65 kaufman

Variations on Open Access
A study of the financial and non -financial effects of
alternative business models for scholarly journals

Preliminary results presented 8 November 2004
by Kaufman-Wills Group, LLC

Research Objectives
1. What impact is open access having on
scholarly journals’ financial factors?
2. What impact is open access having on
scholarly journals’ non-financial factors?

ALPSP/HW/AAAS study Kaufman-
Kaufman-Wills Group 2

Methods
l Written questionnaire
l 38 questions
l emailed to population
l Pre-tested
l Two populations
l HW open archive journals
l N=184
l Directory of Open Access Journals
l N=1,151


Response
l HW open archive l Preliminary results:
l 184 mailed l 155 DOAJ (13%)
l 68 completed l 37 HW (20%)
l 37% response rate

l DOAJ
l 1,151 mailed
l 245 completed
90%à95% confidence,
l 22% response rate
+ or – 5% points

Findings
Financial Non-financial
l Current and future access l Print format
l Sources of financial l Copyediting
support for journal l Peer review
l % of total each revenue l Author services
type represents l Copyright
l Revenue trends and l Pre/post -publishing rights
expectations
l Permissions policies
l Surplus or deficit


Journal Profile
HW open archive DOAJ
l 97% soc, 3% u press l 46% comml, 17% dept, 16%
l 60% Euro, 40% NA soc, 7% indiv
l 97% STM l 58% Euro, 28% NA, 14%
l 95% orig, 5% review ROW
l 97% print + online l 72% STM, 12% SS, 9%
humanities
l Half <1960 print
l Half <2000 online
l 100% original content
l 78% online posted w/print; l 74% online only
13% asap l Half <1990 print
l 11% addl online material l Half <2000 online
l >50% at least monthly l 69% post articles asap
l Avg # mss sub/yr: 973 l 10% Q, 90% other, N/A
l Avg # arts pub/yr: 329 l Avg # mss sub/yr: 108
l Avg # arts pub/yr: 46


Online Hosting
l Current content l Current content
l 100% HW l 71% own service
l Archival content l 45% PMC
l 60% PMC l 39% JSTOR
l Archival content
l 56% other (SciELO)
l 45% PMC
l 39% INIST


Peer Review
l 70% int + ext rev l 49% int + ext rev
l 24% ext rev only l 45% ext rev only
l 2.5% edit staff only l 2% edit staff only
l 2.5% no peer review l 70% 2 reviewers
l 76% 2 reviewers l 21% 3 reviewers
l 16% 3 reviewers


Editing and Copyediting
l 42% content edited l 44% content edited
l 95% copyedited l 55% copyedited


Author Services
Author Services Author Services - DOAJ Journals

40 140

35
PDF or120 electronic format proofs
other PDF or other electronic format proofs

Online article submission Online article submission
30
Online100 of paper through peer-review
tracking Online tracking of paper through peer-review
process process
25 Online digital art submission Online digital art submission
80
Responses
Responses

PDF for posting on Author's web site PDF for posting on Author's web site
20
Limited/Unlimited e-prints or downloads Limited/Unlimited e-prints or downloads
60
Post publication peer review Post publication peer review
15
Online tracking of paper from submission Online tracking of paper from submission
through 40
publication through publication
10 None of the above None of the above

Other Other
20
5

0 0
1 1
Services Services

Copyright
l 64% request author l 50% request author
to grant license to to grant license to
publish publish
l 30% make copyright l 23% do not require
transfer condition of any formal agreement
publication l 16% make copyright
l 6% will grant license transfer condition of
if requested by author publication


Permissions Policies
l 89% only with written permission l 10% only with written permission
l 11% any academic use but no l 18% any academic use but no
commercial use w/o permission commercial use w/o permission
l 68% all uses if source cited
l 70% use in author’s institution l 10% all uses, no permission
l 86% use in author’s necessary
presentations or publications
l 12% use in author’s institution
l 70% posting post-print to l 13% use in author’s
author’s web site presentations or publications
l 54% posting pre-print to author’s
web site l 8% posting post-print to author’s
web site

Access to Content
l 95% restrict current l 95% free on publication
content; open archive l OA “influentials”
l OA “influentials” l 56% authors
l 68% publisher/ l 49% publisher (BMC)
publishing oversight l 16% publications staff
l 43% librarians l 15% members
l 43% OA proponents l 19% OA proponents
l 35% members l 11% institutions
l 30% authors l 8% librarians
l 8% other similar journals l 8% other similar journals


Business Model
l 95% require subs for l 95% free content on
current content publication
l 81% plan to test or l 49% plan to test or
adopt different model adopt different model
l New funding sources
l New financial model
l Original articles free
l Open access, author
pays

Funding Sources
l End user l End user
l 87% subscriptions l 13% subscriptions
l 62% member dues l 8% member dues
l 57% content licensing l Grants
l Industry l 39% gifts or fundraising
l 92% comml reprints l 23% institutional
l 78% display ads l 13% private foundation
l 30% classified ads l In-kind
l In-kind l 20% volunteer
l 35% volunteer l 20% in-kind contributions


