OAPEN Rapport_ a Project Exploring Open Access Monograph Publishing in the Netherlands_22102013

8/13/2019 OAPEN Rapport_ a Project Exploring Open Access Monograph Publishing in the Netherlands_22102013

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Eelco Ferwerda | Ronald Snijder | Janneke Adema

A project exploring

Open Access monographpublishing in theNetherlands

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Final Report


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Eelco Ferwerda | Ronald Snijder | Janneke Adema

A project exploringOpen Access monographpublishing in theNetherlands

Final Report


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Colophon

- - A project exploring Open Access monograph publishing in the Netherlands : Final Report

Foundation

Prins Willem-Alexanderho

Box

Te Hague

Te Netherlands

Contact:

Eelco Ferwerda

[email protected]

+()

Authors

Eelco Ferwerda ( Foundation)

Ronald Snijder ( Foundation, Amsterdam University Press)

Janneke Adema (Coventry University)

About -

- was conducted by Foundation, and

- was supported by the Ministry o , through the national subsidy program (Programma

Implementatie Agenda -beleid), and by , the Netherlands Organisation or Scientific Research.

- Open Access publicatie van wetenschappelijke boeken in NederlandAgentschap- reerentienummer:

Design

Maedium.nl

Print

Repro Utrecht

Foundation is dedicated to Open Access or peer reviewed books. Library (www.oapen.org) is

a deposit service or the ull text dissemination o Open Access books and provides services to publishers and

libraries around quality control, deposit and discovery. In addition, manages the Directory o OpenAccess Books (, www.doabooks.org), a discovery service or books modelled afer .

Foundation

October

Tis report is licensed under a Creative Commons Attribution . Unported License.


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Executive summary

1.1 Open Access monographs

Monographs still play an important role in scholarly communication, particularly in the Humanitiesand Social Sciences. Te availability o publication outlets or research monographs is crucial to the

careers o researchers and to research assessment opportunities or universities with departmentsin those disciplines. Humanities and Social Sciences have suffered rom the serials crises, as libraryunds or the purchase o monographs came under pressure.

Te Open Access model addresses the monograph crisis in two ways. By making a digital editionreely available through the Internet the access to and discoverability o the monograph are greatlyimproved. Te Open Access model also provides the opportunity to find a new sustainable businessmodel or monographs, based on the reduced production costs o the digital edition and buildingon emerging business models or Open Access journals. Open Access models or monographs differrom the models or Open Access journals, because the Open Access version o a monograph doesnot substitute printed books in the same way that e-journals are substituting printed journals. Butalthough the business models may differ, there are no obstacles to achieve Open Access or books.Tere are clear benefits to the academic community and society at large and both publishers and

unders are experimenting with a variety o models to enable Open Access to monographs.

1.2 The - pilot

- was a project to gain experience with Open Access publication o monographs in theNetherlands. Between June and November , Open Access monographs in varioussubject areas were published in Open Access by participating publishers. For every Open Accesstitle, the publishers provided a similar title that was published in the conventional way. Te generalmodel and protocols developed within the unded project were used in -in order to gain knowledge and experience o both the publication and unding o Open Access

books in the Dutch context. Data were collected about usage, sales and costs, to study the effecto Open Access on monographs. - consisted o a quantitative and a qualitative researchcomponent, measuring the effects o Open Access publishing and the perceptions and expectationso publishers and authors.

s model is based on a hybrid approach to Open Access books, publishing both an OpenAccess edition and conventional editions that are offered or sale. Te cost o the Open Accessedition is calculated as the first copy costs o a book, based on all the costs that go into producingthe digital file o the publication. Publishers charge a publication ee or the Open Access editionbased on the first copy costs and recover all other costs through sales. In order to ensure the qualityo publications, - reviewed all peer review reports o the publications and requiredpublishers to make available a description o their peer review process.


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1.3 Perceptions of authors and publishers

- examined user needs and perceptions about s publishing model or Open Accessmonographs. On average, publishers ound the calculation model or Open Access monographs tobe accurate, although there was a wide range o opinions, also other models to calculate the costsmay be suitable as well. Te participating publishers were unanimous in their opinion that the

peer review criteria were sufficient and necessary. However, peer review (criteria) alone may not besufficient to establish the quality o a scholarly book.

With respect to the business model there was some ambivalence and insecurity about itssustainability, especially in an international ramework. Some publishers suggested that there shouldbe more research done and more experience gained with the model. Tere was also some scepticismabout the flexibility o the model to accommodate non-standard ormats, the international contextand different disciplines, as well as the ability to recover the costs through print-sales.

1.4 The costs of monographs

- examined the costs o monograph publishing in the Netherlands. Based on the budgetso books published by nine different publishers a model was created o the costs involved.On average, the total costs or creating a monograph in the Netherlands is slightly over ,;approximately hal o that amount is spent on creating a first digital copy. Printing and bindingpaper copies are responsible or about one-third o the total costs.

- developed our models or cost recovery: two models based on the common practiseo dual edition or hybrid publishing, in which publishers produce an Open Access edition and aprinted edition, and two models based on the principle that publishers would only publish an OpenAccess version. In each o these cases (hybrid and Open Access only) one model took into accountthe varying volume o the books, introducing a cost per page.

I publishers use a hybrid publication model, with paper copies being sold next to the OpenAccess edition, the adjusted model unds a sizable portion o the first copy costs. It does not cover

all costs or the Open Access edition, but due to its flexibility more expensive books receive moreunding, on average.

- chose a different approach or books that were published as an Open Access editiononly. In this case the model was based on the total costs minus printing, binding and distributingpaper copies. Again, the adjusted model, which takes the volume o the book into account, bestmatches the real costs o the books in the project. In both models, a balance is sought betweencovering all costs o publishing a monograph and a reasonable publication charge or the OpenAccess edition.

1.5 The effects of Open Access on sales and scholarly

impact

- ound no evidence o an effect o Open Access on sales. Books with Open Accesseditions were sold in the same amounts as the conventional books in the control group. Neither wasthere evidence o the effect o Open Access on citations: books with an Open Access edition did notget cited more than the books in the control group. Tis may be due to the relatively short period(seventeen months on average) that these books were available.

Tere was a clear effect on online usage. Online usage measured through Book visits andPage views in Google Books improved or the Open Access books. On average, discovery oOpen Access books, measured as Book visits in Google Books, increased by , and online usage,measured as Page views in Google books, increased by .Te effect o Open Access on onlinediscovery and usage is also very clear when comparing average sales to average downloads or allOpen Access books: copies sold versus downloads.


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1.6 Recommendations

Te objective o these recommendations is to improve Open Access or monographs, and is aimedat all stakeholders in academic book publishing. Some o these recommendations have widerimplications, but are included here because they will also benefit Open Access monographs.

.. Overall recommendations Monographs (peer reviewed academic books), particularly books that are the result opublicly unded research, should be made available in an Open Access edition.

Funders and libraries should accept -- licenses, to allow publishers to sell premiumeditions. Funders and libraries with a preerence or Open Access deposit (green Open Access)should allow a reasonable embargo period, to allow publishers cost recovery opublications. Funders and libraries with Open Access publication unds should require transparent eestructures or publication charges. Funders and libraries with policies or Open Access monographs should encourage orrequire deposit in a central, dedicated repository or monographs. Tere remains a need or awareness building and urther education and disseminationo inormation about Open Access publishing. Continued advocacy towards authors andother stakeholders by unders, publishers and libraries as well as by authors themselves isneeded to battle the misconceptions that exist about Open Access publishing.

.. Recommendations for funders Funders without separate Open Access publication unds should allow Open Accesspublication charges to be paid out o research grants. Tese charges should be payable aferthe close o the research unding period. Funders that do have Open Access publication unds should extend these unds to includeOpen Access monographs.

Funders with Open Access publication unds open or monographs should require OpenAccess as a condition or paying publication charges. Funders that already provide financial support or monograph publishing shouldencourage Open Access availability or consider changing their policies to require an OpenAccess edition.

.. Recommendations for libraries Libraries that have the means to do so should consider setting up Open Access publicationunds. Libraries that already have Open Access publication unds should extend these unds toinclude Open Access monographs.

All libraries (with or without Open Access unds) should consider reserving part o theiracquisitions budget in support o Open Access initiatives (Open Access publications andOpen Access service inrastructures). Libraries should consider joining consortium based models designed to support OpenAccess publishing (such as , OpenEditions, ). Libraries supporting campus based publishing should encourage Open Access publicationand consider Open Access mandates, allowing a reasonable embargo period in the case obooks.

