Difference between revisions of "Open Access (the book)"
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* Elizabeth Siler [http://www.ala.org/alcts/resources/lrts/toc/57n2 Open Access by Peter Suber], ''Library Resources & Technical Services'', vol. 57, no. 2, 2013. ''"In Open Access, Peter Suber explains the ins and outs of the OA movement, in a quick and efficient way, to inform the busy researcher....Open Access provides a brief but complete overview of OA publishing...."''
* Elizabeth Siler [http://www.ala.org/alcts/resources/lrts/toc/57n2 Open Access by Peter Suber], ''Library Resources & Technical Services'', vol. 57, no. 2, 2013. ''"In Open Access, Peter Suber explains the ins and outs of the OA movement, in a quick and efficient way, to inform the busy researcher....Open Access provides a brief but complete overview of OA publishing...."''
== Updates and supplements ==
== Updates and supplements ==
Revision as of 21:24, 21 June 2013
- 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
|This book is now itself OA. The book came out in mid-June 2012, and the OA editions came out one year later, right on schedule. MIT Press released four OA editions, one in PDF, one in HTML, one in ePub, and one in Mobi. The paperback edition is still available as well. I'm working on my own OA edition of the book, which will incorporate my updates and supplements (below). When it's ready, I'll link to it from here. Watch this space.|
About the book
- Peter Suber, Open Access, MIT Press, June 2012.
- The paperback and several digital editions are now available.
- Among other places, the book is 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), iTunes (formatted for iOS devices), and the sources listed here and here.
- The whole book will become OA in June 2013, one year from the date of publication. If you can't wait that long, everything I've said in the book I've said in some form or another in an OA article, probably more than once.
- MIT Press is already providing OA to the Table of Contents, Series Forward, Preface, and Chapter 1 ("What Is Open Access?"). The URLs for these OA sections changed in October 2012.
- 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...."
- Louis Kirby, Open Access: Peter Suber's new book, ZettaScience, September 6, 2012. "It comes down to this. I am a taxpayer and a physician. It makes me madder than Hell to have to pay $35.00 to read a single PDF of a journal article when my tax dollars already paid for the research....Peter Suber’s book is terrific. It is short and easily readable in a couple of sittings. That said, he is very thorough and clear at explaining what Open Access is, and why it benefits both the author, the research enterprise and society...."
- 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...."
- Elliott Smith, Open Access, Issues in Science and Technology Librarianship, Fall 2012. "Suber provides clear and concise explanations....Given the recent attempts in Congress to rescind the NIH Public Access Policy, Open Access should be of interest to a broad audience. It is particularly relevant to faculty and administrators at research institutions...."
- Wm. Joseph Thomas, Review of Peter Suber, Open Access, Against the Grain, November 2012, p. 40. "Suber makes the point eloquently that all key players involved in vetting research — authors, editors, and peer reviewers — can consent to OA without losing revenue. Not only that, Suber makes the case that distributing research freely is a public gift with both direct and indirect benefits to all....If the readers of Suber's book will take action on providing access to knowledge as a 'public good,' we can indeed complete the 'peaceful revolution' that Suber envisions."
- T.M. Owen, Open Access by Peter Suber, Choice, February 2013, vol. 50, No. 06, p. 216. "Drawing extensively on his previous online writings, world-renowned open access (OA) expert Suber...presents a well-written, concise explanation of OA. The book appeals to those with all levels of OA knowledge, from novice to expert, but it is especially beneficial for those unfamiliar with the subject....In ten well-organized chapters, the author defines OA, examines the motivation behind OA, presents options for institutional and funders' policies, confronts copyright issues, explains the economics of OA, and predicts what the future might hold. The extensive notes and references that accompany each chapter enhance the value of this important resource. Open Access should be required reading for everyone involved in the publishing cycle — from authors to publishers, including librarians and general readers. Everyone who reads this volume will gain a better understanding and appreciation of OA....Summing Up: Essential...."
- Giridhar Madras, Open Access by Peter Suber, Current Science, February 10, 2013. "This book by Peter Suber builds on his excellent work and articles on open access (OA)....This book is clear in its recommendation....On 16 August 2012, Georgia State University distributed copies of Suber’s book to new faculty and administrators on campus....It is high time that Indian institutions follow the [George State] example."
- Padmanabhan Balaram, Open Access: Tearing Down Barriers, Current Science, February 25, 2013. "Open Access by Peter Suber...is an excellent and easily readable primer on the movement to make the results of scholarly work freely available. The author's preface is engaging, urging readers to plunge on: 'I want busy people to read this book. OA benefits literally everyone, for the same reason that research benefits literally everyone.' Suber is clear 'that the largest obstacle to OA is misunderstanding....' His remedy for misunderstanding ‘is a clear statement of the basics for busy people’. I believe the book will serve this purpose admirably....This is a book that must be read by those busy scientists who publish a lot, read a lot and have had little time to grasp the nuances of the open access movement. It must also be read (and read carefully) by strident advocates, who have little time to allay the fears of those unfamiliar with the issue."
