Open access potential and uptake in the context of Plan S – a partial gap analysis

Today we released the report Open access potential and uptake in the context of Plan S – a partial gap analysis, which aims to provide cOAlition S with initial quantitative and descriptive data on the availability and usage of various open access options in different fields and subdisciplines, and, as far as possible, their compliance with Plan S requirements. This work was commissioned on behalf of cOAlition S by the Dutch Research Council (NWO), a member of cOAlition S.

The reports builds on the work described in two of our 2018 posts: Towards a Plan S gap analysis? (1) Open access potential across disciplines and Towards a Plan S gap analysis? (2) Gold open access journals in WoS and DOAJ. The new report extends the methodology and range of data used, including more information on hybrid and green OA from Crossref, SHERPA/RoMEO, and Unpaywall directly Also, it provides more detail, with narrative sketches of publication cultures in 30 fields. In the appendix of the report, some other aspects of the open access landscape are addressed, such as journal size distribution and publisher types.

Uptake and potential of open access types in four main fields

Main results
Within the limitations of our approach using Web of Science (see below), the results show that in all main fields, including arts & humanities, over 75% of journals in our analysis do allow gold open access publishing. This currently consists predominantly of hybrid journals, which authors can only use in a Plan S compliant publishing route when the journal is part of a transformative arrangement or when authors also immediately share their article as green OA. The most striking result is the very large number of closed publications in hybrid journals, also given the fact that most of these journals do allow green open access.

Regarding licenses we find that a sizeable proportion (52%) of full gold OA journals already allow Plan S compliant licenses as well as copyright retention and importantly, that these journals are responsible for a large majority (78%) of articles published in full OA journals by cOAlition S fundees. Results on the green route to open access show that almost all hybrid journals and about half of the closed journals in our analysis do allow green OA archiving. In physical sciences & technology and life sciences & medicine, a 12 month embargo is most prevalent, with longer embargoes more common in social sciences and especially arts & humanities. At the same time, there are examples of journals with a 0 month embargo in all fields, and especially in social sciences these have a considerable share.

Overall, one could say that while there currently is limited compliance with the various Plan S requirements, there is huge variety among fields and at the same time also a lot of potential and opportunity.

Limitations of using Web of Science
We acknowledge the limitations of the report caused by using Web of Science as the sole source to identify cOAlition S-funded research output. The choice to use Web of Science relates to availability of funder information and field labels, that are essential in this analysis. However, apart from not being an open data source, relying on Web of Science inevitably introduces bias in disciplinary, geographical and language coverage, as well as in coverage of newer OA publication venues and many diamond OA venues. In this light, this report should be seen as a partial gap analysis only. In the appendix of the report, we provide an overview of characteristics of a number of other databases that influence their potential usage in analyses of OA options at funder or institutional level, as well as their coverage of social sciences and humanities specifically.

Feedback and next steps
The narrative sketches of a number of subdisciplines provided in the report are largely informed by the quantitative results of the report. It would be interesting to learn to what extent and how they reflect the image that researchers in these fields have of the availability and usage of open access options in their field, and how these are influenced by the publication culture in that field.

The report is intended as a first step: an exploration in methodology as much as in results. Subsequent interpretation (e.g. on fields where funder investment/action is needed) and decisions on next steps (e.g. on more complete and longitudinal monitoring of Plan S-compliant venues) is intentionally left to cOAlition S.

We want to thank our colleagues at Utrecht University Library for their contributions to this work. Any mistakes and omissions remain our responsibility.

The data underlying the report are shared at: https://doi.org/10.5281/zenodo.3549020

See also: press release by cOAlition S on the report.

Nine routes towards Plan S compliance – updated

by Jeroen Bosman & Bianca Kramer

Changes in Plan S compliant options as of May 31, 2019

On May 31, cOAlition-S, the group of funders responsible for Plan S, published the updated Plan S principles and implementation guidance, addressing feedback received during the public consultation period.  Based on these details we updated our scheme of nine routes towards compliance.

The information in the principles and guidance document involves some changes and additional details compared to the draft implementation guidance that was made public on November 27, 2018:

  • the option for cOAlition-S members to approve the use of the CC BY-ND license for individual articles
  • addition of transformative model agreements and transformative journals to the options for transformative arrangements that allow hybrid journals to be compliant
  • specification that funders can (but are not obliged to) financially contribute to transformative arrangements, up until 2024
  • removal of the requirement for transformative agreements to include a scenario for  subsequent full transformation to OA

Some of these  changes effect the compliant routes available. We hence made adaptations to the scheme and the list of routes. For each of the routes the scheme shows examples (please treat them as such), assessments of effects on various stakeholders and on overall cost and also whether the route aligns with expected changes in the evaluation system.

