Open Access (the book)
- This is the home page for my book, Open Access (MIT Press, 2012). I use it for posting updates and supplements, and linking to reviews, translations, and OA editions. — Peter Suber.
- Suggested short URL for this page = bit.ly/oa-book
About the book
- The book was released in June 2012 and became OA in June 2013. MIT Press itself hosts four OA editions, in PDF , HTML , ePub , and Mobi (Kindle) . The same editions are available in DASH (Digital Access to Scholarship at Harvard), and other places around the web. The Internet Archive hosts 12 OA editions, adding ABBYY GZ, Daisy, DjVu, OCLC XISBN JSON, plain text, Single page processed JP2 zip, streaming, and Torrent.
- An inexpensive paperback edition remains available as well.
- The best edition for searching is the streaming edition from the Internet Archive. The search box is at the top of the page, and the hits show up as little flags on the bar at the bottom of the page, showing how many there are and roughly where they're located in the book. Clicking on a search result will jump you to the full text, in full context, including the page number for citation purposes. When you search the book for a given topic or name, don't forget to search this page of updates and supplements as well.
- The best edition for cutting and pasting depends on what you need. If you don't know where to find the passage you want to want to cut/paste, then I recommend either the MIT PDF or the Internet Archive PDF. Each displays the full-text in one large file, for searching, but each leaves hard returns in your pasted text. The same is true of the IA plain text edition. If you already know where to find the passage you want to cut/paste, then I recommend the MIT HTML edition. It puts separate chapters into separate files, but will not leave hard returns in your pasted text.
- The best edition for deep linking is also the streaming edition from the Internet Archive. Built on BookReader, it supports deep links to individual pages, and I use this edition below when I link directly to pages and chapters of the book.
- Tech note: There are 12 unpaginated pages in the front of the book, and each one needs a distinct number for the purpose of deep linking. Hence, to deep link to page k of the print edition, use k+12 rather than k in the URL. For example, the deep link to page 5 is http://archive.org/stream/9780262517638OpenAccess/9780262517638_Open_Access#page/n17/mode/2up. Because 5 + 12 = 17, the URL uses /n17/ rather than /n5/. For other examples, see my deep links in the updates and supplements below.
- In addition to deep linking to parts of the book, you can deep link to parts of this book home page.
- To deep link to the updates and supplements for a given chapter of the book, for example chapter 5, the anchor is "ch5". Just add "#" and the anchor to the URL for this web page, for example, http://cyber.law.harvard.edu/hoap/Open_Access_(the_book)#ch5. You could also use the short URL, http://bit.ly/oa-book#ch5.
- To deep link to the updates and supplements for a given page of the book, for example page 5, the anchor is "p5". Just add "#" and the anchor to the URL for this web page, for example, http://cyber.law.harvard.edu/hoap/Open_Access_(the_book)#p5. You could also use the short URL, http://bit.ly/oa-book#p5. When there's more than one top-level update for a given page, the anchors are "p5.1", "p5.2", "p5.3" and so on, in the order in which I added them. If you're unsure of the anchor for a given entry, just look at the page source code.
- Request. If you cite the book and include a URL with your citation, please use the URL for this book home page (long URL or short URL). Then your readers will know about the print and OA editions, the reviews and translations, and the updates and supplements.
- Also see my case study on this book, A living open book, in Hazel Woodward, ed., Ebooks for education: Realising the vision, Ubiquity Press, November 2014, pp. 113-118.
- Also see the home page for my newer book, Knowledge Unbound: Selected Writings on Open Access, 2002–2011, MIT Press, 2016.
- Some people looking for a history of OA come to this book. But I had other purposes in mind here and didn't include much history. I'm pulling together my contributions to the history of OA in another place.
|Choice named Open Access an Outstanding Academic Title for 2013.|
- Stephen Curry, Open Access by Peter Suber, Reciprocal Space, July 5, 2012. "There has been a fairly torrid debate over open access over the last six months (even longer for aficionados). For people who look in only occasionally it must seem like a storm that swirls around the same arguments time and again....Cutting through this noisy argument is Peter Suber’s short book on the topic, which has just been published by MIT Press. In the ten brief chapters of Open Access he works his way through the definitions, the history, the economics and the implications of changes to the landscape of research publishing. The text is thorough, clear and measured....Suber does a wholly admirable job of unpicking the complexities of open access and we’ll get there sooner if more of us are able to engage properly with the matter."
- 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."
- Aaron Tay, 5 things I learnt about Open Access after reading Crawford's & Suber's books, Musings about librarianship, January 19, 2013. "Before [reading Suber's book], I had heard about "mandates" that require all researchers at a certain institution to support open access by depositing their work in their institutional repository. But Suber's book in chapter 4, shows how simplistic this thinking is and includes material that is almost 100% new to me....There's also a great discussion on why the word "mandate" might not be the best word, and a very good section "digression on historical timing of Open Access policies" on when and why it might be the right time to try to adopt different mandate types....Suber's book is longer (but still short) and more technical....I loved it....I do wish he could have written a much longer book, as I got the sense that behind every sentence he wrote, lurks a bigger story...."
- 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. "This book is a high-quality, thoughtful, and well-written distillation of Suber’s decade-long full-time immersion in the developing open access environment....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."
- Colin Steele, Open access by Peter Suber, Australian Library Journal, September 29, 2013. "While many libraries and librarians will buy Suber’s book, it really needs to become essential reading for administrators and academics, since the system will not quickly change without their understanding of and involvement in the issues. Suber’s pithy comments may help, such as, ‘The deeper problem is that we donate time, labor, and public money to create new knowledge and then hand control over the results to businesses that believe, correctly or incorrectly, that their revenue and survival depend on limiting access to that knowledge’....Suber’s book is an excellent primer....In [the] future, the role of the library will include the facilitation of scholarly publishing to enable the widest dissemination of an institution’s intellectual output. To assist that process, Suber’s book is an essential OA vade mecum."
- Benjamin Caraco, Peter Suber, Open Access, Lectures, Les comptes rendus, October 1, 2013. Also here. "[Suber's] écrits, activités et engagements font de lui l’un des spécialistes les plus respectés et écoutés sur la question du libre accès. Dans son dernier livre, Open Access,...il propose une introduction raisonnée au libre accès dans un langage clair, alliant la pédagogie au pragmatisme." In Google's English: "[Suber's] writings, activities and commitments made him one of the most respected and listened to on the issue of open access experts. In his latest book, Open Access,...[he] offers a reasoned introduction to free access in clear language, combining pedagogy [with] pragmatism."
- Brad Reid, Peter Suber, Open Access, Computing Reviews, October 29, 2013. "Anyone in the computing, publishing, archiving, and library worlds will find [this book] informative, interesting, and nontechnical....This is a compact presentation of the interesting and important topic of OA."
- David R. Stewart, Peter Suber, Open Access, Theological Librarianship, 7, 1 (January 2014) pp. 72-74. "It is very easy to imagine a book on this urgent topic that is too complex, too long, too combative, and deathly boring. Happily, Suber’s Open Access is none of these things. He has an almost perfect instinct for what his readers are eager to know, and he frames his content in useful examples and in the context of the real-world challenges common to the academy. Likewise, he clearly has a great deal of respect for the issues libraries and librarians must contend with in these times of transition. Open Access is highly recommended for anyone who wants to understand better how academic publishing is changing, whether from a library acquisitions or a publishing perspective."
- Paul Uhlir, "Peter Suber, Open Access" (review not online), Issues in Science and Technology, Spring 2014, pp. 92-94. "Peter Suber’s book Open Access provides an easy-to-read compendium of answers to many questions and blows up some of the canards that have been flying around the ether. Suber is one of the gurus of the open access (OA) movement....In summary, Suber dispels the arguments against open publishing of publicly funded research results and makes a cogent case for the new models."
- Marian De Saxe, "Peter Suber, Open Access" (review not online), Media International Australia, February 2014. "Peter Suber...is...the ideal person to provide an insider's expert overview and summary of this form of publishing while mounting a persuasive argument in favour of the extensive advantages to be gained from adopting formal open access policies....The strength of this book lies in the clarity with which Suber highlights an extremely complex publishing and access environment....[T]his book provides a thorough grounding in the youthful history and practical state-of-play of open access publishing."
- Hubertus Kohle, Peter Suber, Open Access, Kunstform, May 2014. "Zunächst gilt es, die knappe Einführung in ein Gebiet anzuzeigen, das zu den wichtigsten, umstrittensten und gleichzeitig scheinbar nebensächlichsten des aktuellen Wissenschaftsbetriebes gehört. Der Autor, Peter Suber, gilt als einer der besten Kenner des durchaus komplexen Gegenstandes. Er liefert eine konzise, leicht in einem knappen halben Tag zu lesende Darstellung, die ganz auf den Vergleich Online- gegen Druck-Publikation abstellt."
- Gordana Ljubanović, Peter Suber, Open Access, National Library of Serbia Herald, n.d. but circa December 2014. [The review is long and positive. Unfortunately I can't pick a good excerpt to post here because the review is in Serbian, which I don't read, and because Google's English translation is weak.]
- Jean Bernatchez, Peter Suber, Qu’est-ce que l’accès ouvert? Lectures, Les comptes rendus, March 15, 2017. Bref, le livre est un incontournable pour se familiariser avec l’accès ouvert. Il est heureux qu’il soit désormais disponible en français....Peter Suber propose une synthèse du phénomène accessible (sur tous les plans) et qui rend justice aux acteurs concernés, à leurs arguments favorables ou défavorables. Il est certes un militant de la cause, mais il ne verse pas dans l’exagération. Il ne souhaite pas la disparition du modèle traditionnel de l’édition scientifique, mais il insiste néanmoins sur la promotion du bien commun, avant tout, et sur sa traduction dans le monde de l’édition scientifique par l’accès ouvert.
- Pablo Markin, The Continued Relevance of Peter Suber’s (2012) Book on Open Access, Open Science, June 18, 2017. Few formats fit better Marshall MacLuhan’s dictum that “the medium is the message” than Open Access does. Peter Suber’s book Open Access published in 2012 by the MIT Press intends to be an authoritative source of reference on the notion of open access, its historical roots, its variegated models, policies proffered in its support, its possible scope, its copyright implications, its economic foundations and consequent limitations....As this book has been translated into multiple other languages, such as Chinese Polish and French, it has become a standard source for arguments in favor and against Open Access....Despite the elapsed time from the date of its publication, the digital supplement for this book provides further materials in respect to the effect Open Access is likely to have....[I]n the intervening years this publication has hardly lost any of its relevance as a sustained and up-to-date compendium of thoroughly researched scholarship on Open Access and reasons for its emergence.
