Saturday, February 23. 2013US Presidential Open Access Directive: 3 Cheers and 8 Suggestions![]() Here are some crucial implementational details that will maximize the mandates' effectiveness. (1) Specify that the deposit of each article must be in an institutional repository (so the universities and research institutions can monitor and ensure compliance as well as adopt mandates of their own).If this is all done universally, universal OA will soon be upon us -- and a global transition to affordable, sustainable Fair-Gold OA (instead of today's premature, double-paid Fool's-Gold), plus as much CC-BY as users need and authors wish to provide -- will not be far behind. Thursday, February 21. 2013Sowing Discord -- or the Green Seeds for a Golden Harvest?![]() Three comments: 1. RP: "Some would argue that the US has long been the natural leader of the OA movement, a leadership role it could be said to have acquired in 2005 [with] the US National Institutes of Health (NIH) [Green OA mandate]"I for one would not say the the US has been the leader of the worldwide OA movement (though it is certainly naturally placed to do so): The historic leader to date has been the UK. The world's first Green OA repository software was created in the UK (2000); the world's first Green OA mandate was adopted in the UK (2003); the UK parliamentary Select Committee was the first in the world to recommend that all institutions and funders mandate Green OA (2004); all of the UK's research funding councils (RCUK) have mandated OA (2006-2011) and the UK today has more funder (16) and institutional (25) Green OA mandates than any other country in the world (see ROARMAP). (The US is second with 4 funder mandates and 19 institutional mandates. Little Finland leads in institutional mandates with 28; it has no funder mandates, but with all Finnish universities mandated, it hardly needs them!) It is only now, with its flawed BIS/Finch/RCUK Gold-Preferential policy that the UK has lost its worldwide lead: In fact, as shown by the SPARC Europe Table, all other countries are now following the path that the UK pioneered in 2003-2004: the only country not following the UK's historic lead now is the UK itself! But the good news is that the UK's lead can easily be regained, if the UK simply drops its gratuitous preference for Gold and throws its full weight behind implementing an effectively verified Green OA mandate, leaving the option of publishing and paying for Gold as purely a matter of author choice. 2. RP: "Green does usually mean a delay before OA is provided… usually... an embargo period of anything between 6 months and three or more years — a delay intended to allow the publisher to recoup the costs it incurred in publishing the paper."This too is one of the unanticipated negative consequences of the new RCUK OA policy. It is not true that Green OA means delayed/embargoed OA. At the moment, over 60% of subscription journals, including almost all the top journals in most fields, endorse immediate, un-embargoed Green OA self-archiving by their authors. (See the SHERPA/Romeo registry.) Fewer than 40% of journals try to impose a Green OA embargo, and even for those, there is a compromise solution that is "Almost-OA": All papers (100%) need to be deposited in the author's institutional repository immediately upon acceptance for publication, but access to the deposit can be set as "Closed Access" instead of Open Access during the embargo period. During the embargo, the repositories have an email-eprint-request Button that allows individual users to request, and authors to provide, with one click each, a single eprint for research use. This means that an effective Green OA immediate-deposit mandate can immediately provide at least 60% immediate-OA plus 40% Almost-OA. But RCUK's flawed policy, by providing an irresistible incentive for subscription publishers to offer UK authors hybrid Gold OA for an extra fee encourages publishers, by the same stroke, to adopt and to lengthen Green OA embargoes beyond RCUK's allowable limit in order to make sure that UK authors must pick the paid Gold option (the UK's "preferred" one) rather than the cost-free Green one. This too is easily fixed if the UK simply drops its gratuitous preference for Gold and throws its full weight behind implementing an effectively verified Green OA mandate, leaving the option of publishing and paying for Gold as purely a matter of author choice. Let me also stress that the costs of publication that subscription publishers incur are being paid in full, and fulsomely, by their worldwide journal subscriptions. Hence there is no justification for publisher embargoes on Green OA a as "a delay intended to allow the publisher to recoup the costs it incurred in publishing the paper." Embargoes are in place purely in order to insure publishers' current revenue streams by forcing researchers to pay or double-pay an inflated price for Fool's-Gold OA instead of allowing Green OA to leverage a downsizing and transition from subscriptions to Fair-Gold OA at an affordable, sustainable post-Green-OA price. 