Perceptions of open access publishing: interviews with journal authors
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《英国医生杂志》
1 BMJ Editorial Office, BMA House, London WC1 9JR
Correspondence to: S Schroter sschroter@bmj.com
Objective To explore authors' attitudes towards open access publishing and author charges, their perceptions of journals that charge authors, and whether they would be willing to submit to these journals.
Design Semistructured telephone interviews.
Participants 28 randomly selected international authors who submitted to the BMJ in 2003.
Results Authors were more aware of the concepts of open access publishing and author pays models than previously reported. Almost all authors supported the concept of open access, but few had submitted to an open access journal, other than the BMJ. Reasons for not submitting included lack of awareness of which journals publish with open access, and journal quality taking a higher priority in decision making than the availability of open access. Authors disliked the idea of author charges without institutional support and were concerned about implications for authors from developing countries and those without research funding. However, many said they would probably continue to submit to journals they perceived as being of high quality even if they charged authors.
Conclusions Authors consider perceived journal quality as more important than open access when deciding where to submit papers. New journals with open access may need to do more to reassure authors of the quality of their journals.
The traditional business model in scientific journal publishing is based on subscription charges to readers. This model might restrict access to knowledge and generate undeserved profit for publishers.1-3 An emerging alternative is open access publishing, which gives lawful free access to journal content on the internet and is funded by means other than readers' subscriptions. Several models for financing this have been proposed, including an author pays model, where authors' contributions to the cost of publishing replace readers' subscriptions. The author's contribution is usually referred to as an "author charge," which might be paid by research funders or the author's institution. Some journals currently charging authors, such as BioMed Central journals, have made provision for institutional membership, which offers exemption from charges to individual authors. Currently, several biomedical publishers, including the BMJ Publishing Group,4 are considering moving towards open access funded through author charges, but we know little about authors' attitudes or likely responses to such charges. The evidence so far is limited to experiments with heavily subsidised author charges and several surveys of authors with limited sampling,5 low response rates,6-7 and polls of authors from specialty journals about their preference for author charges or subscription models.8 9
Most journals experimenting with authors' fees charge less than Wellcome's estimated cost of $2500 (￡1329, 1914) for producing an article.10 Consequently, these experiments cannot anticipate the long term sustainability of such a business model. To determine what motivates authors to publish in specific journals, whether they support open access publishing, and their perceptions of journals that charge authors fees, we carried out a series of interviews with authors to explore their understanding and attitudes.
Methods
We divided the list of corresponding authors who submitted to the BMJ in 2003 into regions reflecting areas from which the BMJ receives most submissions: United Kingdom; North America; Australasia; and Europe (excluding United Kingdom). We used computer generated random numbers to select a sample of 10 authors from each region and a further 10 in the European sample for use in case of language difficulties.
Data collection
We conducted semistructured interviews by telephone (see bmj.com for interview schedule). Authors were asked if they were familiar with the terms "open access publishing" and "author pays models" and what they understood these terms to mean; whether they were in support of open access publishing; how they felt about the idea of author charges replacing subscription costs; whether they would consider submitting papers to author pays journals; and whether they would submit to the BMJ if it introduced publication charges.
We provided definitions to participants not familiar with the terms and to those who gave inadequate descriptions. We defined open access as "the provision of lawful free access to journal content online with its production funded by means other than subscription charges." An author pays model was defined as "an alternative method of funding journals whereby subscription charges are replaced with author charges for publication." When all interviews were completed, we independently collated responses and grouped the data according to emerging themes.11 Both interviewers (SS and LT) verified subsequent themes.
Results
We attempted to contact 50 authors. Eleven were excluded (seven incorrect contact details, two absent, two language problems). Of the 29 eligible authors, 28 (72%) took part.
The 28 authors, aged 31-60, lived in the United Kingdom (seven), United States (five), Canada (two), Australia (four), New Zealand (three), the Netherlands (two), Denmark (three), Germany (one), and Finland (one). Twenty one were men. Respondents had been active researchers for between two and 30 years; 18 had been active researchers for at least 10 years. Authors had published between zero and 305 articles, and 18 had published at least 25 papers. Over half (15) had published in at least 15 different journals. Most had received research grants. Participants had a wide range of research interests.
Familiarity, support, and reservations
All except four authors reported that they were familiar with the term "open access publishing" and defined it accurately when prompted. Some assumed open access meant publishing without peer review or printed journals. Half (14) reported that they had not previously submitted to an open access journal or were uncertain if they had. Only two had submitted a paper to an open access journal other than the BMJ. Several said that it can be difficult to discern editorial policies for specific journals because libraries subscribe to e-journals which appear to be open access, while some journals have temporary open access to selected content.
Almost all authors supported the concept of open access publishing. Authors reported benefits for themselves and other researchers, including easier and faster literature searching; reduced costs in terms of time savings, photocopying, interlibrary loans, and subscriptions; faster dissemination of results to a wider audience; more equitable access; and the potential for medicine to improve globally.
