Wednesday 30 October 2013

Michelle Willmers on the state of Open Access: Where are we, what still needs to be done?

One of a series exploring the current state of Open Access (OA), the Q&A below is with Michelle Willmers, Project Manager of the OpenUCT Initiative at the University of Cape Town (UCT) in South Africa.
Michelle Willmers

A former journal publishing manager, Michelle Willmers was drawn to the Open Access movement after witnessing international publishers sweep into South Africa and acquire local journals. They then locked these journals behind paywalls and sought to sell them to local academic institutions at prices most simply could not afford.

For the South African academic community this was a case of bad to worse: Historically South African research has not been published over much in international journals. As such, it has tended to be invisible to the global research community. Now it was in danger of becoming invisible to local researchers as well.

Explaining her journey to OA Willmers says, “It was perhaps less of a case of becoming an OA advocate than having a deep realisation that the local scholarly communication paradigm was broken. The conversation around how to first acknowledge and then address this led in the open access direction.”

It was this same broken local context that led to the creation (in 1997) of the South Africa-based service African Journals Online (AJOL) — which Dominique Babini referred to in an earlier Q&A in this series. A local web portal that enables African journals to make their content available online (and so visible on a global basis without the need to cede ownership to international publishers), AJOL currently hosts content from 462 African journals, 150 of which are OA.

And it is this local context that saw the recent launch of SciELO-SA, a South African version of SciELO (Scientific Electronic Library Online), the online open-access publishing platform pioneered in Brazil. SciELO-SA was launched with the content of 26 “free to access and free to publish” South African journals, and it is expected that the service will eventually include around 180 of the country’s 300 journals.


  ** Please scroll through the introduction if you wish to go direct to the Q&A **

Number of other factors


To understand the context for OA in South Africa we need to consider a number of other factors as well.

First, OA tends to be viewed as just one component of a larger open movement in South Africa, a movement that also encompasses Open Source software, Open Educational Resources (OER) and Open ELearning. Indeed, OA is not even the key component, but a relatively minor part of this larger context — a reality demonstrated pictorially in a presentation given by OpenUCT at the 2012 Creative Commons Africa Summit. Here we see OER at the centre of the open movement, with ELearning and OA playing adjunct roles.

This doubtless explains why the University of Cape Town did not sign the 2003 Berlin Declaration in support of OA until 2011, whereas three years earlier it had been a founding signatory of the Cape Town Open Education Declaration) — which calls on stakeholders (including governments, universities and publishers), to “commit to the pursuit and promotion of open education”.

It is not hard to see why this is the case. As Willmers explained in a presentation she gave at an Open Access conference held in Cape Town in 2012 (Slides available here):

When I am asked how the challenges around scholarly communication are different in Africa it always comes back to the issue of teaching load, because when we speak about the need to develop capacity in African institutions we always come back to the systemic issue of the need for education and the need to support the teaching endeavour.

To exemplify her point, Willmers reported that when academics in Africa were asked recently why they did research, 82% of respondents in one institution said that they did so notin order to boost their prestige, or because their institutions expected them to do it, but in order to enhance and support their teaching activity.

And this surely also explains why, although UCT has no institutional repository, it does have a flourishing Open Content repository — which it describes as a “web portal for accessing open teaching and learning content from UCT”.

Specifically the OpenUCT Initiative’s mission is:

* To make freely available as many as possible of UCT’s research, teaching and community-focused scholarly resources to those with internet access

* To engage with the higher education openness agenda, from the perspective of the global south

In short, Willmers told delegates in Cape Town, the boundary between research and teaching is hard to draw in South Africa. “One of the challenges we have faced in the OER initiative is that we eventually ceased to be able to tell the difference between the research and the teaching content. This meant that there were resources that presented an interesting challenge to us, and they were often very popular resources.”

All in all, she added, “We had some interesting insights into the nexus between research and teaching.”

Less addicted


Second, when thinking about OA in South Africa we need to keep in mind our earlier point that African researchers have not historically published much in international journals. The corollary of this is that — unlike their colleagues in the Global North — they are less addicted to the Thomson Reuters Impact Factor (IF).

This is viewed as a positive thing. Calculated by counting citations in a small subset of international journals, the Journal Impact Factor is now widely viewed as having had a pernicious effect on the research process.

Due to its use in the assessment process, for instance, scholars know that when they apply for promotion or funding the perceived brand value (rank) of the journals in which they have published (measured by the journals’ IF) carries greater weight than either their work (the IF measures citations to a journal as a whole, not to particular articles), the number of people that will have access to that journal’s contents, or the real-life impact their work has had, or is likely to have. As we shall see, this is problematic.

We could add that since African researchers do not generally publish in international journals (and thus have a lower susceptibility to IF fever) they are more inclined to promote and distribute their work (on an OA basis) using non-traditional channels like blogs, repositories, and web sites.

This too is viewed as a positive thing. As Willmers put it to the Cape Town delegates, “I think in our drive to share multiple forms of content we are going into a very exciting open science open/ knowledge space which just isn’t as narrow as grappling over the relative merits of green and gold journal article exchange, although we acknowledge that that is a key global issue.”

And we could note that in responding to my question about the respective merits of Green and Gold OA below, Willmers replies, “If we consider this model as a repository versus formal publisher approach we need to first consider what a different place we are in with respect to both publishing industry and institutional e-infrastructure development.”

She added, “The fixation with Green versus Gold at times seems to function as a distraction from the core challenges of our context — that is, (a) how do we start to build institutional capacity and mechanisms for regional collaboration so that we can capture, curate and share the knowledge that is being produced in our universities; and (b) how do we stimulate discussion at national level to address sustainable funding mechanisms and a strategic policy approach to scholarly communication. We need significant investment in both formal and institutional publishing efforts; both are to be supported.”

