Wednesday 30 December 2015

The OA Interviews: Toma Susi, physicist, University of Vienna

Since the birth of the open access movement in 2002, demands for greater openness and transparency in the research process have both grown and broadened. 

Today there are calls not just for OA to research papers, but (amongst other things) to the underlying data, to peer review reports, and to lab notebooks. We have also seen a new term emerge to encompass these different trends: open science.
Toma Susi

In response to these developments, earlier this year the Research Ideas & Outcomes (RIO) Journal was launched. 

RIO’s mission is to open up the entire research cycle — by publishing project proposals, data, methods, workflows, software, project reports and research articles. These will all be made freely available on a single collaborative platform. 

And to complete the picture, RIO uses a transparent, open and public peer-review process. The goal: to “catalyse change in research communication by publishing ideas, proposals and outcomes in order to increase transparency, trust and efficiency of the whole research ecosystem.”

Importantly, RIO is not intended for scientists alone. It is seeking content from all areas of academic research, including science, technology, humanities and the social sciences.

Unsurprisingly perhaps, the first grant proposal made openly available on RIO (on 17th December) was published by a physicist — Finnish-born Toma Susi, who is based at the University of Vienna in Austria.

Susi’s proposal — which has already received funding from the Austrian Science Fund (FWF) — is for a project called “Heteroatom quantum corrals and nanoplasmonics in graphene” (HeQuCoG). This is focused on the controlled manipulation of matter on the scale of atoms.

More specifically, the aim is to “to create atomically precise structures consisting of silicon and phosphorus atoms embedded in the lattice of graphene using a combination of ion implantation, first principles modelling and electron microscopy.”

The research has no specific application in mind but, as Susi points out, if “we are able to control the composition of matter on the atomic scale with such precision, there are bound to be eventual uses for the technology.”

Below Susi answers some questions I put to him about his proposal, and his experience of publishing on RIO.

The interview begins …


RP: Can you start by saying what is new and different about the open access journal RIO, and why that is appealing to you?

TS: Personally, the whole idea of publishing all stages of the research cycle was something even I had not considered could or should be done. However, if one thinks about it objectively, in terms of an optimal way to advance science, it does make perfect sense. At the same time, as a working scientist, I can see how challenging a change of mind-set this will be… which makes me want to do what I can to support the effort. 

RP: Are you associated with the journal in any way — e.g. on the editorial board?

TS: I have volunteered to be a physics subject editor for the journal, although I have not yet handled any articles.

RP: You published a grant proposal in the journal, which is certainly unusual (perhaps a first?). Why did you do so, and how much (if anything) did you pay to do so?

TS: I should first point out that although rare, this was by no means the first instance. There are some previous proposals — see for instance here, here, and here.

However, RIO is the first attempt to do this systematically across disciplines, with open pre- or post-publication peer review.

The reason for me to do it was that I had received funding recently for a project that I am passionate about, and whose proposal I was quite proud of. At the same time, following my long-term interest in open access and open science, I had offered my services for RIO. Thus I felt I should lead by example in promoting openness in science funding by being one of the first to publish a grant proposal there. The recent RIO editorial gives a good account of the underlying philosophy.

As a volunteer editor, I was allowed to publish one article for free in RIO, which I used to publish the proposal. RIO’s normal pricing is explained here, and it would also have been no problem to fund the publication from my FWF grant.

Instinctively scary


RP: Writing about your experience you have said that publishing a grant proposal is an “instinctively scary” thing to do. Can you expand on that, and say something about both the benefits and the potential risks of publishing a grant proposal?

TS: I said instinctively, because there was an almost visceral reaction to the idea; to give away MY ideas, to let other people take advantage of MY work! But when one steps back from the competitive reality of being a scientist, it should become obvious this is exactly the desirable outcome for science. But the reaction is what it is.

In terms of potential risks, a fear of being ‘scooped’ is probably the big one. I have made a proposal, based on all my expertise and knowledge, to pursue a certain specific research direction. If someone else reads the plan and pursues it, and is perhaps a bit luckier or a bit more hard working, they might reach and publish the results before I can. The way the journal system is, this would likely result in them getting more credit and more accolades for the work.

As for potential benefits, I do hope I might get additional exposure for my work, and for my funder. I’m personally very excited about the project, and extremely grateful for the FWF for still funding risky and curiosity-driven research. Since they seem to be one of the more forward-looking funders out there in terms of open access and so on, I hope being on the cutting edge in open research funding can contribute to that. 

And of course, if someone does scoop me, at least they have to cite the proposal now: http://dx.doi.org/10.3897/rio.1.e7479

RP: I believe it would be quite hard for other researchers to scoop you due to the lab conditions required. Would other researchers be far more cautious than you in publishing a grant proposal?

TS: The proposal is indeed technically challenging, with only about a dozen groups in the world who would be placed to pursue it. So certainly publishing this was an easier choice than in many cases. Other researchers would have to weight those considerations for themselves.

I think the degree of caution will depend on the field in general, and on each proposal in particular. However, I think there is an extra difficulty in being amongst the first, and hopefully my example would at least put this option on more peoples’ radars.

RP: As you noted, this is a proposal for which you have already received funding. Would you have published it if you didn’t yet have funding? Or might it have been more useful to do it before?

TS: That’s right. It might indeed have been useful to publish beforehand and receive constructive feedback on the project. However, I doubt I would have considered publishing it before getting funded, that would have felt too risky. Alternatively, if I had gotten rejected and known I would not be able to pursue the plan further, I might have considered publishing then.

RP: How much money is the grant?

TS: The three-year grant is for 323,972.25 €, which is public information. 

