Open@VT

In 2017 Virginia Tech joined eleven other American universities in the launch of a 5-year pilot project called TOME (Toward an Open Monograph Ecosystem)—a bold new effort to change the landscape of scholarly book publishing. TOME is sponsored by the Association of American Universities (AAU), Association of Research Libraries (ARL), and Association of University Presses (AUPresses). All three of these national associations have a stake in ensuring that scholars can continue to write and publish long-form scholarship at a time when university presses find it increasingly difficult to publish monographs due to market-based concerns. The goal of TOME is to move beyond the old, print-based model of publishing and towards a new, more sustainable model—one in which university-funded grants make it possible for presses to publish deserving scholarly monographs regardless of sales potential.

The TOME pilot recently passed its halfway point, which makes it a good time for a progress report. Much of the following comes from the report I gave last October at the third annual TOME stakeholders meeting. (The full presentation can be seen on this page of the TOME website.) Here I want to present just a few of the key takeaways, after which I’ll briefly report on Virginia Tech’s experience with TOME.

As TOME enters the fourth year of the pilot, the early signs are encouraging. Over the first three years we’ve seen:

• The number of participating universities grow from 12 to 20.
• The number of participating publishers grow from 57 to 66.
• Over $1m in grants paid out to participating publishers, resulting in 70 monographs published in Open Access editions with Creative Commons licenses.

Of course, the true test of TOME—whether or not it increases readership—is difficult to judge at this early stage. Scholarly monographs, unlike journal articles, typically take 3-5 years to take root in the scholarly landscape. Nevertheless, here, too, the early signs are encouraging. A preliminary analysis of the first 25 TOME monographs shows that:

• The OA editions are being downloaded (chapters or the entire book) on average 2,566 times. That’s over six times the average sales of the print editions (412).
• The average sales of the print editions is only about 10% less than print sales of comparable books on the publisher’s list (412 v. 445). This suggests that the OA editions are having, thus far at least, a modest impact on print sales.

Now let’s step back and see how TOME is faring at Virginia Tech.

To date, Virginia Tech has funded a total of 10 monographs by faculty in the College of Liberal Arts & Human Sciences (CLAHS) and the College of Architecture & Urban Studies (CAUS). The fields covered include Anthropology, Architecture, English, History, and Political Science. The books were published by four different university presses: University of Cincinnati Press, Cornell University Press, Duke University Press, and University of Florida Press. Altogether, the amount paid out to these publishers was $153,000 (9 grants of $15,000 + 1 grant of $18,000), with each grant being divided equally among the Provost’s Office, the University Libraries, and the faculty member’s college (CLAHS or CAUS).

Alas, it is too early to have much hard data on usage and readership because only one of the 10 Virginia Tech-funded monographs, A Colonial Affair by Danna Agmon, was published in time to be included in the list of the first 25 TOME titles. Still, the data on downloads and sales for Agmon’s book (shown below) are consistent with the previous graph.

Note that downloads of the OA edition (2,001) are more than eight times the sales of the print edition (237). Additionally, the OA edition has been accessed from at least 38 countries. This is especially important for scholars such as Agmon, who work on subjects outside of North America. (A Colonial Affair examines the history of French colonial India.) Indeed, one goal of TOME is to show that sales figures alone fail to capture the true value of scholarly monographs. An OA edition can reach a larger, more global readership both inside and outside the academy. In the end, this advances Virginia Tech’s core mission to be a global land-grant university.

Virginia Tech has committed to funding 5 more monographs between now and the end of 2022. If you are a faculty member at Virginia Tech and you are writing a monograph that you’d like to be considered for TOME, please contact me at PJP33atVT.EDU.

