Fair Open Access Principles

I have been working for the last 18 months with a group of talented and committed people to accelerate conversion of subscription journals to open access. There are many barriers, and many pitfalls. For example, so-called “predatory” open access journals that take authors’ money and provide no quality control have gained considerable publicity and must be avoided. Large, inefficent and greedy commercial publishers have attempted to “double-dip” by introducing Hybrid OA. Otherwise well-run open access journals still have high publication charges.

Our aim is to avoid these problems by retaining community control of journals and adhering to high ethical standards. Here is a list of our basic principles, based on the original version introduced by LingOA. This list was developed after extensive discussion and some consultation with other OA advocates such as Peter Suber and Marie Farge. We hope it will be useful in delineating what we see as the ideal way to publish journals. This is not to say that all other ways are necessarily “unfair”, of course, although some of them clearly are!

The Fair Open Access Principles

  1. The journal has a transparent ownership structure, and is controlled by and responsive to the scholarly community.
  2. Authors of articles in the journal retain copyright.
  3. All articles are published open access and an explicit open access licence is used.
  4. Submission and publication is not conditional in any way on the payment of a fee from the author or its employing institution, or on membership of an institution or society.
  5. Any fees paid on behalf of the journal to publishers are low, transparent, and in proportion to the work carried out.

Clarification notes:

  1. This could be ownership by an editorial board, or by a democratically controlled scholarly society, for example. Key points are that the controlling organization, not a commercial publisher, must own the journal title, so that a change of service provider can be achieved without changing the title, and so publishing companies simply compete to offer services to the journal. We strongly recommend that the ownership structure allow for democratic input by the community of readers, authors and referees, in addition to editors, and that procedures for making key decisions about the journal’s future be formally (even legally) specified. We strongly recommend that the governing organization be fully nonprofit (for example, IRS 501 (c) (3) in USA). A for-profit company accountable only to shareholders is not compatible with Principle 1.
  2. The  journals and their publishing house can still propose, among their services, to take care of possible legal issues pertaining to copyright on the author’s behalf, under the author’s oversight. We strongly recommend that reviewers also retain copyright of their reviews, and journals retain ownership of all correspondence and mailing lists compiled on the electronic submission system put at their disposal by the publisher.
  3. Any form of subscription paywall is unacceptable, including “hybrid OA”. We  strongly recommend that the industry standard CC-By licence be used. All content of the journal should be easily accessible from the journal website to anyone with a standard internet connection.
  4. The key idea is that journals be “free at the point of use” by authors and readers. Principle 3 deals with readers and Principle 4 with authors. Compulsory APCs (article publication charges) are not compatible with this principle. Journals should ideally be funded by general contributions from universities and research funders, with these contributions not tied to individual articles or groups of authors. Principle 4 is not compatible with “APC Big Deals”, whereby institutions pay for APCs of their employees but do not contribute to a general fund. Also not compatible is the practice of charging APCs by default to the author’s institution, with waivers for authors who do not have institutional funds. The principle does not preclude voluntary APCs, but requests for these must be unobtrusive and no barrier to publication. APCs must be “opt-in”, never “opt-out”.
  5. “Low” depends on the particulars of each journal, but we strongly recommend an absolute maximum of $1000 per article published or $50 per page for the total expense of any journal, and substantially lower fees in all possible cases. We recommend that an itemized price structure be made public in order to ensure transparency and make the proportionality principle apparent.

 

A rant about Lufthansa

Apologies, a rant is required. I just swore at someone on the phone, which is quite a rare occurrence. Read on to see why, if you dare.

Lufthansa is by far the worst airline I have ever had the misfortune to deal with (I haven’t flown on anything really unsafe, of course, but have flown in Iran on a Tupolev). Not only is their in-flight service embarrassingly behind my usual carriers such as Emirates, Singapore, Air New Zealand, their customer service is a joke. My wife has flown them twice in the last year.

Example 1: The first time she bought an in-class upgrade in order to make a further upgrade using Mileage Plus miles. Then was told that the upgrade was not possible. Nor was a refund and in-class downgrade. She flew in the same seat as before, and after 10 months they have offered to refund 20% of the cost, but still haven’t done it more than 3 weeks after asking for bank details. Each time I enquired it took weeks or months to get an email reply.