Other changes in the principles and implementation guidance do not have a direct effect on the possible routes, but do have the potential to  influence their feasibility and effects. These include the postponement of the formal commencement point of Plan S with one year to January 1 2021,  the relaxation of some of the requirements for repositories, requirements for transparency  of costs and prices, the stipulation that funders will only financially support transformative agreements after 1 of January 2021 where they adhere to the ESAC Guidelines and the elevation to the 10 principles of the commitment to revise evaluation criteria.

The routes

In our view it is useful to discern 4 potential gold routes, 1 hybrid route, 1 hybrid/green route and 3 potential green routes.

  1. Using existing or new APC-based gold journals / platforms.
  2. Using existing or new non-APC-based gold journals / platforms (a.k.a. diamond).
  3. Flipping journals to an APC-based gold model, by publishers or by editors taking the journal with them.
  4. Flipping journals to non-APC-based gold (diamond), by publishers or editors taking the journal with them.
  5. Using a hybrid journal that is part of a transformative (model) agreement with a funder, institution or consortium, or that is a transformative journal. Funders can choose to support this route financially until the end of 2024.
  6. Publishing your article open access and CC-BY(-SA) in a non-compliant hybrid journal and self-archiving that article in a compliant repository.
  7. Archiving the publisher version, on publication, with copyright retained and an open license.
  8. Archiving the accepted author manuscript, on publication, with copyright retained and an open license.
  9. Sharing preprints (e.g. in dedicated preprint archives) and using overlay journals for peer review.

Discuss

We hope this is valuable in supporting discussions or that it will at least provoke some comments. For the latter you can either use the comments function below, use Hypothesis or use the Google Slides version of the scheme.

The scheme (click to enlarge)

Nine routes towards PLan S compliance 20190531

Plan S feedback

Feedback on the guidance on the Implementation of Plan S by

Bianca Kramer https://orcid.org/0000-0002-5965-6560

Jeroen Bosman https://orcid.org/0000-0001-5796-2727

Dated 20190208

 

 

We have a few overall recommendations:

  • Improve on the why: make it more clear that Plan S is part of a broader transition towards open science and not only to make papers available and OA cheaper. It is part of changes to make science more efficient, reliable and reusable.
  • Plan S brings great potential, and with that also comes great responsibility for cOAlition S funders. From the start, plan S has been criticized for its perceived focus (in intent and/or expected effects) on APC-based OA publishing. In our reading, both the principles and the implementation guidance recognize for all forms of full OA publishing, including diamond OA and new forms of publishing like overlay journals. However, it will depend to no small extent on the actual recognition and support of non-APC based gold OA models by cOAlitionS funders whether plan S will indeed encourage such bibliodiversity and accompanying equity in publishing opportunities. Examples of initiatives to consider in this regard are OJS journal systems by PKP, Coko open source technology based initiatives, Open Library of Humanities, Scoap3, Free Journal Network, and also Scielo and Redalyc in Latin America.
  • The issue of evaluation and assessment is tied closely to the effects Plan S can or will have. It is up to cOAlitionS funders to take actionable steps to turn their commitment to fundamentally revise the incentive and reward system of science in line with DORA into practice, at the same time they are putting the Plan S principles into practice. The two can mutually support each other, as open access journals that also implement other open science criteria such as pre-registration, requirements for FAIR data and selection based on rigorous methodological criteria will facilitate evaluation based on research quality.  
  • Make sure to (also) provide Plan S in the form of one integrated document containing the why, the what and the how on one document. Currently it is too easy to overlook the why. That document should be openly licensed and shared in a reliable archive.
  • In the implementation document include a (graphical) timeline of changes and deadlines.

 

Looking at your first question for feedback (Is there anything unclear or are there any issues that have not been addressed by the guidance document?) we would like to bring a number of issues to your attention.

