If you ask the open access community what happened in October 2003, chances are they will cite the Berlin Declaration as an important moment of consolidation of international mobilisation. At the same time, however, there was a large-scale attempt to charge authors for the publication of their open access research. Indeed, this was the time when the publisher Biomedcentral announced the switch of all its journals to a then little known financial model: Article Processing Charges. Let’s take the example of two journals passing on this announcement when they discuss the price of the service:
Although some authors may consider US$525 expensive, it must be remembered that The Journal of Translational Medicine does not levy additional page or colour charges on top of this fee, which can easily exceed US$525. With the article being online only, any number of colour figures and photographs can be included, at no extra cost.
There is no remuneration of any kind provided to the Editors-in-Chief, to any members of the editorial board, or to peer reviewers; all of whose work is entirely voluntary. Although some authors may consider US$525 expensive, it must be remembered that Journal of Neuroinflammation does not levy any additional page or color charges on top of this fee. Because we are an online-only journal, any number of color figures, photographs, and ‘extra’ pages can be included at no extra cost. Such color and page charges, as assessed by more traditional journals, can easily exceed our flat US$525 per-article APC. Another common expense with traditional journals is the purchase of reprints for distribution, and the cost of these reprints is also frequently greater than our APCs. The Journal of Neuroinflammation provides free, publication-quality pdf files for distribution, in lieu of reprints.
Three elements emerge from these excerpts: firstly, their similarity indicates a copying of elements provided by BMC to justify this change in business model, the financing having previously had to rely on any source except the authors and in particular a support programme for research institutions; secondly, the price is related to the costs of making content and formats available free of charge to readers; and thirdly, the novelty of the payment for authors is minimised in favour of a continuous interpretation between page charges and article processing charges. Indeed, at least since the 1930s, in some disciplines, the authors’ contribution to publication costs – and not only to the cost of reprinting copies for personal circulation – has been documented. And a vast majority of science journals were still asking for such charges at the beginning of the 2010s1
This continuity is debatable, but the APC system put in place by BMC, like the one adopted at the official launch of PLOS Biology around the same time, is a partial legacy of these in print practices. As in the past, only accepted items are invoiced at a single “catalogue” price for defined services.
TO BE CONTINUED
Curb, Lisa A., and Charles I. Abramson. “An examination of author-paid charges in science journals.” Comprehensive Psychology 1 (2012): 01-17. [↩]
So to push you to read the work of diverse and enlightning contributors, I have remixed and shortened our chapter about readers and their empowerement in contemporary peer review. In the full version, we underlined one of the most decisive effect of open access: the accelerating rise to power of ordinary readers1.
Pre-Publication Peer Review as Reading
Throughout the history of peer review, the three judging instances (editors-in-chief, editorial committees, outside reviewers) that have gradually emerged were the first readers of submitted manuscripts. This may seem trivial, but the essential activity of evaluating an article – unlike other types of academic evaluatiion – is indeed the handling of a text. Admittedly, the peer review article can be considered to include many other things, such as checking that ethical rules are being followed or that data is actually being made available, but the question of taking into account the content of the article – whether in the form of a paper file or a computer file – has always been essential. The acts of reading are far from being simple, whether you consider “geographies of reading”2 (with whom, where, in what setting), what attracts the attention of readers, how texts are annotated, how journals inform those practicies and what are the purposes of such acts.
Their respective importance and the way in which their readings are coordinated may be subject to local conventions at a journal, disciplinary, or historical level. They are also marked by profound divergences due to distinct issues in manuscript evaluation. The space of possibilities within which these readings are conducted is a subject for public debate that leads to the invention of labels and the stabilization of categories, and to the elaboration of procedural and moral norms. For example, on the respective anonymity of authors and referees, four labels have been coined since the 1980s
These spaces of possibility currently coexist in each discipline, being attached to different scientific and moral values, pertaining to the responsi- bility of reviewers, objectivity of judgements, transparency of process, and equity toward authors. The different possibilities here show that Merton’s “organized skepticism” and the agonistic nature of the production of scientific facts described by Latour and Woolgar long ago are, indeed, not self-evident. The contemporary moment is characterized by reflexive readings of peer- review technologies: manuscript evaluation has itself become an object of systematic scientific investigation. Authors, manuscripts, reviewers, journals, and readers have been scrupulously examined for their qualities and competencies, as well as for their “biases,” faults, or even unacceptable behavior. The diverse arrangements of manuscript evaluation are thus themselves systematically subjected to evaluation procedures.
