David Ball's Keynote Speech from our Annual Member's Day on the 9th February 2015 discussing Open Access as it stands now and where it might lead in the future. David later took part in our CILIP Debates session on Open Access

1. David Ball
David Ball Consulting
February 2015

2.  What’s it all mean: some definitions
 Toll
 Gratis and Libre
 Green and Gold
 Growth of OA
 Current research on policies and mandates
 Scholarly monographs
David Ball Consulting 2

3.  Apply for grant funding: government,
public bodies, charities…
 Research
 Submit article on findings for peer
review
 Copyright (generally) made over to
publisher
 Dissemination by subscription journals
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4.  Reader-side, as opposed to author-side,
payment
 Payment to access; no other rights
 Subscription to a journal – individual or
library
 Big Deals - collective
 Purchase copy of an article
 Purchase/ subscribe to monograph
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5. By "open access" to this literature, we mean its free
availability on the public internet, permitting any
users to read, download, copy, distribute, print,
search, or link to the full texts of these articles, crawl
them for indexing, pass them as data to software, or
use them for any other lawful purpose, without
financial, legal, or technical barriers other than those
inseparable from gaining access to the internet itself.
The only constraint on reproduction and distribution,
and the only role for copyright in this domain, should
be to give authors control over the integrity of their
work and the right to be properly acknowledged and
cited.
Budapest Open Access Initiative, 2002
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6.  Peter Suber
 OA literature is “digital, online, free of
charge, and free of most [some]
copyright and licensing restrictions”
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7.  Context: intellectual property law offers
limited “fair dealing” or “fair use” exemptions
(has been limited by licences)
 Gratis OA is free of charge to access but subject
to the limits of fair dealing; removes toll
barriers but not permission barriers
 Libre OA is both free of charge and free of at
least some legal and licensing restrictions;
removes toll barriers and at least some
permission barriers. Creative Commons.
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8.  Green OA is delivered through self-archiving
 authors deposit manuscripts/pre-prints of articles in
repositories
 institutional repositories aim to capture all the articles
produced by a particular institution
 disciplinary repositories aim to capture all the articles in a
particular discipline
 Gold OA is delivered through journals
 these may be completely OA or hybrid, where some
articles are OA and others toll access
 Some Gold OA monographs
 Both Green and Gold OA are gratis. Green OA
generally is only gratis; Gold OA may be libre
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9.  Relies on a recent but well established
infrastructure of repositories
 Easy and cheap
 Does not incur the overheads of peer-review
 Deposited articles may be, most often have been,
peer-reviewed for publication in TA journals
 Is compatible with subscription journal publishing:
embargoes
 Is hospitable to many other types of document,
notably research datasets
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10.  Offers articles, in both OA and hybrid journals,
that are peer-reviewed for publication
 Incurs the same costs for the editorial and peer
review process as TA journal publishing
 Author-side payment of article processing costs
(APCs)
 Is always immediate, while Green OA is often
subject to time embargoes imposed by
subscription journal publishers
 Provides access to the published version of an
article
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11.  Gold
 Currently small percentage of total, but growing
 Number of articles doubles every 2-3 years
(European Commission)?
 25% of articles within 10 years?
 Journal growth in developing countries
 Green
 Repositories – 25m items? 38m items?
 Only 15.5% of articles are deposited (PASTEUR4OA)
 Google Scholar
 Resource discovery systems
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12.  Wellcome Trust, NIH 2005
 Finch Report 2012
 Support for publication in open access or hybrid
journals, funded by APCs
 Licence to cover health and R&D sectors, walk-in
access in public libraries
 Research Councils UK
 Green: allows embargoes 6-12 months
 Funding for APCs
 REF 2020 – deposit in repositories required
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13.  Open Access is mandatory for peer-reviewed
publications
 The policy is a ‘Green’ OA mandate (repositories)
 Publish as normal in subscription-based journals
 Place author’s copy in OA repository
