david ball 'open access: where do we stand?

David Ball

David Ball Consulting

February 2015

What’s it all mean: some definitions

Toll

Gratis and Libre

Green and Gold

Growth of OA

Current research on policies and mandates

Scholarly monographs

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Apply for grant funding: government, public bodies, charities…

Research

Submit article on findings for peer review

Copyright (generally) made over to publisher

Dissemination by subscription journals

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Reader-side, as opposed to author-side, payment

Payment to access; no other rights

Subscription to a journal – individual or library

Big Deals - collective

Purchase copy of an article

Purchase/ subscribe to monograph

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By "open access" to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited.Budapest Open Access Initiative, 2002

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Peter Suber

OA literature is “digital, online, free of charge, and free of most [some] copyright and licensing restrictions”

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Context: intellectual property law offers limited “fair dealing” or “fair use” exemptions (has been limited by licences)

Gratis OA is free of charge to access but subject to the limits of fair dealing; removes toll barriers but not permission barriers

Libre OA is both free of charge and free of at least some legal and licensing restrictions;removes toll barriers and at least some permission barriers. Creative Commons.

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Green OA is delivered through self-archiving authors deposit manuscripts/pre-prints of articles in

repositories institutional repositories aim to capture all the articles

produced by a particular institution disciplinary repositories aim to capture all the articles in a

particular discipline

Gold OA is delivered through journals these may be completely OA or hybrid, where some

articles are OA and others toll access

Some Gold OA monographs Both Green and Gold OA are gratis. Green OA

generally is only gratis; Gold OA may be libre

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Relies on a recent but well established infrastructure of repositories

Easy and cheap

Does not incur the overheads of peer-review

Deposited articles may be, most often have been, peer-reviewed for publication in TA journals

Is compatible with subscription journal publishing: embargoes

Is hospitable to many other types of document, notably research datasets

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Offers articles, in both OA and hybrid journals, that are peer-reviewed for publication

Incurs the same costs for the editorial and peer review process as TA journal publishing

Author-side payment of article processing costs (APCs)

Is always immediate, while Green OA is often subject to time embargoes imposed by subscription journal publishers

Provides access to the published version of an article

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Gold Currently small percentage of total, but growing

Number of articles doubles every 2-3 years (European Commission)?

25% of articles within 10 years?

Journal growth in developing countries

Green Repositories – 25m items? 38m items?

Only 15.5% of articles are deposited (PASTEUR4OA)

Google Scholar

Resource discovery systems

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Wellcome Trust, NIH 2005

Finch Report 2012

Support for publication in open access or hybrid journals, funded by APCs

Licence to cover health and R&D sectors, walk-in access in public libraries

Research Councils UK

Green: allows embargoes 6-12 months

Funding for APCs

REF 2020 – deposit in repositories required

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Open Access is mandatory for peer-reviewed publications

The policy is a ‘Green’ OA mandate (repositories) Publish as normal in subscription-based journals Place author’s copy in OA repository

For ‘Gold’ OA, permits payments from grants for OA journal publication fees

Says nothing about OA for monographs, but there may be some attention to this issue as time goes on

The policy is very definite about Open Research Data, announcing an Open Data pilot for the H2020 programme

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PASTEUR4OA (FP7)

ROARMAP updated

Regression analyses

Success criteria:

Must (i.e. mandated) deposit

Deposit cannot be waived

Link deposit with research evaluation

Deposit immediately on acceptance

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Vehicle for disseminating research findings in humanities and social sciences

Print runs of 200?

Low/no royalties

Low/no research grants

Prime candidate for OA?

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Monographs are available in 3 editions: free to read (PDF only)

digital (downloadable, with functionality to annotate etc.)

printed editions (PoD)

Revenue is derived from: monograph processing charges (MPCs)

added value services to libraries and individuals

print-on-demand

Problems include: lack of visibility of free edition; source of MPCs

Example: Open Book Publishers, Ubiquity Press

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Peter Suber, Open Access, MIT Press, 2012 (OA)

PASTEUR4OA (http://www.pasteur4oa.eu/) FOSTER

(https://www.fosteropenscience.eu/) UKeiG Training: Open Access: How it will

change your (professional) life (24 March, CILIP HQ)

David Ball Consultingdavidball1611@gmail.com

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A product of the latest ICT revolution

Impossible to predict impact

A disruptive technology?

Fast and fundamental change

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Costs: Editorial boards – staffed by academics for nothing?

Peer review – done by academics for nothing?

Authors/institutions donate their IPR

Production and distribution

Marketing

Managing subscriptions, policing rights etc.

Met by: Page and plate charges?

Subscriptions - UK HE journal subscription costs £170m a year

Advertising

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Setting up and maintaining institutional and discipline repositories

Depositing items

Swan - annual cost of institutional repositories £26k-£210k (including capital investment)?

Cost per article deposited £6-£15?

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Costs:

As for Toll Access

But distribution and rights management costs minimal?

Met by:

Article processing charges(APCs) - £5-£2500? Met by (STM) funders?

Subsidies from learned bodies/institutions?

Advertising

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350 years of toll access (subscriptions) Embedded in institutional systems, procedures and

budgets

Infrastructure of intermediaries

Increasingly through (efficient but expensive) Big Deals

How do we change gear to APCs? Granularity (single article versus Big Deal)

Internal and external systems

Infrastructure

Competitive market in APCs?

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Gold

Currently small percentage of total, but growing

Number of articles doubles every 2-3 years?

25% of articles within 10 years?

Disruptive technology - 60% within 10 years?

Green

Repositories – 25m items? 38m items?

Google Scholar

Resource discovery systems

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Citation advantage Difficult to measure

Clear indication of some advantage (Swan)

Publication of associated data-sets (now required by funders) is advantageous

High impact in medicine

Quality APC-funded OA at 70% of impact factor of toll access

OA and TA journals founded since 2002 have similar impact

Variance across disciplines

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Gold standard of research – yet problems - MMR

OA provides free access to research, not access to articles free of peer review

No longer needed to ration scarce space

New models Light initial touch

Debate by scholarly community

Dynamic content

Publication of data, overlay journals, social media…

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Registration: to provide a time stamp to establish paternity

Certification or validation: to provide a stamp of quality, generally through peer review

Awareness: distribution/access

Archiving: preservation

Traditional publishing (print or electronic) subsumes the first 3 functions in publication

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Of the four functions OA is only about access, secondarily about timing

OA is neutral/agnostic about peer review, copyright, etc.

Perfectly hospitable to the practices of traditional journal publishing

But it does enable new approaches and practices in research

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