Strategic overview: the Strategic overview: the politics of e-access and e-politics of e-access and e-

funding in the library funding in the library environmentenvironment

Andrew BoothAndrew Booth, Director of Information , Director of Information Resources and Senior Lecturer in Resources and Senior Lecturer in

Evidence-Based Healthcare Information, Evidence-Based Healthcare Information, School of Health and Related Research School of Health and Related Research

(ScHARR), (ScHARR), University of SheffieldUniversity of Sheffield

A modern fable…A modern fable…

• Honest John Honest John Porlywhite, Porlywhite, entrepreneur, comes entrepreneur, comes to you with a novel to you with a novel idea. Why don’t YOU idea. Why don’t YOU use YOUR intellectual use YOUR intellectual capacity to invent a capacity to invent a new confectionery? new confectionery?

• First YOU will write a First YOU will write a business case for it business case for it

“Yes, but what will you do?

Next stepsNext steps

• Then YOU will go to a Then YOU will go to a funder to get support funder to get support to produce it.to produce it.

• YOU and YOUR YOU and YOUR colleagues will spend colleagues will spend two years developing two years developing and improving it and improving it “Yes, but what will you

do?

Are you following?Are you following?

• Then YOU will send it to a further colleague who Then YOU will send it to a further colleague who will taste it and ensure it has potentialwill taste it and ensure it has potential

• YOUR colleague will send it to two more YOUR colleague will send it to two more independent colleagues of YOURS who will also independent colleagues of YOURS who will also taste it and write a brief report about ittaste it and write a brief report about it

• THEY will suggest how it might be improvedTHEY will suggest how it might be improved• YOU will improve itYOU will improve it• YOU will perfect it and YOU will provide all the YOU will perfect it and YOU will provide all the

ingredients and labour for a marketable batch ingredients and labour for a marketable batch using YOUR employer’s time and YOUR funder’s using YOUR employer’s time and YOUR funder’s moneymoney

What will Honest John do?What will Honest John do?

• He will put YOUR Serial He will put YOUR Serial bar in his cake shop bar in his cake shop windowwindow

• He will let his customers He will let his customers viewview YOUR Serial bar YOUR Serial bar

• They will even be able to They will even be able to “Pay per “Pay per SniffSniff””

• But…if they actually want But…if they actually want to to eateat it they will have to it they will have to buy all the other cakes in buy all the other cakes in the shop and sometimes… the shop and sometimes…

They will have to buy…They will have to buy…

• A A bundlebundle of all of all the cakes from the cakes from an an arbitrary arbitrary selectionselection of all of all Honest John’sHonest John’s other shops too!other shops too!

PorlywhiteBakeringp

Who can eat your serial Who can eat your serial bar?bar?• Your funder can only eat it if he buys all Your funder can only eat it if he buys all

the other cakes in the shopthe other cakes in the shop• Your organisation can only eat it if it does Your organisation can only eat it if it does

so in a closed roomso in a closed room• Your colleagues are given a small batch to Your colleagues are given a small batch to

give away one at a timegive away one at a time• And you can only give one away to And you can only give one away to

someone if they come to your private someone if they come to your private address and ring your doorbell address and ring your doorbell

And the moral of this fable And the moral of this fable is…is…

It is only Journal Publishers It is only Journal Publishers that manage to have their that manage to have their

cake and eat it too!cake and eat it too!

And that is why…And that is why…

• We in the We in the academic academic community want to community want to go Open Access!go Open Access!

An open access publication is An open access publication is when: when:

• The author(s) and copyright holder(s) grant(s) to all users a The author(s) and copyright holder(s) grant(s) to all users a free, irrevocable, worldwide, perpetual (for the lifetime of the free, irrevocable, worldwide, perpetual (for the lifetime of the applicable copyright) right of access to, and a licence to copy, applicable copyright) right of access to, and a licence to copy, use, distribute, perform and display the work publicly and to use, distribute, perform and display the work publicly and to make and distribute derivative works in any digital medium make and distribute derivative works in any digital medium for any reasonable purposefor any reasonable purpose, subject to proper attribution of , subject to proper attribution of authorship, as well as the right to make small numbers of authorship, as well as the right to make small numbers of printed copies for their personal use. printed copies for their personal use.