In layman’s terms


RP: I believe the grant is for work on atomic-scale engineering, but can you say something in layman’s terms about what your research is, and the likely applications? If a member of the public asked you why you should be funded to do the research what would you say?

TS: We are aiming to precisely control the placement of heavier atoms in the lattice of graphene using an electron microscope as an engineering tool.

There are some potential applications in plasmonics, i.e. the control of the interaction of light with the electrons of the material, but really, the project is more about pushing the boundaries of the possible. No matter what the technical requirements now are, if we are able to control the composition of matter on the atomic scale with such precision, there are bound to be eventual uses for the technology. 

So my answer to a member of the public would be: to show we can design materials with atomic precision. You can find a comprehensive explanation of the original research on my blog.

RP: Presumably this is for follow-up research to that described in your 2014 Physical Review Letters paper. If so, what is the next step?

TS: In terms of the research, the next steps are exactly as described in the published proposal! The project started running in September 2015, and we are now working on sample preparation and the first modelling steps as planned.

I have a PhD student starting on the project at the end of January, and we’ll definitely think about publishing his thesis plan openly, too, alongside other outputs.

RP: I think RIO offers a basic publishing service. So, for instance, researchers have to type in and format their publications. How long did it take you to do this, and how much of a disincentive do you think this might be for researchers who are not as enthusiastic about open access as you are?

TS: There’s no formatting as such (apart from the possibility to do italics or bold etc), but rather, the writing tool itself takes care of typesetting automatically (based on a built-in template). So, there’s actually less for the author to do than in editing a normal Word or LaTeX manuscript. 

For my proposal, I copied in the text of my original OS X Pages document, which took just a few minutes. Re-inserting citations and figures took perhaps two hours more, which I hope they can somehow streamline in the future.

All in all, it was one of the more painless publishing experiences I have had, so hard to see it as much of a disincentive.

Please see my blog post for some more details on the process.

Tough sell


RP: To put it more bluntly, would anyone who was not (as you are) a committed OA advocate really have much interest in following your example?

TS: At this point, I don’t doubt this is a bit of a tough sell to get your typical scientist interested. But on the other hand, this does yield a citable publication with very little extra effort, so depending on how much attention these receive, it might well prove attractive more generally. However, the longer term prospect is that since funders have good reasons to encourage or even mandate grant publications, the push might come from them.

RP: What licensing issues arise in publishing a grant proposal? Are they different to publishing a research paper?

TS: Figure copyrights were the main issue. I had used several figures from the literature to illustrate my ideas (with the proper citation, of course). If I had written for example a review article, the common practice would had been to obtain reuse rights to the figures via Rightslink. However, since RIO content is CC BY 4.0 licensed and machine-readable, that would had resulted in potential problems along the line. Thus we went to the extra effort to ask the original authors for copyright-free versions of their figures, which we received without exception within a week.

RP: I think you also published the grant review reports alongside the proposal. Is open peer review obligatory with RIO? Should it be?

TS: We did, after passing a request through the funder to the original referees (as they had not agreed to the reports being public originally), both of whom gave permission. In general, peer review with RIO is mandatorily public, as fits the philosophy of the journal.

RP: What kind of feedback have you had? Have you, for instance, had any new offers to collaborate as a result?

TS: I think it’s still too early to see whether publishing the proposal will result in offers for collaboration or useful new connections. However, I did receive a fair bit of feedback from my collaborators when I floated the idea of publishing the proposal, and from the people whose figures I had used in the original plan when I asked for their permissions to reuse them. Even to my surprise, all the feedback I got was very supporting and encouraging.

RP: What other issues arose as a result of publishing your grant proposal, and what are your expectations for RIO going forward?

TS: No other issues, so far the process has been quite positive. It remains to be seen what effects the publication will have.

As for my expectations for RIO, I fear that they will have a hard time in getting significant uptake for their more ambitious initiatives, but I do hope the time is ripe and we’re in for a pleasant surprise. 

RP: Thank you very much for taking the time to answer my questions.

Thursday 17 December 2015

The open access movement slips into closed mode

In October 2003, at a conference held by the Max Planck Society (MPG) and the European Cultural Heritage Online (ECHO) project, a document was drafted that came to be known as the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities.

More than 120 cultural and political organisations from around the world attended and the names of the signatories are openly available here.

Today the Berlin Declaration is held to be one of the keystone events of the open access movement — offering as it did a definition of open access, and calling as it did on all researchers to publish their work in accordance with the open principles outlined in the Declaration.

“In order to realize the vision of a global and accessible representation of knowledge,” the Declaration added, “the future Web has to be sustainable, interactive, and transparent.”

The word transparent is surely important here, and indeed the open access movement (not unsurprisingly) prides itself on openness and transparency. But as with anything that is precious, there is always the danger that openness and transparency can give way to secrecy and opaqueness.

By invitation only


There have been annual follow-up conferences to monitor implementation of the Berlin Declaration since 2003, and these have been held in various parts of the world — in March 2005, for instance, I attended Berlin 3, which that year took place in Southampton (and for which I wrote a report). The majority of these conferences, however, have been held in Germany, with the last two seeing a return to Berlin. This year’s event (Berlin 12) was held on December 8thand 9th at the Seminaris CampusHotel Berlin.

Of course, open access conferences and gatherings are two a penny today. But given its historical importance, the annual Berlin conference is viewed as a significant event in the OA calendar. It was particularly striking, therefore, that this year (unlike most OA conferences, and so far as I am aware all previous Berlin conferences) Berlin 12 was “by invitation only”.

