2. THE SCHOLARLY COMMUNICATIONS CRISIS: A PUBLIC GOODS DISSEMINATION MODEL

3. SERIALS INCREASE 1985/86 103,700 SERIALS TITLES 1999 161,000 SERIALS TITLES INCREASE 55% SOURCE: ULRICH’S INTERNATIONAL PERIODICALS DIRECTORY

4. CALIBRATIONS BETWEEN 1986 AND 2000 CONSUMER PRICE INDEX INCREASED 57% COST OF MONOGRAPHS INCREASED 66% PRICE OF HEALTH CARE INCREASED 111% (’86-98) COST OF SCHOLARLY JOURNALS INCREASED 226% ARL LIBRARY BUDGETS INCREASED 105%

5. THE PROBLEM IF A SERIALS BUDGET WERE $10 MILLION IN 1986, IT WOULD HAVE REQUIRED $32.6 MILLION TO PURCHASE THE SAME NUMBER OF SERIALS IN 2000. BUT TO PURCHASE THE SAME PROPORTION OF ALL SERIALS WOULD HAVE REQUIRED A SERIALS BUDGET OF $49.8 MILLION. DURING THIS TIME PERIOD THE CONSUMER PRICE INDEX ROSE TO 157% OF ITS 1986 LEVEL AND ARL ACQUISITIONS BUDGETS ROSE TO ABOUT 205% OF THEIR 1986 LEVELS.

6. UNSUSTAINABLE! 1986-2000

7. CONSEQUENCES ARL SERIALS SUBSCRIPTIONS -7% ARL MONOGRAPHS -17% IMPACT ON SCHOLARSHIP ?

8. WHY? WE GAVE OUR INTELLECTUAL PROPERTY AWAY TO PRIVATE FIRMS AND SCHOLARLY SOCIETIES. THEY HAVE FOUND THEY CAN SELL IT BACK TO US AT PRICES THAT WILL PRODUCE PROFITS AND/OR SUPPORT THE COST OF OTHER ACTIVITIES.

9. MARKET POWER EXISTS NEW ENTRANTS DO NOT REDUCE MARKET POWER TOP JOURNALS IN EACH DISCIPLINE HAVE MARKET POWER, that is, THEY CAN RAISE PRICES WITHOUT SIGNIFICANT LOSS OF SUBSCRIPTION VOLUME.

10. ON AVERAGE COMMERCIAL PUBLISHERS HAVE INCREASED PRICES MOST. SCHOLARLY SOCIETIES HAVE ALSO INCREASED PRICES.

11. DUNN & BRADSTREET CALCULATES THAT THE PERIODICAL INDUSTRY AVERAGED A 5% NET PROFIT MARGIN IN 1997. WOLTERS KLUWER, REED ELSEVIER, WILEY AND PLENUM HAD AN AVERAGE NET PROFIT MARGIN OF 18.8%. HAD THE NET PROFIT MARGIN OF THESE FOUR FIRMS BEEN 5%, THEIR CUSTOMERS WOULD HAVE SAVED $884,653,000. SOURCE: BRENDAN J. WYLEY, CORNELL UNIVERSITY “COMPETITION IN SCHOLARLY PUBLICATION? WHAT PROFITS REVEAL” IN VIEWS OF THE CURRENT MARKETPLACE FOR SCHOLARLY JOURNALS, arl http://www.arl.org/newsltr/200/intro.htmlhttp://www.arl.org/newsltr/200/intro.html (1998).

12. Reed Elsevier Science Publishing Division Net SalesOperating Operating (pounds)IncomeMargin 1995532 M211 M39.66% 1996553 M231 M41.77% 1997571 M230 M40.28% 1998 622 M223 M35.85% 1999 652M 231M 35.43% 2000 693M 252M 36.36% 2001 1,024M 344M 33.59% Source: Brendan Wyley and ARL Staff

13. Average Price and Factor of Increase by Type of Publisher: 1975 and 1995 (in Current and Constant Dollars) TYPE OF PUBLISHER AVERAGE PRICE INCREASE FACTOR IN: Current Constant 1975 1995 Dollars Dollars Commercial $55 $487 8.9 3.1 Society 28 229 8.2 2.9 Educational 15 81 5.4 1.9 Others 40 119 3.0 1.1 All 39 284 7.3 2.6 Source: Tenopir and King 1997

