Friday, May 14. 2010The access problem -- small, medium, or large?
![]() And let's not forget the Open Access Impact Advantage: If journal affordability constraints are a direct indicator of the fact that the access problem is not small but large, the fact that in every field OA enhances both citation and download impact are indirect indicators of that same fact (apart from being benefits in their own right):
![]() Stevan Harnad American Scientist Open Access Forum Thursday, May 13. 2010Best Draft Model for US University Green OA Self-Archiving Mandate So Far: U North Texas![]() The UNT Open Access Policy Committee has just completed a first complete draft of a policy for open access to scholarly works at the University of North Texas. The Committee sees this as an initial step in broadening discussion by the UNT campus community on open access and the policy. The Policy on Open Access to Scholarly Works. This draft was distributed to the UNT Faculty Senate at its May 12, 2010 meeting: POLICY STATEMENT (excerpts; full text here) Wednesday, May 12. 2010PostGutenberg Peer Review![]() JE: “What happens when the number of author-pays open access sites grows and these various services have to compete with one another to get the finest articles deposited in their respositories?”Green OA mandates require deposit in each author's own institutional repository. The hypothesis of Post-Green-OA subscription cancellations (which is only a hypothesis, though I think it will eventually prove to be right) is that the Green OA version will prove to be enough for users, leaving peer review as the only remaining essential publishing service a journal will need to perform. ![]() JE: “What will the cost of marketing to attract the best authors be?”It is not "marketing" but the journal's track record for quality standards and impact that attract authors and content in peer-reviewed research publication. Marketing is for subscribers (institutional and individual); for authors and their institutions it is standards and metrics that matter. And, before someone raises the question: Yes, metrics can be manipulated and abused, in the short term, but cheating can also be detected, especially as deviations within a rich context of multiple metrics. Manipulating a single metric (e.g., robotically inflating download counts) is easy, but manipulating a battery of systematically intercorrelated metrics is not; and abusers can and will be named and shamed. In research and academia, this risk to track record and career is likely to counterbalance the temptation to cheat. (Let's not forget that metrics, like the content they are derived from, will be OA too...) JE: “I am not myself aware of any financial modeling that attempts to grapple with an environment where there are not a handful of such services but 200, 400, more.”There are already at least 25,000 such services (journals) now! There will be about the same number post-Green-OA. The only thing that would change (on the hypothesis that universal Green OA will eventually make subscriptions unsustainable) is that the 25,000 post-Green-OA journals would only provide peer review: no more print edition, online edition, distribution, archiving, or marketing (other than each journal's quality track record itself, and its metrics). Gone too would be the costs of these obsolete products and services, and their marketing. (Probably gone too will be the big-bucks era of journal-fleet publishing. Unlike with books, it has always been the individual journal's name and track record that has mattered to authors and their institutions and funders, not their fleet-publisher's imprimatur. Software for implementing peer review online will provide the requisite economy of scale at the individual journal level: no need to co-bundle a fleet of independent journals and fields under the same operational blanket.) JE: “As these services develop and authors seek the best one, what new investments will be necessary in such areas as information technology?”The best peer review is provided by the best peers (for free), applying the highest quality standards. OA metrics will grow and develop (independent of publishers), but peer review software is pretty trivial and probably already quite well developed (hence hopes of "patenting" new peer review "systems" are probably pipe-dreams.) JE: “Will the fixed costs of managing such a service rise along with greater demands by the most significant authors?”The journal quality hierarchy will remain pretty much as it is now, with the highest-quality (hence most selective) journals the fewest, at the top, grading down to the many average-level journals, and then the near-vanity press at the bottom (since just about everything eventually gets published somewhere, especially in the online era). (I also think that "no-fault peer review" will evolve as a natural matter of course -- i.e., authors will pay a standard fee per round of peer review, independent of outcome: acceptance, revision/re-refereeing or rejection. So being rejected by a higher-level journal will not be a dead loss, if the author is ready to revise for a lower-level journal in response to the higher-level journal's review. Nor will rejected papers be an unfair burden, bundled into the fee of the authors of accepted papers.) JE: “As more services proliferate, what will the cost of submitting material on an author-pays basis be?”There will be no more new publishing services, apart from peer review (and possibly some copy-editing), and no more new journals either; 25,000 is probably enough already! And the cost per round of refereeing should not prove more than about $200. JE: “Will the need to attract the best authors drive prices