 

Feedback on article 2:

  • There is uncertainty over acceptance of overlay journals and generally journal external peer review systems. The implementation document lists as a basic requirement for journals and platforms that they are registered in DOAJ or applying for registration with DOAJ. The problem is that we are not sure whether DOAJ will list/accept non-journals peer review platforms or overlay journals. They do list SciPost physics, but Scipost considers itself a full fledged publication platform. We understand that it is the cOAlition’s intention to support this route, but as it is in some ways unchartered territory, it would be wise to specifically indicate how quality certification is done for non-journal venues

 

Feedback on article 8:

  • Acknowledging the resulting limits on potential (re)use, consider including an opt-out of the license requirements by accepting CC-BY-ND when requested, in order to increase support of humanities.

 

Feedback on article 9:

  • Acceptance of separation of publishing and peer review in 2 locations/systems.
    The implementation guidance text potentially casts some doubts about the eligibility of overlay journals when the publication (including any revisions following peer review) resides on e.g. a preprint server or repository, rather than being published on the overlay journal platform. In these cases, only the peer review is taken on by the overlay journal, and the article would of course be listed as being included in the overlay journal. In terms of the four traditional functions of publishing, the overlay journal would serve the functions of certification and dissemination, but not those of registration and archiving.
    Open Access platforms referred to in this section are publishing platforms for the original publication of research output (for example scholarly articles and conference proceedings). Platforms that merely serve to aggregate or re-publish content that has already been published elsewhere are not included. In this regard, it is also interesting to note that Jean-Sebastian Caux commented on our earlier version of the then-eight routes that he does not consider SciPost an overlay journal in that sense of the word, because SciPost does publish articles on its own platform (https://101innovations.wordpress.com/2018/10/22/eight-routes-towards-plan-s-compliance/#comment-203). A possible way to elucidate the intent of cOAlition S in this regard  might be to explicitly mention (perhaps added to the paragraph quoted above) that overlay journals taking on peer review and publishing the resulting articles are compliant, even when the articles themselves do not reside on the platform of the overlay journal. But this is indeed relatively uncharted territory.

 

Feedback on articles 9 and 10:

  • The are quite some (technical) requirements for journals and repositories. We would like to see cOAlition S to commit to support the implementation of those requirements by smaller (esp. non-APC-based) journals and repositories. This can be done by (financially) supporting technical solutions and co-organize training, materials (e.g. video) and meetings to help implementation.
  • The requirements for journals do not seem to apply to hybrid journals in transformative agreements. This creates the strange situation that a lot of hybrid journals will be held to much lower standards than full OA journals, platforms and repositories and do not have to invest until (in some cases, depending on agreement timing) 2025. To redress this to some extent, we would like to advise relaxation of the technical and other requirements mentioned in article 9.2 and 10.2  (XML, JATS (or equivalent), API, CC0 metadata incl. references, and transparent cost/prices) for instance until 2021 (instead of 2020).

 

Feedback on article 11:

  • It says now “COAlition S acknowledges existing transformative agreements. However, from 2020 onward, new agreements need to fulfil the following conditions to achieve compliance with Plan S”. There is a chance that by pre-2020 signing of long term contracts hybrid could remain compliant even after 2024. To avoid that we would change the wording to include a maximum running period length for existing (pre-2020) contracts to be acknowledged. E.g. change this into “COAlition S acknowledges existing transformative agreements with contract periods that do not go beyond 2022”.
  • We also recommend replacing ‘existing transformative agreements’ with ‘existing off-setting, read-and-publish and publish-and-read agreements’ to prevent confusion as to what is meant by ‘transformative agreements’.
  • It says now “The negotiated agreements need to include a scenario that describes how the publication venues will be converted to full Open Access after the contract expires.” To avoid leaving room for multiple interpretations of the flipping deadline we would change the phrasing in such a way that it is beyond any doubt what is meant exactly. (E.g. “at the moment the contract expires”, or “within a year after the contract expires”.)

 

 

Towards a Plan S gap analysis? (2) Gold open access journals in WoS and DOAJ

(NB this post is accompanied by a another post, on open access potential across disciplines, in the light of Plan S)

In our previous blogpost, we explored open access (OA)  potential (in terms of journals and publications) across disciplines, with an eye towards Plan S. For that exercise, we looked at a particular subset of journals, namely those included in Web of Science. We fully acknowledge this practical decision leads to limitation and bias in the results. In particular this concerns a bias against:

  • recently launched journals
  • non-traditional journal types
  • smaller journals not (yet) meeting the technical requirements of WoS
  • journals in languages other than English
  • journals from non-Western regions

To further explore this bias, and give context to the interpretation of results derived from looking at full gold OA journals in Web of Science only, we analyzed the inclusion of DOAJ journals in WoS per major discipline.