Unless noted otherwise, all these translations are OA or have OA editions.
- Arabic, QScience division of the Qatar Foundation, October 2015. Thanks to Tahseen Al-Khateeb for doing the translation, and to Christopher Leonard, Alwaleed Alkhaja, Fakhri Saleh, Jameela Jassim for their editorial help. There is both a print and OA edition.
- Chinese, China Ocean Press, January 2015. Thanks to Li Wu for doing the translation. Unfortunately China Ocean Press does not plan to issue an OA edition.
- French, OpenEdition Press, October 2016. Thanks to Marie Lebert for doing the translation, and to Helen Tomlinson and Solenne Louis for revising it. There is both a print and OA edition.
- Polish, University of Warsaw press, October 13, 2014. Thanks to the Interdyscyplinarne Centrum Modelowania Matematycznego i Komputerowego Uniwersytetu Warszawskiego (Interdisciplinary Center for Mathematical and Computational Modelling at the University of Warsaw), the Platforma Otwartej Nauki (Open Science Platform), Wydawnictwa Uniwersytetu Warszawskiego (University of Warsaw Press), and the team of translators: Roman Bogacewicz, Maciej Chojnowski, Wojciech Fenrich, Joanna Kielan, Andrzej Leśniak, Krzysztof Siewicz, Michał Starczewski, and Jakub Szprot.
- Spanish, Universidad Autónoma del Estado de México, August 17, 2015. Thanks to Remedios Melero for doing the translation, and to Indrajit Banerjee, Dominique Babini, and Eduardo Aguado for their lengthy new introduction. There is both a print and OA edition.
- Forthcoming. Translations are under way into Czech, German, Greek, Japanese, Romanian, and Russian. I'll link to them here as they become available. I welcome other translations.
About the updates and supplements
- I add new updates and supplements in real time, as I find new evidence. I consider these supplements to be continuously updated "public footnotes" for the assertions they annotate. For more on this concept, see my 2012 article, The Idea of an Open-Access Evidence Rack.
- To find corrections, as opposed to other kinds of updates and supplements, search this page for the word "correction". All the hits except for this entry will be corrections.
Text, 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.
- The first print edition used an "all rights reserved" statement and a CC-BY license icon, which caused confusion. The digital editions clarified the book's copyright status, and the clarification appeared in future print editions. Basically, the book incorporates some material that 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 on the first print edition applied only to new parts of the book, and even those parts shifted to a CC-BY-NC license on June 17, 2013, one year after the book was published.
- Note that all the updates and supplements are CC-BY, and have been from the start.
|Read the OA text:|
Updates and supplements for the Preface:
- At p. ix, I say, "OA benefits nonresearchers by accelerating research and all the goods that depend on research, such as new medicines, useful technologies, solved problems, informed decisions, improved policies, and beautiful understanding." Add this note.
- On OA for improved policies: A 2014 study from the University of Queensland's Institute for Social Science Research showed that Australian policy-makers agreed that academic research was useful for policy-making. For example, 39% agreed that "Academic research alters or transforms how policy makers think about issues and choices" and 42% agreed that "Academic research is used to shape and inform the design and implementation of policies and programs." Interestingly, surveyed academics thought these propositions were true more often than policy-makers themselves. Most relevant here, however, is the result cited by the authors in a blog post summarizing the study (June 13, 2014): "The main reasons provided by policy-makers for the [relatively] low uptake of academic research were the perception that academic research is not available when needed, is difficult to access, or is not being translated in a user-friendly form for policy-makers." It's hard to avoid the conclusion that academic research would be even more useful for policy-making if it were OA.
- More on OA for improved policies: See Marialuisa Taddia, Good Citations, April 16, 2018. Law professors have always influenced law and policy, and today open access is amplifying their influence. "More academic journals are making their content freely available online through ‘open access’, making the dissemination of scholarly articles quicker and wider. [Jon Yorke, law professor at Birmingham City University] points to an academic paper he co-authored in 2013 on the EU and the abolition of the death penalty as ‘the most downloaded article in the Pace International Law Review’, with over 2,000 downloads by governments, institutions and non-governmental organisations. ‘With open access of journals globally, policy-makers can have at their fingertips instant access to the quality of material which they are required to [use to] form intricate arguments. It definitely helps them and they do listen to legal academics in that way,’ Yorke adds...."
- More on OA for improved policies: See Fernando Hoces de la Guardia, Sean Grant, and Edward Miguel, Why We Need Open Policy Analysis, a preprint from he Berkeley Initiative for Transparency in the Social Sciences (BITSS), April 5, 2018. "In this paper we have argued that policy analysis can address the threat of its own credibility crisis by adopting solutions from the open science movement."
Chapter 1: What Is Open Access?
|Read the OA text:|
Updates and supplements for Chapter 1:
- For updates to Section 1 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- 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. 15, I refer to "the well-documented phenomenon that OA articles are cited more often than non-OA articles...and that journals converting to OA see a rise in their submissions and citation impact." See the documentation in note 6 at pp. 178-179. Add these notes.
- For a comprehensive annotated bibliography of studies up to 2013, including studies that do and do not support the OA citation advantage, see Steve Hitchcock, The effect of open access and downloads ('hits') on citation impact: a bibliography of studies, OpCit Project. SPARC Europe continued Hitchcock's bibliography in its Open Access Citation Advantage Service, but stopped updating it in 2016.
- See Mirjam Curno and Stephanie Oeben, Scientific Excellence at Scale: Open Access journals have a clear citation advantage over subscription journals, Frontiers, July 11, 2018.
- See Dan Pollock and Ann Michael, Evaluating Quality in Open Access Journals, DeltaThink, August 2018. "While the proportion of fully OA journals is growing over time, the proportion of higher-performing fully OA journals [measured by journal impact factor] is growing faster than the average performers....The data show that an increasing number of fully OA publications are attaining higher impact factors at faster rates than their subscription and hybrid counterparts....There is nothing preventing an OA journal from being 'high quality', and based on this data, a fully OA journal’s Impact Factor now appears more likely to be above average for its field."
- See Yang Li et al., Will open access increase journal CiteScores? An empirical investigation over multiple disciplines, PLoS ONE, August 30, 2018. "This paper empirically studies the effect of Open Access on journal CiteScores. We have found that the general effect is positive but not uniform across different types of journals. In particular, we investigate two types of heterogeneous treatment effect: (1) the differential treatment effect among journals grouped by academic field, publisher, and tier; and (2) differential treatment effects of Open Access as a function of propensity to be treated. The results are robust to a number of sensitivity checks and falsification tests. Our findings shed new light on Open Access effect on journals and can help stakeholders of journals in the decision of adopting the Open Access policy." Also see the summary in the LSE Impact Blog on October 30, 2018, emphasizing the effects of a journal flip or conversion to OA.
- For evidence that OA increases submissions, see Chapter 8, endnote 11 (note call at p. 159, note text at pp. 216-217). Also see the updates and supplements for p. 145, below.
- At p. 17, I say, "In general, scholarly journals don’t pay editors...either. In general, editors...are paid salaries by universities to free them, like authors, to donate their time and labor to ensure the quality of new work appearing in scholarly journals." Add this note.
- Journal editors acknowledge this point, and even emphasize it as part of an argument for universities (if not publishers) to better reward their important work. See Alan Rauch, Ecce Emendator: The Cost of Knowledge for Scholarly Editors, Chronicle of Higher Education, January 23, 2014. "[S]cholarly publishing is still a big business. University libraries make enormous outlays of cash to ensure that the faculty of each department have access to the very best and most recent research. But editors see none of that money. And their labor to support the mechanism is, more often than not, completely unrewarded and unsupported."
- At p. 18, I say, "Academic publishers are not monolithic...." Add this note.
- See Library Loon, Pyrrhic publishers, Gavia Libraria, June 10, 2011: "[T]he Loon must note that “publishers” is not a monolith. “Publishers” are not suing Georgia State; SAGE, Oxford, and Cambridge are. However. The vast bulk of toll-access publishers have consistently ranged themselves behind mendacious attacks on open access, behind Washington lobbyists fighting against the NIH Public Access Policy and policies like it, behind these lawsuits, behind anti-ETD whisper campaigns. Only a paltry few have any excuse whatever to say “we’re different from the monolith” " (emphases in original).
- 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
- At p. 21, I say, "OA would benefit from the right kinds of copyright reforms...." Add these notes.
- Idea #6 above (letting authors make their works green OA a certain number of months after publication regardless of the contracts they may have signed with publishers) has been proposed several times in Germany, for example in 2006 (from Gerd Hansen), in 2008 (from the German federal government), in 2011 (from the Social Democratic Party), and in 2013 (from the German federal government). This idea is now law in Germany, and took effect on January 1, 2014.
- In January 2014, a similar bill was introduced in the Netherlands, and became law on July 1, 2015. For more details on the Dutch bill, see the January 2014 defense of it by its leading proponent, Sander Dekker, State Secretary for Education, Culture and Science.
- In April 2014, Belgian law gave authors of research articles the unwaivable right to make their articles OA regardless of the contracts they might have signed with publishers, provided that the underlying research was at least half-funded by public funds, and provided that the OA is at least six months after publication in the natural sciences, and at least 12 months after publication in the humanities and social sciences. See Section 6, Article 29 (p. 68691) of the Belgisch Staatsblad for September 5, 2018.
- In December 2015, a similar bill was introduced to the French Council of Ministers. For the adopted version, see Article 30 of Loi pour une république numérique, October 7, 2016.
- In February 2016 the Associazione italiana per la promozione della scienza aperta (AISA) began drafting a similar bill for the Italian parliament.
- In March 2016, the Parlamentarische Gruppe Digitale Nachhaltigkeit (Parldigi) proposed a similar amendment to German copyright law.
- On August 1, 2017, a related law took effect in Austria. See §86 of the Bundesrecht konsolidiert: Gesamte Rechtsvorschrift für Universitätsgesetz 2002, Fassung vom 30.09.2018. University regulations may require that students submit a copy of an accepted dissertation to the university for publication, and may require that this publication (in Google's English) "must be made electronically in a publicly accessible repository." (Thanks to Daniel Hürlimann.)