14. JOURNAL AVERAGE PRICE INCREASES BY DISCIPLINARY CATEGORY – 1999-2003 AGRICULTURE 34.1% ANTHROPOLOGY 36.4% ART AND ARCHITECTURE 23.8% ASTRONOMY 26.3% BIOLOGY 30.3% Botany 26.7% BUSINESS AND ECONOMICS 44.7% CHEMISTRY 42.8% EDUCATION 47.1% ENGINEERING 38.6%

15. FOOD SCIENCE 27.6% GENERAL SCIENCE 42.2% GENERAL WORKS 22.9% GEOGRAPHY 44.7% GEOLOGY 33.3% HEALTH SCIENCES 35.6% HISTORY 35.0% LANGAUGE & LITERATURE 34.8% LAW 41.5% LIBRARY & INFO. SCIENCES 33.4% MATH AND C. S. 29.4% MILITARY SCIENCE 40.6%

16. MUSIC 19.1% PHILOSOPHY & RELIGION 37.8% PHYSICS 34.9% POLITICAL SCIENCE 51.4% PSYCHOLOGY 43.5% RECREATION 65.0% SOCIOLOGY 44.6% TECHNOLOGY 37.2% ZOOLOGY 35.6% (SOURCE - LIBRARY JOURNAL 2003)

17. AAU INTELLECTUAL PROPERTY GENERAL PRINCIPLES OPEN, FREE EXCHANGE OF IDEAS PUBLICATION IN SCHOLARLY AND SCIENTIFIC JOURNALS MERITOCRACY – REWARDS ARE ON THE BASIS OF QUALITY OF WORK ORGANIZED SKEPTICISM – JUDGMENTS WITHHELD UNTIL IDEAS ARE TESTED COMMON OWNERSHIP OF GOODS, WHICH HOLDS THAT RESEARCH AND SCHOLARSHIP ARE PRODUCTS OF SOCIAL COLLABORATIONS AND ARE ASSIGNED ULTIMATELY TO THE COMMUNITY

18. ALTERNATIVES SOLUTIONS DRAMATIC INCREASES IN LIBRARY BUDGETS ANTITRUST ACTIVITY DECOUPLING – AAU UNIVERSITY OR FACULTY COPYRIGHT RETENTION REDUCE THE AMOUNT PUBLISHED BY FACULTY BUYING COOPERATIVES

19. ALTERNATIVES (Continued) SPARC (the SCHOLARLY PUBLISHING & ACADEMIC RESOURCES COALITION) DEMAND BY FACULTY THAT SCHOLARLY ASSOCIATIONS RETAIN JOURNALS AND PRICE THOSE JOURNALS AT THE COST OF PRODUCTION FACULTY BOYCOTT OPEN ARCHIVES-BY UNIVERSITY OR DISCIPLINE OPEN ACCESS JOURNALS NEAR

20. VOTING WITH YOUR FEET VEGETATIO (KLUWER) TO JOURNAL OF VEGETATION SCIENCE EVOLUTIONARY ECOLOGY (now KLUWER) TO EVOLUTIONARY ECOLOGY RESEARCH JOURNAL OF ACADEMIC LIBRARIANSHIP (PERGAMON- ELSVIER) TO PORTAL: LIBRARIES AND THE ACADEMY JOURNAL OF LOGIC PROGRAMMING (ELSEVIER) TO THEORY AND PRACTICE OF LOGIC PROGRAMMING ARCHIVES OF INSECT BIOCHEMISTRY & PHYSIOLOGY (WILEY–LISS) TO JOURNAL OF INSECT SCIENCE TOPOLOGY AND ITS APPLICATIONS (ELSEVIER ) TO ALGEBRAIC AND GEOMETRIC TOPOLOGY MACHINE LEARNING (KLUWER) TO JOURNAL OF MACHINE LEARNING RESEARCH EUROPEAN ECONOMIC REVIEW (ELSEVIER) TO JOURNAL OF THE EUROPEAN ECONOMIC ASSOCIATION (MIT PRESS)

21. FACULTY BOYCOTT: PUBLIC LIBRARY OF SCIENCE PETITION To encourage the publishers of our journals to support this endeavor, we pledge that, beginning in September, 2001, we will publish in, edit or review for, and personally subscribe to, only those scholarly and scientific journals that have agreed to grant unrestricted free distribution rights to any and all original research reports that they have published, through PubMed Central and similar online public resources, within six months of their initial publication date.