Also unlike other open access conferences, there was no live streaming of Berlin 12, and no press passes were available. And although a Twitter hashtag was available for the conference, this generated very little in the way of tweets, with most in any case coming from people who were not actually present at the conference,  including a tweet from a Max Planck librarian complaining that no MPG librarians had been invited to the conference.

Why it was decided to make Berlin 12 a closed event is not clear. We do however know who gave presentations as the agenda is online, and this indicatesthat there were 14 presentations, 6 of which were given by German presenters (and 4 of these by Max Planck people). This is a surprising ratio given that the subsequent press release described Berlin 12 as an international conference. There also appears to have been a shortage of women presenters (see here, here, and here).

But who were the 90 delegates who attended the conference? That we do not know. When I emailed the organisers to ask for a copy of the delegate list my question initially fell on deaf ears. After a number of failed attempts, I contacted the Conference Chair Ulrich Pöschl.

Pöschl replied, “In analogy to most if not all of the many scholarly conferences and workshops I have attended, we are not planning a public release of the participants’ list. As usual, the participants of the meeting received a list of the pre-registered participants’ names and affiliations, and there is nothing secret about it. However, I see no basis for releasing the conference participants’ list to non-participants, as we have not asked the participants if they would agree to distributing or publicly listing their names (which is not trivial under German data protection laws; e.g., on the web pages of my institute, I can list my co-workers only if they explicitly agree to it).”

This contrasts, it has to be said, with Berlin 10 (held in South Africa), where the delegate list was made freely available online, and is still there. Moreover, the Berlin 10 delegate list can be sorted by country, by institution and by name. There is also a wealth of information about the conference on the home page here.

We could add that publishing the delegate list for open access conferences appears to be pretty standard practice — see hereand here for instance.

However, is Pöschl right to say that there is a specific German problem when it comes to publishing delegate lists? I don’t know, but I note that the delegate list for the annual conferencefor the Marine Ingredients Organisation (IFFO) (which was held in Berlin in September) can be downloaded here.

Outcome


Transparency aside, what was the outcome of the Berlin 12 meeting? When I asked Pöschl he explained, “As specified in the official news release from the conference, the advice and statements of the participants will be incorporated in the formulation of an ‘Expression of Interest’ that outlines the goal of transforming subscription journals to open access publishing and shall be released in early 2016”.

This points to the fact that the central theme of the conference was the transformation of subscription journals to Open Access, as outlined in a recent white paper by the Max Planck Digital Library. Essentially, the proposal is to “flip” all scholarly journals from a subscription model to an open access one — an approach that some have described as “magical thinking” and/or impractical (see, for instance, here, hereand here).

The Expression of Interest will presumably be accompanied by a roadmap outlining how the proposal can be realised. Who will draft this roadmap and who will decide what it contains is not entirely clear. The conference press release says, “The key to this lies in the hands of the scientific institutions and their sponsors”, and as Pöschl told me, the advice and comments of delegates to Berlin 12 will be taken into account in producing the Expression of Interest. If that is right, should we not know exactly who the 90 delegates attending the conference were?

All in all, we must wonder why there was a need for all the secrecy that appears to have surrounded Berlin 12. And given this secrecy, perhaps we should be concerned that there is a danger the open access movement could become some kind of secret society in which a small self-selected group of unknown people make decisions and proposals intended to impact the entire global scholarly communication system?

Either way, what happened to the openness and transparency inherent in the Berlin Declaration?

In the spirit of that transparency I invite all those who attended the Berlin 12 to attach their name below (using the comment functionality), and if they feel so inspired to share their thoughts on whether they feel that open access conferences ought to be held in camera in the way Berlin 12 appears to have been.

Or is it wrong and/or naïve to think that open access implies openness and transparency in the decision making and processes involved in making open access a reality, as well as of research outputs?



Tuesday 1 December 2015

Open Access, Almost-OA, OA Policies, and Institutional Repositories

Many words have been spilt over the relative merits of green and gold open access (OA). It is not my plan to rehearse these again right now. Rather, I want to explore four aspects of green OA. 

First, I want to discuss how many of the documents indexed in “open” repositories are in fact freely available, rather than on “dark deposit” or otherwise inaccessible. 

Second, I want to look at the so-called eprint request Button, a tool developed to allow readers to obtain copies of items held on dark deposit in repositories. 

Third, I want to look at some aspects of OA polices and the likely success of so-called IDOA policies.

Finally I want to speculate on possible futures for institutional repositories. 

However, I am splitting the text into two. The first two topics are covered in the attached pdf file; the second two will be covered in a follow-up piece I plan to publish at a later date.

To read the first part (a 16-page pdf) please click the link here.

Monday 16 November 2015

The OA Interviews: ScienceOpen’s Alexander Grossmann

In his time, the founder and president of ScienceOpen, Alexander Grossmann, has sat on both sides of the scholarly publishing table. He started out as a researcher and lecturer, working variously at the Jülich Research Centre, the Max Planck Institute in Munich and the University of Tübingen.
Alexander Grossmann

Then in 2001 he reinvented himself as a publisher, working first at Wiley-Blackwell, and subsequently as managing director at Springer-Verlag GmbH in Vienna, and a vice president at De Gruyter.

An important moment for Grossmann came in 2008, when Springer acquired the open-access publisher BioMed Centralfrom serial entrepreneur Vitek Tracz. Listening to a presentation on the purchase given at a management meeting by the company’s CEO Derk Haank, Grossmann immediately saw the logic of the move, and the imperatives of open access.

However, it was soon apparent to him that the publishing industry at large is not in a hurry to reinvent itself for an OA world, and certainly not if it means having to take hard decisions that could threaten the high profit levels that it has become accustomed to earning from journal publishing.