- Brenda Chawner, Open Access, Online Information Review, Vol. 37, No. 1 (2013) pp. 150 - 151. "Suber has been writing about OA concepts and developments since 2001, making him one of the movement's most important champions. Now, in Open Access Suber provides a succinct, readable and well-reasoned discussion of OA concepts and practices....[T]his book is an excellent guide for anyone interested in learning more about open access publishing."
- Kevin Michael Clair, Open Access by Peter Suber, Journal of Academic Librarianship, vol. 39, no. 1, January 2013. "In his latest book, Suber lays out in succinct and engaging fashion the primary reasons why the major players in the scholarly communications space should consider open access in their publishing, peer-reviewing, and library acquisitions work....For libraries just making inroads into the open access world, Open Access is an essential introduction to the topic. For academic librarians who have been working in the scholarly communications space and are familiar with its content, the value of Open Access lies in the concise way in which Suber outlines all of the reasons why the OA movement exists, and how researchers, librarians, and their reading audience can continue to work in order to advance its cause. Open Access is an essential addition to the libraries of anyone interested in the future of scholarly publishing in all of its forms."
- Elizabeth Siler Open Access by Peter Suber, Library Resources & Technical Services, vol. 57, no. 2, 2013. "In Open Access, Peter Suber explains the ins and outs of the OA movement, in a quick and efficient way, to inform the busy researcher....Open Access provides a brief but complete overview of OA publishing...."
- Gary F. Daught, [Review: Peter Suber’s Open Access], Omega Alpha | Open Access, June 17, 2013. "Suber accomplishes his purpose admirably. In addressing these topics, Suber writes succinctly and with clarity, applying the logic of a philosopher (which he is), the sharpness of a debater, and the cadence of a musician (speaking to his writing style). He anticipates the many sides and questions of his readers, even honest critiques, and he answers them with directness and without polemic. He clearly aims to persuade, but he also wants to bring his readers along with with him."
Updates and supplements
- Some of these notes didn't fit into the book. The book is deliberately short and I was already over my wordcount. Others were too late to put in the book. They cite publications or developments that hadn't occurred by the time my text was final in the spring of 2011.
- I'll keep adding updates and supplements as I find time.
- For now, I'm taking advantage of the digital medium by linking from words and phrases, not imitating the format of printed endnotes by spelling out URLs.
- 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. 5, I say, "Even...authors [who don't sell their work and want to share it as widely as possible]...tend to transfer their copyrights to intermediaries —publishers— who want to sell their work. As a result, users may be hampered in their research by barriers erected to serve intermediaries rather than authors." Add this note.
- At p. 7, I introduce the Budapest Open Access Initiative and its definition of OA. Add this note.
- At p. 18, I say, "This variety reminds us (to paraphrase Tim O'Reilly) that OA doesn't threaten publishing; it only threatens existing publishers who do not adapt." Add this note
- See Barry Eisler, The digital truths traditional publishers don't want to hear, The Guardian, April 29, 2013. "We have to be careful not to conflate publishing services with the entities that have traditionally provided them. The services are essential; the entities are not. This would seem a fairly obvious point, and yet as thoughtful and experienced a person as novelist James Patterson is now calling for a bailout of the legacy publishing industry, apparently because he fears that publishing is dying. No. Publishing isn't dying; it is evolving. Authors understand this, and are embracing it. Legacy publishers need to do the same."
- At p. 21, I say, "OA would benefit from the right kinds of copyright reforms...." Add these notes.
- For some reform recommendations that would re-balance copyright law, or correct some of its excesses, but without aiming to optimize copyright law for OA, see:
- Giancarlo F. Frosio et al., COMMUNIA policy recommendations, COMMUNIA, March 31, 2011.
- At p. 24, I say, "Not all plagiarists are smart, but the smart ones will not steal from OA sources indexed in every search engine....OA deters plagiarism." Add this note.
- See my article, Open Access and Quality, SPARC Open Access Newsletter, October 2, 2006. "Because OA will only reduce plagiarism by smart plagiarists, the effect may be small. And today the effect is small in any case because so little of the literature is OA. But just as we can expect good things from a pest-resistant strain of wheat, even when we've just introduced it in one field, we can expect good things from this plagiarism-resistant strain of research literature."
Chapter 2: Motivation
- At p. 30, I start subsection #2 in which I offer data showing that researchers do not have access to all the research they need. Add this note.
- See the Taylor & Francis Open Access Survey, March 2013. One survey question asked T&F authors what they thought of the statement, "Researchers already have access to most of the articles they need." Of 14,541 respondents, 38% disagreed (26%) or strongly disagreed (12%).
- At p. 30, I say, "[C]umulative price increases...forced the Harvard Library to undertake 'serious cancellation efforts' for budgetary reasons." In endnote 5 (note text at p. 182), I cite two sources. Here are seven, including the original two, in chronological order.
- At pp. 30-32, I say, "Several sub-Saharan African university libraries subscribed to zero [subscription-based scholarly journals in 2008], offering their patrons access to no conventional journals except those donated by publishers." Add this note.
- At p. 32, I say, "In 2010, Elsevier's journal division had a profit margin of 35.7 percent while ExxonMobil had only 28.1 percent." Add this note.
