Rheumatology

OUP

25,936

Annals of Oncology

OUP

21,579

Nephrology Dialysis Transplantation

OUP

18,212

Age and Ageing

OUP

17,312

Brain

OUP

16,305

QJM: An International Journal of Medicine

OUP

13,588

Occupational Medicine

OUP

12,952

Human Reproduction

OUP

10,395

The Journal of Infectious Diseases

OUP

8,852

Schizophrenia Bulletin

OUP

7,748

Table 4a Top titles – Oxford University Press Note: The number of requests from Oxford University Press come from the England and Scotland shared server and do not include usage by NHS Trusts.

Table 4a shows the 15 top titles from Oxford University Press. The top 12 titles shown here are more heavily used than any other publisher titles. Table 4b shows the top 15 titles from other publishers. Tables showing the top 10 titles from individual publishers are given in Appendix 3. 56

NHS (Finch) Pilot: Public report of Final Report

Title

Publisher

Number of requests

Intensive Care Medicine

Springer

Physics in Medicine and Biology

IOPP

9,019

Nature

NPG

6,011

Science translational medicine

AAAS

5,973

European Archives of Oto-Rhino-Laryngology

Springer

5,743

Dysphagia

Springer

5,307

European Radiology

Springer

5,205

Journal of Autism and Developmental Disorders

Springer

4,568

Eye

NPG

3,916

Knee Surgery, Sports Traumatology, Arthroscopy

Springer

3,757

Canadian Journal of Anesthesia/Journal canadien d'anesthésie

Springer

3,737

Surgical Endoscopy

Springer

3,697

Clinical Orthopaedics and Related Research®

Springer

3,663

British Journal of Cancer

NPG

3,595

Journal of Neurology

Springer

3,481

10,441

Table 4b Top titles –other publishers

Note: The number of requests from Publisher6 come from the England and Scotland shared server and those from Publisher 4 from the England and Scotland shared server, England NHS Trusts and Scotland’s Proxy Server. Springer includes NHS Scotland.

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NHS (Finch) Pilot: Public report of Final Report

Publisher

Titles included in pilot

Requests for top 10 titles

Total requests used in this analysis

Percentage of total requests for top 10 titles

Publisher313

147

8,485

30,989

27%

Publisher4

100

12,793

14,090

91%

Publisher5

130

6,063

14,300

42%

Publisher6

112

30,528

67,512

45%

Oxford University Press

88

317,044

496,592

64%

Publisher1

57

1,232

1,784

69%

2,087

49,599

283,226

18%

Springer

Table 5 – Requests for top 10 titles as percentage of total requests

Note: the figures in the ‘Total requests’ column refer to the JR1 report used for this analysis of top 10 titles and may not include all usage across the NHS.

Table 5 shows the number of requests for the top 10 titles for each publisher as a percentage of total requests. AAAS (only 2 titles) and Publisher2 (no title breakdown available) are not included in this table. AAAS have supplied additional data on the top 10 articles downloaded from Science Translational Medicine. This is presented in Appendix 6. Publisher4 has given a breakdown of usage by current and archive collections and this is shown in Appendix 7.

13

Publisher3 April –December 2014 only 58

NHS (Finch) Pilot: Public report of Final Report

6. Usage ranges The table below separates out the number of requests for each title during this 12 month period into the following usage ranges: • • • • •

0 requests 1-9 requests 50-99 requests 100-299 requests 300+ requests

For each of these usage ranges, the first column shows the number of titles and the second the percentage of total titles included in the usage statistics for that publisher. The final column of the table shows the total number of titles included in the JR1 reports used for this analysis. Usage ranges 0 requests

