65 kaufman

Variations on Open AccessVariations on Open AccessA study of the financial and nonA study of the financial and non--financial effects of financial effects of alternative business models for scholarly journals alternative business models for scholarly journals

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

KaufmanKaufman--Wills GroupWills Group 22ALPSP/HW/AAAS studyALPSP/HW/AAAS study

Research ObjectivesResearch Objectives

1.1. What impact is open access having on What impact is open access having on scholarly journals’ financial factors?scholarly journals’ financial factors?

2.2. What impact is open access having on What impact is open access having on scholarly journals’ nonscholarly journals’ non--financial factors?financial factors?


MethodsMethods

llWritten questionnaireWritten questionnairell 38 questions38 questionsll emailed to populationemailed to populationll PrePre--testedtested

ll Two populationsTwo populationsll HW open archive journalsHW open archive journalsllN=184N=184

ll Directory of Open Access JournalsDirectory of Open Access JournalsllN=1,151N=1,151


ResponseResponse

ll HW open archiveHW open archivell 184 mailed184 mailedll 68 completed68 completedll 37% response rate37% response rate

ll DOAJDOAJll 1,151 mailed1,151 mailedll 245 completed245 completedll 22% response rate22% response rate

ll Preliminary results:Preliminary results:ll 155 DOAJ (13%)155 DOAJ (13%)ll 37 HW (20%)37 HW (20%)

90%à95% confidence, + or – 5% points


FindingsFindings

FinancialFinancialll Current and future accessCurrent and future accessll Sources of financial Sources of financial

support for journalsupport for journalll % of total each revenue % of total each revenue

type representstype representsll Revenue trends and Revenue trends and

expectationsexpectationsll Surplus or deficitSurplus or deficit

NonNon--financialfinancialll Print formatPrint formatll CopyeditingCopyeditingll Peer reviewPeer reviewll Author servicesAuthor servicesll CopyrightCopyrightll Pre/postPre/post--publishing rightspublishing rightsll Permissions policiesPermissions policies


Journal ProfileJournal ProfileHW open archiveHW open archive

ll 97% soc, 3% u press97% soc, 3% u pressll 60% Euro, 40% NA60% Euro, 40% NAll 97% STM97% STMll 95% orig, 5% review95% orig, 5% reviewll 97% print + online97% print + online

ll Half <1960 printHalf <1960 printll Half <2000 onlineHalf <2000 onlinell 78% online posted w/print; 78% online posted w/print;

13% asap 13% asap ll 11% addl online material11% addl online material

ll >50% at least monthly>50% at least monthlyll Avg # mss sub/yr: 973Avg # mss sub/yr: 973ll Avg # arts pub/yr: 329Avg # arts pub/yr: 329

DOAJDOAJll 46% comml, 17% dept, 16% 46% comml, 17% dept, 16%

soc, 7% indivsoc, 7% indivll 58% Euro, 28% NA, 14% 58% Euro, 28% NA, 14%

ROWROWll 72% STM, 12% SS, 9% 72% STM, 12% SS, 9%

humanitieshumanitiesll 100% original content100% original contentll 74% online only74% online only

ll Half <1990 printHalf <1990 printll Half <2000 onlineHalf <2000 onlinell 69% post articles asap69% post articles asap

ll 10% Q, 90% other, N/A10% Q, 90% other, N/All Avg # mss sub/yr: 108Avg # mss sub/yr: 108ll Avg # arts pub/yr: 46 Avg # arts pub/yr: 46


Online HostingOnline Hosting

HW open archiveHW open archivell Current contentCurrent contentll 100% HW 100% HW

ll Archival contentArchival contentll 60% PMC 60% PMC

DOAJDOAJll Current contentCurrent contentll 71% own service71% own servicell 45% PMC45% PMCll 39% JSTOR39% JSTOR

ll Archival contentArchival contentll 56% other (SciELO)56% other (SciELO)ll 45% PMC45% PMCll 39% INIST39% INIST