3. RP: "the SPARC table could be taken to imply that the Wellcome Trust only supports Green OA"The Wellcome policy allows either Green or Gold. But, without announcing it explicitly, and without placing any pressure on authors, Wellcome too prefers Gold (and most of the OA that is generated by its policy is Gold OA). This is no coincidence, for the new UK policy was strongly influenced by, and to a great extent modelled upon, the Wellcome policy. Wellcome gets the historic credit for having been the first funder in the world to mandate OA. (They did it before NIH.) But the Wellcome policy is deeply flawed and was for several years ineffective because compliance was in no way monitored and there were no consequences for noncompliance. Now, both NIH and Wellcome monitor compliance: funding may not be provided or renewed if fundees fail to comply. But NIH still only mandates Green, whereas Wellcome, a private charity, has adopted the (simplistic) maxim that "Publication costs are part of research costs (1.5%) and a research funder should be prepared to pay them." That is Wellcome's rationale for (implicitly) preferring Gold: "We fund the research: we're ready to pay its publication costs too." The trouble is that most research publication is still subscription based. And institutions still have to pay those subscription costs, so their users can access the research. Wellcome is not offering to pay for that: just for the Gold OA costs of publishing the research Wellcome funds. Subscription journals are happy to take the extra Wellcome money, and duly offer a hybrid Gold choice for any author who wants to pay for it -- but they also continue to collect subscriptions, and institutions continue to have to pay for them. So Wellcome is merely subsidizing a 1.5% double-payment to publishers in exchange for Gold OA. This absurd subsidy to publishers is fine when offered by a private funder that has nothing to spend its money on other than research (98.5%) and its publication (1.5%). But this simplistic formula doesn't work for the UK (or any) government, or any public research funder. For unlike private charities, governments are using tax-payer money not only to pay for research (100%), but also to pay for journal subscriptions (100%). Hence if they foolishly elect to pay publishers even more -- 100% for subscriptions plus 1.5% more for Gold OA -- they are throwing taxpayer money away to double-pay publishing costs that they are already paying via subscriptions. Hence, paradoxically, the very first funder to mandate OA, the Wellcome Trust, is definitely not the model to follow. Yet the UK has now done just that, adding to the Wellcome Trust's generosity to publishers an explicit preferential pressure on UK authors, with perverse consequences for the UK as well as the rest of the world. (For a clear grasp of the contingencies, complementarity, and time-course of Green and Gold OA, the reader could do no better than to consult Houghton & Swan's "Planting the Green Seeds for a Golden Harvest". ) Wednesday, February 13. 2013Martin Hall on Finch on "Neither Green nor Gold"![]()
Stevan Harnad (February 11th, 2013 at 9.03 pm) Says: MARTIN HALL: “The “Green” versus “Gold” debate... is misleading. The imperative is to get to a point where all the costs of publishing, whether negligible or requiring developed mechanisms for meeting Article Processing Charges (APCs), are fully met up front so that copies-of-record can be made freely available under arrangements such as the Creative Commons CC-BY-NC licence. This was our key argument in the Finch Group report, and the case has been remade in a recent – excellent – posting by Stuart Shieber, Harvard’s Director of the Office of Scholarly Communication.” Martin Hall (February 12th, 2013 at 11.59 am) Says: Stevan – here are two quotations from Stuart Shieber’s paper which make the point about the significance of moving to full Open Access to copy-of-record. The Finch Report, however imperfect, was about the transition to this.“Open-access journals don’t charge for access, but that doesn’t mean they eschew revenue entirely. Open-access journals are just selling a different good, and therefore participating in a different market. Instead of selling access to readers (or the readers’ proxy, the libraries), they sell publisher services to the authors (or to the authors’ proxy, their research funders). In fact there are now over 8,500 open-access journals listed in the Directory of Open Access Journals. Some of them have been mentioned already on this panel: Linguistic Discovery, Semantics and Pragmatics. The majority of existing open-access journals, like those journals, don’t charge authorside article-processing charges (APCs). But in the end APCs seems to me the most reasonable, reliable, scalable, and efficient revenue mechanism for open-access journals. This move from reader-side subscription fees to author-side APCs has dramatic ramifications for the structure of the market that the publisher participates in”.And later:“So journals compete for authors in a way they don’t for readers, and this competition leads to much greater efficiency. Open-access publishers are highly motivated to provide better services at lower price to compete for authors’ article submissions. We actually see evidence of this competition on both price and quality happening in the market.” Stevan Harnad (February 13th, 2013 at 2.41 am -- Your comment is awaiting moderation. ) Says: PRIORITIES ADDENDUM: Unilateral UK Gold is the losing choice in a Prisoner’s Dilemma. If the UK