- See David Harvie, Geoff Lightfoot, Simon Lilley, and Kenneth Weir, What are we to do with feral publishers? Organization, August 14, 2012. Quoting from the self-archived edition: "Sage, the publisher of this journal, shows a gross profit across both books and journals of over 60 per cent. A smaller publisher, Emerald, which concentrates more on journals, is able to register a gross profit of over 75 per cent. Given that the perceived quality of the journal enables publishers to demand higher prices, and Emerald has relatively few highly ranked journals, it is likely that gross profits for journals for major publishers are even higher than the 77 per cent recorded by Emerald. We are aware of only two other industries where these sorts of return are on offer: that in illegal drugs and the delivery of university-level business education...."
- At p. 33, I say, "[Most] big deals include confidentiality clauses preventing universities from disclosing the prices they pay. The effect is to reduce bargaining and price competition even further." Add this note.
- For a contrary view, see Phil Davis, Non-Disclosure Agreements — Economic Tool or Kabuki Theatre? Scholarly Kitchen, May 29, 2012. Davis argues that signing non-disclosure agreements (NDAs) and then violating them in private can help libraries more than abolishing NDAs. But he does not provide data on how many librarians follow this practice, and he does not argue that actual non-disclosure would help libraries more than disclosure.
- At p. 33, I quote James McPherson's findings from 2003: "In 1986 [academic] libraries spent 44 percent of their budgets on books and 56 percent on journals; by 1997 the imbalance had grown to 28 percent for books and 72 percent for journals." Add this note.
- See David Harvie, Geoff, Lightfoot, Simon Lilley, and Kenneth Weir, What are we to do with feral publishers? Organization, August 14, 2012. Quoting from the self-archived edition: "Since 1999, spending on books has fallen by almost a fifth in real terms, and from almost 12 per cent of libraries' total spending to just over 8 per cent. Expenditure on serials, on the other hand, has increased sharply: from just under £70 million to over £130 million. In real terms this represents an increase of 63 per cent; journals' share of total library spending rose from 16 per cent to almost 20 per cent."
- At p. 37, I say, "Editors and referees donate the peer-review judgments to improve and validate [the] quality [of journal articles]." Add this note.
- In endnote 13 (note call at p. 37, note text at p. 184) I cite a study showing that the value of this unpaid labor, worldwide, came to about £1.9 billion/year in 2008, or about $3 billion/year. However, the URL for that citation points to a news article about the study, not the study itself. First, the URL to the news article has changed to this: http://www.timeshighereducation.co.uk/402189.article. Second, here's the full citation and proper link to the study itself: Activities, costs and funding flows in the scholarly communications system, Research Information Network, May 19, 2008. Third, here's excerpt from the study at p. 8: "We have estimated the unpaid non-cash costs of peer review undertaken in the main by academics at £1.9bn globally each year [about $3bn]. If payment were to be made in cash to meet these costs, there would be a significant transfer of funds to academics and the HE sector globally. If universities were able to capture the payments made to peer reviewers, it might be possible to make these payments neutral in terms of university budgets. But our assumption is that the majority of payments would in effect form additions to salaries. Since the estimated breakeven price of a major discipline journal would increase by 43%, the result would be an increase in the costs of subscriptions to academic institutions globally of the order of £1.4bn. The estimated increase in the costs of subscriptions to UK libraries in the HE sector would be of the order of £53m, a rise of 45% compared with their current subscription expenditure."
- At p. 37, I say, "Publishers argue that they add value to the submitted manuscripts, which is true. But other players in the game, such as authors, editors, and referees, add far more value than publishers." Add these notes.
- See my article, Balancing author and publisher rights, SPARC Open Access Newsletter, June 2, 2007: In a position paper by the ALPSP (Association of Learned and Professional Society Publishers), AAP/PSP (Association of American Publishers / Professional/Scholarly Publishing), and STM (International Association of Scientific, Technical & Medical Publishers), "publishers are arguing that because they add value to the publication, they deserve exclusive rights in it....This is neither balanced nor good for research. Publishers do add value, primarily the organization of expert volunteers who provide peer review. But no matter how many other forms of publisher-added value we recognize, and no matter how we estimate their overall benefits, there's no doubt that publishers add *less* value to the final product than authors, who do the research and writing, and funders, who pay for the original research....There are two main reasons why we find ourselves in the odd situation in which publishers get to control access even though they add less value than authors or funders. The first is that publishers demand compensation for their services, while authors and funders do not. The second is that publishers believe the only way to be compensated is to control access and charge for it. This is their business model from the age of print, when it was physically impossible to make perfect copies for a worldwide audience at zero marginal cost. Their business model depends on scarcity, which for digital texts in a networked world is always artificial scarcity. Publishers are not appealing to the principle that adding value carries the right to control access. If they were, then all contributors who added value would have to share control. Nor are they appealing to the principle that the right to control access belongs to the contributor who adds the greatest value. If they were, they'd have to make a serious argument that their contribution is more valuable than the author's or funder's. They are demanding the right to control access because they need compensation for their services and choose a business model that depends on access barriers and artificial scarcity. Even if we don't think this situation is perverse and cries out for change, at least we should notice that their position is not about balance. It's about what publishers need or want, regardless of what authors need or want. Am I saying that publishers should join authors and funders in working without direct monetary compensation? Not at all. Publishers deserve to be paid for the value they add. But it doesn't follow that they deserve to control access...."
