CREATe Working Paper 2014/1 (January 2014) Open Access Publishing: A Literature Review Authors Authored By Under the Supervision of Giancarlo Frosio Estelle Derclaye University of Nottingham University of Nottingham [email protected] [email protected] CREATe Working Paper Series DOI: 10.5281/zenodo.8381. This release was supported by the RCUK funded Centre for Copyright and New Business Models in the Creative Economy (CREATe), AHRC Grant Number AH/K000179/1. 1 2014 Open Access Publishing: A Literature Review by Giancarlo F. Frosio Research Fellow School of Law University of Nottingham, UK under the supervision of Estelle Derclaye Professor of Intellectual Property Law School of Law University of Nottingham, UK TABLE OF CONTENTS TABLE OF CONTENTS .................................................................................................................................... 2 SUMMARY .................................................................................................................................................. 6 Open Access Publishing and Digital Enlightenment ............................................................................ 6 Structure and Methodology ................................................................................................................ 7 Findings ............................................................................................................................................... 8 Research Gap I: Historical Perspective ............................................................................................ 9 Research Gap II: Copyright Protection and Theory ....................................................................... 10 Research Gap III: Economics and Business Models ....................................................................... 11 III.1. Open University, Open Education and Open Educational Resources ............................... 11 III.2 Academic Scholars, Reputation, Prestige and Careers ....................................................... 11 III.3. Academic Publishing Market ............................................................................................. 12 III.3.1. Competition ................................................................................................................ 12 III.3.2. Cost of Closed Access ................................................................................................. 12 III.3.3. Article Processing Charges ......................................................................................... 13 III.3.4. OA Book Publishing .................................................................................................... 13 Research Gap IV: OA Mandate Policies ......................................................................................... 14 IV.1. Compliance and Enforcing Mechanisms ........................................................................... 14 IV.2. Academic Freedom ........................................................................................................... 14 IV.3. Rationale for OA Book Publishing and Mandate Policies .................................................. 15 PART 1 – HISTORY AND THEORY ................................................................................................................... 16 Abstract ............................................................................................................................................. 16 1.1 Scientiae Donum Dei Est Unde Vendi Non Potest ........................................................................ 16 1.2 The Road to Propertisation ......................................................................................................... 22 1.3 The Return of Open Access ......................................................................................................... 23 1.3.1 Free/Libre and Open Source Software ................................................................................. 29 1.3.2 Creative Commons ............................................................................................................... 32 1.3.3 Wikis and Wikipedia ............................................................................................................. 35 1.3.4 Open Science, Science Commons and Open Patenting ....................................................... 39 Summary 3 1.4 The Open Access Movement in Academic Publishing ................................................................. 43 1.4.1 The Three Bs: Budapest, Berlin and Bethesda ..................................................................... 48 1.4.2 SPARC and Civil Society ........................................................................................................ 51 1.4.3 OA Publication Models: Green, Gold, Gratis and Libre ........................................................ 52 1.4.4 OA Publication Channels ...................................................................................................... 54 1.4.4.1 OA Repositories ............................................................................................................. 54 1.4.4.2 Open Access Journals .................................................................................................... 58 1.4.4.3 Open Access Books ........................................................................................................ 60 1.4.5 Open Access Publishing in the STEM Subjects ..................................................................... 61 1.4.6 Open Access Publishing in the Social Sciences and Humanities .......................................... 65 1.4.6.1 SSRN, RePEc, BEPress and JSTOR .................................................................................. 65 1.4.6.2 Open Access to the Law and Legal Scholarship ............................................................. 69 1.5 From ‘Elite-nment’ to Open Knowledge Environments .............................................................. 74 1.5.1 Universities and Open Access .............................................................................................. 75 1.5.2 Open University and Open Learning .................................................................................... 76 1.5.4 Open Knowledge Environments ........................................................................................... 80 1.6 Conclusions .................................................................................................................................. 81 PART 2 – LEGAL FRAMEWORK AND COPYRIGHT .............................................................................................. 82 Abstract ............................................................................................................................................. 82 2.1 Copyright/Access Tensions .......................................................................................................... 82 2.1.1 Copyright Extension and Expansion ..................................................................................... 83 2.1.2 Fair Dealings, Digital and Contractual Locks......................................................................... 85 2.2 Copyright and Scholarly Publishing ............................................................................................. 89 2.2.1 Copyright Rationale in Academic Publishing ........................................................................ 90 2.2.2 Ownership of Rights in Academic Publishing ....................................................................... 92 2.2.3 Transfer of Rights in Academic Publishing ........................................................................... 94 2.2.4 Open Access and Licensing ................................................................................................... 95 2.2.5 Economies of Prestige, Academic Careers, and OAP ........................................................... 99 2.2.6 Recalibrating or Abolishing Copyright for Academic Works? ............................................ 102 2.3 Open Access, Developing Countries and Scientific Divide ........................................................ 105 2.4 Conclusions ................................................................................................................................ 112 PART 3 – THE ECONOMICS OF OPEN ACCESS AND EMERGING BUSINESS MODELS .............................................. 114 Abstract ........................................................................................................................................... 114 3.1 The Economics of Academic Publishing .................................................................................... 114 3.2 Academic Publishing Industry ................................................................................................... 116 3.2.1 Pricing Models, Inelastic Demand and Market Inefficiency ............................................... 118 3.3 Digitisation and OAP .................................................................................................................. 126 3.4 Open Access Business Models ................................................................................................... 129 3.4.1 Repositories ........................................................................................................................ 130 3.4.2 Journals