The recently-published OA Diamond Journals Study is something I have been looking forward to reading for a long time. Looking at the results, it’s patently clear that authors should be highly commended for the remarkable efforts they made to reach out to the community, gather such valuable input and synthesize it in such a pleasantly digestible manner. Even for somebody swimming in the world of Diamond on a daily basis, this resource contains much to learn from.

My greatest regret is that this study was not commissioned years earlier, at the very beginning of the implementation of Plan S, whose long-neglected Principle 3 explicitly called for support for Open Access infrastructures where necessary. The need for support for Diamond initiatives, which is a prominent conclusion of the study, has actually been manifestly clear for a very long time, so it’s good to finally see at least some formalized statement of that fact.

The first part of the study is an impressive document covering the crucial themes of: journals Landscape, Compliance with accepted standards, Dynamics, and Sustainability. The main findings reflect the wide variety of journals, their relative success at achieving compliance, their “mix of scientific strengths and operational challenges”, and their (over-)reliance on the goodwill of academics to provide volunteer work in the face of sustainability challenges. The study is and will remain a very informative read and provides an accurate and lasting snapshot of the current situation.

The second part of the study is a separate document in which specific recommendations are made. Their list contains 20 items split in 5 categories: Technical support, Compliance, Capacity building, Effectiveness and Sustainability.

The first two categories (Technical support (R1.1-3) and Compliance (R2.1-5)) very concretely identify effective actions which can be directly initiated. I find their conclusions and recommendations very valuable, and certainly, hope that they can be rapidly implemented.

The third category (Capacity building (R3.1-3)) starts by proposing the formation of an OA Diamond Capacity Centre, which would form a kind of hub to “help grow, strengthen, innovate and save costs” for the sector. I admire the concreteness of the suggestions and would certainly be keen to share my own expertise and experiences (and benefit from that of others) within such a setup. Recommendation R3.3 (which perhaps should have been ordered as R3.2) calls for an “international symposium” and “workshops” to prepare the creation of this Centre, explicit mention being made of numerous key players. Little to mention here except: why wait so long? Once again, I think that this should have been done years ago, and find it unfortunate that such things seem to be condemned to moving so slowly.

Going back to Recommendation R3.2, this calls for an “organized marketplace” for OA Diamond. When I first read this headline, I thought “Bingo!” because I was hoping that this would call for a “marketplace” (unfortunate word in a community-driven, not-for-profit context) where OA Diamond providers could “market” their services and gather “clients”. Instead, the recommendation only calls for helping “OA Diamond journals find fair, reliable and high-quality service providers” for sub-services in need of outsourcing. Fine, the recommendation does not have the ambition of the one I was really looking for, but its clear focus and sharp definition make it a “no-brainer”: straight on the to-do list, please.

We now move to the fourth categoryIncrease effectiveness“. Here, my reaction to the document took a tangent.

Without wanting to be negative, I’m not sure what to make of the recommendations R4.1 to 4.6. I find them simply too vague to offer much hope of seeing them lead to concrete action. In my heart, I of course agree with much of what they say and call for, but in the same way, I agree that we should cure cancer and clean up the environment. The question is not whether we want to do all of this, but rather how we should set about doing so, and these recommendations do not provide a clear enough roadmap, nor offer concrete steps forward.

I would here like to expand on this theme, because I think it is a reflection of a significant vulnerability permeating the OA movement.

The OA movement has been active for two solid decades now, and the very fact that we are still at the stage we are at with publishing naturally brings forth questions on the (lack of) effectiveness of the measures which have been taken up to now. Putting on the hat of a neutral observer (as far as I am able to do so in this context, which can be contested), it seems to me that the corporate publishing sector has been systematically and consistently outmanoeuvring and outsmarting the academic sector (yearly financial reports of big corporate players, including future predicted income, provide much evidence for this). The recent acceleration of the pace of signing huge (gargantuan!) agreements with legacy publishers shows that hyperinflated APCs are winning the race. Current top players have it all lined up: they will milk APCs as far and long as they can (as it looks now: perpetually), and to safeguard their future are simply reorienting towards data management and internal information/evaluation systems to perpetuate their highly effective customer lock-in strategies. To watch literally hundreds of millions being committed to reinforcing established players via various forms of Agreements, while a mere 30k euros is used to perform a study on non-APC models (which as the study shows represent a very substantial fraction of the scholarly output), is really not where we need to be right now.

Putting on the hat of a neutral observer, it seems to me that the corporate publishing sector has been systematically and consistently outmanoeuvring and outsmarting the academic sector (yearly financial reports of big corporate players, including future predicted income, provide much evidence for this). The recent acceleration of the pace of signing huge (gargantuan!) agreements with legacy publishers shows that hyperinflated APCs are winning the race.

The lack of available money for all things Diamond indeed transpires throughout the study. So why is there so little money available for that? My answer might just surprise you by its simplicity. There is little money available for Diamond, simply because little money is being made available for Diamond. Said otherwise: there is no properly functioning, large-scale, established funding stream for Diamond. Current funding structures, policies, habits and reflexes at institutional level are mostly fine-tuned, tailored and optimized to serve (disappearing) subscription models and (fast-growing, though financially hemorrhagic) APC-based models from legacy publishers. Except for isolated (some would say marginal) initiatives, no proper alternative has been developed to *concretely* and *sustainably* support Diamond OA on a sufficiently broad scale to have a large impact on the industry.