- See Richard Smith, A great day for science, The Guardian, October 11, 2008. "Indeed, publishers arguably subtract value by Balkanising the research. Scientific research is fundamentally different from a thing, a car or a banana, in that ideas can be exchanged and increase exponentially without anybody losing. The more people have access to scientific ideas, the more new ideas." If I may paraphrase: TA publishers subtract value by blocking or diminishing network effects. Also see Smith's later piece, A bad bad week for access, The Guardian, June 28, 2012. "[OA is] taking a long time to come. The vested interests are huge, powerful, and well connected. None of the people who wrote the articles I've been accessing were paid for writing them. They are supported by public money, and publishers are making money by restricting access to their work. I argued to the Monopolies and Mergers Commission that far from adding value to the publishing process publishers are subtracting value. I stand by that, and I'm angry."
- See Glenn S. McGuigan and Robert D. Russell, The Business of Academic Publishing: A Strategic Analysis of the Academic Journal Publishing Industry and its Impact on the Future of Scholarly Publishing, E-JASL: The Electronic Journal of Academic and Special Librarianship, Winter 2008. McGuigan and Russell quote from a Deutsche Bank report ("Reed Elsevier: Moving the Supertanker," Company Focus: Global Equity Research Report, January 11, 2005, p. 36, not online): "We believe the publisher adds relatively little value to the publishing process. We are not attempting to dismiss what 7,000 people at [Reed Elsevier] do for a living. We are simply observing that if the process really were as complex, costly and value-added as the publishers protest that it is, 40% margins wouldn't be available."
- See Andrew Odlyzko, Open Access, library and publisher competition, and the evolution of general commerce, preprint, February 4, 2013. "As an author, I ﬁnd that copy editing subtracts value, by forcing me to do extra work, usually for no good reason, and often to correct what the copy editors have done." This is my own experience as well.
- At p. 40, I say, "Laid on top of this natural monopoly are several layers of artificial monopoly." Add these notes.
- In the wake of Reed Elsevier's 2001 acquisition of Harcourt, the UK Office of Fair Trading (OFT) investigated anti-competitive practices in the academic journal publishing industry. In September 2002 it issued its report, The market for scientific, technical and medical journals. In Chapter 5, the report lists "evidence that the market may not be working well", including hyperinflationary price increases (Section 5.1), higher prices at large for-profit publishers than small non-profit publishers (5.2 - 5.5), use of high-profit journals to subsidize low-profit journals (5.7), higher profit margins in STM fields than in other fields (5.9 - 5.11), and bundling (5.12 - 5.13). In Chapter 7, the OFT admits that the "evidence...gives cause for concern" but explains why it is reluctant to intervene. One reason, ironically, is that publisher price increases have been so excessive for so long that "a point may have been reached where it is in the interests of publishers, as well as customers, the level of price increases to be reduced" (7.2). Another reason, also ironic, is the incipient open-access movement (7.4 - 7.7). The report concludes that, "However, if competition fails to improve, or should additional significant information come to light, we may consider further action." Also see the OFT press release for the report. Prices have continued to rise faster than inflation since the report came out, but the OFT has not acted.
- See George Monbiot, Academic publishers make Murdoch look like a socialist, The Guardian, August 29, 2011. "Whose monopolistic practices make Walmart look like a corner shop and Rupert Murdoch a socialist?...While there are plenty of candidates, my vote goes not to the banks, the oil companies or the health insurers, but...to academic publishers....Of all corporate scams, the racket they run is most urgently in need of referral to the competition authorities....You might resent Murdoch's paywall policy, in which he charges £1 for 24 hours of access to the Times and Sunday Times. But at least in that period you can read and download as many articles as you like. Reading a single article published by one of Elsevier's journals will cost you $31.50....Murdoch pays his journalists and editors, and his companies generate much of the content they use. But the academic publishers get their articles, their peer reviewing (vetting by other researchers) and even much of their editing for free....The returns are astronomical: in the past financial year, for example, Elsevier's operating profit margin was 36%....More importantly, universities are locked into buying their products. Academic papers are published in only one place, and they have to be read by researchers trying to keep up with their subject. Demand is inelastic and competition non-existent, because different journals can't publish the same material....What we see here is pure rentier capitalism: monopolising a public resource then charging exorbitant fees to use it....In the short term, governments should refer the academic publishers to their competition watchdogs....The knowledge monopoly is as unwarranted and anachronistic as the corn laws. Let's throw off these parasitic overlords and liberate the research that belongs to us."
- 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. Add these notes.