We also looked at the proportion of DOAJ journals (and articles/reviews therein) in different parts of the Web of Science Core Collection that we used: either in the Science Citation Index Expanded (SCIE) / Social Sciences Citation Index (SSCI) /Arts & Humanities Citation Index (AHCI), or in the Emerging Sources Citation Index (ESCI).

The Emerging Sources Citation Index contains a range of journals not (yet) indexed in the other citation indexes, including journals in emerging scientific fields and regional journals. It uses the same quality criteria for inclusion as the other citation indexes, notably: journals should be peer reviewed, follow ethical publishing practices, meet Web of Science’s technical requirements, and have English language bibliographic information. Journals also have to publish actively with current issues and articles posted regularly. Citation impact and a strict publication schedule is not a criterion for inclusion of journals in ESCI, which means that also newer journals can be part of ESCI. Journals in ESCI and the AHCI do not have a Clarivate impact factor.

Method
We compared the number of DOAJ journals in Web of Science to the total number of journals in DOAJ per discipline. For this, we made a mapping  of the LCC-classification used in DOAJ to the major disciplines used in Web of Science, combining Physical Sciences and Technology into one to get four major disciplines.

For a number of (sub)disciplines, we identified the number of full gold journals in Web of Science Core Collection, as well as the number of publications from 2017 (articles & reviews) in those journals. We also looked what proportion of these journals (and the publications therein) are listed in ESCI as opposed to SCIE/SSCI/AHCI. For subdisciplines in Web of Science, we identified 10 research areas in each major discipline with the highest number of articles & reviews in 2017. Web of Science makes use of data from Unpaywall for OA classification at article-level.

All data underlying this analysis are available on Zenodo: https://doi.org/10.5281/zenodo.1979937

Results

Looking at the total number of journals in DOAJ and the proportion thereof included in Web of Science (Fig 1, Table 1) shows that Web of Science covers only 32% of journals in DOAJ, and 66% of those are covered in ESCI. For Social Sciences and Humanities, the proportion of DOAJ journals included in WoS is only 20%, and >80% of these journals are covered in ESCI, not SSCI/AHCI. This means that only looking at WoS leaves out 60-80% of DOAJ journals (depending on discipline), and only looking at the ‘traditional’ citation indexes SCIE/SSCI/AHCI restricts this even further.

Gold all 0

Fig 1. Coverage of DOAJ journals in WoS

DOAJ-WoS table.png

Table 1. Coverage of DOAJ journals in WoS (percentages)

We then compared the the proportion of DOAJ journals covered in SCIE/SSCI/AHCI versus ESCI, to the proportion of publications in those journals in the two sets of citation indexes (Fig 3). This reveals that for Physical Sciences & Technology and for Life Sciences & Medicine, the majority of full gold OA articles in WoS is published in journals included in SCIE, indicating that journals in ESCI might predominantly be smaller, lower volume journals. For Social Sciences and for Humanities, however, journals in ESCI account for the majority of gold OA articles in WoS. This means that due to WoS indexing practices, a large proportion of gold OA articles in these disciplines is excluded when considering only what’s covered in SSCI and AHCI.

Gold all 1-2 large

Fig 2. Gold OA journals and publications in WoS

The overall patterns observed for the major disciplines can be explored more in detail when looking at subdisciplines (Fig 3). Here, some interesting differences between subdisciplines within a major discipline emerge.

  • In Physical Sciences and Technology, three subdisciplines (Engineering, Mathematics and Computer Sciences) have a large proportion of full OA journals that is covered in ESCI rather than SCIE, and especially for Engineering, these account for a sizeable part of full gold OA articles in that subdiscipline.
  • In Life Sciences and Biomedicine,  General and Internal Medicine seems to be an exception with both the largest proportion  of full OA journals in ESCI as well as the largest share of full gold OA publications coming from these journals. In contrast, in Cell Biology, virtually all full gold OA publications are from journals included in SCIE.
  • In Social Sciences, only in Psychology a majority of full gold OA publications is in journals covered in SSCI, even though for this discipline, as for all other in Social Sciences, the large majority of full gold OA journals is part of ESCI, not SSCI.
  • In Arts & Humanities the pattern seems to be consistent across subdisciplines, perhaps with the exception of Religion, which seems to have a relatively large proportion of articles in AHCI journals, and Architecture, where virtually all journals (and thus, publications) are in ESCI, not AHCI.