Publisher3

4

1-9 requests 3%

Publisher4

10-49 requests

50-99 requests

100-199 requests

200-299 requests

6

4%

23

16%

19

13%

39

27%

55

55%

27

27%

12

12%

2

2%

25

300+ requests

17%

Titles in JR1 report

31

21%

147

4

4%

100

Publisher5

13

11%

24

20%

24

20%

20

17%

14

12%

8

7%

16

13

119

Publisher6

15

14%

7

6%

18

16%

11

10%

12

11%

5

5%

42

38%

112

62

26%

42

18%

19

8%

23

10%

8

3%

86

36%

240

14

28%

18

36%

8

16%

1

2%

1

2%

1

2%

50

1,046

50%

480

23%

171

8%

140

7%

55

3%

194

9%

2,087

452

15%

149

5%

37

1%

10

0%

3

0%

6

0%

3,074

OUP Publisher1

7

14%

Springer Springer NHS Scotland

2,417

79%

Table 6a Number of titles in various usage ranges

Note: Results for Springer NHS Scotland are shown separately as the number of titles included differs substantially. No title information breakdown is available for Publisher2.

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NHS (Finch) Pilot: Public report of Final Report

As the final column of table 6a indicates, the number of titles included in publisher JR1 reports may be in excess of the number of titles included in the pilot (table 1). In the case of Oxford University Press, the England and Scotland shared server list includes 240 titles, many of which do not form part of this pilot yet all have some usage against them. These will be among the 62 titles in the 1-9 range above and do not therefore greatly affect Oxford University Press usage, where 86 titles have requests of 300 or over. Similarly with Springer, half of the 2,087 titles are in the 1-9 range, while for Springer NHS Scotland where nil usage is recorded 79% of around 3,000 titles are shown with nil use. Table 6b shows the number of requests for the 2 AAAS titles included in the pilot. Science Translational Medicine accounts for 94% of usage.

AAAS

Total

Science Signalling

Percentage total 382

6%

Science Translational Medicine

5,973

94%

Total

6,355

Table 6b Requests for AAAS titles

7. Nil usage As table 6a indicates, nil usage is given only for 4 publishers (Publisher3, Publisher5, Publisher6 and Publisher1). The lists of titles concerned were provided to the Steering Group. The number of non-pilot titles included in publisher JR1 reports for Oxford University Press and Springer makes it difficult to identify true nil use titles for these publishers.

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NHS (Finch) Pilot: Public report of Final Report

8. Comparison with academic usage The table below compares all NHS usage with all usage over the same 12 month period (April 2014-March 2015) in a group of university libraries from Jisc bands 1-514, using figures from JUSP15. All NHS

Jisc Band AAAS16 Publisher2 Publisher317 Publisher4 Publisher5 Publisher6 Oxford University Press Publisher1 Springer

University A

University B

1 6,355 6,355 4,050 4,050 41,319 41,319 14,924 14,924 21,042 140,221 140,221 549,545 2,712 2,712 283,226 283,226

University C

2

7,171 38,064 38,064 2,439,907 2,439,907 45,813 45,813 19,328 19,238 662,779 662,779 190,232 190,232 70,522 70,522 318,756 318,756

23,592 23,592 1,466,909 1,466,909 15,001 15,001 7,677 383,581 383,581 205,293 205,293 47,164 47,164 232,936 232,396

3 914 914 12,319 12,319 1,223,008 1,223,008 9,499 9,499 3,044 3,044 200,535 200,535 114,589 114,589 23,737 23,737 121,322 121,322

University D

University E

4

5

454 576,056

773,280

15,543

1,875

748

506

71,171

36,993

58,118

47,530

27,331

3,927

58,840

15,906

Table 7 Comparison with academic usage in selected universities

NHS usage higher than academic usage NHS usage comparable to Jisc Band 1 NHS usage comparable to Jisc Band 2 NHS usage comparable to Jisc Band 4 NHS usage comparable to Jisc Band 5

14

https://www.jisc-collections.ac.uk/Help-and-information/JISC-Banding/New-JISC-Bands-for-HE-HEIs-listed-by-band-1-10/ JUSP Journal Usage Statistics Portal http://www.jusp.mimas.ac.uk/ 16 AAAS –comparison of 2 titles in pilot only 17 Publisher3 has only 147 titles in the pilot 15

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NHS (Finch) Pilot: Public report of Final Report

Table 8 shows total NHS usage for this 12 month period compared to total academic usage for JanuaryDecember 2014 for each publisher, taken from JUSP and including all HEIs that subscribe to titles from that publisher. The final column shows total NHS usage as a percentage of usage in universities.