Speaking to me two years ago Grossmann put it this way: “[T]here is no publishing house which is either able or willing to consider the rigorous change in their business models which would be required to actively pursue an open access publishing concept.” 

And this remains his view today.

In 2013, therefore, Grossmann partnered with Boston-based entrepreneur and software developer Tibor Tscheke to found a for-profit OA venture called ScienceOpen. At the same time he took a post as professor of publishing management at the Leipzig University of Applied Sciences

A Q&A with Alexander can be downloaded as a pdf file here

Sunday 20 September 2015

The Open Access Interviews: F1000 Founder Vitek Tracz

Vitek Tracz is a hero of the open access movement, and it is not hard to see why. Fifteen years ago he founded the world’s first for-profit OA publisher BioMed Central (BMC), and pioneered pay-to-publish gold OA. Instead of charging readers a downstream subscription fee, BMC levies an upfront article-processing charge, or APC. By doing so it is able to cover its costs at the time of publication, and so make the papers it publishes freely available on the Internet.[See the comment below the Q&A for clarification of this]. 

Many said Tracz’s approach would not work. But despite initial scepticism BMC eventually convinced other publishers that it had a sustainable business model, and so encouraged them to put their toes in the OA waters too. As such, OA advocates believe BMC was vital to the success of open access. As Peter Murray-Rust put it in 2010, “Without Vitek and BMC we would not have open access”.

Today Tracz has a new, more radical, mission, which he is pursuing with F1000.
Vitek Tracz

As always, I have written an introduction to the Q&A below with Vitek Tracz; as sometimes happens, the introduction turned out to be longer than readers might expect, or wish to read.

I have, therefore, put the introduction into a PDF file, which can be accessed by clicking on this link.

Those interested only in the Q&A need simply read on below. 

The Q&A begins ….


RP: As I understand it, F1000 now consists of three main services — F1000Research, F1000Prime, and F1000Workspace. In addition, I believe there is something called F1000 Specialists. Can you say something briefly about each of these services, and when they were launched?

VT: The newly launched F1000 (F1000.com) is an integrated site combining three services: F1000Prime, F1000Research and F1000Workspace.  These services are built and supported through the active collaboration and participation of the largest high-level group of experts (over 11,000 and growing) from across biology and medicine, the F1000 Faculty. This consists of experienced leaders (Faculty Members) and talented young researchers (Associate Faculty Members, appointed by Faculty Members), in about equal numbers.

We started what is now called F1000Prime 13 years ago, which has become the largest and most comprehensive article-level quality assessment of biomedical literature: the F1000 Faculty identify those articles they find interesting in their daily work, rate them at one of the three levels of quality (all positive, the goal is to find the best articles) and write a short text explaining why the chosen article is interesting to them.

F1000Research, launched over 2 years ago, is an open science publishing platform that offers a completely new way of publishing research in biology and medicine: it uses immediate publication followed by transparent peer review, requires the underlying data to be shared, and encourages the publication of all research findings. It also now offers a platform to freely share scientific posters and slides.

Recently, we launched F1000Workspace, a comprehensive set of tools to help researchers write articles and grants, discover literature, manage references and reference libraries, and collaborate and prepare for publication.

The F1000 Specialists are not an external service; they are a growing group of young active supporters of our services who work with us in key institutions to support new users of our services and bring feedback that then contributes to future development decisions.

RP: You say F1000Prime has become “the largest and most comprehensive article-level quality assessment of biomedical literature”. I believe PLOS has introduced “F1000 recommended badges” to PLOS articles that have been evaluated by F1000 reviewers. Have any other publishers or organisations adopted F1000 reviews for assessment purposes?

VT:A number of publishers, institutions and societies identify articles that have been recommended by F1000 by using an F1000 Recommended badge including PubMed, PLOS, BioMed Central, The Physiological Societyand The Royal Society. Others take into account F1000 when assessing scientists and articles, including Scopus, CNRS’ Evalscience and a number of funding bodies. We are also in discussion with other publishers to include F1000 recommended badges on their tables of contents.

We are informally told by scientists that at many funding bodies (such as Wellcome, MRC, NIH etc.) F1000 recommendations are considered when making grant assessments. Anecdotally many tell us that F1000 recommendations are seen in grant applications and for tenure and job applications.

RP: Can you talk me through the pricing of the different F1000 services, and say who usually pays for the services (i.e. researchers, their institutions, research funders etc.)?

VT: The new F1000 is available on subscription. It is a continuation of the established F1000Prime service, already subscribed to by hundreds of institutions, including almost all of the top ones. The subscription price is based on the number of relevant potential users in the institution.

All existing and new subscribers now have access to F1000Workspace, and each user in a subscribing institution or an individual subscriber can publish one short free article per year (less than 1000 words, normally $150) in F1000Research.

For all other articles, F1000Research charges competitive Author Processing Charges, and special agreements are available to institutions to include publication in F1000Research as part of their institutional subscription. Sharing of posters and slides on F1000Research is free of charge.

RP: I see a link to F1000Research’s charges here. This shows that APCs depend on article length and go up to $1,000 for papers over 2,500 words. Papers over 8,000 words also attract a $1,000 surcharge, plus a $300 hosting fee for data is sometimes applied. I also see here that individual subscriptions to F1000Prime are $9.95 per month.

Can you give me a couple of examples of what different sized institutions can expect to pay for an annual subscription to F1000? (I think you are saying that the new F1000 subscription now covers both F1000Prime and F1000Workspace?) And can you say whether F1000 has any other revenues beyond the APCs and subscriptions we have discussed?