This suggests to me that when Willmers talks about repositories and institutional publishing efforts she does not have in mind the model of Green OA assumed in the developed world — where researchers publish in traditional subscription journals and then make copies of their papers freely available in their institutional repositories.

It also suggests that we could see a future in Africa where the repository emerges as a publishing platform in its own right (rather than an archival service) — a model ideally suited to an environment in which non-traditional publishing channels and social media are increasingly used to share research.

In any case, we must doubt that many researchers in the Global South are currently able (or willing) to pay up to $3,000 per paper to publish in a Gold or Hybrid OA journal (as international commercial publishers expect).

It was perhaps with such thoughts in mind that Willmers suggested to delegates in Cape Town that the distinctive characteristics of the research environment in the Global South might see the developing world “leapfrog” over some of the entrenched issues that currently bog down discussions of OA in the developed world.

Incentivising researchers


In contrasting the differing research environments and practices of the developed and the developing world we are encouraged to ask a fundamental question: What is the purpose of doing research? Is the end game simply to provide employment and a career path for researchers, or is it to serve the needs of the citizens who fund it, and who pay the salaries of the scientists who conduct it? Alternatively, is the ultimate purpose to serve mankind at large, regardless of who funds any particular piece of research?

In an ideal world, of course, research would aim to do all these things. Today, however, many believe that the system that has emerged in the developed world has lost sight of the end game.

Why do we say this? Because there is growing evidence that obeisance to hierarchical “journal ranking” (and the impact factor that sustains that ranking) is having an increasingly negative impact on research quality.

In a paper published earlier this year in the journal Frontiers in Human Neuroscience, for instance, Björn Brembs (interviewed earlier in this series) and colleagues examined what they call “the unintended consequences of journal rank”.

Aside from the way in which “iterations of submissions and rejections cascading down the hierarchy of journal rank” unnecessarily lengthens the time it takes for research results to be shared with (and so perhaps benefit) the world, and aside from the fact that the journal hierarchy allows prestigious journals to withstand calls for Open Access (while constantly raising the paywalls that separate researcher from research), Brembs et al. demonstrate that journal rank co-occurs with (and likely causes) undesirable, and possibly dangerous, phenomena such as the increase in article retractions we are currently witnessing, the so-called “decline effect” and “publication bias”.

This leads the paper’s authors to conclude that journal rank (and its use in the assessment of researchers) may have turned the research process into more of a marketing exercise than an effective mechanism for generating useful/valuable research, and then sharing the results of that research in an optimal way.

As they put it, “It is conceivable that, for the last few decades, research institutions world-wide may have been hiring and promoting scientists who excel at marketing their work to top journals, but who are not necessarily equally good at conducting their research. Conversely, these institutions may have purged excellent scientists from their ranks, whose marketing skills did not meet institutional requirements.”

They add, “If this interpretation of the data is correct, a generation of excellent marketers (possibly, but not necessarily, also excellent scientists) now serve as the leading figures and role models of the scientific enterprise, constituting another potentially major contributing factor to the rise in retractions.”

The key point would seem to be that the Impact Factor, and the journal ranking based on it, is having a negative effect, not just on the quality of the papers being published but also on the quality of the underlying research process.

Such concerns must have particular resonance in the context of the Global South, where the need to improve food security and health, and develop essential new technologies, is most pressing.

Leaving aside the concerns raised by Brembs et al., the traditional journal may in any case no longer be an appropriate publishing vehicle in the age of the Internet, particularly in the context of the developing world where it is vital that important evidence-based policy decisions are taken as quickly as possible.

As Willmers put it in her Cape Town presentation, “Research needs to work harder in the developing world context, and it turns out that outputs like policy briefs and blog posts are most useful to researchers in a non-academic context, people in government, and people who advise governments for instance.”

This suggests that if the developing world were to abjure the assessment and publishing practices of the developed world, and develop new ways of incentivising researchers to produce and share research optimally it could make science work harder for it — to the benefit of all.

When I asked Willmers what still needs to be done by the OA movement she answered, “In order for knowledge to reach government, industry and civil society so that it can have an optimal effect in addressing development imperatives we need to move beyond the journal article as the sole prized artefact of knowledge production to a system that acknowledges and rewards a wide range of output genres.”

Better system?


This does not necessarily mean abandoning the journal/article model. But we are again tempted to speculate about possible futures. Might we see a situation emerge in South Africa, for instance, where the traditional journal — organised and managed by commercial publishers — is challenged by a new-style repository-based publishing system owned and managed by universities themselves? This might be journal-based Gold OA, but OA that is “free to access and free to publish”, rather than pay to publish. Or it could be something quite different.

As noted in the earlierQ&A with Babini, for instance, a number of the journals on AJOL — which is based on the open source software Open Journal Systems (OJS) developed by the Public Knowledge Project (PKP) — do not have their own web platforms, but manage the entire publication process, including peer review, directly on AJOL. It is easy to imagine a future in which the norm became one in which African research institutions published their own journals (or some other publication vehicle) using institutional repositories as the publishing platform. These might be aggregated by services like SciELO and AJOL, but they would be hosted, owned and controlled by the home institution.

And if that were to be combined with new assessment techniques it could perhaps lead to better research, and to research able to produce more beneficial solutions more quickly. It might even serve as an example for the developed world to follow. Already some researchers in the Global North have concluded that SciELO represents the first steps towards creating a better system.