Revenue Sources as % Revenue Sources - 2004
DOAJ Journals

of Total (preliminary!)
6%
Revenue Sources - 2004 14%
Highwire Journals
16%
2%
12% 6%

0%
11%
13%

60%
9% 47%

Subscriptions/Licenses
3% Grants
1% Third-Party Licenses
Author Fees and Charges
Based on mean, which is arithmetic average (add percentages,
divide by N.) Journalsstudy
ALPSP/HW/AAAS in each population, when asked to allocate -Wills Group
Kaufman-
Kaufman
Industry 16
percentages to various revenue sources, reported receiving on Member Dues
average X% of their revenue from Y. Other

Author Fees
l Author fees 9% of total l Author fees 47% of total
revenues revenues (BMC)
l 91% article reprints l 88% page charges
l 83% color charges l 37% submission charges
l 17% page charges l 8% publication charges
l 11% excess page charges l 5% color charges
l 9% ms submission charges l 4% article reprints
l Sources of author funds l Sources of author funds
l 60% don’t know l 3% don’t know
l 34% research grant l 51% research grant
l 31% foundation grant l 6% foundation grant
l 3% library budget l 41% library budget
l 29% departmental support l 10% departmental support
l 25% author’s personal funds l 7% author’s personal funds
l 9% do not charge authors l 33% do not charge authors

Financial Outlook
l 75% surplus l 5% surplus
l 11% breakeven l 32% breakeven
l 14% shortfall l 63% shortfall

l 61% trended upward l 64% trended upward
l 22% stayed flat l 19% stayed flat
l 11% trended downward l 3% trended downward
l 6% don’t know l 14% don’t know

l 25% exceeded revenue l 3% exceeded revenue
expectations expectations
l 39% met revenue expectations l 87% met revenue expectations
l 36% below revenue expectations l 10% below revenue
expectations

Current Business Model Challenges
l “Loss of individual l “This is not a business,
subscribers” it’s an effort”
l “Acceptance of online l “No business model”
journals by subscribers” l “Seeking additional
l “Increasing institutional funding and donations
subscriptions” when initial funding runs
out”
l “Increasing usage”
l “Acquiring good papers
and reviewers”

Current business model opportunities
l “Reach of journal via search l “Not sure what this
engines” means…we are a nonprofit
enterprise”
l “International subscribers,
l “Hope to continue to
reduce rates to residents” provide free access …to
benefit society”
l “Full text free of charge
available to all”
l “Hope to win more
readership and listing in
libraries and databases”
l “Help mankind acquire
knowledge”

Impact of OA Movement
l “Creates whole new l “Validates what we have
dilemma for financing been trying to do…”
journals” l “Put pressure on others
l “Very little NIH research to make important
published” information on scientific
progress available to
everyone”
l “Raises acceptability,
helps hold down prices”
l “None. References will be
easier to check.”

Will OA Journals Prevail?
l “Open access journals will only be l “Prevalent in some fields and may
prevalent and/or succeed if the be mandated by nature of the
financing issue is addressed and funding of the research published”
solved” l “I believe that it MAY become
l “No, doubt successful due to prevalent. So, I don’t want to miss
financial issues” the boat. Its success will depend
on institutional and governmental
l “Prevalent perhaps, but I don’t policy”
know if small association
publishers can be successful l “Yes, eventually”
without adding higher charges to l “Yes, yes, the model works”
authors” l “Success will not be
complete…most of the famous,
high ranking journals will give
restricted access…”
l Paid subscriptions are an
“offensive contravention of the
opportunities for freedom in
knowledge exchange that the
Internet should provide”

Next Steps
l Quantitative
l Survey AAMC society members with journals (N=111)
l Finish data entry, analyze frequency tables, prepare
report
l Qualitative
l 30 personal interviews à case reports
l HW open archive publishers
l PLoS and other DOAJ publishers
l Elsevier and other commercial publishers
l University Press, other non-HW self -published society
journals
l Timeframe
l Draft report to sponsors for review by end of year

Kaufman-Wills Group, LLC
Selected clients
•AAAS/Science
Cara S. Kaufman, Partner •Am Academy Pediatrics
Alma J. Wills, Partner •Am Assoc Immunologists
Fred Fusting, Associate •Am Coll Cardiology
Kaufman-Wills Group, LLC •Am Coll Radiology
24 Aintree Road •American Psychiatric Assoc
Baltimore, MD 21286 •Am Soc Clin Oncology
410 821 8035 (office) •ASPET
410 821 5460 (mobile) •College Am Pathologists
443 269 0283 (e-fax) •Rockefeller University Press
ckaufman@verizon.net •Intl Anesthesia Res Soc
www.kaufmanwills.com •NEJM
•Project Hope/Health Affairs
•Am Acad Othopaedic Surg
•Am Urological Association
•Am Speech Lang Hear Assoc

65 kaufman

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