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OAPEN project: final review


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OAPEN started its activities on September 1, 2008 and has now completed its project phase co-funded by the European Commission. The final stage of the project focused on the launch of the OAPEN Library, usability, and especially sustainability after the project period. The results were presented during the final conference in Berlin in February 2011.

In the future OAPEN will continue as an independent foundation governed by representatives of the participating institutions. The objectives for the foundation are to stimulate further OA publishing of academic books, to further develop OAPEN as a platform for OA books and to develop a sustainable business model. In the meantime, OAPEN is conducting a number of experiments in Open Access book publishing, in the form of pilot projects. The first pilot is conducted in the Netherlands with support from the Netherlands Organization for Scientific Research (NWO) and the Ministry of Education. For the UK a similar pilot project is being prepared by JISC Collections.

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OAPEN project: final review

  1. 1. Final Review of OAPEN Luxembourg, 18 April 2011 Eelco Ferwerda, Amsterdam University Press Margo Bargheer, Göttingen State and University Library Caspar Treijtel, University of AmsterdameContentplusInformation and Communications TechnologiesPolicy Support Programme OAPEN Consortium 2011
  2. 2. OAPENOpen Access Publishing in European Networks Creating an Open Access publishing platform  for academic publishers  and other stakeholders in book publishing  within Humanities and Social Sciences
  3. 3. OAPEN project scope• Developing an OA publication model for peer reviewed  academic books in Humanities and Social Sciences• Creating a large, freely available collection of current books in  European languages in various fields of HSS • Duration: 30 months• September 1, 2008 – February 28, 2011• Consortium: 7 University Presses and 2 Universities• Coordinator: Amsterdam University Press, the Netherlands Actions undertaken under the eContentplus Programme (2005‐ 2008) to make digital content in Europe more accessible,  usable and exploitable
  4. 4. OAPEN objectives • Improve accessibility and impact of European research in HSS  through promotion of OA for primary publications  (monographs and edited volumes)• Create and aggregate freely available peer reviewed HSS  publications from across borders in an Open Access Library• Engage stakeholders in the publication process• Develop common funding models for OA books• Adopt common standards and metadata to improve  retrievability and visibility of HSS publications• Reuse and share infrastructure (OAPEN platform)
  5. 5. Overview of main results• Studies (3)• Workshops and seminars (3)• Publication model for academic books • OAPEN Library and publication platform• Collection of OA books (800)• OAPEN network (50); newsletter subscribers (400)• Final conference (70+ participants)> Extension of activities
  6. 6. Extending activities• OAPEN Foundation• Pilot projects: UK + NL• Development of platform and services • Collaborations: OCLC, PKP, OASPA, SPARC Europe> Developing sustainability
  7. 7. WP3: Scientific Management
  8. 8. Scientific management• OAPEN‘s stakeholder  approach Researchers Researchers – Mirrored in the setup of our  Search and read Select, cite and write work and architecture – OAPEN Library Libraries – Publication platform Select, index  Funders and provide access Researchers  – Business model Allocate Funds Evaluate ROI for publishers Evaluate • Function of the scientific  and select management Publishers  Publishers – Provide guidance to address  and Agents Enhance and each stakeholder appropriately Distribute and sell produce media
  9. 9. Scientific management• Instruments and main results within WP3 Scientific Management External Stakeholder Research Partners Scientific Board Network Partners Group (with OAPEN) Studies Events D 3.1.5 User Needs report January 2010 D 3.2.3 Round Table OA Models Lund, September 2009 D 3.1.6 Best Practices and Recommendations June 2010 D 3.2.4 Seminar On Focused Studies Amsterdam, June 2010 D 3.2.3 Report on OA Models 1st OAPEN Conference, Berlin, February 2011