VT: Institutional subscriptions for F1000 start at £1,750. Pricing depends on the number of staff students and researchers in the life science faculties of the institution. The average price paid is approximately £6,000. APCs and subscriptions are currently F1000.com’s only revenue streams.

RP: Can you give me some stats on the different F1000 products — e.g. the number of reviewers you currently have signed up, the number of papers you have published, and the number of users and access figures for the different services etc.?

VT: F1000Prime has published over 160,000 recommendations of articles published across about 4,000 journals.

The Faculty of F1000 (currently around 11,000 in number) all have the right to recommend articles for F1000Prime, and are also allowed to act as referees for articles in F1000Research.
We are close to publishing 1,000 articles in F1000Research and submissions are growing well.

Despite having only launched F1000Workspace a few weeks ago, we already have a rapidly growing number of researchers registering on the service, and expect to reach over 20,000 registered users before the end of the year, and about 100,000 by spring 2016.

RP: Can you share with me any figures in terms of page views, or other usage stats, that demonstrate the use of the F1000 reviews, or the number of times articles published by F1000Research are read?

VT: In the last year we had over 2.6m page views in F1000Prime.

For F1000Research, we had 0.5m published article page views in the last year.Of course, as the articles are fully OA, they can also be viewed in PubMed Central and other places, for which we do not have the numbers.

In addition, F1000Faculty Reviews (specially commissioned reviews of current topics, published in F1000Research) had 0.25m views in the last year.

Six main areas


RP: You were for many years a traditional publisher. I think it fair to say, however, that since around 2000 you have been more focused on leveraging the Internet to “fix” what you see as the problems with scholarly communication, than simply making money. So, for instance, BioMed Central was intended to solve the access problem. If that is right, what problems are you trying to fix with each of the F1000 products?

VT: As you say, F1000 is trying to tackle the many other major problems, beyond the access issue, with the way new research is shared and evaluated. There are 6 main areas we are trying to address.

The first is around the extensive and incomprehensible delays in the sharing of science (typically 6 months to a year, often longer before a submitted paper can be read).

Associated with this are the biases and many other ills caused by the traditional anonymous pre-publication peer review process.

The third issue is around the lack of access to the data underpinning most new research findings and making it available in a format that can be reused, reanalysed and reproduced.

And the fourth issue is around the bias in what is typically published, which is skewing our understanding of science to only those findings that are ‘positive’ and deemed as ‘significant’.

A major contributor and driver of all these problems is the existence of journals where the decision to accept or reject an article rests with an editor(s) and the related Impact Factor.

The F1000Research model is trying to address each of these issues through immediate publication, open and transparent invited peer review, a requirement to share all the underlying data (obviously with due consideration for data protection issues) and active encouragement of the publication of all findings including negative/null studies, small studies, case reports, replication studies etc.

Of course one of the biggest challenges with halting the inappropriate use of the Impact Factor is its current integral use in how researchers are assessed for grants and promotion/tenure decisions. Many funders and institutional review bodies are now moving away from metrics towards greater use of peer review, and F1000Prime is increasingly being used by funders and institutions to support this change.

Finally, the sixth area is around addressing the amount of time researchers have to spend on tasks associated with writing up their findings; F1000Workspace was built to streamline these activities through better technology, reducing the barriers to writing up and sharing of all research findings, and increasing the time researchers can spend in the lab conducting new research.

I have given a talk recently at Collège de France in Paris, titled “Nobody Knows” which summarises the issues we are trying to tackle with our new service. You can see the talk here, or read a summary in this editorial here.

RP: As you note, even in today’s digital world — and even in an open access environment — research is still primarily published using the traditional journal format, and researchers are still judged and evaluated on the basis of which journals their papers are published in. For their part, journals are judged on the basis of the Impact Factor — a metric you have described as “both problematic and idiotic”.

While F1000 has developed alternatives to these, the continuing obsession with the IF, and with the traditional journal, inevitably limits what you are able to achieve. What is striking to me is that everyone understands what the problems of scholarly publishing are today, but no one seems able or willing to fix them. Rightly or wrongly, I have come to think that reforming the scholarly communication system is as difficult as reforming the UK House of Lords, which people have been trying to do for over a hundred years now. What do you think might finally make the difference in terms of reforming scholarly publishing? Who has responsibility to ensure it happens, and how should they go about it?

VT: I agree with your description of the IF producing seemingly insurmountable problems. We are now working on challenging this directly and I believe we have a chance to succeed, though it is clear this is both the hardest, and the most important issue to solve. I think the responsibility lies with the institutions that fund and carry out research in biology and medicine. I will describe in my next answer how we plan to do this.

The Seer of Science Publishing


RP: The journal Science has described you as the “Seer of Science Publishing”, and many believe that if anyone can change the sclerotic system we have today it is you. I understand you are currently presenting a set of proposals to major funders and institutions, which (if you succeed) you expect to significantly change life science research publishing. Can you say something about these proposals, and your expectations of them?

VT: We believe that the main problem is the very existence of journals, and the methods their editors use to accept or reject what to publish. Their reason for making these choices is significantly affected by their battle to maintain and raise their Impact Factor.

We believe science today does not need journals (no one reads journals, everyone reads articles). We have developed a super-efficient service — F1000.com — which combines literature discovery (including recommendations), authoring tools (to write articles, collaborate, manage article libraries), and quick and effective publication using a high quality transparent refereeing process.

We want to convince funders and other major institutions that they have the responsibility to address the significant issues with publishing as it is at present and they now have the means to do so by using services like F1000.com (I am sure there will be others as soon as we show that they are effective). They can also operate their own publishing platform, convincing (and later mandating) the researchers they fund to publish through these platforms.

There are many advantages (speed, transparency, cost and more) to the funders, to researchers, to science and so to society in general.

