HEFCE, the REF, Open Access and Journals in Politics, IR and Political Theory

UPDATE (8 September 2014): Lee originally wrote this as a guest post – providing some much needed concrete detail on journal open access policies – but is now with us for good.


Following the launch of HEFCE’s consultation on Open Access for any post-2014 REF, and the generally positive reaction to it here, I examined the potential implications of HEFCE’s proposals for journal publishing in Politics, IR and Political Theory. I wanted to know whether the serious threat in HEFCE’s earlier proposals – notably the rush for ‘gold’ OA and associated Article Processing Charges (APCs) – had been eliminated by a downgrading of the proposals to permit ‘green’ OA, by depositing a ‘final accepted version’ (FAV, i.e. post-peer review, but pre-type setting) into an institutional repository. I also wanted to see what embargoes journals placed on FAVs (i.e. how long after the ‘Version of Record’ (VoR) is published in the journal the FAV can be made public); what re-use was permitted (what sort of licensing); and also to compare this route with the ‘gold’ access favoured by the Finch Report and the RCUK policy. I also wanted to gather information that could be used as part of a ‘soft boycott’ of OA-resistant outlets.

To do this I selected 57 journals that broadly represent the ‘top’ journals in the three subfields. I used composite rankings from Google Scholar, the ISI Citations Index, and surveys of scholars where available, and got feedback on an initial draft. The list isn’t intended to be definitive, just to give us a better sense of where the ‘big journals’ in which many scholars aspire to publish actually stand on OA.

It is not easy to get this information. Policies can vary by journal, not merely by publisher, and their websites are often opaque on the issue of self-archiving, particularly in terms of licensing. This may change if, as seems likely, HEFCE forges ahead on OA; but publishers also need to be pushed to display clearer information. The exaggerated nature of the Finch Report’s estimate of UK HE’s market power to change publishing models is underscored by the fact that US journals tend not to provide the information I was looking for (my thanks to Sarah Molloy for help with this).

The results are presented below for Politics, IR and Political Theory (click to enlarge each image). There are a lot of complexities with various journals which are shown in the full spreadsheet of results which you can see here; the spreadsheet also lets you reorder the information by different criteria.

OA - IR

Journal Open Access Policies for International Relations.

Journal Open Access Policies for Politics.

Journal Open Access Policies for Politics.

Journal Open Access Policies for Political Theory.

Journal Open Access Policies for Political Theory.

Several conclusions can be drawn.

(1) Most importantly, Pablo and Meera were basically right: the threat of HEFCE rushing to a ‘pay to say’ approach with hugely detrimental financial consequences for universities and the potential for internal rationing of APCs, has been defeated, for now (although RCUK’s policies remain intact). Some journals, particularly in the US, don’t seem to support green FAV self-archiving, or have gold APC routes – this is a problem because they would be non-compliant with HEFCE’s proposals; so we will need to push for exemptions on this score. However, by and large, where they allow FAV self-archiving, none of the journals appear to charge a fee; HEFCE’s current proposals now intend to compel more researchers to do what they are already entitled to do. So long as this does not change, HEFCE’s proposals should not involve ruinous costs or lead to APC rationing.

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On Rejecting Journals

Kertesz - Man and Abandoned Books

Any excuse for an André Kertész image.

Yesterday, in an act of minimal defiance, I declined a request for peer review on the grounds that the journal was owned by Taylor and Francis, and therefore charges authors £1,788 per piece for open access, or imposes an 18 month restriction on repository versions. In the wake of the OA debate, this situation seems increasingly ludicrous: for the short term at least, an increase in journal profit streams, made possible by the sanctity of unpaid academic input. The principle (saying no to closed journal peer review) is not inviolable, but a reluctance to subsidise shareholders with free labour seemed an appropriate response to the current balance of forces.

So far so good, you might think, but there is a lingering issue of ethics. It was suggested, following a previous act of review rejection, that some hypocrisy might be at work. Am I not proposing the withdrawal of a service that others would perform for me without complaint? Since the infrastructure of the academy rests on the provision of reviews, and since academics benefit from having their published work certified, submission to any closed journal, without providing reviews to the same, is tantamount to parasitism. A use of colleagues’ labour without returning the favour, all easily accomplished in an accounting system that positively celebrates the anonymity of authors and reviewers.

The most forceful of open access advocates would point out at this stage that the answer to this dilemma is pretty straightforward: don’t review for closes access journals and don’t publish in them. Simply move your labour – writing, reviewing, editorial board-ing – as quickly as possible to the more open journals. The more of us who do that, the quicker the transition to proper open access will be. This is true, but it won’t quite do. For two reasons.

First, whatever is to be wished for, the Arts, Humanities and Social Sciences currently lack open access journals prestigious enough to make submission to them a low cost option in the economy of reputation. This is a corollary of the market dominance enjoyed by closed journals: scholars are penalised if they step outside of this reputational system. This point that has been raised before, and clearly depends considerably on the exact field, and the national context. On the UK scene, even where academics stress that they themselves would never pre-judge a piece by publication venue, they usually hold that someone else (the Big Other of the REF, policy makers, ranking systems, managers) will, and so they are driven to conform in any case, thus becoming entangled in a chronic game of second-guessing. More clearly still, this disproportionately affects junior and precarious scholars, who have most to lose by moving outside a system still primarily functioning according to logics that precede them.

