OADJS Findings
OADJS Findings
OADJS Findings
OA
Diamond
Journals Study
Exploring
1
collaborative
community-driven
publishing models
for Open Access
Part
Findings
Title:
The OA Diamond Journals Study.
Part 1: Findings
Authored by:
Jeroen Bosman, Jan Erik Frantsvåg, Bianca
Kramer, Pierre-Carl Langlais, Vanessa Proudman
DOI:
10.5281/zenodo.4558704
Report dated:
March 2021
-4-
Contributors
Arianna Becerril Jan Erik Frantsvåg Pierre Mounier
Redalyc/AmeliCA UiT The Arctic University of Norway OPERAS
Didier Torny
CNRS
Funders
Steering Group
Zoé Ancion Victoria Tsoukala Gareth O’Neill
ANR European Commission Technopolis
Technical Team
Alison Cavatore Chloé Lebon Paulin Ribbe
Copy-editing Administration and finance Project management
-5-
Foreword
We are delighted to present the results of the study commissioned last year by cOAlition S,
with financial support from Science Europe, to provide an analysis and overview of
collaborative, community-driven open access journals and platforms (aka “OA diamond”).
The main objectives of the study were to provide an analysis of the global landscape
of OA diamond journals and platforms, identify their current funding models and their
technical and organisational challenges, and examine the potential for collaboration and
shared services. In addition, we asked for an action plan and recommendations to bolster
and co-finance this crucial part of the academic publishing landscape.
The study presented today reveals a vast archipelago of OA diamond journals that was
previously obscured by discussions mainly focused on the transformation of commercial
models for academic publishing. The rich landscape that heaves into view shows, for the
first time, to what extent the diamond publishing model serves the academic community
through its variety of scholarly disciplines, languages, and cultures. To a large extent,
the study uncovers the full dimension of an important part of the world of scholarly
dissemination that is as old as science itself: the scientific community assessing scientific
quality and managing scholarly communication on its own.
Moreover, the study shows that the collaborative, community-driven publishing model
needs to be more efficiently organised, coordinated and funded to better support
researchers in disseminating their work. These elements are essential for this type of
publishing to be sustainable in the long term, and to reveal its full potential in the context
of open science. We hope that the study will initiate a community-wide discussion
leading to concrete steps for consolidating this vital infrastructure.
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Executive Summary
Context
From June 2020 to February 2021, a consortium of 10 organisations undertook a large-
scale study on open access journals across the world that are free for readers and au-
thors, usually referred to as “OA diamond journals”. This study was commissioned by
cOAlition S in order to gain a better understanding of the OA diamond landscape.
Presentation
The study undertook a statistical analysis of several bibliographic databases, surveyed
1,619 journals, collected 7,019 free text submissions and other data from 94 questions,
and organised three focus groups with 11 journals and 10 interviews with hosting plat-
forms. It collected 163 references in the academic literature, and inventoried 1,048
journals not listed in DOAJ.
Main findings
Landscape:
Charting the variety, scope and impact of OA diamond journals in various
disciplines and regions
-7-
Compliance:
How OA diamond journals comply with industry standards exemplified by
Plan S technical requirements
Dynamics:
Understanding how OA diamond journals work and the challenges they face
Sustainability:
Understanding how OA diamond journals are funded and how sustainable
they are
-8-
Contents
Introduction 11
Landscape 21
Charting variety, scope and impact of OA diamond journals
in various disciplines and regions
Compliance 49
How OA diamond journals comply with industry
standards exemplified by Plan S technical requirements
Dynamics 75
Understanding how diamond journals work
and the challenges they face
Sustainability 107
Understanding how diamond journals are funded
and how sustainable they are
Bibliography 127
Annex 129
Introduction
Presentation
of Data and
Methodology
The OA Diamond Journals Study
›Definitions
Hosting platforms: A web hosting service that allows journals to make their website accessible
via the World Wide Web. In the context of OA diamond journals, hosting platforms are almost
always joint dissemination platforms, such as OpenEdition , Redalyc and Scielo .
Handle: Persistent identifier allocated to a digital resource on the Internet. The Handle system
enables the separation of the resource identification from its location. The DOI system is a specific
application of the Handle system.
In kind: Goods and services, and transactions not involving money. In the context of this report,
it means any task performed, or resource made available for an OA diamond journal, which is
not charged to the journal.
OA diamond journals: Journals that publish without charging authors and readers, in contrast
to APC Gold OA or subscription journals.
›Acronyms
APC: Article processing charge is a fee that is sometimes charged to authors to make a work
available through open access.
DOAJ: Directory of Open Access Journals is a community-curated online directory that in-
dexes and provides access to open access and peer-reviewed journals.
CMS: Content management system is a computer software used to manage the creation and
modification of digital content.
DOI: Digital object identifier is a persistent identifier used to uniquely identify digital objects.
In the context of this report, they are provided to identify journal articles by organisations such
as Crossref and Datacite .
FTE: Full-time equivalent is a unit that indicates the working quantity of employed or voluntary
persons for a given task or organisation.
JATS: Journal Article Tag Suite is an XML schema used to describe scientific literature published
online.
HTML: Hypertext Markup Language is the standard markup language for documents designed
to be displayed in a web browser.
OJS: Open Journal Systems is a free software for the management of peer-reviewed academic
journals; it is created by the Public Knowledge Project and released under the GNU General
Public License.
ORCID: Open Researcher and Contributor Identifier is used to uniquely identify authors and
contributors of scholarly communication.
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Introduction
PDF: Portable Document Format, developed by Adobe, is a file format to present documents,
including text formatting and images, in a manner independent of application software, hard-
ware and operating systems. Based on the PostScript language, each PDF file encapsulates a
complete description of a fixed-layout flat document.
PID: Persistent identifier is a long-lasting reference to a document, file, web page, or other ob-
ject. In the context of this report, it mainly concerns articles, journals and authors.
XML: Extensible Markup Language is a markup language that defines a set of rules for encoding
documents in a format that is both human-readable and machine-readable.
›Online Survey
From mid-June to mid-July 2020, we prepared an online survey listing 94 questions to collect
data on the different components of diamond journals, including:
1. Legal structure and governance
2. Authorship
3. Content and metadata
4. Editorial quality assurance practices
5. Technical framework
6. Funding model
7. Dissemination and readership
8. Challenges
The structure and questions of the survey are annexed to the report.
To increase the reach and balance of the survey, we translated the introductory text and the
questions into six languages: English, French, German, Italian, Spanish, and Portuguese.
We used SurveyMonkey to manage the dissemination of the survey and the collection of responses.
The survey was disseminated to all diamond journals identified in the Directory of Open Access
Journals (DOAJ), 30 mailing lists, 9 hosting platforms and aggregators, 10 partners and com-
munity websites, and several personalities and social media accounts to be shared worldwide.
A crowd-sourced list of Diamond journals (particularly those not included in DOAJ) was also
used to disseminate the survey to specific journals.
Open from 22 July to 11 September 2020, the survey produced 2,605 “raw” events, including ap-
proximately 1,900 identifiable answers (with name and email address of the respondent). Eventually,
after further cleaning (deduplication, removal of fake answers), we collected 1,619 valid responses.
From the 94 questions, 21 were not asked to journals who declared being indexed in DOAJ
because data was already available there. To the question: “Is the journal already registered in
DOAJ?”, 1,136 journals answered “yes” (skipping questions 8 to 29), 431 answered “no”, and
52 answered they “don’t know”. Data were then extracted from DOAJ for the 1,136 journals
concerned and added to the final dataset to be analysed.
For publication of the dataset and reference to individual answers in the reports, names and
email addresses of the respondents, as well as identification of the journals (title, URL, ISSN),
were removed. The individual responses are identified in the following reports by unique nume-
rical identifiers generated by SurveyMonkey.
Different circumstances (the scope of the organisation funding the study, the focus of the call
for tender, and the composition of the consortium) influenced the collection of information,
particularly in terms of geographic representativeness. Section 1 below gives details about the
geographical biases of our dataset, compared to the geographical distribution that can be found
in other databases.
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The OA Diamond Journals Study
In addition to geographical bias, there may be other biases in the responses due to the motiva-
tion of journals to participate in the survey or not. For instance, journals may have decided to
participate to demonstrate their viability, or conversely, to highlight their needs for additional
support.
Attrition of participation is a major issue. This problem is not limited to the free text; it affects all
the fields of the survey that could not be recovered from the DOAJ since the respondents could
skip a question for a variety of reasons, either because they were not interested or because they
did not have time.
In the case of the free text, some of the submissions could be deemed irrelevant. For example,
in the response to a question about how funders may support non-commercial journals in the
future, more than 100 respondents simply restated their current funding situation. Additio-
nally, many of the answers are very brief and not completely exploitable because they include
a simple phrase that may not accurately summarize the situation of the journal. On the other
end of the spectrum, 50-100 free text responses are very detailed and therefore become more
highly represented when the corpus of submissions is analysed at the sentence or the state-
ment level rather than at the text level.
Distribution of the length of the submissions in the free text questions with submissions with
less than 50 words in red. Except for Ideal World and Others challenges, most of the questions
are dominated by short answers.
As a result, any quantitative analysis of the distribution of answers or potential recommendations should
proceed cautiously as we are dealing with a series of nested samples with only a portion of the total res-
pondents answering the questions and, within those responses, only a share is exploitable. Additionally,
we had to deal with the fact that the more extensive answers would be more representative.
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Introduction
sparingly (less than 20 occurrences) since respondents were free to use synonyms or alternative
expressions.
For various questions, it was possible to retrieve the main arguments using a syntax analysis
with Spacy. The graph below lists the most important hierarchical syntax relationships between
a headword and a dependent word in a sentence for the peer review challenges.
This approach worked well for the peer review challenge since the submissions are heavily domi-
nated by the issue of finding and recruiting reviewers. Yet beyond this major thematic, the other
topics are quickly buried under a long tail of alternative formulations. For instance, the management
of review occurs less than 10 times, simply because there are multiple ways to express this idea.
Consequently, we explored alternative methods that were not limited to a formal dataset of
word occurrences but relied on a “semantic space” of words and sentences. BERT is an impor-
tant novel application in computational linguistics that uses deep learning models to recover
the semantic and syntax relationships within a corpus.
Semantic map of the sentences from the peer review challenges. The interactive version of the map can be
accessed here: http://numapresse.org/divers/peer_review_umap.html
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The OA Diamond Journals Study
This semantic map gives a general outlook of the leading thematics in the corpus. The position
of each sentence is optimized to bring statements with similar meaning closer together. We
used a simple clustering algorithm (in colours) to define potential “classes” of statements.
All these elements can be used for exploratory analysis. For example, clusters and positions
remain fuzzy approximations and have to be interpreted by a qualitative reading of several sen-
tences (which can be retrieved by hovering the mouse over the points).
In parallel, we manually checked the statements included in the 50 longer submissions of each
free text corpus. Given the “long train” distribution of the length of the text, this has proven a
rather efficient approach as it favours the more detailed and articulated comments that frequent-
ly include more elaborated propositions.
✔ The raw occurrences numbers do not take into account all the possible alternatives.
✔ The clustering methods remain fuzzy and probabilistic; they are indicative of discur-
sive consistencies but should not be taken at face value.
✔ Text mining methods are focused on the “semantic” value of the statements: they
are not able to discern intent. For instance, it’s not possible to automatically disso-
ciate the descriptions of the ongoing practices of the journal from their recommen-
dations of what should be implemented.
The pre-defined clusters speed up the annotation substantially because they are frequently
centred on one or two main topics. Additionally, statements non-relevant for the identification
of challenges or solutions tend to be bundled together and can be quickly dismissed.
Databases
To be able to quantify various dimensions of the diamond open access landscape, beyond what
we can derive from survey results, we have consulted various databases. The most important are
the Directory of Open Access Journals (DOAJ), the ROAD Directory of Open Access Scholarly Re-
sources, and Crawford’s Gold Open Access (GOA) databases.
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Introduction
The Directory of Open Access Journals (DOAJ) provides openly available data on over 15,000
open access journals. It details ISSNs, subject, language, publisher, publisher country, license and
date of addition. It also allows separating journals charging publication fees from those that do
not, i.e. diamond journals and data can be downloaded. DOAJ is an independent, non-profit orga-
nisation managed by Infrastructure Services for Open Access (IS4OA). Journal inclusion in DOAJ
is dependent on application by journals, but journals are vetted and are only included if they meet
a large number of technical and quality requirements, including peer review requirements.