.. Recommendations for publishers Publishers should provide Open Access monograph publishing as a service to their authorsand to research unders and universities.

Publishers providing Open Access monograph publishing as a service should develop clearand transparent policies or quality assurance, licensing and Open Access ees.


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Publishers should consider joining to increase discoverability o their Open Accessbooks and contribute to an authoritative list o Open Access book publishers. Publishers should consider making back list and out o print titles available Open Access. Publishers can consider promoting Open Access or monographs by encouragingcontributions rom their stakeholders and supporters to und Open Access publications.

.. Recommendations for authors Authors should seek a reputable Open Access publisher or their manuscript (such as listedin ). When negotiating an agreement with publishers, authors should retain their copyright,grant publishers the right to publish under - or -- licenses, and retain theright to sel-archive the published Open Access edition in a repository afer a reasonableembargo period. Authors should not demand a -- license, unless there are justifiable concerns ocontroversy or misuse or by third parties.

.. Recommendations for future research Research into scholarly and societal impact and altmetrics or Open Access monographs. Research into transparent approaches to publication charges or hybrid publishing models. Research into added value o premium e-book offerings. Research into existing quality assurance practises or monographs and uture models or

quality assurance or Open Access publications. Research into sustainable business models or Open Access monographs, to counter theambivalence and insecurity that still exists about their sustainability, especially in aninternational ramework.

.. Recommendations for should work with publishers to improve quality assurance, using a flexible approachin light o changing practices and remaining open to alternative orms o peer review such

as open or peer-to-peer review. In light o the users need or clear but flexible peer review criteria, it is recommended thatCrossMark is urther introduced as a transparent system to improve quality assurance orOpen Access books. Te calculation model needs to remain open to change. Although the model was overall seen as accurate, other models may also be suitable.


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Samenvatting

2.1 Open Access monografien

Monografien spelen nog steeds een belangrijke rol in wetenschappelijke communicatie, met namein de Geestes- en Sociale wetenschappen. De beschikbaarheid van publicatiemogelijkheden voor

monografien is cruciaal voor de carrires van onderzoekers en de mogelijkheid voor universiteitenom onderzoek te beoordelen. De Geestes- en Sociale wetenschappen hebben te lijden onder de serialcrisis, waardoor bibliotheekondsen voor de aankoop van monografien onder druk kwamen te staan.

Het Open Access-model gaat op twee manieren de monograph crisis te lij. Door het vrijbeschikbaar maken van een digitale editie via het internet wordt de toegang tot en zichtbaarheidvan de monografie sterk verbeterd. Het Open Access-model biedt ook de mogelijkheid om eennieuw duurzaam business model voor monografien te vinden, op basis van de lagere productievan de digitale editie en voortbouwend op opkomende business modellen voor Open Accesstijdschrifen.. Open Access modellen voor monografien verschillen van de modellen voor OpenAccess tijdschrifen; de Open Access-versie van een monografie is geen vervanging voor gedrukteboeken zoals e-journals gedrukte tijdschrifen vervangen. Maar hoewel de bedrijsmodellen kunnenverschillen, zijn er geen belemmeringen om Open Access voor boeken mogelijk te maken. Er zijn

duidelijke voordelen voor de academische gemeenschap en de maatschappij in het algemeen enzowel uitgevers als financiers zijn aan het experimenteren met een verscheidenheid van modellenom Open Access monografien uit te geven.

2.2 De - pilot

- was een project om ervaring te krijgen met Open Access publiceren van monografienin Nederland. ussen juni en november , werden Open Access monografien inverschillende vakgebieden gepubliceerd in Open Access door deelnemende uitgevers. Voor elkeOpen Access titel, publiceerden de uitgevers een soortgelijke titel op de conventionele manier. Het

algemene model en protocollen die binnen het gefinancierde project zijn ontwikkeld,werden gebruikt in - om de kennis en ervaring te krijgen met zowel de publicatie als definanciering van Open Access boeken in de Nederlandse context. Er werden gegevens verzameldover het gebruik, de verkoop en de kosten, om het effect van Open Access op monografienbestuderen. - bestond uit een kwantitatieve en een kwalitatieve onderzoekscomponent,het meten van de effecten van Open Access publiceren en de percepties en verwachtingen vanuitgevers en auteurs.

Het model is gebaseerd op een hybride benadering van Open Access boeken, hetpubliceren van zowel een Open Access-editie en conventionele edities die te koop wordenaangeboden. De kosten van de Open Access editie worden berekend op basis van de kosten voor heteerste exemplaar van een boek, op basis van alle kosten die gemaakt worden voor het producerenvan het digitale bestand van de publicatie. Uitgevers rekenen een publicatievergoeding voor deOpen Access editie op basis van de kosten voor het eerste exemplaar en recupereren alle overigekosten door middel van verkoop van papieren exemplaren. Om de kwaliteit van de publicaties


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te waarborgen, heef - peer review beschrijvingen van de publicaties beoordeeld en deuitgevers stelden een omschrijving van het peer review proces ter beschikking.

2.3 Percepties van auteurs en uitgevers

- onderzocht de behoefen en percepties over het uitgeemodel voor Open Accessmonografien. Gemiddeld genomen vonden de uitgevers het rekenmodel voor Open Accessmonografien nauwkeurig, hoewel er een breed scala van meningen en andere modellen voor hetberekenen van de kosten even geschikt kunnen zijn. De deelnemende uitgevers waren unaniemin hun oordeel dat de peer review criteria noodzakelijk en voldoende waren. Echter, peer review(criteria) alleen zijn niet voldoende om de kwaliteit van een wetenschappelijk boek vast te stellen.

Met betrekking tot het business model was er enige ambivalentie en onzekerheid over deduurzaamheid, vooral in een internationaal kader. Sommige uitgevers suggereerden dat er meeronderzoek gedaan moet worden en meer ervaring met het model zou moet worden opgedaan. Erwas ook enige scepsis over de flexibiliteit van het model met betrekking tot niet-standaard ormaten,de internationale context en de verschillende disciplines, alsook de mogelijkheid om de kosten te

recupereren via print-omzet.

2.4 Monografiekosten

- onderzocht de kosten van het publiceren van monografien in Nederland. Op basisvan de begrotingen van de boeken uitgegeven door negen verschillende uitgevers is eenmodel gemaakt van de kosten. Gemiddeld genomen zijn de totale kosten voor het creren van eenmonografie in Nederland is iets meer dan ., ongeveer de helf van dat bedrag wordt besteedaan het creren van een eerste digitale kopie. Adrukken en binden van papieren exemplaren zijnverantwoordelijk voor ongeveer een derde van de totale kosten.

- ontwikkelde vier modellen voor kostendekking: twee modellen op basis van de

gangbare praktijk van de dubbele editie o hybride uitgeverij, waarin uitgevers een Open Access-editie en een gedrukte editie produceren, en twee modellen op basis van het principe dat uitgeversalleen een Open Acces versie zouden publiceren. In elk van deze gevallen (alleen hybride en OpenAccess) is in het model rekening gehouden met de varirende omvang van de boeken, door deinvoering van een kostprijs per pagina.

Als uitgevers gebruik maken van een hybride publicatie model, waarin de papieren exemplarennaast het Open Access-editie worden verkocht, dekt het aangepaste model een aanzienlijk deel vande kosten voor het eerste exemplaar. Het dekt niet alle kosten voor het Open Access-editie, maardoor zijn flexibiliteit krijgen duurdere boeken gemiddeld genomen meer geld.

- koos voor een andere aanpak voor de boeken die werden gepubliceerd als een OpenAccess editie, zonder papieren exemplaren. In dit geval is het model gebaseerd op de totale kosten

minus drukken, binden en verspreiden van papieren exemplaren. Nogmaals, het aangepaste model,dat rekening houdt met de omvang van het boek, komt het beste overeen met de werkelijke kostenvan de boeken in het project. In beide modellen wordt een evenwicht gezocht tussen alle kostenvan het publiceren van een monografie en een redelijke publicatievergoeding voor de Open Access-editie.