Second, and more crucially, journals are not just empty vessels, and are not interchangeable in content, editorial policy or audience. Continue reading

Open Access: Is It Really “Open”?

Our fourth post this week on open access, IR and the ambiguities of the future, from Nivi Manchanda (following Pablo, Colin Wight and David Mainwaring and followed by Nathan Coombs and Meera). Nivi is a PhD student in Politics and International Studies at the University of Cambridge and also currently Editor-in-Chief of the Cambridge Review of International Affairs, one of the very few student-run IR journals that consistently hosts material worth reading (apart from Millennium of course!). When not running the Cambridge Review, she studies Anglo-American representations of Afghanistan.

UPDATE (27 January): Nivi has now joined the Disordered collective on a more permanent basis and you can read more from her by clicking on her face in the sidebar.


The open access movement for academic journals is excellent in theory; not merely because of the need for an alternative to the clearly out-dated journal system that we currently have in place, but also to reclaim the internet as it were. In an ideal world, the internet would be the space for the unbridled circulation and dissemination for knowledge that the World Wide Web’s original architect had imagined it to be. In practice, however, ‘open’ access the way it is conceived in the Finch report (which is the the catalyst of, if not reason for, this conversation) is hardly ‘freely available’ and ‘non-proprietary’ research in the way the slightly misleading ‘open’ here might suggest.

For a student-run journal some of the many problems (delineated nicely by Pablo and Colin) with the ‘Gold’ OA system embodied in the Finch proposals become particularly acute. In the first instance, with regard to the benefits of the present system, in a field governed by citation indices and impact factors, there is something to be said about the legitimacy and credibility that a set-up with a renowned academic publisher provides. The other big advantage of having a publisher who is invested in the journal, especially for the Cambridge Review of International Affairs (hereafter CRIA) and other student-run publications I would imagine, is the discipline they demand. Having a set publication schedule has been crucial for CRIA, not only for associate editors who are copy-editing in the middle of term but also for peer reviewers and authors who get nagging automated reminders every week from ScholarOne’s Manuscript Central, the web-based submission and peer review tool used by Taylor & Francis (Routledge). Finally, although an equivalent open source software exists, merely getting some training in the workings of Manuscript Central and of indeed access to it, has been a great asset for CRIA.

This is not to say, in any way, that the current journal system of pay walls and enormous publisher profits is not deeply flawed. It is, but so is the solution proposed: high Author Processing Charges (APCs) that would hit students and early career researchers disproportionately, to say nothing about those who are not affiliated with an academic institution. Academics are however, thinking about ways around this with mixed success. A great example would be the initiative taken by Timothy Gowers, a mathematician at the University of Cambridge who has managed to persuade Cambridge University Press to launch a gold open access electronic journal – The Forum of Mathematics – with a print on demand option. To keep a check on what is being sent in, authors need to send in a reasonably long justification of why they are interested in publishing in the journal and what ‘cluster’ they want to submit their paper to. A ‘cluster’ is like a stream, for instance a theory or anthropology stream in IR – schematically speaking. There are of course nuances and overlaps that Gowers has meticulously devised a system for dealing with, and which could potentially be looked at as a model for a social science/IR journal. Each cluster has one editor and a few managing editors working on it who are experts in that particular field.

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Academia in the Age of Digital Reproduction; Or, the Journal System, Redeemed

It took at least 200 years for the novel to emerge as an expressive form after the invention of the printing press.

So said Bob Stein in an interesting roundtable on the digital university from back in April 2010. His point being that the radical transformations in human knowledge and communication practices wrought by the internet remain in their infancy. Our learning curves may be steeper but we haven’t yet begun to grapple with what the collapsing of old forms of social space means. We tweak and vary the models that we’re used to, but are generally cloistered in the paradigms of print.

When it comes to the university, and to the journal system, this has a particular resonance. Academics find themselves in a strange and contradictory position. They are highly valued for their research outputs in the sense that this is what determines their reputation and secures their jobs (although this is increasingly the value of the faux-market and the half-assed quality metric). This academic authority, won by publications, is also, to some extent, what makes students want to work with them and what makes them attractive as experts for government, media and civil society. They are also highly valued in a straight-forward economic sense by private publishing houses, who generate profit from the ability to sell on the product of their labour (books and articles) at virtually no direct remuneration, either for the authors or for those peer reviewers who guarantee a work’s intellectual quality. And yet all (OK, most) also agree that virtually nobody reads this work and that peer review is hugely time-consuming, despite being very complicated in its effects. When conjoined with the mass noise of information overload and the extension and commercialisation of higher education over the last decades, our practices of research, dissemination and quality control begin to take on a ludicrous hue. As Clifford Lynch nicely puts it, “peer review is becoming a bottomless pit for human effort”.

This is an attempt to explore in more detail what the potentialities and limits are for academic journals in the age of digital reproduction. Once we bracket out the sedimented control of current publishers, and think of the liveliness of intellectual exchange encountered through blogs and other social media, a certain hope bubbles up. Why not see opportunity here? Perhaps the time is indeed ripe for the rebirth of the university press, as Martin Weller argues:

the almost wholesale shift to online journals has now seen a realignment with university skills and functions. We do run websites and universities are the places people look to for information (or better, they do it through syndicated repositories). The experience the higher education sector has built up through OER, software development and website maintenance, now aligns nicely with the skills we’ve always had of editing, reviewing, writing and managing journals. Universities are the ideal place now for journals to reside.

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