Whether this happens will depend on choices that developing countries make today. For its part, China seems more interested in beating the developed world at its own game today, aggressively incentivising its researchers to publish in prestigious international journals — by, for instance, awarding cash bonuses to researchers who succeed in doing so.

Understandably, the temptation simply to emulate the developed world is high. But is it wise or logical? If the aim is primarily to cut a dash on the international stage, rather than produce useful research, then presumably not.

Right now, says Willmers, there is a tendency for the reward and incentives systems in research institutions “to serve a prestige agenda rather than relevance mission.”

She adds, “There currently appears to be a disjunction between the values and the articulated mission of many institutions and the reward and incentive systems that govern the behaviour of academic communities: our values and mission speak to relevance, while we tend to only reward activity in the prestige realm (that is, the publication of journal articles in ‘international’ Impact Factor journals).”

Today, therefore, the developing could be said to be standing at a crossroads. It can try to compete with the developed world on terms set by the developed world, or it can set about creating a more effective system, and perhaps become a leader rather than a follower as a result.

The question developing countries might ask themselves is this: Should they seek to replicate what many now view as a dysfunctional scholarly communication system — where prestige is prioritised over relevance — or should they try to develop a new system, one that would incentivise scientists to produce research of benefit to mankind more effectively?

Challenges


Of course the latter approach is not without its challenges, and some risk. How, for instance, would quality be assured in any alternate system? After all, however flawed the IF-based journal hierarchy might be, it does at least attempt to incentivise quality, and some still believe that it does a “good enough” job.

The challenge would be all the greater if any alternative system was based on non-traditional publishing platforms — where peer review is not currently the norm.

But any risk needs to be set against the fact that the traditional journal, and the assessment practices that have grown around it, are not only flawed, but discriminate against researchers in the developing world — in so far as it is much harder to get a paper published in an international journal if you are based in the Global South.

The good news is that the OA movement has not only alerted the world to the growing access problem, but it has drawn attention to the serious inadequacies inherent in the current assessment system. And this has led a lot of discussion about the need to devise new measures of quality and impact — which in fact are much easier to implement in an online environment.

So, for instance, there is growing interest in post-publication peer review, and in a variety of techniques collectively known as altmetrics — including the use of sophisticated article download and citation tools, and new ways of aggregating commentary on social networking platforms like Twitter and web services like Wikipedia.

Willmers acknowledges that quality is a key issue. “We require serious exploratory engagement with how we conceive of and administer peer review outside of the formal journal or book publication process”, she says below. “This entails a new approach to how we think about impact, and creates a strong imperative for engaging with Altmetrics and other mechanisms for surfacing data on downstream content use.”

The fundamental question, however, is whether the developing world can withstand the blandishments of international publishers any more effectively today that it showed itself capable of doing when Willmers watched in horror as South African journals sold themselves to commercial publishers, or indeed any more effectively than the developed world is still able to do.

It is worth noting that earlier this year Springer announced that it had signed a five-year agreement with Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES) in order to give students, researchers and professionals at more than 400 institutions in Brazil access to Springer’s paywalled content.

Clearly it is important that Brazilian researchers have access to international research. The danger of such deals, however, is that the local research community will end up being sucked into a system dominated by international commercial publishers, by the traditional journal system, and by the problematic IF-based incentive system.

Consider also what Sami Kassab, a Media Research analyst at the investment company Exane BNP Paribas, told me earlier in this Q&A series. “Despite the noise around OA, consortia are still signing long term subscriptions contracts with limited cancellation clauses. At the Frankfurt Book Fair last year, we heard of an Eastern European consortium signing a 7-year deal with a major publisher, more than the usual 3 to 5-year deals.”

The continuing willingness of the developing world to enter into such Big Deals with large international publishers clearly opens up the possibility that these publishers (rather than the local research community) will end up setting the research agenda — much as it already does for the developed world.

Locked out


It is also against this background that we should view the recent news that SciELO's citation index is being incorporated into the Thomson Reuters Web of Science. In response to the news, OA advocate Jean-Claude Guédon commented, “The consequences of this move are twofold: much greater visibility, and presumably, prestige for SciELO journals, but also much greater vulnerability to the moves by international publishers interested in picking up potentially lucrative SciELO publications.”

Finally, we could note that Open Access advocates have always argued that the Global South will be the greatest beneficiary of OA, since research institutions in developing countries are least able to afford the current subscription costs that scholarly publishers demand. But as international publishers start to embrace OA, and we see more and more research start to become freely available, there is a danger that the developing world find itself locked out anew.

Thus where currently researchers in the Global South are frequently locked out of access (by high subscription costs), in an OA publishing world dominated by international commercial publishers who charge thousands of dollars to publish a paper, they could find themselves locked out of the publication process (by article-processing charges). While they might have access to all the third-party research they want, they could find themselves unable to publish their own research.

(I acknowledge that some researchers in some developing countries can currently get an APC fee-waiver, but if author-pays OA publishing becomes prevalent I very much doubt that the waiver system will continue in its present form).

As Willmers puts it, “OA offers the developing world unprecedented access to knowledge. It is also brings with it the threat that unless we mobilise, invest and put systems in place to protect and support the creation, curation and profiling of local knowledge we stand to be subsumed in a deluge of knowledge from the North, further reinforcing global digital and participation divides.”

All the more reason, one might argue, for the Global South to develop its own platforms for scholarly publishing, platforms that it owns and controls itself, and which can facilitate incentive systems more likely to generate valuable research.  

Again, however, there is some good news to share: it might not have to do this on their own. As noted, more and more researchers in the developed world are becoming frustrated with the failings of the current system, and increasingly keen to — as Brembs puts it — “cut out the parasitic middle men”.

