A landscape study on open access and monographs
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A landscape study on open access and monographs

By Eelco Ferwerda
Free
Book Description

Knowledge Exchange is continously active in promoting Open Access by bringing together Open Access experts from all six KE-countries. This study was initiated by Knowledge Exchange and financed by Knowledge Exchange, FWF, CRIStinand Couperin, and together with the skilled expertise of Eelco Ferwerda, Frances Pinter and Niels Stern, we can now publish the biggest landscape study on the conditions and potentials for Open Access books yet.

The field of OA monographs is still in its early evolution and therefore 73 in-depth conversations were conducted to understand the different developments among three stakeholder groups: Publishers, funders and libraries. The importance of author attitudes, scholarly reward and incentive systems is also raised throughout the study by numerous interviewees.

Our study shows that although the main OA policies do not include monographs, conversations about OA and monographs are surfacing and are expected to be accelerating over the next few years.

The general explanation for monographs not being included in policies is the global focus on journal publishing and the perception that monographs are more complex to deal with than journals. Some also point to a lack of demand yet from authors.

In general, OA book publishers will comply with gold OA policies from funders and institutions. This is not the case for green OA. It appears that the current self archiving policies from publishers for books are largely restricted to book chapters.

The report also points towards the fact that funding schemes for books are lagging behind schemes for articles and their availability to fund the publishing process is somewhat ad hoc across the countries we've surveyed. Nevertheless the authors are ‘cautiously optimistic' about the prospects for OA and monographs.

The report creates an overview of both the OA monographs policies, funding streams and publishing models for all eight countries for the first time. This is used to point towards areas of future efforts.