  10. 10. Scientific management• Characteristics of publishing in the HSS 2011 – Heterogeneous, segmented, within language barriers – Relation of the author to his book reflecting on the role of the book in  the discipline – Considerable knowledge gaps regarding OA – Cultural rift between the book and today‘s digital information  environment – No relevant preprint/ post print‐culture – Vulnerable market environment and mutual dependence of scientific  communities, publishers and funders – Importance of public funding as subsidy to publishers  
  11. 11. Scientific management• Options to support OA in the HSS and OAPEN‘s approach – Hybrid publishing as long as the paradigm shift occurs – More research and stakeholders‘ inclusion to bridge the cultural rift  between books and the digital world • Joint publishing experiments with publishers and research funders • Promoting a transparent market environment • Create OA awareness• Recommendations/ Conclusions from OAPEN? OAPEN‘s Stakeholder Approach
  12. 12. Scientific management OA monographs  in the HSS? Digital  Humanities? Terra Incognita OAPEN as  pioneer Exploratory  character of the  scientific work Guidance and  blueprints for  OAPEN‘s setup
  13. 13. WP4: Publication model
  14. 14. OAPEN publication model OA Publication  Model Legal Services framework Business plan
  15. 15. Publication model• Hybrid model:  – OA edition + commercial editions• Publication fee:  – publishers charge for OA edition• Author retains copyright:  – CC‐licenses • Long term availability:  – Repository infrastructure – E‐depot National Library (KB)
  16. 16. Services• Marketing services: standard – Google Scholar, Worldcat, Amazon, GBS• Publication services: optional – PoD, DOI, XML, Review management• Standard services: – Part of membership package • Optional services:   – Separate fees
  17. 17. Business plan• Based on sustainability through fees from publishers – Covering true cost of platform + services• Helpful exercise – but not successful:  – Current market won’t accommodate sustainability through  fees from publishers• Not enough OA funding (especially books & HSS) – Therefore not enough OA publishers• Remedial actions > Difficulties encountered
  18. 18. Legal framework for OA publishing• Based on Berlin declaration – Free use and reuse of information• Creative Commons licenses:  – Recommended: CC BY‐NC (Hybrid publishing) – Accepted: All rights reserved (free access to  backlist titles)• Future: XML  – facilitating true reuse
  19. 19. WP 5/6: Library and Publication platform
  20. 20. About the OAPEN LibraryCentral place where Open Access books come togetherDifferent views for looking at the library
  21. 21. The OAPEN Library PDF Google Books Central Word Amazon Repo- to Publisher’s sitory XML webshop Reposi tory
  22. 22. OAPEN Library• OAPEN Website (search engine:• Repositories, harvester – Central OAPEN repository – Repositories of the partners with metadata and object files – Harvester for collecting and storing information from repositories• Publication platform – Workflow tool – XML generator (from Word/Open Office to TEI XML) – XML to PDF generator• Services – Printing‐on‐Demand support service – Marketing service
  23. 23. Publication tools• XML transformation – Online upload of Word/OO doc – Transformation to TEI XML – Add figures, images – Add to Index• PDF generator – Online upload of TEI XML – Add figures and images – Generation of PDF
  24. 24. Book in Word HTTP, manual Repositories of the partners Workflow tool Objects/ Metadata PDF HTTP, manual HTTP, manual XML generator HTTP, manual OAI-PMH XML to PDF generator HTTP, manual Harvester XML Datastore OAPEN repository HTTP, manual Search engine + Web Objects/ publication Metadata PDF HTTP HTTPHTTP, manual OAI-PMH HTTP PoD Service: Multilingual Marketing Shopping Cart Search Portal Service Partners HTTP, manual ONIX MODS HTTP Printer used by Partners DC BIC ccREL