We assume DOAJ data were correct when created, but we acknowledge that such data have a
risk of becoming less correct over time, as journals rarely take the initiative to update them as
realities change. In 2014, DOAJ started a re-application process where all journals in DOAJ had
to submit new applications with full information, so no metadata should be older than 2014,
and most should be even more up to date than that. Another source of uncertainty is the occur-
rence of typos, misunderstandings, etc. when entering data.
The ROAD Directory of Open Access Scholarly Resources (ROAD) is a service provided by the
ISSN International Centre and has data on almost 45,000 serial publications that have registe-
red as being open access. It shows ISSNs, subject, language, publisher, country, publication type
and status. Unfortunately, ROAD does not have information on fee-charging, making it impos-
sible to discern between APC-based and non-APC journals. Also, ROAD depends on self-re-
gistration and has no strict vetting. The database is important because it is more inclusive than
DOAJ, potentially listing many journals that are diamond and that may have sufficient quality
but that have not yet applied for inclusion in DOAJ, along with journals that may have been re-
jected by DOAJ. The ROAD indirectly helps assess the total number of diamond journals statis-
tically by matching the full database with databases that do have information on fee-charging,
and by manually checking a sample of journals.
The annually updated Gold Open Access (GOA) databases provided by Walt Crawford hold
ISSN, subject and country but have special value added because of the information on APC
fee levels and on journal article volume, allowing analyses by journal size brackets. This dataset
also contains information about the publisher category and scholarly field. We used values
from GOA5 (2014-2019) , and created corresponding values for journals in our DOAJ file not
found in this dataset. Crawford’s data are based on a download from DOAJ on 1 January 2020.
Our separate DOAJ analyses are based on a file downloaded on 2 June 2020, these data are
published continually (https://doaj.org/csv ). For some questions, data for some of the survey
journals not in DOAJ are added to the DOAJ data and analysed with them. Of the survey jour-
nals, only 392 gave complete enough answers to the questions replicating DOAJ information
that it was seen as beneficial to include them with the DOAJ-based analyses. DOAJ data added
to the survey are taken from a file downloaded on 18 September 2020. For Section 2, we have
occasionally used a dump of 1 February 2021. For ROAD, a download was made on 11 No-
vember 2020.
For the paragraph headed “Registered or in registration in DOAJ” we have relied on a spread-
sheet published by DOAJ, detailing additions and removals, the latter also with a short descrip-
tion of why. It was downloaded in late January 2021, but only data from earlier years were used.
The URL for this resource is:
https://docs.google.com/spreadsheets/d/183mRBRqs2jOyP0qZWXN8dUd02D4vL0Mov_
kgYF8HORM/edit#gid=1650882189&range=A1
Literature review
We conducted a literature search, which led us to collect 160 references, focusing more parti-
cularly on the open access business models. The literature review was used primarily to design
the survey, prepare the focus groups, and analyse the answers collected. The references are
stored in a Zotero library, available online .
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The OA Diamond Journals Study
Interviews and focus groups
We organised three focus groups of journals, two in English and one in Spanish, and ten in-
terviews of hosting platforms and infrastructures. Each focus group lasted for two hours. The
participants were selected based on their free text submission to provide a representative se-
lection of the diversity of diamond models.
The discussion was initially focused on the requirements of cOAlition S using an experimental
journal checker. This is a small application that displayed the conformity of each participant in
different areas (technical requirements, editorial quality, copyright & licenses, financial data),
based on their submitted data to the survey. This opened a wider debate on the main challenges
that journals meet and where support could be most effective.
All the focus groups and the interviews were conducted remotely using an interview guide
(with two different versions: one for the journals and one for the hosting platforms). The guide
was not used as a constraining form but as a resource of potential questions and suggestions
depending on the evolution of the discussion.
Complementary studies
In parallel, SPARC Europe conducted a study on Scoping Open Science Infrastructures in Eu-
rope that provided complementary information about the services and hosting platforms OA
journals rely on.
Finally, this study will be followed by a complementary study led by the Center for Sociology of
Innovation to follow up recommendations with a complementary study to model operational
funding scenarios. This will serve to transform the recommendations and action plan into pos-
sible concrete funding and support schemes and to test them against the actual capacity of the
different stakeholders to implement them.
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Introduction
References to data sources in the report
In the following report, the data sources used can be mentioned as:
Complete bibliographic references can be found at the end of this report. All the survey ques-
tions can be found in Annex. The list of the databases used is presented in the introduction.
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The OA Diamond Journals Study
1
Landscape
Charting variety, scope
and impact of OA
diamond journals in
various disciplines and
regions
by Jeroen Bosman
& Bianca Kramer
Jeroen Bosman
Utrecht University Library
Jeroen Bosman (@jeroenbosman) is a scholarly commu-
nications and geoscience librarian at Utrecht Univer-
sity Library. He is an expert in the field of open science
and open access policy, practices and tools, as well as
scholarly search engines and web search. His main inte-
rests are open access and open science in all academic
fields, scientometrics, and visualisation and innovation
in scholarly communication. He is an avid advocate for
open access, open science, Scholarly Commons and for
experimenting with open alternatives. He has 25+ years
teaching experience in academic information skills and
has led dozens of open science workshops, including
internationally. He has a wide international network
among all stakeholder groups in scholarly communica-
tion. He is co-lead of the 101 Innovations in Scholarly
Communication project that surveys and charts deve-
lopments in scholarly communication, research work-
flow tools and practices. He has co-authored numerous
publications on open science and aspects of publication
cultures. All activities are carried out in the open and
resulting materials are fully open (CC-BY or CC0) and
linked to his ORCID account.
Bianca Kramer
Utrecht University Library
- 22 -
Landscape
Contents 1
1.1 Number of OA diamond journals and articles 25
› 1.1.1. How many OA diamond journals have
we identified in the world? 25
› 1.1.2. How has the number of OA diamond journals
developed over time? 28
› 1.1.3.How many articles are published by
OA diamond journals in total? 30
› 1.1.4 What is the number of articles in
OA diamond journals over time? 31
1.4 Scope 40
› 1.4.1 The institutional, national and international
authorship of OA diamond journals 40
› 1.4.2.National and international
readership of OA diamond journals 41
› 1.4.3.Publishing language diversity 41
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The OA Diamond Journals Study
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Landscape
1.1 Number of OA diamond journals and articles
›1.1.1 H
ow many OA diamond journals have we identified in the
world?
To be able to get a grasp on the size of the OA diamond landscape, it is fundamental,
1
but not easy, to get hold of the basic numbers of its size and share. There are various
estimates of the total number of journals (Table 1); however, no one authoritative number
exists and numbers differ due to the definitions, sourcing, counting and vetting methods
used. Table 1 shows various estimates, based on the different sources and criteria these
databases use.
37,333 (ROAD)
Active scholarly journals, open access, not all 17,537 (JournalTOCs)
guaranteed peer reviewed 16,158 (Scilit (Crossref based))
13,822 (Ullrichs)
Table 1. Global journal number estimates, checked November 2020. Numbers are as reported
at the moment of checking and not for a particular year, except for Scilit where the numbers
refer to 2019. Sources: Listed in table
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The OA Diamond Journals Study
Figure 1. Overlap of journals in DOAJ and ROAD. Source: Bruns et al. 2020
(ISSN-Matching of Gold OA Journals 4.0)
According to the Bielefeld ISSN-Gold 4.0 list, ROAD overlaps with DOAJ with 8,933
records, leaving 28,400 journals listed in ROAD but not in DOAJ. Of the 14,527 DOAJ
journals in the ISSN-Gold 4.0 list, 14,024 were still found in DOAJ in September 2020
and, of those, 10,194 were non-APC.
If one assumes that the distribution of APC versus non-APC in the part of ROAD that
does not overlap with DOAJ is the same as in DOAJ (at 73% OA diamond, see Table 2),
we could estimate the total number of OA diamond journals to be 0.73*28,400 (ROAD)
+ 10,194 (DOAJ) = 30,926.
Table 2. Open access models of DOAJ-listed journals covered in ROAD and not covered in ROAD.
Sources: DOAJ, Bruns et al. 2020 (ISSN-Matching of Gold OA Journals 4.0)
However, there is still the possibility that journals in ROAD that are not in DOAJ have a
different OA diamond share than journals that are in DOAJ. We verified this by looking
at a random sample of 500 records labelled as active scholarly journals, from a down-
load of the full ROAD database. The sample of 500 was stratified to make sure that
the main disciplinary groups (HSS, science, technical/medical sciences) were equally
represented in the sample and full database. Of these 500, 382 were found not to be
in DOAJ. We manually checked the websites of those journals to see whether they
were charging fees or could be labelled OA diamond. We then applied the OA diamond
percentage of that sample to all journals listed in ROAD but not in DOAJ to arrive at a
more reliable estimation of the minimum and maximum number of OA diamond jour-
nals outside DOAJ.
We found that in our sample of 382 journals listed in ROAD but not in DOAJ, between
23.8% and 65% are OA diamond. The lower figure of 23.8% is journals that explicitly
state that they do not levy APCs. The higher figure of 64.7% includes journals that do
not provide data on whether they have APCs or not (Figure 2). In addition, we found
that some 19% of journals are not an active open access journal because of having
ceased publishing, being a closed/subscription journal or being unfindable. Our revised
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Landscape
total estimate of OA diamond journals (with an ISSN) is therefore somewhere between
0.238*28,400 + 10,194 = 16,953 and 0.647*28,400 + 10,194 = 28,569
1
Figure 2. Business models of a sample (n=382) of journals in ROAD but not in DOAJ.
Source: Manual check websites of journals in the ROAD sample
Both the lower bound of ~17,000 and the upper bound of ~29,000 OA diamond jour-
nals have the issue that the ones in those numbers that are based on ROAD data have
not been vetted for quality in a manner comparable to the DOAJ application process.
The upper bound additionally has uncertainty about journals that might levy APCs
without stating so on the website, though we expect these cases to be quite rare.
So, though for many thousands of journals there remains some uncertainty, it seems
probable that there are up to 29,000 diamond OA journals. Finally, it is relevant to note
that of all the OA diamond journals encountered in the sample, next to zero self-identify
as being a diamond or no-APC journal.
Figure 3. The overlapping sets of DOAJ and survey journals in the full journal landscape.
Numbers rounded to nearest hundred. Sources: DOAJ, Survey
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The OA Diamond Journals Study
›1.1.2 H
ow has the number of OA diamond journals developed
over time?
Apart from the total size and share of OA diamond, it is interesting to look at the deve-
lopment of the OA diamond landscape over time. How old is the OA diamond journal
model? Are new OA diamond journals still being created? Figure 4 shows the develop-
ment of DOAJ journal numbers over a period of time, using the year the journal was
added to DOAJ. There is usually a time lag between a journal being established as OA or
converted to OA, and being accepted by DOAJ, so many journals will be older than this
graph suggests. This graph excludes journals that have been removed by DOAJ. Note
that 2020 data only contains information until early June 2020. When looking at just
the OA diamond journals, we see a similar pattern (Figure 5).
Figure 6. APC-based open access journals by year of addition to DOAJ. Source: DOAJ
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Landscape
The development over time is strikingly similar for both OA diamond and APC-based
journals (Figure 6). There was strong growth until 2017, except in 2014, when the DOAJ
re-application process started and many resources were spent on that. The re-appli-
cation process also removed approximately 5,000 journals between 2014 and 2017.
There is some decline in the number of new journals since 2017, which could indicate
that DOAJ has, to some extent, “exhausted” the pool of eligible journals that wish to be
1
listed, and/or a slower growth in the number of eligible journals. Minor changes from
year to year could be the result of changes in the queue of pending applications.
Figure 7. DOAJ: The development of the number of journals added and journals removed
in the last three years (numbers include all of 2020).
Source: DOAJ public spreadsheet with added and removed journals
Both the number of journals admitted and the number of journals removed have grown over the
last three years, resulting in an overall growth in DOAJ data (Figure 7). Unfortunately, no data
exists on application numbers, although DOAJ reports having a rather high rejection rate, for va-
rious reasons.
