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Scholarly Publishing & Academic Resources Coalitionan initiative of the Association of Research Libraries
Business PlanningFor
Open Access JournalsOpen Access Scholarly
Communication WorkshopVilnius, Lithuania • February 21-22, 2005
Raym Crow • SPARC Consulting Group
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What We’ll Cover
Impetus for open access
Alternative digital publishing channels
Starting a new open access journal
Converting an existing journal
Business models
Resources
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What is Open Access?
Free availability on the public Internet
Research literature that scholars produce without expectation of payment
An access model, not a business model
Requires alternative business models to replace subscription-based models
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Scholarly Publishing SystemScholarly Publishing System
Impetus for Open Access
Journals price crisisMarket pressures on publishers
Enabling Technologies
Journals price crisisMarket pressures on publishers
Enabling Technologies
Benefits to scientists & scholarsSocietal benefits
Benefits to scientists & scholarsSocietal benefits
User-driven pressure
User-driven pressure
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Impetus for Open Access
Scholarly Publishing SystemScholarly Publishing System
Regulatory & policy changesMarket pressures on publishers
Enabling digital technologies
Regulatory & policy changesMarket pressures on publishers
Enabling digital technologies
Benefits to scientists & scholarsSocietal benefits
Benefits to scientists & scholarsSocietal benefits
Market pressure
Market pressure
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Integrated Publishing System
Scholarly publishing comprises four functions:
Current model: integrates these functions in journals
J O U R N A L
ARCHIVINGPreserving research
for future use
AWARENESSAssuring
accessibility of research
CERTIFICATIONCertifying the quality/validity of the research
REGISTRATIONEstablishing intellectual
priority
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Disaggregated Publishing System
Scholarly publishing comprises four functions:
Disaggregated models: Allow functions to be fulfilled independently – by
logically discrete, networked service providers Reveal that academy contributes most of value Lower costs by increasing market efficiency
ARCHIVINGPreserving research
for future use
AWARENESSAssuring
accessibility of research
CERTIFICATIONCertifying the quality/validity of the research
REGISTRATIONEstablishing intellectual
priority
Academic Publishing Value Chain: Functions & Components
Function Component
Capital Investment
Acquisition/Editorial selection
Peer Review/Certification
Substantive Editing
Metadata Creation
Marketing/Promotion/Awareness
Sales
Prepress/Composition/Formatting-Tagging
Print/Print-on-Demand
Fulfillment/Rights Management/DRM
Digital Dissemination/Hosting
Arc
hiv
ing
Digital Archiving/Preservation
Reg
istr
atio
n &
Cer
tifi
cation
Publication/Editorial Management
Aw
aren
ess
Copyediting
Academic Publishing Value Chain—Agents by FunctionFunction Component
Capital Investment
Acquisition/Editorial selection
Peer Review/Certification
Substantive Editing
Metadata Creation
Marketing/Promotion/Awareness
Sales
Prepress/Composition/Formatting-Tagging
Print/Print-on-Demand