  25. 25. Book in Word HTTP, manual Repositories of the partners Philos Workflow tool Objects/ Metadata PDF HTTP, manual HTTP, manual XML generator Upload tool: HTTP, manual Word, ODF,  XML to PDF generator OAI-PMH XML, PDF HTTP, manual Harvester XML Datastore automated OAPEN repository HTTP, manual Search engine + Web Objects/ publication Metadata PDF HTTP HTTPHTTP, manual OAI-PMH HTTP PoD Service: Multilingual Marketing Shopping Cart Search Portal Service Partners HTTP, manual ONIX MODS HTTP Printer used by Partners DC BIC ccREL
  26. 26. Repository Input Module
  27. 27. XML Generator
  28. 28. Philos (1)
  29. 29. Philos (2)
  30. 30. Philos (3)
  31. 31. The OAPEN collection
  32. 32. OAPEN partner Number of books Amsterdam University Press 308Consortium partners Manchester University Press 101 Firenze University Press 132 Universitätsverlag Göttingen 136 Museum Tusculanum Press 25 Total 702 Huygens Instituut/ Brill 36External publishers Leiden University Press 9 Aksant Academic Publishers 8 Academia Press 6 Aarhus University Press 5 Hamburg University Press 5 KIT Scientific Publishing 1 Kassel University Press 5 Universitätsverlag der Technischen Universität Berlin 5 Universitätsverlag Bamberg 5 DANS 3 Aalborg University Press 2 KITLV Press 2 University Press of Southern Denmark 2 Academia Press/ Vantilt 6 KITLV Uitgeverij 2 Universitätsverlag Chemnitz 2 Total 104
  33. 33. Performance Indicators
  34. 34. Measuring performance• Two main targets: awareness and practical achievements• Raising awareness – Perception and visibility of OA and OAPEN among stakeholders – Changing the mindsets of stakeholdersResearchers Libraries Publishers Funders• OA becoming an  • Quite familiar with OA • Traditional business  • Importance of  established model (but   • No defined role in  and publishing models  exemplary solutions  not in the HSS) supporting HSS  under pressure and experiments• Persistent importance   publishing • Majority is adopting a  • Can exercise leverage  of monographs as  • Open to experiments  ‘wait and see‘‐ policy to re‐route budgets in  format but constrained  • Convincing  and  scholarly • Reputation and reward  resources promotion still  communication system remains barrier necessary Target achieved? 
  35. 35. Measuring performance• (2) Performance of the OAPEN Library – Practical implementation of (yet to come) OA publishing in the HSS • Availability of content: scarce but growing, strategic interest as condition • Spreading of OA business models: scarce, importance of funders – Scale of the library reflecting the relatively slow uptake of OA in the  HSS
  36. 36. Performance indicators OAPENPerformance Indicators Expected vs. ActualOAPEN started in Year 1  Year 1 Year 2 Year 2  Year 3 Year 3September 2008 (exp.) (act.) (exp.) (act.) (exp.) (act.) Network  Content  Content  partners providers providersPublishers providing OA publications/joining OAPEN 7 23 11 17 23 23Commercial publishers involved in OAPEN 1 6 3 1 5 5Countries represented within OAPEN’s networkOAPEN’ 6 12 9 6 12 14Languages covered by OAPEN’s Languages covered by OAPEN’ 8 8 11 8 15 8networkHSS publications made available in OA ‐ 750 539 1500 806Unique visitors of OAPEN’s Unique visitors of OAPEN’ 4000/  app. 3500/  ‐ ‐ ‐ 8000/ monthOnline library month monthDownloads of OA publications 1000/  app. 2500/  ‐ ‐ ‐ 2000/ month month month
  37. 37. Difficulties encountered and remedial actions
  38. 38. Difficulties encountered 1 Organizational difficulties 2 Technical difficulties 3 Business development
  39. 39. Organizational difficulties  > delayed delivery of results• Lack of qualified personnel – Development team• Change of staff  – Various partners• Project workload next to regular tasks – All partners• Organizational changes among partners – Changing commitments
  40. 40. Organizational difficulties  > actions• Shifting workloads among partners – UvA, AUP, UGOE• Planning activities – ‘Cascading’ – Studies > model > development• Coordinating tasks – Task forces – Regular telco’s