 For ‘Gold’ OA, permits payments from grants for
OA journal publication fees
 Says nothing about OA for monographs, but there
may be some attention to this issue as time goes on
 The policy is very definite about Open Research
Data, announcing an Open Data pilot for the
H2020 programme
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14.  PASTEUR4OA (FP7)
 ROARMAP updated
 Regression analyses
 Success criteria:
 Must (i.e. mandated) deposit
 Deposit cannot be waived
 Link deposit with research evaluation
 Deposit immediately on acceptance
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15.  Vehicle for disseminating research findings in
humanities and social sciences
 Print runs of 200?
 Low/no royalties
 Low/no research grants
 Prime candidate for OA?
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16.  Monographs are available in 3 editions:
 free to read (PDF only)
 digital (downloadable, with functionality to annotate etc.)
 printed editions (PoD)
 Revenue is derived from:
 monograph processing charges (MPCs)
 added value services to libraries and individuals
 print-on-demand
 Problems include: lack of visibility of free edition;
source of MPCs
 Example: Open Book Publishers, Ubiquity Press
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17.  Peter Suber, Open Access, MIT Press, 2012
(OA)
 PASTEUR4OA (http://www.pasteur4oa.eu/)
 FOSTER
(https://www.fosteropenscience.eu/)
 UKeiG Training: Open Access: How it will
change your (professional) life (24 March, CILIP
HQ)
David Ball Consulting
davidball1611@gmail.com
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18.  A product of the latest ICT revolution
 Impossible to predict impact
 A disruptive technology?
 Fast and fundamental change
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19.  Costs:
 Editorial boards – staffed by academics for nothing?
 Peer review – done by academics for nothing?
 Authors/institutions donate their IPR
 Production and distribution
 Marketing
 Managing subscriptions, policing rights etc.
 Met by:
 Page and plate charges?
 Subscriptions - UK HE journal subscription costs £170m a
year
 Advertising
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20.  Setting up and maintaining institutional and
discipline repositories
 Depositing items
 Swan - annual cost of institutional repositories
£26k-£210k (including capital investment)?
 Cost per article deposited £6-£15?
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21.  Costs:
 As for Toll Access
 But distribution and rights management costs
minimal?
 Met by:
 Article processing charges(APCs) - £5-£2500? Met by
(STM) funders?
 Subsidies from learned bodies/institutions?
 Advertising
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22.  350 years of toll access (subscriptions)
 Embedded in institutional systems, procedures and
budgets
 Infrastructure of intermediaries
 Increasingly through (efficient but expensive) Big
Deals
 How do we change gear to APCs?
 Granularity (single article versus Big Deal)
 Internal and external systems
 Infrastructure
 Competitive market in APCs?
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23.  Gold
 Currently small percentage of total, but growing
 Number of articles doubles every 2-3 years?
 25% of articles within 10 years?
 Disruptive technology - 60% within 10 years?
 Green
 Repositories – 25m items? 38m items?
 Google Scholar
 Resource discovery systems
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24.  Citation advantage
 Difficult to measure
 Clear indication of some advantage (Swan)
 Publication of associated data-sets (now required by
funders) is advantageous
 High impact in medicine
 Quality
 APC-funded OA at 70% of impact factor of toll access
 OA and TA journals founded since 2002 have similar
impact
 Variance across disciplines
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25.  Gold standard of research – yet problems - MMR
 OA provides free access to research, not access to
articles free of peer review
 No longer needed to ration scarce space
 New models
 Light initial touch
 Debate by scholarly community
 Dynamic content
 Publication of data, overlay journals, social
media…
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26.  Registration: to provide a time stamp to
establish paternity
 Certification or validation: to provide a stamp
of quality, generally through peer review
 Awareness: distribution/access
 Archiving: preservation
Traditional publishing (print or electronic)
subsumes the first 3 functions in publication
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27.  Of the four functions OA is only about access,
secondarily about timing
 OA is neutral/agnostic about peer review,
copyright, etc.
 Perfectly hospitable to the practices of
traditional journal publishing
 But it does enable new approaches and
practices in research
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