Publisher

NHS full year

Academic usage 2014

NHS usage as % of academic usage

AAAS

6,355

20,172

32%

Publisher2

4,050

672,214

1%

Publisher3

41,319

59,283,208

0%

Publisher4

14,924

806,509

2%

Publisher5

21,042

96,276

22%

Publisher6

140,221

8,349,897

2%

Oxford University Press

549,545

5,552,113

10%

2,712

1,525,019

0%

283,226

6,916,089

4%

Publisher1

Springer

Table 8 Total NHS usage compared to total academic usage

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NHS (Finch) Pilot: Public report of Final Report

9. e-books Springer also made available over 12,000 e-books for this pilot. Usage of these for the 12 month period is shown in table 9 below.

Country

Number of requests

% total requests

England and Scotland shared server

355,721

40%

England NHS Trusts

521,302

59%

1,318

0%

693

0%

Wales NHS Trusts Northern Ireland Total excluding Scotland

Scotland (Athens)18 Total

879,034

4,686

1%

883,720

Table 9 – Springer Number of requests for e-books

It should be noted that the total figure of 879,034 requests (excluding NHS Scotland) includes 466,509 requests (53%) from Trust addresses that have not been identified. This figure therefore has to be treated with some caution at this stage. The table below lists the top 10 titles for Springer e-books from NHS England and NHS Wales.

18

The total number of e-book titles in the BR2 reports from NHS Scotland is 223, whereas the total number in the BR2 reports supplied by

Springer is over 12,000.

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NHS (Finch) Pilot: Public report of Final Report

Title

Number of requests

Percentage all requests

Imaging in Clinical Oncology

3,763

0.43%

Neuromuscular Disorders in Clinical Practice

2,884

0.33%

Atlas of Musculoskeletal Tumors and Tumorlike Lesions

2,636

0.30%

Radiology Illustrated: Chest Radiology

2,622

0.30%

Pediatric Critical Care Medicine

2,555

0.29%

Metaphorical Signs in Computed Tomography of Chest and Abdomen

2,497

0.29%

Imaging Spine After Treatment

2,382

0.27%

Essentials of Neurosurgical Anesthesia & Critical Care

2,115

0.24%

Principles of Deglutition

2,073

0.24%

European Surgical Orthopaedics and Traumatology

2,067

0.24%

25,594

2.94%

Total top 10 Table 10 Top 10 Springer e-books

Publisher4 provided data on number of requests and number of turnaways for two ebook collections. Table 11 shows usage figures for these two collections during the 12 months of the trial.

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NHS (Finch) Pilot: Public report of Final Report

E-books

ebook Chapter Downloads

ebook Chapter Turnaways

ebook Chapter Requests

e-book collection 1

17

71

88

e-book collection 2

0

5

5

17

76

93

Total Table 11 Publisher4 e-book usage

Angela Conyers July 2015

Appendices 1. Breakdown by NHS England Trusts 2. Monthly totals for each publisher 3. Top 10 titles for each publisher 4. Nil use titles 5. Turnaway figures (Publisher6) 6. Top 10 articles (AAAS) 7. Current and historic archive use (Publisher4)

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NHS (Finch) Pilot: Public report of Final Report

Appendix 1 Breakdown by NHS England Trusts This table shows number of requests for selected NHS England Trusts across all publishers. Publish er2