- 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.
- Rep. Jim Jordan et al., Republican Study Committee Policy Brief: Three Myths about Copyright Law and Where to Start to Fix it, Republican Study Committee, November 16, 2012. I'm linking to a copy of the report because the original was taken down one day after it was released.
- Principles and Proposals for Copyright Reform, from the Authors Alliance, May 21, 2014.
- Also see Re:Create, a coalition of "innovators, creators and consumers united for balanced copyright," launched April 27, 2015.
- Also see Albert N. Greco, The Scholarly Publishing Community Should Support Changes to US Copyright Law (paywalled), Journal of Scholarly Publishing, January 2018.
- 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 these notes.
- See this October 2016 interview with Matt Hodgkinson, Head of Research Integrity at Hindawi. He's seen a rising number of plagiarism cases since he entered academic publishing in 2003. Some of this growth is due to "an industrialization of misconduct." But some is due to better detection, thanks to OA. "Some of this is down to technology and openness enabling detection of poor practices – such as better plagiarism detection and more content being online and thus easily searchable, particularly when it is not hiding behind a paywall."
- For more on OA and plagiarism, including real-time updates, see the items tagged with oa.plagiarism by the Open Access Tracking Project.
- At p. 24, I say, "[M]ost toll-access publishers are already adapting, by allowing author-initiated OA, providing some OA themselves, or experimenting with OA." Add this note.
- See ALPSP report indicates publisher health but OA concerns, Research Information, October 24, 2013. "In 2008 half of publishers had some form of open access but this had risen to two thirds by 2012. Most publishers surveyed now have a hybrid model in place across all titles (i.e. author has option to pay for their article to be open access). However take up of the hybrid model by authors is low, 1 per cent of articles published. There has also been a large increase in publishers offering open access after an embargo period (normally 12 months)." I do not have access to the report itself, or I would quote from it directly.
- At p. 29, I say, "For four decades, subscription prices have risen significantly faster than inflation and significantly faster than library budgets." Add this note.
- The EBSCO Serials Price Projection Report for 2019 (published in September 2018) confirms that both trends continue. "Library budget growth remains a top concern, generally lagging behind annual inflation in journal pricing in spite of the annual price increase caps applied to many e-journal packages....Though overall budgets in the U.S. academic library market show modest improvements, the budget for serials materials generally have not kept pace with annual journal price inflation."
Chapter 2: Motivation
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Updates and supplements for Chapter 2:
- For updates to Section 2.1 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- At p. 29, I say, "For four decades, subscription prices have risen significantly faster than inflation and significantly faster than library budgets." Add these notes.
- Correction. In endnote 2 at p. 181, I link to a graphic from the ARL report, Monograph and Serial Expenditures in ARL Libraries, 1986-2004. The URL I used for that graphic is now dead. Here is a working URL from the Internet Archive's Wayback Machine, http://web.archive.org/web/20121030025208/http://www.arl.org/bm~doc/monser04.pdf.
- Correction. In the same endnote, I cite Stephen Bosch, Kittie Henderson, & Heather Klusendorf, "Periodicals Price Survey 2011: Under Pressure, Times Are Changing," Library Journal, April 14, 2011. The URL I used for that article is now dead, and LJ provides no redirect. Here's a working URL, http://lj.libraryjournal.com/2011/04/publishing/periodicals-price-survey-2011-under-pressure-times-are-changing/.
- Data from journal aggregator EBSCO show that subscription prices from 2009 to 2013, averaged across all fields, rose by more than 20%.
- At p. 29, I say, "Subscription prices have risen about twice as fast as the price of healthcare...." Add this note.
- Correction. In endnote 2 at p. 181, I link to the Scholarly Communication FAQ from the University of California's Office of Systemwide Library Planning, February 29, 2003. The URL I used for that FAQ is now dead. Here is a working URL from the Internet Archive's Wayback Machine, http://web.archive.org/web/20070630080017/http://www.ucop.edu/copyright/2003-02-27/faq.html. On this point, the FAQ itself cites Mary Case, "Capitalizing on Competition: The Economic Underpinnings of SPARC, Association of Research Libraries, n.d., at this URL, http://www.arl.org/sparc/core/index.asp?page=f41. But that URL is now dead as well. Here is a working URL from SPARC, http://www.sparc.arl.org/resources/papers-guides/case-capitalizing. Case cites the Bureau of Labor Statistics 2000.
- 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. See endnotes 3 and 4 at p. 182. Add these notes.
- Also see Jennifer Howard, JSTOR Tests Free, Read-Only Access to Some Articles, Chronicle of Higher Education, January 13, 2012: "Every year, JSTOR said, it turns away almost 150 million individual attempts [from readers without subscriptions] to gain access to articles."
- Also see Ross Housewright, Roger C. Schonfeld, and Kate Wulfson, UK Survey of Academics 2012, Ithaka S+R, May 16, 2013. From pp. 38-39: "[A]bout half of all respondents —slightly more in the arts and humanities than in other fields— strongly agreed that they “often would like to use journal articles that are not in [their] library’s print or digital collections.” And only slightly more than a third strongly agreed that they can “almost always get satisfactory access” to needed journal articles that are not in their library collections, a pattern that holds across disciplinary groupings. When asked how they gain access to needed materials that their institution’s library does not directly provide, more than two-thirds of our respondents indicated that they “often” or “occasionally” simply give up." From p. 42: "Almost 60% of academics at non-RLUK [Research Library UK] institutions strongly agreed that they would often “like to use journal articles that are not in my library’s print or digital collections,” compared with less than 40% of academics at RLUK institutions."
- Also 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 eight, including the original two, in chronological order.
- A letter from Sidney Verba, the Harvard University Librarian, January 1, 2004. "As of January 1 , the University is eliminating a number of journals published by Elsevier....Harvard libraries will fulfill requests for articles from these journals through interlibrary loan and third-party document delivery services. The decision to eliminate these journals was...driven not only by current financial realities, but also —and perhaps more importantly— by the need to reassert control over our collections and to encourage new models for research publication at Harvard....Of greatest concern to the Digital Acquisitions Committee and to the University Library Council was the lack of any [Elsevier] option by which Harvard could prune its holdings and reduce its level of spending. Libraries wishing to cancel subscriptions could do so, but only by incurring steeply increased fees that obliterate any potential savings —while Elsevier's revenues continued to rise....Bundling has created an artificial environment that sustains journals that might otherwise not be viable on their own....The combined costs of Elsevier subscriptions far outrun even its closest competitors, while prudent cancellation decisions lead only to steeper fees. Like so many other institutions, Harvard's collections have become hostage to this situation. Declining the bundled agreement and intentionally reducing our outlay for Elsevier titles will ultimately give us the ability to respond to the marketplace unfettered by such artificial constraints."
- 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.
- The profit margin for STM publishing at Elsevier rose to 39% in 2013. See the Reed Elsevier Annual Reports and Financial Statements 2013. (Thanks to Heather Morrison.)
- The profit margin for academic publishing at Informa, which owns Taylor & Francis, was 35% in 2013. See Informa's Full Year Results for the Year Ended 31 December 2013. (Thanks to Heather Morrison.)
- 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.
- Also see Elsevier's David Tempest defend confidentiality clauses in answer to a question at Oxford University, April 2013. Watch the video or read this portion of the transcript: "Stephen Curry...: I’m glad David Tempest is so interested in librarians being able to make costs transparent to their users, because at my university, Imperial College, my chief librarian can not tell me how much she pays for Elsevier journals because she’s bound by a confidentiality clause. Would you like to address that? [Loud applause for the question] David Tempest: Well, indeed there are confidentiality clauses inherent in the system, in our Freedom Collections. The Freedom Collections do give a lot of choice and there is a lot of discount in there to the librarians. And the use, and the cost per use has been dropping dramatically, year on year. And so we have to ensure that, in order to have fair competition between different countries, that we have this level of confidentiality to make that work. Otherwise everybody would drive down, drive down, drive drive drive, and that would mean that ... [The last part is drowned in the laughter of the audience.]"
- For another kind of defense of confidentiality clauses, 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 Robert Darnton, The New Age of the Book, New York Review of Books, March 18, 1999: "Until recently, monographs used to account for at least half the acquisitions budget of most research libraries. In 1996-1997, however, 78 percent of the acquisitions budget in the library of the University of Illinois at Chicago went for periodicals, 21 percent for monographs. Syracuse University’s library spent 75 percent on periodicals and 17 percent on monographs. The library at the University of Hawaii spent 84 percent on periodicals and 12 percent on monographs. (The numbers don’t add up to 100 percent, since there are other categories of expenditures.) The decline in the purchase of monographs among large research libraries over the last ten years comes to 23 percent."
- At p. 33, I say, "[T]he journal crisis, concentrated in the sciences, has precipitated a monograph crisis, concentrated in the humanities." Add this note.
- For evidence that the effect on book purchases was delayed, especially for university-press books, see Elisabeth A. Jones and Paul N. Courant, Killer serials: Did electronic journals really destroy the university press? Proceedings of the American Society for Information Science and Technology 50, 1 (2013) pp. 1-11. "Our first research question asked whether there had actually been a downturn in library purchasing of university press books since 1985, and if so, whether that decline was temporally coincident with the sharp increases in serials prices that began in the 1980s and 1990s....[Q]uite intriguingly, the answer to the second question would appear to be a decisive no: only one library in the sample – the very smallest, at Barry University – shows a consistent decline in purchasing from university presses extending back to the 1980s. To the extent that any of the other libraries cut their purchasing from the sample presses, they tended to do so later, mainly around either 2000 or 2007 – dates which, likely not coincidentally, mark the beginnings of the two most recent major U.S. economic downturns....Libraries’ overall monographic purchasing may have gone flat in the 1980s and declined after 2000, but based on these data, the same cannot be said for their purchasing of university press monographs. Cutting those purchases truly does seem to have been a strategy of last resort, likely linked more closely to the overall economic conditions of the past decade than to the rising serials costs which came much earlier...."
- At p. 34, I say, "Some publishers don't allow libraries to share digital texts by interlibrary loan and instead require them to make printouts, scan the printouts, and lend the scans." Add this note.