The data above shows when OA diamond journals were added to DOAJ, not necessarily when
they were created or first made their content available OA. Until late 2020, DOAJ metadata also
contained a field: “First calendar year journal provided online open access content”. From the data
we find—starting with the year 1881—it seems obvious that, at least for some journals, this is the
date of the oldest content made available, not the date this content was made available. We see
that there is much content made available that dates from before the journal was added to DOAJ
(Figure 8). Obviously, some older journals have done retro-digitization of content. Because of the
inherent ambiguity in the question, DOAJ has removed this field from their current application
form and metadata (DOAJ 2021 ). Our survey does provide some additional information on
when OA diamond journals were created, made available online, made available open access, and
made available as OA diamond, which is discussed in paragraph 1.6.1.
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The OA Diamond Journals Study
Figure 8. Launch years of (current) open access journals. Source: DOAJ. NB Content for older years
probably made online open access retrospectively
›1.1.3 H
ow many articles are published by OA diamond journals
in total?
Journal numbers do not tell the full story, as journals can publish just a handful or many
hundreds of articles annually. Based on numbers for 14,368 DOAJ journals, partially
from Crawford’s GOA(5) and partially counted manually, and using the annual average
number of articles per journal for the years 2017–2019, we estimate an annual produc-
tion of:
Assuming that the annual number of articles in scholarly journals is around 4.0 to 4.4
million (averaging 2017-2019, using data from the bibliographic databases Dimensions
and Lens), we see that OA diamond publishes around 8-9% of the total number of scho-
larly articles, and APC-based OA journals around 10-11%. This indicates that OA jour-
nals in DOAJ publish about one-fifth of the total global scholarly output. This is an esti-
mation at best, since it does not include diamond journals not in DOAJ, and is limited to
coverage of scholarly output in Dimensions and Lens (which are already more inclusive
than e.g. Web of Science and Scopus).
The numbers used here represent not only research articles but also other types of
content. Almost half of the journals in our survey also contain book reviews, and subs-
tantial numbers also publish conference proceedings and opinion pieces (Figure 9). We
know that book reviews are an important publication type for humanities scholars in
particular.
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Landscape
Figure 9. Content types published. Source: Survey (Q17, n=439, non-DOAJ journals only)
›1.1.4 W
hat is the number of articles in OA diamond journals
over time?
It is also interesting to look at the change in article numbers over time. Crawford’s
GOA(5) data set gives us data for the years 2014–2019 for journals in DOAJ at the end
of 2019 (Figure 10).
Figure 10. DOAJ article numbers from 2014-2019 by open access model, absolute (left) and
as shares of DOAJ total (right). Source: GOA(5)
OA diamond journals show a continuous, but slowing, growth in article numbers between
2014 and 2018 and a decline in 2019. APC-based journals, on the other hand, show a
continuous and accelerating growth over the whole period. The share of OA diamond
journals in DOAJ declined slowly between 2017-2018, but more markedly in 2019.
(Note: These numbers are somewhat lower than the corresponding numbers provided
in section 1.1.3. This is because section 1.1.3 includes article counts for 2017-2019 for
journals added to DOAJ in the first half of 2020.)
- 31 -
The OA Diamond Journals Study
OA diamond journal publishers based? Looking at DOAJ, of the 11,000 OA diamond
journals, about 45% are published in Europe and 25% in Latin America (Figure 11, top
left). The remaining quarter originates from other world regions, with Asia taking the
largest share of that and a surprisingly small number of journals based in the US and
Canada. Europe’s share of OA diamond journals in DOAJ, though large, is still relatively
weaker than its share of APC-based OA journals (Figure 11, top right), mainly due to the
large number of those journals based in Western Europe. It is striking that the OA dia-
mond model is indeed much more prominent among Latin American OA journals. Wit-
hin Europe’s share, it is interesting to see that journals from countries grouped together
by Crawford as “Eastern Europe” are also overwhelmingly of the OA diamond type.
Figure 11. Journals by location of publisher. Note: All regions are based on the assignment
of Walt Crawford in GOA(5). Source: DOAJ and Survey (Q14)
We can check biases in our survey response by comparing the donuts in the top left and
bottom left of Figure 11. The OA diamond journals in our survey that are also in DOAJ
show an overrepresentation of Western Europe and US/Canada and an underrepresen-
tation of Eastern Europe and Asia in particular. This may have been caused by biases
in our survey dissemination practices, but other factors like language and capacity to
respond may also have played a role. The journals from our survey that are not listed
in DOAJ (Figure 11, bottom right) are even more characterised by a very large share of
Western Europe, and smaller shares of Latin America and Eastern Europe, at least com-
pared with DOAJ. However, we cannot be sure as to what extent the distribution of the
latter category is due to biases or a reflection of real geographical differences between
OA diamond journals.
- 32 -
Landscape
Figure 12. Shares of OA diamond and APC-based open access models in DOAJ-listed
journals. Source: DOAJ
Figure 12 shows OA diamond and APC-based open access models in DOAJ by world
region. We see that Western Europe has the largest proportion of APC-based journals,
together with Africa, at around 45%. The US and Canada follow with 37%, and then
Asia with 29%. The global average is 27% APC-based, 73% OA diamond journals. Even
more clearly than in the previous figure is the dominance of the OA diamond model in
Latin America with 95% being OA diamond, followed closely by Eastern Europe and the
Middle East. Apparently there are reasons why OA journals from those regions have
seen no reason (or opportunity) to embrace more commercial models. Most major, large
commercial publishers are based in Western Europe or US/Canada, which explains some
of the relative dominance of the APC-model in these regions. Without these publishers,
Western Europe and US/Canada would be more similar to other regions. Africa seems
to be an anomaly, but data indicates that there are relatively more journals in medicine
and science, and a larger part of journals based with publishers than elsewhere.
›1.2.2 Distribution of OA diamond journals by discipline
Since publication cultures vary widely between disciplines, it is important to zoom in
on the distribution of OA diamond journals by subject domain. Crawford’s subject clas-
sification from GOA(5) was applied to both DOAJ and survey data to group journals
into three subject groups: social sciences and humanities (HSS), medicine, and sciences.
Comparing the OA diamond journals in DOAJ (Figure 13, top left) by discipline with
APC-based ones (idem, top right) we above all see a dominance of HSS journals among
OA diamond DOAJ titles, while HSS is the smallest group of disciplines among APC-le-
vying journals.
- 33 -
The OA Diamond Journals Study
Figure 13. Journals by discipline. Sources: DOAJ, GOA(5) and Survey (Q40)
That same HSS-prevalence is found in the OA diamond journals of the survey (Figure
13, bottom left and right). However, the survey data is slightly different in that it has a
separate category for multidisciplinary journals, which in the DOAJ data are scattered
over the other disciplines. The disciplinary distribution of surveyed OA diamond jour-
nals not listed in DOAJ is very much akin to that of those that are.
Figure 14. Journals by funding models for the three disciplinary groups. Source: DOAJ and GOA(5)
The share of APC and OA diamond models are markedly different in the three dis-
ciplinary groups (Figure 14). While the HSS journals in DOAJ are predominantly OA
diamond, open access journals in science and especially medicine in DOAJ have less
dominant OA diamond shares: about half for medicine journals and about two thirds
for science journals. It should be noted that the apparent preference for OA diamond
as opposed to APC based models in HSS need not be a direct consequence of the HSS
field as such, but could also be more indirectly related via another explaining variable
such as journal size, of which we know it is on average smaller in HSS fields. In addition,
- 34 -
Landscape
›1.2.3
small HSS journals are often owned by universities and societies who often prefer OA
diamond models, while many big science and medicine journals are owned by commer-
cial publishers, more inclined to use APC models.
D
istribution of OA diamond journals by publisher size and
type
1
One of the important aspects of the scholarly publishing landscape is its composition in
terms of publisher sizes. This affects competition, economies of scale, market consoli-
dation processes and more. For OA diamond journals, size is strongly skewed towards
the very small publisher size brackets (Figure 15), with a large majority of journals publi-
shed by those with five or fewer journals, and often even just a single one. APC-based
OA also includes many journals from small publishers, but it also has a large number of
journals from very large publishers. OA diamond journals are, to a quite limited extent,
published by large publishers. This size composition can be viewed positively, as a re-
flection of diversity and researcher-led publishing. At the same time, it means a very
fragmented sector with likely stronger challenges in terms of communication, support,
collaboration and, potentially, also technical publishing competencies. The fact that few
OA diamond journals belong to large publishers means that there is less bargaining
power for funding, fewer resources for marketing and thus probably a lower visibility of
the OA diamond sector as a whole.
Figure 15. Number of journals by publisher size in terms of journals published (size determined using
the sum of OA diamond and APC-based journals). Source: DOAJ
In certain ways, related to publisher size is publisher type. Publisher types in the OA dia-
mond sector (Figure 16) are characterised by a large (>70%) share of university-owned
publishers, including university presses. Less than 20% of OA diamond journals are pu-
blished by (commercial and non-commercial) open access publishers or traditional pu-
blishers, that together publish almost 60% of APC-based journals.
Figure 16. Open access publishers by type for the OA diamond sector (left) and
the APC-based sector (right). Source: GOA(5)
- 35 -
The OA Diamond Journals Study
1.3 Journal size
›1.3.1 O
A diamond journal size, contrasted with APC-based
journals
The annual average number of articles per journal in DOAJ for the period 2017–2019 is
34 for OA diamond journals and 55 for APC-based journals. The corresponding medians
are 23 and 25, respectively, indicating that a relatively small number of APC-based jour-
nals account for the rather large difference in averages. In DOAJ we find that the majo-
rity of OA diamond journals (54.4%) publish 24 or fewer articles per year; only 33.4% of
APC-based journals have a similar size (Figure 17 and Table 3). On the other end of the
scale, only 0.2% of OA diamond journals publish 500 or more articles per year, against
3.4% of APC-based journals.
Figure 18. Number of articles published by journal size in terms of number of articles per annum.
Source: DOAJ
When analysing the data on numbers of articles by journal size brackets (Figure 18),
the number of articles appearing in very small journals (up to 10 articles per annum) is
negligible, for both APC-based and OA diamond journals. However, whereas articles
in APC-based journals predominantly appear in the larger journals (with 100+ articles),
articles in OA diamond journals predominantly appear in the mid-range size of journals
(10-99 articles).
- 36 -
Landscape
Annual
articles
0–4
Journals
OA diamond
243
Percentage
2.3%
Journals
APC-based
72
Percentage
1.8%
DOAJ total
Journals
315
Percentage
2.2%
1
5–9 901 8.6% 234 6.0% 1,135 7.9%
Table 3. OA journals by size and business model. Sources: DOAJ and GOA(5)
The survey also provides insights into the journal’s size. The data (Table 4) suggest the
same kind of distribution, skewed toward the lower size brackets, and even somewhat
more than what DOAJ data tells us.
0-4 44 3.2%
100-499 35 2.6%
500+ 2 0.1%
›1.3.2 OA diamond journal size by region
Looking more closely at OA diamond journals’ annual number of articles published by
geography and size (Table 5), we see that Asia, Australia/NZ, US/Canada and Western
Europe have more journals in the smallest size group (0-24 articles) than the average.
Eastern Europe, Latin America and the Middle East have more medium-sized journals
than the average. The US/Canada and Western Europe have more of the largest jour-
nals (with 500+ articles) than average, though the absolute numbers are small for this
group.
- 37 -
The OA Diamond Journals Study
Australia/ Eastern Latin Middle US/ Western Grand
Size group Africa Asia
NZ Europe America East Canada Europe Total
100–499 5 53 4 79 79 31 16 76 343
500+ 3 2 1 3 13 22
Percentages
0-24 57% 70% 68% 48% 45% 41% 65% 60% 54%
25–49 28% 18% 20% 32% 38% 41% 22% 28% 30%
100–499 4% 3% 4% 4% 3% 4% 3% 3% 3%
500+ 0% 0% 0% 1% 1% 0%
›1.3.3 OA diamond journal size per discipline
Applying Crawford’s subject classification from GOA(5) to the more recent DOAJ data
used in this study, we can group journals into three subject groups: humanities and
social sciences (HSS), medicine, and sciences. The average HSS OA diamond journal pu-
blishes 27 articles per year (median 20), science journals 43 (23) and medicine 47 (33),
for the period 2017–2019. Among APC-based journals, HSS journals publish 49 articles
annually (median 26), science 159 (41) and medicine 114 (47). Looking at sizes of OA
diamond journals (Table 6), we see that medicine journals are markedly larger than HSS
and science journals. Science journals are also somewhat larger than HSS journals.