Brembs believes the solution is to create a global library-based scholarly communication system outside the control of publishers. And, as also noted, he believes that services like SciELO should be viewed as a “stepping stone” for the better system he envisages.

The Q&A Begins


Q: When and why did you become an OA advocate?

A: I became an OA advocate around 2005 when I was working as a publishing manager with a South African journal publisher. We partnered with local professional societies and published 13 scholarly journals across a wide range of disciplinary areas, many of which were profiling excellent scholarship but at the time struggling to invent new business models and approaches to ensuring their ongoing survival.

As a publishing house we put extraordinary resources into building up a number of these titles, committing value-add after value-add in the publishing process, producing a high quality journal product that resulted in a number of these titles climbing ISI rankings and developing considerable community reputation.

The net result of this labour was to see international proprietary publishers drop their nets into local publishing waters and skim the cream of the South African crop, absorbing these local journals into large pay-walled collections, seducing often desperate editors with promises of international profile and financial lifelines, taking knowledge out of the country and then expecting to sell it back to us at a price very few of us could afford.

Something in this picture felt intrinsically wrong to me. It was perhaps less of a case of becoming an OA advocate than having a deep realisation that the local scholarly communication paradigm was broken. The conversation around how to first acknowledge and then address this led in the open access direction.

Q: What would you say have been the biggest achievements of the OA movement to date, and what have been the biggest disappointments?

A: Globally the recent government, research council and funder open access mandates stand out as a core achievement. There has been incredible progress in this area in the last three to five years.

Also, the expansion of open access principles beyond publication into the process of science, driving new approaches to sharing and collaborative knowledge creation, is very exciting. We are now in the era of open data, open science, open educational resources and open source technologies — 21st century scholarly communication.

It is hard to speak of disappointments. I am continually amazed by the achievements of small committed groups of individuals.

Q: There has always been a great deal of discussion (and disagreement) about the roles that Green and Gold OA should play. In the context of South Africa and the developing world, what would you say should be the respective roles of Green and Gold OA today?

A: I do not think that the tension between these two approaches exerts in South or Southern Africa in the same way that it does in the UK. We need both. In terms of operating as a paradigm for funds disbursement at national level I do not expect that it is transferable to our context. If we consider this model as a repository versus formal publisher approach we need to first consider what a different place we are in with respect to both publishing industry and institutional e-infrastructure development.

There is a strong argument for the Green route in our local context so that content can be accessible irrespective of where and how academics choose to publish, but this raises significant questions in terms of the institutional capacity and infrastructure development required.

The fixation with Green versus Gold at times seems to function as a distraction from the core challenges of our context — that is, (a) how do we start to build institutional capacity and mechanisms for regional collaboration so that we can capture, curate and share the knowledge that is being produced in our universities; and (b) how do we stimulate discussion at national level to address sustainable funding mechanisms and a strategic policy approach to scholarly communication. We need significant investment in both formal and institutional publishing efforts; both are to be supported.

Q: What about Hybrid OA?

A: This area feels precarious and difficult to navigate. I have the sense that there is an increasing amount of hybrid OA activity in the African higher education environment — and, as a result, an increasing amount of publisher double-dipping.

The absence of coordination and dedicated institutional capacity to engage strategically with where our academics are publishing and what we are paying for makes us particularly vulnerable to exploitative financial practice on the part of the publishing industry.

I expect the current headless chicken phase will be judged as expensive in the long run. That said, a number of local journals are exploring hybrid OA as a means to transition from closed to open business models and flexibility is key.

Q: How would you characterise the current state of OA in South Africa, and internationally?

A: OA in South Africa is just entering adolescence. It appears to now be commonplace and accepted in abstract, but faces the tough task of coming into its own and still needs to prove its worth as it progresses into implementable adulthood (i.e. uptake by the academic community).

The conversation has evolved significantly in the last three years — away from whether or not it is a good idea to how we make it work — and we now face the interesting challenge of operationalising and putting our policies into practice. This task cannot be addressed in isolation of the number of other large-scale challenges that limit access to knowledge in the African context and define the local higher education environment.

While recent developments in OA are encouraging, the challenges facing African higher education in terms of massification and global competition are sobering, and OA has a particular role to play in responding to the educational needs of the continent. We are at a crucial stage in terms of this potential being realised.

Internationally OA seems a little more evolved than the local context, particularly with regards to funding mechanisms and national/regional policy frameworks to govern activity and infrastructure development. I am however weary of generalisations, and expect that there are pockets of progress and resistance in all parts of the world.

Q: What still needs to be done, and by whom?

A: In order for knowledge to reach government, industry and civil society so that it can have an optimal effect in addressing development imperatives we need to move beyond the journal article as the sole prized artefact of knowledge production to a system that acknowledges and rewards a wide range of output genres.

There currently appears to be a disjunction between the values and the articulated mission of many institutions and the reward and incentive systems that govern the behaviour of academic communities: our values and mission speak to relevance, while we tend to only reward activity in the prestige realm (that is, the publication of journal articles in “international” Impact Factor journals).

Research conducted amongst Southern African academics in the Scholarly Communication in Africa Programme (SCAP) revealed that one of the greatest stumbling blocks to unlocking the potential of an expanded range of outputs was a concern around quality assurance — this particularly at a time when many African institutions are just beginning to develop a research agenda and establish an international reputation in the research arena.

We require serious exploratory engagement with how we conceive of and administer peer review outside of the formal journal or book publication process. This entails a new approach to how we think about impact, and creates a strong imperative for engaging with Altmetrics and other mechanisms for surfacing data on downstream content use.

In order to engage with these issues we require for institutions to acknowledge the role they have to play in curating and profiling their knowledge for development. This requires skills and capacity development, which requires government support.