- See Mathias Dewatripont, Victor Ginsburgh, Patrick Legros, and Alexis Walckiers, Pricing of Scientific Journals and Market Power, Journal of the European Economic Association, April-May 2007. Quoting from the self-archived edition: "We classified these journals into three categories: (a) FP journals published by for-profit publishers, (b) NFP journals managed by not-for-profit publishers (scientific societies, university presses, etc.), and NFPP journals published and distributed by FP firms on account of scientific societies....Our empirical investigation documents the following:  There exist large price differences across fields.  These differences seem to be correlated with the market power of publishers. The larger the concentration ratio, the larger the average price in a field, the price to which should be added the large difference between FPs, NFPPs and NFPs.  As a general rule, FP journals charge four times as much on average than NFP journals, for a given number of citations, age, language, number of articles, and field (or concentration ratio). Journals of scientific societies managed by FP publishers (NFPP) are twice as expensive as NFP journals (scientific societies exercise some control on prices).  Prices are positively correlated with quality measured by the number of citations they receive (even when citations are instrumented), and this effect is larger for FP journals....We take the first finding as indicative of the fact that substitution possibilities across journals are limited, allowing for a significant amount of discretion in the setting of journal prices....We confirm earlier research concerning the large price difference between FP and NFP journals, and show that prices of NFPP journals are somewhere in between. Moreover, we showthat prices increase with citation counts and we have argued that costs should tend to fall when citation counts rise. This is consistent with “value-based pricing” (à la McCabe 2002, 2004) rather than with cost-based pricing, and is again indicative of publishers’ ability to exercise discretion in price setting, because journals and papers are hardly substitutes, and researchers need all of them...."
- At pp. 40-41, I describe the sense in which librarians are more attuned to the journal pricing crisis than faculty. Add this note.
- At p. 46, I quote from Thomas Jefferson's beautiful 1813 letter to Isaac McPherson. In endnote 24 (p. 187), however, I only cite a print edition of the letter. Here's an online edition as well. Appropriately, the relevant parts of the letter are reprinted in Philip Kurland and Ralph Lerner (eds.), The Founder's Constitution, University of Chicago, 1987, as annotations to the copyright clause in Article 1, Section 8, Clause 8.
Chapter 3: Varieties
- At p. 50, I say, "Also like conventional journals, most [OA journals] are honest and some are scams." Add these notes.
- See my article, Ten challenges for open-access journals, SPARC Open Access Newsletter, October 2, 2009, especially Section 6, "Doubts about honesty": "Are OA journals a scam? Are fee-based OA journals a scam? Are some fee-based OA journals scams? Do some observers believe that some fee-based OA journals are scams? Does this belief harm OA journals as a class? Although you edit or publish OA journals yourself, you probably gave one, two, or three "yes" answers to these five questions. That's the challenge....The challenge behind this challenge is that we rarely have more than grounds for suspicion. We'll often have doubts about our doubts about a journal's honesty. In my own mind, it's important to leave space to distinguish a scam from a clumsy start-up. An entirely honest but clumsy start-up might announce titles far in advance of their content and forget to disclose the editors or owners. My recommendation is two-sided. On the other hand, don't create a hostile or unwelcoming environment for new start-ups....Don't let ours become a revolution that eats its own children....The OASPA code of conduct is a beacon here. Not only does it say the right things: disclose your peer review process, your contact info, your fees, and don't spam. It is the voice of OA publishers themselves, not critics of OA publishers. It shows that OA publishers are willing to articulate these norms and willing to enforce them. It's public self-regulation. It's available for supporters, critics, and start-ups to consult it as an emerging standard....[T]he Davis/Anderson hoax from June 2009...made all OA journals look bad....You might quarrel with the word "all". Not all OA journals charge publication fees. Not all OA journals that do charge fees take the money and fail to deliver honest peer review, or even a cursory human glance. True and true. The actual number of journals like TOISCIJ [The Open Information Science Journal] is very small. But most people who hear about the Davis/Anderson hoax don't understand the distinctions among OA journals, just as most people who heard about the 1996 Sokal hoax didn't understand the distinctions among cultural studies journals or even among humanities journals. Jumping to the conclusion that the problem lies with OA as such or publication fees as such is not justified and not fair. But that's the challenge. By contrast, TA journal scams –-like the nine fake journals published by Elsevier–- seldom trigger generalizations about the faults of TA journals as such. From long familiarity, most academics have learned to discriminate among TA journals. But most are still learning to discriminate among OA journals."
- For my suggestions on how to evaluate OA journals too new to have trustworthy reputations for high or low quality, see my online handout, How to make your own work open access (first put online October 2012, periodically updated).
- At p. 50, endnote 2 (note text at p. 187). Here I'm documenting the assertion that "The number of high-quality, high-impact OA journals has only grown" since the Thomson Scientific study in 2004.
- 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.
- At p. 55, I refer to the "invisibility" of green OA. Add these notes on the general invisibility of green OA compared to gold OA (in chronological order).
- At p. 55, I say, "Most publishing scholars will choose prestige over OA if they have to choose. The good news is that they rarely have to choose. The bad news is that few of them know that they rarely have to choose....There are two reasons why OA is compatible with prestigious publication, a gold reason and a green one...." Add this note.
