Open Access – a short tour GEWU meeting Open Access 12 September Antwerpen Eelco Ferwerda OAPEN foundation

Open Access – a short tour Context  Definitions, forms  Status of OA today  Trends: the mega journal The case for Open monographs  Emerging business models  Some examples  The cost of the OA edition  Results of OA pilot study OA policies and choices  OA policies  OA options for publishers  Best practises

OAPEN Foundation: dedicated to OA books OAPEN Library: platform for the deposit and discovery of OA books – a quality controlled collection of OA books – improving discoverability and usage OAPEN projects: – OAPEN-NL and OAPEN-UK – Pilots to study effects of OA for monographs OAPEN services: – Directory of Open Access Books (DOAB) –

Open Knowledge (Open Scholarship)  Software: Open Source Software  Education: Open Courseware  Research output Research results:Research data: Open Access Open Data Green road:Golden road: OA archivingOA publishing OA JournalsOA books Open Access – context

Open Acces - definition OA is  Digital  Online  Free of charge ‘gratis’  Free to use and re-use ‘libre’ ‘free availability and unrestricted use’ (PLoS) OA is compatible with:  Peer review  Copyright  For-profit publishing

Berlin Declaration on Open Access (2003) Open Access contributions must satisfy two conditions: The author(s) and right holder(s) of such contributions grant(s) to all users a free, irrevocable, worldwide, right of access to, and a license to copy, use, distribute, transmit and display the work publicly and to make and distribute derivative works, in any digital medium for any responsible purpose, subject to proper attribution of authorship… A complete version of the work and all supplemental materials, including a copy of the permission as stated above, in an appropriate standard electronic format is deposited (and thus published) in at least one online repository … supported and maintained by an academic institution…, or other well-established organization that seeks to enable open access, unrestricted distribution, inter operability, and long-term archiving.

The ‘use and re-use’ debate Creative Commons Licensing options: Full Open Access: CC BY Creative Commons Attribution license: Restrictive licences: CC BY-NC - non commercial: Protecting investment in publication CC BY-ND – no derivatives: Protecting integrity of work These works are not full Open Access. OASPA, PLoS and SPARC introduced the Open Acces Spectrum describing the spectrum between open and closed: ‘HowOpenIsIt?’ -

Routes to Open Access OA Publishing: golden route – Publish in OA journals – Peer reviewed – OA upon publication – Main business models:  Subsidy from institutions  Author-side fee (APC) – Both for-profit (BMC) and non-profit (PLoS) OA Archiving: green route – Deposit in OA repositories – No reviewing – OA or embargo – Preprints and postprints – Any kind of academic content – Free and libre – Interoperable through OAI protocol (allowing single search) – Institutional and subject based

Open Acces today Gold: – OJS > ‘installations’ – DOAJ – 9900 OA journals 1.5 million articles Green: OA mandates – Institutional repositories > 180 – Research funders > 80 Gold + Green: – 25%-50% articles available in OA – 2008: 8,5 % gold, 12% green

Open Acces journals DOAJ: 9900 OA journals – Average growth +18%, articles +30% STM: 55% - HSS: 45% Charging publication fees: 30% Average fees: – $ 900 for all DOAJ journals – $ $ 3000 for leading journals – $ 1350 for PLOS ONE

Björk B-C, Welling P, Laakso M, Majlender P, Hedlund T, et al. (2010) Open Access to the Scientific Journal Literature: Situation PLoS ONE 5(6): e doi: /journal.pone

OA publishing trends New features:  Continuous publication  Inclusion of research data – enhanced publications  Post publication review  Rapid publication  Article level metrics New format: the mega journal

First ‘Mega’ Journal, launched 2006 Primary research from all scientific disciplines Acceptance based on ‘sound science’, not perceived importance or expected impact 2008: largest OA journal (2800 articles) 2010: largest e-journal (6750 articles) 2012: almost articles (>2% PubMedCentral) ‘Conveyer belt’ approach to workflow Reviewing managed by editors…

There is also this…

Predatory publishers use deception to appear legitimate, entrapping researchers into submitting their work and then charging them to publish it. Jeffrey Beall

Monographs Losing sustainability and relevance In the last 30 years, sales to US Libraries dropped from 2000 to 200 (average) Need for a new publishing model for academic books