If government is serious about seeing knowledge address development, it must commit resources and provide an enabling policy environment to support the communication and preservation of the knowledge that is being produced (both within and beyond academia).

Within this new framework it is crucial that we run pilot projects, experiment, and conduct research in order to understand what works in developing country environments.

We need to be able to make informed decisions around where investment should be directed and prospective solutions must be scoped in line with the affordances of the current system, bearing in mind the culture of the communities these systems are embedded in.

Q: What in your view is the single most important task that the OA movement should focus on today?

A: In the South and Southern African context the imperative appears to be for national-level and regional coordination with respect to policy and infrastructure development; this ideally to be accompanied by government-fed financial systems for supporting scholarly communication as a core component of national research and development.

There is significant activity at institutional level across the region, but the space often appears to be characterised by competitiveness that leads to duplication of effort and inefficiency. In order to scale we are going to need to pool resources and collaborate.

Internationally the imperative appears to be for the OA movement to continue the drive to expand beyond the journal article and in so doing engage in more concerted conversation with its cousins, open educational resources and open science.

I think we have reached a stage of evolution in these areas of activity where it behoves us to engage in meta-level consideration of how the various open knowledge endeavours link together and what an integrated future might look like. This is very exciting to consider.

Q: What does OA have to offer the developing world?

A: OA offers the developing world unprecedented access to knowledge. It is also brings with it the threat that unless we mobilise, invest and put systems in place to protect and support the creation, curation and profiling of local knowledge we stand to be subsumed in a deluge of knowledge from the North, further reinforcing global digital and participation divides.

Q: What are your expectations for OA over the next year?

A: I expect that in Africa we will see the increasing provision of high-speed bandwidth and the development of national research and education networks (NRENs) across the continent start to make a tangible difference in boosting African research capacity, stimulating scholarly communication activity, ramping up international collaboration, and pioneering new ways in which we share knowledge.

With this development will come increasing further realisation of OA as a key mechanism for the optimal functioning of these systems.  

Internationally I expect OA journal publishing activity to continue to grow exponentially as mandates take effect and academic communities start seeing demonstrable benefit from investment in open systems.

Q: Will OA in your view be any less expensive than subscription publishing? If so, why/how? Does cost matter anyway?

A: Preliminary indications seem to suggest that OA will be significantly cheaper than subscription publishing — or at least that the cost to benefit ratio will far exceed that of closed access publishing in terms of promoting development and innovation.

In our local context it does however feel dangerous to conflate this with an assumption that less investment will be required. We want instead to argue for reallocation and boosting of current resources.

Significant ongoing investment is required in order to develop the skills, infrastructure and strategic approach to scholarly communication activity required to ensure our participation in global OA systems.

~~

Michelle Willmers has a background in academic and scholarly publishing and works as a consultant and institutional project manager in scholarly communication. She has experience as an academic journal editor and publishing manager and has worked in the field of open access and open educational resources (OER) since 2008.

Michelle was a senior team member in the Shuttleworth Foundation OER UCT Initiative and was the programme manager of the IDRC Scholarly Communication in Africa Programme (SCAP), a four-country research and publishing initiative aimed at increasing the visibility of African research. She is currently the project manager of the OpenUCT Initiative.

~~

Earlier contributors to this series include palaeontologist Mike Taylor, cognitive scientist Stevan Harnad, former librarian Fred Friend, SPARC director Heather Joseph, publishing consultant Joseph Esposito, de facto leader of the Open Access movement Peter Suber,Open Access Advocacy leader at the Latin American Council on Social Sciences (CLACSO) Dominique Babini, Cameron Neylon, advocacy director for the non-profit OA publisher Public Library of Science, and Philippe Terheggen, Managing Director, STM Journals at Elsevier.


The full list of those taking part in the series is here

Monday 21 October 2013

Let’s be open about Open Access

To what extent should we expect publishers who profess a commitment to Open Access (OA) to be open in other ways too? This is a question often raised in discussions about OA. Some, for instance, argue (e.g. hereand here) that OA ought to go hand-in-hand with open peer review (particularly in light of the recent “sting” of OA journals by Science). Others have arguedthat OA publishers have a duty to be more open in the management of their business. And it has been suggested that OA publishers should be more transparent about their finances. But what about when publishers make use of social media like blogs? How transparent should they be about who is behind the site, and what their objective is? This thought occurred to me recently when I was trying to find out who runs the Open Science blog.
Courtesy of Wikimedia Commons
Like companies everywhere, scholarly publishers have in recent years taken an increasing interest in the social web. Most, if not all, now have their own Twitter accounts, some have Google+ accounts, and most now run their own blogs (see for instance those run by PLOS, BioMed Central, Wiley and Elsevier).

In doing so, they invariably view the new platforms as useful new marketing tools for promoting their products and services — or in some cases as a space where their authors can promote their own books or journals (see, for instance, the blog run by Springer). Given these objectives, it is apparent to anyone reading or subscribing to these blogs exactly who runs them, what their purpose is, and the nature of the relationship they are asking readers to enter into with the site. If nothing else, the URL will invariably flag ownership.

But what if a publisher were to run a blog without indicating that it owned and/or controlled it? Suppose, for instance, that the intention was simply to provide a platform for discussing and reporting on a particular topic (e.g. Open Access). In such circumstances, could anonymity (or at least some degree of non-transparency) engender more productive discussions? In other words, might it be possible to provide a more effective communication platform if ownership of the site was cloaked in some way? Or would the interests of the site owner make it impossible to provide an independent platform?