Publish er3

Avon & Wiltshire Mental Health Partnership

22

22

Barnet & Enfield

10

11

12

17

Buckinghamshire Healthcare

11

47

38

38

1

2

NHS Trust

AAAS

Publish er4

Publish er5

Publish er6

68

162

OUP

Publish er1

Springer

Total

-

812

274

2

113

52

507

13

433

654

1

4

11

11

2

157

74

16

188

77

Camden & Islington

3

Central &North West London

13

26

Gloucestershire Hospitals

28

33

31

Guys & St Thomas

63

353

227

600

5,669

68

27

6,980

Homerton University Hospital

36

204

38

102

583

47

648

1,010

Imperial College Healthcare

70

127

102

264

59

33

622

Leeds Teaching Hospitals

6

303

2

6

1

26

318

London Ambulance service

1

18

2

5

21

London LETBs

1

17

MHRA Manchester Mental Health and Social Care

6

5

9

32

3,508

20

7

9

175

22

22

699

25

10

1974

4,542

NIBSC

NICE1-3

33

3

23

177

7

868

294

3,170

3,528

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NHS (Finch) Pilot: Public report of Final Report

North Bristol Oxford University Hospitals

26

178

13

410

2,822

17

299

3,056

172

159

270

284

5,217

44

4,799

6,146

7,560

668

396

20

290

5,524

8,934

4

109

90

Public Health England Royal Berkshire

14

27

45

Royal Brompton and Harefield

22

56

26

162

Royal Free Hospital

53

104

197

201

2,104

4,720

29

1619

7,408

7

1

3

27

590

1,363

52

1,407

2,043

Royal National Orthopaedic Hospital Southport & Ormskirk Hospital Stockport

8

5

271

19,482

8

15

University College London Hospital

83

60

West Hertfordshire Hospitals

14

22

West Middlesex University Hospital

10

8

1

Wirral University Teaching Hospital

25

31

328

19,490

18

375

59

57

48

4,960

31,180

658

20,180

21

253

7

381

317

201

3

611

223

439

5

777

899

71

9,776

16

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NHS (Finch) Pilot: Public report of Final Report

Appendix 2 Monthly totals for each publisher Publisher

Apr-14

May-14

Jun-14

Jul-14

Aug-14

Sep-14

Oct-14

Nov-14

Dec-14

Jan-15

Feb-15

Mar-15

330

561

1,132

1,067

1,270

536

233

215

291

273

208

239

6,355

19

88

96

117

94

330

621

590

435

604

541

515

4,050

Publisher319

3,096

3,426

3,691

3,058

3,178

3,064

4,093

4,188

3,195

Publisher4

1,032

1,058

1,197

1,400

1,114

1,346

1,544

1,412

1,024

1,353

1,167

1,277

14,924

Publisher5

413

342

352

2,247

1,840

2,482

3,135

2,428

2,236

2,092

2,696

779

21,042

Publisher620

15,111

15,920

15,654

18,659

17,079

19,263

24,923

20,219

17,102

9,845

8,900

OUP

43,504

48,505

50,511

47,802

45,506

54,131

43,284

43,337

38,028

42,964

39,947

52,026

549,545

Publisher1

247

258

83

132

211

237

352

275

248

264

158

195

2,712

Springer21

15,141

20,380

21,790

21,937

20,877

23,272

28,508

28,142

23,929

23,448

27,389

28,413

283,226

AAAS

Publisher2

Total

30,989

182,675

This table shows monthly totals for the 12 months of the pilot. Some publishers continued to provide free access to content when the pilot ended in March 2015.

• •

19

Publisher3 April-December 2014 only

20

Publisher6 April 2014-Februry 2015 only. Includes separate figures for NHS England April-December 2014. Includes Open

Access titles and titles not included in the pilot. •

21

Springer includes NHS Scotland (report obtained separately)

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NHS (Finch) Pilot: Public report of Final Report

Appendix 3 Top 10 titles This set of tables shows the top 10 titles for Springer and OUP. The results for the other publishers have been removed in this public report due to their request for anonymity in relation to usage. AAAS only had two titles in the pilot and therefore there is no top 10 list for that publisher.