2.5 De effecten van Open Access op verkoop enwetenschappelijke impact

- vond geen bewijs voor een effect van Open Access op de verkoop. Boeken met OpenAccess edities werden in dezelde hoeveelheden verkocht als de conventionele boeken in decontrolegroep. Evenmin was er bewijs van het effect van Open Access op citaties: boeken met


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een Open Access-editie werden niet meer dan de boeken in de controlegroep geciteerd. Dit kanook veroorzaakt door de relatie korte periode (zeventien maanden gemiddeld) dat deze boekenbeschikbaar waren.

Er was een duidelijk effect op online gebruik. Online gebruik - gemeten door middel vanBookvisitsen Pageviewsin Google Books is hoger voor Open Access boeken. Gemiddeld wordthet vinden van Open Access boeken, gemeten als Bookvisitsin Google Books, verhoogd met ,

en online gebruik, gemeten als Pageviews in Google Books, verhoogd met . Het effect vanOpen Access op het online vinden en het gebruik is ook heel duidelijk bij de vergelijking van degemiddelde omzet met de gemiddelde downloads voor alle Open Access boeken: verkochteexemplaren versus . downloads.

2.6 Aanbevelingen

Het doel van deze aanbevelingen is om Open Access voor monografien te verbeteren. Ze zijngericht op alle belanghebbenden bij het academische uitgeven van boeken. Sommige van dezeaanbevelingen hebben bredere implicaties.

.. Algemene aanbevelingen Monografien (peer reviewed wetenschappelijke boeken), met name boeken die deuitkomst zijn van door de overheid gefinancierd onderzoek, moeten beschikbaar wordengesteld in een Open Access-editie. Financiers en bibliotheken moeten ---licenties aanvaarden, zodat uitgevers demogelijkheid hebben om premium edities verkopen. Financiers en bibliotheken met een voorkeur voor groene Open Access moeten eenredelijke embargoperiode toestaan, om de uitgevers de mogelijkheid te geven om de kostenterug te verdienen. Financiers en bibliotheken met Open Access publicatieondsen hebben transparantetariestructuren voor publicatiekosten nodig.

Financiers en bibliotheken met een beleid voor Open Access monografien moetenaanmoedigen o verplichten dat de monografien worden opgeslagen in een centrale,speciale opslagplaats. Er blijf behoefe aan bewustmaking en het verdere verspreiding van inormatie overOpen Access publiceren. Een verdere bewustwordingscampagne naar auteurs en anderebelanghebbenden door financiers, uitgevers en bibliotheken, alsmede door auteurs zel isnodig om de misvattingen die over Open Access publiceren bestaan te laten verdwijnen.

.. Aanbevelingen voor financiers Financiers zonder azonderlijke Open Access publicatieondsen moeten toelaten dat OpenAccess publicatiekosten worden betaald uit subsidies voor onderzoek. Deze kosten moeten

worden betaald na afloop van de financieringsperiode. Financiers met Open Access publicatieondsen moeten deze ondsen uitbreiden voor OpenAccess monografien. Financiers die Open Access publicatieondsen hebben geopend voor monografien dienenOpen Access als voorwaarde voor de betaling van de publicatiekosten te eisen. Financiers die het publiceren van monografien financieel ondersteunen dienen OpenAccess beschikbaarheid aan te moedigen o te overwegen om hun beleid voor een OpenAccess-editie aan te passen.

.. Aanbevelingen voor bibliotheken Bibliotheken, die de middelen daarvoor hebben, moeten de oprichting van Open Accesspublicatieondsen overwegen.

Bibliotheken die al Open Access publicatieondsen hebben moeten deze ondsen uitbreidenvoor Open Access monografien.


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Alle bibliotheken (met o zonder Open Access ondsen) moeten overwegen om een deelvan hun aankoopbudget te reserveren ter ondersteuning van Open Access-initiatieven(Open Access publicaties en Open Access inrastructuren). Bibliotheken moeten overwegen om toe te treden tot consortia die Open Access publicerenondersteunen (zoals , OpenEditions, ). Bibliotheken die University Presses ondersteunen moeten Open Access publicerenstimuleren en Open Access mandaten overwegen, met daarin een redelijke embargoperiode voor boeken.

.. Aanbevelingen voor uitgevers Uitgevers moeten Open Access publiceren van monografien aanbieden als een service aanhun auteurs, onderzoeksfinanciers en universiteiten . Uitgevers die Open Access publiceren van monografien aanbieden als een dienst moeten eenduidelijk en transparant beleid voor kwaliteitsborging, licenties en Open Access vergoedingenontwikkelen.

Uitgevers moeten overwegen om toe te treden tot om de vindbaarheid van hunOpen Access boeken te verhogen en bij te dragen tot een gezaghebbende lijst van Open

Access boekuitgevers. Uitgevers moeten overwegen om uitverkochte en backlisttitels in Open Access tepubliceren. Uitgevers kunnen overwegen om Open Access voor monografien te bevorderen door hetpromoten van financile bijdragen voor Open Access publicaties.

.. Aanbevelingen voor auteurs Auteurs moeten een gerenommeerde Open Access uitgever zoeken voor hun manuscript(zoals vermeld in ). Bij de onderhandelingen over een overeenkomst met uitgevers , moeten auteurs hunauteursrecht behouden, uitgevers het recht krijgen om te publiceren onder - o -- licenties, het recht om een Open Access uitgave in een repository op te slaan na een

redelijke embargo periode . Auteurs mogen niet geen -- licentie eisen, tenzij er gegronde vermoedens zijn vancontroverse o misbruik o door derden.

.. Aanbevelingen voor toekomstig onderzoek Doe onderzoek naar de wetenschappelijke en maatschappelijke impact en altmetrics voorOpen Access monografien. Doe onderzoek naar transparante benaderingen van de kosten voor hybridepublicatiemodellen. Doe onderzoek naar de toegevoegde waarde van een premium e-book aanbod. Doe onderzoek naar bestaande en toekomstige modellen voor kwaliteitsborging voor OpenAccess publicaties. Doe onderzoek naar duurzame business modellen voor Open Access monografien omde ambivalentie en onzekerheid die nog bestaat over hun duurzaamheid - vooral in eeninternationaal kader - tegen te gaan.

.. Aanbevelingen voor moet samenwerken met uitgevers om kwaliteitszorg te verbeteren. Op basis van de behoefe aan duidelijke maar flexibele peer review criteria , bevelen we deverdere invoering aan van CrossMark, een transparant systeem om kwaliteitsborging voorOpen Access boeken te verbeteren. Hoewel het rekenmodel over het algemeen werd gezien als nauwkeurig, betekentdit niet dat de verschillende modellen niet geschikt zijn. Het rekenmodel moetblijven openstaan voor verandering.


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Table of Contents

Executive summary . Open Access monographs . Te OAPEN-NL pilot . Perceptions o authors and publishers

. Te costs o monographs . Te effects o Open Access on sales and scholarly impact . Recommendations

Samenvatting . Open Access monografien . De OAPEN-NL pilot . Percepties van auteurs en uitgevers . Monografiekosten . De effecten van Open Access op verkoop en wetenschappelijke impact . Aanbevelingen

Table of Contents

Introduction . OAPEN-NL . Background . Context . Tis report

Open Access for monographs . Introduction to Open Access monographs . How Open Access or books differs rom Open Access or articles

. Open Access publication models or monographs . Business and unding models or Open Access monographs . Open Access policies . Conclusion

OAPEN-NL: Research Outcomes . Introduction . OAPEN-NL: user needs and project evaluation . Te costs o monographs in the Netherlands . Te effects o Open Access on sales and scholarly impact

Recommendations

. Overall recommendations . Recommendations or unders


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. Recommendations or libraries . Recommendations or publishers . Recommendations or authors . Recommendations or uture research . Recommendations or OAPEN

Appendix : Project description OAPEN-NL . Project description . Aim . Organisation . Funding . Application procedure . Dissemination . Work packages . More inormation and contact

Appendix : Chronology of project activities

. Start o the project, October . Kick-off meeting OAPEN-NL, January . First Round, April . Workshop with publishers, June . Second Round, September . Tird round, March . Workshop October , first results and presentation o CrossMark . Kick-off meeting February , Introduction CrossMark . OAPEN-NL Final seminar, October

Appendix : Data Qualitative Research

Appendix : Book titles and number of downloads

Appendix : Costs per book

Appendix : Costs per

References


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Introduction

4.1 -

- was a project to gain experience with Open Access () publication o monographs inthe Netherlands. Between June and November Open Access monographs in various

subject areas were published in Open Access by participating publishers. For every Open Accesstitle, the publishers provided a similar title that was published in the conventional way. Data werecollected about usage, sales and costs, to study the effect o Open Access on monographs. - consisted o a quantitative and a qualitative research component, measuring the effects o OpenAccess publishing and the perceptions and expectations o publishers and authors.