This is clearly quite a task, but we have the tools to achieve it, our arguments are strong, we have a lot of support from many leading scientists, and the response to our presentation is surprisingly strong and positive.

RP: You are surely right to say that this is quite a task. It seems to me that the key challenge lies in persuading research institutions (rather than funders) to wean themselves off the impact factor, especially university promotion and tenure committees. For instance, while HEFCE has repeatedly said that the IF should not be used to assess the quality of research outputs, its injunction seems to fall on deaf ears in universities, presumably because using the IF makes the task of evaluating researchers so much easier. And while asking universities to ignore what journals a researcher publishes in follows naturally from this, I wonder if it is currently possible to persuade universities (and researchers themselves) to change their habits and mind-set, when doing so would make the process of evaluating research that much harder. Beyond providing the tools to enable them to change their ways, and making the case for doing so, is there anything further that can be done do you think?

 VT: I think that as long as the main way to publish research articles is in editorially controlled journals, the IF will be next to impossible to dislodge from the consideration by the committees giving jobs and grants and by the authors who depend on these decisions. Our hope is to convince funders and institutions to operate their own “publishing platforms” and encourage (and in time perhaps mandate) the research they fund to be published on these platforms.

If this happens (and I believe it can happen) then a significant proportion of new research will be published without consideration for the IF of the platform it is being published in. At this point I do not see any other way to effectively move away from the range of problems caused by the influence of the IF on publishing research in editorially controlled journals.

RP: You have suggested a couple of times that institutions and funders should consider operating their own publishing platforms. I wonder if you could expand on that. Would these platforms be in competition with F1000Research, or different in some way? Do you envisage them being built on top of institutional repositories, as UCL has started to do (but using the traditional journal/book format), or something more radical like the physics preprint server arXiv?

VT: F1000 sees itself as a service provider. One of the services we can offer to funders and institutions is to operate a publishing platform using the system we have developed for F1000Research. These platforms can be operated by us (of which F1000Research is an example) or by others who I hope will develop competing systems.

Our main asset is the ability to operate efficiently and to the real benefit of authors, readers and the scientific community.

Of the examples you mention, arXiv (which had a real influence on the development of OA from the start) is the closest, except that our platform incorporates full, open and transparent peer review, as well as qualitative assessment at the article level, together with the tools to help authors and referees to write, collaborate, manage references, and more.  

While this is a new idea and it is early days, I imagine that in the future many such platforms will be provided by funders and other institutions, working in parallel. They will not be competitive (except in the way institutions are competitive) and the authors will be free to choose a platform that is the most natural and efficient for them.

The qualitative assessment of researchers’ work will not depend on the Impact Factor of journals but on the article-level assessments and other ways of assessing quality of work provided by many different groups. The articles and other forms of presenting findings will be open to a refereeing process both by invited referees and by other members of the research community, and will of course be freely available to all.

RP: Another issue that has arisen is that of “credit inflation”. With papers tending nowadays to have a much larger number of authors — sometimes in their hundreds, sometimes even thousands — many argue that there is now a need to evaluate researchers for things other than the papers they author/co-author. Do you have views on this and/or any plans to offer services to help in this?

VT: I do think that the evaluation of both articles and researchers is complex, and it depends on many things, and will change depending on who is doing the evaluation, as well as when and why.

Our task is try to make the publishing of new research as effective and clear as we can. In this regard, article level evaluation is superior to IF derived evaluation, but is not the only solution, and there is a significant task ahead (and I think many opportunities for publishers and researchers) to make that process better and fairer.

New challenges, and criticisms


RP: You pointed out that F1000Research practises post-publication peer review. Some have criticised F1000 on the grounds that its approach to review tends to generate short, superficial reviews aimed at “approving” papers rather than “improving” them (which is one of the stated purposes of peer review). They also complain that since F1000Resarch has no equivalent to a deciding editor able to ensure that papers are corrected and improved after the review process, there is an inherent quality problem.

Indeed, Tim Vines has gone so far as to suggest that since the editorial process makes “‘approval’ the path of least resistance”, and since authors are charged a publishing fee, F1000Research “flirts with predatory OA status”. Should we treat views like this as no more than the expression of an understandable anxiety amongst incumbents fearful of the consequences of change, or does F1000’s post-publication review process introduce new challenges? If the latter, how does one address these challenges?

VT: You can look at the referee reports on F1000Research and see for yourself that they are detailed, critical, specific, and generally well written, largely due to the fact that the refereeing is fully transparent.

The referees are aware that their contribution is available for all to read, can be cited and criticised, and is written for authors to help to make the article better, rather than for an editor to decide which articles to reject.

Inappropriate approval, just as inappropriate rejection, can be openly criticised. The refereeing system in F1000Research works better than in any of the many journals I have published in the past. The largest group of articles published in F1000Research comes from some of the top research institutions.

RP: Phil Davis has suggested that papers posted on F1000Research that are not reviewed “will eventually be deleted from the system”. Is that correct? What percentage of papers do not attract reviews? Also, what happens if the authors of a paper do not address any of the issues raised during the review process, by amending their paper?

VT: Nothing will be deleted from the F1000Research site, but transparency of our process ensures that the reader can judge exactly everything that has happened to an article.

There is a very small number of articles for which the authors and we did not manage to get referees. There may be many reasons for this. We do not remove these or any other articles published on F1000Research.

If the authors decide they do not agree with some referee comments or decide they do not wish to revise their article, that is their choice. We have taken great care to ensure the reader is always very clear at what stage an article is at, view the latest referee comments, and see whether the article has been revised so they can judge for themselves accordingly.