Respondents were concerned that open access publishing might lead to vanity publishing (poor quality research being published for a fee) and a flood of non-peer reviewed papers on the internet. Peer review, they said, is extremely important and resources might be directed away from this to fund open access.
Willingness to submit to open access journals
Most authors were willing to submit to open access journals. Many said open access was not a relevant factor when they were selecting a journal. Some questioned the quality and reputation of existing open access journals.
Familiarity with author pays model
Twelve authors were not at all familiar with the term "author pays model." However, another 12 were either familiar with the term or had heard of the concept of journals charging authors fees to fund publication. Several had not made the connection between author charges and open access publishing. A further four authors reported being familiar with the term but failed to describe it accurately; one believed it to be vanity publishing and three described page charges. Only nine authors could name some existing author pays journals.
Attitudes towards author charges
Authors were mostly against author charges. Many thought there were negative implications of shifting costs to authors and that authors themselves should not be required to pay. Some thought charges might be acceptable if grant agencies and universities agreed to support authors. Some were concerned by the idea of paying to publish in non-peer reviewed journals and that the standard of publishing might decline. A few commented on the difficulty of implementing the model and the need for author charges to become standard so that the quality of journals could still be evaluated.
Several authors were concerned for those who could not afford to pay and said waivers would be necessary. Unfunded research, including methodological work, research done by junior doctors and PhD students, and researchers in developing countries, might not be published.
An author pays system might represent an additional barrier to researchers, resulting in restricted publications, which could have serious implications (box 1).
Willingness to submit to author pays journals
Overall, authors were not keen on the author pays model and would hesitate to submit to journals operating under such models. A few said charges might deter them and they would first look for journals that did not charge. Some said they would only submit to an author pays journal if all journals charged authors or if the better regarded journals they usually submit to switched to this model.
Factors of importance when selecting a journal included impact factor, reputation, readership, speed of publication, and the quality of peer review systems (box 2). Therefore, they would continue to submit appropriate papers to journals they regarded as "high quality" even if they charged. Mediating factors, however, were how much journals would charge and whether research funders would pay on the author's behalf. If fees were too high granting agencies (public funders and charities) might not be willing to pay.
Reasons cited for not previously submitting to author pays journals included lack of familiarity and perceptions that they are not widely read, that they don't have impact factors, have inferior peer review, and are not of high calibre (box 3).(Sara Schroter, senior researcher1, Leann)
Correspondence to: S Schroter sschroter@bmj.com
Objective To explore authors' attitudes towards open access publishing and author charges, their perceptions of journals that charge authors, and whether they would be willing to submit to these journals.
Design Semistructured telephone interviews.
Participants 28 randomly selected international authors who submitted to the BMJ in 2003.
Results Authors were more aware of the concepts of open access publishing and author pays models than previously reported. Almost all authors supported the concept of open access, but few had submitted to an open access journal, other than the BMJ. Reasons for not submitting included lack of awareness of which journals publish with open access, and journal quality taking a higher priority in decision making than the availability of open access. Authors disliked the idea of author charges without institutional support and were concerned about implications for authors from developing countries and those without research funding. However, many said they would probably continue to submit to journals they perceived as being of high quality even if they charged authors.
Conclusions Authors consider perceived journal quality as more important than open access when deciding where to submit papers. New journals with open access may need to do more to reassure authors of the quality of their journals.
The traditional business model in scientific journal publishing is based on subscription charges to readers. This model might restrict access to knowledge and generate undeserved profit for publishers.1-3 An emerging alternative is open access publishing, which gives lawful free access to journal content on the internet and is funded by means other than readers' subscriptions. Several models for financing this have been proposed, including an author pays model, where authors' contributions to the cost of publishing replace readers' subscriptions. The author's contribution is usually referred to as an "author charge," which might be paid by research funders or the author's institution. Some journals currently charging authors, such as BioMed Central journals, have made provision for institutional membership, which offers exemption from charges to individual authors. Currently, several biomedical publishers, including the BMJ Publishing Group,4 are considering moving towards open access funded through author charges, but we know little about authors' attitudes or likely responses to such charges. The evidence so far is limited to experiments with heavily subsidised author charges and several surveys of authors with limited sampling,5 low response rates,6-7 and polls of authors from specialty journals about their preference for author charges or subscription models.8 9
Most journals experimenting with authors' fees charge less than Wellcome's estimated cost of $2500 (￡1329, 1914) for producing an article.10 Consequently, these experiments cannot anticipate the long term sustainability of such a business model. To determine what motivates authors to publish in specific journals, whether they support open access publishing, and their perceptions of journals that charge authors fees, we carried out a series of interviews with authors to explore their understanding and attitudes.