- See Eric Hellman, eBook ILL is silly. The reason why will bore you, Go To Hellman, March 22, 2014. "But if a library can do digital ILL, what is to prevent libraries from sharing a resource so widely that only one library in the world needs to buy the item? The solution that e-journal publishers typically use is the "print-and-ship" solution. In other words, a library is allowed to send articles from a subscribed journal only if they print it out first. The transaction is thus identical to what it was back in the dark ages of ink and paper and xerox machines. For publishers, the friction of print-and-ship discourages libraries from canceling subscriptions; besides, the big-deal model of bundling many subscriptions into one has been much more advantageous for publishers than the document-delivery model that ILL competes with....Printing article PDFs and mailing them is a stretch, but mapping this model into ebooks is a farther stretch...."
- 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 an 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, Archived postprints should identify themselves, SPARC Open Access Newsletter, May 2, 2005: "If you tuned in late, I acknowledge that journals add value. It's a myth that OA wants to dispense with these valuable services....The true bone of contention is not whether these services are valuable but [whether they are worth what we pay for them, and] how to pay for the most essential services without creating access barriers for readers."
- OA publishers can add the same value as TA publishers. Hence, even if the added value is high, it's not an argument for TA over OA. It's merely an argument for publishing over non-publishing. Moreover, after adding value, OA publishers do not subtract value, as conventional publishers do.
- See Richard Smith, The business of academic publishing: “a catastrophe”, The Lancet, October 6, 2018. "As I watched Paywall: The Business of Scholarship, I was taken back 30 years to when I thought for the first time about the business aspects of academic publishing. I was an assistant editor at the BMJ, and the editor asked me to join a meeting with a group of rheumatologists who wanted a share in the Annals of Rheumatic Diseases, a journal we owned. “We do the research published in the journal”, said one of the rheumatologists. “We do the peer review, we edit the journal, we read it, and we store it in our libraries. What do you do?” “Tell them what we do”, said the editor to me. I was at a complete loss."
- At p. 39, I say, "Most scientific research is funded by public agencies using public money, conducted and written up by researchers working at public institutions and paid with public money, and then peer-reviewed by faculty at public institutions and paid with public money. Even when researchers and peer reviewers work at private universities, their institutions are subsidized by publicly funded tax exemptions and tax-deductible donations. Most toll-access journal subscriptions are purchased by public institutions and paid with taxpayer money." Add this note.
- See Stuart Shieber, Public underwriting of research and open access, The Occasional Pamphlet, April 4, 2014. "The penetration of the notion of “taxpayer-funded research”, of “research their tax dollars have paid for”, is far greater than you might think....[A]ll university research benefits from the social contract with taxpayers that makes universities tax-exempt....It’s difficult to estimate the size of this form of support to universities. The best estimate I’ve seen puts it at something like $50 billion per year for the income tax exemption. That’s more than the NIH, NSF, and (hardly worth mentioning) the NEH put together. It’s on par with the total non-defense federal R&D funding....All university research, not just the grant-funded research, benefits from the taxpayer underwriting implicit in the tax exemption social contract. It would make sense then, in return, for taxpayers to require open access to all university research in return for continued tax-exempt status...."
- At p. 39, I say, "Every scholarly journal is a natural mini-monopoly in the sense that no other journal publishes the same articles." Add this note.
- See Peter Suber, "Preface" to Solomon, Laakso, and Björk, Converting Scholarly Journals to Open Access: A Review of Approaches and Experiences, Harvard Library, June 2016, p. 3, where I argue that this natural mini-monopoly is one reason (among other reasons) to favor flipping toll-access journals to OA over launching new OA journals. "[W]ithout question, new OA journals advance the primary goal of providing OA to more and more research. But they don't save libraries money, an important secondary goal. They don't save libraries money unless they justify the cancellation of existing subscription journals. But because different journals publish different articles, journals are not fungible, and free journals do not directly displace priced journals, or justify their cancellation, even when they exist in the same field and at the same level of quality. By contrast, every converted OA journal removes a subscription line from the budget of every subscribing library, without removing access to the journal's research. This frees up money for other good purposes, including the growth and sustainability of OA itself. It helps solve the inescapable background problem that the money needed to support high-quality OA in every field is largely tied up in subscriptions to conventional, non-OA journals. The alternative is to find significant new money for OA, which is as unlikely as it is unnecessary."
- At p. 40, I say, "Laid on top of this natural monopoly are several layers of artificial monopoly." Add these notes.
- 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.
- Some societies join the commercial giants in lobbying against OA policies, and argue that OA is intrinsically harmful to society publishers, or that OA harms small nonprofit publishers as such. I make many concessions to society publishers, but I cannot make this one. Since 2007, Caroline Sutton and I have maintained a list of society publishers of OA journals. In 2007 we found 425 societies publishing 450 full (non-hybrid) OA journals. In 2011 we published a second edition of our list showing 530 societies publishing 616 full OA journals. After publishing our 2011 results, we posted our list to a Google spreadsheet open to community editing. As of February 24, 2014, it showed 848 societies publishing 801 full (non-hybrid) OA journals.
- At p. 40, I say, "Large conventional publishers spend some of the money they extract from libraries on marketing and “content protection” measures that benefit publishers far more than users." Add this note.
- At that point in the text I cite Roger Clarke, The cost profiles of alternative approaches to journal publishing, First Monday, 2007. But I should also have added a quotation from his piece. "For–profit publishers have higher cost–profiles than not–for–profit associations, because of the additional functions that they perform, in particular their much greater investment in branding, customer relationship management and content protection. The difference is particularly marked in the case of eJournals — a computed per–article cost of US$3,400 compared with US$730. This point is sufficiently significant that further examination is warranted...."
- 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
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Updates and supplements for Chapter 3:
- For updates to Section 3 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- 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 2008). Similarly, see Jeffrey Beall's list of predatory publishers, list of predatory journals, and blog devoted to "critical analysis" of OA publishing. Update: Note that Beall took his list offline on January 15, 2017.
- At p. 50, I say, "As early as 2004, Thomson Scientific found that 'in each of the broad subject areas studied there was at least one OA title that ranked at or near the top of its field' in citation impact." Add this note.
- Correction. I cite my source in endnote 2 at p. 187: Marie E. McVeigh, "Open Access Journals in the ISI Citation Databases: Analysis of Impact Factors and Citation Patterns Thomson Scientific," Thomson Scientific, October 2004. The source is correct, but the URL I used for the source is incorrect in two ways. First it uses ".eom" where it should use ".com". Second, even when corrected, the link is now dead. Here is a working link from the Internet Archive's Wayback Machine, http://web.archive.org/web/20090806233855/http://science.thomsonreuters.com/m/pdfs/openaccesscitations2.pdf.
- 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.
- 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 pp. 57-58, I say, "Because most publishers and journals already give blanket permission for green OA, the burden is on authors to take advantage of it....The reason the spontaneous rate [of self-archiving] is lower than the nudged, assisted, and mandated rate is rarely opposition to OA itself. Almost always it's unfamiliarity with green OA (belief that all OA is gold OA), misunderstanding of green OA (belief that it violates copyright, bypasses peer review, or forecloses the possibility of publishing in a venerable journal), and fear that it is time-consuming. In this sense, author unfamiliarity and misunderstanding are greater obstacles to OA than actual opposition, whether from authors or publishers." Add this note.
- See Mikael Laakso, Green open access policies of scholarly journal publishers: a study of what, when, and where self-archiving is allowed, Scientometrics, forthcoming (c. May 2014). "Of the 1,1 million articles included in the analysis, 80.4% could be uploaded [with publisher permission] either as an accepted manuscript or publisher version to an institutional or subject repository after one year of publication....With previous studies suggesting realized green OA to be around 12% of total annual articles the results highlight the substantial unused potential for green OA....The threshold for making a green OA copy available voluntarily is in such cases low, but what remains to be aligned is author attitude."
- 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. 58, I say, "author unfamiliarity and misunderstanding are greater obstacles to OA than actual opposition." I already have some documentation on author unfamiliarity and misunderstanding in endnote 9 (note text at p. 189). Add these notes.
- At p. 65, I conclude my argument that we should pursue green and gold OA simultaneously. Add these notes.
- See my July 2013 interview with Richard Poynder: "I still believe that green and gold are complementary, and that in the name of good strategy we should take full advantage of each. From this perspective, my chief disappointment with the RCUK policy is that it doesn’t come close to taking full advantage of green."
- 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, I say, "I’ve argued that it’s unfair to criticize the OA movement for disparaging gratis OA (merely on the ground that its public statements call for libre) or neglecting libre OA (merely on the ground that most of its success stories are gratis). But two related criticisms would be more just. First, demanding libre or nothing where libre is currently unattainable makes the perfect the enemy of the good. Fortunately, this tactical mistake is rare. Second, settling for gratis where libre is attainable makes the good a substitute for the better. Unfortunately, this tactical mistake is common, as we see from the majority of OA journals that stop at gratis when they could easily offer libre." Add this note.
- 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 third bullet of recommendation 2.1: "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."
- 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
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Updates and supplements for Chapter 4:
- For updates to Section 4 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- 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 January 2011 talk, J.J. Engelen, Chairman of the Governing Board of the primary public research funder in the Netherlands (Nederlandse Organisatie voor Wetenschappelijk Onderzoek, or NWO), described his preference for a future gold OA policy. "These goals of scientic publishing are best reached by means of an open access publishing business model....Open access publishing should become a requirement for publicly funded research. In order to make open access publishing a success, the enthusiastic cooperation of the professional publishing companies active on the scientific market is highly desirable." (The talk was published later in 2011.)
- 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 p. 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.
- At p. 84, line 13. Correction. "...journal are..." should be "...journals are...." (This correction applies only to the first print edition and the earliest digital editions.)
- At p. 86, I say, "For detailed recommendations on OA policy provisions, and specific arguments for them, see my 2009 analysis of policy options for funding agencies and universities." Add this note.
- Also see Stuart Shieber and Peter Suber (eds.), Good practices for university open-access policies, Harvard Open Access Project, first released October 2012 and regularly updated since.
- At p. 86, endnote 12 (note text at pp. 195-196).
- For a regularly updated list of institutions recommending that committees evaluating candidates for promotion, tenure, funding, awards, or other purposes should only review articles on deposit in the institutional repository, see the entry on Internal use of deposited versions in Stuart Shieber and Peter Suber (eds.), Good practices for university open-access policies, Harvard Open Access Project, first released October 2012.
- At p. 86, I start the subsection titled, Digression on the Word "Mandate". Add this note.