- 38 -
Landscape
Annual
articles
Journals
HSS
Percent
Medicine
Journals Percent
Science
Journals Percent
All OA diamond
in DOAJ
Journals Percent
1
0–4 145 2.3% 37 2.1% 61 2.7% 243 2.3%
Grand
6,369 100.0 % 1,784 100.0 % 2,296 100.0 % 10,449 100.0 %
Total
Table 6. Distribution of DOAJ OA diamond journals in terms of number of articles published annually
during the years 2017-2019 by field and journal size. Source: GOA(5)
›1.3.4 OA diamond journal size by publisher type
In his GOA(5) database, Crawford also classifies publishers in four categories: Open Ac-
cess publishers (publishing only OA), Societies (including associations and government
agencies), Traditional publishers (publish both OA and subscription journals), and Uni-
versities (including colleges and educational and research institutes). We have added
the same classification for journals not in Crawford’s data, and find the following for OA
diamond journals in DOAJ (Table 7).
10–24 513 37.5% 404 36.8% 107 27.4% 3470 46.4% 4494 43.5%
25–49 376 27.5% 349 31.8% 120 30.7% 2292 30.6% 3137 30.3%
50–99 175 12.8% 165 15.0 % 85 21.7% 793 10.6% 1218 11.8%
Grand
1,368 100.0 % 1098 100.0 % 391 100.0 % 7482 100.0 % 10,339 100.0 %
Total
Table 7. Distribution of DOAJ OA diamond journals and number of articles published annually
during 2017-2019 by publisher type and journal size. Source: GOA(5)
- 39 -
The OA Diamond Journals Study
Our first observation is that the majority (72%) of OA diamond journals are published by
universities. Open access publishers and universities also publish mainly small journals:
more than 50% of their journals publish fewer than 25 articles per year. Traditional pu-
blishers have only 32% of their journals in this category and have the largest fraction of
large journals (100+) at nearly 16%, more than double any other publisher group.
1.4 Scope
›1.4.1 The institutional, national and international authorship
of OA diamond journals
In the discussion on the role of scholarly journals, it is interesting to put a finger on
what audiences the journals cater for, in terms of authorship as well as readership —
those at the institutional, national or international level? The study’s survey explores to
what extent OA diamond journals are nationally or internationally oriented in terms of
authorship as well as readership. In so doing, whilst also analysing this by world region
and disciplines, the report goes beyond the simple binary classifications of international
and regional journals often found. It does this by asking what proportion of a journal’s
authors is from the same country as the journal. The results (Figure 19) show the im-
portance of local journals, especially in Latin America and the Middle East, where over
three-quarters of journals report that at least half of their authors are from the same
country as the journal. Looking at disciplines, it becomes apparent that local OA dia-
mond journals are not only important in HSS, but also in medicine and for multidiscipli-
nary journals. Compared to these disciplines, OA diamond journals in the sciences have
an internationally-oriented author population more often.
Figure 19. Proportion of authors from the same country as the journal
(by region and discipline of journal). Source: Survey (Q37, n=1,365 (region), n=1,269 (discipline))
Though many OA diamond journals have a national focus, the survey found that the
number of journals that primarily serve authors at the institution the journal is asso-
ciated with is very low (Figure 20). Across regions, 5-10% of journals report a majority
of authors coming from the same institution as the journal. Looking at disciplines, these
journals are most often found in medicine, although this still only concerns a small mi-
nority of journals in this discipline.
Figure 20. Proportion of authors from inside the journal’s owning organisation (by region/discipline
of journal). Source: Survey (Q36, n=1,371 (region), n=1,278 (discipline))
- 40 -
Landscape
›1.4.2 National and international readership of OA diamond
journals
The survey also asked whether journal readership is larger outside or inside the journal’s
country. Here again we see the international orientation of many OA diamond journals,
as shown in Figure 21. Most notable exceptions are journals from Latin America and
1
the US/Canada where the majority report to predominantly serve a national audience.
Looking at disciplines, the largest proportion of more internationally-oriented OA dia-
mond journals are found in the sciences. For HSS and medicine, about an equal number
of OA diamond journals report a more international orientation as do a more national
orientation, and the same is true for multidisciplinary journals.
Figure 21. Share of journals stating their readership is mainly inside or outside their
country (by region and discipline of journal). Source: Survey (Q80, n=1,274 (region), n=1,202 (discipline))
›1.4.3 Publishing language diversity
In DOAJ, journals list the languages they publish in and data show that many journals
report publishing, or at least accepting, content in more than one language. Table 8
shows all languages mentioned by more than 100 journals, after harmonisation of the
data.
However, a high number of listings for a particular language does not necessarily mean
it is much used in the full-texts. In addition, a journal listing more than one language
will more often than not publish (much) more in one language than in the other(s), so
the table only shows how often a language is mentioned as a language the journal (may)
publish full-text content in. Over 100 journals do not use any of these 15 languages for
their full-text articles.
We see that while English is the most common language, it is more important for APC-based
journals than for OA diamond ones. Spanish, Portuguese and French play a much more im-
portant role for OA diamond journals than for APC-based ones. Generally, this holds for
most languages other than English, with Ukrainian and Persian as the notable exceptions
which, unlike most other languages, play an about equally large role in both models.
- 41 -
The OA Diamond Journals Study
All DOAJ journals OA diamond journals APC-based journals
Number of Number of Number of
Language Percent Percent Percent
journals journals journals
English 10,923 76.0 % 7,369 70.5 % 3,554 90.7 %
Spanish 2,776 19.3 % 2,681 25.7 % 95 2.4 %
Portuguese 1,917 13.3 % 1,820 17.4 % 97 2.5 %
Indonesian 1,329 9.2 % 951 9.1 % 378 9.6 %
French 993 6.9 % 953 9.1 % 40 1.0 %
Russian 733 5.1 % 593 5.7 % 140 3.6 %
Italian 529 3.7 % 513 4.9 % 16 0.4 %
German 417 2.9 % 394 3.8 % 23 0.6 %
Turkish 297 2.1 % 286 2.7 % 11 0.3 %
Ukrainian 297 2.1 % 180 1.7 % 117 3.0 %
Persian 259 1.8 % 170 1.6 % 89 2.3 %
Polish 225 1.6 % 186 1.8 % 39 1.0 %
Arabic 164 1.1 % 132 1.3 % 32 0.8 %
Serbian 134 0.9 % 126 1.2 % 8 0.2 %
Catalan 125 0.9 % 120 1.1 % 5 0.1 %
None of the 15
110 0.8 % 87 0.8 % 23 0.6 %
languages listed above
Table 8: Languages OA diamond and APC-based journals publish in. Source: DOAJ
A somewhat different picture arises from the survey data on accepted languages (Table
9). Though we found a comparable share overall of journals accepting English, that nu-
mber appears to be even higher for surveyed journals not in DOAJ, though still lower
than for APC-based journals in DOAJ. Also we find higher percentages for French, Spa-
nish and Portuguese, probably in part also caused by choices made in the dissemination
process of the survey. Due to the languages presented as preset options in the survey,
the languages in Table 9 differ somewhat from the most frequently observed languages
in DOAJ, with e.g. Indonesian, Turkish, Ukrainian hidden in the “Other(s)” category. The
proportion of ‘Other(s)’ languages mentioned is also larger.
- 42 -
Landscape
Many journals use more than one language, though two thirds appear to publish in just
one language (Figure 22, Table 10). There is a clear difference between OA diamond
journals and APC-based journals in DOAJ, with 14% of APC-based journals and 38% of
OA diamond journals being multilingual. Note that this does not give a complete picture
of multilingualism, since journals may use other languages not included in Table 9. This
will not influence numbers significantly.
1
As to the number of languages accepted (Table 10), we see that OA diamond journals
in DOAJ accepting four or more languages is almost 5%, but not even 1% among APC-
based journals.
Among survey respondents, the proportion of multilingual journals is even higher than
in DOAJ (Figure 23, Table 11). Of the DOAJ journals included in the survey, 48% are
multilingual (versus 38% of all OA diamond journals in DOAJ). Of the non-DOAJ jour-
nals in the survey, a full 60% are multilingual.
- 43 -
The OA Diamond Journals Study
Finally, from the survey data on numbers of languages accepted, we find that among
journals not in DOAJ, an impressive 14% accept four or more languages (Table 11).
- 44 -
Landscape
and Lens, even though both include all journals in Crossref (among other databases) and
are freely accessible worldwide. All numbers reported here thus represent lower bound;
actual numbers are probably higher and, in some cases, much higher. It would be useful
to do a full check to assess the actual coverage of indexing, and to assess the degree
of awareness of editors and owners of where their journals are indexed, but that goes
beyond the remit of this study.
1
Figure 24. Databases that index their OA diamond journal, as reported by respondents:
DOAJ (green), multidisciplinary bibliographic databases (blue), regional databases (yellow),
library systems, including discovery systems (light blue), others (orange). Source: Survey (Q81, n=1,359)
- 45 -
The OA Diamond Journals Study
Figure 25. Years journals were created, made available online, made available open access, and made
available as OA diamond. NB Data points that appear to go backwards in time have been omitted (e.g.
OA diamond date preceding OA date). Source: Survey (Q30, Q31, Q32 and Q33, n=1,550)
›1.6.2 Journal dynamics: Developments in article volume
The survey asked journals to indicate how the number of articles published per year
has developed over the last five years (Figure 26). Has article volume been increasing,
declining, remaining constant or fluctuating? Overall, almost three-quarters of journals
reported constant or increasing article volume, which can be taken as an indication for
journal health and stability. Almost one-fifth of journals appear less stable with fluctua-
ting article volume, and 4% of journals reported declining article volumes.
Figure 26. Journals by development of number of articles over the last five years.
Source: Survey (Q38, n=1,463)
When we relate the development of article volume to journal size, it appears that smal-
ler journals (fewer than 25 articles/year) are less stable than larger journals, and journals
that currently have between 25-100 articles per year are usually on a growing trajec-
tory, with over 50% of these journals reporting an increase in the annual number of
articles over the last five years (Figure 27).
- 46 -
Landscape
Figure 27. Journals by development of number of articles over the last five
years and by journal size group. Source: Survey (Q38, n=1,463)
Figure 28. Journals by development of number of articles over the last five years and
by disciplines. Source: Survey (Q38, n=1,463)
We estimate that OA diamond publishes around 8-9% of the total number of scholarly
articles, and APC-based OA journals around 10-11%. The share of OA diamond articles
of all open access journals has been declining since 2017. Compared to APC-based
- 47 -
The OA Diamond Journals Study
journals, OA diamond is especially strong in Eastern Europe and Latin America, and
weaker in Western Europe. Over half of OA diamond journals are found in HSS. Within
those disciplines, a large majority of open access journals is OA diamond, but also in
medicine, about half of full OA journals is OA diamond.
Most OA diamond journals are relatively small, but not extremely small. This is marke-
dly different from APC-based open access journals, where the majority of articles are
published in large or very large journals. Most OA diamond journals are the sole journal
of their publisher or are with a publisher having just a few journals. Most of these pu-
blishers are university-based. Though many OA diamond journals have a national focus
in terms of authorship, readership is often international. The survey found that the nu-
mber of journals that primarily serve authors at the institution the journal is associated
with is very low.
We see that while English is the most common language, it is more important for APC-
based journals than for OA diamond ones. In contrast to most APC-based journals,
many OA diamond journals accept multiple languages.
Almost all OA diamond journals have been OA diamond from the time they became
available online. Only a small proportion switched to an open access model after ha-
ving been available online as a subscription journal, and very few have switched from
an APC-based OA model to OA diamond. Almost three-quarters of journals reported
constant or increasing article volume, which can be taken as an indication for journal
health and stability.
In summary, OA diamond journals are very numerous, relatively small, often published
by small university-based publishers, strong in HSS but important in other disciplines as
well, and use the diamond model right from the moment of becoming accessible online.
