In honor of Open Access Week, I want to look at some troubling recent discussions about open access, and what academic librarians who work with technology can do. As the manager of an open access institutional repository, I strongly believe that providing greater access to academic research is a good worth pursuing. But I realize that this comes at a cost, and that we have a responsibility to ensure that open access also means integrity and quality.
On “stings” and quality
By now, the article by John Bohannon in Science has been thoroughly dissected in the blogosphere 1. This was not a study per se, but rather a piece of investigative journalism looking into the practices of open access journals. Bohannon submitted variations on an article written under African pseudonyms from fake universities that “any reviewer with more than a high-school knowledge of chemistry…should have spotted the paper’s short-comings immediately.” Over the course of 10 months, he submitted these articles to 304 open access journals whose names he drew from the Directory of Open Access Journals and Jeffrey Beall’s list of predatory open access publishers. Ultimately 157 of the journals accepted the article and 98 rejected it, when any real peer review would have meant that it was rejected in all cases. It is very worth noting that in an analysis of the raw data that Bohannon supplied some publishers on Beall’s list rejected the paper immediately, which is a good reminder to take all curative efforts with an appropriate amount of skepticism 2.
There are certainly many methodological flaws in this investigation, which Mike Taylor outlines in detail in his post 3, and which he concludes was specifically aimed at discrediting open access journals in favor of journals such as Science. As Michael Eisen outlines, Science has not been immune to publishing articles that should have been rejected after peer review–though Bohannon informed Eisen that he intended to look at a variety of journals but this was not practical, and this decision was not informed by editors at Science. Eisen’s conclusion is that “peer review is a joke” and that we need to stop regarding the publication of an article in any journal as evidence that the article is worthwhile 4. Phil Davis at the Scholarly Kitchen took issue with this conclusion (among others noted above), since despite the flaws, this did turn up incontrovertible evidence that “a large number of open access publishers are willfully deceiving readers and authors that articles published in their journals passed through a peer review process…” 5. His conclusion is that open access agencies such as OASPA and DOAJ should be better at policing themselves, and that on the other side Jeffrey Beall should be cautious about suggesting a potential for guilt without evidence. I think one of the more level-headed responses to this piece comes from outside the library and scholarly publishing world in Steven Novella’s post on Neurologica, a blog focused on science and skepticism written by an academic neurologist. He is a fan of open access and wider access to information, but makes the point familiar to all librarians that the internet creates many more opportunities to distribute both good and bad information. Open access journals are one response to the opportunities of the internet, and in particular author-pays journals like “all new ‘funding models’ have the potential of creating perverse incentives.” Traditional journals fall into the same trap when they rely on impact factor to drive subscriptions, which means they may end up publishing “sexy” studies of questionable validity or failing to publish replication studies which are the backbone of the scientific method–and in fact the only real way to establish results no matter what type of peer review has been done 6.
More “perverse incentives”
So far the criticisms of open access have revolved around one type of “gold” open access, wherein the author (or a funding agency) pays article publication fees. “Green” open access, in which a version of the article is posted in a repository is not susceptible to abuse in quite the same way. Yet a new analysis of embargo policies by Shan Sutton shows that some publishers are targeting green open access through new policies. Springer used to have a 12 month embargo for mandated deposit in repositories such as PubMed, but now has extended it to all institutional repositories. Emerald changed its policy so that any mandated deposit to a repository (whether by funder or institutional mandate) was subject to a 24 month embargo 7.
In both cases, paid immediate open access is available for $1,595 (Emerald) or $3,000 (Springer). It seems that the publishers are counting that a “mandate” means that funds are available for this sort of hyrbid gold open access, but that ignores the philosophy behind such mandates. While federal open access mandates do in theory have a financial incentive that the public should not have to pay twice for research, Sutton argues that open access “mandates” at institutions are actually voluntary initiatives by the faculty, and provide waivers without question 8. Additionally, while this type of open access does provide public access to the article, it does not address larger issues of reuse of the text or data in the true sense of open access.
What should a librarian do?
The issues above are complex, but there are a few trends that we can draw on to understand our responsibilities to open access. First, there is the issue of quality, both in terms of researcher experience in working with a journal, and that of being able to trust the validity of an individual article. Second, we have to be aware of the terms under which institutional policies may place authors. As with many such problems, the technological issues are relatively trivial. To actually address them meaningfully will not happen with technology alone, but with education, outreach, and network building.
