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Open Access (OA): Models for Publishing and Funding


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This presentation describes the green, gold, and hybrid models of open access (OA), and also other frequently mentioned models. It also provides ways to negotiate or fund author processing or publishing charges (APC). Recommended for students or scholars interested in submitting their work in or for more information on open access publishers.

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Open Access (OA): Models for Publishing and Funding

  1. 1. Open Access (OA): Models for Publishing and Funding Scholarly Communication Services (SCS) By Kristy Padron, MLIS SCS Coordinator and Associate University Librarian 2020
  2. 2. Objectives • Introduce a definition of Open Access (OA) along with its background and characteristics. • Outline the differences between various OA publishing and funding models. • Identify ways to negotiate or waive OA publishing costs. Open Access (OA)
  3. 3. Scholarly and some creative works are communicated through the commercial publishing industry.  Also known as scholarly, academic, or professional publishing. Commercial Publishing
  4. 4. The Current Business Model: • Authors contribute content and usually transfer copyright to publisher (e.g., Taylor & Francis, Elsevier, Sage). • Publisher has control over the use and distribution of work. • Publisher provides services such as peer review management, copy editing, web hosting, marketing, and distribution. • Libraries purchase access to publications through licenses and subscriptions with publishers, and libraries then provide access to their users. • Funded by university allocations. • The Serials Crisis and diminished funding for libraries. Commercial Publishing & OA
  5. 5. Criticisms:  Copyright: author signs them to publisher and has few rights to distribute or share.  Funding of Research / Scholarly / Creative Outputs: by governments, institutions, and other types of funders.  Use of Toll-Access  Use of Unpaid Labor: editorial boards and reviewers do this as an expected part of professional service.  Profits: Worldwide revenue stream for commercial publishers was of $25B in 2017 (O’Loughlin & Sidaway, 2020).  Largest was Elsevier at $3.35B with profit of 35%, larger than those of Apple and Google (Buranyi, 2017). Commercial Publishing & OA
  6. 6.  Open Access (OA) allows users free, unrestricted online access to journals and other types of content or publications (SPARC, n.d.).  OA developed as a response to technological changes in scholarly publishing (print-based to online), and changes in the commercial publishing business model.  Technology allows for easier, faster, and lower costs to create and deliver information.  Subscriptions or access through organizational affiliations are generally not required for access to OA publications. Open Access (OA) Defined
  7. 7. Legitimate OA publications respect scholarly/ creative publishing, adherence to its intellectual integrity, and the benefit authors gain through their work:  Maintain quality controls, such as peer review.  Include policies for its various processes (retraction, archiving, author rights).  Are frequently affiliated with a scholarly organization or institution.  Follow professional standards from the Open Access Scholarly Publishers Association (OASPA) or Committee on Publication Ethics (COPE). . Open Access (OA)
  8. 8. “Faculty work very hard to carry out useful research and then they turn it over to publishers who typically restrict access to those who can pay. The open access movement encourages faculty to retain control over their research and provides tools to help faculty make the results widely available.” --Carol Hixson, Dean of Libraries Florida Atlantic University FAU Libraries: Supporting Open Access (OA) Image Credit: FAU Libraries.
  9. 9. Open Access (OA) Models
  10. 10. Open Access has various models. Some features may overlap (or not be available). The models vary in the following ways: • Type of Publisher: professional society or commercial. • Costs: whether or not (author) processing charges (APCs) are required. • Availability & Version how soon a full work will be available, and which version (post-print or final version of record). • Copyright/ Creative Commons (CC) Licensing: who retains copyright or access to some of its rights (distribute, share, or post); the use of CC for works. • Self-Archiving: the ability of an author to deposit a work in an institutional or disciplinary repository. Open Access (OA) Models $
  11. 11. Open Access (OA) Models $ Please note these descriptions are general overviews. Recommended: Check with a publisher to verify their policies.
  12. 12. • Type of Publisher: toll-access, commercial publisher • Costs: none • Availability & Version: Post-Print (peer reviewed and edited final copy); Embargo (delay in availability of full work) • Copyright / Creative Commons License: Publisher retains copyright; Author may request author addendum for limited copyright uses. • Self-Archiving: Post-print can be deposited in an institutional or disciplinary repository. Green Open Access
  13. 13.  Version of record for article: Thiel, V., Blumenberg, M., Hefter, J., Pape, T., Pomponi, S., Reed, J., Reitner, J., Worheide, G., & Michaelis, W. (2002). A chemical view of the most ancient metazoa – biomarker chemotaxonomy of hexactinellid sponges. Naturwissenschaften, 89, 60–66 (2002). 001-0284-9  Post-Print of same article (left) Thiel, V., Blumenberg, M., Hefter, J., Pape, T., Pomponi, S., Reed, J., Reitner, J., Worheide, G., & Michaelis, W. (2002). A chemical view of the most ancient metazoa – biomarker chemotaxonomy of hexactinellid sponges. FAU Digital Library [Document]. 448 (source of image, left). Green Open Access: Example