Gold PT 1-2 large
Gold LM 1-2 large
Gold SOC 1-2 large

Gold AH 1-2 large

Fig 3. Full gold OA journals and publications in Web of Science, per subdiscipline

Looking beyond traditional citation indexes

Our results clearly show that in all disciplines, the traditional citation indexes in WoS (SCIE, SSCI and AHCI) cover only a minority of existing full gold OA journals. Looking at publication behaviour, journals included in ESCI account for a large number of gold OA publications in many (sub)disciplines, especially in Social Sciences and Humanities. Especially in terms of an analysis of availability of full OA publication venues in the context of Plan S, it will be interesting to look closer at titles included in both SCIE/SSCI/AHCI and  ESCI per (sub)discipline and assess the relevance of these titles to different groups of researchers within that discipline (for instance by looking at publication volume, language, content from cOAlitions S or EU countries, readership/citations from cOAlition S or EU countries). Looking at publication venues beyond traditional citation indexes fits well with the ambition of Plan S funders to move away from evaluation based on journal prestige as measured by impact factors. It should also be kept in mind that ESCI marks but a small extension of coverage of full gold OA journals, compared to the large part of DOAJ journals that are not covered by WoS at all.

Encore: Plan S criteria for gold OA journals

So far, we have looked at coverage of all DOAJ journals, irrespective of whether they meet specific criteria of Plan S for publication in full OA journals and platforms, including copyright retention and CC-BY license*.

Analyzing data available through DOAJ (supplemented with our mapping to WoS major disciplines) shows that currently, 28% of DOAJ journals complies with these two criteria (Fig 4). That proportion is somewhat higher for Physical Sciences & Technology and Life Sciences & Medicine, and lower for Social Sciences & Humanities. It should be noted that when a journal allows multiple licenses (e.g. CC-BY and CC-BY-NC-ND), DOAJ includes only the most strict license in its journal list download. Therefore, the percentages shown here for compliant licensing are likely an underestimation. Furthermore, we want to emphasize that this analysis reflects the current situation, and thereby could also be thought of as pointing towards the potential of available full OA venues if publishers adapt their policies on copyright retention and licensing to align with criteria set out in Plan S.

Copyright criteria (CC-BY and copyright retention) of DOAJ journals_empty

Fig 4. Copyright criteria (CC-BY and copyright retention) of DOAJ journals

*The current implementation guidance also indicated that CC-BY-SA and CC0 would be acceptable. These have not been included in our analysis (yet).

Towards a Plan S gap analysis? (1) Open access potential across disciplines

(NB this post is accompanied by a second post on presence of full gold open access journals in Web of Science and DOAJ)

In the proposed implementation guidelines for Plan S, it has become clear there will be, for the coming years at least, three ways to open access (OA) that are compliant with Plan S:

  • publication in full open access journals and platforms
  • deposit in open access repositories of author accepted manuscript (AAM) or publisher version (VOR)
  • publishing in hybrid journals that are part of transformative agreements

Additional requirements concern copyright (copyright retention by authors or institutions), licensing (CC-BY, CC-BY-SA or CC0), embargo periods (no embargo’s) and technical requirements for open access journals, platforms and repositories.

In the discussion surrounding plan S, one of the issues that keeps coming back is how many publishing venues are currently compliant. Or, phrased differently, how many of their current publication venues researchers fear will no longer be available to them.

However, the current state should be regarded as a starting point, not the end point. As Plan S is meant to effect changes in the system of scholarly publication, it is important to look at the potential for moving towards compliance, both on the side of publishers as well as on the side of authors.

https://twitter.com/lteytelman/status/1067635233380429824

Method
To get a first indication as to what that potential for open access is across different disciplines, we looked at a particular subset of journals, namely those in Web of Science. For this first approach we chose Web of Science because of its multidisciplinary nature, because it covers both open and closed journals, because it has open access detection and because it offers subject categories and finally, because of its functionality in generating and exporting frequency tables of journal titles. We fully recognize the inevitable bias related to using Web of Science as source, and address this further below and in an accompanying blogpost.

For a number of (sub)disciplines, we identified the proportion of full gold, hybrid and closed journals in Web of Science, as well as the proportion of hybrid and closed journals that allows green open access by archiving AAM/VOR in repositories.  We also looked at the number of publications from 2017 (articles & reviews) that were actually made open access (or not) under each of these models.