- was proposed by Amsterdam University Press, at the time coordinator o the co-unded project , and supported by the ministry o and , the NetherlandsOrganization o Scientific Research. Afer the close o the -project, project managemento - was transerred to Foundation.

4.2 Background

Despite the increased options or enabling public access to inormation, the availability o academicbooks remains ragmented and limited and has resulted in an imbalance in the availability oacademic literature between articles and books. Te reduced purchase by libraries o monographshas resulted in increased prices or monographs and a significant all in the average circulationo academic books. As a result, the dissemination and accessibility o academic inormation hasbecome inadequate especially in the Humanities and Social Sciences.

By publishing digitally in Open Access, an effort is being made to improve the disseminationand accessibility o academic publications. Both in the Netherlands and internationally, there is anincreased ocus on Open Access to the results o academic research. Te efforts made in this areahave so ar primarily concerned academic articles and there has been very little ocus on academic

books. Te aim o this project was to put right the current deficiencies in terms o Open Access oracademic books and by extension also or the Humanities and Social Sciences.

4.3 Context

- made use o the results achieved in the European project Open AccessPublishing in European Networks launched in September . Te project aimed todevelop a sustainable model or Open Access monograph publishing and a platorm to supportOpen Access monograph publishing and improve discovery and access to monographs romparticipating publishers.

Te ull project proposal is in Dutch and available at www.oapen.nl. An English outline o the project isenclosed asAppendix : Project description -.


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Te general models and protocols developed within the project were used in -in order to gain knowledge and experience o both the publication and unding o Open Accessbooks in the Dutch context. All Open Access books were made available in the Library toimprove access and discovery o the Open Access books.

initiated a similar project in the , managed by Collections and unded by and Te Arts and Humanities Research Council (), which is called -. Although

this project was set up independently rom -, it is very similar. Open Access books inthe - project are also made available in the Library, and results rom -will be comparable to -. However, unlike -, - has involved a researchcompany to conduct a wide survey and investigation into monograph publishing and scholarlycommunication in the Humanities and Social Sciences. - and - have shared alldocumentation and results.

4.4 This report

Tis final report presents the results o -. Chapter aims to give an overview o Open

Access or Monographs, looking at the benefits o Open Access, the motives or the transitionto Open Access and early examples o Open Access book publishers, the various Open Accesspublication models and examples o policies supporting Open Access monographs and a shortdescription o emerging Open Access business and unding models.

Te main outcomes o the project are presented in chapter , -: Research Outcomes.Te first section o chapter provides an analysis o the qualitative aspects o the - project,looking at the experiences and needs o users with respect to Open Access books and the project asa whole, as well as their expectations and requirements with respect to the - publicationund and model. Te ollowing section investigates the costs o publishing a monograph in theNetherlands and discusses the implications or unders. Te last section describes the effects oOpen Access publishing on book sales, discovery, online consultation and citations.

Te final chapter collects the recommendations or Open Access monographs, drawn rom both

- and developments elsewhere.In this report we use the term Open Access () as defined by Peter Suber, as literature that is

digital, online, ree o charge, and ree o most copyright and licensing restrictions (Suber, ).We use the term monographs (sometimes called research monographs, or academic books, or

simply books) or peer reviewed academic books. Tis report does not deal with other genres, suchas dissertations, textbooks, reerence works or trade books.

http://oapen-uk.jiscebooks.org/


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Open Access for monographs

5.1 Introduction to Open Access monographs

Monographs still play an important role in scholarly communication, particularly in the Humanitiesand Social Sciences. Te availability o publication outlets or research monographs is crucial to the

careers o researchers and to research assessment opportunities or universities with departmentsin those disciplines. Humanities and Social Sciences have suffered rom the serials crises, as libraryunds or the purchase o monographs came under pressure(Adema & Rutten, , p. ).

Although Humanities and Social Sciences have been slow to adopt digital and open accessopportunities, a number o initiatives indicate that Open Access or monographs is gainingmomentum. In the last ew years a considerable number o academic publishers launched OpenAccess monograph initiatives, ranging rom established commercial publishers such as PalgraveMacmillan, Springer and De Gruyter to new, dedicated non-profit publishers such as Open BookPublishers and Ubiquity Press in the and Anvil Academic and Amherst College Press in the. o support these new initiatives a number o inrastructural services or Open Access booksemerged, such as the Library (launched in ), OpenEdition Books (, an extensiono the OpenEdition publishing platorm), Open Monograph Press (, an open source publishing

system modelled afer ) and the Directory o Open Access Books (, officially launched inJuly and modelled afer the ). currently contains over Open Access booksrom more than publishers.

.. BenefitsAlthough Open Access monographs are less well established than Open Access journals, the samebenefits apply or books as or journal articles. Science Europe describes these benefits in theollowing way(Science Europe, ):

Open Access, as defined in the Berlin Declaration, means unrestricted, online access to peerreviewed scholarly research papers or reading and productive re-use, not impeded by anyfinancial, organisational, legal or technical barriers. Ideally, the only restriction on use is an

obligation to attribute the work to the author. Open Access improves the pace, efficiency and efficacy o research, and heightens the authorsvisibility, and thus the potential impact o their work. It removes structural and geographicalbarriers that hinder the ree circulation o knowledge and thereore contributes to increasedcollaboration, ultimately strengthening scientific excellence and capacity building.

Open Access enables reuse and computational analysis o published material, sparksinnovation and acilitates interdisciplinary research, as well as scholarly exchange on a globalscale.

Full access to research results strengthens the dissemination, testing and uptake o scientificbreakthroughs, not only or the benefit o the research community but also or the economyand society as a whole.

http://www.doabooks.org/


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One can argue that the benefits o Open Access to monographs have less to do with improving thepace o research or strengthening the economy, but because monographs play an important role inHumanities and Social Sciences, Open Access to monographs may have a greater societal impactand lead to a greater valorisation beyond the scholarly community. But, as Peter Suber points outin his book Open Access, the relevant comparison is not between the sciences and humanities, butbetween any kind o research published in Open Access versus the same kind o research locked

behind price and permission barriers: Whether a given line o research serves wellness or wisdom,energy or enlightenment, protein synthesis or public saety, Open Access helps it serve thosepurposes aster, better, and more universally.(Suber, )

.. The monograph crisisTe increasing interest or Open Access monographs has less to do with the benefits o Open Accessthan with declining position o the conventional scholarly monograph. Te business model whichunderpins commercial monograph publishing is clearly losing its sustainability (Adema & Rutten,). Above inflation increases in the costs o research journals in Science, echnology and Medicinehave eaten into the ability o libraries to purchase research monographs. Book budgets are squeezedas a result. In addition, the rising cost o monographs means that publishers increasingly sell to a

university library market individual researchers and students are unable to afford monographspriced at over per copy. Over the past years average sales or monographs have declined rom. to (worldwide)(Association o Research Libraries () :: Statistics -, ).Tis decline is potentially very damaging to the Arts, Humanities and Social Sciences, where themonograph is still a central means o disseminating research outputs.

As Louise Adler ( o Melbourne University Press) has indicated, the uture o the monographin Australia is precarious. Rising production costs and dwindling library budgets are threateningthe traditional lieblood o Australias our university presses (rounson, ).

For researchers, the publish or perish syndrome exerts tremendous pressure on academics to goto press with their material. In countries such as the , the (Research Excellence Framework)increases the pressure on academics, since so much o a universitys research unding is governedby a universitys standing in the outcomes. All these pressures eed a cycle where monograph

sales in the bookshop are alling, the researcher is under pressure to publish, but the avenues ormonograph publication are dwindling.

As Colin Steele (Emeritus ellow o the Australian National University and ounder o Epress) wrote in a much cited article: Tere is surely no point in institutions supporting the hugecosts o academic research i there is no means o distributing and accessing monographic contenteffectively. Te current scholarly publishing process is completely illogical rom an access pointo view. Many academics spend years researching and writing a scholarly book, but then findthemselves either without a publishing outlet or with relatively ew sales, and commensurate lowexposure or their research (Steele, ).