- Wikipedia formerly had an article Open-access policies, which now redirects to the article Open-access mandate. This is a mistake, like redirecting from cats to tigers. It's a mistake even if you like tigers better than other cats. OA mandates are a proper subset of OA policies, just as tigers are a proper subset of cats, and Wikipedia needs a place to discuss non-mandatory policies. The article recognizes this, and covers non-mandatory policies alongside mandatory ones. But by covering them all in the article on mandates, it further stretches the term "mandate" and needlessly undermines attempts to make OA terminology less ambiguous. Moreover, it gives needless new ammunition to those critics and opponents whose objections are based more on the connotations of the word "mandate" than on the the actual provisions of mandatory OA policies.
- 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
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Updates and supplements for Chapter 5:
- For updates to Section 5 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- 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. 100, I say, "The purpose of OA is to remove access barriers, not quality filters. Today many peer-reviewed OA journals are recognized for their excellence...." Add this note.
- Gabriel M. Peterson, Characteristics of retracted open access biomedical literature: A bibliographic analysis, Journal of the American Society for Information Science and Technology, December 2013: "Open access literature does not differ from fee-for-access literature in terms of impact factor, detection of error, or change in postretraction citation rates. Literature found in the PubMed Central Open Access subset provides detailed information about the nature of the anomaly more often than less accessible works. Open access literature appears to be of similar reliability and integrity as the population of biomedical literature in general, with the added value of being more forthcoming about the nature of errors when they are identified."
- At p. 103, I say, "Open access is a kind of access, not a kind of editorial policy." Add this note.
- See Peter Suber, Open Access Overview (original 2004, frequently updated since then), in which I elaborate. "OA is a kind of access, not a kind of business model, license, or content.  OA is not a kind of business model. There are many business models compatible with OA, i.e many ways to pay the bills so that readers can reach the content without charge.... OA is not a kind of license. There are many licenses compatible with OA, i.e. many ways to remove permission barriers for users and let them know what they may and may not do with the content.... OA is not a kind of content. Every kind of digital content can be OA, from texts and data to software, audio, video, and multi-media. The OA movement focuses on peer-reviewed research articles and their preprints. While most of these are just text, a growing number integrate text with images, data, and executable code. OA can also apply to non-scholarly content, like music, movies, and novels, even if these are not the focus of most OA activists."
- At p. 104, I argue that the quality of a journal does not depend on its price or medium. "We see this whenever toll-access journals convert to OA without changing their methods or personnel." Add this note.
- See Peter Suber, "Preface" to Solomon, Laakso, and Björk, Converting Scholarly Journals to Open Access: A Review of Approaches and Experiences, Harvard Library, June 2016, p. 3, where I give several reasons to favor flipping toll-access journals to OA over launching new OA journals. Here's the last of them: "New journals start from scratch, while converted journals bring their readership, authors, editors, referees, quality, standards, and reputations with them. This matters because all new journals – OA and non-OA alike – start with a credibility problem aggravated by a vicious circle. They need a good reputation in order to attract good submissions, and they need good submissions in order to build a good reputation. Many born-OA journals have broken this vicious circle through high quality, hard work, and persistence, just as many other high-quality born-OA journals have failed to break it. But converted-OA journals bypass the vicious circle and don't need to break it. Their credibility is continuous and uninterrupted. Conversion brings uncommon benefits that make it desirable even in fields where there is no shortage of high-quality, born-OA journals."
- At p. 105, endnote 4 (note text at pp. 199-200), I cite 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.
- See Marisa Ramirez and five co-authors, Do Open Access Electronic Theses and Dissertations Diminish Publishing Opportunities in the Sciences? College and Research Libraries, forthcoming, January 2015: "Though previous studies have shown that journal editors are willing to consider manuscripts derived from electronic theses and dissertations (ETDs), faculty advisors and graduate students continue to raise concerns that online discoverability of ETDs negatively impact future opportunities to publish those findings. The current study investigated science journal policies on open access ETDs and found that more than half of the science journals contacted (51.4%) reported that manuscripts derived from openly accessible ETDs are welcome for submission and an additional 29.1% would accept revised ETDs under certain conditions."
- See Gail Macmillan, Jordan Hill, and Karen DePauw, ETDs and Open Access: Understanding the Digital Landscape of Open Access in the Graduate School Arena, October 21, 2013. From slide 5: "Only 3 universities in the US reported that they do not make any of their ETDs publicly available. 1/3 of the US respondents and over half of the I’nat’l institutions make their entire ETD collections publicly available." From slide 9: "Few institutions embargo ETDs permanently; only one in each category [US and non-US]. One year or more seems to be the norm worldwide." From slide 13: "89% [of surveyed publishers in the social sciences and humanities] will accept manuscripts based on ETDs." From slide 14: "Journal editors are more enthusiastic about receiving submissions based on ETDs than are university presses. Two-thirds of the journals “always welcome” submissions from ETDs, while one-tenth of the university presses do. This is not to say the university presses discourage submissions based on ETDs. Nearly half consider ETD-based submissions on a case-by-case basis."
- See Marisa Ramirez and four co-authors, Do Open Access Electronic Theses and Dissertations Diminish Publishing Opportunities in the Social Sciences and Humanities?, College and Research Libraries, July 2013: "The findings indicate that manuscripts that are revisions of openly accessible ETDs are always welcome for submission or considered on a case-by-case basis by 82.8 percent of journal editors and 53.7 percent of university press directors polled....Only 4.5 percent of all respondents indicated that they would never consider an ETD for publication...."
- At p. 107, I say, "Royalties on most scholarly monographs range between zero and meager." Add this note.
- See Things You Should Know Before Publishing a Book, Chronicle of Higher Education, July 29, 2014, Rachel Toor's interview with Elizabeth Knoll, an editor for 17 years at Harvard University Press. Quoting Knoll: "Sad to say, it's extremely unlikely that your book is going to make you or your publisher any real money....You can probably make more money having a first-class yard sale."
- At pp. 109-110, endnotes 8-10 (note texts at pp. 200-202), I cite research showing that OA to full-text books sometimes increases the net sales of print editions. Add these notes.
- See Caroline Wintersgill, Open Access, Open Minds: Who should be the academic gatekeepers? politics|upside|down, October 11, 2013: "[M]y experience at Bloomsbury is that average commercial sales of ‘open’ titles are about 10% ahead of comparable ‘non-open’ titles."
- See Brianna L. Schofield et al., Understanding and Negotiating Book Publication Contracts, Authors Alliance, October 2018, pp. 61-62. "Eric von Hippel, an economist at MIT..., studies the economics of distributed and open innovation. Professor von Hippel wanted to "walk the walk" and make his previously published book, Sources of Innovation, freely available to the public online. So, he struck a deal with his publisher: If hard copy sales declined after he made his book freely available online, he would pay the publisher $1,000 as compensation for lost sales. If sales went up, the publisher would keep the profits and allow him to keep posting the free version. Happily, sales of printed copies went up, so he was able to keep the free version available online. Based on the success of this experiment, von Hippel was able to negotiate a non-exclusive license with his publisher for his next two books, Democratizing Innovation and Free Innovation."
- For real-time news and comment on this question, follow the oa.books.sales tag at the Open Access Tracking Project.
- 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.
- Also see the updates and supplements for p. 133, below, on studies showing that the economic benefits of OA exceed the costs. Some of the studies cited there focus on benefits to non-academic sectors of the economy.
- At p. 115, I say, "We need access to an earthquake prediction before we can use it to plan emergency responses." Also see endnote 13 at p. 202. Add this note.
- There are many other examples of predictions with life-saving potential locked behind paywalls. For example, see Bernice Dahn et al., Yes, We We Warned About Ebola, New York Times, April 7, 2015. "The conventional wisdom among public health authorities is that the Ebola virus, which killed at least 10,000 people in Liberia, Sierra Leone and Guinea, was a new phenomenon, not seen in West Africa before 2013....The conventional wisdom is wrong. We were stunned recently when we stumbled across an article by European researchers in Annals of Virology [actually, Annales de l'Institut Pasteur / Virologie]: 'The results seem to indicate that Liberia has to be included in the Ebola virus endemic zone....[M]edical personnel in Liberian health centers should be aware of the possibility that they may come across active cases.' ...What triggered our dismay was not the words, but when they were written: The paper was published in 1982." The journal, published by Elsevier, is not OA. For a general study of this kind of access failure in health research, disproportionately harming the global south, see Elise Smith et al., Knowledge sharing in global health research – the impact, uptake and cost of open access to scholarly literature, Health Research Policy and Systems, August 2017.
- 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.
- See Who needs access? You need access! — a web site from the @ccess working group collecting the stories of people who need research access. Some are research professionals, and some are lay readers. Currently (March 2013) the site categories include Artists, Developing world, Fossil preparators, Independent Researchers, Nurses, Patient Groups, Patients, Small businesses, Teachers, and Translators.
- See Susannah Fox and Maeve Duggan, One in four people seeking health information online have hit a pay wall, Pew Internet & American Life Project, January 15, 2013: "Twenty-six percent of internet users who look online for health information say they have been asked to pay for access to something they wanted to see online....Of those who have been asked to pay, just 2% say they did so. Fully 83% of those who hit a pay wall say they tried to find the same information somewhere else. Thirteen percent of those who hit a pay wall say they just gave up. Men, women, people of all ages and education levels were equally likely to report hitting a pay wall when looking for health information. Respondents living in lower-income households were significantly more likely than their wealthier counterparts to say they gave up at that point."
- At p. 118, I say, "OA benefits researchers directly and benefits everyone else indirectly by benefiting researchers." (Also see p. 26.) Add this note.
- I elaborated on this point in a 2012 interview, Digital access to knowledge: Research chat with Harvard’s Peter Suber, Journalists' Resource, October 16, 2012: "Even if you aren’t interested in reading peer-reviewed research, you benefit from open access. You depend on the medicines, the machines, and the policies made by people who make use of research and in that sense who make use of access to research. So, either you benefit directly, as a researcher, or indirectly, as a consumer of the fruits of research. The only people who oppose open access are some academic publishers, not even all of them. And even academic publishers want to accelerate research insofar as they benefit as individuals from advances in better medicines, longer batteries, cleaner energy, or more-informed decision-making."
- 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.