• A complete version [and all supplemental materials, including A complete version [and all supplemental materials, including a copy of the permission]…is deposited immediately upon a copy of the permission]…is deposited immediately upon initial publicationinitial publication in at least one online repositoryin at least one online repository …supported …supported by an academic institution, scholarly society, government by an academic institution, scholarly society, government agency, or other well-established organization that seeks to agency, or other well-established organization that seeks to enable open access, unrestricted distribution, interoperability, enable open access, unrestricted distribution, interoperability, and long-term archiving…and long-term archiving…

But enough of the rhetoric…But enough of the rhetoric…

• “…“…the global scientific research community could the global scientific research community could save more than 40% in costs by switching save more than 40% in costs by switching entirely to an open-access model.  entirely to an open-access model.  [Comparison [Comparison of current annual spending on scientific journals of current annual spending on scientific journals at Cornell, Yale, and Princeton universities with at Cornell, Yale, and Princeton universities with estimated spending under open-access].estimated spending under open-access].    Assuming current published article numbers of Assuming current published article numbers of 3,900, 3,600 and 2,500 respectively, we estimate 3,900, 3,600 and 2,500 respectively, we estimate the corresponding cost savings at 20%, 35% and the corresponding cost savings at 20%, 35% and 40%”. 40%”.

(BNP Paribas, 2003)(BNP Paribas, 2003)

A personal viewA personal view

• Library Manager (£ 20,000 on journals p.a.)Library Manager (£ 20,000 on journals p.a.)• Library User (University Library Committee)Library User (University Library Committee)• Author (40+ peer reviewed articles)Author (40+ peer reviewed articles)• Researcher (Referee on NHS Programmes)Researcher (Referee on NHS Programmes)• Teacher (MSc in Health Services Research & Teacher (MSc in Health Services Research &

MSc in Health Informatics)MSc in Health Informatics)• Editorial Team member (e.g. Health Editorial Team member (e.g. Health

Information & Libraries Journal)Information & Libraries Journal)

Stakeholder analysis – Stakeholder analysis – Librarian perspectiveLibrarian perspective

Low TrustLow Trust High TrustHigh Trust

High High AgreementAgreement

Commercial open Commercial open access publishersaccess publishers

Authors/EditorsAuthors/Editors

ResearchersResearchers

Teaching staffTeaching staff

NfP OA publishersNfP OA publishers

Academic Academic institutionsinstitutions

Low Low agreementagreement

Traditional Traditional publisherspublishers

Subscription AgentsSubscription Agents

RAE PanelsRAE Panels

The Librarian’s PerspectiveThe Librarian’s Perspective

• continuing journal inflationcontinuing journal inflation• declining budgetsdeclining budgets• confusing pricing models, confusing pricing models, • cancellationscancellations• getting and keeping online access,getting and keeping online access,• educating academics about the perils of educating academics about the perils of

the current model, the current model, • making hard choices between serial and making hard choices between serial and

monograph purchases. monograph purchases.

The Editor’s PerspectiveThe Editor’s Perspective

• To secure a wide base of authors, peer-To secure a wide base of authors, peer-reviewed open-access journals must reviewed open-access journals must prove that they can offer prove that they can offer similar or similar or better visibility than their subscription-better visibility than their subscription-driven counterpartsdriven counterparts…they will need to …they will need to generate identical or higher impact generate identical or higher impact factors…more a question of time than a factors…more a question of time than a structural issue... structural issue...

(BNP Paribas, 2003)(BNP Paribas, 2003)

Impact factorsImpact factors

• the correlation between impact factors and pricing for a the correlation between impact factors and pricing for a sample of Reed Elsevier's STM journals shows a sample of Reed Elsevier's STM journals shows a correlation coefficient of only 0.1…correlation coefficient of only 0.1…higher impact factors higher impact factors do not necessarily warrant higher pricesdo not necessarily warrant higher prices..

