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SSIC Report 9/2015 Open Access: Publishing, Commerce, and the Scientific Ethos Report to the Swiss Science and Innovation Council SSIC The Swiss Science and Innovation Council The Swiss Science and Innovation Council SSIC is the advisory body to the Federal Council for issues related to science, higher education, research and innovation policy. The goal of the SSIC, in line with its role as an independent consultative body, is to promote a framework for the successful long term development of Swiss higher education, research and innovation policy. Der Schweizerische Wissenschafts- und Innovationsrat Der Schweizerische Wissenschafts- und Innovationsrat SWIR berät den Bund in allen Fragen der Wissenschafts-, Hochschul-, Forschungs- und Innovationspolitik. Ziel seiner Arbeit ist die kontinuierliche Optimierung der Rahmenbedingungen für die gedeihliche Entwicklung der Schweizer Bildungs-, Forschungs- und Innovationslandschaft. Als unabhängiges Beratungs- organ des Bundesrates nimmt der SWIR eine Langzeitperspektive auf das gesamte BFI-System ein. Le Conseil suisse de la science et de l’innovation Le Conseil suisse de la science et de l’innovation CSSI est l’organe consultatif du Conseil fédéral pour les questions relevant de la politique de la science, des hautes écoles, de la recherche et de l’innovation. Le but de son travail est l’amélioration constante des conditions-cadre de l’espace suisse de la formation, de la recherche et de l’innovation en vue de son développement optimal. En tant qu’organe consultatif indépendant, le CSSI prend position dans une perspective à long terme sur le système suisse de formation, de recherche et d’innovation. Il Consiglio svizzero della scienza e dell’innovazione Il Consiglio svizzero della scienza e dell’innovazione CSSI è l’organo consultivo del Consiglio federale per le questioni riguardanti la politica in materia di scienza, scuole universitarie, ricerca e innovazione. L’obiettivo del suo lavoro è migliorare le condizioni quadro per lo spazio svizzero della formazione, della ricerca e dell’innovazione affinché possa svilupparsi in modo armonioso. In qualità di organo consultivo indipendente del Consiglio federale il CSSI guarda al sistema svizzero della formazione, della ricerca e dell’innovazione in una prospettiva globale e a lungo termine. SSIC Report 9/2015 Open Access: Publishing, Commerce, and the Scientific Ethos Report to the Swiss Science and Innovation Council SSIC by Professor Dr. Bruno J. Strasser, University of Geneva & Yale University Professor Dr. Paul N. Edwards, University of Michigan This publication reflects the views only of the authors. 2 Open Access: Publishing, Commerce, and the Scientific Ethos – SSIC Report 9/2015 Table of Contents Summary / Zusammenfassung / Résumé / Riassunto 4 1 Introduction 8 2 Origins of Open Knowledge Production: The Scientific Ethos 10 2.1 Publishing cultures 12 2.2 Why do scientists publish? 12 2.3 The role of publication in the reputation economy of science 13 2.4 “Impact factor”: publications as a measure of scientific value 14 3 Rise of the Open Access Controversy 16 3.1 Commercialization 17 3.2 Digitalization 17 3.3 The “serials crisis” 18 4 Open Access to Published Literature 22 4.1 Diffusion of knowledge and the scientific publishing industry 23 4.2 Movements for open access publication 23 4.3 The “green” open access model: authors submit directly to depositories 24 4.4 Policies mandating repository deposition 26 4.5 “Gold” and “platinum” open access: pay to publish 27 4.6 Open data 30 5 Policy Options 32 5.1 Incentivizing open access 33 5.2 Increasing accessibility 34 5.3 Reducing costs 34 5.4 Maintaining quality 35 Abbreviations 36 Bibliography 37 3 Open Access: Publishing, Commerce, and the Scientific Ethos – SSIC Report 9/2015 Summary Zusammenfassung Résumé Riassunto Access to published scientific claims is essential for significantly for poorer institutions and developing E the production of new scientific knowledge, because countries. science builds on previous claims and establishes its Overall the rise of open access among commercial validity through collective scrutiny. Traditionally, sci- publishers has not reduced the cost of scientific pub- entific claims are made public through journals, pro- lishing. Non-profit, open access journals, on the other ceedings, and books produced largely by commercial hand, offer reduced author fees with potentially iden- publishers. tical impact factors. In both cases, open access has In the 1990s, the prices charged by publishers for ac- mainly shifted the financial burden from libraries ademic content rose sharply at the same time as elec- to authors, who are generally subsidized by science tronic distribution costs decreased. These prices be- funding agencies. came prohibitive