Open Access is increasingly a determining part of the structures and processes of scholarly communication, particularly in the emerging open science modus operandi, which presupposes the opening of all research components. Currently, most scholarly communication instances, products and services refer to open access in some way. The bibliographic indexes started to identify open access articles. New publishers were created, most commercial publishers started to publish open access journals or offer authors the possibility to publish open access articles in subscription journals. Open access mega journals have appeared. In developing countries, open access journals predominate, with emphasis on the pioneering SciELO Program, publishing open access journals from 1998, four years before the Budapest Open Access Initiative declaration. The preprints modality with open access availability of manuscripts before evaluation and publication in journals grows and new tools appear. Several innovative models have emerged in recent years to promote open access to journal articles, such as library consortia or crowdfunding. There is still difficulty and resistance from publishers in developing financial models that enable open access, and the calculation of article processing charges (APC) remains opaque. But the main force that can make the universalization of open access viable is public policies, the best example being currently the European Commission’s Horizon 2020 program. Before this landscape, this panel will analyze progress already achieved, the promising solutions and the persistent barriers in the routes towards the universalization of open access. Syllabus The classical open access modalities – gold route journals, green route, new models of open access financing, metrics on the status of open access, barriers to the universalization of open access, and open access policies.

1. Universalisation of OA scientific dissemination
by
Éric Archambault, D.Phil.
CEO, Science-Metrix and 1science
CC BY 1science 2018 #weare1science

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Definitions – you said universalisation?
https://www.thefreedictionary.com/universal

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Universalisation is just one of the
required norms for an improved
research system
We need to embrace the
Mertonian norms
We need to step back to jump forward

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communalism: all scientists should have common ownership
of scientific goods (intellectual property) to promote
collective collaboration; secrecy is the opposite of this norm
universalism: scientific validity is independent of the
sociopolitical status/personal attributes of its participants
disinterestedness: scientific institutions act for the benefit of
a common scientific enterprise, rather than for the personal
gain of individuals within them
organized scepticism: scientific claims should be exposed to
critical scrutiny before being accepted: both in methodology
and institutional codes of conduct
Definitions – the Mertonian norms
https://en.wikipedia.org/wiki/Mertonian_norms

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Q: We publish a journal specialised in Indo-Malaysian philology,
is this something that you are ready to index?
A: Sure, you’re welcome
Q: Our journal does not have metadata available in English, can
you index it?
A: Sure, you’re welcome
Q: We publish a journal in our biology department, we’re doing
a good job of controlling quality and checking articles for
accuracy, would you be interested in indexing it?
A: Sure, you’re welcome
Universalism: Questions & Answers

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Budapest Open Access Initiative (2002)
“The literature that should be freely accessible online is that which scholars give to
the world without expectation of payment. Primarily, this category encompasses
their peer-reviewed journal articles, but it also includes any unreviewed preprints
that they might wish to put online for comment or to alert colleagues to important
research findings. There are many degrees and kinds of wider and easier access to
this literature. By "open access" to this literature, we mean its free availability on
the public internet, permitting any users to read, download, copy, distribute, print,
search, or link to the full texts of these articles, crawl them for indexing, pass them
as data to software, or use them for any other lawful purpose, without financial,
legal, or technical barriers other than those inseparable from gaining access to the
internet itself. The only constraint on reproduction and distribution, and the only
role for copyright in this domain, should be to give authors control over the
integrity of their work and the right to be properly acknowledged and cited.”
Let’s come back to open access for a moment

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Peter Suber: Libre vs. Gratis OA
“I’ve decided to use the term “gratis OA” for the removal of price
barriers alone and “libre OA” for the removal of price and at least
some permission barriers. The new terms allow us to speak
unambiguously about these two species of free online access.”
http://sparcopen.org/our-work/gratis-and-libre-open-access/
Libre OA - Similar to BOAI, free of rights
Gratis OA - Similar to a subscription to
scholarly journals = right to download & read
Let’s build a bridge

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The main idea behind gold is that publishers make papers available
(and often retain some rights)
IMPORTANTLY: The papers can be made directly available on the
publisher’s website (direct gold OA) or through a designated
intermediator (intermediated gold OA) (e.g. NIH PubMedCentral,
SciELO, institutional repositories in the case of university presses)
There are gold journals (“born gold”, fully & instantly OA), delayed
gold OA journals and gold papers published in subscription-based
journals (a.k.a. “hybrid journals”)
Gold OA can be free or paid for (Article Processing Charge – APC)
Definitions Gold & Green OA (1 – Gold)
Gold OA