Some methodological remarks:

  • We used the data available in Web of Science for OA classification at the article level. WoS uses Unpaywall data but imposes its own classification criteria:
    • DOAJ gold: article in journal included in DOAJ
    • hybrid: article in non-DOAJ journal, with CC-license
      (NB This excludes hybrid journals that use a publisher-specific license)
    • green: AAM or VOR in repository 
  • For journal classification we did not use a journal list, but we classified a journal as gold, hybrid and/or allowing green OA if at least one article from 2017 in that journal was classified as such. This method may underestimate:
    • journals allowing green OA in fields with long embargo’s (esp. A&H)
    • journals allowing hybrid or green OA if those journals have very low publication volumes (increasing the chance that a certain route is not used by any 2017 paper)
  • We only looked at green OA for closed articles, i.e. when articles were not also published OA in a gold or hybrid journal.
  • Specific plan S criteria are not (yet) taken into account in these data, i.e. copyright retention, CC-BY/CC-BY-SA/CC0 license, no embargo period (for green OA) and being part of transformative agreements (for hybrid journals)
  • For breakdown across (sub)disciplines, we used WoS research areas (which are assigned at the journal level). We combined Physical Sciences and Technology into one to get four major disciplines. In each major discipline, we identified 10 subdisciplines  with the highest number of articles & reviews in 2017 ((excluding ‘other topics’ and replacing Astronomy & Astrophysics for Mechanics because of specific interest in green OA in Astronomy & Astrophysics)
  • We used the full WoS Core collection available through our institution’s license, which includes the Science Citation Index Expanded (SCIE), the Social Sciences Citation Index (SSCI), the Arts & Humanities Citation Index (AHCI) and the Emerging Sources Citation Index (ESCI).

All data underlying this analysis are available on Zenodo:
https://doi.org/10.5281/zenodo.1979937

Results

As seen in Figure 1A-B, the proportion of full gold OA journals is relatively consistent  across major disciplines, as is the proportion of articles published in these journals. Both are between 15-20%. Despite a large proportion of hybrid journals in Physical Sciences & Technology and Life Sciences & Medicine, the actual proportion of articles published OA in hybrid journals is quite low in all disciplines. The majority of hybrid journals (except in Arts & Humanities) allow green OA, as do between 30-45% of closed journals (again except in Arts&Humanities). However, the actual proportion of green OA at the article level is much lower. As said, embargo periods (esp. those exceeding 12 months) might have an overall effect here, but the difference between potential and uptake remains striking.

https://101innovations.files.wordpress.com/2018/11/all1.png

All2

Fig 1A-B. OA classification of journals and publications (Web of Science, publication year 2017)

Looking at subdisciplines reveals interesting differences both in the availability of open access options and the proportion of articles & reviews using these options (Fig 2).

  • In Physical Sciences and Technology, the percentage of journals that is fully gold OA is quite low in most fields, with slightly higher levels in energy fuels, geology, optics and astronomy. Uptake of these journals is lower still, with only the optics and geology fields slightly higher. Hybrid journals are numerous in this discipline but see their gold and green open access options used quite infrequently. The use of green OA for closed journals, where allowed, is also limited, with the exception of astronomy.  (but note that green sharing of preprints is not included in this analysis). In all fields in this discipline over 25% of WoS indexed journals seem to have no open options at all. Of all subdisciplines in our analysis, those in the  physical sciences fields display the starkest contrast between the ample OA options and their limited usage.
  • In Life Sciences & Biomedicine, penetration of full gold OA journals  is higher than in Physical sciences, but with starker differences, ranging from very low levels in environmental science and molecular biochemistry to much higher levels for general internal medicine and agriculture. In the Life sciences and Biomedicine discipline, uptake of gold OA journals is quite good, again especially in general internal medicine. Availability of hybrid journals is quite high but their use is limited; exceptions are cell biology and cancer studies that do show high levels of open papers in hybrid journals. Green sharing is a clearly better than in Physical sciences, especially in fields like neurosciences, oncology and cell biology (likely also due to PMC / EuropePMC) but still quite low given the amount of journals allowing it.
  • In Social Sciences there is a large percentage of closed non-hybrid subscription journals, but many allow green OA sharing. Alas the uptake of that is limited, as far as detected using Unpaywall data. In this regard the one exception is psychology, with a somewhat higher level of green sharing. Hybrid OA publishing is available less often than in Physical Sciences or Life Sciences, but with relatively high shares in psychology, sociology, geography and public administration. The fields with the highest shares of full gold OA journals are education, linguistics, geography and communication, with usage of gold in Social Sciences more or less corresponding with full gold journal availability.
  • In Arts & Humanities, the most striking fact is the very large share of journals offering no open option at all. Like in Social Sciences, usage of gold across Humanities fields more or less corresponds with full gold journal availability. Hybrid options are limited and even more rarely used, except in philosophy fields. Green sharing options are already limited, but their use is even lower.