Post-Publication Peer Review as Ordinary Readers empowerement?
Peer review in the twenty-first century can also be distinguished by a growing trend: the empowerment of “ordinary” readers as new key judging instances. If editors and reviewers produce judgments, it is through a reading within a very specific framework, as it is confined to restricted interaction, essentially via written correspondence, which aims at authorizing the dissemination of manuscripts-become-articles. Other forms of reading accompany publications and participate in their evaluation, inde-pendently of their initial validation.
Citing Articles : with the popularization of bibliometric tools, citation counting has become a central element of journal and article evaluation. But it also need a transformation of formats, an identification of references and a fundamental transformation: the act of referencing relates to a given author, whereas a citation is a new and perhaps calculable property of the source text, creating what Wouters called “citation culture”. Then, highly disparate forms of intertextuality are rendered commensurable: the measured or radical criticism of a thought or result, integration within a scientific tradition, reliance on a standardized method described elsewhere, existence of data for a literary journal or meta-study, simple recopying of sources or self-promotion. Citation thus points towards two complementary horizons of reading: science as a system for accumulating knowledge via a referencing operation, and research as a necessary discussion of this same knowledge through criticism and commentary.
Commenting texts: in a view of publication as explicitly dialogical or polyphonic, reader can become commentersTraditionally, before an article was published, comments were mainly directed toward the editor- in-chief or the editorial committee. Through open review, commenters enter into a dialogue with the authors and thus open up a space for direct confrontation. Prior to the emergence of electronic spaces for discussion, objects like “special issues” or “reports” in which a series of articles are brought together around a given theme to feed off one another after a short presentation. Post-publication commenting was also common through two elementary forms: by referring to the original article or by sending a letter to the editor. The electronic space led to many experiments of post-commenting: most of them met no success (PLOS, Nature, Pubmedcentral…), until the unexpected success of anonymized comments on PubPeer.
Sharing papers: until recently, readers other than citers and commenters remained very much in the shadows. Yet library users, students in classes, and col- leagues in seminars, as just a few examples, also ascribe value to articles; for example, through annotation. The existence of articles in electronic form has made their readers more visible. Persons who access an “HTML” page or who download a “PDF” file are now taken into account, whereas in the past it was only the distribution of journals and texts, mostly through libraries, which allowed one to assess potential readership. By inventorying and aggregating the audience in this way, it is possible to assign readers the capacity to evaluate articles. The creation of online academic social networks (e.g., ResearchGate, Academia .edu) has trivialized this figure of the public, not only by counting “academic users,” but also by naming them and offering contact. At the same time, online bibliographic tools (e.g., CiteULike, Mendeley, Zotero) that objectify the readers and taggers who introduce references and attached documents into their bibliographic databases. Without being citers them selves, these readers select publications by sharing lists of references, the pertinence of which is notified by the use of “tags.” These reader-taggers are also embedded in the use of hyperlinks within “generalist” social net-works (e.g., Facebook, Twitter), by alerting others to interesting articles, or by briefly commenting on their content, feeding the whole “article-level metrics” movement. Here the readers, tracked by number and diversity, revalidate articles in the place of the judging instances historically qualified to do so.
Examining Documents : This movement is even more significant in that these tools are applied not only to published articles but also to documents which have not been vali-dated through the growth of prerint servers. This flow of electronic manuscripts feeds the enthusiasm of the most visionary who, since the 1990s, have been announcing the end of journals. On the contrary, we obsersed new technologies have been built on these archives, suchas “overlay journals,” in which available manuscripts are later validated by reading peers in various ways. With a view to dissemination, advocates of readers as a judging instance tend to downplay the importance of prior validation. While the valida- tion process sorts manuscripts in a binary fashion (accepted or rejected), such advocates contend that varied forms of dissemination instead encour- age permanent discussion and argument along a text’s entire trajectory. In this perspective, articles remain “alive” after publication and are therefore always subject not only to various reader appropriations, but also to public evaluations, which can reverse their initial validation through flagging articles in official journal policies.