unilaterally mandates Gold OA Publishing (with author publication charges) today, instead of first (effectively) mandating Green OA self-archiving (at no added cost) then the UK has made the losing choice in a non-forced-choice Prisoner's Dilemma (see below):"If OA were adopted worldwide, the net benefits of Gold OA would exceed those of Green OA. However, we are not in an OA world... At the institutional level, during a transitional period when subscriptions are maintained, the cost of unilaterally adopting Green OA is much lower than the cost of Gold OA – with Green OA self-archiving costing average institutions sampled around one-fifth the amount that Gold OA might cost, and as little as one-tenth as much for the most research intensive university. Hence, we conclude that the most affordable and cost-effective means of moving towards OA is through Green OA, which can be adopted unilaterally at the funder, institutional, sectoral and national levels at relatively little cost." [emphasis added]
Monday, January 28. 2013House of Lords Science and Technology Select Committee on Open Access![]() Stevan Harnad I. Overview of OA 1. Open Access (OA) means free online access to peer-reviewed research journal articles. (There are about 28,000 such journals, in all fields and languages.) 2. Most research journals recover their publication costs through institutional subscriptions. 3. No institution can afford to subscribe to all or most or even many of the 28,000 journals, only to a small fraction of them, a fraction shrinking because of rising journal costs. 4. As a result, all researchers today, at all institutions, are denied access to articles published in those journals whose subscriptions are unaffordable to their institutions. 5. As a result, the research that is funded by public tax revenue, and conducted by researchers employed by publicly funded institutions (universities and research institutes) is not accessible to all of its primary intended users – the researchers who can use, apply and build upon it, to the benefit of the public that funded it. 6. The Internet and the Web have made it possible to remedy this access-denial problem, which had been a legacy of the Gutenberg era of print on paper, and its associated costs. 7. Researchers can continue to publish their research in subscription journals, but they can self-archive their final, peer-reviewed drafts in their institutional repositories, free for all online, as a supplement, for all users whose institutions cannot afford subscription access to the journal in which the article was published (and, as an added bonus, free also for the tax-paying public that funded the research). 8. Author self-archiving is called “Green OA.” 9. Sixty percent of journals (including most of the top journals in most fields) already endorse Green OA self-archiving by authors, immediately upon publication (no embargo). 10. The remaining 40% of journals request an embargo or delay on providing OA for 6-12 months or more. (The publisher rationale for the embargo is that it protects journal subscription revenues that Green OA might otherwise make unsustainable.) 11. There is as yet no evidence at all that immediate, un-embargoed Green OA self-archiving reduces subscriptions, even in fields, such as physics, where it has been practiced for over 20 years and has long reached close to 100%. 12. The second way to provide OA is for the journal rather than the author to make all of its articles freely accessible online immediately upon publication. 13. OA journal publishing is called “Gold OA.” 14. About 20% of the world’s 28,000 journals are Gold OA journals, but very few of them are among the top journals in each field. 15. Most Gold OA journals continue to cover their costs from subscriptions (to the print edition) but the top Gold OA journals have no print edition and instead of charging the user-institution for access, through subscription fees, they charge the author-institution for publishing, through publication fees. 16. There are also hybrid subscription/Gold journals, who publish non-OA articles and continue to charge institutional subscription fees, but offer authors the option of paying to make their individual article OA if they pay a Gold OA fee. 17. Paying Gold OA fees is a problem for authors and their institutions because as long as most journals are still subscription journals, institutions have to continue subscribing to whatever journals they can afford that their users need. 18. Hence paying for Gold OA today increases the financial burden on institutions at a time when subscription costs are already barely affordable. 19. Paying for Gold OA while subscriptions still need to be paid is not only an extra financial burden, but it is also unnecessary, because Green OA can be provided for free while worldwide subscriptions are still paying the cost of publication. 20. If and when Green OA becomes universal (i.e., at or near 100%, in all fields, worldwide), and if and when that, in turn, makes subscriptions unsustainable (with institutions cancelling subscriptions because the free Green OA versions are sufficient for their needs), then all journals can convert to Gold and institutions will have the money to pay the Gold OA costs out of their annual windfall subscription cancelation savings. 