The major thing we can take away from Bohannon’s work is that we have to help faculty authors to make good choices about where they submit articles. Anyone who works with faculty has stories of extremely questionable practices by journals of all types, both open access and traditional. Speaking up about those practices on an individual basis can result in lawsuits, as we saw earlier this year. Are there technical solutions that can help weed out predatory publishers and bad journals and articles? The Library Loon points out that many factors, some related to technology, have meant that both positive and negative indicators of journal quality have become less useful in recent years. The Loon suggests that “[c]reating a reporting mechanism where authors can rate and answer relatively simple questions about their experiences with various journals seems worthwhile.” 9
The comments to this post have some more suggestions, including open peer review and a forum backed by a strong editor that could be a Yelp-type site for academic publisher reputation. I wrote about open peer review earlier this year in the context of PeerJ, and participants in that system did indeed find the experience of publishing in a journal with quick turnarounds and open reviews pleasant. (Bohannon did not submit a fake article to PeerJ). This solution requires that journals have a more robust technical infrastructure as well as a new philosophy to peer review. More importantly, this is not a solution librarians can implement for our patrons–it is something that has to come from the journals.
The idea that seems to be catching on more is the “Yelp” for scholarly publishers. This seems like a good potential solution, albeit one that would require a great deal of coordinated effort to be truly useful. The technical parts of this type of solution would be relatively easy to carry out. But how to ensure that it is useful for its users? The Yelp analog may be particularly helpful here. When it launched in 2004, it asked users who were searching for some basic information about their question, and to provide the email addresses of additional people whom they would have traditionally asked for this information. Yelp then emailed those people as well as others with similar searches to get reviews of local businesses to build up its base of information. 10 Yelp took a risk in pursuing content in that way, since it could have been off-putting to potential users. But local business information was valuable enough to early users that they were willing to participate, and this seems like a perfect model to build up a base of information on journal publisher practices.
This helps address the problem of predatory publishers and shifting embargoes, but it doesn’t help as much with the issue of quality assurance for the article content. Librarians teach students how to find articles that claim to be peer reviewed, but long before Bohannon we knew that peer review quality varies greatly, and even when done well tells us nothing about the validity of the research findings. Education about the scholarly communication cycle, the scientific method, and critical thinking skills are the most essential tools to ensure that students are using appropriate articles, open access or not. However, those skills are difficult to bring to bear for even the most highly experienced researchers trying to keep up with a large volume of published research. There are a few technical solutions that may be of help here. Article level metrics, particularly alternative metrics, can aid in seeing how articles are being used. (For more on altmetrics, see this post from earlier this year).
One of the easiest options for article level metrics is the Altmetric.com bookmarklet. This provides article level metrics for many articles with a DOI, or articles from PubMed and arXiv. Altmetric.com offers an API with a free tier to develop your own app. An open source option for article level metrics is PLOS’s Article-Level Metrics, a Ruby on Rails application. These solutions do not guarantee article quality, of course, but hopefully help weed out more marginal articles.
No one needs to be afraid of open access
For those working with institutional repositories or other open access issues, it sometimes seems very natural for Open Access Week to fall so near Halloween. But it does not have to be frightening. Taking responsibility for thoughtful use of technical solutions and on-going outreach and education is essential, but can lead to important changes in attitudes to open access and changes in scholarly communication.
- Bohannon, John. “Who’s Afraid of Peer Review?” Science 342, no. 6154 (October 4, 2013): 60–65. doi:10.1126/science.342.6154.60. ↩
- “Who Is Afraid of Peer Review: Sting Operation of The Science: Some Analysis of the Metadata.” Scholarlyoadisq, October 9, 2013. http://scholarlyoadisq.wordpress.com/2013/10/09/who-is-afraid-of-peer-review-sting-operation-of-the-science-some-analysis-of-the-metadata/. ↩
- Taylor, Mike. “Anti-tutorial: How to Design and Execute a Really Bad Study.” Sauropod Vertebra Picture of the Week. Accessed October 17, 2013. http://svpow.com/2013/10/07/anti-tutorial-how-to-design-and-execute-a-really-bad-study/. ↩
- Eisen, Michael. “I Confess, I Wrote the Arsenic DNA Paper to Expose Flaws in Peer-review at Subscription Based Journals.” It Is NOT Junk, October 3, 2013. http://www.michaeleisen.org/blog/?p=1439. ↩
- Davis, Phil. “Open Access ‘Sting’ Reveals Deception, Missed Opportunities.” The Scholarly Kitchen. Accessed October 17, 2013. http://scholarlykitchen.sspnet.org/2013/10/04/open-access-sting-reveals-deception-missed-opportunities/. ↩
- Novella, Steven. “A Problem with Open Access Journals.” Neurologica Blog, October 7, 2013. http://theness.com/neurologicablog/index.php/a-problem-with-open-access-journals/. ↩
- Sutton, Shan C. “Open Access, Publisher Embargoes, and the Voluntary Nature of Scholarship: An Analysis.” College & Research Libraries News 74, no. 9 (October 1, 2013): 468–472. ↩
- Ibid., 469 ↩
- Loon, Library. “A Veritable Sting.” Gavia Libraria, October 8, 2013. http://gavialib.com/2013/10/a-veritable-sting/. ↩
- Cringely, Robert. “The Ears Have It.” I, Cringely, October 14, 2004. http://www.pbs.org/cringely/pulpit/2004/pulpit_20041014_000829.html. ↩
*** Update: Several references and a video added (thanks to Brett Bonfield) on Feb. 21, 2013. ***
Who was Aaron Swartz?
