Difference between revisions of "Open Access (the book)"
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Revision as of 20:32, 18 October 2012
- On this page I'll post updates, supplements, and other notes on my book, Open Access, MIT Press, 2012. — Peter Suber.
- Suggested short URL for this page = http://bit.ly/oa-book
About the book
- Peter Suber, Open Access, MIT Press, June 2012.
- The paperback and several digital editions are now available.
- I hope the book is available at your favorite academic bookstore. But at least it's available from MIT Press, Amazon (paperback and Kindle editions), Barnes and Noble (paperback and Nook editions), Google Play (mobile ePub, PDF, Adobe eBook, and other formats), and the sources listed here and here.
- For a review copy, send your request directly to MIT Press, and indicate the publication or site for which the review is intended.
- I plan to launch some kind of site, other than this page, where I can gather and respond to reader comments. I welcome suggestions about the best way to do that.
- Rob Harle, Open Access by Peter Suber (MIT Press 2012), Leonardo Reviews, August 2, 2012. "This is a very important book, which, I suggest, is a must read for all scholars and researchers who publish their own work or consult the peer-reviewed published work of others ––in other words, virtually all academics...."
- John Dupuis, Reading Diary: Open Access by Peter Suber, Confessions of a Science Librarian, September 26, 2012. "Peter Suber’s... Open Access is an important book. You should read it, you should buy (or recommend) a copy for your library. You should buy a hundred boxes and give a copy to every faculty member at your institution. And not just because it’s a blazingly wonderful book — although it mostly is — but because it’s a book that sets the stage for an intelligent, rational, fact-based discussion on the future of scholarly publishing...."
Updates and supplements
- The first print edition uses an "all rights reserved" statement and a CC-BY license icon. The digital editions clarify the book's copyright status, and the clarification will appear in future print editions. Basically, the book incorporates some material I previously published in the SPARC Open Access Newsletter under a CC-BY license and a copyright owned by SPARC. That material remains CC-BY. The all-rights-reserved copyright owned by MIT applies only to new parts of the book, and even those parts will shift to a CC-BY-NC license on June 15, 2013, one year from the date of publication.
- Note that MIT Press already provides OA to the Preface.
Chapter 1: What is Open Access?
- Note that MIT Press already provides OA to Chapter 1.
- At p. 7, I introduce the Budapest Open Access Initiative and its definition of OA. Add this note.
- See the ten-year anniversary statement from the BOAI, which reaffirmed the original definition of OA and made recommendations for the next ten years, Ten years on from the Budapest Open Access Initiative: setting the default to open, September 12, 2012.
- At p. 21, I say, "OA would benefit from the right kinds of copyright reforms...." Add this note.
- See my article, Open access and copyright, SPARC Open Access Newsletter, July 2, 2011. "For example, here are some copyright reforms that would help the cause:  Shorten the term of copyright, or at least prevent it from becoming even longer every time Mickey Mouse is about to fall into the public domain.  Ban the retroactive extension of copyright to works in the public domain.  Allow OA for orphan works, with a takedown requirement if the rightsholder steps forward and complains.  Permit the circumvention of DRM in pursuit of non-infringing uses.  Recognize that some creative works generate revenue for creators, and some don't, and that creators of the former type are harmed by unauthorized copying while creators of the latter type are harmed by the default prohibition of copying. That is, stop making royalty-free literature collateral damage in the war against revenue leaks.  Allow green OA, at least for royalty-free literature, within a certain time after publication, regardless of the publishing contract the author signed with a publisher.  Allow digitization and search indexing without permission when they result in no dissemination, or when the dissemination consists of nothing more than fair-use snippets.  Make the penalties for copyfraud (false claim of copyright) at least as severe as the penalties for infringement; that is, take the wrongful decrease in the circulation of ideas at least as seriously as the wrongful increase in the circulation of ideas."
Chapter 2: Motivation
- Note 5 (note call at p. 30, note text at p. 182). Here I'm documenting the assertion that "cumulative price increases...forced the Harvard Library to undertake 'serious cancellation efforts' for budgetary reasons." In the current note, I cite two sources. Here are seven, including the original two, in chronological order.
- At p. 40, I say, "[L]arge commercial publishers charge higher prices and raise their prices faster than small, nonprofit [TA] publishers. Yet, the scholarly consensus is that quality, impact, and prestige are generally higher at the nonprofit society journals." Endnote 15 (note text at pp. 184-185) documents the claims about quality, impact, and prestige. Here I want to elaborate in a slightly different direction.