TOME books by Virginia Tech authors:

• A Colonial Affair: Commerce, Conversion, and Scandal in French India by Danna Agmon (Cornell 2017)
• The Democracy Development Machine: Neoliberalism, Radical Pessimism, and Authoritarian Populism in Mayan Guatemala by Nicholas Copeland (Cornell 2019)
• The Birth of Energy: Fossil Fuels, Thermodynamics and the Politics of Work by Cara Daggett (Duke 2019)
• Tempting Fate: Why Nonnuclear States Confront Nuclear Opponents by Paul C. Avey (Cornell 2019)
• Exploring the Architecture of Place in America’s Farmers Markets by Kathryn Clarke Albright (Cincinnati 2020)
• Heaven’s Interpreters: Women Writers and Religious Agency in Nineteenth-Century America by Ashley Reed (Cornell 2020)
• Writing the New World: The Politics of Natural History in the Early Spanish Empire by Mauro Jose Caraccioli (Florida 2021)
• Irregular Unions: Clandestine Marriage in Early Modern English Literature by Katharine Cleland (Cornell forthcoming)
• Recasting Islamic Law: Religion and the Nation State in Egyptian Constitution Making by Rachel M. Scott (Cornell forthcoming)
• Monetary Authorities: Capitalism and Decolonization in the American Colonial Philippines by Allan Lumba (Duke forthcoming)

This Open@VT blogpost is part of an ongoing series on Virginia Tech’s pending negotiations with the scholarly publishing giant Elsevier. Virginia Tech is one of seven research universities in the Commonwealth of Virginia that negotiates collectively with Elsevier and other large publishers to license access to thousands of scholarly journals through what are commonly called “big deals.” (The other schools are George Mason University, James Madison University, Old Dominion University, University of Virginia, Virginia Commonwealth University, and College of William and Mary.) The current big deal agreement with Elsevier is set to expire at the end of 2021. As this deadline approaches, we are eager to engage the VT community in a conversation about the best path forward.

University of Leiden Library, 1610 (Public Domain image)

More than a year has passed since the University of California terminated its multi-million-dollar bundled journal subscription agreement with Elsevier. The news was startling at the time, even more so given the size and importance of the UC system to Elsevier and to scientific research in general. So it is perhaps just as startling that the stalemate has continued, with no immediate signs of a resolution on the horizon. This post provides a brief update on the UC-Elsevier situation and then points to related developments elsewhere that, taken together, shed light on where big deal negotiations in general are headed.  

After negotiations between UC and Elsevier broke down in February, it wasn’t until July that Elsevier officially cut off UC’s access to new journal content on the ScienceDirect platform. Since then, UC has been working to ensure that faculty and students have alternative means of access to this new journal content.

The next move came in August when a group of prominent UC faculty pledged to step down from the editorial boards of Elsevier journals until the publisher agreed to return to the negotiating table. This, however, appears not to have had its desired effect. According to the UC Office of Scholarly Communication website, the parties have only engaged in “informal conversations” through the end of 2019. And while there were plans to “explore reopening negotiations” during the first quarter of 2020, the COVID-19 outbreak may very well have disrupted those plans.

Meanwhile, neither UC nor Elsevier has been waiting passively on the sidelines. Far from it.

In California the UC system has successfully negotiated open access publishing deals with several other scholarly publishers including Cambridge University Press, PLOS, and ACM. These deals all incorporate key elements of what UC is seeking from Elsevier. That is, they do more than simply curb the rising costs of journal subscriptions. They support, in one form or another, open access publishing for UC authors. This cost-access nexus makes them “transformative” agreements.

For its part, Elsevier has been negotiating new license agreements with institutions and consortia both here and in Europe. In some of these agreements institutions are opting out of big deals, replacing their existing bundled journals packages with smaller, a la carte journals packages targeted to the specific needs of their campuses. 

For instance, earlier this month the State University of New York Libraries Consortium and the University of North Carolina at Chapel Hill announced their decisions not to renew their big deals with Elsevier, making them part of a growing list of institutions opting out of big deals. (An up-to-date list can be found here.)

According to SUNY’s April 7 announcement, “While both parties negotiated in earnest and tried to come to acceptable terms for SUNY to maintain access to the full ScienceDirect package, in the end there was considerable disagreement around the value proposition of the ‘big deal.’” 

UNC Library tweets, 4 April 2020

The calculus was similar for UNC, which announced its decision on April 9. “I tried to work with Elsevier but we had no choice but to break our big deal,” tweeted University Librarian Elaine Westbrooks. “We are free to select what titles we want. No more ‘cable packages’ of journals that we don’t read or value.”