Fulfillment/Rights Management/DRM
Digital Dissemination/Hosting
Arc
hiv
ing
Digital Archiving/Preservation
AgentsA
war
enes
sR
egis
trat
ion &
Cer
tifi
cation
Copyediting
Publication/Editorial Management
Un
ivers
ity P
resses
Aca
dem
y &
Soci
ety
Pu
blish
ers
Dig
ital A
rtic
le
Rep
osit
ori
es
Insti
tuti
on
al R
ep
osit
ori
es
Com
merc
ial P
ublish
ers
Op
en
Acc
ess P
ublish
ers
Aca
dem
y-s
pon
sore
d D
igit
al P
ub
lish
ing
Pla
tform
s
Dis
cip
lin
e-s
peci
fic
Dig
ital P
ub
lish
ing
Pla
tform
s
Dis
cip
lin
e-s
peci
fic
Pre
pri
nt/
Art
icle
Rep
osit
ori
es
Dig
ital M
on
og
rap
h R
ep
osit
ori
es
Guilds
Sch
ools
/Depts
Overl
ays,
Su
bje
ct F
ron
ts
External Funding Sources
Com
ml P
ub
lish
ing
Pla
tform
s
Nati
on
al D
igit
al
Arc
hiv
es
Dig
ital
Ag
gre
gato
rs
Su
bn
Ag
en
ts
Sch
ools
/D
ep
ts
Soci
eti
es
Researc
h
Insti
tute
s
Jnl
Mgt
Aca
dem
ies
PO
D
Function Component
Capital Investment
Acquisition/Editorial selection
Peer Review/Certification
Substantive Editing
Metadata Creation
Marketing/Promotion/Awareness
Sales
Prepress/Composition/Formatting-Tagging
Print/Print-on-Demand
Fulfillment/Rights Management/DRM
Digital Dissemination/Hosting
Arc
hiv
ing
Digital Archiving/Preservation
AgentsR
egis
trat
ion &
Cer
tifi
cation
Publication/Editorial Management
Aw
aren
ess
Copyediting
Un
ivers
ity P
resses
Socie
ty P
ub
lish
ers
Dig
ital A
rtic
le
Rep
osit
ori
es
Insti
tuti
on
al R
ep
osit
ori
es
Com
merc
ial P
ub
lish
ers
Op
en
Access P
ub
lish
ers
Acad
em
y-s
pon
sore
d D
igit
al P
ub
lish
ing
Pla
tform
s
Dis
cip
lin
e-s
pecifi
c D
igit
al P
ub
lish
ing
Pla
tform
s
Dis
cip
lin
e-s
pecifi
c P
rep
rin
t/A
rtic
le R
ep
osit
ori
es
Dig
ital M
on
og
rap
h R
ep
osit
ori
es
Guilds
Overl
ays,
Su
bje
ct
Fro
nts
External Funding Sources
Com
ml P
ub
lish
ing
Pla
tform
s
Nati
on
al D
igit
al
Arc
hiv
es
Dig
ital
Ag
gre
gato
rs
Su
bn
Ag
en
ts
Sch
ools
/D
ep
ts
Socie
ties
Researc
h
Insti
tute
s
Jnl
Mg
t
University ePresses (e.g., ANU); Nat'l Academies Press; BioMed Central;
Biological Procedures Online; PLoS
CDL; EPIC; GAP; HighWire; Igitur; I thaka; Public Knowledge Project;
Scholarly Publishing Office; SciELO;
SciX Project
AnthroSource; Bioline Int'l; BioOne; BPO; Euclid; Project
Muse; Scientific World
Su
bje
ct/
Fie
ld
PO
D
Function Component
Capital Investment
Acquisition/Editorial selection
Peer Review/Certification
Substantive Editing
Metadata Creation
Marketing/Promotion/Awareness
Sales
Prepress/Composition/Formatting-Tagging
Print/Print-on-Demand
Fulfillment/Rights Management/DRM
Digital Dissemination/Hosting
Arc
hiv
ing
Digital Archiving/Preservation
Agents
Reg
istr
atio
n &
Cer
tifi
cation
Publication/Editorial Management
Aw
aren
ess
Copyediting
Un
ivers
ity P
resses
Socie
ty P
ub
lish
ers
Dig
ital A
rtic
le
Rep
osit
ori
es
Insti
tuti
on
al R
ep
osit
ori
es
Com
merc
ial P
ub
lish
ers
Op
en
Access P
ub
lish
ers
Acad
em
y-s
pon
sore
d D
igit
al P
ub
lish
ing
Pla
tform
s
Dis
cip
lin
e-s
pecifi
c D
igit
al P
ub
lish
ing
Pla
tform
s
Dis
cip
lin
e-s
pecifi
c P
rep
rin
t/A
rtic
le R
ep
osit
ori
es
Dig
ital M
on
og
rap
h R
ep
osit
ori
es
Guilds
Overl
ays,
Su
bje
ct
Fro
nts
External Funding Sources
Com
ml P
ub
lish
ing
Pla
tform
s
Nati
on
al D
igit
al
Arc
hiv
es
Dig
ital
Ag
gre
gato
rs
Su
bn
Ag
en
ts
Sch
ools
/D
ep
ts
Socie
ties
Researc
h
Insti
tute
s
Jnl
Mg
t
ArXiv fronts; G&T; Apps of Superconductivity;
weblogs
ArXiv; RePEc; NCSTRL; CogPrints
ARROW; CDL; DSpace Federation; DARE;
SHERPA; etc.