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The main idea behind green is that parties other than publishers
make papers available
Often seen as synonymous with self-archiving, but [scholarly
communication] librarians & institutional technical services also
important actors in archiving papers
Green has nothing to do with the version of the paper –
a pre-print, a post-print or a version of record could all be legally
archived by parties other than the publishers, subject to licensing
rights
[And in some cases publishers can make pre-prints of articles
available, and these would still be gold]
Definitions Gold & Green OA (2 – Green)
Green OA

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Blue, yellow, white, platinum, bronze, diamond: there is no
end to confusing colours that conflate complex dimensions
Qualifiers should be used to represent dimensions that
should not be conflated with who provides availability:
Time: IOA – Instant OA (born gold, preprint archiving)
DOA - Delayed OA (embargoes, moving paywalls)
D6OA – 6 months delayed OA (Embargoes, moving paywalls)
D12OA – 12 months delayed OA (Embargoes, moving paywalls)
…
Preservation issues: TOA - Transient OA
RESIST THE TEMPTATION TO ADD NEW COLOURS (1)

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Infringing copyright, copyleft: ROA - Rogue OA, Robin Hood OA
Licensing: copyrighted; public domain; creative common
licensing (CC BY); licensed to…; other licence types…
Versioning: Pre-print [& pre-peer-review];
post-print [or post-peer-reviewed author manuscript];
version of record [or publisher’s version]
-- largely antiquated terms from the pre-digital age,
in need of updating
Refereeing & peer-review bypass: POA - Predatory OA – a
concept that needs a more neutral label –
“Allegedly questionable” is the one we propose for now
RESIST THE TEMPTATION TO ADD NEW COLOURS (2)

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1findr – from universal discovery to inclusive measures
y = 3E-32e0.0434x
R² = 0.9879
1,000
10,000
100,000
1,000,000
10,000,000
1860 1880 1900 1920 1940 1960 1980 2000 2020
1findr,1861-2016
(June 2018 pipeline run)
Doublingperiod:
70/4.34=16-year

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1findr – suggests accelerating acceleration
y = 3E-22e0.0315x
R² = 0.9937
y = 1E-34e0.0462x
R² = 0.9918
y = 3E-46e0.0596x
R² = 0.9941
1,000
10,000
100,000
1,000,000
10,000,000
1880 1900 1920 1940 1960 1980 2000 2020 2040
1findr, 1890-2015 (September pipeline run)
Doublingperiod:
70/3.15=22-year
Doublingperiod:
70/4.62=15-year
Doublingperiod:
70/5.96=12-year

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Journal articles indexing in 4 databases, 1900-2018
0%
5%
10%
15%
20%
25%
30%
35%
Millionsofrecords
Percentage of OA
0
5
10
15
20
25
30
Millionsofrecords
OA-linked journal articles
0
10
20
30
40
50
60
70
80
90
Millionsofrecords
Indexed journal articles

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Percentage—OA articles/indexed articles
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
1970 1980 1990 2000 2010 2020
Numberofrecords(millions)
Year
Articles indexed from scientific journals
1findr, Dimensions, Core + ESCI WoS, and Scopus, 1975–2018
1findr
Dimensions
Core + ESCI WoS
Scopus

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Percentage—OA articles/indexed articles
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
50%
1970 1980 1990 2000 2010 2020
PercentageofrecordsthatareOAarticles
Year
Percentage of OA articles in scientific journals
1findr, Dimensions, Core + ESCI WoS, and Scopus, 1975–2018
% OA 1findr
% OA Dimensions
% OA Core + ESCI WoS
% OA Scopus

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Journal articles indexing WoS, Scopus, 1findr, per domain (1)
0
2
4
6
8
10
12
14
16
18
20
WoS Scopus 1findr
Millionsofrecords
Natural Sciences
0
2
4
6
8
10
12
14
WoS Scopus 1findr
Millionsofrecords
Applied Sciences
0.0
0.5
1.0
1.5
2.0
WoS Scopus 1findr
Millionsofrecords
General

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% of OA in SCI-E and in 1findr (applied, natural & health sciences)
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
50%
1970 1980 1990 2000 2010 2020
PercentageofrecordsthatareOAarticles
Year
Percentage of OA science and technology articles in scientific journals
1findr and SCI-E, 1975–2018
% OA SciTech in 1findr
% OA SCI-E