Open Access for monographs Becoming an effective model Open Access can improve:  Discovery (views)  Usage (downloads)  Impact (citations) + Open Access can reduce costs Open Access may not impact sales

OA Monograph Publishers Commercial and non-profit Established and start-ups Institutional and professional Professional and ‘scholar led’ University and Library presses

OA Monograph Publishers Commercial: 19 % Non-profit:81 % University presses:71 % Other non-profit:10 %

OA Monographs: Models Free versus libre Free to read (all rights reserved) Free to use and re-use (CC-BY) Non commercial and/or no derivatives Online versus downloads Online reading only (HTML) PDF, e-reader formats Online + download

OA Monographs: Approaches Frontlist publishing Backlist / long tail approach Dedicated Open Access Service / Part of portfolio Promotional / attracting readers Selective / specific project or series

OA Monographs: business models Hybrid or dual edition publishing Institutional support Author side publication fee New models

OA business models - Dual edition publishing Dual edition: hybrid model, publishing both OA edition + other editions (print or PoD) Used by almost all OA book publishers Also called ‘Freemium’ or value-added model: OA + value added or premium products and services Examples: Bloomsbury Academic, NAP, OECD publishing

OA business models - Author side publication fee ‘APC’ for OA books: Publishers charge a fee to publish monographs in OA Springer Open, De Gruyter, Amsterdam UP Publication fee is paid by funder of original research (research council, research institution, university) Some OA funds are now open for OA books Research libraries (Utrecht UL, UCSF) Research councils (NWO, FWF)

OA business models - Author side publication fee Examples: SpringerOpen euro Palgrave Macmillan pounds Manchester University Press – pounds, depeding on lenght Brill euro + 11 euro/page > 350 Open Book Publishers - <4000 pounds Ubiquity Press pounds/chapter

Calculating the cost of OA books Print: € (53%) OA: € (47%)

OA Costs:Print costs: Peer review € 206 Cover € 293 Platform € 113 Printing, binding € 2,867 Marketing € 263 Distribution € 1,565 Editing/direct personnel costs € 1,948 Overhead € 591 Typesetting € 1,791 Other/direct costs € 375 Overhead/indirect personnel costs € 1,185 Marketing € 437 Other/direct costs € 146 Royalties € 385 € 5,678€ 6,489 OAPEN-NL: Average costs of monographs

OAPEN-NL: preliminary results Pilot publishing project comparing 50 OA books with similar traditional books from the same publishers. Open access improves:  Discovery (visits in Goolge Book Search + 40%)  Usage (page views in Google BS + 50%) Open Access has not impacted sales (average100/year) Downloads in OAPEN: 165/month = 20 x sales Too early for data on Impact (citations)

OA policies: Science Europe Aims to accomplish the transition to OA as quickly as possible, in an efficient and sustainable way, and thus avoid unnecessary costs. Principles: – Support for green and gold: Research publications published in OA journals or deposited in a repository – Made available OA within 6 months of publication (12 months in AHSS) – Require rigorous quality assurance in return for payment of OA publication fees – Funding of OA publication fees requires transparent cost structure – Only support for models that prevent ‘double dipping’ and increase cost transparency

OA options for publishers Support OA mandates (Self archiving by authors) – Which version? (final manuscript, published version) – Embargo? (6 or 12 months) Offer OA as service to authors – Journals (Hybrid model) – Books – Develop pricing model Pursue and promote OA – OA projects with partners (journals, books) – Transition subscription journals to OA – Introduce OA for back list or out of print books – Change author contracts (author retains copyright, grants publication right) – Find support for OA initiatives: Liverpool UP authors fund to support OA

OA best practices Register with SHERPA/RoMEO Register with DOAJ for journals and/or DOAB for books Follow OASPA guidelines Be open and clear about: Quality assurance Licensing options Publication fees Example Brill Open:

Thank you Eelco Ferwerda

The following slides were not presented

A short history of Open Access 1991 – ArXiv 1993 – BioLine 1994 – NAP (OA books) 1997 – SPARC (ARL) 1999 – EIFL 1999 – OAI protocol BioMedCentral 2001 – OJS (PKP) 2002 – Budapest OA Initiative 2003 – DOAJ (300 journals) - PLoS first OA journal - Berlin declaration 2005 – Wellcome Trust (OA Mandate) 2006 – PLoS ONE 2008 – OASPA, OAPEN -SpringerOpen (journals) 2011 – SCOAP3 start OA tender in HEP 2012 – DOAB -OMP (PKP) -SpringerOpen (books) - e-Life (WT, MPG, Howard Hughes)