The Academic Closet vs. The Readers Bazaar
Driven by a constant process of specialization, the extension of judging instances to readers may appear as a reallocation of expertise, empowering a growing number of people in the name of distributed knowledge. In an ongoing context of revelations of massive scientific fraud, which often implicates editorial processes and journals themselves, the dereliction inherent to judging instances prior to publication has transformed the mass of readers in a vital resource for unearthing error and fraud. As in other domains where public expertise used to be exclusively held by a few professionals, crowdsourcing has become a collective gatekeeper for science publishing. Thus peerdom shall be reshaped, as lay readers have now full access to a large part of the scientific literature and have become valued audiences as quantified end-users of published articles.
If open science has become a motto, it encompasses two different visions for journal peer review. The first one, which includes open identities, takes place within the academic closet, where the dissemination of manuscripts is made possible by small discourse collectives which shape consensual facts. This vision is supported by the validation processes designed by Robert Boyle during the emergence of modern scientific practices. By contrast, in a Hobbesian fashion, the second one urges an openness in multiple ways, building an academic democracy where each reading may litterally been accounted. The disentanglement of peer evaluation goes througdh the ability given to readers to comment on published articles, to produce social media metrics through the sharing of documents, and to observe the whole evaluation process of each manuscript. In this vision, scholarly communication not only relies on crowdsourced peer review but on a plurality of instances that generates a continuous process of judgment. The first vision has been at the heart of the scientific article as a genre, and a key component of the scientific journal as the most important channel for scholarly communication. Whether journals remain central in the second world has yet to be determined.
We means David Pontille and myself. You can read the full chapter here. Of course, as readers, you are welcome to cite, comment, share & examine this chapter [↩]
Livingstone, David N. “Science, text and space: thoughts on the geography of reading.” Transactions of the institute of British geographers 30.4 (2005): 391-401. [↩]
For most of us, February 14th is Valentine’s Day; for open access activists and lovers, It is also the celebration of the BOAI anniversary. It was 18 years ago, they were sixteen, meeting in Budapest in December 2001. Far from agreeing on everything, yet they co-signed a landmark declaration published on February 14th, 2002. 18 years later, it is the coming of age for Open Access, a time to look at what has been changed, redifined, gained and missed. To start with, we have to remember that the BOAI really defined open access, as a virtually unlimited re-use of academic documents:
“By “open access” to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited ((BOAI, 14th February 2002)).”
They also put together what was largely separated before, the soon named “green road” and “gold road”. Nevertheless, contrary to the popular belief, the supposed “original version” of the BOAI reproduced in lots of copies on the web, they were not calling them “self-archiving” and “open access journals”. Indeed, the reference above is not the true original version, but one slightly changed in the summer of 2002. The former one, which can be seen on the Web Archive, stated : “Open access to peer-reviewed journal literature is the goal. Self-archiving (I.) and a new generation of open-access alternative journals (II.)are the ways to attain this goal. So following BOAI, we will deal with this coming of age in two successive posts : this first one will focus on alternative journals, the second one on the triumph of organized archives over self-archiving.
A revolution with no defined business model
How are described these alternative journals? Why and how are they alternative and to what? The main answer is given in a long paragraph of the BOAI: it is our actual starting point, from which the history of these journals shall be analyzed. To ease the reading, we have divided it in three parts.
“Second, scholars need the means to launch a new generation of alternative journals committed to open access, and to help existing journals that elect to make the transition to open access.“
The two ways for journals to commit were already happening at the beginning of the century. On the one hand, very early electronic journals, often without publisher but what we now call a platform, didn’t go the subscription way and were established as free for readers. On the other, the 2001 PLOS letter/petition pushed publishers to change their ways and open their content, with lots of signees but few positive answers apart from BMC. So the BOAI reminds them that they could still “filp” to open access. But what does it mean exactly?
“Because journal articles should be disseminated as widely as possible, these new journals will no longer invoke copyright to restrict access to and use of the material they publish. Instead they will use copyright and other tools to ensure permanent open access to all the articles they publish. Because price is a barrier to access, these new journals will not charge subscription or access fees, and will turn to other methods for covering their expenses.”
