Organised by Giancarlo Frosio and Estelle Derclaye, School of Law, University of Nottingham and funded by CREATe, this workshop attempted to gather the different stakeholders in the field of open access publishing, especially open academic publishing, with the double aim of presenting the research gaps identified in Open Access Publishing: A Literature Review and eliciting reactions, comments, criticisms and finding new research questions and areas to explore both theoretically and empirically.

Photos from the Day

With thanks to Mike Beard, photographer at University of Nottingham.

Open Access Publishing: A Literature Review

Available as CREATe Working Paper 2014/1, Open Access Publishing: A Literature Review by Giancarlo Frosio under the supervision of Estelle Derclaye provided a backdrop to the day’s discussion.

The literature review was undertaken to ‘investigate the current trends, advantages, disadvantages, problems and solutions, opportunities and barriers in Open Access Publishing (OAP), and in particular Open Access (OA) academic publishing’. It could be neither fully comprehensive nor completely exhaustive. However, it did draw from a considerable breadth of inter-disciplinary sources (legal, economic and academic) as it is aimed at an inter-disciplinary audience and advocates inter-disciplinary solutions. It has identified four major Research Gap areas each with a number of sub-research topics. These are presented with a view to assist researchers and stakeholders frame investigations, studies, assessments, policies and new business models. The Review also seeks to invite elaboration on the identified Research Gaps and to stimulate the sharing of additional Gaps.

Summary of the Workshop

Ken Wilson, Doctoral Researcher at University of Nottingham’s School of Law has written a summary account of the workshop, which can be found on CREATe’s Blog.

Presentations and Commentary

Tony Clayton, Intellectual Property Office:

Ruth Towse, Bournemouth University:

Giancarlo Frosio, Stanford University

Display Giancarlo Frosio's presentation

Jerome H Reichman, Duke University

Display Jerome H Reichman's presentation

David Sweeney, Higher Education Funding Council for England (HEFCE)

Display David Sweeney's presentation

Alma Swan, SPARC Europe

Display Alma Swan's presentation

Eva Hoogland, Science Europe

Display Eva Hoogland's presentation

Frances Pinter, Knowledge Unlatched

Display Frances Pinter's presentation

Stevan Harnad, University of Southampton

Display Stevan Harnad's presentation

Additional Research Gaps emerging from the workshop

Caveat: The research gaps below have been suggested by experts in the area. Some gaps are generally stated in broad terms and thus have been partly investigated. This list is by no means exhaustive and CREATe has not checked it against the very comprehensive literature in the field of OA.

  • The library community and OA.
  • The reading public and OA.
  • The history of the Open Access movement.
  • Assessment of Open Access models that are limited to specific research communities.
  • Assessment of the degree to which Universities and scholarly authors subsidised the publishing industry.
  • How publishing markets form and develop.
  • The effect of the range of Creative Commons licences suite from a publisher’s perspective.
  • How competitive a fully OA publishing model would be.
  • The effect of Green OA.
  • The extent and economic effect of any possible ‘double dipping’, including clear definitions of the concepts of double–dipping and double payment, the difference between the two.
  • The cultural and academic issues around scholar-led publishing.
  • Alternative business models to APCs such as price-fixing and external regulation.
  • The real costs (and the need for them) of APCs.
  • The assessment of the value of the different elements of publishing.
  • The cross-border effect of open access policies including comparison of open access policies in different countries
  • The influence of OA policies and mandates on content of academic output (eg influence on the choice of publisher/journal)


10.00Introduction from Martin Kretschmer, Glasgow University and Director of CREATe
10.10Presentation of Literature Review’s Findings from Giancarlo Frosio, Stanford University

Chair/moderator: Estelle Derclaye, Nottingham University

10.40Reactions / Q&A Session

Chair/moderator: Estelle Derclaye

10.50Coffee Break
11.05Discussion of Research Gap I: ‘Historical Perspective’. Presented by John Willinsky, Stanford University

Chair/moderator: Martin Kretschmer

11.30Reactions / Q&A

Chair/moderator: Martin Kretschmer

11.45Discussion of Research Gap II: ‘Copyright Protection & Theory’ and III: ‘Economics and Business Models: Open University, Open Education, Open Educational Resources’. Presented by Jerome H Reichman, Duke University

Chair/moderator: Jill Russell, University of Birmingham

12.05Reactions / Q&AChair/ moderator: Jill Russell
1.30Discussion of Research Gap III: ‘Economics and Business Models: Academic Scholars, Reputation, Prestige, and Careers’. Presented by  David Sweeney, HEFCE, Director (Research, Innovation and Skills)

Chair/moderator: Ruth Towse, Bournemouth University

1.45Reactions / Q&A

Chair/moderator: Ruth Towse

2.00Discussion of Research Gap III: ‘Economics and Business Models: Academic Publishing Market: Competition’. Presented by Tim Williams (Elgar Publishing), Richard Hart (Hart Publishing), Rodri Jackson (OUP), Philip Carpenter (Wiley), Richard Fisher (CUP), James Butcher (Nature Publishing Group) and Rupert Gatti (Open Book Publishers)

Chair/moderator: Audrey McCulloch, ALPSP

2.15Discussion of Research Gap III: ‘Economics and Business Models: Academic Publishing Market: Competition’. Presented by Tony Clayton, Chief Economist IPO

Chair/moderator: Audrey McCulloch

2.30Reactions / Q&A

Chair/moderator: Marc Scheufen, Hamburg University

2.45Discussion of Research Gap III – ‘Economics and Business Models: Academic Publishing Market: Article Processing Costs’. Presented by Alma Swan, University of Southampton and SPARC Europe

Chair/moderator: Valentina Moscon, University of Trento

3.00Discussion of Research Gap III – ‘Economics and Business Models: Academic Publishing Market: Article Processing Costs’. Presented by Gemma Hersh, The Publishers Association
3.15Reactions / Q&A

Chair/moderator: Valentina Moscon, University of Trento

3.35Coffee Break
3.50Discussion of Research Gap III & IV – “Academic Publishing Market: OA Book Publishing”. Presented by Ms Frances Pinter, Knowledge Unlatched

Chair/moderator: Rupert Gatti, Open Book publishers

4.05Reactions / Q&A

Chair/moderator: Rupert Gatti

4.20Discussion of Research Gap IV – ‘OA Mandate Policies: Compliance and Enforcing Mechanisms’. Presented by Professor Stevan Harnad, University of Southampton

Chair/moderator: David Sweeney, HEFCE

4.35Discussion of Research Gap IV – ‘OA Mandate Policies: Compliance and Enforcing Mechanisms’. Presented by Eva Hoogland, Science Europe

Chair/moderator: David Sweeney

4.55Reactions / Q&A

Chair/moderator: Ben Johnson, HEFCE

5.15Conclusions and Summary of the Day’s Findings – Estelle Derclaye and Giancarlo Frosio
5.30-6.30Drinks reception


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