If you are a librarian and do not know who Aaron Swartz is, that should probably change now. He helped developing the RSS standard, was the co-founder of Reddit, worked on the Open Library project, downloaded and freed 20% (2.7 million documents) of the Public Access to Court Electronic Records (PACER) database that charges access fees for the United States federal court documents, out of which about 1,600 had privacy issues, played a lead role in preventing the Stop Online Piracy Act (SOPA), and wrote the Guerrilla Open Access Manifesto.
Most famously, he was arrested in 2011 for the mass download of journal articles from JSTOR. He returned the documents to JSTOR and apologized. The Massachusetts state court dismissed the charges, and JSTOR decided not to pursue civil litigation. But MIT stayed silent, and the federal court charged Swartz with wire fraud, computer fraud, unlawfully obtaining information from a protected computer and recklessly damaging a protected computer. If convicted on these charges, Swartz could be sentenced to up to 35 years in prison at the age of 26. He committed suicide after facing charges for two years, on January 11, 2013.
Information wants to be free; Information wants to be expensive
Now, he was a controversial figure. He advocated Open Access (OA) but to the extent of encouraging scholars, librarians, students who have access to copyrighted academic materials to trade passwords and circulate them freely on the grounds that this is an act of civil disobedience against unjust copyright laws in his manifesto. He was an advocate of the open Internet, the transparent government, and open access to scholarly output. But he also physically hacked into the MIT network wiring closet and attached his laptop to download over 4 million articles from JSTOR. Most people including librarians are not going to advocate trading their institutions’ subscription database passwords or breaking into a staff-only computer networking area of an institution. The actual method of OA that Swartz recommended was highly controversial even among the strongest OA advocates.
But in his Guerrilla OA manifesto, Swartz raised one very valid point about the nature of information in the era of the World Wide Web. That is, information is power. (a) As power, information can be spread to and be made useful to as many of us as possible. Or, (b) it can be locked up and the access to it can be restricted to only those who can pay for it or have access privileges some other way. One thing is clear. Those who do not have access to information will be at a significant disadvantage compared to those who do.
And I would like to ask what today’s academic and/or research libraries are doing to realize Scenario (a) rather than Scenario (b). Are academic/research libraries doing enough to make information available to as many as possible?
Too-comfortable Internet, Too-comfortable academic libraries
Among the many articles I read about Aaron Swartz’s sudden death, the one that made me think most was “Aaron Swartz’s suicide shows the risk of a too-comfortable Internet.” The author of this article worries that we may now have a too-comfortable Internet. The Internet is slowly turning into just another platform for those who can afford purchasing information. The Internet as the place where you could freely find, use, modify, create, and share information is disappearing. Instead pay walls and closed doors are being established. Useful information on the Internet is being fast monetized, and the access is no longer free and open. Even the government documents become no longer freely accessible to the public when they are put up on the Internet (likely to be due to digitization and online storage costs) as shown in the case of PACER and Aaron Swartz. We are more and more getting used to giving up our privacy or to paying for information. This may be inevitable in a capitalist society, but should the same apply to libraries as well?
The thought about the too-comfortable Internet made me wonder whether perhaps academic research libraries were also becoming too comfortable with the status quo of licensing electronic journals and databases for patrons. In the times when the library collection was physical, people who walk into the library were rarely turned away. The resources in the library are collected and preserved because we believe that people have the right to learn and investigate things and to form one’s own opinions and that the knowledge of the past should be made available for that purpose. Regardless of one’s age, gender, social and financial status, libraries have been welcoming and encouraging people who were in the quest for knowledge and information. With the increasing number of electronic resources in the library, however, this has been changing.