The results indicate the importance of OA diamond journals. They also point at the main
dimensions to reckon with when fostering OA diamond journals: their geographical and
language diversity, their large number and often smaller size, and their publishers’ size.
- 48 -
Compliance
2
Compliance
How OA diamond
journals comply with
industry standards
exemplified by Plan S
technical requirements
- 49 -
The OA Diamond Journals Study
- 50 -
Compliance
Contents 2
2.1 Scientific and editorial quality 53
› 2.1.1 Compliance with COPE principles 53
› 2.1.2 Information on the peer review procedure 54
› 2.1.3 Information on editorial
management and submission/rejection 55
› 2.1.4 Registered or in the process of being registered in DOAJ 56
› 2.2.2 Recommendations 61
› 2.2.2.1 Author and grant PIDs 61
› 2.2.2.2 Self-archiving policy in Sherpa Romeo 61
› 2.2.2.3 Full-text in JATS XML 62
› 2.2.2.4 Automatic deposit of JATS XML
in author-designated repository 64
› 2.2.2.5 Compliance with OpenAIRE metadata standards 65
› 2.2.2.6 Does the journal require linking to data,
code, and other research outputs? 65
› 2.2.2.7 Does the journal provide openly-accessible data on citations
according to the standards of the Initiative for Open Citations (I4OC)? 66
- 51 -
The OA Diamond Journals Study
- 52 -
Compliance
2.1 Scientific and editorial quality
›2.1.1 Compliance with COPE principles
Source: Survey Q52
Plan S requirements specify “a solid system in place for review according to the stan-
2
dards within the relevant discipline and guided by the core practices and policies out-
lined by the Committee on Publication Ethics (COPE).” COPE represents good stan-
dards for review and other editorial practices, and issues guides and other resources to
help editors. No explicit information is available in DOAJ metadata as to to what extent
COPE guidelines are followed in the daily execution of editorial work. However, to-
gether with COPE, OASPA and WAME, DOAJ developed the Principles of Transparency
and Best Practices in scholarly publishing. These are guiding principles in the evalua-
tion of journals when applying, and the application form itself reflects that. Applying
to, and being accepted by, DOAJ should therefore be a strong indication of following
COPE principles and practices, or a corresponding set of principles and practices made
by similar initiatives.
The literature has shown that so-called international standards (COPE, ICMJE) were far
from being universally practiced. For example “top-ranked” or WoS-endorsed journals,
even when they formally declared following standards, had varied authorship policies
(Bosch et al., 2012, Bošnjak and Marušić, 2012), as well as duplicate and salami slicing
distinct policies — or even no policies at all (Ding et al., 2020).
In Figure 1 below, the survey answers are split between journals in the survey that are
also listed in DOAJ, and journals that are only in the survey.
When asked whether journals comply with best practice guidelines on publication
practices, 1,137 of the 1,477 journals that answered this question reported following
guidelines, whereas a very small number (51) do not. Almost 100 journals explicitly refe-
renced COPE, and a further 166 journals referenced the COPE website. This means that
at least 23.1% of journals referenced COPE here. Twenty-nine journals, roughly 2.5%,
referenced ICMJE (International Committee of Medical Journal Editors) which should
satisfy the criterion. No other guideline was referenced explicitly. Most journals, howe-
ver, answered with a URL, often to the journal itself, and cannot be categorised here.
- 53 -
The OA Diamond Journals Study
But this indicates the existence of some sort of guideline in this area, for most journals.
These might be internal to the journal, institutional, national or other standards that fit
the journal’s scope. We saw that the major difference between the survey journals in
DOAJ and not in DOAJ is that there are more “Blank” or “Unknown” answers among
journals not in DOAJ. The fraction that answers “No” is a bit higher for the journals not
in DOAJ.
There is a distinct possibility that going through the application process with DOAJ
makes journals aware of various aspects of publishing, and makes them think through
these aspects. Hence, journals in DOAJ will have a tendency to have a lower fraction of
“Unknown” answers, and of not answering.
›2.1.2 Information on the peer review procedure
Source: DOAJ, Survey Q26
In DOAJ, all journals (except one) indicated that they conduct peer review in a form
we assume meets with Plan S requirements. This is referenced with a URL pointing to
further information about the peer review procedure.
Figure 2 shows the distribution of the various types of review listed by the journals over
the two categories of journals, OA diamond and APC-based.
Blind and double-blind review are the most frequently used types, totalling more than
80% for both journal groups. The most striking difference is that double-blind peer re-
view is more commonly used by OA diamond journals, while blind peer review is more
commonly used by APC-based journals. This might, however, be more a matter of se-
mantics than of reality as labels for authors’ and reviewers’ anonymisation process vary
through time (Pontille & Torny, 2015).
- 54 -
Compliance
In the survey, Q26 is: “Please select the review process for papers published by the
journal.” In Figure 3 we have divided the answers between journals in DOAJ and jour-
nals not in DOAJ.
2
Figure 3. Review forms used by survey journals organised by those in DOAJ and those not
Double-blind peer review is higher than 50% for both groups, and is by a wide margin
the most important review process. Our conclusion is that all review processes used by
both DOAJ and survey journals that have answered this question are Plan S compliant.
›2.1.3 Information on editorial management and
submission/rejection
Source: DOAJ, Survey Q50
In DOAJ, all journals have links to URLs with information about instructions for authors, the
Editorial Board and open access statements. We assume that information about review and
decision-making processes are to be found here, and on the more general “About” pages.
We have no information in DOAJ about detailed statistics, except that all journals have
published the average number of weeks between submission and publication in their
DOAJ metadata. This information is easily available on the DOAJ website.
In the survey, Q50 asks, “Does the journal publish annually at least basic statistics,
covering in particular:” five options plus an “Other” alternative. More than one answer
could be selected.
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The OA Diamond Journals Study
Figure 4. Basic statistics published on editorial management related to submission and rejection
We see from Figure 4 that nearly half of all journals do not publish any of the statistics
offered as an alternative, but some of them have some information under “Other”, which
offers a variety of information published, predominantly some form of usage statistics.
Journals that are in DOAJ selected more than one answer to a higher degree (39% of
journals) than OA diamond journals (23%). Responses of “Blank” and “None” were also
relatively higher for survey-only journals than for DOAJ journals in the survey.
›2.1.4 Registered or in the process of being registered in DOAJ
Source: DOAJ Spreadsheet
All journals in DOAJ fulfil the requirement of giving “immediate and permanent open
access (without any kind of technical or other form of obstacles) under an open license”.
According to information in a Google document published on the DOAJ website, 2,108
journals were added to DOAJ during 2020. Of these, 37 received the DOAJ Seal, which is
a sign of good adherence to standard practices of OA and publishing. In 2020, 569 journals
were, however, removed for various reasons. The most common reason was not publishing
anything (41%) or being below the DOAJ threshold of five articles per year, with “not adhe-
ring to best practice” (25%) and “technical issues” (24%) coming in second and third place
respectively. Technical issues can include URLs that no longer work or security issues with
the website, for example. That the journal is no longer OA caused 3% (19) of the removals,
while suspected editorial misconduct by publishers saw 7% (39) removed from DOAJ.
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Compliance
2.2 Technical requirements and recommendations
›2.2.1 Requirements
› 2.2.1.1 Persistent identifiers (PIDs)
Source: DOAJ, Survey Q42
2
A persistent identifier (PID) is an identifier that remains constant over time and always points
to the resource referred to, irrespective of renaming or moving to new domains or URLs.
In DOAJ, only the PID for articles are listed in the journal metadata.
We see from Figure 5 that a majority of DOAJ journals (62.9%) offer an article PID in
the form of a DOI. Among APC-based journals, this holds for 85% of journals in DOAJ.
Uniform Resource Names (URNs) and Handles are used by a negligible fraction of jour-
nals in both categories.
Article numbers show better results, with 62% of diamond OA articles having a DOI as
opposed to 94% of articles in APC-based journals. This indicates that larger journals, in
terms of articles published, offer DOIs to a greater extent than smaller journals.
Use of DOIs is, to some extent, a question of competence and of using a publishing platform
that allows easy deposit of metadata with the DOI provider. But for small journals the expense
is also a problem. With CrossRef, the most frequent provider of DOIs for articles, there is an
annual membership fee of minimum US$ 275, and then an additional small fee per registered
DOI (e.g. US$ 1 per new article). For the majority of DOAJ journals, the annual fee can be a
larger problem than the per DOI fee, as only 30% of journals belong to publishers that publish
more than 250 articles per year. The annual fee is a fee paid by the publisher so that many
journals could be covered by a single annual fee, if organised properly.
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The OA Diamond Journals Study
The use of PIDs is the theme for Q42 in the survey. A journal may check more than one
answer, so the numbers did not add up to the total number of journals surveyed. Among
DOAJ journals in the survey, there were 66.7% more answers than journals, 35.2%
among the survey journals not in DOAJ.
DOAJ journals in the survey scored higher for “CrossRef DOIs”, “Other DOIs”, “ORCIDs”
and “Grant ID”, while survey-only journals had a higher percentage of “Datacite DOIs”
and “Other PIDs”. Journals using “Other DOIs” mentioned: Handle, mEDRA and Resear-
cher ID. Nearly 60% of all journals in the survey use “CrossRef DOIs”, 32.4% mentioned
“Datacite DOIs” or “Other DOIs”. Some 24.3% of journals in the survey reported using
no DOI; 17.6% of the DOAJ journals and 38% of the survey journals not in DOAJ.
Journals need guidance on what is meant more specifically by archiving in this context,
what possibilities exist and how they can be used at low or no cost. Some (groups of) jour-
nals might need financial support to find a working solution to the archiving requirement.
CrossRef membership terms, see Terms 2i , make it clear that journals that issue DOIs are
obliged to also have an archiving solution in place.
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Compliance
In the graph below (Figure 7), we include services that we are quite certain meet the Plan
S requirements and, in addition, about 500 services reported by journals whose functio-
nality is unknown. Many of these latter 500 services may not meet Plan S criteria.
2
We see from Figure 7 that 32.2% of OA diamond journals in DOAJ appear to satisfy this
requirement, as well as 67.3% of APC-based journals.
Of the diamond OA journals in DOAJ, 27.1% of humanities and social science (HSS)
journals indicated that they have some kind of archiving in place, while 37.8% of science
journals and 42.9% of medicine journals reported this.
Looking at the article level data in DOAJ, we see a larger fraction of articles than of
journals being covered by an archiving solution, meaning that larger journals are more
compliant than smaller journals, most markedly for APC-based journals.
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The OA Diamond Journals Study
In the survey, journals could choose more than one option, hence the numbers do not
equal the total number of journals surveyed. The large majority of survey journals have
no archiving policies (855 of 1,619 respondents). In addition, only 381 respondents
use a standard archiving system (LOCKSS, PKP PN, CLOCKSS & Portico) that may be
compliant to cOAlition S requirements. Local solutions like national libraries (170 res-
pondents) are frequently quoted. A larger fraction of DOAJ journals than other journals
in the survey reported having no solution in place, 63.8% versus 53.3%. For journals in
DOAJ, the number is 67.8%, so the survey journals are more compliant.
DOAJ metadata does not provide information on whether the journal makes article
level metadata available, and under a CC0 license. However, if a journal deposits article
level metadata with DOAJ, these metadata are made available under a CC0 license in
various ways, including API, OAI-PMH and a full data dump of all journal metadata. So
journals depositing article level metadata with DOAJ will, as we understand it, fulfil the
article metadata requirement. cOAlition S requires these metadata to include funding
information, but such information is not yet generally available in DOAJ.
A majority of DOAJ journals have deposited article level metadata in DOAJ, however,
it is unclear from the data to what extent this is a continuing process for the individual
journal, or a one-off or rare occurrence. We do see from Figure 9 that 78% of OA dia-
mond journals in DOAJ have deposited one or more article level records compared to
87.3% of APC-based journals. This high deposit rate suggests that DOAJ could be the
best way to solve this requirement for many OA diamond journals.
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Compliance
›2.2.2 Recommendations
› 2.2.2.1 Author and grant PIDs
Information about the use of author and grant PIDs is not available in DOAJ metadata.