.. Open Access as a solution for the monograph crisis

Te Open Access model addresses the monograph crisis in two ways. By making a digital editionreely available through the Internet the access to and discoverability o the monograph are greatlyimproved. Te Open Access model also provides the opportunity to find a new sustainable businessmodel or monographs, based on the reduced production costs o the digital edition and buildingon emerging business models or Open Access journals.

A Knowledge Exchange briefing paper Open Access Business Models or Research Fundersand Universities recommends treating the electronic version o the monograph as the primaryedition: Te choice acing the academic community world-wide is between allowing the researchmonograph to disappear, possibly being replaced by a system o chapter-by-chapter disseminationthrough a repository, or using new technologies to move to a new orm o the research monograph,not restricted in size but designed primarily to be an electronic resource available on open access.One advantage to treating the electronic version as the primary version is that it enables the highcost o print to be taken out o the basic financial calculation, by dealing with print-on-demand as


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a separate account, without the cost o unsold print copies distorting the main budget.(KnowledgeExchange & Friend, )

.. Early examples of Open Access monograph publishingTe earliest book publisher to provide open access was the National Academies Press in the ,publisher or the various arms o the National Academies. has provided ree online ull-text

editions o its books alongside priced, printed editions since , and asserts that the onlineeditions promote sales o the print editions. As o June had more than , books uponline or browsing, searching, and reading.

In Australian National University established E Press to explore and enable newmodes o scholarly publishing. E press was set up as an electronic press to eliminate barriersinherent in existing models o scholarly communication and take advantage o new inormation andcommunication technologies to make available the intellectual output o the academic communityo .In Rice University Press was relaunched afer a ten-year hiatus, as the first digitalonly University Press in the United States. Rice aimed to recover its costs through print sales butdidnt succeed and had to close down again in . Other early examples o dedicated open accesspresses publishing Open Access monographs, with a ocus in the Humanities, are re.press, based in

Melbourne (Australia) who published their first title in and Open Humanities Press, whichlaunched two years later.

5.2 How Open Access for books differs from OpenAccess for articles

Te transition to Open Access or monographs will work differently than the transition to OpenAccess that is already taking place or journal articles. Some o these differences have to do withthe different genres, some are based on differences in the conventional business models or booksand journals, and some have more to do with differences between the humanities and the sciences,

in the way scientific communication is conducted, the way research is unded and the values andperceptions o researchers in these different disciplinary areas. We will not attempt to predicthow the transition to Open Access monographs will take place, as Open Access books are still intheir inancy. Indeed academic e-books and the whole publishing inrastructure around academice-books are at a very early stage o development.

We can expect the boundaries between e-books and articles to blur, as books move into the digitalspace and e-books become the primary edition, the same way this has happened with journals. Asthis takes place, some o the distinctions between books and articles will become irrelevant. Evenso, in this section we highlight some o the characteristics o monographs to explain how they mightinfluence Open Access models.

Length o monographs: monographs are also reerred to as the long orm publication or

sustained argument. As most people preer reading longer texts in printed orm, onlinedisplay does not substitute print. We can expect an uptake o reading rom screen usinge-readers, but at present and or the near uture print will remain in demand or monographs.Tis is quite different or e-journals, which do substitute print journals, because articles aremuch shorter and readers preerring print can easily print an article.

Hybrid model: as e-books dont substitute printed books, publishers will continue with printand thereore Open Access models will be hybrid. Funders preer pure Open Access or

http://epress.anu.edu.au/about http://en.wikipedia.org/wiki/Rice_University_Press http://en.wikipedia.org/wiki/Open_access Project Muse, and all started offering e-books to libraries in the last ew years. Tis section makes use o a description o the difference between Open Access or books and articles as

provided in (Adema & Hall, )


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journals, to avoid the danger o double dipping, but in the case o monographs, this issuewill have to be addressed.

Licensing: most stakeholders in Open Access journal publishing agree that - is thepreerred model or Open Access dissemination. As Open Access book publishers use a dualedition or hybrid strategy, they will preer -- to protect their investment in premiumeditions.

Cost recovery model: book publishers estimate at least three years or cost recovery throughsales o copies. Mandating Open Access deposit o books with an embargo period o months, as is common within , will not find support among most book publishers. As aconsequence the green road to Open Access will be less easible.

Open Access business models: the two main business models or Open Access journals- covering the cost o Open Access journals through financial support rom academicinstitutions, or through author side publication ees (s) - do not carry over easily tobooks, since the costs o publishing monographs are considerably higher, and unds to coverthese costs are harder to come by in the Humanities.

Grants to support conventional monographs: contrary to the previous point is the act thatin many countries there are various schemes to support conventional book publishing. Tese

unds can be utilized to encourage Open Access publishing. Royalties: book publishers pay authors royalties over copies sold. Tis has been an argumentnot to attempt Open Access or monographs. In act in the case o research output royaltiesare much less important to authors than the impact and recognition o their work. On topo which in practice income rom royalties is modest at best, and mostly negligible. Teact remains that the issue o book royalties leads to various misconceptions: that authorswill require royalties when publishing a monograph; that thereore author side publicationees wont work or books; that sales o monographs that are also Open Access will be muchlower; that Open Access monographs dont generate royalties at all.

Quality assurance and quality perception: in book publishing the variety o practises to assurethe quality o academic publications is much larger than in journal publishing, and there areless accepted ways to assess the quality o publications. Open Access journals can achieve

the same recognition as conventional journals, provided they have the same high qualityeditorial boards, achieve the same impact actors and use the same peer review systems.For monographs, this is not as straightorward. In the humanities the most valued meanso scholarly communication remains the printed monograph published with an esteemedinternational press.

Value perception o electronic versus printed books: Online monographs have thedisadvantage that they cannot substitute printed books in the same way that e-journalssubstitute printed journals. In the perception o researchers they are thereore not theprimary publication. In act there is the perception that online publication is somehow lesscredible than print, and that it lacks rigorous standards o quality control. Tis perceptionis strengthened by the idea that authors should pay to have their work published, which

researchers in associate with vanity publishing.

5.3 Open Access publication models for monographs

As might be expected in a relatively new area such as Open Access book publishing, there are manydifferent experiments taking place and there is a wide variety o approaches to Open Access books.In this section we try to give an idea o the different approaches and models that are being pursued.

Tis section is largely based on research or a presentation at , Berlin: Open Access models orMonographs gaining momentum, part o a session on Open Books. (Ferwerda, )


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.. Types of publishersAlthough most Open Access book publishers are not-or-profit University Presses, there is actually awide variety o publishers who are pursuing Open Access models. Te oldest examples are NationalAcademies Press and , both Institutional presses publishing or their own institutions. Inact, Institutional presses are by ar the largest Open Access book publishers in terms o numbero publications. Other prominent examples are Te World Bank and publishing. All these

presses have published thousands o books in Open Access, covering a wide variety o publications,ranging rom peer reviewed academic books to grey literature (such as reports and working papers).Among proessional academic presses publishing Open Access books are established publisherssuch as De Gruyter and Brill and start-ups such as Amherst College Press and Anvil Academic.Some are very large book publishers, such as Palgrave Macmillan and Springer, but many are verysmall, employing just a ew people.

However, this doesnt reflect how many Open Access books are published: Springer has publishedless than books; Palgrave Macmillan expects it will publish around Open Access books nextyear. In contrast a number o dedicated but quite small Open Access book publishers (such as Scientific Press and Gttingen University Press) annually publish Open Access books or more.

Te first commercial publisher to start Open Access book publishing was Bloomsbury

Academic, but the large majority o Open Access book publishers, around , are not-or-profit,most o them University Presses. Among these are also a number o presses that are perhaps betterdescribed as Library presses, operating rom within the university library and ofen part o a digitalservices unit (ublishing at Michigan, eScholarship at Caliornia, Gttingen, and ). Anothernot-or-profit category that deserves mention here is the so-called scholar led press, a publishinghouse launched and managed by researchers, ofen on a voluntary basis next to their primaryscholarly work. Examples are the aorementioned Open Humanities Press, Open Book Publishersand Ubiquity Press.

.. Open Access publishing strategiesTe variety o Open Access book publishers is matched by the variety o approaches to Open Accessbooks publishing:

Front list publishing/dedicated Open Access: A significant number o publishers ispursuing Open Access or books as an answer to the monograph crises and an alternativeto conventional book publishing, to improve reach, usage and impact o books and/or tolower the cost o publishing. In most cases, these publishers are not-or-profit and dedicatedOpen Access. Tere are many examples among the university presses, such as E press,Athabasca and most o the German university presses. Also all the aorementionedinstitutional and scholar led publishers.