- At pp. 40-41, I describe the sense in which librarians are more attuned to the journal pricing crisis than faculty. Add this note.
- As a class, librarians are not only more knowledgeable about the issues but more active in strategizing the change the system. In a July 2011 interview with Richard Poynder, I put it this way: "Librarians lobby for OA mandates. They write to their representatives in the legislature. They make phone calls and visit. They network and organize. They communicate with one another, with their patrons, and with the public. They launch, maintain, and fill repositories. They write up their experiences, case studies, surveys, and best practices. They pay attention. On average, they understand the issues better than any other stakeholder group, including researchers, administrators, publishers, funders, and policymakers...."
Chapter 3: Varieties
- At p. 50, I say, "Also like conventional journals, most [OA journals] are honest and some are scams." Add these notes.
- For work on suspicious OA journals and publishers, the OA community is indebted to Richard Poynder and Jeffrey Beall. For example, see Richard Poynder's interviews with Bentham (April 2008), Dove Medical Press (November 2008), Libertas Academica (January 2009), Sciyo (February 2010), InTech (October 2011), OMICS (December 2011), and fellow investigator Jeffrey Beall (July 2012). Also see the many strands of Poynder's inquiry into Scientific Journals International (starting in July 2088). Similarly, see Jeffrey Beall's list of predatory publishers, list of predatory journals, and blog devoted to "critical analysis" of OA publishing.
- See the ten-year anniversary statement from the BOAI, which made recommendations for the next ten years, Ten years on from the Budapest Open Access Initiative: setting the default to open, September 12, 2012. Recommendation 4.1: "We should do more to make publishers, editors, referees and researchers aware of standards of professional conduct for OA publishing, for example on licensing, editorial process, soliciting submissions, disclosing ownership, and the handling of publication fees. Editors, referees and researchers should evaluate opportunities to engage with publishers and journals on the basis of these standards of professional conduct. Where publishers are not meeting these standards we should help them improve as a first step....As one means for evaluating a new or unknown OA publisher or OA journal, we recommend that researchers consult the Open Access Scholarly Publishers Association (OASPA) and its code of conduct....We encourage all OA publishers and OA journals to apply best practices recommended by OASPA or to seek membership in the association, which would entail a review of their practices and an opportunity to amend these where necessary."
- At p. 50, I say, "Like conventional publishers, there are a few large OA publishers and a long tail of small ones...." Add these notes.
- At p. 52-53: For clarity, read the terminology box on p. 53 before starting Section 3.1 on p. 52.
- At pp. 54-55, I say, "One of the early victories of the OA movement was to get a majority of toll-access publishers and journals to give blanket permission for author-initiated green OA. But this victory remains one of the best-kept secrets of scholarly publishing, and widespread ignorance of it is the single most harmful consequence of green OA's invisibility." Add this note.
- See the ten-year anniversary statement from the BOAI, which made recommendations for the next ten years, Ten years on from the Budapest Open Access Initiative: setting the default to open, September 12, 2012. Recommendation 1.7: "Publishers who do not provide OA should at least permit it through their formal publishing agreements....The minority of subscription-based publishers who do not yet allow author-initiated green OA, without payment or embargo, should adopt the majority position."
- At p. 57, I say, "[S]cholars who regularly read research in a...disciplinary repository, such as arXiv for physics or PubMed Central for medicine, readily grasp the rationale for depositing their work in OA repositories...." Add this note.
- See my Predictions for 2008, SPARC Open Access Newsletter, December 2, 2007: "I predict that the rate of spontaneous self-archiving will start to rise significantly when the volume of OA literature on deposit in repositories reaches a critical mass. The mass will be critical when researchers routinely search repositories, or routinely find what they seek in repositories. Only by using repositories as readers will they appreciate the value of using them as authors. For now, this critical mass exists for the largest disciplinary repositories, such as arXiv and PubMed Central. We shouldn't expect it to exist for any single institutional repository, since researchers search for literature by topic or field, not by institution. But we can expect a critical mass to develop for the network of institutional repositories....[S]cholars who find articles in repositories must be led to realize that they are finding them in repositories. They need to see and credit the role of the repositories, not just the role of Google or OAIster or the search engine that brought them there."
- At p. 58, I refer to the fear that self-archiving is time-consuming. But there is evidence to answer these fears. Add these notes.