OUP –England and Scotland shared server

Total requests

% all requests (496,592)

Continuing Education in Anaesthesia, Critical Care & Pain

57,260

12%

BJA: British Journal of Anaesthesia

47,173

9%

Clinical Infectious Diseases

45,513

9%

European Heart Journal

38,603

8%

Journal of Antimicrobial Chemotherapy

29,151

6%

Rheumatology

25,936

5%

Annals of Oncology

21,579

4%

Nephrology Dialysis Transplantation

18,212

4%

Age and Ageing

17,312

3%

Brain

16,305

3%

317,044

64%

Total top ten

Springer –all NHS including Scotland Intensive Care Medicine

Total requests

% all requests (283,226)

10,441

4%

European Archives of Oto-Rhino-Laryngology

5,743

2%

Dysphagia

5,307

2%

European Radiology

5,205

2%

Journal of Autism and Developmental Disorders

4,568

2%

Canadian Journal of Anesthesia/Journal canadien d'anesthésie

3,737

1%

Journal of Neurology

3,481

1%

Knee Surgery, Sports Traumatology, Arthroscopy

3,757

1%

Clinical Orthopaedics and Related Research®

3,663

1%

Surgical Endoscopy

3,697

1%

Total top ten

18%

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NHS (Finch) Pilot: Public report of Final Report

Appendix 4 Nil use titles Only 4 publishers (Publisher3, Publisher5, Publisher6 and Publisher1) report on nil usage (see section 7). The list of nil use titles for each of these is given below. Due to the anonymity requirements these titles haven’t been listed in the public report.

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NHS (Finch) Pilot: Public report of Final Report

Appendix 5 Turnaway figures (Publisher6) Publisher6 included in their usage statistics a number of titles that were not part of the pilot, but where individual Trusts had existing subscriptions. These titles were excluded from the usage analysis wherever possible. The also publisher provided turnaway figures from April-December 2014 for these titles which were not available to pilot members who did not have existing subscriptions. This list was provided to the Steering Group but due to anonymity requirement has not been shown here.

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NHS (Finch) Pilot: Public report of Final Report

Appendix 6 Top 10 articles (AAAS) AAAS provided details of the top 10 articles accessed from March 2014 to April 2015. The table extracted from their usage report is given below. Top 10 Articles March 2014 - April 2015 Full text HTML

86

PDF

86

Abstracts

Total Accesses

Age of article in days from 04/30/2015

655

827

1,136

Article

Section: Research Articles Luis A. Garza, Yaping Liu, Zaixin Yang, Brinda Alagesan, John A. Lawson, Scott M. Norberg, Dorothy E. Loy, Tailun Zhao, Hanz B. Blatt, David C. Stanton, Lee Carrasco, Gurpreet Ahluwalia, Susan M. Fischer, Garret A. FitzGerald, George Cotsarelis Prostaglandin D2 Inhibits Hair Growth and Is Elevated in Bald Scalp of Men with Androgenetic Alopecia Mar 21, 2012 4: 12634-12634 [Abstract] [Full Text]

73

72

582

727

702

Section: Research Articles Maria P. Limberis, Virginie S. Adam, Gary Wong, Jason Gren, Darwyn Kobasa, Ted M. Ross, Gary P. Kobinger, Anna Tretiakova, James M. Wilson Intranasal Antibody Gene Transfer in Mice and Ferrets Elicits Broad Protection Against Pandemic Influenza May 29, 2013 5: 18772-18772 [Abstract] [Full Text]

72

NHS (Finch) Pilot: Public report of Final Report

77

76

126

279

611

Section: Focus James E. Crowe Universal Flu Vaccines: Primum non nocere Aug 28, 2013 5: 20034-20034 [Full Text]