  41. 41. Technical difficulties  > delayed delivery of results• Lack of qualified personnel – Underspent budget• Publication tools – Generation of PDF too inflexible• Content aggregation – Establishing proper harvesting turned out difficult
  42. 42. Technical difficulties  > actions• Lack of qualified personnel – finish work after project period• Publication tools – use different strategy (Philos)• Content aggregation – devoting more hours – Switching to manual aggregation (one‐time‐ conversion)
  43. 43. Business development  > first movers dilemma• Traditional publishing model for books is losing  sustainability• Recognition of need for change – ‘Monograph crisis’ However:• Lack of funding opportunities for OA publishing – In HSS – For academic books• Very few publishers actively publishing OA books 
  44. 44. Business development  > actions• Trial memberships » For limited period / books• Pilot projects » Limited experiments  » Funders + publishers » National scope (different countries) » Outside DoW• Extending activities » Buying time » Additional funding » 3 years support in NL > Future activities
  45. 45. Dissemination & Awareness
  46. 46. Awareness: overview of activities • OAPEN Network • Workshops, seminar, conference • Newsletters • Project website • Public reports, studies • Leaflet and Brochure • Presentations at conferences • Stand at Book Fair • Articles
  47. 47. Awareness
  48. 48. OAPEN Network Partners‐ Aarhus University Press ‐ Huygens Institute ‐ SLUB – Sächsische ‐ AAUP – Association of American ‐ Igitur – Utrecht Publishing &  Landesbibliothek, Staats‐ und  University Presses Archiving Services Universitätsbibliothek Dresden‐ Academia Press ‐ IMISCOE – International Migration  ‐ SPARC‐ Akademie Verlag Integration Social Cohesion ‐ SPARC Europe – Scholarly ‐ Aksant ‐ Institute of Economic Analysis & Publishing and Academic ‐ Arbeitsgemeinschaft der Prospective Studies at Al Akhawayn  Resources Coalition Universitätsverlage University ‐ Techne Press‐ Athabasca University Press ‐ IOS Press ‐ Unipub – Oslo Academic Press‐ Atlantis Press ‐ JISC Collections ‐ Universitat de Valencia‐ Bochumer Universitätsverlag ‐ KITLV Press ‐ Université Libre de Bruxelles‐ Brill ‐ KNAW – The Royal Academy of Arts  ‐ University of Calgary Press‐ DANS – Data Archiving and and Sciences ‐ Verlag der Österreichischen  Networked Services ‐ Ledizioni – Ledipublishing Akademie der Wissenschaften‐ Editions de l’Université de  ‐ NIOD, Netherlands Insitute for War  Bruxelles Documentation‐ EKT – National Documentation  ‐ Open Book Publishers Centre; ‐ Open Humanities Press 45 netwo‐ NHRF – National Hellenic Research ‐ Oxford University Press rk  partners  Foundation ‐ Pickering & Chatto Publishers in 2011‐ Forlaeggerforeningen – Danish ‐ Polimetrica Publishers Association ‐ Purdue University Press
  49. 49. Publishers in the OAPEN Library
  50. 50. Project website
  51. 51. Impact: Stakeholder Benefits
  52. 52. Who are OAPEN‘s stakeholders? Researchers Researchers Search and read Select, cite and write Libraries Select, index  and provide access Funders Allocate Funds Scientists  Evaluate ROI for publishers Evaluate  and select Publisher  Publisher and Agents Enhance and Distribute and sell produce media
  53. 53. OAPEN‘s stakeholder approach• OAPEN‘s aims – A sustainable publication model for academic books in the HSS – To improve the visibility and usability of high quality academic research• OAPEN‘s motivation – We‘re publisher‐driven • Addressing the challenge of a changing publishing environment:  traditional models under pressure • Contribute to the sustainability of publishers – And mission‐driven • OA not just seen from a technocratic standpoint • Beneficial and cost‐efficient way of dissemination
  54. 54. LibrariesJust a virtual bookshelf?• OAPEN as publisher‐driven project but also  representing the interests of libraries• (1) Content aspect – The OAPEN Library as freely available, standardized and  quality‐proven selection of scientific publications – virtual shelf for libraries > showcase function• (2) Systemic aspect – OAPEN as catalyst in the transition process that libraries  currently undergo – Knowledge sharing – OAPEN as sandbox