The sub-section “Persistent Identifiers (PID)” above contains information about the use
of ORCID among survey journals. Only 32.5% of survey journals use ORCIDs.
Sherpa Romeo (S/R) is the only self-archiving policy service accepted by Plan S. Some
journals use other services, but 9,407 journals (65.5%) have not listed having a policy
anywhere in their DOAJ information.
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The OA Diamond Journals Study
Of DOAJ diamond journals, 81.4% have no policy in S/R compared to 47.9% of APC-
based journals. Numbers for articles are somewhat better, indicating larger journals
tend to be more compliant, which is more pronounced for APC-based journals than for
OA diamond journals.
Many journals offer full-text in more than one format. Here we limit ourselves to looking
at PDF, XML and HTML formats. We focus on them as PDF being most common, XML
is what Plan S recommends, and HTML because it has some of the same properties as
XML and can be realised at a lower cost to journals. The related Plan S recommenda-
tion, “a machine-readable community standard format such as JATS XML” is somewhat
unclear. Both XML and HTML are machine-readable standard formats and embed a
structure. XML is much richer in structure than HTML, but also more complex.
No 113 6 119
Percentage of journals
98.9 % 99.8 % 99.1 %
that offer this format
When comparing all data, the PDF is the most common text format where more than
99% of all OA journals use this format. The OA diamond journals are slightly less likely
to offer this format, still 98.9% of such journals offer PDF.
Percentage of journals
8.2 % 20.8 % 11.7 %
that offer this format
XML is used by 8.2% of DOAJ OA diamond journals compared to 20.8% of APC-based jour-
nals, but with a total of 11.7% for all DOAJ journals, XML is not in widespread use among
DOAJ journals. Numbers are slightly better when we look at articles, since 10% are XML in
DOAJ OA diamond journals and 29.8% in APC-based journals. This indicates larger journals
are more likely to offer full-text in XML. We do not know if XML here is necessarily JATS
XML for all respondents, though this XML standard is developed for use with journals.
HTML is another full-text format that could satisfy the Plan S requirement.
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Compliance
HTML
No
Yes
Total
OA diamond
8,061
2,388
10,449
APC-based
1,578
2,341
3,919
Total
9,639
4,729
14,368
2
Percentage of journals
22.9 % 59.7 % 32.9 %
that offer this format
Some 22.9% of DOAJ OA diamond journals use this format compared to 59.7% of APC-
based journals.
As previously stated, we believe both XML and HTML may satisfy the Plan S criterion.
That means we need to find journals that offer at least one of these formats, howev er,
this can not be done by adding the numbers for the XML and HTML in Tables 2 and 3
because some journals may offer both. Below (Table 4) are the numbers we found for
journals offering at least one of the formats XML and HTML in DOAJ.
Percentage of journals
25.0 % 63.4 % 35.6 %
that offer this format
Among DOAJ OA diamond journals, 25.6% offer XML and/or HTML compared to 63.4%
of APC-based ones.
More detailed analysis indicates that larger journals tend to offer XML or HTML to a
larger extent than smaller ones, and that compliance is higher for journals in medicine
than in HSS or science. We understand that journals need XML to be accepted in Pub-
med Central, which probably explains the higher compliance rate for medicine journals.
Survey DOAJ
Survey only journals All survey journals
journals
We see that the results generally conform to what we find in DOAJ, but there are some
differences. PDF is offered by only 78.2% of the survey-only journals, compared to
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The OA Diamond Journals Study
99.1% of all DOAJ journals. XML is offered by a higher percentage of survey journals
— both survey DOAJ journals and survey-only journals — than by DOAJ OA diamond
journals (8.2%). The same is the case for HTML, offered by 22.9% of DOAJ OA diamond
journals. More than 30% of survey journals offer HTML and/or XML, compared to 25%
of DOAJ OA diamond journals. It is difficult to say why survey journals fare better on
this point than DOAJ journals.
PDF is a text format that is easy to produce, at no cost to the journal neither in money
nor added work, and may easily be produced from text files that aren’t necessarily tech-
nically well-structured. Both HTML and XML need a technically well-structured text file
to start with, and call for both competence and cost in time and/or money to be pro-
duced, XML vastly more so than HTML. We see that even among APC-based journals
that have income that can be used to pay for XML, or to secure in-house competence,
XML is only offered by a fifth of them.
While information on this is not available in DOAJ metadata, survey data show that
the JATS XML compliance rate is 35.1%, as shown in Figure 11. However, since more
than 40% of journals responded either “Unknown” or “No answer”, it is difficult to draw
conclusions here.
DOAJ journals in the survey are more compliant than survey-only journals, but both
groups have an “Unknown” share of around one third.
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Compliance
› 2.2.2.5 Compliance with OpenAIRE metadata standards
Source: Survey Q46
Survey journals in DOAJ are more compliant than survey-only journals; the latter group
has a higher rate of “Unknown” or “Blank” answers.
› 2.2.2.6 D
oes the journal require linking to data, code, and other
research outputs?
Source: Survey Q54
Although no information is available on journals requiring links to data, code and other
research outputs in DOAJ, from the survey data we found that nearly half of respondents
reported not requiring this, against 24.8% who do. Despite more than 25% of answers
being “Unknown” or “No”, this points to a low level of compliance as shown in Table 6.
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The OA Diamond Journals Study
Figure 13. Journal requirements on linking to data etc. by survey journal category
We see from Figure 13 that DOAJ journals in the survey are slightly more compliant
than survey-only journals.
› 2.2.2.7 D
oes the journal provide openly-accessible data on citations
according to the standards of the Initiative for Open Citations?
Source: Survey Q55
No 450 27.8 %
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Compliance
We see that DOAJ journals in the survey are somewhat more compliant than sur-
vey-only journals.
The highest compliance rate is 40% on the recommendations treated in this part of the
report; the lowest is 24.1%.
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The OA Diamond Journals Study
A more detailed analysis shows that compliant journals are, on average, larger than
non-compliant ones, so 49% of articles in OA diamond journals are in compliant jour-
nals, while 86.4% of APC-based articles are in compliant journals.
In the survey, 793 of 1,619 journals (49%) stated that they embed or display licenses in
the article.
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Compliance
DOAJ journals in the survey (46.6%), but also that DOAJ journals in the survey are more
compliant than OA diamond journals in DOAJ (43.4%).
In Figure 17, green and blue colours mark the Plan S-compliant licenses (CC BY, CC BY-
SA and, CC0) with other colours marking non-compliant licenses.
Among DOAJ OA diamond journals, 44.2% satisfy the Plan S requirement (CC BY, CC
BY-SA or CC0), while 57.1% of APC-based journals comply. CC BY is the most widely
used license; it is used by more than half of the APC-based journals and 37.4% of DOAJ
OA diamond journals. Some journals listing a restrictive license may also offer a com-
pliant license, but DOAJ asks journals to list only the most restrictive, often least Plan
S-compliant, license.
The -NC clause is a significant problem for compliance. CC BY-NC and CC BY-NC-SA,
where the -NC clause is the reason for the license being non-compliant, are applied by
27.8% of DOAJ OA diamond journals, and 26.8% of APC-based journals. If OA diamond
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The OA Diamond Journals Study
journals chose not to use the -NC clause, 72.1% of DOAJ OA diamond journals and
80.9% of APC-based journals would be compliant.
Some 23.6% of DOAJ OA diamond journals and 17.3% of APC-based journals use the
CC BY-NC-ND license, where both the -NC and the -ND clauses represent a problem
for compliance. The CC BY-ND license (which can be accepted as an individual excep-
tion) is used by only 1.4% of all OA diamond journals and hardly any APC-based journals.
Looking at the scholarly fields for all OA diamond journals, we found that 50.6% of
science journals are Plan S compliant in this area compared to 43.6% of HSS journals
and 37.8% of medicine journals. OA diamond medicine journals have a higher fraction
of licenses with -NC clauses than the other OA diamond journals.
In the full survey data, we found that 1,350 of 1,619 journals, 83.4%, reported allowing
reuse in accordance with a CC license or a license with similar condition.
CC0 12 0.9 %
CC BY 563 41.7 %
CC BY-SA 87 6.4 %
CC BY-ND 29 2.1 %
Note that in the survey, unlike DOAJ, journals could list more than one license. Hence,
the 1,350 journals listing 1,363 responses to this question, and the sum of percentages
reflects this. Of the 1,350 who replied “Yes” to Q20, 48 did not provide information
about their license. We see that CC BY is the most widely used among survey journals
with CC BY-NC-ND in second place. Nearly 50% of these journals are compliant with
Plan S requirements.
›2.3.3 To what extent is copyright retention without restrictions
allowed, and if not, what plans are there to introduce this?
Source: DOAJ, Survey Q22
As shown in the graph below for DOAJ OA diamond journals, 48.7% of journals said
that authors hold copyright without restrictions compared to 53.0% of APC-based
DOAJ journals. Looking at APC-based DOAJ journals, we found compliant policies in
55.9% of HSS journals, 55.7% of science journals and 49.6% of medicine journals.
Looking at all DOAJ OA diamond journals, we found that 52.1% HSS journals allow
authors to retain copyright without restrictions compared to 48.4% of science journals,
but only 37.0% of medicine journals.
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Compliance
OA diamond journals are slightly less compliant (48.7%) than APC-based journals
(53.0%). HSS journals are the most compliant in both groups in this area, and medi-
cine journals are the least compliant. The difference between medicine journals and the
other two groups is most pronounced among OA diamond journals.
In the survey, Q22 is whether the journal allows authors to retain copyright without
restrictions.
Figure 19. Survey journals that allow authors to retain copyright without restrictions by journal group
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The OA Diamond Journals Study
DOAJ journals in the survey allow author copyright retention to a somewhat larger
extent than survey-only journals; DOAJ journals have a compliance rate of 57.2% com-
pared to 55.3% for survey-only journals.
Unlike the more technical questions previously discussed, this policy question has few
“Unknown” or “Blank” answers. A majority of answers are positive, meaning the journal
conforms to Plan S requirements.
Those who did not answer “Yes” to the above question were asked in Q23 to indicate
whether they intended to allow authors to retain copyright in the future.
As shown in Table 9, responses indicated that not many journals plan to change their
policies to align better with Plan S requirements.
›2.3.4 Licenses: Do they apply to metadata and content?
Neither DOAJ metadata nor survey data provide us with information on the licensing of
journal or article metadata; it is the licensing of the content that has focus.
OA diamond journals should not have subscription counterparts; this can be difficult to
guard against, but is not very likely. All known existing mirror journals are APC-based
journals, so such journals will not be part of our OA diamond journals. We have ana-
lysed all OA journals in DOAJ, but with a focus on OA diamond.
›2.4.2 Transparent costing
We understand the transparent costing requirement in Plan S to be a requirement targeted
at APC-charging journals, as a mechanism to make their APCs more transparent. As OA
diamond journals by definition have no APC, the need for transparent costing seems small.
When/if funding mechanisms for OA diamond journals are established, a framework for
calculating costs and making them public could become necessary. However, so far this
has not been an important question, and therefore has not been analysed here.
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Compliance
›2.4.3 Waivers
Waivers are a mechanism for protecting authors from low-income countries/institutions from
having to forgo publishing due to an inability to fund APC payments. As OA diamond journals
have no APC, no waiver is necessary, hence this was not looked at in this particular study.
2
2.5 Summing up and general comments
In the preceding parts of this chapter we looked at how well journals in DOAJ and in our
survey conform to Plan S requirements and recommendations.
We have identified six requirements that we can analyse based on DOAJ metadata:
PermanentOK
preservation 19.1 % 80.9 % 56.0 % 44.0 % 28.9 % 71.1 %
Table 10. DOAJ journals conforming to Plan S requirements by DOAJ journal category, percentages
Peer review is the one requirement that all (but one) journals satisfy. Permanent pre-
servation is the requirement seeing the lowest compliance amongst journals at 28.9%,
only 19.1% for OA diamond journals. APC-based journals meet more requirements than
OA diamond journals.
Looking at how many of the six criteria journals satisfy, we found the following:
Figure 20. DOAJ journals grouped by number of requirements satisfied, by DOAJ journal group
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The OA Diamond Journals Study
Whereas the groups of journals that meet few criteria are dominated by OA diamond
journals, the journals that satisfy all requirements are dominated by APC-based jour-
nals. Furthermore, we found that DOAJ journals operated by open access publishers
have the highest percentage of journals satisfying all criteria (15%) while 10% of tra-
ditional publishers’ journals satisfy all criteria. Societies score 3%, and universities 2%.