Why is that?

Speaking from personal experience, if there is one miscalculation which I made when getting involved in building publishing infrastructure, it was to underestimate the resistance to moving away from the transaction-style “sending an invoice for every publication” (an accountant-friendly approach entirely appropriate for sandwiches or soft drinks), towards one of “publishing as part of the international academic infrastructure” (this being much closer in spirit to the way research is actually performed, but so difficult to implement, because goodwill is required). I was under the illusion that funding a consortial system at the community level, if it demonstrably realized order-of-magnitude scale economies, would become the self-obvious thing to do for otherwise money-smart institutions. Little did I understand the power of targeting and depleting. An invoice (even for an eye-watering amount adjusted to what the client can pay, not what the production costs are) with a clear account number and a looming deadline triggers automatic payment. A plea for sponsorship with non-obligatory contribution of a fraction of the actual costs, in contrast, most often leads to polite dismissal (why pay if you don’t have to? you’d be stupid to do that!). It really doesn’t have to be that way. As the saying goes, (individual) penny wise, (community) pound foolish.

And this finally brings me to the fifth category of the recommendations, “Sustain and invest in the future“.

Lots of valuable stuff in there (even traces of the “funding by authorship ratio” which an initiative close to my heart is attempting to implement). Mention is made of greatly promising initiatives like my own university’s recently-initiated Diamond OA Fund which I wholeheartedly applaud. One other initiative, any mention of which is somewhat surprisingly omitted from the study, is the French Fonds National pour la Science Ouverte (FNSO) which is a larger national-scale, project-based funding scheme. Surely, generalizing the deployment of such schemes is something which should urgently happen?

If you are going to read only one section of the study’s recommendations, let it be this fifth section. A path to a better future is outlined there. Still, I think the recommendations could have been bolder and more concrete. First of all, I wish section 5 had been entitled “Growth and sustainability” instead of just “Sustainability”.

Going further, what I would have loved to see would have been something like: Establish, with immediate effect, an operations granting scheme for Diamond journals.

With the words “with immediate effect”, I mean *now*; not after more deliberations and studies. Better to get started with a construction which aims in the right direction and which you can tweak, than to remain frozen into inaction because you fear not getting things right at the first attempt. By “operations granting scheme”, I mean a simple setup (with hassle-free rather than overly bureaucratic calls, evaluation and reporting protocols) which offers concrete guaranteed minimal support (money!) for the coming years based on current levels of activity, ideally with a growth margin factored in. This would address one of the crippling features inherent to anything Diamond OA, which is the nigh impossibility of funding (and thus implementing) any growth strategy. As experience shows, any business idea with a promise can go to a bank and get a loan, or float and suddenly be worth dozens of billions while having not yet realized anything. Not so for Diamond: even after years of operation and recognition by academic peers, there is still no way to finance perfectly implementable growth strategies, because there is no guarantee that concrete accomplishments will be recognized and rewarded by continued funding. Currently, the only growth model for Diamond is a suicidal one, in which one must take steps which carry the risk of short-term bankruptcy at the first hurdle, all the while witnessing multiple-orders-of-magnitude higher money streams propping up competing (and arguably much less efficient) legacy systems. Establishing such a Diamond operational granting scheme would provide critically-needed confidence to Diamond initiatives, which would then empower them to truly scale up and have an impact, instead of letting the potential continue to go to waste through mere hesitation.

Currently, the only growth model for Diamond is a suicidal one, in which one must take steps which carry the risk of short-term bankruptcy at the first hurdle, all the while witnessing multiple-orders-of-magnitude higher money streams propping up competing (and arguably much less efficient) legacy systems.

The chance to change the publishing business is a once-in-a-generation opportunity. At this time, funders and academic institutions face the choice of perpetuating overpaying for a service which is very much *not* rocket science for the mere benefit of administrative simplicity (invoice → pay, next invoice → pay), or of pro-actively supporting (as paying clients) an infrastructure-level Diamond solution to the academic publishing problem. When (rather: if ever) non-APC models finally get the attention they deserve, as thing are currently going, the ship will already have sailed, money pumps will have been rebuilt into money pipelines (flowing to the same old havens), the infrastructure will be congealed again for 20 years and the opportunity for a better, cheaper alternative will have passed.

♦ ♦ ♦

I thus urge the higher powers to carefully read between the lines of the study’s recommendations, put their boldness goggles on and view full implementation of the measures in this study as a starting point only. It is high time to take concrete, immediate steps to make the most out of the current opportunities-in-waiting.

 


Related reading:

Reflections on the OA Diamond Journals Study

Diamond Mining


Diamond. The term is made to do a lot of work. Used in open-access publishing circles to refer to modes in which neither the author nor the reader pays, it implies rarity. It denotes scarcity. It signifies refinement. It seems, if the marketing of De Beers is anything to go by, to be the ultimate expression of love. Forever. A girl’s best friend.