75

74

128

277

625

Section: Research Articles Matthew S. Miller, Thomas J. Gardner, Florian Krammer, Lauren C. Aguado, Domenico Tortorella, Christopher F. Basler, Peter Palese Neutralizing Antibodies Against Previously Encountered Influenza Virus Strains Increase over Time: A Longitudinal Analysis Aug 14, 2013 5: 198107-198107 [Abstract] [Full Text]

Section: Research Articles 74

74

125

273

807

Federico Sandoval, Magali Terme, Mevyn Nizard, Cecile Badoual, Michel-Francis Bureau, Ludovic Freyburger, Olivier Clement, Elie Marcheteau, Alain Gey, Guillaume Fraisse, Cecilia Bouguin, Nathalie Merillon, Estelle Dransart, Thi Tran, Francoise Quintin-Colonna, Gwennhael Autret, Marine Thiebaud, Muhammad Suleman, Sabine Riffault, Tzyy-Choou Wu, Odile Launay, Claire Danel, Julien Richardson, Laurence Zitvogel, Wolf H. Fridman, Ludger

73

NHS (Finch) Pilot: Public report of Final Report

Johannes, Eric Tartour Mucosal Imprinting of Vaccine-Induced CD8+ T Cells Is Crucial to Inhibit the Growth of Mucosal Tumors Feb 13, 2013 5: 17220-17220 [Abstract] [Full Text]

74

74

124

272

716

Section: Research Articles Philip R. Dormitzer, Pirada Suphaphiphat, Daniel G. Gibson, David E. Wentworth, Timothy B. Stockwell, Mikkel A. Algire, Nina Alperovich, Mario Barro, David M. Brown, Stewart Craig, Brian M. Dattilo, Evgeniya A. Denisova, Ivna De Souza, Markus Eickmann, Vivien G. Dugan, Annette Ferrari, Raul C. Gomila, Liqun Han, Casey Judge, Sarthak Mane, Mikhail Matrosovich, Chuck Merryman, Giuseppe Palladino, Gene A. Palmer, Terika Spencer, Thomas Strecker, Heidi Trusheim, Jennifer Uhlendorff, Yingxia Wen, Anthony C. Yee, Jayshree Zaveri, Bin Zhou, Stephan Becker, Armen Donabedian, Peter W. Mason, John I. Glass, Rino Rappuoli, J. Craig Venter Synthetic Generation of Influenza Vaccine Viruses for Rapid Response to Pandemics May 15, 2013 5: 18568-18568 [Abstract] [Full Text]

74

74

123

271

611

Section: Research Articles Surender Khurana, Crystal L. Loving, Jody Manischewitz, Lisa R. King, Phillip C. Gauger, Jamie

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NHS (Finch) Pilot: Public report of Final Report

Vincent, Hana Golding Vaccine-Induced Anti-HA2 Antibodies Promote Virus Fusion and Enhance Influenza Virus Respiratory Disease Aug 28, 2013 5: 200114-200114 [Abstract] [Full Text]

74

74

123

271

674

Section: Focus Joanne Lello Coinfection: Doing the Math Jun 26, 2013 5: 19124-19124 [Full Text]

74

74

122

270

674

Section: Research Articles Sourya Shrestha, Betsy Foxman, Daniel M. Weinberger, Claudia Steiner, Cecile Viboud, Pejman Rohani Identifying the Interaction Between Influenza and Pneumococcal Pneumonia Using Incidence Data Jun 26, 2013 5: 19184-19184 [Abstract] [Full Text]

122

74

0

196

674

Section: Editorial Jonathan W. Yewdell, David J. Spiro, Hana Golding, Helen Quill, Abraham Mittelman, Gary J. Nabel Getting to the Heart of Influenza Jun 26, 2013 5: 1918-1918 [Full Text]

803

752

2,108

3,663

723 (average)

Totals for Top 10 Articles March 2014 –April 2015

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NHS (Finch) Pilot: Public report of Final Report

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NHS (Finch) Pilot: Public report of Final Report

Appendix 7 Current and historic archive use (Publisher4)

In their usage reports, Publisher4 provided additional information on the number of requests from their current and recent archive compared to those from the historic archive. The journals usage summary for NHS England showing requests by archive is given below.