These questions presented themselves to me in August, after I linked via Google+ to an article on the Open Science blog. Entitled Green vs. Gold OA. Which one to choose, the stated aim of the article was to outline the pros and cons of the two main forms of OA.

Publisher FUD?


Almost immediately Toma Susi, a researcher based at the University of Vienna, posted a comment below my link, “What? The article is all wrong — in green OA the authors can keep publishing in prestigious journals, while gold OA is only available in specific new journals,” he said. “Even if the writer is conflating hybrid and gold OA, it still seriously misrepresents green. Any idea who is behind this site?

Another Google+ user commented, “To be honest, I found the article muddled on several points. Perhaps publisher FUD at work?”

After looking at a number of other posts on Open Science I had to conclude that (for whatever reason) the author did appear to work on the assumption that OA is synonymous with Gold OA, and that Green OA is, at best, a poor cousin. In discussing Green OA in the post I linked to, for instance, the text read, “The author does not have to pay APCs since we are, in fact, talking about self-publishing and the self-archiving of scientific papers.”

Elsewhere, it read, “Green OA offers no mechanisms for promotion, and neither does it assure scientists that publishing in this model can serve their career in a measurable way.”

Since Green OA assumes that authors continue to publish in traditional peer-reviewed subscription journals, and then self-archive the final versions of their papers, this is completely wrong. And yet the same mistaken assumption seemed to permeate the blog. I had, therefore, to conclude that Susi was right to flag this as a problem.

By now I too was curious as to who was responsible for Open Science. Was it an independent blogger like myself, or was it an organisation dedicated to the cause of open science? Either way, why were there no ownership or affiliation details provided on the blog’s “About” page. This reads, “The OpenScience.com focuses on the subject of Open Access and related topics. The basic premise of the blog is to discuss all things related to OA: funding, OA monographs and books, Creative Commons, APCs, promotion of OA books, etc. OpenScience is also about Open Access news and information for those who want to publish in this model.”

Noticeable by its absence was any mention of Green Open Access, or self-archiving. This seemed to me to be particularly remiss given that — in the wake of the research community’s negative reaction to the UK Finch Report — many believe that Green OA is more urgent than OA publishing (Gold OA) today. And why was the blog called Open Science if it aimed only to cover OA, I wondered? (Although when I did a Google search on the term “open science” and noticed the blog came up in the first 10 hits, I felt I had probably answered my own question).

But I had still not been able to establish who was behind the blog. Going back to the site I noticed that below the description on the “About” page was the following text: “If you have any questions, please, do not hesitate and send me an email. I’ll make sure I get back to you as soon as possible.”  The person referred to as “me” was not named, but when I hovered my mouse pointer over the hyperlink behind the words “send me an email” the following email address was displayed at the bottom left of my web browser: kamilmizera@gmail.com. (Later I realised that the author’s name also appears at the end of each post, although without any affiliation).

About ten days later my attention was drawn to a new post called, “Is OA doomed to fail in HSS?”. Once again, the assumption of the author appeared to be that OA was synonymous with Gold OA. He or she also seemed to assume that Gold OA always requires paying an article-processing charge — which is not true for the majority of OA journals. (Earlier this year Peter Suber estimated that nearly 70% of journals listed in the DOAJ do not charge an APC).

My curiosity as to who owned and ran the blog was now sufficient that I did a search on the name Kamil Mizera, which led me to Mizera’s profile on the web site of the Warsaw-based OA publisher Versita. There his role was described as “Keeping company’s blog about Versita and e-publishing worldwide.”

A search in my inbox also threw up a message from Mizera that I had received (but apparently not replied to) last December. Mizera had contacted me in order to promote an “Emerging Scholar Monograph Competition” that Versita was then running — with the winner getting the opportunity to have their dissertation published as a book with Versita. Subsequently, I discovered that the competition had also been advertised in a blog post on Open Science — with no mention that I could see that the author of the advertisement was associated with Versita. (The winner was announcedin March).

But it would be wrong to suggest that Versita completely hides the fact that it has a relationship with Open Science, since there is a link to the blog from the publisher’s home page. However, there is no indication of this relationship on the blog itself, and so far as I could see the nature of the relationship is not explained on the Versita site — there is simply a link to the blog.

Show me your payslips


In the hope of establishing the nature of the relationship, I posted a questionon the blog. Three days later, Mizera replied “Open Science is affiliated with Versita and its aim is to promote open access as well as to educate prospective authors about funds and mandates and to instruct them on editorial process — be it about books or journals.”

When I did a search on the blog I could find only one mention of mandates — in this article, which recommends that when introducing OA mandates, governments “should also specify that authors ought publish in the lowest-fee charging journals.”

Hoping for clarification as to what this meant in practice, I posted a follow up question, asking also whether Mizera was an employee of Versita, or received any payment from the company for running the blog. I added, “I do feel it would help if the relationship between Open Science and Versita was made more transparent. Would you agree?”

Mizera replied, “I thought that we were transparent. But let me try again: Affiliated to Versita means — the blog was initiated and is supported by Versita as an independent forum for general discussion and exchange of news about OA in totum. What it does not mean, is that the blog is an extension, an appendage, a surreptitious partisan of Versita’s or anyone else’s interests, other than the generic promotion — intellectual and practical, of OA as a new and positive form of scholarly exchange. My relationship with Versita is, in other words, that of support and independence, not any different to that of any university researcher — affiliated, supported by an institution but independent in words, ideas and deeds. OpenScience is my project, and every word in it (for better or worse) comes from me unmediated by any advice, prompting or qualification of any kind, from any quarters, save for the advice from one of Versita’s bilingual staff. Should you find that troubling and were to offer to proof-read my sometimes Idiosyncratic English, I would be delighted. As to who pays me, Richard, you show me your payslips first;)”

In fact, not all the words on Open Science appear to be Mizera’s — there is, for instance, this guest post; and there is a document headed, “OPEN ACCESS FUNDING” linked from the strapline of the home page that has the by-line Emily Poznanski. Poznanski appears to be an assistant production manager at Versita.