21. There is every reason to believe that Gold OA costs after universal Green OA will be much lower than they are today: the print edition and its costs as well as the online edition will be gone, the worldwide network of Green OA Institutional Repositories will provide access and archiving, and journals will only need to manage peer review (all peers already review for free) and perhaps provide some copy-editing. 22. It remains to explain how to achieve universal Green OA, so as (1) to provide universal OA, first and foremost, and then (2) to induce a transition to universal Gold OA at an affordable price if and when Green OA makes subscription publishing unsustainable, and (3) to release the institutional subscription funds in which the potential money to pay for Gold OA is currently locked. 23. The way to achieve universal Green OA is for institutions (universities and research institutes) and research funders to mandate (require) that all research that they fund, and that they employ researchers to conduct, must not only be published, as now (“publish or perish”), but the peer-reviewed final drafts must also be deposited in the researcher’s institutional repository immediately upon acceptance for publication. 24. Optimally, access to the deposit should be made OA immediately; in any case any OA embargo should be as short as possible. 25. However, if necessary, an embargo of 6 months or even 12 months or longer can be tolerated in the case of the 40% of articles published in journals that do not yet endorse immediate Green OA. 26. The repositories make it possible for authors to provide “Almost-OA” to the deposits that are under OA embargo by automatically forwarding reprint requests from would-be users to the author, who can then decide, with one click, whether or not hey wish to email the deposited reprint to the requester. 27. Researchers have been fulfilling reprint requests from fellow-researchers for over a half century, but in the online era this can be greatly facilitated and accelerated through universally mandated repository deposit. II. UK OA Policy 28. In 2004, the UK Parliamentary Select Committee recommended that UK universities and UK funding councils mandate Green OA self-archiving. 29. With this, the UK became the world leader in OA and OA policy. 30. Green OA self-archiving has since been mandated by both funding councils and universities in the EU, Canada, and Australia, including the National Institutes of Health, Harvard, and MIT in the US (over 250 Green OA mandates worldwide to date). 31. Green OA mandates have been growing worldwide, guided by the UK model; to accelerate mandate adoption all that is needed is a few practical upgrades to the UK model (such as upgraded compliance mechanisms and fuller integration of institutional and funder mandates). 32. But in 2012, instead of building on its 8-year success in worldwide OA leadership, the UK took an abrupt U-turn on OA, with the recommendations of the Finch Committee. 33. The Finch Committee declared Green OA a failure, and recommended downgrading it to just preservation archiving. 34. In place of mandating Green OA (which is almost cost-free, while publishing is still being paid for worldwide via institutional subscriptions) the Finch Committee recommended paying even more for publishing, by redirecting scarce UK research funds to paying for Gold OA, over and above what the UK is already paying for subscriptions. 35. One can only conjecture as to the causes underlying this inexplicable about-face when Green OA mandates are growing worldwide: 36. The cause may have been subscription-publisher lobbying of BIS against Green OA or Gold-OA-publisher lobbying for Gold OA. 37. There was perhaps also some pressure from a vocal minority of OA advocates arguing that there is an urgent immediate need for something stronger than the free online access mandated by Green OA (the additional re-use rights conferred by a CC-BY license) for which this minority claimed that it is worth paying Gold OA fees. 38. The outcome has been significantly to weaken instead of strengthen the RCUK OA policy: 39. RCUK researchers may still choose between paying for Gold OA or providing cost-free Green OA, but RCUK expresses a preference for Gold and does not permit researchers to choose Green if their chosen journal’s OA embargo exceeds 6-12 months. 40. This policy has the perverse consequence of giving subscription publishers a strong incentive (1) to add a hybrid Gold option just in order to collect the extra UK revenue, and (2) to adopt and extend Green OA embargoes beyond the UK’s allowable 6-12 months, to make sure that UK researchers must choose the paid Gold option rather than the cost-free Green one. 41. The rest of the world cannot, need not, and will not follow suit with this profligate. perverse, and completely unnecessary UK policy change. 