There are many reasons why we should value diamond OA. For one, it avoids the cost-concentrating effects of APCs that I have detailed elsewhere.[1] It also frees scholars from the market pressures of having to “sell” their high-profile research, as Peter Suber has pointed out.[2] Diamond OA does not exclude authorship on the basis of where you were born or the prestige of your university. Diamond OA admits readers from every continent, regardless of their library budgets. Diamonds, it seems, are worth mining.

Diamond, however, is also a category error. While “gold” and “green” open access refer to conditions of availability – at the publisher and in a repository respectively – diamond denotes the financial conditions under which a publisher operates. Hence, while the term is meant to connote a supreme condition in which infrastructure exists transparently without financial demands from authors or readers, it also helps to cement the false certainty, erroneously held by many researchers, that “gold” open access means article processing charges (APCs).

Nonetheless, the recent cOAlition S-commissioned report into diamond open access is revealing. Diamond is not rare. “There are”, the report’s authors note, “almost certainly at least 17,000, but likely up to 29,000, OA diamond journals”, a large number of which, like the proverbial iceberg, sit “below the surface” of discoverability indexes such as DOAJ.

Yet the category error to which I earlier gestured runs deep. At one point, the report notes “the dominance of the OA diamond model in Latin America […] Eastern Europe and the Middle East” and calls these models less “commercial”. I remain concerned at this separation of diamond OA to a “Balkanized” realm of unprofessionalism – and anti-commercialism – defined in opposition to the sleek commercial players. It is perfectly possible to run high-quality diamond models that have a commercial underpinning; it just requires some lateral thinking and goodwill. We must, in my view, resist this further equation of “diamond” with “botched DIY” or anti-commercialism. It is possible to do high-quality diamond OA that runs on a business model with underpinning commercial support.

It is perfectly possible to run high-quality diamond models that have a commercial underpinning; it just requires some lateral thinking and goodwill. We must, in my view, resist this further equation of “diamond” with “botched DIY” or anti-commercialism.

Indeed, I do not agree with everything in this report. At one point, for instance, it is suggested that “the apparent preference for OA diamond as opposed to APC based models in HSS need not be a direct consequence of the HSS field as such, but could also be more indirectly related via another explaining variable such as journal size”. I find this somewhat perplexing. It seems to me that the clear explanatory variable is, although perhaps not a direct consequence of the field, nonetheless a direct consequence of the funding of the HSS spaces. Namely: a lack of project funding makes it incredibly difficult to find APCs at the right place in the system. When work is funded systemically through time – or even just researcher’s own spare time – adding on the £3k APC to your own personal expenditure is simply not viable. The “dry funding climate”, or even perhaps desert, as Suber called it in the introduction to my book on OA and the humanities, seems to me a far more likely explanation for diamond in the humanities.[3]

There are also some challenges with the cOAlition S data. I should note, for reasons of conflict of interest, that my diamond publisher, the Open Library of Humanities (OLH), submitted to the diamond survey. Yet we weren’t always sure of the answers. In terms of “proportion of authors from the same institution” or “same country” as the journal? Readership stats and their global placement? We had to take an informed guess. It certainly, I am afraid to say, was not a rigorously scrutinised dataset.

Why not? One of the core problems to which the cOAlition S report gestures is the difficult funding situation for these titles. At OLH we implemented a low-cost business model for our 28 titles. We provide good value for money. But how much spare capacity do we have to respond to surveys like this? Very little. We run close to the wire in order to save libraries’ money. And this speaks to the project’s findings, which clearly highlight the financially fragile nature of this vast archipelago of scholarly titles. How can it be that so much of our research publication infrastructure is so wrongfully underfunded and reliant on volunteer labour while the likes of Elsevier make a 37% profit margin on billions of dollars revenue?

OA Diamond Journals Study

OA Diamond Journals Study

This is why, in some cases, diamond is a more apt metaphor than we might like. Real-world diamond mining is full of ethical pitfalls. The environmental damage has been extensive, but exploitation of workers through near-slave child labour in this field, in the service of global profit, is intolerable. Given the extensive donation of volunteer labour time in the diamond OA space – as signalled in the report – we should, I think, take pause (although I believe, also, that such a comparison potentially trivialises child labour in real diamond mining, which is not my intention).

The anarchic historical development of devolved scholarly communications is also a narrative within which diamond OA sits well. People see a need. They get off their backsides and put it into action. A new journal is born. This is certainly how I got started. But it has also come with problems as scholcomms has become more and more specialized – and more and more digitized.

Of particular concern is the lack of digital preservation at many of these titles – and, also, the number of journals issuing (Crossref) DOIs without any preservation, in contradiction to the contractual terms of the registration authorities. As the report authors note, “about 3,000 journals using DOIs actually reported they do not satisfy the criteria CrossRef has for journals to issue DOIs”. Initiatives such as PKP’s LOCKSS Preservation Network are significant steps in this regard. But, really, it would not cost much for a few prominent funders to establish a permanent online digital preservation network that could store our diamond scholarship, forever. Sci-Hub, the illegal trove of scientific papers gathered by Alexandra Elbakyan, runs to 60TB or so. A few NAS boxes running LOCKSS would cost just a few tens of thousands of pounds, with perhaps an overseeing manager appointed to maintain it. When “the large majority of survey journals have no archiving policies”, this feels like low-hanging fruit and an easy intervention.