Example 2: She was denied boarding for LAX-Munich on a trip from Auckland to Europe (because of a newly enforced rule on passport validity that was not picked up at Auckland), and the other 5 legs of the trip were then cancelled. She had to buy a 1-way ticket home. Note that because my wife never made it to her invited conference talk, she doesn’t want to ask the organizers for any money, and they probably think she is being refunded by the airline. The original was bought through Expedia. After hours talking to Expedia we have been told that Lufthansa will within a few days let us know how much they will refund, and then it will take 10 weeks for a refund. I asked Expedia to transfer me to Lufthansa in order to discuss the extra costs incurred that were not on the ticket. The LH staff member told me this number is not for customers, only travel agents. She refused to give me any contact numbers other than the general US 1-800 number. Not wanting to start all over again and failing to convince her with reasoned argument I yelled and hung up.

I don’t want to make too many jokes about Germans, but there is some really stereotypical behaviour going on here. Is customer service, or basic human flexibility, such as difficult concept to grasp?

I strongly urge anyone reading this to avoid Lufthansa if possible. Other tips – never buy your own ticket if it is supposed to be reimbursed by others, get them to buy it directly; make sure your passport has 3 months validity past the end of your stay in Schengen area. And maybe consider cancellation insurance!

What happens to journals that break away?

Although it is still a relatively rare occurrence, several journal boards have broken away from large commercial publishers. A good list is at the Open Access Directory. These journals usually are required to change their name, because the previous publisher will not relinquish it. They are cut off from the enormous support provided by large commercial publishers (after all their subscription prices are so high, the money is surely being put back into developing better infrastructure, rather than, say enriching shareholders, giving inflated honoraria to editors or paying inefficient support staff). Thus one might expect that these journals would struggle.

I looked at the fortunes of the mathematics journals that have taken this route. Below I list the original title name, the approximate date of the breakaway, the new title and publisher, and citation impact measures taken from 2014 data at eigenfactor.org, and compare them to the results for the original journal. Those measures are EF (size-dependent measure of importance) and AI (analogous to Impact Factor, but based on the same kind of reasoning as underlies PageRank – not all citations are equal). Each has a maximum value of 100. These are of course not the only measures one could use. I also list CE, the 2013 cost-effectiveness rating from journalprices.com (essentially, subscription cost per citation) – the smaller the better.

Old: Journal of Logic Programming (Elsevier), changed name more than once to Journal of Logical and Algebraic Methods in Programming, still publishing, EF = 0, AI = 0, CE = 84.73
New: (1999) Theory and Practice of Logic Programming (Cambridge), EF = 31, AI = 40, 42.33

Old: Machine Learning (Springer), EF = 77, AI = 92, CE = 27.01
New: (2001) Journal of Machine Learning Research (diamond OA), EF = 94, AI = 97, CE = 0.0

Old: Topology and Its Applications (Elsevier), still publishing, EF = 78, AI = 33, CE = 32.34
New: (2001) Algebraic and Geometric Topology (Math Sciences Press), EF = 77, AI = 77, CE = 3.67

EDIT: I received email from Alex Scorpan saying: “The facts are that AGT was born by splitting off from “Geometry & Topology”. The resignation of the board of “Topology and its Applications” may have occurred at the same time, may have involved people on the board of AGT, and may have involved the same ethos that moved the founders of GT and AGT, but otherwise the two events are not connected.” Alex has edited the OAD wiki to fix this. I haven’t looked into the question any further.

Old: Journal of Algorithms (Elsevier), stopped publishing after 6-7 years.
New: (2003) Transactions on Algorithms (ACM), EF = 60, AI = 76, CE = 5.57

Old: Topology (Elsevier), stopped publishing after 6 years
New: (2006) Journal of Topology (Oxford), EF = 70, AI = 93, CE = 39.24

Old: K-Theory (Springer), stopped publishing very soon, and archives disappeared.
New: (2007) Annals of K-Theory (Math Sciences Press) (after an intermediate change to Journal of K-Theory (Cambridge), EF = 59, AI = 79, CE = 102.47), too new for EF, AI

Old: Journal of Philosophical Logic (Springer), still publishing, no EF, AI or CE listed (the website lists only “interim editors”)
New: (2007) Review of Symbolic Logic (Cambridge) EF = 35, AI = 49, CE = 222.58

It seems clear that the new journals are doing considerably better than the old ones overall. I wonder whether the idea often touted by radical leftist OA advocates that large commercial publishers don’t add much value could have a grain of truth in it.