(BNP Paribas, 2003)(BNP Paribas, 2003)• Open Access journals published by BioMed Central have Open Access journals published by BioMed Central have

…impact factors for 2003 that compare well with …impact factors for 2003 that compare well with equivalent subscription titles. The high impact factors, equivalent subscription titles. The high impact factors, all for journals that are just a few years old, show that all for journals that are just a few years old, show that by making quality articles much more widely visible, by making quality articles much more widely visible, Open Access to research literature achieves impact fast.Open Access to research literature achieves impact fast.

(BMC Press release 24 June 2004)(BMC Press release 24 June 2004)

The Author’s perspectiveThe Author’s perspective

• Under open-access authors retain the copyrights, Under open-access authors retain the copyrights, thereby breaking the publishers' monopoly…The thereby breaking the publishers' monopoly…The result would be result would be competition for manuscriptscompetition for manuscripts quite the opposite of the current model where quite the opposite of the current model where manuscripts compete for space in journals.  manuscripts compete for space in journals. 

• Pricing power could move to the authorPricing power could move to the author…open-…open-access may increase market competition for access may increase market competition for content as publishers will have to work harder to content as publishers will have to work harder to attract authors' manuscripts and generate attract authors' manuscripts and generate revenues.  In our opinion, authors would be likely revenues.  In our opinion, authors would be likely to consider three key factors in their decision to to consider three key factors in their decision to publish: publish: the speed of publication, the quality of the speed of publication, the quality of the journal and the upfront charge.the journal and the upfront charge.

(BNP Paribas, 2003)(BNP Paribas, 2003)

The Author’s perspective - 2The Author’s perspective - 2

• Open-access Open-access increases the chances of authors having increases the chances of authors having their work read and citedtheir work read and cited by expanding the potential by expanding the potential reader base, and…can support and promote the reader base, and…can support and promote the authors. Open-access has the potential to improve authors. Open-access has the potential to improve communication among scientists, as well as among communication among scientists, as well as among the research community and the general public…the research community and the general public…

• Under Under open-access…the cost of publishing STM open-access…the cost of publishing STM articles could be loweredarticles could be lowered for universities and research for universities and research institutions...[institutions...[based on the critical assumption that based on the critical assumption that submission costs per article would be less than the submission costs per article would be less than the subscription revenues per article implied by the subscription revenues per article implied by the current modelcurrent model]. ].

(BNP Paribas, 2003)(BNP Paribas, 2003)

The Funder’s PerspectiveThe Funder’s Perspective

• £1100 payment by authors would allow a £1100 payment by authors would allow a workable, high quality, and sustainable workable, high quality, and sustainable publishing model…compared with an publishing model…compared with an average cost of £1500 per paper for papers average cost of £1500 per paper for papers published under the traditional system. the published under the traditional system. the author pays model…a viable option…less author pays model…a viable option…less costly and to have the potential to serve the costly and to have the potential to serve the scientific community successfully.scientific community successfully.

Costs and Business Models in Scientific Costs and Business Models in Scientific Research PublishingResearch Publishing

The Funder’s Perspective – The Funder’s Perspective – 2 2 • "The benefits of research are derived principally from "The benefits of research are derived principally from

access to research results," …the current subscriber access to research results," …the current subscriber pays system [gives] a small number of publishers pays system [gives] a small number of publishers almost complete control over the distribution of almost complete control over the distribution of research that in 90% of cases had public funding. Profits research that in 90% of cases had public funding. Profits of up to 40% [are] being made through this system. of up to 40% [are] being made through this system.

• Subscription fees have risen by 200% in the last decade Subscription fees have risen by 200% in the last decade and currently cost UK universities £76m a year. The and currently cost UK universities £76m a year. The total cost of access to research for Wellcome Trust total cost of access to research for Wellcome Trust funded scientists under an funded scientists under an open accessopen access system would system would add an additional 1% to the costs of research. add an additional 1% to the costs of research.