down?”There will be no "need to attract the best authors," but the best journals will get them by maintaining the highest standards. Since the peers review for free, the cost per round of refereeing is small and pretty fixed. JE: “If prices are driven down, is there any way for such a service to operate profitably as the costs of marketing and technology grow without attempting to increase in volume what is lost in margin?”Peer-reviewed journal publishing will no longer be big business; just a modest scholarly service, covering its costs. JE: “If such services must increase their volume, will there be inexorable pressure to lower some of the review standards in order to solicit more papers?”There will be no pressure to increase volume (why should there be)? Scholars try to meet the highest quality standards they can meet. Journals will try to maintain the highest quality standards they can maintain. JE: “What is the proper balance between the right fee for authors, the level of editorial scrutiny, and the overall scope of the service, as measured by the number of articles developed?”Much ado about little, here. The one thing to remember is that there is a trade-off between quality-standards and volume: The more selective a journal, the smaller is the percentage of all articles in a field that will meet its quality standards. The "price" of higher selectivity is lower volume, but that is also the prize of peer-reviewed publishing: Journals aspire to high quality and authors aspire to be published in journals of high quality. No-fault refereeing fees will help distribute the refereeing load (and cost) better than (as now) inflating the fees of accepted papers to cover the costs of rejected papers (rather like a shop-lifting surcharge!). Journals lower in the quality hierarchy will (as always) be more numerous, and will accept more papers, but authors are likely to continue to try a top-down strategy (as now), trying their luck with a higher-quality journal first. There will no doubt be unrealistic submissions that can (as now) be summarily rejected without formal refereeing (or fee). The authors of papers that do merit full refereeing may elect to pay for refereeing by a higher-level journal, at the risk of rejection, but they can then use their referee reports to submit a more roadworthy version to a lower-level journal. With no-fault refereeing fees, both journals are paid for their costs, regardless of how many articles they actually accept for publication. (PotGutenberg publication means, I hasten to add, that accepted papers are certified with the name and track-record of the accepting journal, but those names just serve as the metadata for the Green OA version self-archived in the author's institutional repository.) And let's not forget what peer-reviewed research publishing is about, and for: It is not about provisioning a publishing industry but about providing a service to research, researchers, their institutions and their funders. Gutenberg-era publication costs meant that the Gutenberg publisher evolved, through no fault of its own, into the tail that wagged the paper-trained research pooch; in the PostGutenberg era, things will at last rescale into more proper and productive anatomic proportions...Harnad, S. (2009) The PostGutenberg Open Access Journal. In: Cope, B. & Phillips, A (Eds.) The Future of the Academic Journal. Chandos. Stevan Harnad American Scientist Open Access Forum Monday, May 10. 2010OA "Request" vs. "Requirement" Policies: Canada and the Global OA Sweepstakes![]() It is for this reason that U. Athabasca's Open Access (OA) Policy is not listed as a mandate in ROARMAP, but only as a policy. By the very same token, however, U. Ottawa's policy is not listed at all in ROARMAP, since it is merely a commitment to provide some funds to pay to publish some U. Ottawa research output in OA journals ("Gold OA"), not a mandate to provide OA to all of U. Ottawa research output ("Green OA") by self-archiving it in an OA repository, as NIH requires and U. Athabasca recommends. By this criterion, U. Concordia's is the first university-wide Green OA mandate in Canada. Canada also has 3 departmental OA mandates (Calgary, Guelph, Queens) and 8 funder mandates. There is not much point in being the "first" to do something if one does not do it right: The only university that has done it right university-wide so far in Canada is Concordia. Let us hope that this will now inspire many emulators. The other important course-correction Canada could benefit from making is to make sure that all OA mandates (university-wide, departmental and funder) are convergent and cooperative, not divergent and competitive. Here too, Concordia has adopted the right policy, promising not to require double-deposit on the part of their researchers (i.e., having to deposit in both the Concordia repository and, say, PubMed Central Canada). Universities (and research institutions) are the universal providers of all research output, funded and unfunded, across all fields. PubMed Central Canada is a welcome advance if what Canada needed was more space (to make its research OA). But what Canada needed was to fill available space with OA content, not to make more space available -- and the only way to do that is by mandating (i.e., requiring) deposit. Let us hope Canada's funders will have the good sense to mandate convergent university deposit rather than divergent central deposit. Central repositories like PubMed Central Canada can then harvest from Canada's network of university repositories. Deposit should be institutional; a central collection is just that -- a collection -- not a locus for direct deposit: "Designing the Optimal Open Access Mandate"Stevan Harnad American Scientist Open Access Forum Sunday, May 2. 