Many academic libraries offer computers, which are necessary to access electronic resources of the library itself. But how many of academic libraries keep all the computers open for user without the user log-in? Often those library computers are locked up and require the username and password, which only those affiliated with the institution possess. The same often goes for many electronic resources. How many academic libraries allow the on-site access to electronic resources by walk-in users? How many academic libraries insist on the walk-in users’ access to those resources that they pay for in the license? Many academic libraries also participate in the Federal Depository Library program, which requires those libraries to provide free access to the government documents that they receive to the public. But how easy is it for the public to enter and access the free government information at those libraries?
I asked in Twitter about the guest access in academic libraries to computers and e-resources. Approximately 25 academic librarians generously answered my question. (Thank you!) According to the responses in Twitter, almost all except a few libraries ( mentioned in Twitter responses) offer guest access to computers and e-resources on-site. It is to be noted, however, that a few offer the guest -access to neither. Also some libraries limit the guests’ computer-use to 30 minutes – 4 hours, thereby restricting the access to the library’s electronic resources as well. Only a few libraries offer free wi-fi for guests. And at some libraries, the guest wi-fi users are unable to access the library’s e-resources even on-site because the IP range of the guest wi-fi is different from that of the campus wi-fi.
I am not sure how many academic libraries consciously negotiate the walk-in users’ on-site access with e-resources vendors or whether this is done somewhat semi-automatically because many libraries ask the library building IP range to be registered with vendors so that the authentication can be turned off inside the building. I surmise that publishers and database vendors will not automatically permit the walk-in users’ on-site access in their licenses unless libraries ask for it. Some vendors also explicitly prohibit libraries from using their materials to fill the Interlibrary loan requests from other libraries. The electronic resource vendors and publishers’ pricing has become more and more closely tied to the number of patrons who can access their products. Academic libraries has been dealing with the escalating costs for electronic resources by filtering out library patrons and limiting the access to those in a specific disciplines. For example, academic medical and health sciences libraries often subscribe to databases and resources that have the most up-to-date information about biomedical research, diseases, medications, and treatments. These are almost always inaccessible to the general public and often even to those affiliated with the institution. The use of these prohibitively expensive resources is limited to a very small portion of people who are affiliated with the institution in specific disciplines such as medicine and health sciences. Academic research libraries have been partially responsible for the proliferation of these access limitations by welcoming and often preferring these limitations as a cost-saving measure. (By contrast, if those resources were in the print format, no librarian would think that it is OK to permanently limit its use to those in medical or health science disciplines only.)
Too-comfortable libraries do not ask themselves if they are serving the public good of providing access to information and knowledge for those who are in need but cannot afford it. Too-comfortable libraries see their role as a mediator and broker in the transaction between the information seller and the information buyer. They may act as an efficient and successful mediator and broker. But I don’t believe that that is why libraries exist. Ultimately, libraries exist to foster the sharing and dissemination of knowledge more than anything, not to efficiently mediate information leasing. And this is the dangerous idea: You cannot put a price tag on knowledge; it belongs to the human race. Libraries used to be the institution that validates and confirms this idea. But will they continue to be so in the future? Will an academic library be able to remain as a sanctuary for all ideas and a place for sharing knowledge for people’s intellectual pursuits regardless of their institutional membership? Or will it be reduced to a branch of an institution that sells knowledge to its tuition-paying customers only? While public libraries are more strongly aligned with this mission of making information and knowledge freely and openly available to the public than academic libraries, they cannot be expected to cover the research needs of patrons as fully as academic libraries.
I am not denying that libraries are also making efforts in continuing the preservation and access to the information and resources through initiatives such as Hathi Trust and DPLA (Digital Public Library of America). My concern is rather whether academic research libraries are becoming perhaps too well-adapted to the times of the Internet and online resources and too comfortable serving the needs of the most tangible patron base only in the most cost-efficient way, assuming that the library’s mission of storing and disseminating knowledge can now be safely and neutrally relegated to the Internet and the market. But it is a fantasy to believe that the Internet will be a sanctuary for all ideas (The Internet is being censored as shown in the case of Tarek Mehanna.), and the market will surely not have the ideal of the free and open access to knowledge for the public.
If libraries do not fight for and advocate those who are in need of information and knowledge but cannot afford it, no other institution will do so. Of course, it costs to create, format, review, and package content. Authors as well as those who work in this business of content formatting, reviewing, packaging, and producing should be compensated for their work. But not to the extent that the content is completely inaccessible to those who cannot afford to purchase but nevertheless want access to it for learning, inquiry, and research. This is probably the reason why we are all moved by Swartz’s Guerrilla Open Access Manifesto in spite of the illegal implications of the action that he actually recommended in the manifesto.
