Back in mid-April, when I (Mike) was at the OSI2016 conference, I was involved in the “Moral Dimensions of Open” group. (It was in preparation for this that wrote the Moral Dimensions series of posts here on SV-POW!.)

Like all the other groups, ours was tasked with making a presentation to the plenary session, taking questions and feedback, and presenting a version 2 on the final day. Here’s the title page that I contributed.


Each group was also asked to write a short paper summarising their discussions and conclusions, with all the papers to be published openly. The resulting papers are now available: sixteen of them in all. And among them is Ansolabehere et al. (2016), “The Moral Dimensions of Open”, of which I am one of nine authors. (There were ten authors of the presentation: for some reason, Ryan Merkley is not on the paper.)

As you can imagine in a group that contained open-access advocates, human rights activists, representatives of both old-school and new-wave publishers, agriculturalists and more, consensus was far from unanimous, and it was quite a rocky road to arriving at a form of the paper that we could all live with. In this case, the standard note that was added to all the papers is very appropriate:

This document reflects the combined input of the authors listed here (in alphabetical order by last name) as well as contributions from other OSI2016 delegates. The findings and recommendations expressed herein do not necessarily reflect the opinions of the individual authors listed here, nor their agencies, trustees, officers, or staff.

Is this the moral-dimensions paper I would have written? No, it’s not. Being a nine-way collaboration, it pulls in too many directions to have as clear a through-line as I’d like; and it’s arguably a bit mealy-mouthed in places. But over all, I am pretty happy with it. I think it makes some important points, and makes them reasonably well given the sometimes clumsy prose that you always get when something is written by committee.

Anyway, I think it’s worth a read.

By the way, I’d like to place on record my thanks to Cheryl Ball of West Virginia University, who did the bulk of the heavy lifting in putting together both the presentation and the paper. While everyone in the group contributed ideas and many contributed prose, Cheryl dug in and did the actual work. Really, she deserves to be lead author on this paper — and would be, but for the alphabetical-order convention.



In discussions of open access, it’s pretty common for us biologists to suffer from arXiv envy: the sense that mathematicians and physicists have the access problem solved, because they all put their work on arXiv.

That’s a widespread idea, which is why we see tweets like this one, which floated past in my stream today:

Turns out, not so much. A preprint by Larivière et al. (2013) looked at various aspects of the relationship between papers on arXiv and their corresponding versions in journals, as indexed by the Web of Science. they were interested in several other things (like the average delay between arXiv publication and journal publication) but the aspect of their work that struck me was this:


Even in mathematics, the field that is most committed to arXiv, only a feeble 21.5% of published papers are also available on arXiv! In physics, it’s 20%, and “Earth and Space” it’s a smidge under 12%. For everything else, it’s virtually nothing.

Does that come as a shock to anyone else? I’ve not seen figures before, but I always thought the numbers were more like 90-95% in maths, physics and astronomy.

Even within the most arXiv-aware subfields, the numbers are disappointing:


Even the very best subfield manages to get only about 72% of its publications into arXiv. After the second best (69%), no other subfield does better than a frankly abject 31%.

So unless I am badly misunderstanding this study, it seems the old idea that you don’t need open-access journals in maths and physics because everything’s on arXiv is way off base.

How very disappointing.


  • Larivière, Vincent, Cassidy R. Sugimoto, Benoit Macaluso, Staša Milojević, Blaise Cronin, Mike Thelwall. 2013. arXiv e-prints and the journal of record: An analysis of roles and relationships. arXiv 1306.3261.


A confidential internal email has come into my hands, from Bristol University, regarding the UK’s national negotiations with Elsevier. I think it’s of general interest.

(I should say that, although my own affiliation is also with Bristol, this is a complete coincidence: for avoidance of doubt, the person I received this from is not at Bristol.)


Date: 7 June 2016 at 09:00
Subject: Fwd: Elsevier ScienceDirect Negotiations – Briefing for Schools

To: Heads of Schools, Faculty Managers
Topic: Elsevier Negotiations – Confidential within the University

Dear Colleagues,

This email is to advise you that the UK university sector has entered national negotiations with the publisher Elsevier for renewal of the subscription journal package ScienceDirect.

This is the largest and most costly journal agreement which universities in the UK subscript to, accounting for roughly 40% of annual spend by sector on major journal agreements. ScienceDirect journals are most heavily used by STEM/M subjects, but also has relevance to some subjects in the social sciences and arts. Many Bristol authors are active on Elsevier editorial panels and peer review process. The cost of above inflation journal price rises is an issue that affects all library users as it impacts on our purchasing power for all subjects. For this reason, we have provided a briefing on the negotiations below and ask you to circulate this to staff in your School for information.