The report comes with a large number of recommendations that are doubtless helpful. But I return to a familiar point throughout this report and that boils down to one fundamental tension. I believe that the best system of scholarly communications would be one in which authors could publish openly solely on the quality of their work (as judged by many peers) and readers did not have to pay: diamond. Yet funders and their policies favour sub-dividing into units of publication: books and articles (and will only fund the outputs from their own funded projects). This is the core issue at the heart of funding scholcomms today. We need, instead, an infrastructure: one that is continuously funded and that underlies our research publication cultures. At the same time, the demand for accountability and transparency across separate organisations pulls us back, consistently, towards per-unit breakdowns that mean that, when the funding stops, the lights go out.

I believe that the best system of scholarly communications would be one in which authors could publish openly solely on the quality of their work (as judged by many peers) and readers did not have to pay: diamond.

There are some challenges. The temptation is for funders to step in and to create an architecture within which diamond OA journals could find themselves a new home. A standardised infrastructure. On the other hand, this very move seems antithetical to the spirit of devolution in which diamond OA journals are created. That is, the very act of standardising and centralising is the opposite of what most – or, at least, many – diamond OA journals seem to want.

I believe we are at a crossroads. We will either, now, succumb to APCs and the research publication ecosystem will become even more stratified than it has been to date, along the lines of those-with APCs vs those without. Or we could embrace a revolution. Most diamond OA journals represent such a revolution in microcosm. Somebody decided that the existing system wasn’t good enough and did something to change it in founding their journal. If we could redirect resources to such systems, away from the profiteers, while supporting their infrastructure, we would do a lot more good for the world than we ever did by propping up Informa’s shareholders.

We will either, now, succumb to APCs and the research publication ecosystem will become even more stratified than it has been to date, along the lines of those-with APCs vs those without. Or we could embrace a revolution. Most diamond OA journals represent such a revolution in microcosm.

If university presses and other mission-driven publishers could embrace such an architecture, promising standards-driven open access that was free to all, could we not configure our economics around that, rather than configuring our scholarly communications around the economics?

 


Related reading:

Reflections on the OA Diamond Journals Study

Opportunities-in-waiting


 

[1]     Martin Paul Eve and Jonathan Gray, ‘Introduction’, in Reassembling Scholarly Communications: Histories, Infrastructures, and Global Politics of Open Access, ed. by Martin Paul Eve and Jonathan Gray (Cambridge,  MA: The MIT Press, 2020), pp. 1–22.

[2]     Peter Suber, Open Access, Essential Knowledge Series (Cambridge, MA: The MIT Press, 2012).

[3]     Peter Suber, ‘Preface’, in Open Access and the Humanities: Contexts, Controversies and the Future, by Martin Paul Eve (Cambridge: Cambridge University Press, 2014), pp. ix–xi.

Earlier this month, cOAlition S and Science Europe published an in-depth study of diamond open access journals, so called because they charge neither author(s) nor readers. The study comes in five parts, each of which can be a lot to digest. What I thought I’d try and do with this post was to pick some of the highlights from the study findings.

The first sensible question everyone always asks about diamond OA is: how? How can a journal afford to sustainably operate if it charges neither readers nor author(s)? The findings report reveals that there are a great variety of organisations that are willing to financially support the operation of diamond OA journals including universities, museums, government agencies, and learned societies. One I am familiar with is the European Journal of Taxonomy (est. 2011) which is financially supported by a consortium of ten European natural history institutions across seven different countries. Each year it publishes roughly a hundred articles and remains a well-regarded journal in taxonomy. To take a different example, the excellent Beilstein Journal of Organic Chemistry (est. 2005) is financially supported by the Beilstein Institute for the Advancement of Chemical Science, a German non-profit foundation. It makes sense for organisations to take on these costs and they are highly manageable.

The second question people tend to ask is, what about the costs? How can organisations afford to financially support journals, isn’t it costly? The report reveals that diamond OA journals tend to be run in a very economically efficient manner – one of the most obvious distinguishing factors here is the use of open source software. By using OJS, Lodel, Janeway, or some other open source system there is no recurrent charge owed to license expensive proprietary publishing platforms such as Silverchair or Literatum or RVHost that are more typical of commercial paywalled or APC-OA journals. The study’s survey found that over 60% of diamond OA journals reported annual costs in the previous year under $/€10,000, including in-kind contributions.  

Fascinatingly, we don’t even have a firm grip on just how many diamond OA journals there are out there on the world wide web. A key result from the study is the estimate that there are between 17,000 to 29,000 diamond OA journals currently in existence. The majority are small-scale and annually publish just 23 articles, compared to 25 articles (by median) for APC-OA journals. Yet collectively, by article volume diamond OA accounts for an impressive 8-9% of the total number of scholarly journal articles published per year, a close rival to the 10-11% of articles that are published in APC-OA journals. Diamond open access, at the article-level thus comprises 44% of all articles that are in fully open access journals – a significant and perhaps hugely underappreciated force in open access journal publishing.