Knowledge and information is not like any other product for purchase. Sharing increases its value, thereby enabling innovation, further research, and new knowledge. Limiting knowledge and information to only those with access privilege and/or sufficient purchasing power creates a fundamental inequality. The mission of a research institution should never be limited to self-serving its members only, in my opinion. And if the institution forgets this, it should be the library that first raises a red flag. The mission of an academic research institution is to promote the freedom of inquiry and research and to provide an environment that supports that mission inside and outside of its walls, and that is why a library is said to be the center of an academic research institution.
I don’t have any good answers to the inevitable question of “So what can an academic research library do?” Perhaps, we can start with broadening the guest access to the library computers, wi-fi, and electronic resources on-site. Academic research libraries should also start asking themselves this question: What will libraries have to offer for those who seek knowledge for learning and inquiry but cannot afford it? If the answer is nothing, we will have lost libraries.
In his talk about the Internet Archive’s Open Library project at the Code4Lib Conference in 2008 (at 11:20), Swartz describes how librarians had argued about which subject headings to use for the books in the Open Library website. And he says, “We will use all of them. It’s online. We don’t have to have this kind of argument.” The use of online information and resources does not incur additional costs for use once produced. Many resources, particularly those scholarly research output already have established buyers such as research libraries. Do we have to deny access to information and knowledge to whose who cannot afford but are seeking for it, just so that we can have a market where information and knowledge resources are sold and bought and authors are compensated along with those who work with the created content as a result? No, this is a false question. We can have both. But libraries and librarians will have to make it so.
Videos to Watch
“Code4Lib 2008: Building the Open Library – YouTube.”
“Aaron Swartz on Picking Winners” American Library Association Midwinter meeting, January 12, 2008.
“Freedom to Connect: Aaron Swartz (1986-2013) on Victory to Save Open Internet, Fight Online Censors.”
“Aaron Swartz.” 2013. Accessed February 10. http://www.aaronsw.com/.
“Aaron Swartz – Wikipedia, the Free Encyclopedia.” 2013. Accessed February 10. http://en.wikipedia.org/wiki/Aaron_Swartz#JSTOR.
“Aaron Swartz on Picking Winners – YouTube.” 2008. http://www.youtube.com/watch?feature=player_embedded&v=BvJqXaoO4FI.
“Aaron Swartz’s Suicide Shows the Risk of a Too-comfortable Internet – The Globe and Mail.” 2013. Accessed February 10. http://www.theglobeandmail.com/commentary/aaron-swartzs-suicide-shows-the-risk-of-a-too-comfortable-internet/article7509277/.
“Academics Remember Reddit Co-Founder With #PDFTribute.” 2013. Accessed February 10. http://www.slate.com/blogs/the_slatest/2013/01/14/aaron_swartz_death_pdftribute_hashtag_aggregates_copyrighted_articles_released.html.
“After Aaron, Reputation Metrics Startups Aim To Disrupt The Scientific Journal Industry | TechCrunch.” 2013. Accessed February 10. http://techcrunch.com/2013/02/03/the-future-of-the-scientific-journal-industry/.
American Library Association, “A Memorial Resolution Honoring Aaron Swartz.” 2013. http://connect.ala.org/files/memorial_5_aaron%20swartz.pdf.
“An Effort to Upgrade a Court Archive System to Free and Easy – NYTimes.com.” 2013. Accessed February 10. http://www.nytimes.com/2009/02/13/us/13records.html?_r=1&.
Bonfield, Brett. 2013. “Aaron Swartz.” In the Library with the Lead Pipe (February 20). http://www.inthelibrarywiththeleadpipe.org/2013/aaron-swartz/.
“Code4Lib 2008: Building the Open Library – YouTube.” 2013. Accessed February 10. http://www.youtube.com/watch?v=oV-P2uzzc4s&feature=youtu.be&t=2s.
“Daily Kos: What Aaron Swartz Did at MIT.” 2013. Accessed February 10. http://www.dailykos.com/story/2013/01/13/1178600/-What-Aaron-Swartz-did-at-MIT.
Dupuis, John. 2013a. “Around the Web: Aaron Swartz Chronological Link Roundup – Confessions of a Science Librarian.” Accessed February 10. http://scienceblogs.com/confessions/2013/01/20/around-the-web-aaron-swartz-chronological-link-roundup/.
———. 2013b. “Library Vendors, Politics, Aaron Swartz, #pdftribute – Confessions of a Science Librarian.” Accessed February 10. http://scienceblogs.com/confessions/2013/01/17/library-vendors-politics-aaron-swartz-pdftribute/.
“FDLP for PUBLIC.” 2013. Accessed February 10. http://www.gpo.gov/libraries/public/.