22. As of this date 30,000+ scientists from 182 countries signed. …..

23. SINCE SEPT. 1 HAS PASSED PLOS received a $9 million grant from the Moore Foundation and in October 2003 has begun the publication of two open access journals. The two journals are free of subscription charges to all and are funded by fees levied on the author of $1,500 per article.

24. Open Archives Initiative PLACE PRE- OR POST-PRINTS ON UNIVERSITY OR COLLECTIVE WEB SITE 55% OF JOURNALS PERMIT PRE- OR POST- PRINTS TO BE OPENLY SELF-ARCHIVED (PROJECT ROMEO) SOME JOURNALS EXPLICITLY FORBID SELF-ARCHIVING MANY JOURNALS WILL GRANT EXCEPTIONS

25. CONCERNS ABOUT SELF- ARCHIVING WILL IT DESTROY THE ECONOMICS OF JOURNALS AND UNDERMINE REFEREEING? WILL JOURNALS RESPOND BY REFUSING TO PUBLISH PAPERS THAT ARE SELF-ARCHIVED? CAN VOLUNTARY SELF-ARCHIVING EVER BE COMPLETE ENOUGH SUCH THAT ONE CAN RELY ON IT TO ACCESS THE LITERATURE? WILL SELF-ARCHIVED ITEMS EVER BE PERMANENTLY ARCHIVED?

26. OPEN ACCESS JOURNALS –JOURNALS WITH NO SUBSCRIPTION FEE –500/24,000 JOURNALS –SUPPORTED BY AUTHOR SUBMISSION FEE, –OR COST ASORBED BY ASSOCIATION, UNIVERSITY, FUNDING AGENCY, FOUNDATION, ETC. –WELLCOME FOUNDATION HAS AGREED TO PAY SUBMISSION FEES FOR BRITISH RESEARCHERS –HUGHES WILL FUND SUBMISSIONS FROM ITS RESEARCHERS TO PLOS JOURNALS

27. CONCERNS ABOUT AUTHOR – PAY MODEL RATE OF INCREASE IN JOURNAL COST MAY BE UNAFFECTED TRIED BEFORE & RESULTED IN PRIVATE SECTOR JOURNALS GETTING A FOOTHOLD IN MARKET SHIFTS ALL OF JOURNAL COSTS ONTO RESEARCH UNIVERSITIES TOXIC WASTE ANALOGY RESULTS IN A MIXED SYSTEM, AT BEST

28. Welcome Foundation, April 2004 Concludes that “... the question facing journal publishers is not whether to offer open access or not, but how to position their journals so that they are able to continue to play an important part in a world in which open access... is the norm.”

29. NEAR National Electronic Article Repository

30. REQUIRE AS A CONDITION OF RECEIVING FEDERAL RESEARCH FUNDS THAT THE AUTHOR OF ANY SCHOLARLY MANUSCRIPT ARISING OUT OF THE FUNDED PROJECT WOULD GRANT EXCLUSIVE COPYRIGHT TO A JOURNAL FOR NO MORE THAN 90 (OR 180) DAYS. AFTER THE FIXED EXCLUSIVE COPYRIGHT PERIOD ENDS, REQUIRE THAT THE ARTICLE,IN THE FORM IN WHICH IT WAS PUBLISHED, BE PLACED ON A PUBLICALLY ACCESSIBLE WEBSITE MAINTAINED BY THE FUNDING AGENCY. THE AUTHOR COULD ALSO PLACE THE ARTICLE ON THEIR OWN OR THEIR UNIVERSITY’S WEBSITE.

31. NEAR IS... A FORM OF SELF-ARCHIVING OPEN ACCESS WITH A DELAY IMPOSSIBLE FOR JOURNALS TO DEFEAT INEFFECTIVE FOR JOURNALS PUBLISHING NON-FUNDED RESEARCH

32. Recommendations For Faculty Retain the right to post your articles on a publicly accessible website Self-archive your work Ensure that your professional society retains its journals and prices them at cost Support efforts to keep public goods public Don’t submit your work to very expensive journals

33. Notwithstanding the above language, I reserve the right to use this manuscript in my teaching and research, for my colleagues at the University of X to use this manuscript in their teaching and research, and I also reserve the right to place an electronic copy of this manuscript on a publicly accessible web site.

34. FOR MORE INFORMATION WWW.CREATECHANGE.ORG