- Some sites offer free online access to certain texts, perhaps even under an open license, but only to users who register first. Sometimes registration is even free of charge. The Budapest, Bethesda, and Berlin statements are silent on registration barriers. But registration barriers are unquestionably access barriers (regardless of how we decide the terminological question whether they are barriers to "open access"). Many researchers object to them as irritants, delays, and invasions of privacy. The chief objection may be that registration requirements block machine access, which is a prerequisite to many of the concrete benefits of access for human users, such as search indexing and text mining.
- At pp. 121-122, I argue that the growing body of OA literature is a "spectacular inducement" to develop software optimized for OA, and conversely, that useful tools optimized for OA "create powerful incentives for authors and publishers to open up their work." Add this note.
- A good example of powerful software optimized for OA, and currently forced to exclude paywalled literature, is Iris.ai, an AI-enhanced search engine for research. From a June 16, 2018 interview with Maria Ritola, co-founder of Iris.ai: "When asked about challenges that the team have experienced so far, Ms Ritola was quick to point out the issue of paywalls. She explained that the Iris.ai system is connected to about 130 million open access papers – almost all those available to the public – but that many useful documents are still hidden behind systems that require users to pay for access." For an update on the Iris.ai use of OA literature, see How AI technology can tame the scientific literature, Nature, September 10, 2018. Iris.ai is trained on a database of 134 million OA papers, in part because they're OA.
Chapter 6: Copyright
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Updates and supplements for Chapter 6:
- For updates to Section 6 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- 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...." (This correction applies only to the first print edition and the earliest digital editions.)
Chapter 7: Economics
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Updates and supplements for Chapter 7:
- For updates to Section 7 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- 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.
- See Paul Basken, First Milestone Is Claimed on Long Road to Tracking Science’s Economic Value, Chronicle of Higher Education, April 3, 2014. "The National Institutes of Health generates [$2.21] in economic growth for every taxpayer dollar it receives. 'That is an over-100-percent return on the investment,' [Rep. Rosa DeLauro of Connecticut] assured her legislative colleagues...." Neither Basken nor the source he summarizes breaks out the portion of the economic impact attributable to the NIH open-access policy.
- See Neil Beagrie and John Houghton, The Value and Impact of Data Sharing and Curation: A synthesis of three recent studies of UK research data centres, JISC, March 2014. From p. 17: "A very significant increase in research efficiency was reported by users as a result of their using the data centres. These estimated efficiency gains ranged from 2 and up to more than 20 times the costs."
- Also see the updates and supplements for pp. 114-115, above, on the benefits of OA to research-based manufacturing and other non-academic sectors of the economy.
- At p. 134, endnote 3 (note text at p. 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 these notes.
- See David Nicholas and five co-authors, Have digital repositories come of age? The views of library directors, Webology, December 2013. This study provides recent data on the range of repository costs, staffing, and services.
- At p. 136, I introduce the distinction between fee-based and no-fee OA journals. Add this note.
- At pp. 138-139, I say, "By contrast [with the majority of OA journals, which charge no author-side fees] most toll-access journals (75 percent) do charge author-side fees." In endnote 8 (note text at p. 209) I cite and link to an ALPSP report for this fact. But the URL is now dead, and the ALPSP provides no redirect. Correction. Here's a new URL: http://www.alpsp.org/Reports-Publications/facts-about-open-access-2005/125582.
- 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 pp. 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.
- When interpreting data on authors who pay publication fees out of pocket, remember that only about 30% of peer-reviewed OA journals overall charge publication fees (Chapter 7, endnote 8, pp. pp. 209-210). Hence, the SOAP result that only 12% of authors at fee-based OA journals paid the fees out of pocket really means that only about 12% of authors at 30% of OA journals overall, or only about 3.6% of authors at OA journals overall, paid fees out of pocket. We should also remember that about 50% of the articles published in peer-reviewed OA journals are published in fee-based journals (see the updates and supplements for p. 170, below). Hence, if we count by article rather than by journal, then the SOAP result that only 12% of authors at fee-based OA journals paid the fees out of pocket really means that only about 12% of authors of 50% of the articles published by OA journals overall, or only about 6% of authors of articles published by OA journals overall, paid fees out of pocket. I summarize and extend some of this analysis in a blog post from February 1, 2013.
- 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. 141, I say, "[M]ost hybrid journals don't make this promise [to reduce subscription prices in proportion to author uptake of the OA option] and 'double dip' by charging subscription fees and publication fees for the same OA articles." Add this note.
- See Michelle Brook, The Sheer Scale of Hybrid Journal Publishing, Open Access Working Group, March 24, 2014. "With recently published data from the Wellcome Trust, the scale of this double charging has become much more clear. In Oct 2012 – Sept 2013, academics spent £3.88 million to publish articles in journals with immediate online access – of which £3.17 million (82 % of costs, 74 % of papers) was paying for publications that Universities would then be charged again for....Only £0.70 million of the charity’s £3.88m didn’t have any form of double charging." Also see the open data provided by the Wellcome Trust to support this calculation.
- At p. 141, I say, "SHERPA list[s] more than 90 publishers offering hybrid OA options, including all of the largest publishers." Add this note.
- In endnote 12 (note text at p. 211), I point to the SHERPA list at this URL http://www.sherpa.ac.uk/romeo/PaidOA.html. But that URL is now dead (December 2013). Correction: please replace it with this URL, http://www.sherpa.ac.uk/romeo/PaidOA.php. BTW, there are now many more than 90 publishers on the list, but they are unnumbered and must be counted manually.
- At p. 141, I say, "The average rate of uptake for the OA option at hybrid journals is just 2 percent." Add this note
- A 2013 report from the Association of Learned and Professional Society Publishers (ALPSP) showed that the rate of uptake was only 1%. See the summary of the report in Research Information, October 24, 2013. "However take up of the hybrid model by authors is low, 1 per cent of articles published." I do not have access to the report itself, or I would quote from it directly.
- See Suenje Dallmeier-Tiessen et al., First results of the SOAP project. Open access publishing in 2010, arXiv, October 4, 2010. Table 4 summarizes the data on the uptake of the hybrid OA option. After Table 4, the authors conclude: "The measured open access share in hybrid journals is found to be around 2%."
- At p. 143, line 11. Correction. "...alone is has..." should be "...alone has...." (This correction applies only to the first print edition and the earliest digital editions.)
- 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.
- 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." (This correction applies only to the first print edition and the earliest digital editions.)
- At p. 145, I mention a few benefits that OA brings even to conventional publishers: "increased readership, citations, submissions, and quality." Add these notes.
- For the evidence on increased citations, see Chapter 1, endnote 6 (note call at p. 15, note text at pp. 178-179). Also see the updates and supplements for p. 15, above.
- In 2007, Molecular Diversity Preservation International (MDPI) converted four hybrid OA journals to full OA. In 2009 it presented evidence that the conversion boosted the impact factors of all four journals.
- In the 2008 Journal Citation Reports, Thomson Reuters reported that five OA journals had the highest impact factors in their fields: (1) PLoS Neglected Tropical Diseases, first out of 15 in Tropical Medicine, (2) PLoS Pathogens, first out of 25 in Parasitology, (3) PLoS Computational Biology, first out of 28 in Mathematical & Computational Biology, (4) PLoS Biology, first out of 71 in Biology, and (5) Journal of Medical Internet Research, first out of 20 in Medical Informatics.
- Also see Stefan Busch, The careers of converts – how a transfer to BioMed Central affects the Impact Factors of established journals, BioMed Central Blog, January 15, 2014. "At BioMed Central we’ve seen a strong effect on citations and the Impact Factors of publications that move to BioMed Central when they are already well-established titles listed in the Journals Citation Report....Since Acta Veterinaria Scandinavica converted to open access publication seven years ago, its Impact Factor has increased about four-fold, and as a consequence the journal has moved into the top third of the veterinary sciences category in Web of Science....The following graphs for Journal of Experimental & Clinical Cancer Research, Journal of Cardiovascular Magnetic Resonance, and Genetics Selection Evolution all convey a similar message: the first Impact Factor that is based solely on open access articles (vertical line) represents a significant rise – a doubling and more – compared to the years before the transfer to BioMed Central...." Also see BMC says IFs of its society journals increased after move to OA, Research Information, August 6, 2014, and The Impact Factor of journals converting from subscription to open access, BioMed Central blog, November 6, 2014.
- At p. 146, I refer to one kind of transition to OA as "a peaceful revolution based on negotiation, consent, and self-interest." (See also p. 13 and p. 147.) Add this note.
- For an analysis building on this concept in the the larger domain of copyright reform, see Nicolas Suzor, Free-Riding, Cooperation, and 'Peaceful Revolutions' in Copyright, Harvard Journal of Law and Technology, forthcoming, 2014.
Chapter 8: Casualties
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Updates and supplements for Chapter 8:
- For updates to Section 8 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- 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.
- Susan Hezlet, Access and Accessibility for the London Mathematical Society Journals, Notices of the AMS, March 2014. At p. 279, Hezlet reports that the Annals of Mathematics lost subscriptions when it provided green OA to the published versions of its articles. But she concludes "from the scant evidence we have" that there is no danger in allowing green OA to preprints or to the authors' accepted manuscripts.
- Also see Philip M. Davis, Public accessibility of biomedical articles from PubMed Central reduces journal readership—retrospective cohort analysis, FASEB Journal, July 2013. "A longitudinal, retrospective cohort analysis of 13,223 articles...published in 14 society-run biomedical research journals...between February 2008 and January 2011 reveals a 21.4% reduction in full-text...HTML...article downloads and a 13.8% reduction in...PDF...article downloads from the journals' websites when U.S. National Institutes of Health-sponsored articles...become freely available from the PubMed Central repository....The relationship between free access and subscription cancellation behavior is not well understood." Davis predicts that increased downloads will lead to increased cancellations, but cites no evidence that they have already done so.
- Also see Martin Frank, Open but Not Free — Publishing in the 21st Century, New England Journal of Medicine, February 28, 2013. "A longitudinal cohort analysis of 12 subscription-based research journals in physiology revealed that PubMed Central drew approximately 14% of full-text article downloads away from journal websites when articles deposited in PubMed Central became freely available to the public 12 months after publication [citing an October 2012 study by Phil Davis]. Similarly, the open-access journals from the Public Library of Science (PLOS) had a 22% loss of traffic to PubMed Central [citing a November 2013 blog post by Kent Anderson] The persistent reduction in full-text downloads from journal websites contributes to a loss of the advertising revenue that partially offsets the cost of publication." Although increased cancellations would support Frank's thesis more than decreased downloads, he cites no evidence of increased cancellations.