Why don’t we hear more about diamond OA journals? Why don’t they have greater visibility? I couldn’t help but notice in the appendices of the study findings a wonderful list of diamond OA journals that had participated in the survey. Over 1000 of the diamond OA journals specifically identified in the study are not yet included in the Directory of Open Access Journals (DOAJ) which is the go-to place for most people seeking out OA journals. This is no real criticism of DOAJ, but it is a pity that seemingly excellent journals like Acarologia are not yet indexed in DOAJ. Thus recommendation 4.6 “to register OA diamond journals in DOAJ” stands out to me as an urgent need, and something that I have been helping-out with on a personal ad-hoc basis for some time now – some journals just don’t understand how or why they should apply to DOAJ, and they need help and encouragement to do so.

I look forward to a follow-up study in five years time. I would predict that in the near future this equitable form of open access where neither readers nor author(s) pay fees would account for a larger share of the overall system, especially in the light of traditional journals now transitioning to diamond OA states via processes such as ‘Subscribe to Open’ (S20).  If open access is to succeed globally, and across all disciplines, it must embrace and embolden forms of equitable open access such as diamond OA. I look forward to that future.

 


Related reading:

Diamond Mining

Opportunities-in-waiting


The statement published earlier today (3rd February) by the STM Association and signed by a number of its members (and a number of non-members), continues to perpetuate a number of myths and errors relating to the Rights Retention Strategy.

From the start it is worth stressing that cOAlition S continues to engage with many of the publishers who are signatories to the letter, supporting routes which enable the Version of Record (VoR) to be made Open Access.  Funders, like Wellcome, are not only supporting Article Processing Charges in fully open access journals, but also allow their funding to be used to support transformative arrangements – such as Read and Publish agreements – and more recently, transformative journals (which a number of signatories – including Elsevier and Springer Nature – have developed). Although the Rights Retention Strategy (RRS) is indeed being implemented as of January 2021, publishers have received notice of the Rights Retention Strategy since July 2020, and cOAlition S has held various meetings with them to discuss their concerns and explain what the RSS is trying to achieve.

We agree that management and support of the peer review process require significant resources. However, while we do not underestimate the value that publishers add to the process, we point out that peer review is conducted on a voluntary basis by the research community.

We are somewhat perplexed to read that the “Rights Retention Strategy ignores long-standing academic freedoms”. As these are left unspecified, it is hard to see how that could be the case. However, we believe the Rights Retention Strategy restores long-standing academic freedoms, in that it asserts the authors’ ownership of their publication after peer review, to re-use and share as they please. It is up to the publishers to demonstrate the added value of the Version of Record, for which cOAlition S funders are willing to pay, as we have repeatedly stated.

The paper also states – without substantiating this claim – that the Rights Retention Strategy will undermine the Version of Record. Again, how exactly this will be achieved is left unspecified. We allow for publishers to formulate conditions on the relation between the Author Accepted Manuscript and the Version of Record: publishers can stipulate that reference should always be made to the Version of Record. We also believe that the authors themselves have a vested interest in referring to the Version of Record. As is well known, peak re-submissions to ArXiv happen at the time of publication, which suggests that authors are uploading the AAM or the VoR. This seems not to have affected the integrity of the VoR, nor indeed publishers’ income. So we see no reason for this gloomy and wholly unsubstantiated prediction.

Furthermore, the statement attempts to confuse authors, stating ominously that “The signatory publishers (…) urge authors to consult with their journals of choice as to what is allowed.” Authors need not do any such thing. Using the Rights Retention Strategy is an individual right that authors have to assert intellectual ownership of their work. They do not need the publishers’ permission to exercise that right. In addition, the Rights Retention Strategy is now a contractual grant condition for cOAlition S grantees. It would be a matter of significant concern if we saw the publishers encouraging cOAlition S grantees to violate their contractual obligations with their funder.

Publishers are, of course, at liberty to reject all manuscripts which give notice to the publisher of the prior right to share their accepted manuscript.  Publishers who wish to do so, should contact cOAlition S so that we can update the Journal Checker Tool with this information.

In conclusion, cOAlition S funders are prepared to pay a fair, reasonable, and transparent fee for the services publishers provide to make the VoR Open Access. And, though we believe there is added value in the VoR, to ensure this model is widely adopted, publishers need to demonstrate to the research community that the value provided by making this version Open Access is commensurate with the price charged. cOAlition S’s ultimate goal is to make sure that the publications resulting from its funding are immediately made openly available for the entire world to benefit from, free from any embargo periods or paywalls.

 

February 3, 2021

 

Robert Kiley, cOAlition S Coordinator

Johan Rooryck, Executive Director, cOAlition S

The rhetoric of some scholarly publishers lately has shown a troublesome trend with respect to Open Access repositories (often referred to as Green OA). Most recently, the CEO of Springer Nature, Frank Vrancken Peeters, delivered a presentation to the Academic Publishing in Europe conference in which he mischaracterizes OA repositories in several ways. In that presentation, which I did not attend personally, but has been reported on by Porter Anderson in Publishing Perspectives, Peeters echoes a number of inaccuracies posted in an earlier OASPA guest blog, to which COAR immediately responded with Correcting the Record: The Critical Role of OA Repositories in Open Access and Open Science.