Su
bje
ct/
Fie
ld
PO
D
(One) Articulated Publishing RouteFunction Component
Capital Investment
Peer Review/Certification
Substantive Editing
Copyediting
Metadata Creation
Marketing/Promotion/Awareness
Sales
Prepress/Composition/Formatting-Tagging
Print/Print-on-Demand
Fulfillment/Rights Management/DRM
Digital Dissemination/Hosting
Arc
hiv
ing
Digital Archiving/Preservation
Agents
Publication/Editorial Management
Acquisition/Editorial selection
Reg
istr
ati
on
&
Cert
ificati
on
Aw
are
ness
University Press
I nstitutional Repository
Digital Publishing Service
Direct Funding
Society Editorial
Board
POD
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Starting a New Journal
Market demandAuthors & readers
Barriers to market entryAttracting authorsEstablishing prestige
Regular publication schedule Marketing & awareness
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Starting a New Journal
Market demandAuthors & readers
Barriers to market entryAttracting authorsEstablishing prestige
Regular publication schedule Marketing & awareness
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Starting a New Journal
Market demandAuthors & readers
Barriers to market entryAttracting authorsEstablishing prestige
Regular publication schedule Marketing & awareness
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Starting a New Journal
Market demandAuthors & readers
Barriers to market entryAttracting authorsEstablishing prestige
Regular publication schedule Marketing & awareness
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New Journal Business Planning
Charter or articles of incorporationNonprofit legal entityArticulates mission
BylawsSupport continuity
Financial projection/P&L IncomeCosts In-kind contributions
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New Journal Business Planning
Charter or articles of incorporationNonprofit legal entityArticulates mission
BylawsSupport continuity
Financial projection/P&L IncomeCosts In-kind contributions
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New Journal Business Planning
Charter or articles of incorporationNonprofit legal entityArticulates mission
BylawsSupport continuity
Financial projection/P&LIncomeCostsIn-kind contributions
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Conversion Issues
Innate conservatism Immutability of current structure
Organizational & financial goals Increased emphasis on earned income
Need for active vs. passive modelPublishers don’t sell—libraries buy
Lack of resources for change Insufficient staff & skills
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Conversion Issues
Innate conservatismImmutability of current structure
Organizational & financial goals Increased emphasis on earned income
Need for active vs. passive modelPublishers don’t sell—libraries buy
Lack of resources for change Insufficient staff & skills
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Conversion Issues
Innate conservatism Immutability of current structure
Organizational & financial goalsIncreased emphasis on earned income
Need for active vs. passive modelPublishers don’t sell—libraries buy
Lack of resources for change Insufficient staff & skills
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Conversion Issues
Innate conservatism Immutability of current structure
Organizational & financial goals Increased emphasis on earned income
Need for active vs. passive modelPublishers don’t sell—libraries buy
Lack of resources for change Insufficient staff & skills
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Conversion Issues
Innate conservatism Immutability of current structure
Organizational & financial goals Increased emphasis on earned income
Need for active vs. passive modelPublishers don’t sell—libraries buy
Lack of resources for changeInsufficient staff & skills
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Converting Journal Planning
Financial requirements & statusBreakeven, surplus—or subsidyCurrent performance & over timeChange in cost structure
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Converting Journal Planning
Financial requirements & statusBreakeven, surplus—or subsidyCurrent performance & over timeChange in cost structure
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Converting Journal Planning
Financial requirements & statusBreakeven, surplus—or subsidyCurrent performance & over timeChange in cost structure
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Converting Journal Planning
Other model indicators & variablesExchange program issuesExisting electronic versionDemand for print editionMember subscription benefitSelf-published vs. contracted
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Converting Journal Planning
Other model indicators & variablesExchange program issuesExisting electronic versionDemand for print editionMember subscription benefitSelf-published vs. contracted
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Converting Journal Planning
Other model indicators & variablesExchange program issuesExisting electronic versionDemand for print editionMember subscription benefitSelf-published vs. contracted
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Converting Journal Planning