In general, smaller journals score lower on these criteria than larger ones, OA diamond
lower than APC-based, university-based lower than journals with professional publi-
shers, and HSS journals lower than science and medicine journals. Structurally, the
smaller journals tend to be more OA diamond, university-based and in HSS, so it is
basically the same factors manifesting themselves in various ways.
Size has to do with the possibility and operational need to gain competence: the lar-
ger the journal, the larger the need for competence and the better the possibilities to
achieve competence. APCs enable the journal to pay costs and buy competence, either
by outsourcing functions or by hiring persons in the organisation. This does not mean
APCs are the solution, but it indicates that funding, beyond in-kind contributions, must
be considered vital to ensure strong and healthy OA diamond journals. It also points to
a need for journal owners of all kinds to organise journals so that resources are pooled
and competence built up collectively for a number of journals.
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3
Dynamics
Understanding how
diamond journals work
and the challenges
they face
by Pierre-Carl Langlais
The OA Diamond Journals Study
Pierre-Carl Langlais
Université Montpellier 3
OPERAS
- 76 -
Contents Dynamics
› 3.1.2 Strengths 83
› 3.1.3 Challenges 83
› 3.1.3.1 Standardisation 83
› 3.1.3.2 Lack of recognition 84
› 3.2.2 Strengths 89
› 3.2.2.1 Quality control 89
› 3.2.2.2 Uncharted innovations 89
› 3.2.2.3 Commitment to changes 89
› 3.2.3 Challenges 90
› 3.2.3.1 Recognition of volunteers’ work 90
› 3.2.3.2 Editorial services 90
› 3.2.3.3 Peer review 91
› 3.3.2 Strength 98
› 3.3.3 Challenges 98
› 3.3.3.1 Use of OJS and other specialised scholarly
communication tools and services 98
› 3.3.3.2 Conformity to standard tools 99
› 3.3.3.3 Content preservation 100
› 3.3.3.4 Indexation 101
› 3.3.3.5 Joining a hosting platform: Overcoming the cost of entry 103
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The OA Diamond Journals Study
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Dynamics
3.1 Ownership and governance
›3.1.1 Facts
› 3.1.1.1 Who does OA diamond serve and who owns the journals?
Sources: Survey Q11, Q12, Q34 and Q35
3
The majority of journals (42%) are owned by universities. The main alternatives are
learned societies (14%) and, to a lesser extent, government agencies, university presses
and individuals. A significant share of responses does not fit the pre-defined catego-
ries: “Other” (15%), “Other research organisation” (8%) and “Other non-profit publisher”
(5%). The lack of fitting responses may indicate a general uncertainty about the nature
of the organisation or about the condition of ownership itself that is consistent with the
results of the next section on the formality of ownership.
Ownership has a large impact on the resources used by OA diamond journals by creating
different sets of constraints, opportunities and incentives. For example, journals owned
by learned societies rely significantly more on membership fees, while grants are a more
dominant resource for journals owned by Research Performing Organisations (RPO).
As shown in the graph, the leading model of university ownership is, to some extent,
an official facade giving OA diamond journals a large latitude to set up diverse models.
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The OA Diamond Journals Study
Historically, scientific publishing has long been managed directly by scientists through
learned societies and academies. Until the second part of the twentieth century, most
journals could be assimilated to a “club model”, that is the production of “a self-consti-
tuted group, endeavouring to create new knowledge” (Potts and al. 2017), the most
historically known being the Royal Society (Moxham and Fyfe, 2018, Fyfe et al., 2019).
This community-based management did not simply affect editorial processes but also
the condition of dissemination: “The Royal Society’s relations with scientific authors,
editors, and publishers were governed by custom and courtesy, not by copyright.”(Fyfe
et al. 2017) The strict separation between scientific work and editorial work only be-
came a reality with the advent of large publishing conglomerates in the 1950s and
1960s (Wouters 1999).
The analysis of the free text submissions to the survey shows that scientists continue
to be largely involved in the management of OA diamond journals: “Each member of
the editorial board is an associate editor and is in charge of the scientific work, from
submission to final version” (11841051480); in the editorial staff “everyone works hard”
(11973925755); “An editorial team of four professors/researchers from the University,
who dedicate a small part of their time to the editorial activities.” (11972525268)
As shown in figure 3, just over half of the respondents stated that they have a legal
ownership document (51%, 765 respondents), while 23% state not having one and 26%
are unaware of the existence of any. This distribution shows that the OA diamond eco-
system remains significantly structured by informal forms of ownership. The rate of
formal ownership does not vary significantly across the main type of owners (university,
learned society and individuals), except for journals owned by government agencies
(64% of them have a legal document).
Conversely, legal ownership is correlated with the size of the journal, either in terms of
staff or of total annual costs. As seen in Figure 4, only 44% of the journals with less than
1 FTE have a known document establishing ownership versus 74% of the journals with
6-9 FTEs. The same trend is visible in financial data: 45% of journals with $/€0-1000 of
annual operating costs are documented versus 65% of journals with $/€50,000-100,000
of annual operating costs. Additionally, journals without legal ownership are less likely to
use an external publisher or an external publishing service (53% versus 30%). The positive
relationship between the size of the journal and legal ownership suggests there is less
incentive to formalise the status of the journal when it is managed on a very small scale.
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Dynamics
3
Figure 4. Share of journals with a legal document establishing
ownership (Q35) per paid staff in FTEs (Q67) and per total annual costs (Q66)
Figure 5 shows that differences are marked across countries as well, which seems to sug-
gest significant cultural variations regarding the formalisation of ownership, although in
some cases the number of answers may be too small to be conclusive. From the available
data in the survey, there seems to be a regular cluster of journals with legal ownership
documented in Eastern Europe and Latin America, especially in contrast with Canada and
Western Europe (France and Germany). Further research is needed to account for these
cultural differences, which could be influenced by a wider historical context.
Lack of formalised ownership can create significant uncertainties for the management
of the journal. The actual owner of the journal cannot be identified and/or there is dis-
solution of responsibilities across the editorial committee, which makes it harder to face
structural problems.
Responses from the survey show that 60% of the respondents do not share any basic
statistics and 64% do not provide article statistics (Figure 6).
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The OA Diamond Journals Study
In the second focus group of journals, participants raised issues with the use of these
data by indexers: “Indexers ask the average of rejection: apparently it is important for
them to have a high rate of rejection. Yet if you earn the reputation of being a difficult
journal, it’s going to have a vicious effect on the participation of authors.” This seems
to be consistent with the statistics trend for the survey. The rate of journals that do
not provide article download statistics is the highest among journals that complied to
the ethical code of practices of DORA, OASPA and DOAJ (90%) and, to a lesser extent,
with journals owned by “Other” research organisation (66%) or by “Individuals” (60%).
In all of these sub-groups, technical capacity could be less of a factor than the actual
intent not to transmit basic statistics of usage and the concern that they could be used
for assessment policies.
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Dynamics
In short, recording and publicising download statistics for OA diamond journals is not
only an issue of technical infrastructure but is also part of a wider debate on policy
choices and the potential uses and misuses of reported statistics.
›3.1.2 Strengths
3
Autonomy is a common thread in nearly all the focus groups and individual interviews
of journals, although it is less apparent in the free texts; diamond journals value their
independence and their ability to use unusual formats or unusual governing structures.
Diamond journals maintain a secular tradition of “club” journals, set up for the uses and
interests of a specific closed community of knowledge. Before the commercial turn of
scientific publishing in the 1950s and the 1960s, numerous leading journals relied on
this governance model (Potts et al. 2017).
Beyond these historical continuities, community governance is a key area for further
development for OA diamond journals. The ascending role of the editorial committee
and volunteers brings OA diamond journals closer to community-run projects, where
contributors are constantly self-learning and appropriating tasks they like the best: “I
claimed the tasks I personally enjoy doing.” (11889977544) More experimental journals
are even inventing their skills: “I am continually sharing not only with the assistant edi-
tors but with all the contributors and even the peer reviewers. Together we are inven-
ting this new form.” (11919594687)
One participant of the focus groups stated that this was a major incentive to create a
customized platform: “The editorial college takes the decision and relies on a system by
voting that does not fit with any journal system. We had a vision for a completely different
business model and for that, we needed a big website.” Innovative OA diamond journals
tend to bridge the secular heritage of scientific societies with the new wave of digitised
knowledge commons such as Wikipedia or OpenStreetMap (Hess et Ostrom 2007) .
›3.1.3 Challenges
› 3.1.3.1 Standardisation
The autonomy of OA diamond journals creates potential issues for any funding pro-
grams that would rely on some level of standardisation. They may be reluctant to alter
their policies and/or their editorial workflow.
Focus groups showed that reporting statistics can be a controversial issue beyond tech-
nical capacity. Rejection rates have been one of the most heated issues discussed in the
second focus group as the participants underlined that this indicator was incompatible
with their own vision of scientific evaluation. Participants also suggested that the delay
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between submissions and acceptance is much more meaningful than the delay between
acceptance and publication. This feedback demonstrates the need for a wider conver-
sation on the definition of reporting statistics and their further uses.
Even though they are well embedded in academic structures, OA diamond journals
struggle to be properly integrated into the ecosystem of scholarly publications: “The
biggest problem of small editors in OA is the lack of lobbying for the inclusion in impor-
tant databases which could contribute to readings and impact increase of the journal.”
(11819271522) They are rarely represented in significant institutions: “As small publi-
shers, we are almost always left out of all conversations. You rarely find a representa-
tive for us on boards. Please involve us in future discussions!” (11928217593); “We
have significant concerns about the strict requirements of Plan S favouring commer-
cial publishers and being impossible to satisfy for community-run scholarly journals.”
(11829154224)
Even more established formats are not well supported. While they remain an impor-
tant format in the social sciences, monographs are much less covered by OA programs
creating a lack of diversity of formats: “Monographs are just as important to us as our
journal (…) The current publication funding policy in Germany does not take this very
important field for the social sciences and humanities into account. This is a serious
structural disadvantage for the social sciences and humanities.” (11820118156) Conse-
quently, several respondents called to reframe some core concepts of science orga-
nisation, such as moving from impact factor to social impact: “The importance of real
impact, and not just impact factor: universal rectification of metrics and their proper use
(by universities, institutions, organisations) to measure only what they were meant to
measure (without being misused as indicators of other things).” (11869288836)
The survey shows a large variety of journal content. Research articles are nearly univer-
sally published by OA diamond journals (97% of respondents) but this is far from being
the only content. Half of the respondents publish book reviews (47%), while editorials
(40%) and “Other formats” (37%) are common as well. These types of content play a
wider role in terms of communication in the scientific communities that still has to be
better understood. Their prevalence suggests that diamond journals are not simply pro-
ducing publications but play a wider role in facilitating the communication of ideas and
the dissemination of external works.
Disciplines are an important factor in the use of formats. Book reviews are strongly featured
in the humanities and in the social sciences, which tends to drive their global share and they
are a key component of a publishing ecosystem structured equally across journals, mono-
graphs and anthologies. Editorials and “opinions” remain in use in the biological sciences.
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Dynamics
Emerging formats may contribute to enhancing this diversity in the coming years with
the development of data papers in the physical sciences.
Just over half (51.5%) of the respondents do not outsource the editorial work. The two
more important fields of outsourcing are both linked to editorial correction: typesetting
(28.4%) and copy-editing (29.3%). This is a significant result since the interviews with
hosting platforms for OA diamond journals showed that these actors do not believe
that editorial correction should be part of their services. There is currently a lack of
intermediaries to fill this need.
As shown in Figure 9, 63% of journals that outsource some part of their editorial work
rely on volunteers. In contrast, half the respondents outsourcing typesetting, copy-edi-
ting and dissemination are assisted by volunteers.
Figure 9. Relationship between outsourcing (Q24) and the use of volunteers (Q69)
More unexpectedly, the use of volunteers is not significantly lowered when journals
outsource more activities. For instance, half of the respondents that outsource more
than one editorial service still rely on volunteer participation (50% versus 51% of the
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The OA Diamond Journals Study
respondents) and the rate remains the same among the respondents that outsource
more than two editorial services (17% versus 20% of the respondents).