- See Leslie Carr and Stevan Harnad, Keystroke Economy: A Study of the Time and Effort Involved in Self-Archiving, Working Paper, University of Southampton, March 15, 2005 (Last Modified, March 2, 2012). Two months of log activity at an active institutional repository showed that "The median time for metadata entry is 5 minutes and 37 seconds per paper. The average is 10 minutes 40 seconds owing to the long tail of the distribution....A researcher who writes one paper per month would accordingly find themselves (or their designees) spending an average of...about 39 minutes per year in metadata entry tasks related to self-archiving." For a later version of the same study, see Leslie Carr, Stevan Harnad, and Alma Swan, A Longitudinal Study of the Practice of Self-Archiving, Working Paper, University of Southampton, April 20, 2007 (Last Modified, March 2, 2012).
- See Alma Swan and Sheridan Brown, Open access self-archiving: An author study, Technical Report, University of Southampton, June 6, 2005. "Authors have frequently expressed reluctance to self-archive because of the perceived time required and possible technical difficulties in carrying out this activity, yet findings here show that only 20% of authors found some degree of difficulty with the first act of depositing an article in a repository, and that this dropped to 9% for subsequent deposits."
- At p. 65, I conclude my argument that we should pursue green and gold OA simultaneously. Add these notes.
- Also see Yassine Gargouri et al., Green and Gold Open Access Percentages and Growth, by Discipline, Working Paper, University of Southampton, June 16, 2012. "We compared the percent and growth rate of Green and Gold OA for 14 disciplines in two random samples of 1300 articles per discipline out of the 12,500 journals indexed by Thomson-Reuters-ISI using a robot that trawled the web for OA full-texts. We sampled in 2009 and 2011 for publication year ranges 1998-2006 and 2005-2010, respectively. Green OA (21.4%) exceeds Gold OA (2.4%) in proportion and growth rate in all but the biomedical disciplines....The spontaneous overall OA growth rate is still very slow (about 1% per year). If institutions make Green OA self-archiving mandatory, however, it triples percent Green OA as well as accelerating its growth rate."
- At p. 69, I recommend CC-BY licenses for OA research, and mention some other organizations and initiatives that do so as well. Add this note.
- See the ten-year anniversary statement from the BOAI, which made recommendations for the next ten years, Ten years on from the Budapest Open Access Initiative: setting the default to open, September 12, 2012. Recommendation 2.1: "We recommend CC-BY or an equivalent license as the optimal license for the publication, distribution, use, and reuse of scholarly work."
- At pp. 72-73, I point out that most OA journals fail to offer libre OA. Add these notes.
- See the ten-year anniversary statement from the BOAI with recommendations for the next ten years, Ten years on from the Budapest Open Access Initiative: setting the default to open, September 12, 2012. See esp. the second bullet of recommendation 2.1: "OA journals are always in a position to require open licenses, yet most of them do not yet take advantage of the opportunity. We recommend CC-BY for all OA journals."
- Also see my article, The rise of libre open access, SPARC Open Access Newsletter, June 2, 2012. "The failure of 70% OA journals to offer any kind of open license is an embarrassment. It shows that most OA journals don't understand the benefits of libre OA, don't understand their own power to assure it, or both."
- At p. 73, I discuss the tactical mistakes of demanding libre or nothing in circumstances when libre may be unanttainable, and settling for gratis OA in circumstances when libre is attainable. Add this note.
- See the third bullet to Recommendation 2.1 of the BOAI-10 statement, September 12, 2012: "In developing strategy and setting priorities, we recognize that gratis access is better than priced access, libre access is better than gratis access, and libre under CC-BY or the equivalent is better than libre under more restrictive open licenses. We should achieve what we can when we can. We should not delay achieving gratis in order to achieve libre, and we should not stop with gratis when we can achieve libre."
Chapter 4: Policies
- At p. 78, I start discussing OA policies at universities and funding agencies. Add this note.
- See the ten-year anniversary statement from the Budapest Open Access Initiative, with recommendations for the next ten years, Ten years on from the Budapest Open Access Initiative: setting the default to open, September 12, 2012. Recommendation 1.1 calls for an OA policy at every university: "Every institution of higher education should have a policy assuring that peer-reviewed versions of all future scholarly articles by faculty members are deposited in the institution’s designated repository...." Recommendation 1.3 calls for an OA policy at every funding agency: "Every research funding agency, public or private, should have a policy assuring that peer-reviewed versions of all future scholarly articles reporting funded research are deposited in a suitable repository and made OA as soon as practicable."
- At p. 78, I say that about one-quarter of peer-reviewed journals are OA. Here add an update and a note.
- Update: By the time the book came out, the fraction was closer to one-third. In the book, I used the common industry estimate that there are about 25,000 peer-reviewed scholarly journals in all fields and languages. As of July 28, 2012, the Directory of Open Access Journals listed 8,000 peer-reviewed OA journals. Using the original estimate for the total number of peer-reviewed OA journals, this means that 32% of the total were OA in July 2012.