Peer ReviewPeer Review

HW open archiveHW open archivell 70% int + ext rev70% int + ext revll 24% ext rev only24% ext rev onlyll 2.5% edit staff only2.5% edit staff onlyll 2.5% no peer review2.5% no peer review

ll 76% 2 reviewers76% 2 reviewersll 16% 3 reviewers16% 3 reviewers

DOAJDOAJll 49% int + ext rev49% int + ext revll 45% ext rev only45% ext rev onlyll 2% edit staff only2% edit staff only

ll 70% 2 reviewers70% 2 reviewersll 21% 3 reviewers21% 3 reviewers


Editing and CopyeditingEditing and Copyediting

HW open archiveHW open archivell 42% content edited42% content editedll 95% copyedited95% copyedited

DOAJDOAJll 44% content edited44% content editedll 55% copyedited55% copyedited


Author ServicesAuthor ServicesAuthor Services

0

5

10

15

20

25

30

35

40

1

Services

Res

pons

es

PDF or other electronic format proofs

Online article submission

Online tracking of paper through peer-reviewprocessOnline digital art submission

PDF for posting on Author's web site

Limited/Unlimited e-prints or downloads

Post publication peer review

Online tracking of paper from submissionthrough publicationNone of the above

Other

Author Services - DOAJ Journals

0

20

40

60

80

100

120

140

1

Services

Res

pons

es

PDF or other electronic format proofs

Online article submission

Online tracking of paper through peer-reviewprocessOnline digital art submission

PDF for posting on Author's web site

Limited/Unlimited e-prints or downloads

Post publication peer review

Online tracking of paper from submissionthrough publicationNone of the above

Other


CopyrightCopyright

HW open archiveHW open archivell 64% request author 64% request author

to grant license to to grant license to publishpublish

ll 30% make copyright 30% make copyright transfer condition of transfer condition of publicationpublication

ll 6% will grant license 6% will grant license if requested by authorif requested by author

DOAJDOAJll 50% request author 50% request author

to grant license to to grant license to publishpublish

ll 23% do not require 23% do not require any formal agreementany formal agreement

ll 16% make copyright 16% make copyright transfer condition of transfer condition of publicationpublication


Permissions PoliciesPermissions Policies

HW open archiveHW open archivell 89% only with written permission89% only with written permissionll 11% any academic use but no 11% any academic use but no

commercial use w/o permissioncommercial use w/o permission

ll 70% use in author’s institution70% use in author’s institutionll 86% use in author’s 86% use in author’s

presentations or publicationspresentations or publications

ll 70% posting post70% posting post--print to print to author’s web siteauthor’s web site

ll 54% posting pre54% posting pre--print to author’s print to author’s web siteweb site

DOAJDOAJll 10% only with written permission10% only with written permissionll 18% any academic use but no 18% any academic use but no

commercial use w/o permissioncommercial use w/o permissionll 68% all uses if source cited68% all uses if source citedll 10% all uses, no permission 10% all uses, no permission

necessarynecessary

ll 12% use in author’s institution12% use in author’s institutionll 13% use in author’s 13% use in author’s

presentations or publicationspresentations or publications

ll 8% posting post8% posting post--print to author’s print to author’s web siteweb site


Access to ContentAccess to Content

HW open archiveHW open archivell 95% restrict current 95% restrict current

content; open archivecontent; open archivell OA “influentials”OA “influentials”

ll 68% publisher/68% publisher/publishing oversight publishing oversight

ll 43% librarians43% librariansll 43% OA proponents43% OA proponentsll 35% members35% membersll 30% authors30% authorsll 8% other similar journals8% other similar journals

DOAJDOAJll 95% free on publication95% free on publicationll OA “influentials”OA “influentials”

ll 56% authors56% authorsll 49% publisher (BMC)49% publisher (BMC)ll 16% publications staff16% publications staffll 15% members15% membersll 19% OA proponents19% OA proponentsll 11% institutions11% institutionsll 8% librarians8% librariansll 8% other similar journals8% other similar journals