“Freedom to Connect: Aaron Swartz (1986-2013) on Victory to Save Open Internet, Fight Online Censors.” 2013. Accessed February 10. http://www.democracynow.org/2013/1/14/freedom_to_connect_aaron_swartz_1986.
“Full Text of ‘Guerilla Open Access Manifesto’.” 2013. Accessed February 10. http://archive.org/stream/GuerillaOpenAccessManifesto/Goamjuly2008_djvu.txt.
Groover, Myron. 2013. “British Columbia Library Association – News – The Last Days of Aaron Swartz.” Accessed February 21. http://www.bcla.bc.ca/page/news/ezlist_item_9abb44a1-4516-49f9-9e31-57685e9ca5cc.aspx#.USat2-i3pJP.
Hellman, Eric. 2013a. “Go To Hellman: Edward Tufte Was a Proto-Phreaker (#aaronswnyc Part 1).” Accessed February 21. http://go-to-hellman.blogspot.com/2013/01/edward-tufte-was-proto-phreaker.html.
———. 2013b. “Go To Hellman: The Four Crimes of Aaron Swartz (#aaronswnyc Part 2).” Accessed February 21. http://go-to-hellman.blogspot.com/2013/01/the-four-crimes-of-aaron-swartz.html.
“How M.I.T. Ensnared a Hacker, Bucking a Freewheeling Culture – NYTimes.com.” 2013. Accessed February 10. http://www.nytimes.com/2013/01/21/technology/how-mit-ensnared-a-hacker-bucking-a-freewheeling-culture.html?pagewanted=all.
March, Andrew. 2013. “A Dangerous Mind? – NYTimes.com.” Accessed February 10. http://www.nytimes.com/2012/04/22/opinion/sunday/a-dangerous-mind.html?pagewanted=all.
“MediaBerkman » Blog Archive » Aaron Swartz on The Open Library.” 2013. Accessed February 22. http://blogs.law.harvard.edu/mediaberkman/2007/10/25/aaron-swartz-on-the-open-library-2/.
Peters, Justin. 2013. “The Idealist.” Slate, February 7. http://www.slate.com/articles/technology/technology/2013/02/aaron_swartz_he_wanted_to_save_the_world_why_couldn_t_he_save_himself.html.
“Public Access to Court Electronic Records.” 2013a. Accessed February 10. http://www.pacer.gov/.
“Publishers and Library Groups Spar in Appeal to Ruling on E-Reserves – Technology – The Chronicle of Higher Education.” 2013. Accessed February 10. http://chronicle.com/article/PublishersLibrary-Groups/136995/?cid=pm&utm_source=pm&utm_medium=en.
Rochkind, Jonathan. 2013. “Library Values and the Growing Scholarly Digital Divide: In Memoriam Aaron Swartz | Bibliographic Wilderness.” Accessed February 10. http://bibwild.wordpress.com/2013/01/13/library-values-and-digital-divide-in-memoriam-aaron-swartz/.
Sims, Nancy. 2013. “What Is the Government’s Interest in Copyright? Not That of the Public. – Copyright Librarian.” Accessed February 10. http://blog.lib.umn.edu/copyrightlibn/2013/02/what-is-the-governments-interest-in-copyright.html.
Summers, Ed. 2013. “Aaronsw | Inkdroid.” Accessed February 21. http://inkdroid.org/journal/2013/01/19/aaronsw/.
“The Inside Story of Aaron Swartz’s Campaign to Liberate Court Filings | Ars Technica.” 2013. Accessed February 10. http://arstechnica.com/tech-policy/2013/02/the-inside-story-of-aaron-swartzs-campaign-to-liberate-court-filings/.
“Welcome to Open Library (Open Library).” 2013. Accessed February 10. http://openlibrary.org/.
West, Jessamyn. 2013. “Librarian.net » Blog Archive » On Leadership and Remembering Aaron.” Accessed February 21. http://www.librarian.net/stax/3984/on-leadership-and-remembering-aaron/.
Open access publication makes access to research free for the end reader, but in many fields it is not free for the author of the article. When I told a friend in a scientific field I was working on this article, he replied “Open access is something you can only do if you have a grant.” PeerJ, a scholarly publishing venture that started up over the summer, aims to change this and make open access publication much easier for everyone involved.