- One study from a major publisher trade association shows that green OA actually increases downloads from publisher web sites. See the June 2012 final report of the PEER (Publishing and the Ecology of European Research) study, at p. 11: "A Randomised Controlled Trial indicates that making preprints visible in PEER repositories is associated with more traffic to the publisher sites at the aggregate level, but this varies by publisher and subject. Overall, PEER is associated with a significant, if relatively modest, increase in publisher downloads, in the confidence range 7.5% to 15.5%" (emphasis added). Also see the June 2012 PEER Usage Study at pp. 3-4: "This report reviews the findings of an experiment to measure the effect of exposing early article versions in repositories on downloads of the version of record at various publishers’ web sites....There was a positive effect on publisher downloads in all four broad subject areas, but this was statistically significant only in the life (20.3%, CI95 13.1% to 27.9%) and physical sciences (13.1%, CI95 5.2% to 21.6%). The uplift in medicine and in the social sciences and humanities could be a chance effect. Larger publishers experienced a strong uplift (12.6%, CI95 8.3% to 17.0%), while the increase for smaller publishers was much weaker (3.3%) and could be a chance effect (p=0.53)....For three publishers, the uplift was both statistically significant (at the 5% level) and in double figures." Note that the PEER study was coordinated by the International Association of Science, Technical and Medical Publishers, and funded by the EC eContentplus programme.
- Other evidence suggests that while levels of green OA continue to rise, and library budgets to fall, the fortunes of conventional journal publishing continue to rise. See the financial analysis of the academic publishing industry by Simba Information, January 6, 2012. "Amid budgetary pressures and a slow economic recovery, the combined markets for science, technical and medical (STM) publishing grew 3.4% to $21.1 billion in 2011."
- Also see the updates and supplements for p. 157, below, on the state of evidence that increased levels of green OA or shortened embargoes on green OA cause journal cancellations.
- At p. 154, I start a section entitled, "There is evidence that green OA decreases downloads from publishers' web sites." Add this note.
- At p. 154, I say that even when users have privileges at a library which subscribes to a needed journal, "authentication is a hassle." Add these notes.
- See Peter Suber, The Database Paradox, Library Hi Tech, 10, 4 (1992) pp. 51-57. "Students already know that they can pursue any topics that interest them by using the library. But some barrier of intimidation prevents many from doing so, even when their curiosity is intense. We may hope that some of the advances in information technology will tear down this barrier and open the doors of knowledge to those who have in effect been waiting outside with longing. I suspect that the evolution of this technology is in the direction of ever greater user-friendliness. However, I can imagine serious ergonomic mistakes that would make the barrier even higher than it is now."
- 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, I learn 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...."
- See John Bohannon, Who's downloading pirated papers? Everyone, Science Magazine, April 28, 2016. "Some critics of Sci-Hub have complained that many users can access the same papers through their libraries but turn to Sci-Hub instead —for convenience rather than necessity. The data provide some support for that claim. The United States is the fifth largest downloader after Russia, and a quarter of the Sci-Hub requests for papers came from the 34 members of the Organization for Economic Cooperation and Development, the wealthiest nations with, supposedly, the best journal access. In fact, some of the most intense use of Sci-Hub appears to be happening on the campuses of U.S. and European universities....Even for journals to which the university has access, Sci-Hub is becoming the go-to resource, says Gil Forsyth, another GWU engineering Ph.D. student. “If I do a search on Google Scholar and there’s no immediate PDF link, I have to click through to ‘Check Access through GWU’ and then it’s hit or miss,” he says. “If I put [the paper’s title or DOI] into Sci-Hub, it will just work.” He says that Elsevier publishes the journals that he has had the most trouble accessing...."
- See Benjamin Kaube, Scientists should be solving problems, not struggling to access journals, The Guardian, May 21, 2018. "My research suggests it takes 15 clicks on average [to find and access a journal article], multiple logins into different repositories, dead links, and waiting on endless redirects. The scale of this problem is huge: 10 million researchers around the world access 2.5bn journal articles online each year....I've calculated that research output equivalent to around 11,500 academics is lost each year....[M]ainstream digital content [is] just a click away, but to access a scientific article you have to navigate institutional login pages, subscriptions, and paywalls. If you're off campus, that's another nightmare all together. The high cost and inconvenience associated with accessing research papers has given rise to unauthorised alternatives, including a 'dark web' of crowdsourced journal articles."
- 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, some on increased levels of green OA and some on shortened embargoes on green OA.
- Also see Cameron Neylon, The Embargoes Don’t Work: The British Academy provides the best evidence yet, PLoS Opens, May 14, 2014. "The conclusion I draw from these two sets of data [presented in a July 2013 study by the British Academy] is that there is no value in longer embargoes for H&SS [Humanities and Social Sciences] – indeed that there is no need for embargoes at all. H&SS cluster with physics and maths, disciplines where substantial, and importantly concentrated, portions of the literature have been available prior to publication for over 20 years and where there is no evidence of a systemic failure in the running of sustainable publishing businesses....Why do institutions continue to subscribe to journals when the ‘same’ content is available online for free? This would only be the case if factors others than online availability of manuscripts drove subscription decisions. This might be the case if other factors, such as overall cost, scholar demand or access to the version of record were more important factors. This is exactly what the survey data in the BA report shows supporting the view that short embargoes are not a risk to the sustainability of subscription journals in H&SS. The report itself however comes to the opposite conclusion. It does this by creating a narrative of increasing risk based on potential loss, that things might change in the future, particularly if the degree of access rises, that the survey can only ask about the current environment and hypothetical decisions....For me decades of the ArXiv and Astronomy Data Service and seven years of mandated deposit to Pubmed Central with no evidence of linked subscription cancellations seem like strong evidence. Remember that the report states that physics and maths are similar to H&SS. But increasingly I’m feeling this whole argument is rather sterile...."
- Also see Peter Suber, What doesn't justify longer embargoes on publicly-funded research, January 11, 2014. "Phil Davis has shown that the half-life of research articles differs from field to field. The half-life of an article here is 'the median age of articles downloaded from a publisher's website.' See his study, Journal Usage Half-Life, November 25, 2013....Unfortunately [Davis'] data are not being carefully used by publishers who want to lengthen the permissible embargoes in federal OA policies. Note that Davis himself does not make the careless arguments I'm about to describe. There are two problems in arguing that the Davis study somehow entails that OA policies should permit longer embargoes -- longer embargoes in general or longer embargoes in fields with longer article half-lives. 1. The first problem is that the Davis [study] doesn't show that short embargoes cause cancellations. This is a larger problem than it may appear to be. Publishers have been claiming for years that short embargoes cause cancellations, but there is no evidence to support the claim....2. But the second problem is larger and more important than the first. Suppose we had good data showing that short embargoes caused cancellations, or that a uniform embargo across fields caused more cancellations in the fields with longer article half-lives. It still would not follow that policies should permit longer embargoes. To get to that conclusion we'd have to add premises. These premises are often assumed, but they are remarkably weak once made explicit for examination. We'd have to add the premise that public policies should maximize publisher revenue before maximizing public access to publicly-funded research. Or we'd have to add the premise that policies should put publisher interests ahead of researcher interests. I reject these premises. Research funding agencies, especially public funding agencies, ought to reject them as well...."
- Also see the January 2014 press release from Taylor & Francis, Taylor & Francis extend green Open access zero embargo pilot scheme for Library & Information science authors until end 2014. "Routledge, Taylor & Francis Group, has been running a Library & Information Science Author Rights pilot scheme that allows authors to post their peer-reviewed Author Accepted Manuscript (AAM) to an institutional repository immediately after publication. The two year pilot scheme, first introduced in 2011, has now been extended for at least a further year....As part of the pilot, a survey was conducted....Having the option to upload their work to a repository directly after publication is very important to these authors: more than 2/3 of respondents rated the ability to upload their work to repositories at 8, 9, or 10 out of 10, with the vast majority saying they feel strongly that authors should have this right. The implementation of the author rights pilot saw the number of respondents who would recommend Routledge as a publishing outlet increase by 34% while the average willingness to publish with Routledge on a scale of 1 to 10 increased from 6.6 to 8.3. The shift in response from Library and Information Science professionals towards Routledge’s publishing program before and after the launch of this initiative practically demonstrates the enthusiasm for immediate upload of non-embargoed content within the library community...."
- Also see the September 2013 report of the UK House of Commons Select Committee on Business, Innovation and Skills. After reviewing the state of the evidence, the committee concluded that "there is no available evidence base to indicate that short or even zero embargoes cause cancellation of subscriptions" (Paragraph 44). "We note the absence of evidence that short embargo periods harm subscription publishers" (Paragraph 49).
- See Harvard's January 2012 submission to the White House Office of Science and Technology Policy: "[I]f publishers believe that short embargo periods would harm them, they should release data showing it. Researchers, research institutions, and taxpayers cannot be expected to prove the negative, or to prove the harmlessness of short embargoes. Until there is data to show harm, we must act in the public interest and provide early or immediate public access to publicly funded research. If publishers provide data showing substantive harm, then it may become appropriate to consider what kind of compromise with the public interest might be justified."
- Also see the updates and supplements for p. 152, above, on the state of evidence that rising levels of green OA cause journal cancellations.
- 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. 159-160, I say, "Some publishers fear that rising levels of green OA will not only trigger toll-access journal cancellations but also increase pressure to convert to gold OA. (Likewise, some OA activists hope for this outcome.)" Add these notes.
- See Peter Suber, Will open access undermine peer review? SPARC Open Access Newsletter, September 2, 2007. "[Let's] focus on the weakness [of the publisher] claim that if rising OA does cut journal revenue, then the journals will fold up and stop providing peer review. It's much more likely that, if they could no longer sustain themselves on subscription revenue, they would convert to OA and continue providing peer review. Survival as an OA journal would be vastly preferable to folding up, and most would try it at least experimentally before turning out the lights and closing the door....At such a dinosaur moment, some will adapt rather than die, and most will at least try. We know that adaptation is possible because many are already adapting. Every year since 2005 the number of TA journals converting to OA has increased significantly. Publishers don't like this scenario because OA journals have lower profit margins and "unproved" business models. But it's one thing to argue that TA journals might be forced to adapt to a changing world and survive in a less profitable form, and quite another to argue that they will not survive at all. However, publisher lobbyists prefer the Chicken Little objection and invariably fail to draw this distinction. The objection that business models for OA journals are not proven should be taken seriously, and can be seriously answered. Indeed, taking it seriously puts a different color on lobbyist predictions that publishers would fold up their TA journals rather than convert to OA. Suddenly that kind of dramatic ending looks less like the result of inexorable causation than a business judgment made in advance of the facts."
