Information Services & Use 31 (2011) 85 91 85
DOI 10.3233/ISU-2011-0624
IOS Press
Open access journals what publishers offer,
what researchers want
a b c," a
Suenje Dallmeier-Tiessen , Robert Darby , Bettina Goerner , Jenni Hyppoelae ,
a,d e b f
Peter Igo-Kemenes , Deborah Kahn , SimonLambert , Anja Lengenfelder ,
c,"" a a f
Chris Leonard , Salvatore Mele , Malgorzata Nowicka , Panayiota Polydoratou ,
g a f h i
David Ross , Sergio Ruiz-Perez , Ralf Schimmer , Mark Swaisland and Wim van der Stelt
a
CERN, CH1211, Geneva, Switzerland
b
STFC Rutherford Appleton Laboratory, Harwell Science and Innovation Campus, Didcot, UK
c
Springer-Verlag GmbH, Heidelberg, Germany
d
Gjłvik University College, Gjłvik, Norway
e
BioMed Central, London, UK
f
Max Planck Digital Library, Munich, Germany
g
SAGE Publications, London, UK
h
STFC Daresbury Laboratory, Warrington, Cheshire, UK
i
Springer Science and Business Media B.V., Dordrecht, The Netherlands
Abstract. The SOAP (Study of Open Access Publishing) project has analyzed the current supply and demand situation in the
open access journal landscape. Starting from the Directory of Open Access Journals, several sources of data were considered,
including journal websites and direct inquiries within the publishing industry to comprehensively map the present supply of
online peer-reviewed OA journals. The demand for open access publishing is summarised, as assessed through a large-scale
survey of researchers opinions and attitudes. Some forty thousand answers were collected across disciplines and around the
world, reflecting major support for the idea of open access, while highlighting drivers of and barriers to open access publishing.
Keywords: Open access, gold open access, open access journals, Study of Open Access Publishing
1. Context
Researchers, publishers, libraries, funding agencies and the European Commission are all actively
debating open access publishing. Opinions abound, and often diverge, on costs and benefits as well as
on risks and opportunities. At the same time, open access journals are maturing after several years of
experimentation and in many cases enjoying impressive rates of growth.
*
Corresponding author: Bettina Goerner, Springer-Verlag GmbH, Tiergartenstrasse 17, 69121 Heidelberg, Germany. E-mail:
bettina.goerner@springer.com.
**
Now with the Bloomsbury Qatar Foundation Journals, P.O. Box 582, Doha, Qatar.
0167-5265/11/$27.50 2011 IOS Press and the authors. All rights reserved
86 S. Dallmeier-Tiessen et al. / Open access journals what publishers offer, what researchers want
The main aim of the Study of Open Access Publishing (SOAP)1 is to provide a foundation of evidence
to substantiate the open access publishing debate and help all stakeholders, and in particular funding
bodies and publishers of all sizes, to make informed decisions about their next crucial strategic steps in
this arena.
The project examined the product range of open access publishing outlets through a detailed investi-
gation of the landscape of open access journals today. It further analyzed the demand for open access
publishing through an unprecedented large-scale survey of researchers opinions of and attitudes on
open access and compared supply and demand by highlighting the drivers of and barriers to open ac-
cess.
2. The landscape of open access publishing today
The SOAP project performed a detailed study of the range of products and services offered by open
access publishing outlets today along with their performance, starting from the authoritative DOAJ (Di-
rectory of Open Access Journals2).
A key fact found in this process is that in 2008 there were at least 120,000 open access articles pub-
lished in fully open access journals3 or hybrid journals.4 Considering that the yearly volume of published
scholarly articles is estimated at around 1.5 million,5 in 2008 open access articles accounted for a sig-
nificant fraction of the total, on the order of 8%.