Unfortunately, I must again speak out, to correct the many errors contained in Peeters’ presentation. Contrary to what Peeters states:

  • OA repositories support Open Access and Open Science. The original definition of open access as defined by the Budapest Open Access Initiative included two paths: OA journals and OA repositories. Depositing an article in an OA repository without embargo is full open access (and, as such, this route is an option for compliance with Plan S).
  • OA repositories most often provide access to the author’s accepted manuscript (AAM), which can be licenced CC-BY and the text contained in the AAM differs very little from the formatted publisher version.
  • OA repositories can easily link to related content held elsewhere, including published versions, datasets, and other related materials. They also include open metrics and employ open standards and software.
  • Articles in OA repositories are discoverable through major discovery systems including Google Scholar, Unpaywall, OpenAIRE, CORE, LA Referencia and so on. Researchers do not need to search through individual repositories to find the articles contained in repositories.

The great irony is that the themes touched on in Peeters’ presentation were trust, openness, and transparency. But those values are undermined by the misrepresentations in his presentation, not to mention a history of obfuscations by some publishers about open access and the widespread use of non-disclosure agreements.

What is motivating these developments? I can only assume that these publishers are concerned about protecting their revenues in the face of a growing number of policies coming into effect, such as Plan S. It is painfully clear that this is not about quality or trust, but about maintaining control, preserving the traditional publishing paradigm, and protecting profit margins.

Perhaps not coincidentally, this hyperbole comes at the same time as a group of scholarly publishers are proposing to define the repository selection criteria for where their authors’ should deposit research data. These criteria, which are very narrowly conceived, threaten to exclude thousands of national and institutional repositories as options for deposit.

As service providers, scholarly publishers should not be defining the requirements for research communications. Rather, it is the role of the research community, the funders, and research institutions to specify these conditions. The role of scholarly publishers is to develop services that support the needs of the research community.

A mixed, complementary approach to the practice of open access, via OA journals and OA repositories, is both necessary and desirable for the future of open science. This will allow for greater innovation in scholarly publishing, a model which has not markedly evolved over the last 350 years, despite significant flaws. Furthermore, Open Access based on an APC payment model is not achievable, equitable, or sustainable over the long term for some countries and regions. Many researchers around the world simply do not have the means to pay OA publishing fees (APCs), nor do their governments or institutions have money for transformational agreements.

So, let’s not allow the rhetoric to percolate or pass by unchallenged. OA repositories – managed by long-lived and trusted institutions – are critical infrastructures for open science and part and parcel of the foundation for a sustainable and equitable scholarly communication system.

Repositories as key links in the cOAlition S Rights Retention Strategy

In the previous blogs, I covered Plan S and the requirements for repositories, and the benefits of deposit & dissemination of research findings via repositories. In this piece, I focus on the cOAlition S Rights Retention Strategy and how it relates to repositories. I also take a brief look into possible futures.

From 1st January 2021, the cOAlition S Rights Retention Strategy (RRS) will start to be implemented by funders. A key reason for adopting this initiative is to allow authors to have the widest possible range of journals to choose from for article submission and to make sure they take advantage of the benefits of OA, whilst meeting their funder’s OA requirements. The RRS is not principally about compliance – OA should never primarily be about box-ticking and compliance – it is about restoring intellectual control of works describing research findings to the authors themselves. Adoption of the RRS gives authors the security that acceptance of their article for submission ensures that they can eventually make their work OA either via the Version of Record (VoR), or the author accepted manuscript (AAM), independently of the choice of venue (fully OA or subscription journal).

The RRS cuts through much of the confusion, obfuscation, and – to be frank – utter nonsense surrounding copyright transfer claims made by some publishers. Take for example the incorrect claim that copyright transfer is required to ensure the widest possible dissemination of a work, as stated by Cell Press:

Upon acceptance of an article, authors will be asked to transfer copyright. This transfer will ensure the widest possible dissemination of information.

The author only needs to grant a licence to publish to the publisher for it to have the rights it needs to publish and disseminate the work (with the caveat that additional permissions and exclusive rights, if signed by an author, can be as restrictive as wholesale transfer of copyright) – it does not need transfer of copyright. Transfer of copyright enables the publisher to control the use of the article, which can include putting it behind a paywall and imposing embargoes on AAMs, which is hardly ensuring widest possible dissemination.

There is also this strange example in AAP journals (see ‘Pediatrics’) that imposes a 12-month embargo on articles which can then be followed by open access for a limited period of four years. Exactly what benefit is accrued to authors or to scholarship when access is closed down after four years is hard to imagine. The RRS eliminates this sort of absurdity and other inconsistencies that only serve to confuse both authors and readers, and prevent full, immediate, and long-term access to research findings.

cOAlition S is mindful of the choices of areas of the world where repository OA is currently the preferred and only practical option. In some countries, funders cannot afford the expensive OA options paid for by more wealthy funders of the global north. In these countries, repository OA is currently the only workable (and often preferred) solution. cOAlition S is also aware of the situation of small publishers and small learned societies. Some specialist journals might only publish a handful of cOAlition S funded papers every year. Such journals often have minimal resources, so a commitment to ‘flip’ to a fully OA journal is not always viable in the near future. In this situation, the repository OA option enables them to offer a workable immediate OA solution for their authors.