- On the first part of this assertion, that publishing scholars will choose prestige over OA, see the UK Survey of Academics 2012 from Ithaka S+R, JISC, and RLUK, May 14, 2013. At pp. 69-72 the authors interpret the results presented in Figure 40: "Three factors —all closely related to the prominence and reach of the publication— were rated as very important by more than 4 in 5 respondents: that the current issues of the journal are circulated widely, are well read by academics in their field, and have a high impact factor....And other factors —the journal’s accessibility in developing nations...and the journal making its articles freely available online so there is no cost to purchase or read them— were rated as important by less than a third of respondents overall." Ithaka reported similar results in its US Faculty Survey 2009 (April 2010); see pp. 25-26 and Figure 23. I discuss the 2009 version of the results in Unanimous faculty votes, SPARC Open Access Newsletter, June 2, 2010: "I don't dispute the Ithaka findings. In fact, I've often argued myself that scholars will choose prestige in their field over OA, when they have to choose. I've only tried to make clear that they rarely have to choose [here omitting citations to four earlier articles]....[I]t's not hard to reconcile this evidence with the evidence of the unanimous faculty votes [for university green OA policies]. The Ithaka finding is about gold OA, and the unanimous faculty votes are about green OA. Green OA policies allow faculty to submit their work to the journals of their choice. One of the primary reasons why OA mandates focus on green rather than gold OA (or repositories rather than journals) is precisely to preserve this sort of academic freedom. When the high-profile journals in a field are TA, then a green OA policy allows faculty to have the best of both worlds: prestige from the journal publishing the article and OA from the institutional repository. It's not at all surprising that faculty, or faculty who understand their OA options, will take the best of both worlds when they can. That explains both the preference for high-profile journals and the support for green OA. Meantime, more and more OA journals are moving into the top cohort of prestige and impact in more and more fields, a second reason why authors rarely have to choose between prestige and OA...."
- At p. 55, I say, "If there are no prestigious OA journals in your field today, you could wait (things are changing fast), you could help out (by submitting your best work), or you could move on to green." Add this note.
- 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.
- 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.
- At p. 65, I conclude my argument that we should pursue green and gold OA simultaneously. Add these notes.
- 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.
- At pp. 72-73, I point out that most OA journals fail to offer libre OA. Add these notes.
- At p. 73, endnote 2 (note text at p. 191), I document the fact that most OA journals offer gratis but not libre OA. Add this note.
- At p. 73, I discuss the tactical mistakes of demanding "libre or nothing" when libre may be unattainable, and settling for gratis OA when libre is attainable. Add this note.
Chapter 4: Policies
- At p. 78, I start discussing OA policies at universities and funding agencies. Add this note.
- At p. 78, I say that about one-quarter of peer-reviewed journals are OA. Add these notes.
- At p. 79, I say that there are no gold OA mandates. But several have been proposed. Add these notes.
- In May 2006, Academy of Science of South Africa proposed a policy that would pay for gold OA, build the infrastructure for green OA, but stop short of mandating green OA. The original report is now offline, but I quoted relevant excerpts in a blog post at the time. "[T]he Department of Science and Technology [should take] responsibility for ensuring that Open Access initiatives are promoted to enhance the visibility of all South African research articles and to make them accessible to the entire international research community. Specifically: online, open access (“Gold route”) versions of South African research journals should be funded...." (My post praises the willingness to fund gold, but criticizes the unwillingness to mandate green.)
- 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.
- At p. 81, endnote 7 (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.
- At p. 82, I say, "Because shifting the default is enough to change behavior on a large scale, waiver options don't significantly reduce the volume of OA. At Harvard, the waiver rate is less than 5 percent and at MIT it's less than 2 percent." Add this note.
- See my article, Three principles for university open access policies, SPARC Open Access Newsletter, April 2, 2008. "Some shortfall from 100% OA is probably inevitable, like the friction in a machine, and a small shortfall is harmless. I even believe that some deliberate exceptions (as opposed to unintended failures) could be desirable, for example, to muster support to pass the policy and to accommodate unexpected circumstances. We don't have to pretend to anticipate unanticipated cases; it's enough to make OA the default....My preference is to think about which policy will bring an institution closest to 100% OA (Principle 1) without violating academic freedom (Principle 2)...."
- At p. 84, line 13. Correction. "...journal are..." should be "...journals are...."
- At p. 86, endnote 12 (note text at pp. 195-196).
- At p. 89, endnote 16 (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.
- At p. 93 endnote 20 (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.
Chapter 5: Scope
- At p. 97, I say that OA "is not limited to publicly-funded research, where the argument is almost universally accepted, but includes privately funded and unfunded research." Add these notes.
- At p. 105, endnote 4 (note text at pp. 199-200). Here I'm citing research showing that "[w]hile...fears [that making a thesis or dissertation OA will reduce the odds that a journal will publish an article length version] are sometimes justified, the evidence suggests that in most cases they are not." Add these notes.