While the first publication isn’t expected until December, in this post I want to examine in greater detail the variation on the “gold” open-access business model that PeerJ states will make it financially viable 1, and the open peer review that will drive it. Both of these models are still very new in the world of scholarly publishing, and require new mindsets for everyone involved. Because PeerJ comes out of funding and leadership from Silicon Valley, it can more easily break from traditional scholarly publishing and experiment with innovative practices. 2
PeerJ is a platform that will host a scholarly journal called PeerJ and a pre-print server (similar to arXiv) that will publish biological and medical scientific research. Its founders are Peter Binfield (formerly of PLoS ONE) and Jason Hoyt (formerly of Mendeley), both of whom are familiar with disruptive models in academic publishing. While the “J” in the title stands for Journal, Jason Hoyt explains on the PeerJ blog that while the journal as such is no longer a necessary model for publication, we still hold on to it. “The journal is dead, but it’s nice to hold on to it for a little while.” 3. The project launched in June of this year, and while no major updates have been posted yet on the PeerJ website, they seem to be moving towards their goal of publishing in late 2012.
To submit a paper for consideration in PeerJ, authors must buy a “lifetime membership” starting at $99. (You can submit a paper without paying, but it costs more in the end to publish it). This would allow the author to publish one paper in the journal a year. The lifetime membership is only valid as long as you meet certain participation requirements, which at minimum is reviewing at least one article a year. Reviewing in this case can mean as little as posting a comment to a published article. Without that, the author might have to pay the $99 fee again (though as yet it is of course unclear how strictly PeerJ will enforce this rule). The idea behind this is to “incentivize” community participation, a practice that has met with limited success in other arenas. Each author on a paper, up to 12 authors, must pay the fee before the article can be published. The Scholarly Kitchen blog did some math and determined that for most lab setups, publication fees would come to about $1,124 4, which is equivalent to other similar open access journals. Of course, some of those researchers wouldn’t have to pay the fee again; for others, it might have to be paid again if they are unable to review other articles.
Peer Review: Should it be open?
PeerJ, as the name and the lifetime membership model imply, will certainly be peer-reviewed. But, keeping with its innovative practices, it will use open peer review, a relatively new model. Peter Binfield explained in this interview PeerJ’s thinking behind open peer review.
…we believe in open peer review. That means, first, reviewer names are revealed to authors, and second, that the history of the peer review process is made public upon publication. However, we are also aware that this is a new concept. Therefore, we are initially going to encourage, but not require, open peer review. Specifically, we will be adopting a policy similar to The EMBO Journal: reviewers will be permitted to reveal their identities to authors, and authors will be given the choice of placing the peer review and revision history online when they are published. In the case of EMBO, the uptake by authors for this latter aspect has been greater than 90%, so we expect it to be well received. 5
In single blind peer review, the reviewers would know the name of the author(s) of the article, but the author would not know who reviewed the article. The reviewers could write whatever sorts of comments they wanted to without the author being able to communicate with them. For obvious reasons, this lends itself to abuse where reviewers might not accept articles by people they did not know or like or tend to accept articles from people they did like 6 Even people who are trying to be fair can accidentally fall prey to bias when they know the names of the submitters.
Double blind peer review in theory takes away the ability for reviewers to abuse the system. A link that has been passed around library conference planning circles in the past few weeks is the JSConf EU 2012 which managed to improve its ratio of female presenters by going to a double-blind system. Double blind is the gold standard for peer review for many scholarly journals. Of course, it is not a perfect system either. It can be hard to obscure the identity of a researcher in a small field in which everyone is working on unique topics. It also is a much lengthier process with more steps involved in the review process. To this end, it is less than ideal for breaking medical or technology research that needs to be made public as soon as possible.
In open peer review, the reviewers and the authors are known to each other. By allowing for direct communication between reviewer and researcher, this speeds up the process of revisions and allows for greater clarity and speed 7. Open peer review doesn’t affect the quality of the reviews or the articles negatively, it does make it more difficult to find qualified reviewers to participate, and it might make a less well-known researcher more likely to accept the work of a senior colleague or well-known lab. 8.
Given the experience of JSConf and a great deal of anecdotal evidence from women in technical fields, it seems likely that open peer review is open to the same potential abuse of single peer review. While open peer review might make the rejected author able to challenge unfair rejections, this would require that the rejected author feels empowered enough in that community to speak up. Junior scholars who know they have been rejected by senior colleagues may not want to cause a scene that could affect future employment or publication opportunities. On the other hand, if they can get useful feedback directly from respected senior colleagues, that could make all the difference in crafting a stronger article and going forward with a research agenda. Therein lies the dilemma of open peer review.
Who pays for open access?
A related problem for junior scholars exists in open access funding models, at least in STEM publishing. As open access stands now, there are a few different models that are still being fleshed out. Green open access is free to the author and free to the reader; it is usually funded by grants, institutions, or scholarly societies. Gold open access is free to the end reader but has a publication fee charged to the author(s).