Service/part o portolio: Most o the established publishers starting Open Access bookprogrammes do so as an extension o their existing portolio. Tese publishers offer OpenAccess or monographs as a service to their authors and to comply with unding requirementsor university mandates. Examples are Brill, SpringerOpen, Palgrave Macmillan, Manchester

University Press and De Gruyter. Versita is a dedicated Open Access publisher, but as asubsidiary o De Gruyter. Back list/long tail: A number o publishers are trying out Open Access or their backlist

titles, to find out about the effect o Open Access on sales, or as a way to increase usage othese publications. An example o this approach is Utah State University Press, which makesits titles available Open Access afer the first year. In the same category are some publisherswho are making a selection o their list reely available as a way to promote their press andpublications. An example is Hong Kong University Press.

Selective Open Access or projects/series: Many publishers are experimenting with OpenAccess on a selective basis or a certain series, because there is grant unding available (orinstance eScholarship with a grant rom the Mellon oundation), in order to experiment withthis type o publishing (such as the pilots), or to explore innovative approaches orOpen Access books (or example the concept o liquid books in the series Living Booksabout Lie at Open Humanities Press, supported by Collections).


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.. Approaches to Open Access disseminationTe same variety can be seen in the ways that Open Access publications are made available.

Licenses: Te majority o reely available books are not truly Open Access as they are ree toread but with all rights reserved (gratis Open Access). In most cases these books are madereely available some time afer publication, and the license isnt changed when this happens.O the books that are made available under Open Access licenses, the large majority uses a

restrictive orm o Creative Commons, either the most restrictive license (---) or (non-commercial) or (no derivatives). Most publishers o ront list Open Accessbooks preer --, because they want to protect the exploitation o other editions nextto the Open Access edition ( Researcher Survey Results (- project report),). Many publishers give authors the option to choose their preerred license and aconsiderable portion o authors preer . Only very recently, in the past year, did OpenAccess book publishers decide to offer - (libre Open Access), the first being PalgraveMacmillan.

Online versus downloads: Some publishers preer to make their publications availableonline as ; others make their books available to download as . A ew publishers doboth. Te choices publishers make are connected to their preerred business model and in

some cases with eatures connected to the publications. Te oldest Open Access example isNational Academies Press, providing ree access to publications online, and offering the and printed copies or sale. Recent examples o this model are Open Book Publishers andOpenEdition, a publishing platorm working with many different Open Access publishers.OpenEdition will also offer e-book ormats o the publications or sale, but the online editioncan be accessed reely and embedded on other websites.

Hybrid models: All Open Access publishers have some sort o hybrid model or their books,providing ree access to an Open Access edition and offering other editions or sale. Mostwill sell a printed edition next to the Open Access edition. In some cases the printed editionis a Print-on-Demand (PoD) service. Some publishers also offer an e-book version or sale.OpenEdition sells e-books directly and through vendors, but does not offer ree access tothe . However other publishers (such as Athabasca and Amsterdam ) make the

available as Open Access edition and sell an almost identical edition through vendors.Publishers with their own e-publication platorm such as De Gruyter and Springer will sellprint editions, but provide ree access to the e-book through their platorm.

5.4 Business and funding models for Open Accessmonographs

In this section an attempt is made to present the main business and unding models that areemerging or Open Access monographs. We call these models business and unding models

because many Open Access presses are able to publish Open Access books through financialsupport, rather than by charging Open Access publication ees. Tis is comparable to Open Accessjournals, where only around o Open Access journals charge s (Article Processing Charges)and most other journals receive some sort o support to maintain their activities. As academicpublishing, both conventional and Open Access, is or a large part directly or indirectly undedthrough public money, the distinction between business and unding models is rather artificial.Colin Steele addressed this issue in his description o E press: It has been argued by some publishers that this use o university inrastructures constitutes a hidden subsidy to universitypresses. Tis overlooks however, the much larger subsidies the other way, to the same multinational

See http://creativecommons.org/licenses/ or a ull explanation o licenses. Most o the inormation or this section is based on research or a presentation at , Berlin:

Open Access models or Monographs gaining momentum, part o a session on Open Books. Additionalinormation comes rom Te Open Access Monographs in the Humanities and Social Sciences conerenceheld at the British Library, July & . (Ferwerda, )


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publishers rom university inrastructures - in addition to their receipt o university scholarsoriginal research ree o charge, and the act that traditional print subsidies ail to alleviate theaccess and distribution problems.

In this section, five categories o business models are identified, but as most publishersmake use o a variety o models; these categories are also a bit artificial. Te categories are: Dualedition publishing; Institutional support; Author side publication charges; Library side models;

Crowdunding.

.. Dual edition publishingDual edition publishing reers to business models that aim to recover all or part o the publicationcosts through sales, even though there is an Open Access edition ree o charge. Tis model canalso be called hybrid publishing and is used by all Open Access book publishers. Open Accessbook publishers expect to recover at least part o their costs through sales, because the ree e-book,whether it is an online version or a , does not answer the needs o all users. Publishers thereoreexpect to reach more potential buyers through the ree edition, perhaps compensating or interestedusers that are satisfied with the ree version and might have bought the book without a ree version.

A select ew Open Access publishers use this model as their primary strategy to recover their

costs. It was first developed by National Academies Press. Tere is evidence that the model works incertain areas, such as applied science in the case o . Bloomsbury Academic was launched withthis model in mind and publishing is also a good example. makes all their publicationsreely available online in , but customers can buy other editions, and also subscribe to allcontent. calls this a Freemium model, providing ree versions o publications and sellingpremium editions and services. is able to recover almost all o its costs through this model.

All other Open Access book publishers also have a hybrid or dual edition strategy, but use thismodel next to other sources o income.

.. Institutional supportTe majority o Open Access book publishers receive support in some orm to sustain their activities.Tere are many different ways in which publishers receive support:

Grants rom oundations or societies: In many countries there are special programmes tosupport book publishing. Tis is or instance ofen the case in small language areas (Sweden),also in remote areas or in countries where it is common to translate English books intothe local language or vice versa (many Spanish speaking countries). In cases where thereis already support or conventional book publishing, it is a small step to start making thesebooks reely available as well. However there are also numerous grants especially or OpenAccess publishing.

Subsidies orm the parent institute: Tis is the common model or many university presses(although not in the ). In some cases the university or its library will decide that it is intheir interest to promote Open Access publishing in order to increase discovery and impacto research output rom their institution. An interesting example o this model is Athabasca

University Press, where a policy was introduced to ensure effective dissemination o scholarlyoutput, called the solution. As Frits Pannenkoek, president o Athabasca University,wrote: o university budgets should be allocated towards scholarly communication.Integral to scholarly research is its communication and dissemination, but this financialresponsibility has been lef to others outside the institution, to that o commercial publishersor cost-recovery scholarly presses. University press budgets are small, especially comparedto those o academic divisions or o the university library; thereore it is not unreasonable toexpect the cost o dissemination o this institutional research be supported by the institution.University presses directly contribute to the universitys teaching and research missions ina way that results in the widest possible dissemination o scholarship. Tis communication

Message to the Open Access Forum list, January , Colin Steele


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o the scholarship generated by universities should be seen as part o the core activity andmandate o a university.

Support or e-publishing activities by making available the libraries inrastructure: Tis isalso a common model among university presses. E press was one o the early exampleso this model or Open Access publishing: the press is seen as part o the universities scholarlycommunication inrastructure and thereore also has access to its inrastructure (see the

quote o Colin Steel in the introduction to this section, with a similar argument as Pannenkoeko Athabasca). ublishing is another good example, and not only supports campus basedpublishing but also Open Humanities Press, an independent, scholar led publishing housededicated to Open Access, by providing the publishing inrastructure or publications.

Embedded publishing departments: Many university presses actually developed romscholarly communication offices within the library and are run as a library department.Publishing activities are supported in an indirect way, as personnel, office and overheadcosts are covered by the library budget. Earlier the term Library presses was introduced orthese types o presses. Examples are Igitur at Utrecht University and, as mentioned earlier,ublishing, eScholarship at the University o Caliornia, and many German presses.

.. Author side publication chargesTis model is derived rom the (Article Processing Charges) model or Open Access journalsand has emerged in the last ew years, one might say in anticipation o a gold Open Access modelor monographs.