Other model indicators & variablesExchange program issuesExisting electronic versionDemand for print editionMember subscription benefitSelf-published vs. contracted
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Converting Journal Planning
Other model indicators & variablesExchange program issuesExisting electronic versionDemand for print editionMember subscription benefitSelf-published vs. contracted
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Alternative Business Models
Self-generated income
Input fees Publication charges or article
processing fees Institutional memberships Digital off-print sales
Affinity relationships Sponsorships Advertising
Alternative distributors Convenience-format licenses or
distributor format fee
Related products & services Journal off-line media sales Differentiated offerings
Electronic marketplace Contextual e-commerce Community marketplace
Subsidies
Internal subsidies Dues allocations
Grants and contributions Foundation grants Institutional grants & subsidies Government grants Gifts & fundraising In-kind contributions
Partnerships/Twinning
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Alternative Business Models
Self-generated income
Input fees Publication charges or article
processing fees Institutional memberships Digital off-print sales
Affinity relationships Sponsorships Advertising
Alternative distributors Convenience-format licenses or
distributor format fee
Related products & services Journal off-line media sales Differentiated offerings
Electronic marketplace Contextual e-commerce Community marketplace
Subsidies
Internal subsidies Dues allocations
Grants and contributions Foundation grants Institutional grants & subsidies Government grants Gifts & fundraising In-kind contributions
Partnerships/Twinning
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Business Model Caveats
Hybrid models often required Discipline- and market-specific Models depend on income hurdle Partial inventory
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Input Fees
Article publication fees—Author proxy pays to subsidize publication Rationale—authors & institutions benefitDiscipline-specific—requires existing
practiceFee amount reflects cost basisExamples: BioMed Central, PLoS
Input Fees
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Input Fees
Discretionary Open Access—Fee secures Open Access—otherwise gated Allows transition over time
Compliance increases as benefits demonstratedSubscription price decreases with compliance
Positioned as offprint equivalentExamples: ASLO, Company of Biologists,
ESA, NAS, OUP, Springer
Input Fees
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Input Fees
Institutional Memberships—Institution pre-pays publication fees for researchers Examples: BioMed Central, PLoS, PNAS
Open Society Institute, Wellcome Trust, JISC, Max Planck, INSERM & CNRS
Input Fees
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Input Fees
Advertising—Extends broadcast media model For journals providing channel to specialized
audience Impression & pay-for-performanceSeldom primary modelExamples: BMC has full ad program
Affinity Relationships
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Input Fees
Sponsorship—Sponsor(s) subsidize Open Access in exchange for recognition Sponsor benefits from halo effect Combines marketing & strategic philanthropy Greater potential than advertising Less labor-intensive than advertising Requires editorial guidelines Examples: OUP’s ecam, J Clinical Investigation
(Merck), Nature (selected articles), TRIZ Journal (Mitsubishi Research Institute)
Affinity Relationships
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Input Fees
Institutional Subsidies—Institution provides infrastructure support Often entails in-kind contributionsCommon model for new journalsMay require re-making case for existing
journalsExamples: Two-thirds of journals listed in
DOAJ
Institutional Subsidies
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Input Fees
Fee-based Print Journal—Fee-based print with free online access Archival print still attractive to someCumulative end-of-year printPrint edition may be differentiatedAdequate for low overhead journalsExamples: BMJ, J of Clinical Investigation,
JMLR, Geometry & Topology, Science
Versioning
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Input Fees
Society partnerships—Resource-rich societies share with other societies Societies with sufficient resources would
help support publishing programs of societies without adequate resources
Avoid dependency of one party on anotherNo surrender of editorial autonomy or controlExamples: Proposed that ICSU & UNESCO
support the concept
Twinning
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Resources
OSI Planning Guides New journals Converting journals
http://soros.org/openaccess/resources.shtml
OA Publishing Platforms Bioline International BioMed Central ICAAP (Athabasca) Igitur (Utrecht) Public Knowledge Project PubMed Central (NIH) Scholarly Publishing Office
(University of Michigan) IR Software Platforms
SPARC Planning Documents
Sponsorship Guide Sample charter & bylaws Information on creating
nonprofit organization SPARC “Create Change”
http://www.arl.org/sparc/core/index.asp?page=h0
DOAJ Increases awareness of journal Article-level access Lots of examples
http://www.doaj.org/
Recommended