2010Open Access: The Historic Irony![]() Here is just the latest instance: "SCOAP3 support in the United States almost complete!… So far, over 150 U.S. libraries and library consortia have pledged a total of over 3.2 Million dollars to the SCOAP3 initiative. This is almost the entire contribution expected from partners in the United States. Worldwide, SCOAP3 partners in 24 countries collectively pledged around 7 Million Euros. These pledges represent about 70% of the SCOAP3 funding envelope, and the initiative is getting close to its next steps to convert to Open Access the entire literature of the field of High-Energy Physics."Yet (mark my words) it will be Green OA self-archiving -- and Green OA self-archiving mandates by institutions and funders -- that actually bring us universal OA at long last, and not the limited and ineffectual "gold fever" that is "freeing" (already-free) high energy physics (SCOAP3) -- climbing toward 100% OA since 1991 and effectively there since about a decade now! -- nor the COPE commitment on the part of universities to pay to make a small portion of their own research output Gold OA -- without first committing to make all of it Green OA, cost-free. [University presidents and provosts especially seem to be quite quick to sign open letters in support of their government's adopting an open access mandate, yet much slower to adopt an open access mandate for their own institutions!] "Never Pay Pre-Emptively For Gold OA Before First Mandating Green OA" Stevan Harnad American Scientist Open Access Forum Tuesday, April 27. 2010Symptoms of Premature Gold OA -- and their Cure![]() The reason is that new Gold OA journals are premature at this time. What is needed is more access to existing journals, not more journals. Everything already gets published somewhere in the existing journal quality hierarchy. The recent proliferation of lower-standard Gold OA journals arose out of the drive and rush to publish-or-perish, and pay-to-publish was an irresistible lure, both to authors and to publishers. Meanwhile, authors have been sluggish about availing themselves of a cost-free way of providing OA for their published journal articles: "Green" OA self-archiving. The simple and natural remedy for the sluggishness -- as well as the premature, low-standard Gold OA -- is now on the horizon: Green OA self-archiving mandates from authors' institutions and funders. Once Green OA prevails globally, we will have the much-needed access to existing journals for all would-be users, not just those whose institutions can afford to subscribe. That will remove all pretensions that the motivation for paying-to-publish in a Gold OA journal is to provide OA (rather than just to get published), since Green OA can be provided by authors by publishing in established journals, with their known track records for quality, and without having to pay extra -- while subscriptions continue to pay the costs of publishing. If and when universal Green OA should eventually make subscriptions unsustainable -- because institutions cancel their subscriptions -- the established journals, with their known track records, can convert to the Gold OA cost-recovery model, downsizing to the provision of peer review alone (since access-provision and archiving will be done by the global network of Green OA Institutional Repositories), with the costs of peer review alone covered out of a fraction of the institutional subscription cancellation savings. What will prevent pay-to-publish from causing quality standards to plummet under these conditions? It will not be pay-to-publish! It will be no-fault pay-to-be-peer-reviewed, regardless of whether the outcome is accept, revise, or reject. Authors will pay for each round of refereeing. And journals will (as now) form a (known) quality hierarchy, based on their track-record for peer-review standards and hence selectivity. I'm preparing a paper on this now, provisionally entitled "No-Fault Refereeing Fees: The Price of Selectivity Need Not Be Access Denied or Delayed." Stevan Harnad American Scientist Open Access Forum Sunday, April 25. 2010Deposit Mandates vs. Permission Mandates![]() "Robert Darnton['s]... "The Case for Open Access" makes the useful point that Universities will probably be much more effective in building their IRs if they mandate permission (i.e. require faculty to secure and then give the university non-exclusive permission to host their works on the institutional repository) as opposed to mandating deposit (i.e. requiring faculty to do the work of stocking the repository.)"But what Professor Darnton actually wrote (in Feb 2008) was this: "Many repositories already exist in other universities, but they have failed to get a large proportion of faculty members to submit their articles. The deposit rate at the University of California is 14 percent, and it is much lower in most other places. By mandating copyright retention and by placing those rights in the hands of the institution running the repository, the motion will create the conditions for a high deposit rate."In other words, Darnton was not comparing deposit mandates to permission mandates: he was comparing (actual) repositories without deposit mandates to (hypothetical) repositories with permission mandates (not yet in existence at the time, the world's first being Harvard FAS's, adopted in that month). There was then (and there still is now, two years later), no evidence at all that mandating permission would be more effective in generating Open Access than mandating deposit. Quite the opposite. Deposit mandates (of which there are more, and of longer standing than permission