42. In Europe, the Americas and Asia, low-cost Green OA mandates will continue to grow, while the UK loses its leadership role in worldwide OA, needlessly squandering increasingly scarce research funds, paying publishers even more in order to make UK research output (and UK research output alone -- 6% of worldwide research output) OA, while the rest of the world makes its (94%) research output OA at next to no extra cost. The Australian economist, John Houghton, has analyzed OA policy in country after country. The House of Lords Select Committee is urged to look at the outcome of those analyses, which is that it is far cheaper to mandate Green OA first, rather than to pay pre-emptively for Gold unilaterally. That not only provides OA, but it paves the way to affordable, sustainable Gold OA: Houghton, J. & Swan, A. (2013) Planting the Green Seeds for a Golden Harvest: Comments and Clarifications on "Going for Gold" D-Lib Magazine Volume 19, Number 1/2 Conclusion: Instead of following the Finch Committee’s counterproductive recommendation to require and subsidise Gold OA, RCUK should adopt two important practical upgrades to strengthen the prior RCUK Green OA mandate: (1) integrate institutional and funder Green OA mandates so they can mutually reinforce one another and (2) implement an effective Green OA compliance mechanism, making institutions responsible for monitoring and ensuring compliance with both institutional and funder deposit mandates. Appendix: ![]() Figure 1. The percentage of Green and Gold OA in the UK (2007-2011, Web of Science). Note that most OA is Green OA. From: Gargouri, Y, Lariviere, V, Gingras, Y, Carr, L and Harnad, S (2012b) Green and Gold Open Access percentages and growth, by discipline. In: 17th International Conference on Science and Technology Indicators (STI), Montreal, CA, 05 - 08 Sep 2012. 11pp. ![]() Figure 2. The effect of Green OA mandates (comparing nonmandated vs mandated OA provision: 2002-2009). Data from Gargouri, Y, Lariviere, V, Gingras, Y, Brody, T, Carr, L and Harnad, S (2012a) Testing the Finch Hypothesis on Green OA Mandate Ineffectiveness. Presented: Open Access Week 2012 Counterattack: Hands Off Freedoms, Hands On Keyboards![]() "Open access plans are 'attack on academic freedoms'" (Guardian Observer, & Telegraph, January 26)But they are absolutely wrong that the fault lies with Open Access (OA), or with mandating OA. The fault lies entirely with the way the UK government -- RCUK, under the influence of the foolish and ill-informed recommendations of the Finch Committee -- has proposed to mandate OA. The Finch Committee has recommended weakening instead of strengthening the RCUK's existing, 5-year-old OA mandate -- which had allowed authors to continue publishing wherever they wished, and merely required them to make their final drafts OA within 12 months of publication by self-archiving them free for all online ("Green OA"). Declaring the prior Green OA mandate a failure, the Finch Committee proposed instead to dictate to authors which journals they were permitted to publish in: only in journals that make their own published articles OA ("Gold OA"), with a CC-BY license, immediately upon publication, or in journals that formally endorse their authors providing Green OA within 6-12 months of publication. In addition, some scarce research money was to be diverted from research to pay publishers even more money, over and above what is already being spent on subscriptions, in exchange for Gold OA. Authors naturally became incensed at the government dictating where they might or might not publish. (Nor did they appreciate money being diverted from dwindling research funds to pay publishers even more.) Enough complaining. The error is easily corrected: Let authors publish wherever they wish. Require them to deposit their peer-reviewed final drafts in their OA institutional repositories immediately upon publication. Sixty percent of journals already endorse immediate Green OA. For the 40% that want OA embargoed, make the deposit Closed Access instead of OA during the embargo. The repository has a Button for redirecting individual users' reprint requests for Closed Access articles to the author, who can authorize the emailing of the reprint to the requester with one click if he wishes. This is not OA, but it is "Almost-OA" and is sufficient to tide over researchers' access needs until embargoes die their inevitable and well-deserved natural deaths. Meanwhile, 100% of articles are immediately deposited, 60% are immediately OA, 40% are Almost-OA, and authors retain their full right to choose their journals and not pay for Gold OA if they do not wish to. They are strongly encouraged to make the deposit OA as soon as possible, but this is not a constraint on their freedom of choice of journals. This is a strengthened version of RCUK's prior Green OA mandate, without the Finch folly (nor the premature and unnecessary CC-BY requirement, which is not needed in most fields, not as urgent as free online access in any field, and only makes it gratuitously harder to mandate OA). All this upgrade needs in order to make it optimal is: (1) Funder mandates and institutional mandates should both stipulate convergent institutional deposit (not divergent, competitive deposit: institution-external repositories like EuPMC can harvest from the institutional ones).This optimized Green OA mandate is no more of an assault on academic freedom than the mandate to "Publish-or-Perish" is -- in fact, it is merely a natural extension of P-or-P, for the online age. Sunday, January 27. 2013Petition President Obama to Mandate Open Access
This petition already has 60,000 signatures, well over the threshold that promises a reply, but many more signatures will ensure that the reply is affirmative. Please sign!