- At p. 79, I say that there are no gold OA mandates. But several have been proposed.
- At p. 80, I start discussing rights-retention mandates. It should be clear from the text, and from many of my previous writings, that this is the model I favor. I reiterated and elaborated my position in October 2012 when Stuart Shieber and I released the first version of our guide to Good practices for university open-access policies. The guide distinguishes six kinds of policy, unlike the book which only distinguishes four. It explicitly recommends rights-retention policies with waiver options, and explains why that model is preferable to other models.
- Note 7 (note call at p. 81, note text at pp. 194). At the end of this note, I cite Frankel and Nestor's 2010 legal analysis showing that Harvard-style rights-retention policies successfully avoid copyright problems.
- For a more recent legal analysis coming to the same conclusion, see Eric Priest, Copyright and the Harvard Open Access Mandate, Northwestern Journal of Technology and Intellectual Property, preprint August 1, 2012, published version forthcoming. Also see Stuart Shieber's blog post on Priest's article, Is the Harvard open-access policy legally sound? The Occasional Pamphlet, September 17, 2012.
- At p. 84, line 13. Correction. "...journal are..." should be "...journals are...."
- Note 12 (note call at p. 86, note text at pp. 195-196).
- At p. 196, line 4. Correction. "...in the institutional review..." should be "...in the institutional repository...."
- Note 16 (note call at p. 89, note text at pp. 196-197). Here I'm documenting the claim that "Alma Swan's empirical studies of researcher attitudes show that an overwhelming majority of researchers would 'willingly' comply with a mandatory OA policy from their funder or employer." Add a note.
- Note 20 (note call at p. 93, note text at pp. 197-199). Here I list some examples of libre green OA. I list and discuss many more in "The rise of libre open access," SPARC Open Access Newsletter, June 2, 2012.
- At pp. 94-95, I argue that policy-makers should watch for the moment when they could strengthen green gratis OA policies into green libre policies. Add this note.
- See the ten-year anniversary statement from the BOAI, which made recommendations for the next ten years, Ten years on from the Budapest Open Access Initiative: setting the default to open, September 12, 2012. Recommendation 2.1, first bullet: "OA repositories typically depend on permissions from others, such as authors or publishers, and are rarely in a position to require open licenses. However, policy makers in a position to direct deposits into repositories should require open licenses, preferably CC-BY, when they can."
Chapter 5: Scope
- Note 17 (note call at p. 117, note text at p. 204). Here I'm citing research showing demand among lay readers for access to cutting-edge medical research. Add this note.
- See the Congressional testimony of David Lipman, Director of the National Center for Biotechnology Information, July 29, 2010: "Last year, 99% of the articles in PubMed Central were downloaded at least once, and 28% were downloaded more than 100 times. Although we can collect only aggregated information about users of PubMed Central, we can infer they represent a mix of people from the education and business sectors, as well as private citizens. Based on the type of Internet domain from which they access PubMed Central (e.g., .com, .edu, .net, .gov), we estimate that approximately 25% of our users are from universities, 40% are private citizens or those using personal Internet accounts, and 17% are from companies (the remainder consists of government users or others). These kinds of numbers support the notion that PubMed Central has become a broad-based repository for researchers, students, clinicians, entrepreneurs, patients and their families."
Chapter 6: Copyright
- At p. 128, I argue that the OA policy at the NIH does not violate copyright. Add this note.
- At p. 128, line 22. Correction. "One of practical..." should be "One of the practical...."
Chapter 7: Economics
- Note 2 (note call at p. 133, note text at pp. 207-208). Here I'm citing research showing that the economic benefits of OA far exceed the costs. Add this note.
- See the May 2011 report, Economic Impact of the Human Genome Project, from the Battelle Technology Partnership Practice. Quoting the press summary (May 11, 2011): "The $3.8 billion the U.S. government invested in the Human Genome Project (HGP) from 1988 to 2003 helped drive $796 billion in economic impact and the generation of $244 billion in total personal income, according to a study released today by Battelle. In 2010 alone, the human genome sequencing projects and associated genomics research and industry activity directly and indirectly generated $67 billion in U.S. economic output and supported 310,000 jobs that produced $20 billion in personal income. The genomics-enabled industry also provided $3.7 billion in federal taxes during 2010."
- At p. 143, line 11. Correction. "...alone is has..." should be "...alone has...."