mandates) have been extremely effective, and that evidence was already there in 2008. In contrast, the effectiveness of permission mandates, which are more recent (beginning in 2008) and less numerous, is not yet known. Moreover, permission mandates, because they in fact ask for more than just deposit, all have to allow an opt-out clause (for those authors who cannot or do not wish to negotiate permission with their publishers). Hence not only is the effectiveness of permission mandates not yet known: it is not even clear whether permission mandates are indeed mandates at all. [MIT, the university with the planet's first university-wide permission mandate, had 850 deposits in March 2010, one year after adoption. This needs to be considered as a percentage of MIT's annual journal article output: the figure to beat is the current worldwide baseline 20% rate for spontaneous, unmandated deposit. Most deposit mandates are at about 60% within 2 years and well on the road toward 100%. -- But I've also heard recently that Harvard's longer-standing FAS policy has more promising compliance rates, which I hope will be reported publicly, by way of feedback and guidance on the effectiveness of the Harvard model.] The bottom line is that deposit mandates are necessary for OA, whereas permission mandates are (desirable but) not necessary. The optimal solution is hence to mandate deposit, without opt-out, plus permission, with opt-out: • "Upgrading Harvard's Opt-Out Copyright Retention Mandate: Add a No-Opt-Out Deposit Clause" Stevan Harnad American Scientist Open Access Forum Saturday, April 24. 2010Canada's 1st Institution-Wide Green OA Mandate; Planet's 90th: Concordia University![]() Concordia University Opens its Research Findings to the World; Senate Supports Free Internet Access to Faculty and Student Research MONTREAL, April 22 (AScribe Newswire) -- Concordia University's academic community has passed a landmark Senate Resolution on Open Access that [requires] all of its faculty and students to make their peer-reviewed research and creative output freely accessible via the internet. Concordia is the first major university in Canada where faculty have given their overwhelming support to a concerted effort to make the full results of their research universally available. Thursday, April 15. 2010The "Pay-Twice" Misunderstanding, Again
David Wiley's version of the double-payment objection is only partly correct. To the extent that both research funding and research library funding are paid by the tax-payer, there is indeed some double-paying — but the one who gets the free ride is the publisher, who gets to charge for access to material most of which was funded by the tax-payer.
(But not so for peer review, which the publisher manages, though the reviewing is again actually being done for free by the peers. Nevertheless, an honest broker is needed to manage the peer review, or else it’s vanity press. The cost of managing peer review is much less than the cost of publishing, but it will be an invariant expense that needs to be paid no matter what.) The double-pay objection is incorrect, however, when it is made from the standpoint of the subscriber institution. (Private universities’ journal budgets are not paid by tax-payers; and even public universities cover it partly out of student fees or other sources.) The institutional librarians who say “Our institution takes the trouble and expense to provide the research, gives it to publishers for free, only to have to buy it back for subscrption fees” are mistaken: An institution has its own research output: It’s buying in the research output of other institutions with its journal subscriptions. (So unless one thinks the same argument ought to be applied to books, there’s no valid double-pay objection here.) But, last, the real rationale for Open Access is not the fact that tax-payers feel a burning wish or need to read the peer-reviewed reports of the often highly specialized research they fund. It is that if the research they have funded is to provide the maximal benefits to the tax-payers who funded it, it should be accessible to all of its intended users: the researchers who are in the position to use, apply and build upon the scholarly or scientific findings, and not just those whose institutions can afford a subscription to the journal in which they happen to be punished. But the moral is the same: Both research funders and universities should mandate that all their peer-reviewed research articles are made freely accessible to all their potential users online (“Green OA”). If and when making all this peer-reviewed research freely available online makes journal subscriptions unsustainable as the way of recovering the costs of peer review, institutions can pay those true costs, by the outgoing article, out of just a fraction of their annual windfall savings from their subscription cancellations. Harnad, S. (2007) The “Double-Pay”/”Buy-Back” Argument for Open Access is Invalid. Open Access Archivangelism. Sep 9 2007 Harnad, S. (2007) The Green Road to Open Access: A Leveraged Transition. In: Anna Gacs (Ed.). The Culture of Periodicals from the Perspective of the Electronic Age. L’Harmattan. 99-106. Harnad, S. (2009) The PostGutenberg Open Access Journal. In: Cope, B. & Phillips, A (Eds.) The Future of the Academic Journal. Chandos. Harnad, S., Brody, T., Vallieres, F., Carr, L., Hitchcock, S., Gingras, Y, Oppenheim, C., Stamerjohanns, H., & Hilf, E. (2004) The green and the gold roads to Open Access. Nature Web Focus.
Thursday, April 8. 2010ROARMAP Update: 6 New Green Open Access Mandates 149-154![]() 149 Wake Forest Library Faculty
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