The virtue of replacing a “cable package” with an a la carte package is that it addresses the immediate problem of exponential cost increases. SUNY expects to save as much as $7 million from the $10 million it currently spends annually. UNC expects to save approximately $1 million from the current $2.6 million deal. On the other hand, Elsevier’s pricing structure is such that institutions are paying significantly more money per title, which means fewer titles. The full ScienceDirect package contains over 2,500 journals, but SUNY is subscribing to only 248. For UNC, the number is 395.

Few if any librarians would argue that such an agreement is a long-term solution to the problem posed by the big deal. One might even call these “little deals” because, although they address the immediate problem of escalating costs, they fail to deal with what most would agree is the bigger and more entrenched problem––that of opening access to a growing body of scholarly research that currently sits behind a paywall. In short, they are not transformative.

Meanwhile, Elsevier has been doing much more than just signing smaller subscription agreements with schools such as SUNY and UNC. They are, in fact, piloting new subscription agreement models that are, at least in part, transformative in that they combine subscriptions and open-access publishing fees into one price. Such agreements are now in place in Sweden and Ireland. Here in the US, at least two universities have reached transformative agreements with Elsevier: Carnegie Mellon University and, perhaps surprisingly, Cal State University. 

Under the terms of the Carnegie Mellon agreement, which became effective Jan. 1, 2020, CMU is no longer paying separately to access Elsevier’s catalog of paywalled content and to publish open-access articles in Elsevier journals. Carnegie Mellon scholars will have access to all Elsevier academic journals, and all articles with a corresponding CMU author published through Elsevier also will be open access.

According to the Cal State announcement, its agreement “offers excellent content for a fair price, purposefully equalizes access across all 23 campuses, and sets the stage for the CSU faculty to more fully engage in Open Access publishing in ways that make sense for them and their fields of research.”

Unfortunately, only certain details of these agreements are made public, and the devil is in the details. For instance, a price might seem fair at the outset but if the amount of money Elsevier collects depends on the number of faculty that publish in Elsevier journals, cost containment will continue to be a problem for libraries, which again will be caught in the big deal bind of uncontrollable cost increases.

Nevertheless, it is significant that Elsevier has changed its position somewhat over the course of the past year and is now willing to accept transformative agreements in principle. This, of course, is what UC has been asking for all along, so let’s hope that a resolution to the UC-Elsevier stalemate is coming soon. 

Finally, let me offer a few takeaways from these developments:

1. After years of threatening to step away from the big deal, libraries are now actually doing it. And they are finding seemingly palatable ways to replace bundled packages with much smaller, a-la-carte packages—even if it means paying significantly more money per title. In short, this option is on the table when it comes time for Virginia’s schools to negotiate with Elsevier.
2. Libraries are successfully engaging their campuses in these decisions rather than going it alone. At SUNY and UNC, the final list of titles was arrived at through faculty and librarian consultations, together with analytics gathered from tools such as Unpaywall. As a result, all indications are that campus support is high. See, for instance, the responses from UNC faculty on the UNC Library twitter feed. (And, of course, at UC the negotiating team was remarkably inclusive, bringing together members of the Academic (faculty) Senate, the UC (campus) Libraries, and the California Digital Library.) Here in Virginia, we are committed to this same level of engagement.  
3. The more one digs into the data, the less of a “good deal” big deals prove to be. The fact that libraries are able to drop so many titles from their subscription packages and still retain faculty support tells us something significant about how many of the titles in these packages are truly indispensable. As an illustration, here at Virginia Tech our statistics show that 40% of Elsevier titles get 50 or fewer downloads per year.
4. There is no roadmap yet for institutions to follow in negotiations with Elsevier. Agreeing to a smaller subscription package is not a long-term solution. And while Elsevier may have budged somewhat in its stance on transformative agreements, the publisher has proved again and again that it knows how to maintain its profit margin in any deal it makes. In short, it seems unlikely that Elsevier’s idea of a transformative agreement will look anything like what higher ed institutions have in mind. 