The alternativeness doesn’t come from the way journals should be run (editorial boards, scope, peer review) but from their economic model. Journals are qualified as “alternative” because they shouldn’t anymore rely on the property of content and subscription as the main route to pay for journal expenses (and profit). More than that, they would have extra costs as they have to maintain open access through time. With the vanishing of current and future revenues, on what shall the new business model rest?
“There are many alternative sources of funds for this purpose, including the foundations and governments that fund research, the universities and laboratories that employ researchers, endowments set up by discipline or institution, friends of the cause of open access, profits from the sale of add-ons to the basic texts, funds freed up by the demise or cancellation of journals charging traditional subscription or access fees, or even contributions from the researchers themselves. There is no need to favor one of these solutions over the others for all disciplines or nations, and no need to stop looking for other, creative alternatives.“
This is probably the most important part of the whole BOAI declaration, besides the open acess definition. Three main points should be retained: firstly, the idea of a diversity of sources of income, in an optimistic vision of the means of financing a journal undoubtedly fuelled by the success of the open source software movement. Secondly, this diversity is reinforced by the final sentence which supports the absence of a “one best way” even when the exploration of possibilities would have fully taken place. Finally, thirdly, the idea of recourse to a payment by authors is tconceived as a last resort (“or even”). In other words, not only does the alternative economic model remained unclear and uncertain, but the paying author’s proposal was not considered a priority at all.
The stories of 11 pioneers
But with such vagueness, who then ventured to go on the alternative and how did they settle their journals once launched? On the George Soros site, funder of the BOAI meeting through the Open Society Institute, a very short list of 11 entities was then available, even if it was supposed to be only examples1.
So, a first way to fulfill the promise made by the title of this post is to investigate the trajectory of these 11 journals, or rather publication websites, so great is their diversity. We will treat them in groups, according to their destiny:
Still free of charge mathematicians & computer scientists journals: Algebraic & Geometric Topology and Geometry & Topology were respectively founded in 1997 and 2001, have always published open access articles and are still community-based journals, published by MSP, which puts a very strong anti-APC statement on its website. Document Mathematica is the first journal of the Elibm platform, founded in 1996, which acts as a repository for maths proceedings and journals, free of charge for readers and authors. JMLR was created in 2001 in an independance movement by 40 members of the editorial board of Machine Learning, then owned by Kluwer and is a always hard-to-believe from the outside $10 per article cost kind of journal – thanks to huge volunteer work, Latex, open source software, no fancy website and outsourced micropublishing for paper versions with no financial exchange.
Still owned by societies, but have switched to APC: The New Journal of physics founded in 1998, now published by IOP with an APC of 1630 €. It was a part of some “offset deals” (Austria, UK) and is still one of the journals of the SCOAP3 agreement. The Journal of Insect Science was supported by the University of Arizona, launched in 2001, it changed with the death of its editor-in-chief in 2014, owned by a society but published by Oxford with a 1176 € APC.
Bought by Springer platforms: Living Reviews in Relativity was founded in 1998 by a Max Planck institute, it published only reviews, which were “living” as authors could update them as new literature could be taken into account. It was sold to Springer in 2015, which kept the same formula with, remarkably, no APC . The trajectory of BioMedCentral is probably well-known to readers, let us just remind that it was founded in 2000, cosigned BOAI through Jan Velterop, its then director, was the first “big” publisher to bet on APC and was finally sold by its owner, Vitek Tracz, to Springer in 2008.
Popularizers of APC and inventors of the megajournal: PLOS didn’t really exist as a publishing place at the time of the BOAI. Its call/letter for Open Access the year before as almost only BMC responded positively. But they were already able to secure funds, cosigned BOAI through Michael Eisen and soon lauched PLOS Biology and then, in 2006, PLOS ONE which was the first megajournal, which climbed to more than 30,000 articles a year, invented new forms of peer review and supported article-level metrics againts journal-based metrics . It was also the launch of APC as a standard way to provide Open Access for large communities.
The Platform that used to promote open access among publishers: Highwire has never been a journal nor a platform-journal, but rather a hosting service which develops tools and software for publishers. Founded in 1995 and based at Standford University, it used to be the largest archive of free full-text science on Earth with more than 2,4 million articles. Bought by an equity fund in 2014 (a minority share is still owned by Stanford), this “free texts” webpage stopped its counting on the 25th March, 2015 and the webpage was not maintained after 2018.