This situation is very confusing for researchers, since when they are confronted with a gold open access journal they will have to be sure the journal is legitimate (Jeffrey Beall has a list of Predatory Open Access journals to aid in this) as well as secure funding for publication. While there are many schemes in place for paying publication fees, there are no well-defined practices in place that illustrate long-term viability. Often this is accomplished by grants for the research, but not always. The UK government recently approved a report that suggests that issuing “block grants” to institutions to pay these fees would ultimately cost less due to reduced library subscription fees. As one article suggests, the practice of “block grants” or other funding strategies are likely to not be advantageous to junior scholars or those in more marginal fields 9. A large research grant for millions of dollars with the relatively small line item for publication fees for a well-known PI is one thing–what about the junior humanities scholar who has to scramble for a few thousand dollar research stipend? If an institution only gets so much money for publication fees, who gets the money?
By offering a $99 lifetime membership for the lowest level of publication, PeerJ offers hope to the junior scholar or graduate student to pursue projects on their own or with a few partners without worrying about how to pay for open access publication. Institutions could more readily afford to pay even $250 a year for highly productive researchers who were not doing peer review than the $1000+ publication fee for several articles a year. As above, some are skeptical that PeerJ can afford to publish at those rates, but if it is possible, that would help make open access more fair and equitable for everyone.
Open access with low-cost paid up front could be very advantageous to researchers and institutional bottom lines, but only if the quality of articles, peer reviews, and science is very good. It could provide a social model for publication that will take advantage of the web and the network effect for high quality reviewing and dissemination of information, but only if enough people participate. The network effect that made Wikipedia (for example) so successful relies on a high level of participation and engagement very early on to be successful [Davis]. A community has to build around the idea of PeerJ.
In almost the opposite method, but looking to achieve the same effect, this last week the Sponsoring Consortium for Open Access Publishing in Particle Physics (SCOAP3) announced that after years of negotiations they are set to convert publishing in that field to open access starting in 2014. 10 This means that researchers (and their labs) would not have to do anything special to publish open access and would do so by default in the twelve journals in which most particle physics articles are published. The fees for publication will be paid upfront by libraries and funding agencies.
So is it better to start a whole new platform, or to work within the existing system to create open access? If open (and through a commenting s system, ongoing) peer review makes for a lively and engaging network and low-cost open access makes publication cheaper, then PeerJ could accomplish something extraordinary in scholarly publishing. But until then, it is encouraging that organizations are working from both sides.
- Brantley, Peter. “Scholarly Publishing 2012: Meet PeerJ.” PublishersWeekly.com, June 12, 2012. http://www.publishersweekly.com/pw/by-topic/digital/content-and-e-books/article/52512-scholarly-publishing-2012-meet-peerj.html. ↩
- Davis, Phil. “PeerJ: Silicon Valley Culture Enters Academic Publishing.” The Scholarly Kitchen, June 14, 2012. http://scholarlykitchen.sspnet.org/2012/06/14/peerj-silicon-valley-culture-enters-academic-publishing/. ↩
- Hoyt, Jason. “What Does the ‘J’ in ‘PeerJ’ Stand For?” PeerJ Blog, August 22, 2012. http://blog.peerj.com/post/29956055704/what-does-the-j-in-peerj-stand-for. ↩
- http://scholarlykitchen.sspnet.org/2012/06/14/is-peerj-membership-publishing-sustainable/ ↩
- Brantley ↩
- Wennerås, Christine, and Agnes Wold. “Nepotism and sexism in peer-review.” Nature 387, no. 6631 (May 22, 1997): 341–3. ↩
- For an ingenious way of demonstrating this, see Leek, Jeffrey T., Margaret A. Taub, and Fernando J. Pineda. “Cooperation Between Referees and Authors Increases Peer Review Accuracy.” PLoS ONE 6, no. 11 (November 9, 2011): e26895. ↩
- Mainguy, Gaell, Mohammad R Motamedi, and Daniel Mietchen. “Peer Review—The Newcomers’ Perspective.” PLoS Biology 3, no. 9 (September 2005). http://www.ncbi.nlm.nih.gov/pmc/articles/PMC1201308/. ↩
- Crotty, David. “Are University Block Grants the Right Way to Fund Open Access Mandates?” The Scholarly Kitchen, September 13, 2012. http://scholarlykitchen.sspnet.org/2012/09/13/are-university-block-grants-the-right-way-to-fund-open-access-mandates/. ↩
- Van Noorden, Richard. “Open-access Deal for Particle Physics.” Nature 489, no. 7417 (September 24, 2012): 486–486. ↩