PT 1-2 large

LM 1-2 largeSOC 1-2 large

AH 1-2 large

Fig 2. OA classification of journals and publications in different subdisciplines (Web of Science, publication year 2017)

Increasing Plan-S compliant OA 

Taking these data as a starting point (and taking into account that the proportion of Plan S compliant OA will be lower than the proportions of OA shown here, both for journals and publications), there are a number of ways in which both publishers and authors can increase Plan S-compliant OA (see Fig 3):

  • adapt journal policies to make existing journals compliant
    (re: license, copyright retention, transitional agreements, 0 embargo)
  • create new journals/platforms or flip existing journals to full OA (preferably diamond OA)
  • encourage authors to make use of existing OA options (by mandates, OA funding (including for diamond OA) and changes in evaluation system)

We also made a more detailed analysis of nine possible routes towards plan S-compliance (including potential effects on various stakeholders) that might be of interest here.

Towards compliancy

Fig 3. Ways to increase Plan S-compliant OA

Towards a gap analysis? Some considerations

In their implementation guidance, cOAlition S states it will commission a gap analysis of Open Access journals/platforms to identify fields and disciplines where there is a need to increase their share. In doing so, we suggest it would be good to not only look at the share of currently existing gold OA journals/platforms, but view this in context of the potential to move towards plan S compliance, both on the side of publishers and authors. Filling any gaps could thus involve supporting new platforms, but also supporting flipping of hybrid/closed journals and supporting authors in making use of these options, or at least considering the effect of the latter two developments on the expected gap size(s).

Another consideration in determining gaps is whether to look at the full landscape of (Plan S-compliant) full gold journals and platforms, or whether to make a selection based on relevance or acceptability to plan S-funded authors, e.g.  by impact factor, by inclusion in an ‘accepted journal list’ (e.g. the Nordic list(s) or the ERA-list) or by other criteria. In our opinion, any such selection should be presented as an optional overlay/filter view, and preferably be based on criteria other than journal prestige, as this is exactly what cOAlition S wants to move away from in the assessment of research.  Some more neutral criteria that could be considered are:

    • Language: English and/or at least one EU language accepted?
    • Content from cOAlition S or EU countries?
    • Readership/citations from cOAlition S or EU countries?
    • Editorial board (partly) from cOAlition S or EU countries?
    • Volume (e.g. papers per annum)

Of course we ourselves already made a selection by using WoS, and we fully recognize this practical decision leads to limitation and bias in the results. For a further analysis of inclusion of DOAJ journals in WoS per discipline, as well as the proportion of DOAJ journals in ESCI vs SCIE/SSCI/AHCI, see the accompanying blogpost ‘Gold OA journals in WoS and DOAJ‘.

To further explore bias in coverage, there are also other journal lists that might be worthwhile to compare (e.g. ROAD, EZB, JournalTOCs, Scopus sources list). Another interesting initiative in this regard is the ISSN-GOLD-OA 2.0 list that provides a matching list of ISSN for Gold Open Access (OA) journals from DOAJ, ROAD, PubMed Central and the Open APC initiative. It is especially important to ensure that existing (and future) publishing platforms, diamond OA journals and overlay journals will be included in any analysis of gold OA publishing venues. One initiative in this area is the crowdsourced inventarisation of (sub)areas within mathematics where there is the most need for Fair Open Access journals.

There are multiple ways in which the rough analysis presented here could be taken further. First, a check on specific Plan S compliant criteria could be added, i.e. on CC-license type, copyright retention, embargo terms, and potentially on inclusion of hybrid journals in transitional agreement. Many of these (though not the latter) could be derived from existing data, e.g. in DOAJ and SherpaRomeo. Furthermore, an analysis such as this would ideally be based on fully open data. While not yet available in one interface that enables the required filtering, faceting and export functionality,  a combination of the following sources would be interesting to explore:

  • Unpaywall database (article, journal, publisher and repository info, OA detection)
  • LENS.org (article, journal, affiliation and funder info, integration with Unpaywall)
  • DOAJ (characteristics of full gold OA journals)
  • SherpaRomeo (embargo information)

Ultimately, this could result in an open database that would allow multiple views on the landscape of OA publication venues and the usage thereof, enabling policy makers, service providers (including publishers) and authors alike to make evidence-based decisions in OA publishing. We would welcome an open (funding) call from cOAlition S funders to get people together to think and work on this.