for many research institutions, Market forces alone are unlikely to expand open access threatening the access to scientific knowledge. As a re- further or to reduce publishing costs. Since individual sult, researchers began to advocate for a transforma- researchers choose their publication venues based on tion in scientific publishing: “open access”. expected social rewards, institutional incentives that In the case of journals, instead of limiting access to help to restructure these rewards are most likely to those who purchase subscriptions, open access (OA) succeed. For example, institutions might adopt a pol- makes articles freely available to anyone. On the OA icy of considering only OA publications when eval- model, costs of publication are funded by author fees uating researchers for funding, promotion, and ten- or subsidies. Both commercial and non-profit publish- ure. Financial support for author fees should become ers have created new OA journals (“gold road”). Some a standard element of science funding. Some journals existing journals have switched entirely to open ac- currently provide important editorial and news con- cess, while others have adopted a hybrid approach, tent, which will need to find financial support as well. allowing their authors to pay for open access if they However, the deeper problem represented by the dom- so choose. Alternatively, open access can be achieved inance of commercial publishers with profit margins by making published scientific content available, im- around 30 %, and the resulting costs for the scientific mediately or after a delay, in an institutional reposi- community, will require a different set of policies than tory (“green road”). Open access has dramatically in- those aimed at increasing OA. creased the availability of scientific knowledge, most Der Zugang zu veröffentlichten wissenschaftlichen zieren einzusetzen, nämlich für das Modell des «Open D Erkenntnissen ist für die Produktion von neuem wis- Access» (offener Zugang). senschaftlichem Wissen entscheidend, da dieses auf Bei Zeitschriften sind die Artikel über «Open Access» früheren Erkenntnissen aufbaut und seine Gültigkeit (OA) allen frei zugänglich und nicht nur auf Abon- durch die Wissenschaftsgemeinschaft geprüft und nenten und Abonnentinnen beschränkt. Im OA-Mo- bestätigt wird. In der Regel werden wissenschaftliche dell werden die Publikationskosten über Artikelbear- Erkenntnisse durch Zeitschriften, Berichte und Bü- beitungsgebühren oder Fördermittel gedeckt. Sowohl cher bekannt gemacht, die grösstenteils von kommer- kommerzielle als auch gemeinnützige Verlage haben ziellen Verlagen herausgegeben werden. mittlerweile neue OA-Zeitschriften geschaffen («golde- In den 1990er Jahren stiegen die von den Verlagen ner Weg»). Einige bestehende Zeitschriften sind kom- verlangten Preise für akademische Inhalte deutlich plett auf «Open Access» umgestiegen, während andere an, während gleichzeitig die Kosten für die elektroni- einen gemischten Ansatz verfolgen, bei dem ihre Auto- sche Verbreitung sanken. Die Preise der Verlage wur- rinnen und Autoren für «Open Access» bezahlen kön- den für viele Forschungsinstitutionen unerschwing- nen, wenn sie dies wünschen. Alternativ kann «Open lich, was den Zugang zu wissenschaftlichem Wissen Access» über die unmittelbare oder verzögerte Veröf- gefährdete. In der Folge begannen sich die Forschen- fentlichung von wissenschaftlichen Inhalten auf in- den für einen Wandel im wissenschaftlichen Publi- stitutionellen Dokumentenservern («grüner Weg») 4 Innovation und staatliche Innovationsförderung – SWIR Schrift 8/2015 Summary / Zusammenfassung / Résumé / Riassunto umgesetzt werden. Mit «Open Access» wurde die Ver- kennung auswählen, versprechen institutionelle An- fügbarkeit von wissenschaftlichen Kenntnissen stark reize, die zu einem diesbezüglichen Umdenken bei- erhöht, besonders für weniger finanzkräftige Instituti- tragen, am meisten Erfolg. So könnten Institutionen onen und Entwicklungsländer. beispielsweise die Strategie verfolgen, im Hinblick Durch die Zunahme von «Open Access» bei kommer- auf eine Finanzierung, Förderung und Anstellung von ziellen Verlagen sind die Kosten für wissenschaftliche Forschenden bei ihrer Evaluation ausschliesslich OA- Publikationen indessen nicht gesunken. Gemeinnüt- Publikationen zu berücksichtigen. Finanzielle Unter- zige «Open Access»-Zeitschriften bieten reduzierte stützung für Lizenzgebühren sollte standardmässig Bearbeitungsgebühren, haben jedoch praktisch den zur Wissenschaftsförderung gehören. Einige Zeit- gleichen Impact Faktor. In beiden Fällen wurde die fi- schriften liefern derzeit wichtige Nachrichten und re- nanzielle Belastung lediglich grösstenteils von den Bi- daktionelle Inhalte, für die ebenfalls finanzielle Unter- bliotheken
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