Business ModelBusiness Model

HW open archiveHW open archivell 95% require subs for 95% require subs for

current contentcurrent contentll 81% plan to test or 81% plan to test or

adopt different modeladopt different modelll New funding sourcesNew funding sourcesll New financial modelNew financial modelll Original articles freeOriginal articles freell Open access, author Open access, author

pays pays

DOAJDOAJll 95% free content on 95% free content on

publicationpublicationll 49% plan to test or 49% plan to test or

adopt different modeladopt different model


Funding SourcesFunding Sources

HW open archiveHW open archivell End user End user

ll 87% subscriptions 87% subscriptions ll 62% member dues62% member duesll 57% content licensing57% content licensing

ll Industry Industry ll 92% comml reprints92% comml reprintsll 78% display ads78% display adsll 30% classified ads30% classified ads

ll InIn--kindkindll 35% volunteer35% volunteer

DOAJDOAJll End userEnd user

ll 13% subscriptions13% subscriptionsll 8% member dues8% member dues

ll GrantsGrantsll 39% gifts or fundraising39% gifts or fundraisingll 23% institutional 23% institutional ll 13% private foundation13% private foundation

ll InIn--kindkindll 20% volunteer20% volunteerll 20% in20% in--kind contributionskind contributions


Revenue Sources as % Revenue Sources as % of Total (preliminary!)of Total (preliminary!)

Revenue Sources - 2004DOAJ Journals

6%

16%

0%

6%

14%

47%

11%

Subscriptions/LicensesGrantsThird-Party LicensesAuthor Fees and ChargesIndustryMember DuesOther

Revenue Sources - 2004Highwire Journals

60%

1%3%

9%

12%2%

13%

Based on mean, which is arithmetic average (add percentages, divide by N.) Journals in each population, when asked to allocate percentages to various revenue sources, reported receiving on average X% of their revenue from Y.


Author FeesAuthor FeesHW open archiveHW open archive

ll Author fees 9% of total Author fees 9% of total revenuesrevenuesll 91% article reprints91% article reprintsll 83% color charges83% color chargesll 17% page charges17% page chargesll 11% excess page charges11% excess page chargesll 9% ms submission charges9% ms submission charges

ll Sources of author fundsSources of author fundsll 60% don’t know60% don’t knowll 34% research grant34% research grantll 31% foundation grant31% foundation grantll 3% library budget3% library budgetll 29% departmental support29% departmental supportll 25% author’s personal funds25% author’s personal fundsll 9% do not charge authors9% do not charge authors

DOAJDOAJll Author fees 47% of total Author fees 47% of total

revenues (BMC)revenues (BMC)ll 88% page charges88% page chargesll 37% submission charges37% submission chargesll 8% publication charges8% publication chargesll 5% color charges5% color chargesll 4% article reprints4% article reprints

ll Sources of author fundsSources of author fundsll 3% don’t know3% don’t knowll 51% research grant51% research grantll 6% foundation grant6% foundation grantll 41% library budget41% library budgetll 10% departmental support10% departmental supportll 7% author’s personal funds7% author’s personal fundsll 33% do not charge authors33% do not charge authors


Financial OutlookFinancial OutlookHW open archiveHW open archive

ll 75% surplus75% surplusll 11% breakeven11% breakevenll 14% shortfall14% shortfall

ll 61% trended upward61% trended upwardll 22% stayed flat22% stayed flatll 11% trended downward11% trended downwardll 6% don’t know6% don’t know

ll 25% exceeded revenue 25% exceeded revenue expectationsexpectations

ll 39% met revenue expectations39% met revenue expectationsll 36% below revenue expectations36% below revenue expectations

DOAJDOAJll 5% surplus5% surplusll 32% breakeven32% breakevenll 63% shortfall63% shortfall

ll 64% trended upward64% trended upwardll 19% stayed flat19% stayed flatll 3% trended downward3% trended downwardll 14% don’t know14% don’t know

ll 3% exceeded revenue 3% exceeded revenue expectationsexpectations

ll 87% met revenue expectations87% met revenue expectationsll 10% below revenue 10% below revenue

expectationsexpectations


Current Business Model ChallengesCurrent Business Model Challenges

HW open archiveHW open archivell “Loss of individual “Loss of individual

subscribers”subscribers”ll “Acceptance of online “Acceptance of online

journals by subscribers”journals by subscribers”ll “Increasing institutional “Increasing institutional

subscriptions”subscriptions”

DOAJDOAJll “This is not a business, “This is not a business,

it’s an effort”it’s an effort”ll “No business model”“No business model”ll “Seeking additional “Seeking additional

funding and donations funding and donations when initial funding runs when initial funding runs out”out”

ll “Increasing usage”“Increasing usage”ll “Acquiring good papers “Acquiring good papers

and reviewers”and reviewers”