- At pp. 114-15, I say, "We need access to medical or physical research before we can use it to tackle a cure for malaria or devise a more efficient solar panel." If I were writing the book today, I'd add a section on unmet demand for access by research-based business, industry, and manufacturing. This material doesn't belong in Section 5.5.1, on access for lay readers, because those who need access in these businesses are not lay readers but research professionals. And most of the rest of the book focuses on research professionals in the academic world, not research professionals in the non-academic world. But for now, I'll use this passage at pp. 114-115 as the hook for adding updates and supplements on research-based business, industry, and manufacturing. Add these notes.
- At p. 117, endnote 17 (note text at p. 204). Here I'm citing research showing demand among lay readers for access to cutting-edge medical research. Add these notes.
- At pp. 120-123 (and in notes 22-25 at pp. 205-206), I argue that we should want OA for our machines as much as we want OA for ourselves. Add these notes.
- See Heather Joseph, With Introduction of FASTR, Congress Picks up the Pace on Open Access Legislation, SPARC, February 14, 2013. "FASTR calls for affected agencies to require articles be provided in formats and under terms that ensure researchers have the ability to freely apply cutting-edge analysis tools and technologies to the full collection of digital articles resulting from public funding. This is a crucial step. As the volume of research information increases, with a mind-boggling 1.5 million research articles published each year, no person can realistically hope to make full sense of this information by simply accessing and reading individual articles on their own. We must enable computers as a new category of reader to help power through this volume, thousands of articles at a time, and to highlight patterns, links, and associations that would otherwise go undiscovered. Computational tools like text mining and data mining are crucial to achieving this, and have the potential to revolutionize the research process. Of course, to be able to apply these kinds of tools, users must be assigned the rights to do so freely across the full collection of articles – not just on single articles, or a on a subset of articles."
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
- At p. 133, I say, "Many publishers who oppose OA concede that OA is better for research and researchers than toll access." Add this note.
- At p. 133, endnote 2 (note text at pp. 207-208). Here I cite studies showing that the economic benefits of OA exceed the costs. Add these notes.
- At p. 134, endnote 3 (note text at 208), I cite a study showing that green and gold OA both have high benefit-cost ratios, and that the infrastructure for green OA "has largely already been built." For evidence that green OA costs less than gold OA, and that green OA policies are more cost-effective than gold OA policies, see the following.
- At pp. 134-136 I discuss the "widely varying estimates in the literature on what it costs a university to run an institutional repository." Also see Chapter 7, endnote 4 (note call at p. 136, note text at pp. 208-209). Add this note.
- At p. 136, I introduce the distinction between fee-based and no-fee OA journals. Add this note.
- At p. 139, I say, "Moreover, even within the minority of fee-based OA journals, only 12 percent of those authors end paying the fees out of pocket. Almost 90% of the time, the fees at the fee-based journals are waived or paid by sponsors on behalf of authors." Here I call note 8 (note text at p. 209-210). In that note I cite Suenje Dallmeier-Tiessen et al., Highlights from the SOAP project survey. What Scientists Think about Open Access Publishing, arXiv, January 29, 2011, Table 4. But I should have included these details from Table 4. Publication fees were paid by the author's funder 59%, by the author's institution 24%, and by the author out of pocket 12%. Also add these new notes.
- At p. 140, I say, "The false belief that most OA journals charge author-side fees also infects studies in which authors misinform survey subjects before surveying them. In effect: 'At OA journals, authors pay to be published; now let me ask you a series of questions about your attitude toward OA journals.'" Add this note.
- At p. 143, line 11. Correction. "...alone is has..." should be "...alone has...."
- At p. 143, I say, "There are reasons to think that OA journals cost less to produce than toll-access journals of the same quality...." At pp. 143-144, I spell out some of those reasons, and in note 16 (note call at p. 144, note text at p. 213), I cite several studies in support of this proposition. Add these notes.
- See Andrew Odlyzko, Open Access, library and publisher competition, and the evolution of general commerce, preprint, February 4, 2013. "Most of the arguments for Open Access are valid irrespective of the costs of publications, and are based on the public good, eﬃciency of research, and similar considerations. However, the possibility of moving to dramatically lower cost structures does make a switch to new business models much easier to perform. It has been clear for two decades that much lower costs in scholarly publishing are possible, but with some exceptions, little has been done to the bulk of the literature to move in that direction....That lower costs were possible was obvious even three decades ago, since the costs per article varied wildly between publishers. This showed that costs were not a matter of unavoidable necessity, but of market power, choice, and inertia. This has become far clearer since then. There are many cost reductions that are feasible and desirable...."
- See Richard Van Noorden, Open access: The true cost of science publishing, Nature, March 27, 2013 (corrected April 5, 2013). See esp. the fourth (unnumbered) graphic titled, "The Cost of Publishing", showing that online TA journals cost less to produce than print TA journals, and that OA journals cost less to produce than online TA journals. The graphic draws on data from John Houghton, Economic implications of alternative scholarly publishing models: Exploring the costs and benefits, JISC, 2009.
- At p. 145, lines 8-9. Correction. "...redirect money we're currently spending on peer-reviewed journals." should be "...redirect money we're currently spending on peer-reviewed toll-access journals."
- At p. 145, I mention a few benefits that OA brings even to conventional publishers: "increased readership, citations, submissions, and quality." Add these notes.