In this model the publisher charges a publication ee or book processing charge to make a bookavailable in Open Access. Te ee is paid by the under o the original research, which can be aunding agency or the authors university.

As we have seen earlier, some Open Access publication unds are being extended to includeOpen Access monographs. But author side charges are in act not a new phenomenon. In manycountries it is not uncommon to require some sort o additional unding to publish a monograph.

Examples o Open Access book publishers using this model (and an indication o the OpenAccess charges): SpringerOpen (, euro), Palgrave Macmillan (, pounds), Manchester

University Press (, , pounds, depending on length), Brill (, euro or pages, and euro/page above ), Open Book Publishers (under , pounds, although doesnt chargeauthors i there is no unding to support the Open Access publication), Ubiquity Press ( pounds/chapter).

As with s the level o publication charges varies and there isnt a common approach to howthese charges are calculated. Publishers adopting this model will also recover part o their coststhrough sales o other editions. As with hybrid journals, one can expect unders to be reluctant topay Open Access publication charges in this hybrid model, unless there is a transparent approachto the ee structure. Tere are a ew examples o publishers addressing this issue o double dippingwith Open Access monographs. De Gruyter calculates expected sales and will reimburse unders isales expectations are exceeded. Amsterdam University Press introduced a model with a research

institute in which o profits are returned into a und or uture publications.

.. Library side modelsSome recent models are developed with the current acquisition system in mind, looking at existinglibrary budgets to achieve Open Access or publications. Tis is particularly relevant or theHumanities and Social Sciences, where researchers have less access to central research unding.

Consortium based acquisition: Knowledge Unlatched aims to create a financially sustainableroute to Open Access or monographs through a globally coordinated model. Te modelis based on the idea that libraries can use their existing acquisitions budgets to unlatchmonographs by making them available in Open Access. In order to do this libraries orm a

Quote obtained rom Athabasca University Press Data obtained rom (Ferwerda, )


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global consortium to co-ordinate the selection and acquisition process. On the supply side, organizes title lists that publishers are willing to publish in Open Access.

Open Access licensing or libraries: OpenEdition developed a Freemium model or libraries.Although the content is available Open Access through its platorm, OpenEdition chargeslibraries a ee or premium content and services. Libraries can thereby get access to the or e-books or students. Te income generated through this model is shared with the

participating publishers and helps sustain the OpenEdition platorm. Library subsidy: Open Library or Humanities is proposing a model which it calls Library

Partnership Subsidy, in which libraries pay a relatively small annual subscription ee tosecure Open Access to works. Te model is being developed or its new journal initiativeaimed at the Humanities and Social Sciences, but it will be extended to monographs in theorm o a pilot.

.. CrowdfundingAlthough there are other models being tried or Open Access publishing, the last model we willbriefly describe is Crowdunding. In this model the publisher sets a target price or Crowdunding,at which point the title is released in Open Access. Te model is mostly being used to release back

list titles, although Open Book Publishers used this model to publish two ront list monographs incollaboration with Gluejar Inc. Gluejar has launched a website Unglue.it, where visitors have theopportunity to contribute payments towards ungluing a book. De Gruyter is also trying out themodel with one hundred selected back list titles.

5.5 Open Access policies

Research unding agencies and universities supporting Open Access have a range o policy options,regarding mandates, green and gold Open Access, unding publication charges (in gold), gratis andlibre Open Access. Tere is a wide range o Open Access policies targeted at articles: according tothe latest figures rom there are under mandates and institutional mandates (and

another multi- and sub-institutional mandates).However, as Open Access or monographs is still a relatively new phenomenon, there are only

a ew institutions with established policies supporting Open Access books. Some research councilshave Open Access unds that include Open Access monographs; others are preparing to supportOpen Access or monographs through projects.

.. Open Access policies and projects by research funders Austrian Science Fund ()

is driving the transition to Open Access monographs in Austria. was the first toinclude monographs in their open access policy and in made open access a pre-conditionor publication grants: providing lump sum grants o . or Open Access monographs, or

. including translations and oreign publication, and an additional grant o or peerreview. aimed to improve quality o peer review and oreign language editing and improvevisibility and impact, particularly outside the German speaking countries. With these aims in mind, started its own e-book library in , deciding to make earlier publications open access andorganising a new round o reviewing to select which books should be included in their open accesse-book library. In this sense, is the gatekeeper and selector o the open access titles, but leavesthe actual publishing to the publishers. Te e-book library currently contains approximately

http://roarmap.eprints.org/ Most o the inormation on Open Access policies rom research unders in this section comes rom Te

Open Access Monographs in the Humanities and Social Sciences conerence held at the British Library,July & . Other sources include the Open study Implementing Open Access Mandates inEurope, and the Open Access Directory, , http://oad.simmons.edu/oadwiki/Main_Page. (Schmidt &Kuchma, )


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books, and these publications are also made available through the Library and listed in.

is planning to set up a certification procedure or publishers, to make sure open accessbooks meet academic standards and peer review processes are improved, and requiring - or- - licenses.

Netherlands Organisation or Scientific Research, is committed to Open Access and has set up an incentive und to encourage Open Access

publication o unded research results. Te und covers Open Access publication ees or bothpeer reviewed articles and books, with a maximum o .. is preparing its new strategicplan or -, which will be based on continued commitment to Open Access.

took specific measures to support Open Access or the Humanities. Grants were madeavailable to set up new Open Access journals and to support the transition to Open Access osubscription based journals in the Humanities. In addition supported the adoption o OpenAccess or monographs in the Netherlands, by becoming a partner and co-under in -. will continue to support Open Access and accepts that there will be additional costs in thetransition period. But eventually Open Access publishing should find a sustainable business model

or all stakeholders.

Arts and Humanities Research Council, In the current research unding model, dissemination costs are part o the research process and

these costs can be met through research unds. Not many researchers make use o this possibility.Te Finch report has resulted in a policy change in the , aiming to support Gold Open Access toresearch results. Publication ees will no longer be part o research unding and block grants will beavailable to und s (article processing charges). However, this policy change is aimed at OpenAccess or articles only, and in Humanities and Social Sciences, this accounts or just one third opublications. For monographs, the existing policy still applies, which means publication ees can bemet as part o research grants. is co-unding a pilot project, -, managed by Collections. - is similar

to -, exploring the effect o open access monograph publishing by comparing open accessbooks with traditionally published books.

German Research Foundation ()Te German Research Foundation () is a member organisation, and strategic and unding

decisions are essentially made by researchers. Tereore, responds to the needs o the researchcommunity, rather than take the lead in the transition to Open Access. Open Access policiesdate back to , with a recommendation that authors make their articles available in Open Access,with a maximum embargo o months, and retain their copyright. has a number o undingschemes or books: a und with project related publication expenses, with a maximum o or books with high production costs; also separate publication grants, excluding dissertations.

is also supporting institutional Open Access publication unds in co-operation with academicinstitutions, contributing up to o these unds, with a cap o or s, but excludingbooks.

owards the end o a call was issued or Open Access monographs, with the objective tolearn about publishing costs, workflows and business models. Requirements or output includetransparency, quality assurance, -license, standardized usage statistics, metadata and long termavailability. Proposals are still under review.

Max Planck Society ()Te Max Planck Society has been a driving orce behind the Open Access movement since the

Berlin Declaration in and the subsequent Berlin Open Access conerences. supportsOpen Access with various projects and central unding through the Max Planck Digital Library.


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Within there is a growing interest or Open Access monographs rom the humanities andsocial sciences research community. Te Max Planck Digital Library has started to support openaccess monographs and aims to establish a sustainable and scalable service inrastructure, buildingon experiences with journals and keeping in mind the differences with monographs. hasset up its own e-book platorm www.edition-open-access.de and also started to collaborate withpublishers, but has not set up central unding o Open Access publication costs.

Swedish consortium or Open Access monographsSweden has universities with an Open Access policy or recommendation and research

unders with an Open Access policy, but not including monographs. A national project wasconducted to explore Open Access book publishing in a collaborative manner, involving unders,universities and publishers. Te objective was to improve dissemination through open accesspublishing and address the issue o quality through a common reviewing system. Te final reportwas released in July , recommending a central inrastructure to organize quality assurance anda common peer review system or Open Access monographs, run by the Swedish Research Council(Lawrence et al., ).