Current business model opportunitiesCurrent business model opportunities

HW open archiveHW open archivell “Reach of journal via search “Reach of journal via search

engines”engines”ll “International subscribers, “International subscribers,

reduce rates to residents”reduce rates to residents”

DOAJDOAJll “Not sure what this “Not sure what this

means…we are a nonprofit means…we are a nonprofit enterprise”enterprise”

ll “Hope to continue to “Hope to continue to provide free access …to provide free access …to benefit society”benefit society”

ll “Full text free of charge “Full text free of charge available to all”available to all”

ll “Hope to win more “Hope to win more readership and listing in readership and listing in libraries and databases”libraries and databases”

ll “Help mankind acquire “Help mankind acquire knowledge”knowledge”


Impact of OA MovementImpact of OA Movement

HW open archiveHW open archivell “Creates whole new “Creates whole new

dilemma for financing dilemma for financing journals”journals”

ll “Very little NIH research “Very little NIH research published”published”

DOAJDOAJll “Validates what we have “Validates what we have

been trying to do…”been trying to do…”ll “Put pressure on others “Put pressure on others

to make important to make important information on scientific information on scientific progress available to progress available to everyone”everyone”

ll “Raises acceptability, “Raises acceptability, helps hold down prices”helps hold down prices”

ll “None. References will be “None. References will be easier to check.”easier to check.”


Will OA Journals Prevail?Will OA Journals Prevail?HW open archiveHW open archive

ll “Open access journals will only be “Open access journals will only be prevalent and/or succeed if the prevalent and/or succeed if the financing issue is addressed and financing issue is addressed and solved”solved”

ll “No, doubt successful due to “No, doubt successful due to financial issues”financial issues”

ll “Prevalent perhaps, but I don’t “Prevalent perhaps, but I don’t know if small association know if small association publishers can be successful publishers can be successful without adding higher charges to without adding higher charges to authors”authors”

DOAJDOAJll “Prevalent in some fields and may “Prevalent in some fields and may

be mandated by nature of the be mandated by nature of the funding of the research published”funding of the research published”

ll “I believe that it MAY become “I believe that it MAY become prevalent. So, I don’t want to miss prevalent. So, I don’t want to miss the boat. Its success will depend the boat. Its success will depend on institutional and governmental on institutional and governmental policy”policy”

ll “Yes, eventually”“Yes, eventually”ll “Yes, yes, the model works”“Yes, yes, the model works”ll “Success will not be “Success will not be

complete…most of the famous, complete…most of the famous, high ranking journals will give high ranking journals will give restricted access…”restricted access…”

ll Paid subscriptions are an Paid subscriptions are an “offensive contravention of the “offensive contravention of the opportunities for freedom in opportunities for freedom in knowledge exchange that the knowledge exchange that the Internet should provide”Internet should provide”


Next StepsNext Steps

ll QuantitativeQuantitativell Survey AAMC society members with journals (N=111)Survey AAMC society members with journals (N=111)ll Finish data entry, analyze frequency tables, prepare Finish data entry, analyze frequency tables, prepare

reportreportll QualitativeQualitativell 30 personal interviews 30 personal interviews àà case reportscase reports

ll HW open archive publishersHW open archive publishersll PLoS and other DOAJ publishersPLoS and other DOAJ publishersll Elsevier and other commercial publishersElsevier and other commercial publishersll University Press, other nonUniversity Press, other non--HW selfHW self--published society published society

journalsjournals

ll TimeframeTimeframell Draft report to sponsors for review by end of yearDraft report to sponsors for review by end of year


KaufmanKaufman--Wills Group, LLCWills Group, LLC

Cara S. Kaufman, PartnerAlma J. Wills, PartnerFred Fusting, AssociateKaufman-Wills Group, LLC24 Aintree RoadBaltimore, MD 21286410 821 8035 (office)410 821 5460 (mobile)443 269 0283 (e-fax)[email protected]

Selected clients•AAAS/Science•Am Academy Pediatrics•Am Assoc Immunologists•Am Coll Cardiology•Am Coll Radiology•American Psychiatric Assoc•Am Soc Clin Oncology•ASPET•College Am Pathologists•Rockefeller University Press•Intl Anesthesia Res Soc•NEJM•Project Hope/Health Affairs•Am Acad Othopaedic Surg•Am Urological Association•Am Speech Lang Hear Assoc

65 kaufman

Documents