Monthly Number of Journal Full-Text Requests by Archive 1,600 1,400 1,200 1,000 800 600 400 200 0

776

820

937

193

186

199

1110 876 241

178

1085

165

Historic Archive

Total Number of Journal Full-Text Requests by Archive

Historic Archive 17.75%

1175

1124

1061 784

255

210

170

237

911

972

213

263

Current and Recent Archive

Monthly Number of Journal Downloads vs Turnaways 1,600 1,400 1,200 1,000 800 14271333 128411031235 600 1133135110531248 954 400 9681001 200 0 1 5 3 0 1 2 3 1 0 14 21 0

Current and Recent Archive 82.25% Number of Full-Text Downloads Number of Full-Text Turnaways

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NHS (Finch) Pilot: Public report of Final Report

Current and Recent Archive

Historic Archive

Total

Month

Year

Full-Text Downloads

Full-Text Turnaways

Full-Text Requests

Full-Text Downloads

Full-Text Turnaways

Full-Text Requests

Full-Text Downloads

Full-Text Turnaways

Full-Text Requests

Apr

2014

775

1

776

193

0

193

968

1

969

May

2014

815

5

820

186

0

186

1,001

5

1,006

Jun

2014

934

3

937

199

0

199

1,133

3

1,136

Jul

2014

1,110

0

1,110

241

0

241

1,351

0

1,351

Aug

2014

875

1

876

178

0

178

1,053

1

1,054

Sep

2014

1,083

2

1,085

165

0

165

1,248

2

1,250

Oct

2014

1,172

3

1,175

255

0

255

1,427

3

1,430

Nov

2014

1,123

1

1,124

210

0

210

1,333

1

1,334

Dec

2014

784

0

784

170

0

170

954

0

954

Jan

2015

1,047

14

1,061

237

0

237

1,284

14

1,298

Feb

2015

890

21

911

213

0

213

1,103

21

1,124

Mar

2015

972

0

972

263

0

263

1,235

0

1,235

11,580

51

11,631

2,510

0

2,510

14,090

51

14,141

Total

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NHS (Finch) Pilot: Public report of Final Report

Annex 4 – Acknowledgements Carolyn Alderson, Jisc Collections, would like to thank the following who have assisted with this pilot:

The anonymous funder who funded the pilot – without which the pilot would not have progressed Steering Group: Paul Ayris – Director of UCL Library Services Richard Osborn, Health Education England Betsy Anagnostelis – Royal Free Hospital Medical Library, UCL Library Services Helen Bingham – NHS Thames Valley & Wessex Anne Wales – NHS in Scotland lead Ann Lees – NHS Education for Scotland Maynard Davies – NHS in Wales lead Janet Peters – Director, Cardiff University Library Bernadette Wales –Cancer Research Wales, Cardiff Meg Gorman - Cardiff University Library Service and Wales Deanery Library Adviser Susan Prosser – NHS Wales eLibrary for Health Mark Thomas, NWIS. Karen Latimer - Queen's University Belfast, N. Ireland Moira Godbert-Laird, NICE Michael Heath, NICE Participating publishers: representatives and technical contacts AAAS Annual Reviews Elsevier IOP Publishing Karger Nature Publishing Group Oxford University Press RSC Springer Consultant: Angela Conyers OCLC: Andrew Hall and Russ Hunt Colleagues at Jisc Collections and Jisc: Magaly Bascones, Lorraine Estelle, Nicole Graham, Brian Mitchell, Stuart Parkin, Ben Taplin and Sue Weston Participating NHS researchers in England, Scotland, Wales and Northern Ireland

79