A blockage cleared

After a very long time, some (revised versions of) papers have emerged, two on distance rationalizability of voting rules with Benjamin Hadjibeyli, one on signed networks with Samin Aref, and one on “wisdom of crowds” with Patrick Girard and Valery Pavlov.

There is a long list of things still to do, but this is a big relief. These papers had gone through substantial revisions and years of work in some cases. There is also a recent paper on legislation networks with Neda Sakhaee and Golbon Zakeri.

My papers can always be found on my publications page.

Otello

I saw a concert version of this tonight with Simon O’Neill in the title role. While the plot is quite weird and distasteful in places, the orchestra and singing were excellent. I saw Simon O’Neill in 1997 (I think) in a small role in the play Master Class in Auckland. He has certainly gone up in the world!

COMSOC 2016

I attended this biennial meeting for the fourth consecutive time. Attendance in Toulouse was substantially larger than previously. Organization was excellently led by Umberto Grandi.

Toulouse was busy with tourists augmented by fans of Euro 2016 football teams and evenings were very noisy downtown. The city seems like a pleasant, slightly provincial place.

There were many interesting talks but I find it hard to maintain concentration. The poster sessions were surprisingly interesting and perhaps in future there should be much more time spent on these, and shorter talks given.

We have met the enemy, part 2: clueless authors

In recent discussions, an editor-in-chief of an Elsevier journal made the assertion that there is no point in going through the hassle of switching to an open access publishing option, because authors are allowed to post the final accepted version (“postprint”) publicly, for example at arXiv.org.

Ignoring the rather cavalier attitude to readers (what if the author doesn’t bother to do it?) and the tacit admission that journals serve no real purpose other than (possible) post-publication peer review improvements and giving a 0-1 quality stamp, let us focus on the authors.

After all the hard work involved in writing and paper and having it accepted, few authors relish the extra work involved in ensuring that the readership of the paper is maximized. But this is a very small amount of work in comparison to the total for the project. Uploading to arXiv takes only a few minutes, and there are plenty of other venues with similarly low overhead (institutional repositories, sites like ResearchGate (if ethically acceptable to the author), and other subject repositories). Even putting the postprint on a personal webpage is better than nothing.

Yet despite the ease of making their work available, a large fraction of authors simply don’t do it. In 2011 Kristine Fowler surveyed mathematicians’ views on various issues (the linked article is well worth reading) and found that only about half of authors practise self-archiving (some publish in open access journals but this is relatively rare). She lists several other barriers to self-archiving found in previous studies: lack of time, not regarding it as an important dissemination venue, concerns about copyright, publishers’ attitudes, the quality of the archive, inadvertent changes to the work, and the deposit procedure.

Fowler’s survey also discusses author rights. The results are remarkable to me, two striking quotes being:

Several open-ended comments indicate that some mathematicians do not know or do not care about author rights issues: “I don’t usually think much about this aspect of publishing” and “I have to say that I generally just ignore any associated author rights and do what I like with my paper.”

and

… only 16% of mathematics authors (91 respondents) report having tried to improve the terms of publication, whereas most have signed a publisher-provided author agreement, either before (27%) or after (59%) reading it (participants could report more than one action). Among those who have negotiated with publishers to retain more author rights, 92% report they are usually or always successful.

So: my working hypothesis is that a sadly large fraction of my colleagues just don’t think it is important to ensure that their work is available to read, use excuses for inaction, and are happy to live up to the stereotype of the unworldly academic. For me, this is unacceptable.

Renee Wilson RIP

My mother died 2016-02-02 after a fairly short battle with cancer. Although aged nearly 82 she was very energetic and this was a big shock to all who knew her. It is a strange feeling when someone you thought would be around forever leaves so early. I have a memorial website to which anyone reading this who knew her should ask me for the link.

Being orphaned in middle age is much better than earlier, but still tough to handle.