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Journal articles indexing WoS, Scopus, 1findr, per domain (2)
0
5
10
15
20
25
30
35
40
WoS Scopus 1findr
Millionsofrecords
Health Sciences
0
1
2
3
4
5
6
7
8
9
WoS Scopus 1findr
Millionsofrecords
Economic & Social Sciences
0
1
2
3
4
5
6
7
8
WoS Scopus 1findr
Millionsofrecords
Arts & Humanities

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Number of records – social sciences
0
50,000
100,000
150,000
200,000
250,000
300,000
350,000
1970 1980 1990 2000 2010 2020
Numberofrecords
Year
Social sciences articles from academic journals
1findr and SSCI, 1975–2018
Social sciences 1findr
SSCI

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Percentage of OA – social sciences
0%
10%
20%
30%
40%
50%
60%
1970 1980 1990 2000 2010 2020
PercentageofrecordsthatareOAarticles
Year
Percentage of OA social sciences articles
1findr and SSCI, 1975–2018
% of OA social sciences in 1findr
% OA SSCI

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Denominator—indexed articles—arts & humanities
0
20,000
40,000
60,000
80,000
100,000
120,000
140,000
160,000
180,000
200,000
1970 1980 1990 2000 2010 2020
Numberofrecords
Year
Number of arts & humanities articles indexed from academic journals
1findr & AHCI, 1975–2018
Art & Hum 1findr AHCI

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Numerator—OA articles—arts & humanities
0
10,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
90,000
1970 1980 1990 2000 2010 2020
Numberofrecords
Year
OA arts & humanities articles indexed from academic journals
1findr and AHCI, 1975–2018
OA Art & Hum in 1findr
OA in AHCI

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Percentage—OA articles/indexed articles—social sciences
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
1970 1980 1990 2000 2010 2020
PercentageofrecordsthatareOAarticles
Year
Percentage of OA arts & humanities articles in academic journals
1findr & AHCI, 1975–2018
% OA Art & Hum in 1findr
% OA AHCI

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Diversification of the publishing market
y = 2E-26e0.0343x
R² = 0.992
y = 1E-37e0.0473x
R² = 0.9976
0
5,000
10,000
15,000
20,000
25,000
1970 1975 1980 1985 1990 1995 2000 2005 2010 2015
Publishers
Number of active academic journals publishers,
1findr database, 1973-2013
CC BY 1science Inc. 2018
Doubling period:
70/3.43 = 20 years
Doubling period:
70/4.73 = 15 years

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Diversification of the publishing market
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
1985 1990 1995 2000 2005 2010 2015 2020
%ofworldpublishedarticlesinacademicjournals
Share of scientific paperspublished worldwide
by the big five publishers,1findr database, 1990-2015
Unfinalised data – do not draw conclusions too fast

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Incidence of type of country on OA/Non-OA journals
Number of journals in the CABI database
United Nations classification of countries by type
Type of country Subscription journals OA journals Per cent OA
Developed 3,819 1,781 32%
Transition & Developping 755 1,685 69%
Type of country Subscription journals OA journals Per cent OA
High-income 3,879 1,751 31%
Lower-Income 695 1,717 71%

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SciELO needs to embrace the Mertonian norms
324 366
2395
0
500
1000
1500
2000
2500
3000
WoS (AHCI, SSCI, SCI-E, ESCI) SciELO 1findr
Numberofindexedjournals
Number of Brazilian journals indexed per database

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Despite what was reported earlier (e.g. Archambault,
2014), newer evidence based on 1findr data suggests
there aren’t huge differences in OA availability
between domains
▪ OA in arts and humanities reaches 42% in 1findr
▪ OA in social sciences reaches 52%
▪ OA in science & technology reaches 45%
▪ Including delayed green & gold open access
(i.e. max always 18 to 24 in the past)
Conclusion

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Measuring OA in traditional databases is fraught
with danger
Coverage of SSH is insufficiently deep
Focus on established journals means emerging OA journals
less likely to be indexed
Focus on Western countries, English language & established
journals means that emerging scientific powers are not
adequately covered
Over-reliance on DOI & CrossRef creates biases as not used as
much in SSH, outside West, older articles & OA articles
Why such large differences

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DOIs are recent, and not universally adopted
Scientific journal articles cannot, and
should not, be reduced to
Crossref, Medline & DOAJ
Deep data cave & open sky mining of articles in
excluded countries, languages & fields is
essential
Why such large differences

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Long life to the
SciELOs and Érudits of this world
and to OJS – one of the key actors in the
universalisation of the
scientific publishing market
BE YE FRUITFUL & MULTIPLY

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Obrigado!