Sunday, December 9. 2012New CIHR Open Access Mandate Still Needs a Tweak![]() One step forward: Grant recipients are required toOne step back: But there is a simple way to fix and optimize it. The archiving must always be done by the author, not the publisher (and preferably in the author's institutional repository, never the publisher's website, so the institution can verify timely compliance); and the deposit must be done immediately upon publication in every instance. (The length of the allowable embargo -- though the shorter the better -- is less important than the necessity of immediate, verifiable institutional deposit by the author. PMC Canada and others can then harvest automatically from the author's institutional repositories.) RECOMMENDED TWEAK TO OPTIMIZE CIHR OA MANDATE: Integrating Institutional and Funder Open Access Mandates: Belgian Model How to Integrate University and Funder Open Access Mandates Optimize the NIH Mandate Now: Deposit Institutionally, Harvest Centrally Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How? Which Green OA Mandate Is Optimal? Friday, November 23. 2012Some Quaint Elsevier Tergiversation on Rights Retention![]() Any author foolish enough to be intimidated by this kind of garbled double-talk deserves everything that's coming to him. My Advice to Authors: Ignore this embarrassing, self-contradictory nonsense completely and exercise your retained "right" to post your final refereed draft ("AAM") in your institutional repository immediately upon acceptance, whether or not it is mandatory, secure in the knowledge that from a logical contradiction anything and everything (and its opposite) follows! (And be prepared to declare, with hand on heart, that as an adult, every right you exercise with your striate musculature is exercised "voluntarily.") [By the way, as long as Elsevier states that its authors retain the right to post "voluntarily", Elsevier, too, remains on the Side of the Angels insofar as immediate, unembargoed Green OA self-archiving is concerned. It's just that the Angels are a bit glossolalic...]
Friday, November 16. 2012Is It True That It's Illegal To Mandate Green OA Self-Archiving in Germany?
![]() I have never believed this claim, and do not even think it is coherent. A Green OA self-archiving mandate leaves authors free to publish whatever they wish and to publish it in whatever journal they wish. It merely requires them to deposit the final, accepted draft in an institutional repository. (Most Green OA mandates don't even require the deposit to be made OA immediately: they allow it to be left in Closed Access during a publisher embargo period: About 60% of journals do not have OA embargoes; 40% have embargoes of from 6-12 months to several years or more.) Hence the requirement to deposit is merely an administrative mandate -- like requiring that publications be submitted electronically rather than on paper, for performance evaluation. (Was that a violation of academic freedom in Germany too?) The "illegal in Germany" claim has been made over and over, in and about Germany. It invariably turns out to be based on the incorrect assumption that it entails putting a constraint on authors' academic freedom. Instead of just repeating the claim, like hearsay, endlessly, I urge advocates and opponents of OA alike to first get it clear in their minds exactly what a Green OA self-archiving mandate mandates, and then to state explicitly how or why it violates authors' academic freedom. But be careful not to conflate Green OA self-archiving mandates with Gold OA publishing mandates: The latter would require authors to publish in Gold OA journals rather than their journals of choice; or they would forbid authors to publish in journals that embargo Green OA. Such mandates would indeed be constraining authors' academic freedom. But Gold OA publishing is not what most OA mandates require. They just require Green OA self-archiving. (See ROARMAP -- and you will see that there are already some Green OA mandates in Germany.)
Monday, November 12. 2012Fred Friend on Martin Hall on UK Finch Report on OA![]() Fred Friend:
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