The distribution of open access journals by publisher is extremely skewed: on the one hand, a dozen
large publishers (mostly commercial companies, with a minority of exceptions, such as the Public
Library of Science and the International Union of Crystallography) publish a large number of journals
and articles, predominantly in the STM (science, technology and medicine) sector. On the other hand, the
vast majority of small publishers publishes only one journal, and SSH (social sciences and humanities)
journals largely belong to this group. Large publishers are more likely to rely on article processing
charges (as well as membership fees and advertising) for their revenues, whereas the small publishers
base their business to a greater degree on sponsorship and income from subscriptions, possibly to print
versions, in addition to article processing charges.
Surprisingly, only around 70% of the articles published by the large publishers use some version of
a Creative Commons license, allowing substantial re-use of the articles, which is one of the supposed
advantages of open access publishing. Other large publishers request a transfer of copyright, as it appears
most of the smaller publishers also do.
1
The project was financed by the European Commission under the Seventh Framework Programme, and ran from March
2009 to February 2011. The project was coordinated by CERN, the European Organization for Nuclear Research, and was
a joint effort of publishers (Springer, Sage, BioMed Central), libraries (the Max Planck Digital Library of the Max Planck
Society) and funding agencies (the UK Science and Technology Facilities Council). For further information: http://soap-fp7.eu.
2
http://doaj.org.
3
That is, journals which only publish open access content. At the time of the study, in 2009, the DOAJ listed 4032 unique
journals from 2588 unique publishers. Out of those, 2838 journals by 1809 publishers were published in English. Two thirds of
the journals and three quarters of the articles were on the STM field.
4
That is, journals which publish open access articles alongside non-open access content, usually charging a fee to authors
who opt for open access publication. SOAP found that, across all journals offering this option, an average of 2% of the articles
are published in this model.
5
http://www.stm-assoc.org/2009_10_13_MWC_STM_Report.pdf.
S. Dallmeier-Tiessen et al. / Open access journals what publishers offer, what researchers want 87
In recent years and in many disciplines, open access journals have risen to the top of their particular
fields in terms of the Impact Factor.6 Several of those journals are only relevant to a given sub-field
within a discipline. However, in some disciplines an important trend towards an increasing number of
broader coverage journals catering to several sub-fields within a discipline is observable; some journals
are among those with the highest Impact Factors in the fields of Medicine and Life Sciences.
3. Researchers opinions on open access publishing
Over a period of several months in 2010 the SOAP project undertook a large-scale online survey of
scientists across disciplines and around the world, aiming to uncover the attitudes and experiences of
researchers with regard to open access publishing. The survey was mainly distributed using mailing lists
of the publishers participating in the consortium. The fourth largest mailing was run through Thomson
Reuters and went to 70,000 authors in fields where, after the first three months of the survey live-
time, a relatively low response rate was observed. Further dissemination was achieved through smaller
mailings via members of OASPA (Open Access Scholarly Publishing Association), public mailing lists,
and newsletters in specific research fields where the response rate was relatively low, or other outlets
concerned with scholarly communication. Commission Services further alerted around 13,000 project
co-ordinators and Marie Curie alumni. In total, between 1.2 and 1.5 million individuals are estimated
to have received the survey. The survey was live for almost seven months, from April 28th, 2010 to
November 17th, 2010, although the vast majority of the responses were collected by August 10th, 2010;
it is the data set extracted on that date which formed the basis of the project s analysis and which is
referred to in the following discussion.
Out of a total of 53,890 respondents, 46,006 identified themselves as active researchers. Out of those,
the answers of 38,358 who had published at least one peer-reviewed research article in the last five
years were retained for the analysis. Responses came from 162 countries, with a large representation
from research-intensive nations. The distribution of respondents per high-level discipline is presented in
Fig. 1.
One of the key questions posed in the survey is whether respondents considered open access publishing
beneficial for their research field. In total, 89% of published researchers answered in the positive. When
analysed by discipline, this fraction was higher than 90% in most of the Social Sciences and Humanities,
and around 80% in Chemistry, Astronomy, Physics and Engineering. Respondents had the opportunity
to elaborate on their answer, an option chosen by 17,852 published researchers, contributing a staggering
1/2 million words on the subject. These answers were scrutinized and the reasons respondents adduced
for their views were found to cluster in a few large categories. These are presented in Fig. 2 for those
who believed open access journals beneficial for their field. The most commonly-held belief is that the
scientific community as a whole would benefit from open access journals. The cost to access information
was the second most frequently cited motivation, closely followed by general ethical arguments for the
global benefit of access to scientific information. Direct benefit to the single individual (in terms of ease
of dissemination of one s work or citation advantage) came in only fourth overall.
