1. eIFL Open Access Workshop, Poznan, 21 September 2006 1 Study on the economic and technical evolution of the scientific publication markets in Europe Fran ç oise Vandooren Universit é libre de Bruxelles

2. eIFL Open Access Workshop, Poznan, 21 September 2006 2 Background Market analysis Alternative access models VAT Preservation Recommendations

3. eIFL Open Access Workshop, Poznan, 21 September 2006 3 Launched by EC DG Research, June 2004 Why? Dissemination and access to research results is a pillar in the development of the ERA It also consumes significant public funds Current public debate reveals worries about the current conditions of access and dissemination of scientific publications Aim of the study Assess evolutions Seek to identify measures at European level which could help improve the conditions governing access to and the exchange, dissemination and archiving of scientific publications.

4. eIFL Open Access Workshop, Poznan, 21 September 2006 4 Contractor Université Libre de Bruxelles (B) In collaboration with Université de Toulouse 1 (F) Multifaceted team : Economists from ECARES* and IDEI** *European Centre for Advanced Research in Economics and Statistics (ULB) **Institut d’Economie Industrielle (UT1) Information scientists from ULB and UT1 libraries

5. eIFL Open Access Workshop, Poznan, 21 September 2006 5 Methodology Literature survey Data collection for economic analysis Consultation of stakeholders

6. eIFL Open Access Workshop, Poznan, 21 September 2006 6 Market trends Many publishers in the market. Two big groups: For- profits (FP) and Not-for-profits (NFP), which include learned societies and university presses. Some big publishers have grown very fast, through: (i) new journal introduction; (ii) running journals from learned societies; (iii) mergers. No monopoly, rather oligopoly but : –Concentration in certain domains

7. eIFL Open Access Workshop, Poznan, 21 September 2006 7

8. 8 Prices and business models 1975-1995 : print journals Steep price increase 300% beyond inflation Library-pay subscription model 1995 -> transition to electronic journals Slower increase of prices but additional e-fees Still dominant library-pay model + library consortia + bundling strategies “Big Deal” New models: open access, author-pay

9. eIFL Open Access Workshop, Poznan, 21 September 2006 9 Price study of FP and NFP journals Economic analysis based on 2700 journals from ISI- JCR in 22 domains FP journals are 2.7 to 3 times more expensive than NFP journals for given domain, age and citation count NFP journals are more cited Highly cited journals are more expensive, and FP journals overcharge NFP wrt citations Large differences of prices across domains

10. eIFL Open Access Workshop, Poznan, 21 September 2006 10 Prices of FP and NFP journals: interpretation Large price differences are evidence of market power : Researchers really need access to whole stock of knowledge. Large differences in prices and positive link between prices and citations is evidence of value-based pricing rather than cost-based pricing

11. eIFL Open Access Workshop, Poznan, 21 September 2006 11 Business models in electronic era Bundling strategies Open access journals

12. eIFL Open Access Workshop, Poznan, 21 September 2006 12 Bundling strategies Selling licences to bundles of journals to library consortia + increased access for researchers and increase in usage - lack of price sensitivity of reader - lack of flexibility of contracts -Long term -Based on historical amount of print journals -Cancellation unattractive -Limits residual budget for other journals

13. eIFL Open Access Workshop, Poznan, 21 September 2006 13 Open Access journals +2300 full-text, quality controlled scientific and scholarly journals Sources of income: public funding, selling print subscriptions, author-pay Support by public authorities to develop portals providing free access to scholarly journals –Current issues; e.g. Japan J-STAGE 180 journals; Indian Academy of Sciences; Latin America SciELO >200 journals –Back issues; e.g. Persée in France -> question of visibility and accessibility of European research?

14. eIFL Open Access Workshop, Poznan, 21 September 2006 14 Open Access journals (2) Author-pay Pros: price sensitivity of the author, more price competition, better dissemination Cons: financing - ability to pay of the author Hybrid journals (Springer Open Choice, Blackwell Online Open, OUP Oxford Open, Elsevier physics journals)

15. eIFL Open Access Workshop, Poznan, 21 September 2006 15 Other open access alternatives: e-print archives or repositories Advantages: no barriers to access, enhanced visibility and accessibility may lead to higher citations Questions raised: disciplinary differences, quality of archived documents, copyright, costs, quantity Concerns expressed by publishers: open access might lead to journal cancellations and threaten the scholarly publishing system

16. eIFL Open Access Workshop, Poznan, 21 September 2006 16 Research funding bodies new access policies Articles arising from the funded research are to be openly and widely available, 6 to 12 months after publication, through deposit in open access e-print archives (or by being published in open access journals) –National Institutes of Health in US –Research Councils and Wellcome Trust in the UK –CERN in Switzerland, CNRS in France, DFG and MPG in Germany … Publishers’ reactions: respect embargo of up to a year

17. eIFL Open Access Workshop, Poznan, 21 September 2006 17 Alternatives: conclusions ICTs offer opportunities to develop new scholarly communication systems There is a role for funding bodies and universities in shaping models for publishing and communicating research results, e.g.: Require accessibility of research results in open access archives, adapted to research practices in different disciplines Promote new journal business models, i.e. provide funding for author publication costs Design rankings of “social responsibility” of scientific journals, next to citation counts, in terms of their contribution to good practices of efficient dissemination and preservation

18. eIFL Open Access Workshop, Poznan, 21 September 2006 18 VAT on electronic publications Situation in EU member states re VAT Reduced rates applicable to goods and services listed in Annex H -> OK for printed books, newspapers and periodicals -> not for electronically supplied services, incl. electronic publications -> differences across countries -> additional burden on library budget Tax refund: the Swedish case VAT is repaid by the state to universities and other organisations which do not themselves charge VAT

19. eIFL Open Access Workshop, Poznan, 21 September 2006 19 Perpetual access and preservation of electronic publications Permanent access to archives Access to previously licensed material: heterogeneity of contract provisions and additional cost Digitising print journals and providing online access to electronic archives: publishers’ platforms and third parties’ initiatives like JSTOR, PubMed Central, Persée… Preservation for the future Roles and responsibilities of the different actors on the market not yet clearly defined Legal deposit of electronic resources: legislations to be adapted Agreements with national libraries for publishers’ voluntary deposit Responsibility of public institutions requiring public-sector commitment and funding

20. eIFL Open Access Workshop, Poznan, 21 September 2006 20 Recommendations A. Access issues 1.Guarantee public access to publicly-funded research results shortly after publication 2.Aim at a “level-playing field” in terms of business models in publishing 3.Develop “extended quality” rankings of scientific journals 4.Guarantee perennial access to scholarly journal digital archives 5.Foster interoperable tools to improve knowledge visibility, accessibility and dissemination

21. eIFL Open Access Workshop, Poznan, 21 September 2006 21 Recommendations B. Market 1.Promote pro-competitive pricing strategies 2.Scrutinize future significant mergers 3.Promote the development of electronic publications –VAT –European SSH journals

22. eIFL Open Access Workshop, Poznan, 21 September 2006 22 Recommendations C. Follow up 1.Setting-up an advisory committee 2.Further investigations Copyright provisions Economic analysis of alternative forms of dissemination Technological developments

23. eIFL Open Access Workshop, Poznan, 21 September 2006 23 Thank you! The full report is available on http://ec.europa.eu/research/science-society/pdf/ scientific-publication-study_en.pdf