Note: This is the first in a series of Open@VT blogposts that will appear over the ensuing months focusing on Virginia Tech’s “Big Deal” contracts with commercial journal publishers. As the University Libraries’ contracts with Elsevier, Springer, and Wiley come up for renewal in 2-3 years, we will have to decide whether to renew or cancel these contracts. We look forward to engaging the VT community in a conversation about the best path forward.

Dominoes falling (Photo by aussigall. CC BY 2.0)

On February 28 the University of California announced that it was terminating all of its journal subscriptions with the scholarly publishing giant Elsevier. The news sent shock waves throughout the world of higher education—not just in America but globally. Why? Because Elsevier is the world’s largest publisher of scientific research and the University of California (UC), with its ten-campus system, is one of its largest customers. The impact on Elsevier was immediate: its parent company, RELX, saw its stock drop nearly 7 percent in the aftermath of the UC announcement—and its value still has not yet recovered.

In Virginia we are paying special attention to the situation because our own research universities, including Virginia Tech, have a similar journal subscription agreement with Elsevier that is set to expire in two short years. Millions of dollars are at stake in Virginia. Globally it is in the billions.

What’s the Problem?

At the heart of UC’s dispute with Elsevier is what is known as the “big deal.” A big deal is a contract between an institution (often a university library but sometimes a business or government) and a publisher to purchase access to a large bundle of the publisher’s journals. Think of cable TV bundles in which customers get hundreds of channels at a lower per-channel rate. Many of the channels, however, go unwatched, all while customers’ bills continue to rise. The same is true with big deals. Elsevier publishes more than 2,500 journals. Many are invaluable to their fields and frequently used and cited. Many, however, are used infrequently, and yet libraries still have to buy them as part of the bundle. All the while, the price of the bundle goes up and up. Over the last thirty years library journal budgets have risen by a staggering 500 percent (see chart), which inevitably leads to cuts in other areas of library budgets. UC was paying Elsevier more than $10 million per year for its big deal. Altogether, the publisher’s revenue in 2018 surpassed $3 billion and its profits exceeded $1 billion, resulting in a gaudy profit margin of 37 percent.

Universities are understandably tired of big deals. Not only have big deals meant runaway prices, they also perpetuate an outdated business model from a time when subscriptions were an efficient way to pay for the cost of printing and distributing journals. Today subscriptions are inefficient for the simple reason that journals can be published online for immediate access. Publishers like Elsevier, however, have an interest in keeping the old system alive. This is why they continue to invest in expensive publishing platforms that restrict access to only the wealthiest institutions. There must be a better way.

The solution proposed by the University of California is to do away with the big deal concept and replace it with what is known as a “read and publish” agreement. A read and publish agreement (RAP) is a single integrated contract that enables a library to pay a one-time, up-front charge for the right to read all of a publisher’s content and to publish in any of that publisher’s journals under an open access model. The first RAP agreement in North America was announced last year, between the MIT Libraries and the Royal Society of Chemistry. Ultimately, the goal of RAP agreements is to transition scholarly publishing to a universal access model.

Momentum Is Building

UC is by no means the first university to stand up to Elsevier, but UC has special clout because of the sheer size and research output of its ten-campus system, which accounts for nearly 10 percent of the nation’s research publications. Meanwhile, governments and national research funders are increasingly demanding open access to their researchers’ articles, even imposing concrete deadlines. Sweden’s government is calling for OA by 2026. Norway’s goal is 2024. The initiative known as Plan S is even more ambitious. Originating in Europe, Plan S calls for all publicly funded research to be published in open access journals by 2020. The Bill and Melinda Gates Foundation was the first North American foundation to sign on to Plan S.

As more universities and governments push for open access, the more it seems that Elsevier is destined to lose this battle. But this does not mean that it will lose the war. Elsevier is shrewd enough to adapt to (and even shape) whatever new business model emerges around open access publishing. Perhaps anticipating this change in business model, Elsevier has skillfully and steadily turned itself into one of the world’s largest publishers of open access as well as toll-access journals. It has also been diversifying its business portfolio to the point that it no longer even refers to itself as a publisher but as a “global information analytics business.” In other words, Elsevier is not going away anytime soon.