  14. 14. • Type of Publisher: Open Access publisher • Costs: Varies; (Author) Processing Charges (APCs) may be required • Availability & Version: Final version of record (peer reviewed and edited published final copy). • Copyright / Creative Commons License: Author typically retains copyright; Work can be shared through CC licenses. • Self-Archiving: Typically allowed Gold Open Access
  15. 15.  Final Version of article available in institutional repository and publisher’s web site: Fadiman, M. (2008). “Starvation taught me art”: Tree poaching, gender and cultural shifts in wood curio carving in Zimbabwe. FAU Digital Library. Fadiman, M. (2008). “Starvation taught me art”: Tree poaching, gender and cultural shifts in wood curio carving in Zimbabwe. Ethnobotany Research and Applications, 6. dex.php/era/article/view/188 (source of image, left) Gold Open Access: Example
  16. 16.  Information on this journal is available in their “About the Journal” and “Editorial Policies” web pages. ( ex.php/era/about/editorialPolicies#open AccessPolicy). • No APC • Author retains copyright and gives publisher permission to post. • Editorial board and contact information • Selection policies • Focus and scope • Peer review process • Publication frequency • Publishing ethics and malpractice statement • Reviewers (who wished to be listed) Gold Open Access: Example
  17. 17. • Type of Publisher: toll-access, commercial publishers • Costs: (Author) Processing Charges (APCs) typically required and vary in cost. • Availability & Version: final version of record available upon publication • Copyright / Creative Commons License: publisher (typically) retains copyright; CC license varies • Self-Archiving: dependent on publisher • Example: Addiction Research & Theory (Taylor & Francis) Hybrid Open Access
  18. 18. Hybrid Open Access: Example Not OA OA Available Image Source: Taylor & Francis Group, Addiction Research & Theory [Web page], 2020.
  19. 19. Additional Information on this Journal: • A Taylor & Francis study states that OA articles get up to 32% more citations and 6 times more downloads (2020). • Its author processing charge (APC) depends on the following: • Journal name • Article type • Country of author • APC for a U.S-based author submitting a manuscript to this journal: $3,500 (as of July 2020). Hybrid Open Access: Example
  20. 20. The following OA terms are sometimes referenced, but their characteristics are not always agreed upon within publishing and the library/ information science field. • Platinum: Permanent OA with a Creative Commons Attribution (CC-BY) license) without fees, and author retains copyright. • Diamond: Similar to Gold OA but without processing charges; typically volunteer-run (Koroso, 2015). • Bronze: Free to read on a publisher site with possible restrictions on re-use, sharing, or other CC licenses. • Dark / Black: (descriptions rather than an actual OA model) pirated toll-access publications and works posted on the internet (e.g., SciHub). (Piwowar et. al., 2018). Other Types of Open Access ?
  21. 21. Open Access (OA) Funding & Fees Image Credit: Wikimedia Commons, Permission by CC0. $
  22. 22.  (Author) Processing Charges / Publishing Charges (APCs) • A fee charged by some OA publishers when they accept a manuscript for publication in order to cover its costs of production (Panter, n.d.). • Shifts costs of publishing from subscribers to authors, their institutions, or funders. • These tend to be fixed (one rate for types of works), ranging from $10 to $3,900). • As of July 2020, 72% of journals of the 14,874 journals indexed in the Directory of Open Access Journals (DOAJ) do not charge an APC. • Deceptive / predatory publishers request these (and often upon submittal and before acceptance), so due dilligence on a publisher is very important! Types of OA Publication Funding $
  23. 23.  Submission Fees: often requested when a manuscript is submitted and may depend on type of article (original research, case study, etc.). • Used to fund peer review and editorial processes in OA and traditional, toll-based publications. • Range from $25 to $125. • Example: Blood by American Society of Hematology charges $75 for regular articles and brief reports (  Membership Fees: a fee to become part of a professional society or organization sponsoring an OA publication. • May offer different levels (e.g., good, better, best) each with more privileges (access to publications, newsletters, conference discounts, etc.). • APCs are often bypassed or reduced by these. • Example: OA publisher PeerJ offers lifetime memberships for individuals and also institutional memberships ( membership-pricing) Types of OA Publication Funding $
  24. 24. Most OA journals do not have APCs or other fees, but if they do:  Request or inquire on a waiver from the publisher.  (Grant-sponsored research) Check your grant’s rules to see if allows funds to be used for publication.  Check on other sources of funding: • Institutional memberships: PeerJ offers these to reduce APCs for authors belonging to institutional members. • Institutional funding: Some departments or institutions may have funding to cover OA publishing costs. Ways to Waive Publication Fees $
  25. 25. More Information  Open Access LibGuide  Scholarly Communication Services Home
  26. 26. Koroso, N. (2015, November 18). Diamond open access. United Academics Foundation [Blog]. Panter, M. (n.d.) Understanding submission and publication fees. AJE Scholar [Blog]. Piwowar, H., Priem, J., Larivière, V., Alperin, J.P., Matthias, L., Norlander, B., Farley, A., West, J., & Haustein, H. (2018).The state of OA: A large-scale analysis of the prevalence and impact of Open Access articles. PeerJ. SPARC (n.d.). Open access [Web page]. Suber, P. (2012). Open access [E-book]. MIT Press. Taylor & Francis Group (2020). Addiction research & theory: Instructions for authors [Web page]. rt20 (2020). Author publishing charge finder [Web page]. Unless noted, all images are from or Wikimedia Commons with permission by CC0 (Public Domain). Works Cited
  27. 27. Open Access (OA): Models for Publishing and Funding Scholarly Communication Services (SCS) By Kristy Padron, MLIS SCS Coordinator and Associate University Librarian 2020