Also linked from the strapline is an articleentitled “How To Publish an Open Access Monograph”. While the article is unsigned, a separate post names the author as Agata Morka. Morka’s name also appears in a response to a comment posted beneath the article. Morka appears to be Product Manager, Books at Versita.

I was struck at Mizera’s suggestion that his role is no different to that of a university researcher — “supported by an institution but independent in words”. Is that a fair analogy in the context of the Open Science blog, I asked de facto leader of the OA movement Peter Suber. Suber replied, “That's an honest and familiar model. However, university researchers are willing to say that they are employees paid by the university.”

Since I still did not feel my questions had been fully answered, I contacted Versita. I got the following short unsigned response to my request for information, “Blog http://openscience.com belongs to Versita”.

I followed up by pointing out that there was no indication on the Open Science blog site that it was owned by Versita, and that when I contacted Kamil Mizera he had said that the blog was “affiliated” with Versita, not owned by it. I also asked if Versita could confirm whether Mizera was an employee of the publisher, or remunerated by it in some way for running the blog.

I received another short unsigned reply, “Please be so kind to direct all questions regarding the Open Science blog to Mr Kamil Mizera who is its author and therefore is responsible for the content posted on the blog.”

I persisted a little further, asking again if Versita could confirm whether Mizera was an employee, or remunerated by the publisher for running the blog. “Versita owns the domain name www.openscience.com,” came a third unsigned reply. “As for the blog and its contents — Kamil Mizera is the author. He does cooperate with Versita but the details of this cooperation are not to be disclosed to third parties.”

At this point I thought it might be worth checking the Whois record for openscience.com. In doing so I discovered that the domain is in the name of De Gruyter, the Berlin-based legacy publisher, which had acquired Versitain January 2012.

Conflict of interest?


I emailed the CEO of De Gruyter Sven Fund and asked if he could confirm that the domain was owned by the company. He replied, “I found the domain a while ago and secured it for our group, and I don’t know what happened to it since then. I will find out about it and get back to you.”

In a subsequent email Fund said, “I inquired about the status of openscience.com. I understand that your concern is about whether Mizera’s position is a salaried one. I hope you will understand, we don’t disclose this kind of information. However, it is true that the blog is owned by De Gruyter and Versita and our primary goal in supporting it is to promote Open Access as a publishing model, not a particular company. I hope this helps.”

I was struck again at the emphasis on OA publishing, and the failure to mention Green OA, or self-archiving. As such, I could not help but wonder whether — if only in an unthought through way — the mission of the blog had ended up being aligned more to the interests of Versita and De Gruyter (both of whom offer pay-to-publish OA options) than to OA per se.

At this point I did a search on the blog for both De Gruyter and Versita. This threw up a number of hits, including an interview with a Versita author who, when asked about his publishing experience with Versita said, “[A]ll went quite smoothly. I don’t remember any real problems in the publication process”.

There were also promotional links to articles in Versita journals (here and here), a plug for a Versita book (here), a list of OA book publishers (here) in which Versita was placed in No. 1 position (above both Springer and Bloomsbury), and so on.  And linked from a pull-down menu on the blog’s header was a menu called “OA ARTICLES”. This listed two articles, both published by Versita.

A Search on De Gruyter listed a number of mentions of a deal between De Gruyter and Unglue.it (here and here), and mention of a deal between De Gruyter and the Max Planck Society(here).

So far as I could see there was no indication anywhere that the author of the blog posts had a relationship with either of the two publishers, be it remunerated or not, or that De Gruyter is the owner of the domain.

I emailed Fund again and asked if he did not feel that since Versita and De Gruyter are mentioned on the blog quite often, without any indication that the blog actually belongs to De Gruyter/ Versita, some might conclude that there was a conflict of interest issue.  

Fund replied, “You may know that I am responsible on the management team of De Gruyter for PR. I can assure you that openscience is not a PR channel for the company, I didn’t even know how we used it, when you approached me. In any case, I will make sure that we do not create any conflict of interest by talking to the team and sharing your observations with them.”

That was the last I heard on the topic from either De Gruyter, Versita or Mizera. I assume Fund did mention it to his team. The only mention of Versita or De Gruyter on the blog that I have seen since was in a post discussing Gold OA funds that Mizera published on September 2nd, four days after I received my last email from Fund (August 28th).  

However, when I looked at the blog just prior to publishing this post I could still find no indication that the site is owned by De Gruyter, or that it is run by someone listed as being a member of Versita’s marketing department.

It is worth pointing out that when Suber used to write the SPARC Open Accessnewsletter there was a strapline at the very top of the newsletter that read, “SOAN is published and sponsored by the Scholarly Publishing and Academic Resources Coalition (SPARC).”

Likewise, when Suber ran his Open Access News blog, there was a prominent note in the sidebar that read, “Open Access Newsis supported by the Open Society Institute, the Scholarly Publishing and Academic Resources Coalition, and the Wellcome Trust.”

I am not suggesting that everyone should copy Suber, but it is surely to be recommended that when a blog or website is owned or sponsored by a publisher, or some other organisation, then some form of disclosure is provided. Disclosure is not hard. It's not embarrassing. On the contrary, the lack of disclosure is more embarrassing than the disclosure would be.