Chapter 8: Casualties
- Note 2 (note call at p. 151, note text at p. 215). For "Alma Swan's interview with the APS and IOP in which 'both societies said they could not identify any losses of subscriptions' due to OA archiving", please replace http://eprints.soton.ac.uk/11006/, which is no longer valid, with http://cogprints.org/4406/.
- Note 4 (note call at p. 152, note text at pp. 215-216). Here I'm documenting the assertion that, "At Congressional hearings in 2008 and 2010, legislators asked publishers directly whether green OA was triggering cancellations. In both cases publishers pointed to decreased downloads but not to increased cancellations."
- At p. 157, I start a subsection called "Some studies bear on the question of whether increased OA archiving [green OA] will increase journal cancellations." Here's a new study for that section.
- Note 9 (note call at p. 158, note text at p. 216). The URL I cite for this ALPSP report is now dead, and the ALPSP provides no redirect. Here's a new link to the report, http://www.alpsp.org/Ebusiness/ProductCatalog/Product.aspx?ID=26.
- At pp. 160-161, I say, "If publishers acknowledge that gold OA can be sustainable, and even profitable, and merely wish to avoid making lower margins than they make today, then their objection takes on a very different color. They're not at risk of insolvency, just reduced profits, and they're not asserting a need for self-protection, just an entitlement to current levels of profit. There's no reason for public funding agencies acting in the public interest, or private funders acting for charitable purposes, to compromise their missions in order to satisfy this sense of publisher entitlement." Add this note:
- At p. 161, I say, "Even if green OA does eventually threaten toll-access journal subscriptions, green OA policies are still justified." Add these notes.
- I elaborated this point in an article in the SPARC Open Access Newsletter for September 2012: "If rising levels of green OA do start to cause cancellations, for example, in fields outside physics, then we can decide what to do about it. We can act in light of the evidence, whatever it turns out to be. We can weigh the demonstrable degree of harm to publishers against the demonstrable degree of benefit to research, researchers, research institutions, and taxpayers. We can see to what extent the publishers experiencing cancellations are doing their best to adapt to the opportunities of the digital age, and to what extent they are laggards at adaptation who deserve no public assistance, especially at the expense of researchers and taxpayers. In short, we needn't let fear of harm serve as evidence of harm, and we needn't assume without discussion that even evidence of harm to subscription publishers would justify compromising the public interest in public access to publicly-funded research. Policy-makers must take seriously the argument that green OA mandates could be justified even if they do eventually cause cancellations. The case for this 'even if' argument can be long or short. It's essentially the argument for OA itself....[I]t's also the argument that public agencies should put the public interest ahead of private interests....But in either form, the argument is essential to avoid the mistake of letting public agencies make insurance for publishers a higher priority than access to publicly-funded research."
- Apart from the continuing justification for OA, we would face what I've called the disentangling problem. See my Predictions for 2008, SPARC Open Access Newsletter, December 2, 2007: "[E]ven if subscriptions fall as OA archiving rises, it will be difficult to disentangle the cancellations caused by OA from the cancellations caused by natural attrition and librarian triage. Some part of the cancellations will be due to unbearable prices and onerous licensing terms, at least when not outweighed by high impact and high local usage. The disentangling problem will be aggravated by the fact that journals respond to cancellations by raising their prices, triggering new cancellations, and we already know (from the ALPSP study in March 2006) that high prices cause many more cancellations than OA archiving."
Chapter 9: Future
- At p. 165, I say, "Time itself has reduced the panic-induced misunderstandings of OA." Add this note.
- See my Predictions for 2008, SPARC Open Access Newsletter, December 2, 2007. After listing several OA initiatives from publishers formerly opposed to OA, I predict more of the same: "Some of these OA projects will be motivated by fear of OA and the desire to prepare for it. But some will be motivated, in effect, by the decline in fear. We're entering the post-panic period of the OA revolution, and as panic subsides, more and more former opponents will be willing to acknowledge the virtues of OA and try to benefit from them. It will be easier see nuance, rather than undifferentiated menace, and recognize that some variations on the theme may fit a given publisher's plans and research niche even if other variations do not."
Chapter 10: Self-Help
- At p. 170, I say, "[A]bout 30 percent of OA journals charge author-side fees and about half the articles published in OA journals appear in those fee-based journals." Add this note.
- Note that MIT Press already provides OA to the Index.
- Add new entry: Students, 73, 174. See also Theses and dissertations.
- Toll-access (or conventional) journals and publishers.
- Add new sub-entry: Right to refuse to publish any work for any reason, 126-128.
- Add new entry: Translation, 27, 74