You could say that our process is “author driven”, and authors decide how and when to respond to referees comments, knowing that everything will be visible and transparent to the reader.

RP: When you founded BioMed Central you formed a friendship with Harold Varmus. At the time he was director of the National Institutes of Health (NIH) and you helped encourage him to create PubMed Central (PMC). I believe you are also a friend of David Lipman, who is director of the National Center for Biotechnology Information (NCBI), and so responsible for PMC. In 2013, Kent Anderson — now publisher of Science — complained that when it asked to be included in PMC, F1000 was afforded “special treatment”. More recently, PubMed agreed to a new form of citation — the “dynamic citation” — in order to accommodate F1000’s post-publication review process. After making a number of FoI requests Anderson concluded that he had found evidence of what he called “cronyism and favouritism”, and that this demonstrated that the open access movement has “a core group of insiders running the main stage”.

Would you agree that open access has been driven by a small group of people (rather than by the research community at large), and that this has encouraged a degree of cronyism and favouritism, or should we view such criticism as the inevitable slings and arrows that any attempt at revolutionary change attracts?

VT: I have nothing sensible or interesting to say in response to this. OA is a broad movement and I am not involved in its politics.

RP: It seems to me that any changes made to the scholarly publishing process are inevitably designed around the needs of researchers in the developed world. As such, researchers in the developing world often face new obstacles and disadvantages. To what extent does F1000 consider the needs of researchers in the developing world when introducing new products and services? And how does it try to avoid disadvantaging them?

VT: I am not sure that “any changes made to the scholarly publishing process are inevitably designed around the needs of researchers in the developed world”. We try to help in the most obvious ways, like some other OA publishers, but in the end these are issues that need to be solved by international organisations and governments.

RP: Let me give you an example of how changes to scholarly publishing can lead to new problems for researchers in the developing world, even when those changes are intended to improve the situation for them. While the pay-to-publish model being offered by OA publishers may remove the accessibility problem for those in the developing world, in doing so it ends up discriminating against those without the necessary funds to pay to publish, who are disproportionately located in the developing world.

This means that while they will be free to read other scientists’ research, researchers in the developing world will struggle to publish their own work. (By the way, this is impacting even on researchers in wealthy US universities like UCLA). I understand some publishers offer waivers, but waivers can disappear overnight, and researchers tend to find them demeaning in any case — as Raghavendra Gadagkar pointed out in 2008. Do you have any regrets about having pioneered the APC model (a model you still use with F1000Research)?

VT: I do not have regrets (the benefits of OA are clear to all), but the problems you mention are real. They will need to be solved by a) significantly reducing the cost of publishing an article, and b) creating special funding for researchers with these types of problems (e.g. HINARI).

RP: How would you describe the current state of open access? What has been achieved? What still has to be done?

VT: I am not actively involved in the politics and the groups concerned with open access, though of course we would not publish any original research articles other than in a full open access way.

My sense is that open access has now established itself as being integral to the publishing industry, and in time will become the default way to publish research; however, it still has some way to go to succeed in fully reaching this goal.

All this is wrong but natural


RP: I understand your reluctance to wade into the often heated politics of open access. But you do make the point in the video you mention above that you were there at the very beginning of the open access movement, when you went to NIH and “proposed the idea that developed into open access”. Importantly, it was you (when you founded BMC) who pioneered the pay-to-publish business model that is fast becoming the dominant model for open access. As noted, this involves publishers levying a fee for publishing an article (i.e. pay-to-publish gold open access) in order to make it freely available on the Internet.

In an interview with ATG in 2002 you said, “Currently science publishers do not provide services that can remotely justify their charges”. You were referring to the traditional subscription system. At that time BMC’s APC was just $500 per paper (£322), and you said to ATG, “it will become cheaper as the costs involved go down until finally, I believe, it will be free.” Today, as traditional publishers transition their businesses to open access they are pricing their APCs at a level intended to preserve their historic revenues which, as you indicated, are generally exorbitant. As a result, many are now charging several thousand dollars per paper to publish open access.

Would you agree that in doing so they are continuing to charge fees that cannot remotely be justified? If so, can anything be done to bring these costs down, given that scholarly publishing does not appear to be subject to normal market forces?

VT: I agree that publishers are trying to maximise the income from the new Open Access way, and meeting surprisingly little price sensitivity from funders. The addition of extra charges to publish individual articles OA in subscription journal [hybrid OA] adds (I feel) a difficult to justify cost. All this is wrong, but natural. Publishers (like everyone else) will try to get as much as they can from the market.

Not all my expectations came true. The costs of publishing OA as it is done now are more than I expected, but in the scheme of things, it is not the costs (which are a small part of life science expenditure), but the method that journals operate that does most damage. The service we offer, because it removes the editorial choice step, can be much more efficient and is already less expensive, and will get less expensive with time, if it becomes broadly adopted.

In the end it is all in the hands of the payers (funders and institutions) to ensure that the process of communicating findings in science is effective, efficient and cost effective. OA is essential for allowing access and in that it is broadly successful.

RP: Do you think there might have been ways in which you, and the wider open access movement, might have prevented traditional publishers from appropriating open access in the way they appear to be doing? Do you see any strategic errors, or missed opportunities?

VT: The growth of OA in traditional publishing is a positive development. I very much hope in time all research publishing in life sciences will be OA and available to all without restrictions.

RP: Since you launched BMC in 2000 the open access movement has broadened into, and become a component part of, a wider open science movement. Would you agree, and if so how would you define this wider movement? What are its core components, and what is driving its development?