Differing views on the pros and cons of immediate repository OA have been well-rehearsed elsewhere (for example see Times Higher 23/4/19, Scholarly Kitchen 16/12/19 and 18/12/13, RSB presentation 2012,  Unlocking Research 20/5/16 and LSE blog 14/1/14), but there is no evidence so far that the OA availability of AAMs in repositories harms library subscription of the corresponding VoRs. In fact, a number of publishers already permit zero embargo for AAMs, some with CC BY licences. Emerald Publishing recently partnered with Jisc to extend its existing zero embargo policy so that OA AAMs “will be auto-deposited to their institutional repository via Jisc’s Publications Router when their institution has a subscription to the journal. Articles will be deposited based on the author’s affiliation at the time of submission, under a UKRI OA compliant licence.” I feel sure that Emerald would not have made this move if they felt it would toll the death-knell for its journals.

In recent news, AAAS Science journals have adopted a trial new OA policy that actively enables the cOAlition S RRS including for its prominent title Science. Under this new open-access policy, cOAlition S ‘authors may deposit near-final, peer-reviewed versions of papers accepted by paywalled Science titles in publicly accessible online repositories’ under a CC BY licence. cOalition S has welcomed this move. This development is particularly notable because it is in direct opposition to the direction taken by its competitor Springer Nature, which publishes the journal Nature. Although a pilot for 12 months, again, I think it is highly unlikely that such high profile journals as Science titles would have adopted the new policy and embrace the green route solution and its benefits, if its management felt that it would contribute to the downfall of the publication.

Horizon gazing

As mentioned previously, cOAlition S supports mixed models for OA. In this respect, depositing AAMs and other works in OA repositories is ‘supportive of innovation whilst also collectively managed by the scholarly community’ (COAR Next Generation Repositories Report). My prediction is that in 5 years’ time we shall be seeing much greater roles for pre-prints, micro-publishing (e.g. microPublication Biology), other forms of research description that support open science (e.g. registered reports), overlay peer review (e.g. PCI), combined with improved forms of research evaluation. I would hazard a guess that author rights retention and repositories will play a positive supporting role in getting scholarship to that point.

The many benefits of repositories

In the previous blog, I examined the cOAlition S mandate for depositing copies of articles in repositories. One of the main drivers for this requirement is a commitment to long-term preservation[1].

Moving on to the purpose of repositories[2]. Repositories – particularly institutional repositories – are much more than the rather quaint efforts to challenge major publishers that they are sometimes made out to be. They serve many important functions and, as they continue to develop, enhance the research support infrastructure of their institutions.

The advantages and benefits of repositories are numerous:

  • Repositories maximise visibility, dissemination and use: for example, Harvard DASH repository recently reached 40 million downloads (15/12/2020).
  • Repositories enable metadata harvesting of their content which amplifies visibility and discoverability, especially by aggregators such as BASE, OpenAIRE, and CORE which recently reached 30 million visits per month.
  • Repositories provide additional publicity for individual works and usually include item record DOI links to the publisher’s version.
  • “Try before you buy.” Many people and organisations do not have paid access to articles: charities, businesses, retired researchers, patients, the general public, and so on. In addition, many universities have limited subscriptions. Repositories enable these users to decide if it’s worth them spending £30 – £40 or so on the publisher’s version of record (VoR). This function is especially useful when running a major (i.e. potentially expensive) literature search.
  • Repositories impose no additional costs or limits on supplementary supporting content, including word count, extra pages, colour diagrams and images, etc. that were not able to be included in the publisher’s version of record (VoR). For example, as stated in a recent Tweetthere is a lot more work that we wish we could have cited. But honestly, it’s tricky with the journal’s very tight length restrictions, so we had to cut quite a lot of text/discussions, refs, etc., unfortunately.” Additional supporting content can be archived along with the paper.
  • Trustworthy repositories make a commitment to digital preservation or, at the very least, a robust exit strategy.
  • Repositories are not limited to author accepted manuscripts (AAMs) – open access versions of record and other versions can be deposited as preferred.
  • Repositories provide control of the scholarly corpus that is not dependent on commercial priorities or whims.

In addition, institutional repositories (IRs) provide the following benefits:

  • The repository acts as a ‘shop window’ of the organization’s research.
  • All research item types can be deposited including research theses, conference papers, posters & presentations, book sections, reports, working & discussion papers, and increasingly data, etc. It is this feature that makes the repository the organization’s research archive and ‘shop window’.
  • IRs are particularly useful for publicising individual book sections and chapters that are ‘hidden’ within an edited volume.
  • They keep a local copy for the institution. In my opinion, it is shocking that, in the past, HEIs have not habitually retained local copies of the works published in their own names – their own ‘crown jewels’ of research findings. Why would the responsibility for these valuable works have been cast to the four winds and a variety of external third parties, without keeping a local copy as well?

cOAlition S encourages high standards for repositories

By including repositories as a major strand for OA, cOAlition S is keen that high standards are maintained, implemented and, where relevant, aspired to. To this end, the group is in close contact with COAR (Confederation of OA Repositories) and other repository standards ‘influencers.’