Methods
We divided the list of corresponding authors who submitted to the BMJ in 2003 into regions reflecting areas from which the BMJ receives most submissions: United Kingdom; North America; Australasia; and Europe (excluding United Kingdom). We used computer generated random numbers to select a sample of 10 authors from each region and a further 10 in the European sample for use in case of language difficulties.
Data collection
We conducted semistructured interviews by telephone (see bmj.com for interview schedule). Authors were asked if they were familiar with the terms "open access publishing" and "author pays models" and what they understood these terms to mean; whether they were in support of open access publishing; how they felt about the idea of author charges replacing subscription costs; whether they would consider submitting papers to author pays journals; and whether they would submit to the BMJ if it introduced publication charges.
We provided definitions to participants not familiar with the terms and to those who gave inadequate descriptions. We defined open access as "the provision of lawful free access to journal content online with its production funded by means other than subscription charges." An author pays model was defined as "an alternative method of funding journals whereby subscription charges are replaced with author charges for publication." When all interviews were completed, we independently collated responses and grouped the data according to emerging themes.11 Both interviewers (SS and LT) verified subsequent themes.
Results
We attempted to contact 50 authors. Eleven were excluded (seven incorrect contact details, two absent, two language problems). Of the 29 eligible authors, 28 (72%) took part.
The 28 authors, aged 31-60, lived in the United Kingdom (seven), United States (five), Canada (two), Australia (four), New Zealand (three), the Netherlands (two), Denmark (three), Germany (one), and Finland (one). Twenty one were men. Respondents had been active researchers for between two and 30 years; 18 had been active researchers for at least 10 years. Authors had published between zero and 305 articles, and 18 had published at least 25 papers. Over half (15) had published in at least 15 different journals. Most had received research grants. Participants had a wide range of research interests.
Familiarity, support, and reservations
All except four authors reported that they were familiar with the term "open access publishing" and defined it accurately when prompted. Some assumed open access meant publishing without peer review or printed journals. Half (14) reported that they had not previously submitted to an open access journal or were uncertain if they had. Only two had submitted a paper to an open access journal other than the BMJ. Several said that it can be difficult to discern editorial policies for specific journals because libraries subscribe to e-journals which appear to be open access, while some journals have temporary open access to selected content.
Almost all authors supported the concept of open access publishing. Authors reported benefits for themselves and other researchers, including easier and faster literature searching; reduced costs in terms of time savings, photocopying, interlibrary loans, and subscriptions; faster dissemination of results to a wider audience; more equitable access; and the potential for medicine to improve globally.
Respondents were concerned that open access publishing might lead to vanity publishing (poor quality research being published for a fee) and a flood of non-peer reviewed papers on the internet. Peer review, they said, is extremely important and resources might be directed away from this to fund open access.
Willingness to submit to open access journals
Most authors were willing to submit to open access journals. Many said open access was not a relevant factor when they were selecting a journal. Some questioned the quality and reputation of existing open access journals.
Familiarity with author pays model
Twelve authors were not at all familiar with the term "author pays model." However, another 12 were either familiar with the term or had heard of the concept of journals charging authors fees to fund publication. Several had not made the connection between author charges and open access publishing. A further four authors reported being familiar with the term but failed to describe it accurately; one believed it to be vanity publishing and three described page charges. Only nine authors could name some existing author pays journals.
Attitudes towards author charges
Authors were mostly against author charges. Many thought there were negative implications of shifting costs to authors and that authors themselves should not be required to pay. Some thought charges might be acceptable if grant agencies and universities agreed to support authors. Some were concerned by the idea of paying to publish in non-peer reviewed journals and that the standard of publishing might decline. A few commented on the difficulty of implementing the model and the need for author charges to become standard so that the quality of journals could still be evaluated.
Several authors were concerned for those who could not afford to pay and said waivers would be necessary. Unfunded research, including methodological work, research done by junior doctors and PhD students, and researchers in developing countries, might not be published.
An author pays system might represent an additional barrier to researchers, resulting in restricted publications, which could have serious implications (box 1).
Willingness to submit to author pays journals
Overall, authors were not keen on the author pays model and would hesitate to submit to journals operating under such models. A few said charges might deter them and they would first look for journals that did not charge. Some said they would only submit to an author pays journal if all journals charged authors or if the better regarded journals they usually submit to switched to this model.
Factors of importance when selecting a journal included impact factor, reputation, readership, speed of publication, and the quality of peer review systems (box 2). Therefore, they would continue to submit appropriate papers to journals they regarded as "high quality" even if they charged. Mediating factors, however, were how much journals would charge and whether research funders would pay on the author's behalf. If fees were too high granting agencies (public funders and charities) might not be willing to pay.
Reasons cited for not previously submitting to author pays journals included lack of familiarity and perceptions that they are not widely read, that they don't have impact factors, have inferior peer review, and are not of high calibre (box 3).(Sara Schroter, senior researcher1, Leann)