  55. 55. Research ersOvercome author pays?• Differentiation between producing role (authors)  and consuming role (readers) – General arguments pro OA are also true for OAPEN – But focusing on researchers as authors – Readers are taken care of by the libraries• An unique OAPEN asset – trade‐off for the wide‐spread author‐pays‐model through  a publication model based on the funding for an OA  publication by research funders and not the author – OAPEN Pilots and dedicated publication funds to facilitate  a sustainable OA publishing for publishers and authors
  56. 56. Publisher sFinding the ideal OA solution er Publ b lish i sh u er Permit self‐archiving  rP (moving wall) In fo ve ct stm Impa Complementary OA  edition from author ent Simple OA infrastructure  from one  publisher Publi ss Complex OA  ce infrastructure from one  he s publisher ac rB ra mr nd te Joint OA infrastructure  ing g from several publishers Lon
  57. 57. Funders„Not more of the same but…“• Sijbolt Noorda (VSNU): „OA doesn‘t necessarily mean  to pump more money into the publishing system but  to channel the money already being spent in other,  more efficient ways.“• What‘s in the interest of research funders and what  can OA (or OAPEN) deliver? – cost‐effective way to spend public money – quality‐assured scientific content  – transparent and competitive system – Considering economic AND scientific factors equally
  58. 58. FundersPublishersLibraries Researchers
  59. 59. Exploitation of results  and sustainability
  60. 60. Exploitation of results and sustainability • Extension of activities • OAPEN Foundation • Future activities
  61. 61. Extension of activities• 3 years support within NL: – UvA, LU, UU – KNAW – Royal Academy – KB – National Library – AUP – NWO – National Research Council
  62. 62. OAPEN Foundation• Objectives: – Promoting OA book publishing in HSS – Developing OAPEN Library • Collection • Participating publishers – Developing business model
  63. 63. Future activities • Conducting pilot projects – OAPEN‐NL, OAPEN‐UK – DE?, SE? • Collaborative projects – DOAB – Lund, SPARC Europe • Developing publication platform – Tools – Services • Aggregating OA books
  64. 64. Developing a business model• Focus: OA books in HSS• Target groups  – Funders – Researchers, research institutions, research libraries – Academic publishers• Providing added value – OA collection, standardized metadata – Support for publishers, services and tools – Quality control – Metrics for impact measurement• Possible revenue models – Support from research funders providing OA funds – Fees from publishers – Shared publication platform for research institutes
  65. 65. To new horizons
  66. 66. Description Foun Operator Content Share  IPR‐ and OA‐ ded of OA PolicyA freely available  2009 OAPEN  HSS books, various  100% Several licensing collection of peer‐ Foundation languages, OA; 800  options are reviewed HSS  books in 3/2011,  available, All rights monographs scientific scope reserved as most  restrictive licenseOver 50 universities pool  2008 Hathi Trust, office  8,4 mio. titles, 4,6  App.  IPR depends on the their collection together,  operated by the  mio. books, all  25%  ind. content restr. audience University of  disciplines,  (=2,2  providers, no  Michigan scientific scope mio.  dedicated OA  titles) policy E‐Book‐Platform of the  2007 Service provider  73.000 E‐books,  0% Mostly DRM‐German book trade  on behalf of the  partly with DRM,  protected content, (Börsenverein) Börsenverein 1,3 Mio. print titles,  publishers assign  no specific scientific  licenses scopeJoint platform of Florida‐ 2009 Florida Distance  < 1000 titles, mainly  App.  Dep. on content based higher‐education  Learning  textbooks for  30% providers, OA = fac. Consortium on  scholarly use,  Open Textbooks as  behalf of higher  scientific scope part of OGT+ education inst.;  cooperation with  Florida UPPlatform aiming at  2001 EBSCO scientific scope,  ? Integrates OA libraries and  >5000 e‐books content, 3.400 universities, EBSCO as  textbooks freely eContent provider, restr.  available via reader audience (no PDF download)