If you or your colleagues have any questions, please contact your Subject Librarian in the first instance. Further updates will be circulated at significant milestones in the negotiations.

With good wishes,

Jess (Jessica Gardner, Director of Library Services) and Stuart (Stuart Hunt, Deputy Director)


Briefing for Schools: Elsevier ScienceDirect Negotiations

The UK university sector has entered national negotiations with the publisher Elsevier for renewal of the subscription journal package ScienceDirect.

Why this negotiation is important

The Elsevier ScienceDirect agreement is the largest journal agreement which universities in the UK and globally subscribe to, accounting for roughly 40% of annual spend by the sector on major journal agreements. The number of libraries and level of expenditure means that this is likely to be one of the biggest single contracts that Elsevier negotiates with an individual consortium anywhere in the world. The current UK agreement runs to the end of December 2016.

Universities in the UK use ScienceDirect material heavily but:

  • We also make very substantial cash and non-cash contributions to Elsevier across the sector
  • Confidentiality contract clauses mean there is no price transparency for public funds
  • The lack of transparency means there is disparity of pricing across the sector based on historic print spend dating back to 1999

Negotiation process

There is a national negotiation process in place with a negotiating team that includes experienced JISC Collections staff, senior Library Directors from UCL and Liverpool and two Vice Chancellors (Professor Sir David Eastwood, Birmingham, and Professor Sir Ian Diamond, Aberdeen).

The negotiating team have clear objectives on price, transparency and open access offsetting practice set in consultation with Library Directors across the UK. The initial proposal from Elsevier in May 2016 was for a 5% per annum increase on the cost of ScienceDirect and no off-setting costs for Gold open access expenditure. This has been rejected by the negotiating team.

Contingency plans will be used to offer access to essential research materials in the event we are unable to reach an acceptable agreement with Elsevier.

Contextual information on price

The UK academic sector makes a very large cash contribution to Elsevier, at £38million equivalent to about 3% of the Hefce quality-related (QR) grant allocation and 1% of the entire Hefce grant allocation to universities. The sector as a whole is paying 12.5% more for ScienceDirect than it did in 2012 as a result of price increases of between 1%-4% year on year.

At the same time, the UK makes substantial non-cash contributions to Elsevier, providing about 6% of the editorial board members for Elsevier and a significant contribution to peer-review estimated to be equivalent to as much as £25million.

Elsevier has a profit margin of 35% (£700million) and is the only one of the 5 big academic publishers not to have put in place any arrangements to limit the additional cost of Gold OA in its hybrid journals for UK academics.

Future Updates

We will provide future updates for academic Schools when key milestones in the negotiation are reached.

If you require further information, please contact your Subject Librarian. A full list of subjects and Subject Librarians is available at:


To me, the most significant part of this discussion is the statement “Contingency plans will be used to offer access to essential research materials in the event we are unable to reach an acceptable agreement with Elsevier.” That suggests to me that the UK is serious about this negotiation. We are not just going to Elsevier cap in hand begging for mercy; we are going in hard, prepared to reach no agreement at all rather than a bad agreement.


Good news!

Probably by now everyone’s heard about the European Union’s conclusions on the transition towards an Open Science system. This is progressive and positive, pretty much from start to finish. It’s so good that you should really read the whole thing — but here are some edited highlights:

The Council of the European Union […] STRESSES that open science entails amongst others open access to scientific publications and optimal reuse of research data, citizens science, and research integrity; TAKES NOTE that open access to scientific publications and optimal reuse of research data are of utmost importance for the development of open science.
AGREES that the results of publicly funded research should be made available in an as open as possible manner and ACKNOWLEDGES that unnecessary legal, organisational and financial barriers to access results of publicly funded research should be removed as much as possible and appropriate in order to attain optimal knowledge sharing, taking into account when necessary the need for exploitation of results,
CONSIDERS that assessing scientific quality should be based on the work itself and be broadened to include an assessment of the impact of science on society at large, while the current focus is on indicators based on impact of journals and publication citation counts.
STRESSES that incentive mechanisms need to be put in place to reward researchers (and research stakeholders) for sharing the results of their research for reuse;
STRESSES the need to continue the support by the Commission and Member States to allow all bodies and organisations, including citizens, scientists and businesses and SMEs, to mine results of publicly funded research they already have legal access to.
BELIEVES that optimal access and reuse of the results of scientific work can be enhanced if researchers or their employers retain the copyright on their scientific works; INVITES the Commission and the Member States to explore legal possibilities for measures in this respect and promote the use of licensing models, such as Creative Commons, for scientific publications and research data sets.
WELCOMES open access to scientific publications14 as the option by default for publishing the results of publicly funded research; RECOGNISES that the full scale transition towards open access should be based on common principles such as transparency, research integrity, sustainability, fair pricing and economic viability; and CALLS on Member States, the Commission and stakeholders to remove financial and legal barriers, and to take the necessary steps for successful implementation in all scientific domains, including specific measures for disciplines where obstacles hinder its progress.
AGREES to further promote the mainstreaming of open access to scientific publications by continuing to support a transition to immediate open access as the default by 2020, using the various models possible and in a cost-effective way, without embargoes or with as short as possible embargoes, and without financial and legal barriers.
WELCOMES the intention of the Commission to make research data produced by the Horizon 2020 programme open by default17, whilst recognising the right of opting out on grounds based on Intellectual Property Rights, personal data protection and confidentiality, security concerns, and other legitimate interests.