Many other questions were asked in the survey and particular sub-sets of responses can be studied
according to discipline, demographics, or a combination of factors. In order to allow full re-use of this
6
The Impact Factor of a journal in a given year, as published in the Thomson Reuters Journal Citation Reports, is the average
number of citations received per paper published in that journal during the two preceding years.
88 S. Dallmeier-Tiessen et al. / Open access journals what publishers offer, what researchers want
Fig. 1. Distribution of analysed responses per research field. (Colors are visible in the online version of the article;
http://dx.doi.org/10.3233/ISU-2011-0624.)
valuable data set, the data was released under a Creative Commons CC07 waiver, with the aim of max-
imizing the scientific return on European Commission research investment by facilitating future aca-
demic investigations and by providing small and large publishing enterprises access to important market
intelligence on equal footing.
4. Drivers for and barriers to the adoption of open access publishing
The project performed a follow-up study after its large-scale survey. Respondents to the survey were
asked whether they would be willing to be contacted again, and over 17,000 e-mail addresses were
collected in this way. A targeted series of questions was then sent to different demographic groups. One
of these consisted of published authors with a track record in using open access journals. A series of
statements aiming to understand their main drivers as authors (rather than readers) was presented, with
respondents asked to rate their importance. The results are presented in Fig. 3. The four most important
drivers are: the accessibility of content to readers, the perceived quality of the journal, the journal s
Impact Factor and the absence of fees.
There is a striking gap between the opinions of researchers worldwide and across disciplines in favour
of open access journals (89%), as determined in the SOAP large-scale survey, and the relatively low
7
See http://creativecommons.org/about/cc0.
S. Dallmeier-Tiessen et al. / Open access journals what publishers offer, what researchers want 89
Fig. 2. Why would open access journals be beneficial? Distribution of 22,312 tags for the answers of 16,734 respondents.
(Colors are visible in the online version of the article; http://dx.doi.org/10.3233/ISU-2011-0624.)
Fig. 3. Main drivers for researchers to publish in open access journals. (Colors are visible in the online version of the article;
http://dx.doi.org/10.3233/ISU-2011-0624.)
90 S. Dallmeier-Tiessen et al. / Open access journals what publishers offer, what researchers want
Fig. 4. Specific reasons not to publish in open access journals. (Colors are visible in the online version of the article;
http://dx.doi.org/10.3233/ISU-2011-0624.)
Fig. 5. Factors which would make researchers who have never published in open access journals start doing so. (Colors are
visible in the online version of the article; http://dx.doi.org/10.3233/ISU-2011-0624.)
fraction of the yearly scholarly output published in open access journals (8%), which these drivers do
not fully elucidate. The large-scale SOAP survey comprised questions which help further understand
this gap. The survey inquired whether published researchers who had not published any open access
S. Dallmeier-Tiessen et al. / Open access journals what publishers offer, what researchers want 91
articles (29% of the sample) had a reason for not doing so. In total, 42% admitted to having a specific
reason, and 4976 respondents provided an explanation in a text box. These answers were all scrutinized
and tagged, and the most recurring reasons are presented in Fig. 4, with the lack of funding streams, or
the necessity to pay fees, being a barrier for 39% of respondents, and the lack of suitable quality journals
in their field being a barrier for 30%.
These results were further validated in a follow-up study of a particular demographic sub-group among
those respondents who left their e-mail address as part of the large-scale survey. Researchers who had
never published in open access journals were asked what changes in the scholarly communication sys-
tem would encourage them to adopt this publishing paradigm. Fourteen possibilities were presented and
respondents could rank their importance. The results are presented in Fig. 5. Out of the five most impor-
tant factors, three concern the quality or prestige of journals, and two either the absence or the amount
of fees required to publish.
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