One o the unders o this project, the Riksbankens Jubileumsond (), which promotes and

supports research in the humanities and social sciences, already has an Open Access mandate orboth articles and books, demanding that all new research publications be made available and openlyaccessible within six months o publication. Te adds a standard allowance o , perproject to support open access publishing, both in journals and in the orm o monographs.

Australian Research Council ()Te introduced a new open access policy or unded research taking effect rom

January . According to this new policy the requires that any publications arising roman supported research project, including books, must be deposited into an open accessinstitutional repository within a twelve month period rom the date o publication.

Wellcome rust

In July the Wellcome rust announced it will extend its Open Access publication und to includescholarly monographs and book chapters authored or co-authored by rust grant-holders that ariseas part o their grant-unded research.

European Union ()Since August , the European Commission has supported an initiative to improve the

online accessibility o -unded research results. Tis initiative, called the Open Access Pilot inthe Seventh Framework Programme, encourages and supports p-unded researchers to maketheir research results openly accessible: either through Open Access publishing (gold) or throughOpen Access sel-archiving (green). Publication charges to publish in Open Access are eligible orreimbursement through the project grant. In the next unding cycle Horizon , the policy will

be extended to all subject areas and also apply to monographs resulting rom unded research.

European Research Council ()Te has updated its Open Access Guidelines or researchers and requires electronic copies

o any research papers and monographs that are supported in whole, or in part, by undingto be made publicly available as soon as possible, and no later than six months afer the officialpublication date o the original publication.

.. Universities supporting Open Access monograph publishingUniversities and University Libraries can support Open Access monographs in various ways. Teycan support Open Access by opening up their Open Access publication unds or monographs, butalso by supporting the publishing activities at their university. Tere is no source on Open Accessunding available providing specific inormation about monographs, but a number o Open Accessunds rom universities are open or monographs. In North America the Library o the University


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o Caliornia, the University o Oregon Library, the University o Virginia Library and orontoUniversity all have Open Access unds that are open to monographs. In Europe are examples oOpen Access unds available or monographs at Lund University, Utrecht University and DelfUniversity.

Universities supporting Open Access book publishing through University presses or libraryservices are more common. In act most University presses publishing Open Access monographs

are in some way supported by their university. A ew models are described in the section Businessand funding models for Open Access monographs, but here are a ew examples rom different partso the world. In North America eScholarship at the University o Caliornia, ublishing atthe University o Michigan and Athabasca University are examples o universities with a strongcommitment to Open Access. In Europe examples o University Presses publishing mainly in OpenAccess and supported by their university or research institute are Amsterdam University Press andLeiden University Press in the Netherlands, Gttingen University Press, Hamburg University Pressand Scientific Publishing in Germany, Les ditions de la Maison des sciences de lhomme andEditions de Linguistique et de Philologie in France. In Australia E Press was established as adedicated Open Access press by Australian National University in .

5.6 Conclusion

Te Open Access model addresses the monograph crisis in two ways, by improving access to anddiscoverability o the monograph and by finding new sustainable business models based on thereduced production costs o the digital edition and building on emerging business models or OpenAccess journals. Open Access models or monographs need to recognize that the Open Accessversion o a monograph cannot substitute printed books in the same way that e-journals substituteprinted journals. Although the models or Open Access books may differ rom the models or OpenAccess journals, there are no obstacles to achieve Open Access or books. Tere are clear benefits tothe academic community and society at large and both publishers and unders are experimentingwith a variety o models to enable Open Access to monographs.


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-: ResearchOutcomes

6.1 Introduction

Tis chapter contains the main outcomes o the pilot project. It shows the results o extensiveresearch into several aspects o publishing Open Access monographs. More inormation about thepilot can be ound in Appendix : Project description - and Appendix : Chronologyo project activities. Te first section explores the perceptions o two major stakeholders: authorsand publishers. Te ollowing section investigates the costs o publishing a monograph in theNetherlands and discusses the implications or unders. Te last section describes the effects oOpen Access publishing on book sales, discovery, online consultation and citations. Additionaldata can be ound in Appendix : Data Qualitative Research, Appendix : Book titles and numbero downloads, Appendix : Costs per book and Appendix : Costs per page.

6.2 -: user needs and project evaluation

.. IntroductionNext to gathering quantitative data on download and citation statistics, costs and sales figures,the - project also ocused on (expanding) research into user needs with respect to (thepublishing o) Open Access books, in the tradition o the previous project reports (Adema& Rutten, ; Kemp, Adema, Rutten, & , ). Tis chapter will give an overview andanalysis o the data that has been gathered as part o the qualitative research o the project.Tis data has been mainly collected by means o three online surveys: one or the participatingpublishers and two (identical) surveys or Dutch and English authors (one in Dutch and one in

English) using the SurveyMonkey survey and questionnaire sofware and platorm. Te threesurveys ocused on user needs, experiences and expectations with respect to (the publishing) oOpen Access books. In the case o the publishers survey, it also ocused on their experiences andexpectations with respect to the (running o the) project. Hence the collected data will alsounction as part o the project evaluation.

.. Aim of the qualitative researchTe purpose o the - user and evaluation research has been to collect, measure, monitorand evaluate the use as well as the user experience o the Open Access publishing model and thepublication und as set-up by -. Tis will provide us with knowledge about publicationcosts, financing models, user experience, procedures, criteria and standards. Tis knowledgewill then be used to prepare guidelines and recommendations or the publishing o Open Access

s o the surveys have been added to the appendix.


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books. Tis research has also been conducted to expand the still lacking availability o data on() researchers attitudes towards Open Access and books. Most o the research still ocuses on research and/or on journals. Gradually more research is being conducted on user needs andexpectations concerning Open Access books, a process in which the oundation and itsresearch have been ground-breaking.

.. Data collectionTe abovementioned surveys were completed by the publishers and authors who participated inthe - project by submitting (a) book (s) during the st, nd, and rd round o applications,which were aferwards approved or inclusion in the - project. All the publishers, withthe exception o Leiden University Press, have completed the survey. authors have completedthe Dutch survey, and the English survey. Te surveys ran rom June until June .In principle the survey only had to be completed once per publisher and once per author.Te survey was a mandatory part o the project.

Data rom the partaking publishers has been gathered with respect to:. Teir experiences with the models and protocols developed within -. Te example calculation as developed within -

. Te inormation provision, the project implementation and the support rom -. Te criteria or peer review as developed within -. Te financing-model as developed within -

Data rom the partaking authors has been collected regarding:. Teir amiliarity with Open Access (publishing). Teir publication in and use o electronic as well as open access publications. Teir motivations or publishing

Data rom both the participating publishers and the authors have been collected regarding theirexpectations and perceptions with respect to:

. Te impact o open access publishing on the sales o books

. Te impact o open access publishing on the number o citations. Te impact o open access publishing on the online consultation o scientific books. Te importance o values such as trust, accessibility and quality within scientific

communication. Te impact o open access on these values

Te surveys ocused on the expectations, perceptions and practices o the users o the publicationmodel and the publication und as presented within the - project. Users have been definedhere as publishers and authors. o measure the expectations and perceptions o users towards OpenAccess or academic books in general and o the model presented in the - project inparticular, we used a methodology that has been previously used in the user needs studies

(Adema & Rutten, ).Tese studies applied a conceptual ramework which represented thekey characteristics o the ormal academic communication system, based on a list o the mostimportant values guaranteed within this system (quality, access and dissemination, effectivenessand efficiency, reputation and reward, economic easibility and trust). Te aim o this part o thequalitative research has been to investigate how users relate to these values, and how they expect

Te large amount o data that is being collected by the - project, or instance, ocuses specificallyon Open Access and books within the , within the English context. See: http://oapen-uk.jiscebooks.org/research-findings/

Due to a personnel switch Leiden University Press was not able to complete the survey as the publisher hasnot been part o the original application procedure. Contact with the publisher has been had however andtheir comments and suggestions regarding the project will be part o this data evaluation and analysis.

Brill filled out the survey twice, the nd time probably afer taking over Press. As their doubleresponse consisted o some valuable remarks with respect to the evaluation, we have decided to include itin the analysis.


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the Open Access publishing o academic books and the specific model as applied in the -project, will affect these values.As the qualitative data collected as part o this user and evaluation research was only gatheredamongst a small group o participants - and is thereore not interesting rom a statistical viewpoint- the c

Documents

OAPEN Rapport_ a Project Exploring Open Access Monograph Publishing in the Netherlands_22102013