As it is, the lack of disclosure information on the Open Science blog seems likely to lead people to reach conclusions that Versita and De Gruyter would presumably not wish them to reach. When I went back to Susi to tell him what I had learned, for instance, he responded, “When you first linked to the Open Science blog, I was willing to give the author the benefit of the doubt, and assumed he was merely uninformed and ignorant about all the — by now mainstream — discussions concerning open access. I did not even consider the domain issue. Now I can only conclude that this is a blog with a hidden agenda, sitting on a domain that it should not by rights occupy.”

He added, “The evasive answers provided by Mizera and Fund are incredible. It actually doesn't matter whether Fund or anyone else at De Gruyter or Versita had knowledge of Mizera's work beforehand — their answers and inaction implicate them after the fact. Do they really think that it is in De Gruyter's best interests to act in this way in a post-RWA world?”

This is laughable


There is a coda to the story. On 17th September I posted an interview I had done with Sven Fund on my blog. Five days later I was copied into a tweet by the Open Science Federation (OSF) pointing out that they had tried to buy the openscience.com domain, but had been outbid by De Gruyter.

It appears that the domain was sold to De Gruyter by Steve Mann, a researcher and inventor — and self-styled “father of wearable computing” — based at Toronto University. If I am reading the Whois record correctly, the change of ownership took place in January 2012, around the time that De Gruyter acquired Versita. The Open Science blog appears to have gone live in July 2012.

As noted earlier, we should not conclude that Versita and De Gruyter have deliberately hidden their ownership of the blog. As founder of OSF Brian Glanz pointed out when I followed up the OSF tweet. “Versita happily represents openscience.com as one of their efforts, on their home page. Their Twitter accounts have linked often to openscience.com and made their association clear. And check the Whois on openscience.com — it’s easy to keep private, but De Gruyter did not hide their ownership.”

As also noted earlier, however, there is no indication on the blog itself that it is owned by De Gruyter. Moreover. when I explained to Glanz that Fund was responsible on the management team of De Gruyter for PR, and that he had not known what the blog was being used for, Glanz pointed me to the web page of Versita’s marketing team (which lists four employees, including Mizera) and commented, “Fund is responsible for PR but does not know what the Marketing team are doing with Versita.com, openscience.com, and their social media? Could their internal communications be so dysfunctional?”

He added, “We are apparently not talking about a large organization. Do their PR head and their marketing team meet once a year? Is no one other than Fund permitted to speak at the meeting? Sorry, but this is laughable. How could Fund have an honest perception that openscience.com is not a PR channel?”

In fact, it was not entirely clear whether Fund was referring to Versita or De Gruyter (or both companies) when he said he was responsible for PR. But whatever he meant, we must surely wonder why Open Science still gives no indication of its relationship with either Versita or De Gruyter. Why did no one act to prevent further confusion or concern about transparency immediately after I raised the issue more than two months ago? (I first contacted Versita on 16th August and De Gruyter on 23rd August). 

Meaningful olive branch


As we also pointed out, Open Access (both Green and Gold) is no more than a small subset of the larger topic of Open Science — so the name of the blog is not an accurate description of what it covers. This is presumably the point that Susi makes when he says that the blog should not by rights be occupying the domain name openscience.com.

For this reason, some might conclude that it would be better if the domain was in the control of a group or organisation devoted to the topic of open science, rather than a company seeking — in the words of Fund — to “promote open access as a publishing model”.

This is certainly what Glanz would like to see: “I wish the Open Science community could use openscience.com,” he told me. “I haven’t read every word of the blog there, but it appeared the blogger discusses only Open Access, not Open Science. Off the cuff: I can see on my phone right now that openaccess.com is not being used, it’s for sale by Taiki Matsuura — seems he regularly resells domains.”

Glanz added “Perhaps De Gruyter would consider trading in for another domain! Access is not all of Open Science, nor for that matter is science all of Open Access. It would be better than openaccess.com or openscience.com though, in light of the blogger’s bungling of the effort, if they moved the blog to openaccess.versita.com or the like, for transparency’s sake. Gifting the domain openscience.com to the Open Science community would be a meaningful olive branch.”

Given that neither Mizera, Versita, nor De Gruyter appear to believe there is any need to extend an olive branch to anyone, or any necessity to reveal whether or not Mizera is remunerated by either company for his work, such a gesture seems highly improbable.

This situation could, of course, have been avoided if Steve Mann had sold the domain to the non-profit alliance Open Science Federation in the first place, rather than to a legacy publisher that belongs to an organisation that actively lobbies against Open Access.

Mann did not respond to my emails about the sale. We could, however, note that his work relies on open source software and hardware. We could also note that in 2000 he wrote, “As we build cyberspace, it is up to us, as individuals, not to promote illiteracy and proprietary standards that shut out those who fail to purchase computer programs from a specific vendor.”

It seems to me that the two larger issues arising from this story are the following: First, even if he or she is not remunerated for the work, can someone who is a member of an OA publisher’s marketing team, and listed as the company’s official blogger, be expected to run a blog owned by that publisher in an objective manner when dealing with a topic as controversial as Open Access?

Second, if a publisher has made a commitment to Open Access should we expect it to make a concomitant commitment to transparency in the way that it communicates with the world? I suspect many in the research community would argue that it should. As Joseph Espositoput it earlier this year when commenting on the lack of explanation as to why both the CEO and COO of OA publisher Public Library of Science had suddenly and mysteriously left the company, “Let’s be open about open access.”

***UPDATE***

TWO DAYS AFTER THIS POST WAS PUBLISHED THE FOLLOWING TEXT WAS ADDED TO THE ABOUT PAGE OF THE OPEN SCIENCE BLOG:

"OPEN SCIENCE BELONGS TO VERSITA"