Costs and Business Models in Scientific Research Costs and Business Models in Scientific Research PublishingPublishing

Scientific publishing: A position Scientific publishing: A position statement by the Wellcome statement by the Wellcome Trust…Trust…The Trust The Trust • welcomes the establishment of free-access, high-welcomes the establishment of free-access, high-

quality scientific journals available via the Internet;quality scientific journals available via the Internet;• will encourage and support formation of such will encourage and support formation of such

journals and/or free-access repositories for journals and/or free-access repositories for research papers;research papers;

• will meet…publication charges by permitting Trust will meet…publication charges by permitting Trust researchers to use contingency funds for this researchers to use contingency funds for this purpose;purpose;

• encourages researchers to maximize the encourages researchers to maximize the opportunities to opportunities to make their results available for free and, where make their results available for free and, where possible, retain their copyright…possible, retain their copyright…

But will [when will?] the But will [when will?] the Research Assessment Research Assessment Exercise follow suit?Exercise follow suit?

““affirms the principle that it is the intrinsic affirms the principle that it is the intrinsic merit of the work, and not the title of the merit of the work, and not the title of the journal in which a researcher's work is journal in which a researcher's work is published, that should be considered in published, that should be considered in funding decisions and awarding grants”.funding decisions and awarding grants”.

The likely consequences:The likely consequences:

• Open access journals will be cited moreOpen access journals will be cited more

• Migration from “profiteering” publishersMigration from “profiteering” publishers

• The article, not the journal becomes the The article, not the journal becomes the unit of analysisunit of analysis

• Fewer articles get read completelyFewer articles get read completely

• Need to substitute for serendipityNeed to substitute for serendipity

• Change of role for subscription agentsChange of role for subscription agents

A BMJ perspectiveA BMJ perspective

• In the paper world, each extra copy of an In the paper world, each extra copy of an article or a journal comes at cost—for article or a journal comes at cost—for paper, print, binding, and postage. paper, print, binding, and postage.

• By comparison, on the web the distribution By comparison, on the web the distribution costs are virtually zero (for bmj.com they costs are virtually zero (for bmj.com they amount to about 0.3 pence/article). amount to about 0.3 pence/article).

• If the fixed costs of article processing If the fixed costs of article processing could be recovered on input to the system could be recovered on input to the system then the output could be made available then the output could be made available free to everyone who was interested. free to everyone who was interested.

Delamothe & Smith. BMJ. 2004 Jan 3:1-3.Delamothe & Smith. BMJ. 2004 Jan 3:1-3.

A mixed economy?A mixed economy?

• ““a long term sustainable model could be a a long term sustainable model could be a mixture of mixture of "author pays" for original research articles and "reader "author pays" for original research articles and "reader pays" for the restpays" for the rest”. ”.

• the authors add most…value with original research the authors add most…value with original research articles (by undertaking and writing up the research), articles (by undertaking and writing up the research), whereas the editors and publishers add most…value whereas the editors and publishers add most…value with the material they write or commission. with the material they write or commission.

• A business model where journals are paid for the value A business model where journals are paid for the value they add is sustainablethey add is sustainable—and also provides an incentive —and also provides an incentive for them to add more value. In contrast, a model where for them to add more value. In contrast, a model where publishers charge for value added by others (the publishers charge for value added by others (the researchers) will be found out—as Reed Elsevier is researchers) will be found out—as Reed Elsevier is beginning to discover”. beginning to discover”.

Delamothe & Smith. BMJ. 2004 Jan 3:1-3.Delamothe & Smith. BMJ. 2004 Jan 3:1-3.

The unanticipable effects?The unanticipable effects?

• Leaner large publishersLeaner large publishers

• Demise of the smaller publishersDemise of the smaller publishers

• Loss of flexibility and Loss of flexibility and ability to give ability to give personal attention (e.g. “nanny role”)personal attention (e.g. “nanny role”)

• Challenges to bibliographic controlChallenges to bibliographic control

• Technical (not scientific) qualityTechnical (not scientific) quality

• Uncertainty about archiving Uncertainty about archiving responsibilitiesresponsibilities

The basic choice?The basic choice?

Ever-changing fashions? OR Long-term relationships?