Implications for Virginia

Virginia will soon be in UC’s shoes. In 2004 seven Virginia research universities including Virginia Tech negotiated a big deal agreement with Elsevier. (The other schools are George Mason University, James Madison University, Old Dominion University, University of Virginia, Virginia Commonwealth University, and College of William and Mary.) The number of journals in that big deal was 1,800 and the total cost to the seven universities was $27 million over five years. The license has been renegotiated several times since then, and we are now in the third year of a five-year contract covering 2,278 journals at a total cost of $46 million. This contract will expire at the end of 2021.

Not surprisingly, these universities are already looking ahead to 2021 and considering the possibility of walking away from Elsevier big deal as UC has done. (See, for instance, the University of Virginia.)

Here at Virginia Tech, the University Libraries, under Tyler Walters’s leadership, will be engaging the campus community in an ongoing conversation about how Virginia Tech can confront this scholarly publishing crisis. On this, we sincerely want your feedback. Please watch for Library-sponsored events that provide a forum for discussion. In the meantime, feel free to reach out to our librarians and engage them in conversations. Or let us know what you think by replying to this blog post or to future Open@VT blog posts. You can also find up-to-date information at the Library’s Open Access-Open Knowledge website.

Art from Frankfurt Bookfair, 2010 (CC0 1.0)

Lulu has announced the launch of a new online publishing platform that it is calling Glasstree. If you’ve heard of Lulu before you probably know it as one of several heavyweight players in the self-publishing arena, alongside Amazon (Kindle Direct), Apple (iBooks Author), and iUniverse. What makes the Glasstree announcement intriguing is that Lulu is explicitly setting its sights on “academic and scholarly authors and communities.” In other words, Lulu wants to be a scholarly book publisher.

What are the chances that Lulu’s experiment will succeed? At first glance, it sure seems unlikely. As popular as self-publishing has become (DIY titles account for over 40% of all trade eBook sales), any impact it has had on the academy has thus far been modest. After all, one of the bedrock principles of scholarly publishing is gatekeeping (i.e. letting in the good; keeping out the bad), a principle that seems fundamentally at odds with the self-publishing tenets of fast, easy, and low-cost. Indeed, DIY publishing companies pride themselves on minimizing the barriers to publication—surely a sign that Lulu faces an uphill battle. And yet, a closer look at the Glasstree website suggests that Lulu has a strategy that is at least worth watching.

To its credit, Lulu doesn’t hide its intentions. Visitors to the Glasstree home page are immediately greeted with a barrage of not-so-subtle one-liners aimed squarely at appealing to scholarly authors:

PUBLISH AND PROSPER

Glasstree Returns Control to Academic Authors

Experience Scholarly Publishing in a Whole New Way

A Better Publication Model for Academic Authors

What author doesn’t want more control over the publishing process or, for that matter, a chance to publish and prosper? You’ve certainly got my attention. Then comes the real sales pitch:

The existing academic publishing model is broken, with traditional commercial publishers charging excessive prices for books or ridiculous book publishing charges to publish Open Access books.

The give-away here is the mention of “traditional commercial publishers,” an obvious reference to the handful of conglomerate publishers that now control a sizable share of the academic monograph market—publishers including Elsevier, Springer, Wiley, and Taylor & Francis, which together churn out thousands of monographs each year at list prices that routinely exceed $100 per volume. Indeed, as one reads on it becomes clear that Lulu is appealing not so much to scholars working on their first (i.e. tenure) book but to experienced scholars; specifically, experienced scholars who have published previously with a commercial academic press and who feel burned by the experience. The following paragraphs reel off a familiar litany of complaints that one might hear outside the book exhibit hall of pretty much any scholarly conference:

Academics or their supporting institutions are poorly paid for their content. Profit margins are strongly skewed towards the publisher, with crumbs for the author and/or their employers. Submission to publication times are far too lengthy and service and marketing support insufficient.

Besides the lack of editorial assistance, marketing support, and a complete absence of urgency, traditional academic publishers are now often viewed as cherishing profits over the advancement of knowledge, and accommodate their shareholders over their authors.