- See Péter Jacsó, Open access to scholarly full-text documents, Online Information Review, 30, 5 (2006). "...The paper shows that while open access archives are good for the majority, for publishers, editors and authors, open access articles can substantially increase their impact, and the impact factor for the source journals...."
- See Hans Lossius and Kjetil Søreide, Open access publishing: a girder in the success of the Scandinavian Journal of Trauma, Resuscitation and Emergency Medicine, Scandinavian Journal of Trauma, Resuscitation and Emergency Medicine, an editorial, January 19, 2011. "The Scandinavian Journal of Trauma, Resuscitation and Emergency Medicine (SJTREM) has entered its third year as an open access international scientific on-line journal....Submissions are steadily increasing, and the acceptance rate is per date approximately 40%....[T]he number of SJTREM papers cited in other journals are increasing....SJTREM converted into open access (OA) online publishing in July 2008...."
Chapter 8: Casualties
- At p. 151, endnote 2 (note text at p. 215). Correction. 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/. And add this note:
- At p. 152, endnote 4 (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." Add these notes.
- At p. 154, I start a section entitled, "There is evidence that green OA decreases downloads from publishers' web sites." Add this note.
- See Philip M. Davis, Public accessibility of biomedical articles from PubMed Central reduces journal readership: retrospective cohort analysis, The FASEB Journal, April 3, 2013. "A longitudinal, retrospective cohort analysis of 13,223 articles (5999 treatment, 7224 control) published in 14 society-run biomedical research journals in nutrition, experimental biology, physiology, and radiology between February 2008 and January 2011 reveals a 21.4% reduction in full-text hypertext markup language (HTML) article downloads and a 13.8% reduction in portable document format (PDF) article downloads from the journals' websites when U.S. National Institutes of Health-sponsored articles (treatment) become freely available from the PubMed Central repository. In addition, the effect of PubMed Central on reducing PDF article downloads is increasing over time, growing at a rate of 1.6% per year. There was no longitudinal effect for full-text HTML downloads." The Davis study confirms earlier studies showing reduced downloads; also like earlier studies, it does not show reduced subscriptions or increased cancellations.
- At p. 154, I say that even when users have privileges at a library subscribing to a journal containing a needed article, "authentication is a hassle." Add these notes.
- See Dorothea Salo, "My Gripe About E-Journals," Caveat Lector, November 14, 2005. The original is no longer online, but here's an excerpt from my blog post at the time: "If I follow that link [from a blog post to an interesting-looking article], I’m stuck. The journal website does not offer me a way to authenticate as belonging to MPOW [My Place Of Work]. It doesn't even tell me whether MPOW subscribes to that journal or not....To get to the article, I have to go to MPOW's website, drill down into it to find the journal in MPOW's bewildering plethora of e-resources, and finally try for the article —by which time I've typically forgotten the citation information...."
- See Richard Smith, A bad bad week for access, The Guardian, June 28, 2012. "It occurs to me that I might be able to access the article through Imperial [College London], so I ring the library....[After connecting with a helpful librarian, he learns that] it’s a four stage process for me get online access to a journal in the library. I have to be induced...to have my photograph taken and get an identity card (I couldn’t because the man was on holiday), go physically to the library with my card, and then contact the IT department to get access to the library VPN....I can’t believe that it will still be like this in 10 years' time...."
- At p. 154, I start a section entitled, "Most [conventional] publishers voluntarily permit green OA." Add this note.
- At p. 155, I say that green OA mandates typically apply only to the final version of the author's peer-reviewed manuscript, not to the published version. I also say that "[l]ibraries wanting to provide access to copyedited published editions will still have an incentive to subscribe." Add this note.
- At p. 157, I start a subsection entitled, "Some studies bear on the question of whether increased OA archiving [green OA] will increase journal cancellations." Add these notes.
- Also see the supplement at p. 152 above.
- At p. 158, endnote 9 (note text at p. 216). Correction. The URL I cite for this ALPSP report is now dead, and the ALPSP provides no redirect. Here's a new URL: http://www.alpsp.org/Ebusiness/ProductCatalog/Product.aspx?ID=26.
- At p. 158, endnote 10 (note text at p. 216). Correction. The URL I cite for Jonathan Weitzman's article is now dead. Here's a new URL: http://web.archive.org/web/20040228064824/http://www.biomedcentral.com/openaccess/archive/?page=features&issue=6.
- 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.
Chapter 9: Future
- At p. 165, I say, "Time itself has reduced the panic-induced misunderstandings of OA." Add this note.
- At p. 167, I say, "Even if we acknowledge the need for cultural change in the transition to OA —far more critical than technological change— it's easy to underestimate the cultural barriers and the time required to work through them." Add this note.
Chapter 10: Self-Help
- I restated many of the points from this chapter in a public talk at the Berkman Center, October 23, 2012. See the online handout I wrote to accompany the talk, How to make your own work open access. The handout includes active links and I update it as needed.
- 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 these notes.
- Add new entry: Students, 73, 174. See also Theses and dissertations.
- Add new entry: Terry, Sharon, 204-205
- 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