VT: I am not sure what different people mean by open science. We use this term to mean complete transparency across the publishing process: no delay in publishing, open and transparent post publication peer-review, and provision of relevant data with the published article in a form that can be practically used.

I do believe that journals in biology and medicine are responsible for many of the problems with the current way that research is published. I do not think science needs journals to make editorial decisions of what should and should not be published. I would like to see the end of journals and their replacement with services to authors, readers and institutions to make the communication of research findings more effective. That is what we hope to achieve with our new integrated service, F1000.

RP: F1000’s Community Strategy Manager Eva Amsen has suggested that, in addition to OA, open science encompasses open notebook science, citizen science, crowdfunding, open source software and open drug discovery. I guess one might wonder what role, if any, publishers have to play in these areas. However, when I spoke to you in 2005 you suggested that one possible future for publishers would be to create value-added databases.

In the event, I think it fair to say that with F1000 you have adopted a model more like the one you created in 1990 with the Current Opinion series of journals in medicine (subsequently sold to Thomson), rather than taking the value-added database route? Have your views on the future role of scholarly publishers changed in any way since 2005? If so, in what way?

VT: You can see F1000Prime as a value added database of recommendations by experts of the most interesting articles with the reasons for their choices.

I see the future for scholarly publishers in the world of open science as being service providers to the broader research community of researchers, institutions and funders. It is likely that the forms of communicating new findings will go beyond the traditional narrative article, and we publishers will need to respond quickly and effectively to these changes.

RP: Some OA advocates have come to believe that commercial publishers have no useful role to play in scholarly publishing. It is time, they say, for the research community to “take back ownership” of the process by which they share their research. I assume you do not agree with that, so can you say what you feel for-profit organisations like F1000 offer that the research community cannot provide for itself?

VT: We must offer services that the science community needs and cannot do itself. Anything the scientists can do themselves is desirable. We are changing from “publishers” to “service providers”, and our services will only be used when they are needed.

I do not see at this point an appetite by scientists to take over these tasks, which are different from doing research, require investment and expertise, and so morph into for-profit businesses. The example of PLoS is instructive — it was started by scientists, and it is now a very profitable business and (even though called “not for profit”) is in fact working hard to maintain profitability, and I think this is natural.

RP: Let me turn my last question around: While librarians have been the most vociferous supporters of open access they have proved strangely reluctant to practice what they preach. I wonder if perhaps they failed to think through the implications of open access. Essentially, they advocated for OA because they believed it would provide a solution to the serials crisis. But as I think we have agreed, the affordability problem has not gone away with open access. Perhaps there are other surprises in store for librarians? They will tell you that their role in the future will be to act as guides to published research, and organisers of this knowledge in discovery platforms of some sort. Others, however, argue that it will be entrepreneurs or established firms (EBSCO, ProQuest, OCLC etc.) that will provide the guidance that librarians expect to offer, and that this will free universities from the need to pay the salaries of librarians at every institution. After all, it could be argued that a publisher-provided subscription service offering a guide and filter for students or researchers would be a very cost-effective and responsive approach. It’s obviously not clear that such a service would actually work, but it is a possible future.

What are your views on this? Where, for instance, do you see academic libraries in ten years? Do librarians need to start viewing publishers as competitors rather than partners — which I think is the view of Lorcan Dempsey?

VT: I have no opinion on this, except to say that I am an admirer of most of the librarians I know, and of the profession in general. They have usually a clear grasp of what is happening and what is needed.

Politics and money


RP: Earlier, you said that you don’t get actively involved in the politics of open access. Nevertheless, you have acquired cult status within the OA movement. Traditional publishers also have (sometimes grudging) respect for you and what you have achieved. I suspect your reputation has been enhanced by what might appear to be an unworldly attitude on your part, along with what your former employee Daryl Rainer described as your “unusual management style”. When she asked you about the latter in the 2002 ATG interview I cited earlier you replied “I never look at spreadsheets and wouldn’t know how to interpret a balance sheet”. And speaking to me three years later you said that you were not particularly interested in money. As you put it, “I am perfectly happy not to have money, although it is nice to have it. What I enjoy is working with this group of people, and inventing new things; things that were not there before; and things that are both difficult to do and complicated.” Yet you have clearly made a lot of money from publishing.

Why do you appear unwilling to talk about the financial details? For instance, when Springer bought BioMed Central from you in 2008 the purchase price was not disclosed. Why was that? And are you able to say today how much Springer paid you for BMC?

VT: Nothing has changed in this respect since our last conversations.

RP: In my final question I want to return to the issue of politics. A couple of times you have said that you don’t get involved with the politics of open access. By that I guess you mean that you don’t engage with the many debates, discussions and factional groups within the open access movement. Nevertheless, you have been involved in the politics of open access in the more direct sense have you not?

For instance, you presumably endorsed (if you were not actively involved in) the approach that Jan Velterop (then Publisher of BioMed Central, a company that at the time you owned) made to the then Chairman of the UK House of Commons Science & Technology Committee Ian Gibson. As I understand it, Velterop had lunch with Gibson in order to persuade him to consider launching an enquiry into scientific publishing. This led to a dinner with David King (then Chief Scientific Adviser to the UK Government) and other interested parties in the House of Commons, which in turn led to the 2004 Inquiry into Scientific Publishing (to which you and Harold Varmus gave evidence). The subsequent report — Scientific Publications — Free for All? — is viewed as having been key to the success of open access. Is that not politics? And where you not involved in it?

VT: I was deeply involved in promoting OA in the early days when it was an essential and difficult task. But OA has established itself, and for many years now, while making sure anything I do is fully OA, I am not involved in the politics of it. 

RP: Ok, thank you for taking the time to consider my questions. Good luck in your future endeavours.