Knowledge Exchange briefing paper About monographs: Traditional models for monograph publishing are losing sustainability, even with substantial public funding Paper proposes a new model for monographs: primarily as an electronic resource available on Open Access Would reduce costs as printed edition could become a seperate service provided as print-on-demand

Freemiun Access publishing: OECD All publications are free online (HTML5) All books available in print / PoD All PDFs available to subscribers of OECD Library and purchasers (many are also free) OECD recovers almost all of its costs through this model

Author side publication fee: OA funds of research funders Research councils set up funds to pay OA publication fees Restricted to publications based on funded research Either as incentive for Open Access or mandated Principles: - Results from publicly funded research should be publicly available - Funds for OA publication fees should be open for articles and books Examples:

OA business models: new approaches Library consortium - collaborative underwriting (Knowledge Unlatched) Crowd-funding (Gluejar Inc.) Library licensing model (OpenEdition Freemium)

OpenEdition Freemium Licensing model for libraries Introduced as pilot in 2012 Based on combination of free content in HTML + premium content (PDF, e-pub) and services Revenues split 1/3-2/3 between OpenEdition and publishers Intended to: – make OA content discoverable – provide a business model for OA content – help sustain platform

‘Knowledge Unlatched’ – Frances Pinter Libraries form a global consortium Use their existing acquisitions budget Select individually, purchase collectively Price based on fixed or ‘first digital copy’ costs Libraries receive value-added edition Monographs are then published Open Access Pilot started in 2013 Support from Australia and USA (ARL) Help from the ‘Big Innovation Centre’ (UK)

National approach: Sweden ‘Towards quality controlled Open Access Monographs in Sweden - exploring the possibilities of a consortium based approach’ Initiative of National Library and funder of research to bring together a number of universities / university libraries and academic presses to improve the Swedish situation for monographs: – ensure effective dissemination based on Open Access – coordinate quality control and share specific services – using existing funds for books

Publishing as part of the research system Researchers Search, retrieve, read Authors Select, cite and write Libraries Select, index and provide access Reviewers Read and evaluate Publishers Select, edit, produce, brand Publishers and Agents Market, distribute and sell Funders Allocate Funds Evaluate ROI Funders Allocate Funds Evaluate ROI

Houghton: activity costs in NL Researchers Search, retrieve, read Authors Select, cite and write Libraries Select, index and provide access Reviewers Read and evaluate Publisher Select, edit, produce, brand Publisher and Agents Market, distribute and sell Funders Allocate Funds Evaluate ROI Funders Allocate Funds Evaluate ROI 1 billion 920 million 242 million 210 million (9%) Total NL system € 2.4 billion Source: Costs and benefits of research communication: The Dutch Situation, John Houghton (2009)

Academic publishing Largely dependant on public spending Research, authoring & reviewing paid for by Research funders and Universities Subscriptions paid for by Libraries

Traditional academic publishing Losing it’s sustainability Commercialisation of STM journal publishing in combination with the growth of science: - caused serials crisis (libraries) - lead to monograph crisis (book publishers)

Benefits of Open Access Researchers Search, retrieve, read Authors Select, cite and write Libraries Select, index and provide access Reviewers Read and evaluate Publishers Select, edit, produce, brand Publishers and Agents Market, distribute and sell Funders Allocate Funds Evaluate ROI Funders Allocate Funds Evaluate ROI Access to the entire literature Re-use of content Full text searching & mining Effective knowledge dissemination Access to the largest possible audience Increased visibility & impact Answering user needs Improved services Improving ROI Ensuring publication Advancing spread of knowledge

Economic Benefits of OA (NL) Researchers Search, retrieve, read Authors Select, cite and write Libraries Select, index and provide access Reviewers Read and evaluate Publishers Select, edit, produce, brand Publishers and Agents Market, distribute and sell Funders Allocate Funds Evaluate ROI Funders Allocate Funds Evaluate ROI Worldwide OA 130 million Unilateral OA 37 million Source: Costs and benefits of research communication: The Dutch Situation, John Houghton (2009)