Some of these complaints surely could be leveled against university presses, but the real target here is obviously commercial publishers, viz. the presses that cherish profits over advancement of knowledge while accommodating the interests of shareholders over authors. Indeed, it is this resentment-stoking aspect of Glasstree’s appeal that surely has a chance of resonating with a specific subset of authors—those both inside and outside the academy who are not subject to the pressures of tenure and promotion and therefore can afford to publish their books wherever they want. While it is hard to imagine most research universities taking a Glasstree book seriously for tenure, I can certainly see established scholars, particularly productive ones who are no longer in need of a monograph for promotion, using a service like Glasstree to publish “labor of love” books or books that grow out of side projects that wouldn’t count anyway toward career advancement—or simply books that no university press will take on. In short, Glasstree could be an attractive outlet for any number of books that typically would go to commercial academic publishers more so than university presses.

Of course, some will argue that commercial academic publishers, despite their faults, still employ peer review. It may not be as rigorous or as consistent as the peer review done by university presses, but it is certainly more than what one gets from a self-publishing company. But this is where Lulu’s plans for Glasstree really get interesting. According to the Glasstree website, Lulu is also launching Glassleaf Academic Services, which offers “peer review, all forms of editing, illustration and design, translation and professional marketing services. These services are designed for the academic community and are offered at affordable prices.” Lulu does this by offering tiered service packages (1-Star, 2-Star, & 3 Star) that start “as low as $2,625” and can go up over $8,000. Books can then be published in a variety of formats—both softcover and hardcover as well as eBooks, including Open Access eBooks.

It is unclear who will be doing all of this work but it seems that Lulu actually plans to hire living and breathing people—Content Project Managers—to at least oversee some form of peer review, copyediting, design, and marketing, even if they have some way of automating the work to exploit economies of scale. Here’s what the website specifically says about peer review:

Peer Review: Strengthening Your Content
This service is designed to save you time and effort in gathering peer reviews of your work. A Glassleaf Content Project Manager will manage the entire peer review process and consolidate feedback for you. Your Content Project Manager will compose a questionnaire and share it with you for review prior to distributing it with your content. The number of reviewers will vary according to discipline and your preference.

After the review process is complete, your Content Project Manager will provide you with the actual peer reviews and, in a summary report, will highlight significant and consistent commentary from your peers’ comments. After the report is compiled, you will meet with your Content Project Manager to review the summary of the reviewer’s commentary.

It is also worth noting that Glassleaf plans to offer 3 types of peer review: open, single blind, and double blind. Authors will be responsible for paying reviewer fees although the Content Production Manager will “negotiate the lowest possible fees on the author’s behalf.”

Caxton Showing the First Specimen of His Printing to King Edward IV at the Almonry, Westminster (Source: Cassell’s History of England, Vol. 2, 1909)

Once again, I want to reiterate my overall skepticism that this type of DIY publishing will have a serious impact, at least for now, on scholarly monograph publishing as it interlocks with the current T&P system. In this, university presses still have a unique role to play. Still, one can’t help but wonder if Lulu isn’t onto something. Might they have found a sweet spot between the two endpoints of the scholarly publishing spectrum, non-profit university presses on the one end and commercial publishers on the other? The missing piece for self-publishing companies like Lulu has always been quality control, but as the quality of commercially published books continues to fall and price tags continue to rise, the Glasstree model has some definite advantages. Even the pay-for-services aspect doesn’t seem so foreign now that various proposals are being considered for subvention-funded (i.e. pay-to-publish) OA monographs. Perhaps the emergence of companies like Glasstree will force us, at last, to get a grip on what it costs to produce scholarly books and, more importantly, find ways to actually drive down those costs.

No matter how you look at it, the once-staid world of scholarly publishing is getting messier and messier. And it’s only going to get more so. According to the Glasstree website, Lulu has its sights set on more than just books:

Glasstree, in its initial phase, will publish books—monographs, thesis, series, serials, textbooks, etc. (both soft and hardcover, with a range of paper types, binding types, etc.), and eBooks (including Open Access eBooks). Future phases will focus on article based publishing, journals, conference proceedings, data sets, etc.

We all need to brace ourselves for what lies ahead.