Scholarly communications infrastructure, particularly in relation to metadata, is something of a leviathan. However, when it is universally implemented meeting common standards, it has the potential to simplify and improve research dissemination and discovery. This is especially true as persistent identifiers (PIDs) are becoming ubiquitous (see for example project FREYA that aimed “to build the infrastructure for persistent identifiers as a core component of open science, in the EU and globally”). In the Plan S technical requirements for repositories, cOAlition S encourages widespread adoption of common, interoperable, and machine-readable PIDs that comply with commonly adopted community standards, as well as other descriptive and administrative metadata.

To assist repositories in meeting these high requirements, cOAlition S has provided FAQs and practical advice for repository managers. cOAlition S is working with the repository community so we pull in a common direction, and the group deeply values collaboration with COAR, CORE, and representatives from repositories in France, Finland, Jisc (UK) and other countries.

 

In the final blog, I shall describe how the cOAlition S rights retention strategy fits with the repository route to OA.

 


[1] On this topic I recommend reading the final chapter (Why we will always need libraries and archives) of Richard Ovenden’s recent work ‘Burning the books: A history of knowledge under attack.’ John Murray Publishing 9781529378757

[2] I should state my personal bias here as a former repository manager from 2004, at both LSE and at Bodleian Libraries, University of Oxford.

cOAlition S funders’ repository requirements: unity in diversity

When Plan S was launched in 2018, it gained a reputation as a Gold Open Access (OA) initiative focused on paying for Article Processing Charges (APC). See for example “Plan S: A mandate for Gold OA with lots of strings attached.” That may have been fair criticism at the time. However, Plan S was revised in 2019 in response to community feedback (>600 responses). As a result, greater emphasis was given to Open Access via repositories.

Put simply, Plan S has as its core principle that the results from research funded by its organisations must be published in immediate OA with a public open licence. That can be achieved via one of three routes. One of those three routes to OA is publication in a subscription journal with a copy of the peer reviewed work (Author’s Accepted Manuscript – AAM) made immediately available in a repository. This is commonly referred to as ‘Green’ OA. Plan S also states that “cOAlition S strongly encourages the deposition of all publications in a repository, irrespective of the chosen route to compliance. Several cOAlition S members require deposition of all attributed research articles in a repository.”

cOAlition S requirements and repositories

cOAlition S is a global alliance, and intends to increase global spread and reach for OA. The group also aims to promote a diversity of OA models. cOAlition S comprises a diverse set of organisations that are in the process of aligning their OA policies with Plan S principles. Individual policies may result in slightly differing preferences for deposit in a repository. For example:

  • European Commission: Horizon 2020 OA policy: Mandatory for all articles. “Beneficiaries must deposit a machine-readable electronic copy of the published version or final peer-reviewed manuscript accepted for publication in a repository for scientific publications. This must be done as soon as possible and at the latest upon publication. This step applies even where open access publishing (‘gold’ open access) is chosen to ensure that the article is preserved in the long term.”
  • Agence Nationale de la Recherche (ANR) Open science policy: Mandatory for all articles. “As part of the ANR’s contribution to … open science, and in line with the National Plan for Open Science, the funded project coordinator and partners must undertake to submit the scientific publications (full text) resulting from the research project to an open archive, either directly in HAL [French national repository] or via a local institutional archive, in accordance with the conditions in article 30 of the French “For a digital republic” act.”
  • Wellcome Trust OA policy from 1st January 2020: Mandatory for all articles. “All research articles supported in whole or in part by Wellcome must be made freely available through PubMed Central (PMC) and Europe PMC by the official final publication date…

Such mandatory requirements for all articles find their origin in the Berlin Declaration on OA which is cited in Plan S (my emphasis):

A complete version of the work … is deposited (and thus published) in at least one online repository using suitable technical standards … that is supported and maintained by an academic institution, scholarly society, government agency, or other well-established organization that seeks to enable open access, unrestricted distribution, interoperability, and long-term archiving.”

This requires distributed control or governance of the repository and its content; governance that does not prioritise commercial considerations (e.g. shareholder dividends); openness and sharing in all aspects; and focus on longevity. There are examples of different types of repositories that fulfil this remit, including subject repositories (e.g. EPMC), general open repositories (e.g. Zenodo); National/Regional repositories (e.g. La Referencia, HAL or Jisc Research Repository); Institutional repositories owned and managed by a Higher Education Institution (HEI) (see OpenDOAR). Such repositories tend to publicly state a commitment to longevity and/or an exit strategy (to be implemented if the service were to close for any reason). For example, see the Zenodo terms on ‘Longevity,’ ‘Retention’ and ‘Succession’ and HAL which sends files to the publicly owned CINES for long-term archiving. This chimes with the cOAlition S priorities for openness combined with a clear commitment to longevity and preservation.

Even with a preservation policy, a repository might include terms and conditions that appear to conflict with that policy. For example, in Figshare (my emphasis):

While Figshare is not responsible for any User Submission, it reserves the right to remove or block any User Submission from the Service at any time, without notice and for any reason.

And

Figshare reserves the right, at its sole discretion, to change, suspend, or discontinue any part of the Service at any time without notice to you. This may involve the removal of any Content from the Service.”

 

In the next blog, I shall explore why cOAlition S wishes to reap the many benefits of repositories.