Well, the good news just keeps coming. This is good for us all, of course: for researchers, for funders, for doctors, for patients, for schoolteachers, for university lecturers, for legislators, for local government officials.

Who could possibly oppose such a thing?

Bad news!

Suprise! The International Association of STM Publishers — which is pleased to call itself “the global voice of scholarly publishing” — released this statement in response to the EU conclusions:

We note with concern, suggested embargo periods which do not take into account the long-term sustainability of continued quality content generation.

(Let me translate this, for anyone not familiar with STM-speak: “we note with concern” means “we will fight tooth and nail against”; “sustainability” means continuing the current levels of profitability; “quality content generation” means accepting the donations of manuscripts from researchers.)

But wait — there’s more!

[We note with concern] proposed extensions to commercial text and data mining (TDM) which pre-empt the current work of the EU Commission on impact assessments.

Yes — the STM Association is against text-mining as well as immediate open access.

And this, folks, is the kind of thing I’m on about when I say that legacy publishers are not our friends. I reiterate once more that I’m not saying they are evil; just that their interests are the opposite of ours; and by “ours” I mean basically everyone — all the doctors and teachers and suchlike that I mentioned above.

Those who want to dig into this will be interested in SPARC’s dissection of the STM response, but I don’t need to go on. What I want to say here is that, while we don’t need to demonise the STM Association, we do need to do all we can to make sure they’re unable to prevent the progress that the EU is pushing for here.


By the way, who is this STM Association? Is it just a rogue group of a few luddite publishers who got left behind in the 1900s when everyone else had moved on? Sadly not. As their own press release reminds us, “STM is an international association of over 120 scientific, technical, medical and scholarly publishers, collectively responsible for more than 60% of the global annual output of research articles.” When they write these regressive things, they are not speaking for a lunatic fringe of legacy publishers; they are the mainstream.

Those of you who work for more progressive publishers who support the European Union’s proposals: are you satisfied to have STM speaking for you? If not, what can you do to change their position? And if you can’t do anything to make this body actually represent you, do you really want to be members?

Update (the next morning)

See also: Chris Hartgerink’s satirical rewrite of the STM response! Thanks to Jon Tennant for drawing my attention to this.

I’m on a public mailing list that was initially set up for delegates of the OSI2016 conference. In a recent email to that list, I pointed out that we can never know whether or not publishers are double-dipping (accepting APCs and subscriptions for the same content) unless they are totally transparent about their finances — and nothing in their history makes it likely that that’s ever going to happen.


Glenn Hampson, who convened the conference, also informally sets the tone for the mailing list — and does it with a commendably light touch. He sent a very reasonable reply to my message, which I’ll quote in full:

Hi Mike,

I know you’re not the only one who feels this way. So speaking to you and these others, let me say this:

1. You are engaged in a new enterprise with OSI to be able to speak face-to-face on an at-will basis with a wide variety of high-level stakeholders. It’s a different dynamic than what some of you have been used to. If you’d like to see detailed information, just ask for it. If you take issue with certain points of view, ask for clarification and explanation. A big part of the problem to-date in the scholcomm reform conversation has been this dynamic of launching barrages across each other’s bows without really talking and without seeing each other as part of the same team. Please take full advantage of this forum to talk and think through solutions. Don’t assume that because it hasn’t been done before it won’t happen. And,

2. Labels aren’t helpful here. They’re just positions wrapped in semantics. There is lots of double-dipping that occurs everywhere—some could make the case that all of scholcomm is double-dipping since the university pays to play and pays again to subscribe. I don’t know if this is evidence of ill-will, but for the sake of our working partnership, let’s assume that it isn’t, and that more largely, it is evidence of a system that isn’t efficient and effective right now for anyone, and that’s what we’re all working together to fix. To paint our colleagues into a corner by accusing them of wrongdoing and then expecting them to work together with us for change is just continuing with the same dynamic we’ve tried for the past 15 years.