- See Peter Suber, "Preface" to Solomon, Laakso, and Björk, Converting Scholarly Journals to Open Access: A Review of Approaches and Experiences, Harvard Library, June 2016, p. 5. "If you’re an academic librarian, you probably cancel journals every year for budgetary reasons alone. You're in a good position to tell journals that you cancel with regret, not because they are atrocious (the atrocious ones were cancelled long ago), but because the collision between limited library budgets and fast-rising journal prices makes painful choices unavoidable. You're in a good position to make the case that converting to OA is better than cancellation, for everyone, and that new evidence shows that converting to OA can preserve or enhance readership, submissions, quality, and financial sustainability."
- At p. 160, I quote Derk Haank, then-CEO of Springer: "In 2008 when Springer bought BioMed Central and became the world’s largest OA publisher, Haank said: “[W]e see open access publishing as a sustainable part of STM publishing, and not an ideological crusade.” " Add this note.
- Five years later, in September 2013, Springer said in a press release, "Open access is now at the heart of Springer's strategy,...with BioMed Central delivering an increasingly substantial fraction of the company’s growth...."
- At p. 160, I say, "OA publishing might be more sustainable than TA publishing, as toll-access prices and the volume of research both grow faster than library budgets." Add these notes.
- Correction. Change "TA" to "toll-access". (I used the abbreviation in my manuscript, but MIT Press wanted to minimize the use of abbreviations; I spelled out most instances of the abbreviation but missed this one.)
- See Donald Force and Elizabeth Shaffer, Records Management and Peer-Reviewed Journals: An Assessment: Final Report, April 2013. Force and Shaffer ask whether records information management (RIM) professionals in North America should launch a peer-reviewed journal and, if so, whether the journal should be OA. They look carefully at many relevant factors, including the results of a survey of RIM professionals. Deliberations of this kind often focus with fear on the supposed unsustainability of OA journals. But this one takes a notably different turn: "The contemporary journal publishing landscape is currently undergoing reflection and change in the face of evolving technologies and the ever-increasing call for open access to information and publicly funded research. Any new journal entering the current landscape would need to consider the sustainability of a non-open access model."
- 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 Digital access to knowledge: Research chat with Harvard’s Peter Suber, Journalists' Resource, October 16, 2012: "Open access would be justified even if it did cause some harm to academic publishers. But it’s not causing harm. The Congressional witnesses effectively admit it. [See p. 152 and the updates and supplements for p. 152.]...Academic publishers fear that the harm is coming. Maybe it is, and maybe it isn’t. The case for open access is based on real needs, and the case against it is based on conjecture and fear. Let’s adopt an OA policy for publicly-funded research and see what happens. One day, if publishers can show evidence that the policy harms them, then we can look at the evidence and decide, in light of that evidence, what’s in the public interest."
- I also elaborated this point in Tectonic movements toward OA in the UK and Europe, SPARC Open Access Newsletter, September 2, 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."
- Here's how I put a similar point in an article in the SPARC Open Access Newsletter for December 2010: "I've often praised SCOAP3 as our best hope for a peaceful revolution in the shift from peer-reviewed TA journals to peer-reviewed OA journals. However, SCOAP3 is not the only strategy for that transition. It's just the only one that builds on negotiation, cooperation, and stakeholder consent. The chief alternative to the SCOAP3 strategy is to grow the volume of green OA --whether or not it triggers a shift from TA journals to gold OA. I support both strongly, with equal emphasis on "both" and "strongly". I don't want either to be the only arrow in our quiver. I strongly support green OA mandates and other methods for growing the volume of green OA, and I support them regardless of their effect on publishers....The goal of green OA is not to force subscription journals to convert to gold OA. The goal is to share knowledge and accelerate research. The idea is not for researchers and research institutions to harm or transform publishers, but for researchers and research institutions to act in their own interests. However, the effect could create economic risk for publishers, and hence create economic pressures to avert that risk. Instead of a frictionless flip, brought about by consent and self-interest, the all-green strategy could bring about a high-friction flip, preceded by hostile lobbying and disinformation and followed by resentment and acrimony....But as I said, I support the green strategy regardless of its effect on publishers. I'll take this revolution with or without friction. I support green OA because it delivers more OA more quickly and less expensively than gold OA. It needn't wait for journals to decide to convert or for new born-OA journal to learn the ropes. It isn't limited to new work submitted to OA journals, but can cover new work published anywhere. However, for the narrow goal of increasing gold OA, as opposed to broader goal of increasing OA overall, I support the win-win logic of SCOAP3. Both strategies may bring about the same volume of OA in the end. But if it works, the win-win logic will convert publishers and journals with consent and cooperation. As I argued in SOAN last year, 'Peaceful revolution through negotiation and self-interest is more amicable and potentially more productive than adaptation forced by falling asteroids.' "
Chapter 9: Future
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Updates and supplements for Chapter 9:
- For updates to Section 9 in general, including real-time updates, see the following tag libraries from the Open Access Tracking Project:
- At p. 165, I say, "Generational change is on the side of OA." Add these notes.
- See Generation Gap in Authors' Open Access Views and Experience, Reveals Wiley Survey, October 8, 2013: "Early career professionals were 6% more likely to publish under a Creative Commons (CC) license than more mature researchers, while over half of respondents above the age of 55 preferred not to use CC licenses of any kind." For more detail, see slides 17-18 in the accompanying slide deck.
- See We’re embracing change say young researchers in latest analysis, Taylor & Francis, October 2014: "Those in the 20-29 year old age group were most likely to agree that open access journals have a larger readership than subscription journals (58% either strongly agreed or agreed with this statement) and that open access journals are more heavily cited. Across all other age groups agreement with these statements decreased with age, with just 15% of those who were 70 or over expressing the same level of agreement on citations. Authors in their sixties and seventies offered the opposite opinion to those in their twenties, being the least likely to agree that open access publication increased readership and citations, and most likely to agree with the statement that there is ‘no fundamental benefit to open access’."
- 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 these notes.
- The University of Liege adopted an OA mandate in 2007, and was the first institution anywhere to limit assessment of candidates for promotion, tenure, and awards to works on deposit in the repository. Ten years later, Bernard Rentier, the rector who recommended the policy, reported that it had succeeded in changing the culture at the institution and was no longer necessary. "And 10 years after the launch of the 'ORBi' archive [and its accompanying OA policy], the pressure of the mandate is no longer needed. Everyone has understood the incomparable advantages of the tool in terms of article visibility and on many other aspects. Closing the archive would cause an internal revolution!"
Chapter 10: Self-Help
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Updates and supplements for Chapter 10:
- I restated many of the points from this chapter in a public talk at the Berkman Klein 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.
- See Walt Crawford, Open Access Journals 2014, DOAJ subset, April 2015, showing that 64% of the articles published in OA journals in 2013 were published in fee-based OA journals.
- See Walt Crawford, The Gold OA Landscape, 2011-2014, Cites & Insights, October 2015, p. 20: "Most gold OA journals (not quite three-quarters) are funded by societies, universities and colleges, libraries, government agencies, grants or subsumed costs, without charging APCs (although some of those are using temporary no-APC periods to boost article submissions). But the 26% of journals that do charge APCs...published 57% of the OA articles (in reputable journals) in 2014, and assuming level APCs, pay journals have published a majority of OA articles since 2013."
- At p. 173, I say, "[If you don't have an OA repository in your institution or field,] consider one of the universal repositories open to research articles of all kinds. I recommend OpenDepot, OpenAire, Academia, and Mendeley." After Elsevier bought Mendeley (April 2013, after this book came out), I stopped recommending Mendeley and wrote a blog post about it. In October 2013 (also after this book came out), I wrote a new version of Chapter 10 as a wiki-based handout, How to make your own work open access. That handout has long since stopped recommending Academia and Mendeley, for the kinds of reasons since summarized (December 2015) very well by the University of California Office of Scholarly Communication. My top recommendation for a universal repository is now Zenodo.
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Updates and Supplements for the Glossary:
- At p. 175, and elsewhere in the book, especially Section 3.3, I define OA to include both gratis access and libre access. Moreover, I define libre access to cover the whole spectrum beyond fair use, not just the most-free or least-restricted end of that spectrum (that is, not just the CC-BY and CC0 end of the spectrum). Some allies differ from me on both of these points. That is, some want to define OA to mean libre access only, and some want to define libre access to cover just the most-free end of the spectrum beyond fair use.
- I first defended my use of these definitions in the August 2008 article in which I borrowed the gratis/libre terminology from the world of software and introduced it into world of scholarship. I defended it several times thereafter in blog posts, and defended it most recently in the second postscript to my June 2012 article on the rise of libre OA. Undoubtedly some disagreements still remain. However, in my view, these disputes are entirely verbal, and turn on how we should define and use certain terms. Unless we are careless, they should not interfere with our understanding of the underlying issues, distinctions, and policies, let alone with the actions we take based on that understanding. For example, we can use and recommend CC-BY while allowing that the term "open access" and even the terms "libre access" and "libre OA" cover more than CC-BY.
- In too many discussions for too many years, important substantive questions were obscured by verbal disputes and definition wars. The gratis/libre terminology, or the equivalent, and the names of well-defined open licenses, can help us get past verbal disputes and focus on substance.
- I stand by my position on p. 70: "The best way to refer to a specific flavor of libre OA is by referring to a specific open license. We’ll never have unambiguous, widely understood technical terms for every useful variation on the theme. But we already have clearly named licenses for all the major variations on the theme, and we can add new ones for more subtle variations any time we want."
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For updates and supplements to a given endnote, see the page for the note call. For example, the note call for endnote 2 in Chapter 3 occurs on p. 50, and the note text occurs on p. 187. Any updates and supplements to that endnote will be collected in an entry for p. 50, not in an entry for p. 187.
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Updates and supplements for the index:
- 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
In many places above I link to tag libraries from the Open Access Tracking Project. All OATP tag libraries are crowd-sourced and updated in real time. You can make them more complete by taking part as an OATP tagger. (Disclosure: I launched OATP in 2009 and still oversee it.)