Table of Contents
  • Executive summary
    • Overall observations
      • Inclusion of OA monographs in OA policies
      • Funding streams to support OA monographs
      • Business models for publishing OA monographs
    • Recommendations for Knowledge Exchange
      • Guide to the report
      • Part one
    • 1. Introduction to Part one
    • 2. Brief and methodology
      • 2.1 The brief
      • 2.2 Scope
        • 2.2.1 Definition of the monograph
        • 2.2.2 Definition of open access
        • 2.2.3 Out of scope
        • 2.2.4 Stakeholders
      • 2.3 Methodology
        • 2.3.1 Metrics gathering and literature review
        • 2.3.2 Web-based questionnaires
        • 2.3.3 Interviews
        • 2.3.4 Design and implementation of indicators
    • 3. The open access monograph publishing landscape – an overview
      • 3.1 Structure of this chapter
      • 3.2 Introduction and background
        • 3.2.1 The English language
        • 3.2.2 Monograph output and open access
      • 3.3 Inclusion of OA monographs in OA policies
        • 3.3.1 European OA policy
        • 3.3.2 Country OA policies
        • 3.3.3 How publishers are adapting to OA policies
      • 3.4 Funding streams to support OA monographs
        • 3.4.1 Crowd-funding and membership schemes
      • 3.5 Business models for publishing OA monographs
        • 3.5.1 Typology of publishers
        • 3.5.2 Publisher approaches to OA business models
        • 3.5.3 Book processing charges (BPCs)
        • 3.5.4 Licensing
      • 3.6 Other aspects of making the transition to OA
        • 3.6.1 Quality assurance
        • 3.6.2 Infrastructure for OA book publishing
        • 3.6.3 Discoverability and visibility
        • 3.6.4 Supply chain hurdles
        • 3.6.5 Technical formats and platforms
        • 3.6.6 New marketing methods
        • 3.6.7 Library and institutional engagement with OA
        • 3.6.8 Compliance – funder requirements and publisher/author compliance
        • 3.6.9 Author attitudes to OA monographs
        • 3.6.10 Usage data and other metrics
    • 4. Recommendations to Knowledge Exchange
      • Part two
    • 5. Introduction to country studies
      • 5.1 Input from questionnaires
      • 5.2 Input from interviews
    • 6. Country studies
      • 6.1 Country study: Austria
        • 6.1.1 Introduction
        • 6.1.2 Monograph publishing landscape in Austria
        • 6.1.3 OA policy landscape in Austria
        • 6.1.4 OA monograph publishing landscape in Austria
        • 6.1.5 The future of OA monograph publishing in Austria
      • 6.2 Country study: Germany
        • 6.2.1 Introduction
        • 6.2.2 Monograph publishing landscape in Germany
        • 6.2.3 OA policy landscape in Germany
        • 6.2.4 OA monograph publishing landscape in Germany
        • 6.2.5 The future of OA monograph publishing in Germany
      • 6.3 Country study: Netherlands
        • 6.3.1 Introduction
        • 6.3.2 Monograph publishing landscape in the Netherlands
        • 6.3.3 OA policy landscape in the Netherlands
        • 6.3.4 OA monograph publishing landscape in the Netherlands
        • 6.3.5 The future of OA monograph publishing in the Netherlands
      • 6.4 Country study: France
        • 6.4.1 Introduction
        • 6.4.2 Monograph publishing landscape in France
        • 6.4.3 OA policy landscape in France
        • 6.4.4 OA monograph publishing landscape in France
        • 6.4.5 The future of OA monograph publishing in France
      • 6.5 Country study: United Kingdom
        • 6.5.1 Introduction
        • 6.5.3 OA policy landscape in the UK
        • 6.5.4 OA monograph publishing landscape in the UK
        • 6.5.5 The future of OA monograph publishing in the UK
      • 6.6 Introduction to the Nordic countries
      • 6.7 Country study: Denmark
        • 6.7.1 Introduction
        • 6.7.2 Monograph publishing landscape in Denmark
        • 6.7.3 OA policy landscape in Denmark
        • 6.7.4 OA monograph publishing landscape in Denmark
        • 6.7.5 The future of OA monograph publishing in Denmark
      • 6.8 Country study: Finland
        • 6.8.1 Introduction
        • 6.8.2 Monograph publishing landscape in Finland
        • 6.8.3 OA policy landscape in Finland
        • 6.8.4 OA monograph publishing landscape in Finland
        • 6.8.5 The future of OA monograph publishing in Finland
      • 6.9 Country Study: Norway
        • 6.9.1 Introduction
        • 6.9.2 Monograph publishing landscape in Norway
        • 6.9.3 OA policy landscape in Norway
        • 6.9.4 OA monograph publishing landscape in Norway
        • 6.9.5 The future of OA monograph publishing in Norway
      • Part three
    • 7. Notable initiatives and projects
      • 7.1 Vignettes
        • 7.1.1 Library-university press collaboration
        • 7.1.2 New university press-traditional press collaboration
        • 7.1.3 Including monographs in OA policies and moving towards mandates
        • 7.1.4 Allowing monograph BPCs to be paid for from general OA publication funds
        • 7.1.5 Co-ordinated approach to OA monographs
        • 7.1.6 Supporting investigation and experimentation
        • 7.1.7 Collaborative funding
        • 7.1.8 Public funding of an OA platform
        • 7.1.9 Supporting infrastructure development to set up OA book publisher
        • 7.1.10 Building a disciplinary academic community around a new publishing venture
        • 7.1.11 Example(s) of clear governance structure around new press
        • 7.1.12 Collaboration on developing standards in and sharing of services for infrastructure
        • 7.1.13 Joint label to support quality assurance and dissemination
        • 7.1.14 OA fund for specific aspects or types of monographs
    • 8. Information gaps and stakeholder recommendations
      • 8.1 Information gaps
      • 8.2 Recommendations
        • 8.2.1 Funders
        • 8.2.2 Policy makers
        • 8.2.3 Authors
        • 8.2.4 University administrators
        • 8.2.5 Publishers
        • 8.2.6 Libraries
        • 8.2.7 Infrastructure services
        • 8.2.8 Conclusion
      • Part four Appendices
    • 9. Literature review Open access monographs in the humanities and social sciences
      • 9.1 Model, stakeholders and policy
        • 9.1.1 OA business models
        • 9.2 Costs of OA publications and the question of pricing
        • 9.2.1 Publisher typology from the HEFCE report by Crossick
        • 9.2.2 Publisher: OA policies and licences
        • 9.2.3 Funders: OA policies and mandates
        • 9.2.4 Libraries: OA policies and mandates
        • 9.2.5 Authors and readers
      • 9.3 Policy implications
        • 9.3.1 Quality assurance and peer review
        • 9.3.2 Dissemination and discovery
        • 9.3.3 OA infrastructure
        • 9.3.4 Impact metrics
      • 9.4 Conclusion
      • 9.5 Literature review annexe
        • 9.5.1 Open Access Book Publishing 2016-2020 – a report by Simba Information (October 2016)
        • 9.5.2 The Academic Book of the Future – a policy report from the AHRC/British Library project
      • 9.6 Bibliography
    • 10. Why book processing charges vary so much
      • 10.1 Introduction
      • 10.2 Determining the cost of a monograph
      • 10.3 Relating BPCs to the cost of publishing
      • 10.4 Relating BPCs to monograph sales
      • 10.5 The changing models of monograph purchasing
      • 10.6 What does this mean for monograph publishing and BPCs?
      • 10.7 Glossary of accounting terms
    • 11. Assessing the impact of open access books
      • 11.1 Online availability and downloads
      • 11.2 Citations and altmetrics
      • 11.3 Combining downloads, citations and altmetrics: Springer Bookmetrix
      • 11.4 Bibliography
    • 12. Recommendations for the transition to open access in Austria
    • 13. List of interviewees
    • 14. Acronyms
    • 15. Acknowledgements
    • 16. Questionnaires
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