 

Nine routes towards Plan S compliance

by Jeroen Bosman & Bianca Kramer

NB Please note there is a separate, updated post based on the Plan S implementation document of May 2019

Changes in Plan S compliant options as of November 27, 2018

On October 22 we posted Eight routes towards Plan S compliance. Meanwhile, cOAlition-S, the group of funders responsible for Plan S, has put out a guidance document detailing  implementation of the plan. Based on those details we updated our scheme of routes to achieve compliance.

The information in the guidance document involves some changes and additional details compared to what was made public on September 4:

  • compliance of self archived (green) publications, with a few strict requirements (it has to be immediate, with copyright retained and with a CC-BY, CC-BY-SA or CC0 license)
  • compliance of hybrid journals if they are part of a transformative deal with maximum length of 3 years.
  • publications in mirror / sister type journals are not compliant
  • no cap (yet) on APC-levels

These and some other, smaller changes effect the compliant routes available. We have hence adapted the scheme and the list of routes. For each of the routes the scheme shows examples (please treat them as such), assessments of effects on various stakeholders and on overall cost and also whether the route aligns with expected changes in the evaluation system.

The routes

In our view it is useful to discern 4 potential gold routes, 1 (temporary) hybrid route, 1 hybrid/green route and 3 potential green routes.

  1. Using existing or new APC-based gold journals / platforms.
  2. Using existing or new non-APC-based gold journals / platforms (a.k.a. diamond).
  3. Flipping journals to an APC-based gold model, by publishers or by editors taking the journal with them.
  4. Flipping journals to non-APC-based gold (diamond), by publishers or editors taking the journal with them.
  5. Using a hybrid journal that is part of a transformative agreement with a funder or institution. This is a temporary option (until the end of 2024).
  6. Publishing your article open access and CC-BY in a non-compliant hybrid journal and self-archiving that article in a compliant repository.
  7. Archiving the publisher version, on publication, with copyright retained and an open license.
  8. Archiving the accepted author manuscript, on publication, with copyright retained and an open license.
  9. Sharing preprints (e.g. in dedicated preprint archives) and using overlay journals for peer review.

Discuss

We hope this is valuable in supporting discussions or that it will at least provoke some comments. For the latter you can either use the comments function below, use Hypothesis or use the Google Slides version of the scheme.

The scheme

Nine routes towards Plan S compliance

Eight routes towards Plan S compliance

by Jeroen Bosman & Bianca Kramer

[also see the update of this post (‘Nine routes towards Plan S compliance‘), published after the Plan S implementation guidance became available]  

Plan S

Much has already been said and written about Plan S, the initiative of a group of European research funders to drastically increase and speed up the transition to full open access. Instead of adding to that with statements on whether it is a good idea or on which elements we like and which we do not like, here we present and dissect eight possible routes towards compliance. For each of those routes the scheme shows examples (please treat them as such), assessments of effects on various stakeholders and on overall cost and also whether the route aligns with expected changes in the evaluation system.

The routes

In our view it is useful to discern 5 potential gold routes and 3 potential green routes.

  1. Using existing or new APC-based gold journals / platforms.
  2. Using existing or new non-APC-based gold journals / platforms (a.k.a. diamond).
  3. Flipping journals to an APC-based gold model, by publishers or by editors taking the journal with them.
  4. ‘Soft-flipping’ journals to APC gold (leaving subscription/hybrid intact): this means creating a APC-based full OA sister journal with same scope, editors, policies etc..
  5. Flipping journals to non-APC-based gold (diamond), by publishers or editors.
  6. Archiving the publisher version, on publication, with copyright retained and an open license.
  7. Archiving the accepted author manuscript, on publication, with copyright retained and an open license.
  8. Sharing preprints (e.g. in dedicated preprint archives) and using overlay journals for peer review.

Discuss

We hope this is valuable in supporting discussions or that it will at least provoke some comments. For the latter you can either use the comments function below, use Hypothesis or use the Google Slides version of the scheme.

The scheme

Scheme with characteristics of eight routes towards Plan S compliance