Terminated by its learned society: Psycoloquy had been launched and supported by the American Psychological Association, with Stevan Harnad at its helm, who translated some of the features he developed in his previous journal, BBS, notably open peer commentary, into the electronic form. It stopped publishing new articles by 2002.
Other journals or platforms could have been indicated as examples in early 2002. One can notably think of Scielo which was already working very well in South America, Erudit was growing up in Quebec as well as Revues.org in France. But the BOAI was rather focused on STM and English-language journals, and the alternative journals of the BOAI are also located within a world already dominated by an oligopoly of big publishers that was to be changed or at least challenged. Despite these limitations, the 11 stories nevertheless show the diversity of actual trajectories, the adoption of economic models that had yet to be defined and implemented and the adoption of the alternative by some big publishers.
From Gold to Diamond: when the alternative remains alternative
Above and beyond these examples, what trends could be drawn from these last 18 years? We have to consider a wide range of moves from public policies, learned societies, universities & libraries, research funders and finally of course publishers in order to give a second answer to the titile of this post. Of course, the first evolution is the invention of a locution, soon after the BOAI : open access journal, which replaced the “alternative” ones.
Then, as with 4 of the 11 listed, we observed a massive rise of the APC model, from BMC and PLOS pioneers. The idea that authors would accept to pay to publish was not to be taken for granted, would it be in principle or in practice with questions about the accounting circuit, the actual source of funding (authors, labs, departments, universities…), the level of price, etc. And still in some disciplines, being forced to pay is putting a low-quality stamp on the output. The Wellcome Trust in the UK and the ERC programs in the European Union played a huge role in experimenting with the possibility of paying APC through grants, which made them a “normal cost”, especially in well-granted disciplines (biomedecine, physics…). The UK official public policy, after the Finch Report in 2012, also injected money to pay for APCs.
It not only fueled the growth of relatively new publishers – BMC, PLOS but also MDPI, Frontiers in, Hindawi – but pushed “traditional” big publishers to adopt APC and make their journals “hybrid”, with a “basic funding” by subscription and “extra funding” through APC. Springer began its “Open Choice Program” in 2007, which name deeply reflects the liberal-market vision of open access. These two evolutions led to very harsh critiques of the whole Gold OA project : on the one hand, it raised the question of the birth of predatory publishing through APC ; on the other hand, hybrids meant double dipping and the deepening of the serial crisis.
Hybrid journals were conceived as transition tools to open access, as the then director of SPARC Europe theorized them2 So these private and public policies of APC funding were conceived as a way to reach a tipping point after which the Open Access, now renamed full open access journal, would happen. How naive wrote Richard Poynder in a recent essay3! Some powerful actors came to the same conclusion, so they recently try to impose new radical changes in the funding of journals, most notably Max Planck Gesellschaft in 2015, then the now famous Coalition S, which aim is to accelerate the transition to open access by in fact killing the subscription model, having a CC-BY license to authors for content. Does this sound familiar?
So it seems to go full circle: almost twenty years later, trying to get rid of the traditional economic modela for journals and to do that, talking with big publishers in order to sign “transformative agreements”. Open access has gone mainstream, Elsevier even now present open access as a standard. If changes happened, it was more on the way journals were run, most notably open peer review4. But wait a minute, if the alternative has gone mainstream, where is the new alternative? In fact, the support and success of the APC modeal made the impression on a lot of commentors and actors that the Gold way was now the equivalent of an author-payor model. That led some activists to coin new names for “no APC journals”. Would it be Diamond or Platinium, it meant that it was also free for authors, and not only readers.
Scielo, Erudit, Open Edition were already mentioned, just as 5 of our 11 pioneers. But we could add Open Library of Humanities or Redalyc as “big platforms” for journals5. They are the majority, as no APC journals still represents more than 70% of entries in the DOAJ, their business models are diverse, from bricolage to strong institutional support, just like the BOAI predicted. So the alternative is still alternative, though it has vastly grown in the last 18 years. Getting to adulthood, we will see whether OA journals coexist into two genres, non-APC and APC, or whether one of them in not sustanaible in the long run. Unless, of course, the other open access road gets us into a post-journal world through preprint servers and open archives. To be continued…
this list didn’t evolve a lot in the next two years, Highwire and PLOS were removed, while two MDPI journals were added [↩]