I hope this doesn’t sound harsh. This is an interesting digression, but it takes us down a dark and unproductive path. We’re trying to chart a new, collaborative path toward new, collaborative solutions and not rehash old arguments and approaches. So drawing from what you’re asking here, a different approach might be to ask whether it would be possible to get more transparency in the system, what kind of transparency is needed and why, what precedents we can draw on to support this request, etc.

I’ve quoted this message because it’s intelligent, humane, conciliatory and collaborative. It’s a model of how such messages should be written, positive from top to bottom, and striving to think the best of everyone involved.

Group of business people assembling jigsaw puzzle and represent team support and help concept

Unfortunately, I think it’s also completely deluded.

Glenn refers to “this dynamic of launching barrages across each other’s bows without really talking and without seeing each other as part of the same team”. But the legacy publishers are not part of the same team. They are just not. Just like Manchester United and Arsenal are not part of the same team. There is no outcome that will satisfy both Manchester United and Arsenal because their interests are antithetical. And in exactly the same way, there is no outcome that will satisfy both the community of researchers and the legacy publishers.

Why not?

  • Researchers want their community to own the infrastructure; but legacy publishers want to control it.
  • Researchers want their output to be available to everyone everywhere at zero cost; but legacy publishers want to ration access, and charge for it.
  • Researchers want to to pay low subscription fees and APCs; but legacy publishers want to be paid high subscription fees and APCs.

Now none of this is exactly a criticism of legacy publishers. It’s not necessary to think they’re evil to recognise that they are on a different team from us. I don’t think the Russian football team is evil, but I still want them to lose when they play on 11 June — because they’re playing England, and I want England to win.

So to return to Glenn’s email, he writes plaintively: “To paint our colleagues into a corner by accusing them of wrongdoing and then expecting them to work together with us for change is just continuing with the same dynamic we’ve tried for the past 15 years.” And he is quite right that this hasn’t worked for the last fifteen years. But the reason it hasn’t worked is because they won’t work together with us for change — or at least, not for the change that we want. Of course they won’t! It wouldn’t be in their interests. England and Russia won’t work together on 11 June, either. They will work against each other.

And we in the research community really need to face up to the fact that this is exactly what legacy publishers have been doing for those last fifteen years, and what they will continue doing. At every stage in every discussion and every negotiation, they will do what is best for them. And that will rarely be aligned with what is best for us, and will often be directly opposed to it.

So, for example, Glenn suggests that “a different approach might be to ask whether it would be possible to get more transparency in the system”. But we won’t get any more transparency than the legacy publishers absolutely have to give us, for the simple reason that it’s not in their interests to be transparent. That’s why they impose confidentiality clauses on libraries, as Elsevier’s David Tempest helpfully explains. And that in turn is why Tim Gowers had to use Freedom Of Information legislation to prise even the most basic subscription cost information out of UK universities. The idea that the legacy publishers will start voluntarily sharing information that they have hidden by imposing contract clauses is optimism of the most unrealistic kind.


We don’t have to be jerks about this. We don’t need to demonise legacy publishers. We just need to recognise and accept the simple facts of the situation, and make our plans accordingly.

What makes this difficult for a lot of people is that the legacy publishers have a long-running tradition of depicting themselves as researchers’ partners rather than our opponents. The idea probably dates back decades, to when publishers really were partners in the research process — when they provided the best and only way for results to be disseminated. But those days are long gone, and the left-over rhetoric hasn’t reflected reality for a good long time.

And yet researchers, peer-reviewers, editors, libraries, university administrators, funders — they all want to think of publishers as their friends. It’s understandable. We have to do business with them (at least for now) and it’s always nicer to think that we’re doing business with friends. But it’s a sad state of affairs if we believe a thing just because it would be nice if it were true.

So: a crucial part of waking up and smelling the shiny digital future is going to be the uncomfortable but unavoidable recognition of the true nature of the relationship between the research community and legacy publishers. They do not amplify the scholarly signal, they attenuate it. They’re not symbiotic with research, they are parasitic. They’re not our colleagues, they’re our opponents. Pretending otherwise is a comforting but ultimately harmful illusion.