Two-thirds of OA diamond journals answering the survey have a trained copy-editor (65%).
This situation has a more pronounced impact on the participation of volunteers: 55% of jour-
nals with a trained copy-editor rely on volunteers versus 71% of journals without copy-editors.
These results suggest that volunteers are not simply an alternative, costless solution
when the journal lacks the necessary resources to call for professionals. Volunteering
remains an integral characteristic of community-driven publishing for numerous publi-
cations even when they can rely on outsourced services or the experience of a trained
copy-editor.
› 3.2.1.3 W
hat type of Peer Review (PR) is used by the journals and how
is it managed?
Sources: Survey Q26 and Q48
Email and OJS are the most used systems for managing peer reviewing, as they are men-
tioned respectively by 53% and 45% of the respondents. Alternative significant solutions
include spreadsheets, custom-made publisher’s systems and other solutions (mostly coming
from established platforms like Janeway or Episcience), which are mentioned by roughly
10% of the respondents. Costly software solutions, such as ScholarOne or Manuscript Cen-
tral, are uncommon (less than 2% of the responses), which is far from surprising since the
large majority of the respondents have to deal with an annual budget inferior to $/€10,000.
OJS plays an important role as an accessible journal management tool. In Figure 10, OJS
is the only peer review system that is strongly correlated with the size of the journal.
The use of email and, to a lesser extent spreadsheets, appears to become less practical
as the mean size of publication grows.
Figure 10. Relationship between the review system (Q48) and the annual number of articles (Q16)
Regarding peer review practices, double-blind review is a huge majority use (67% of the
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Dynamics
respondents). The other standard approach, single-blind review is a minority use (13%).
These results seem strongly driven by the distribution of disciplines among OA diamond
journals as displayed in Figure 11. Double-blind review is overwhelmingly preferred
in the social sciences and the humanities, and is the main approach in the biological
sciences. While single-blind review is prevalent in mathematics, computing and physical
science, these disciplines are less represented in the OA diamond ecosystem.
3
Figure 11. Distribution of peer review practices (Q26) per disciplines (Q40)
Since the community seems to stick to established quality standards, open peer review
is almost non-existent (16 respondents, representing only 3%).
› 3.2.1.4 To what extent do the journals’ editorial and scientific work align
with industry best practices?
Sources: Survey Q51, Q52 and Q53
An overwhelming majority of respondents stated they comply with best practice guide-
lines on publication practice (78% positive answers, 19% “Unknown” and 5% negative
answers). The negative and unknown answers occur mostly amongst journals that have
a more unusual activity and/or strong links beyond the academic world (54% positive
answers for journal publishing conferences and the same percentage for journals publi-
shing editorial review). The effect of the size of the journal is much more limited, with
70% of journals with less than 1 FTE declaring they comply with best practice. Concre-
tely, even smaller journals with limited funds and resources care significantly about the
quality of scientific research and strive to enforce the standards in their fields.
Adhesion to the DOAJ is not a major factor either: 68% of respondents not indexed
on DOAJ comply with best practice guidelines. For a variety of reasons that have been
raised in more detail in the focus groups (lack of time to fill in the indexation procedure,
metadata issues, non-conformity of the license), numerous quality OA diamond journals
are currently not represented on the DOAJ.
82% of those who comply with best practices quote an explicit guideline (936 respon-
dents out of 1,127). COPE is by far the most popular code of conduct with 259 respon-
dents either citing it or the website publicationethics.org. Other significant alternatives
mentioned by more than 10 respondents include:
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The OA Diamond Journals Study
✔ National guidelines, such as the Consejo Superior de Investigaciones Científi-
cas (CSIC) in Spain (37 responses) or SCIndeks in Serbia (21 responses)
Beyond these few main resources, respondents quoted at least 390 different domain
names, which may cover even more different journals (all the respondents hosted on
OpenEdition use a different set of guidelines).
The majority of OA diamond journals use anti-plagiarism software (55% responded “Yes”
versus 40% “No” and 5% “Unknown”). The practice is strongly correlated with the size of
the journal staff: 92% of journals with 6-9 FTEs rely on it versus 40% of journals with less
than 1 FTE. Crossref gives access to an anti-plagiarism service for a very limited fee, but
this solution may be either too expensive for small journals with very limited funds or not
sufficiently well known. Journals with few peer reviewed content are less likely to use an-
ti-plagiarism tools (33% for journals that publish roughly 50% of peer reviewed research).
Results from the survey indicate moderate support for innovation in editorial practices.
Three innovative policies have been evaluated: open research data (Q41), preprint pu-
blishing (Q46) and open peer review (Q26).
42% of the respondents have a policy or practice to stimulate open sharing of research
data. We found an equal number of respondents who didn’t have a policy in place and
an additional 15% of “Unknown” answers. We find few factors explaining the adoption
of open data policies. The annual budget of the journal has no impact; we found the
same rate of journals with open data policies among the publications with less than
$/€1,000 of annual resources than with the publications with more than $/€50,000
annual budget. Most ownership models had a range of support of 35%-50% except for
two extreme cases: journals owned by government agencies (73%) and journals owned
by individuals (27%). Since we found no major external factors, open data policies seem
more likely to be caused by individual decisions than by institutional incentive.
Only 38% of the respondents explicitly accept submissions that have been publicly shared
as a preprint (Q57). Here the differences are much more marked across the ecosystem
of diamond journals. Disciplinary culture has a large impact with a high rate of support
for preprints in mathematics and computing science, a field that has traditionally used
preprints. Interestingly, we also found that the size of the journal is negatively correlated
with the acceptance of preprints: 42% of journals with less than 1 FTE accept preprints
versus only 29% of journals with 6-9 FTEs. It is possible that larger diamond journals are
more concerned with the impact of the acceptance of previously-published research on
their reputation while smaller, less well-funded journals seem to embrace preprints more.
Finally, the adoption of open peer review (Q26) is extremely low and concerns just 1% of the
respondents (n=16). The rate seems higher among the journals created less than five years
ago (7%) or publishing data papers (8%), although in this case, the low rate of answers makes it
harder to have representative results. This low rate seems comparable to the practices of APC
open access journals registered in the DOAJ: 2.3% of them use open peer review.
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Dynamics
Overall, diamond journals do not seem especially innovative. On the only topic where
we could draw a quantitative comparison to commercial OA journals, open peer review,
they are even slightly more conservative. Yet, it must be stressed that the three ques-
tions of the survey only targeted specific areas of “formal” innovation that are highly
discussed among stakeholders. The focus groups, and to some extent the free text
answers, bring a different perspective that will be addressed in the next section.
3
›3.2.2 Strengths
› 3.2.2.1 Quality control
While diamond journals do not always have the most suitable tools to manage scientific
and editorial quality optimally, they seem to stay in control of quality. In the survey, an
overwhelming majority of respondents stated they comply with best practice guidelines on
publication practice. Even small journals with limited funds and resources attempt to imple-
ment ethics and scientific standards. Respondents also expressed a strong preference for
the most constraining form of peer review, double-blind review (67% of the respondents).
The focus groups showed that the participants implemented “uncharted” innovation, in
the sense that they are not always explicitly highlighted (even in the free text) and that
they may not correspond to expected standard innovations in the field. For example,
participants stated that they feel their ability to work regardless of profitability made it
possible to test unusual editorial formats and practices: “We publish web texts, rather
than articles. Each author designs his/her own article. We are completely at ease with
our DIY aesthetic.” Diamond journals can also maintain formats that are highly specific
to a community: “It is very difficult to publish monographs and long papers: we believe
we offer a service [otherwise] a lot of research is not going to be published anymore.”
Provided they have some technical skills to do so, several OA diamond journals do not
hesitate to set up their own publishing framework: “We can decide from one day to the
next if we can do it. If it does not work, that’s it. We still have the freedom to experiment.”
This autonomy is especially important in the area of governance and editorial format.
The most innovative publishing structures may not be classified as “journals” anymore
and are simply excluded from most scholarly infrastructures: “[We are] a UFO in the
ecosystem of scientific publication (…) This poses problems, e.g. the absence of [anony-
mised] from DOAJ, Pubmed, uncertainty regarding Plan S.” (11820575959) “Media-rich
journals such as ours are not sufficiently recognised.” (11851814815) Experimental
projects can become highly dependent on private hosting platforms since they do not
meet the requirements of the main scholarly communication infrastructures: “The ar-
ticles themselves are hosted on Vimeo, a private company.” (11919594687)
Several diamond journals are highly involved in the transformation process of scientific
publishing. One of the participants of the focus groups stressed that: “Our journal is used
in a case study on the future of scientific publishing.” Another participant has been largely
involved in the redefinition of preservation since they had to handle complex multimedia
contents: “We have worked with CLOCKSS to figure out the best workflow. It turned out
that flat files, like the one we produce, are the best mechanism in the future. This is para-
doxical since our format is considered unusual in regards to academic current practices.”
In the survey, several respondents take an active stance in the evolution of structural
aspects of scientific publishing, such as the reward system, “influencing the definition
of researcher in the national system of science and technology in order to assign scores
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The OA Diamond Journals Study
to the peer review of journals, books and thesis juries.” (11823761310)
While the ecosystem of diamond journals remains highly varied and disparate, several
responses to the survey underscored the emergence of global initiatives at a grassroot
level, for example: “We have promoted the formation of collaborative work networks
between institutions to begin to formalise this knowledge, so we proposed the crea-
tion of (…) a network of journal portals.” (11820268427)
›3.2.3 Challenges
Sources: Survey Q82, Q83 and Q86
This reality is not well acknowledged in institutional settings and research assessments. Res-
pondents stressed that their important editorial contributions have never been formally re-
cognised. Several taxonomies have been created to acknowledge the diversity of scientific
contributions like CREDIT1 and ADIRAH2 . Yet, editorial work remains hardly featured;
most of the new proposed roles focus on experiments and statistical analysis rather than
publishing.
Since OA diamond journals largely rely on volunteers for editorial management, parti-
cipation of key contributors can become critical. The sustainability of the journal can
be at risk each time a major contributor leaves: “The journal relies on the goodwill of a
very small number of researchers” (11825253758); “Funding would relieve the resear-
chers involved in the journal and would reinforce sustainability, which can be called into
question in the event of disinvestment by one or more people.” (11924661683) The
transmission of skills can also become a major issue: “We rely heavily on the availability
of a former co-founder of the journal and editor-in-chief, now retired, who devotes a
significant amount of time to the journal at the editorial level” (11924661683); “Skills
and competencies are not a current concern, but a future one (…). We detected a great
weakness in the formation of new human resources capable of replacing in the long
term, especially the figure of ‘executive editor.’” (11820268427)
Figure 12 shows that editorial services are the main area of expected funders’ support
in the form of tools and services. It collects the results of a semi-automated classifica-
tion of the free text submitted to the question Q75.
1 https://casrai.org/credit/
2 http://tadirah.dariah.eu/vocab/index.php?tema=6
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Dynamics
Figure 12. Areas for support of tools and services from the free text answers
to the question on funders’ support (Q75)
The breakdown below the main plot shows that journals have a major need for assis-
tance in copy-editing, which is already the main area of outsourced editorial work (196
respondents). This creates potential friction with hosting platforms that generally ex-
clude copy-editing and other editorial works from their offer of shared services (partly
because theses tasks cannot be easily scaled).
More experimental platforms have to learn by doing, as they deal with unprecedented
formats or editorial workflow. This creates additional tasks for the journal managers,
such as needing to define norms or provide training support.
OA diamond journals can provide additional services to their communities beyond the
publication of articles, especially in terms of copy-editing and translation. They fre-
quently publish non-English works, and the translation of abstracts, or even articles,
can take up significant time and resources. These tasks add to the daily management
of the journal.
Lexical analysis of the free text challenges on peer review shows that finding, recruiting
and retaining reviewers are by far the major concerns of the respondents regarding peer
review challenges. Figure 13 lists the most important arguments in the free text submis-
sions to the challenges on peer review. Finding reviewers features highly on this list (with
108 occurrences), all the more as it supplemented by numerous variants not shown in the
visualisation, such as: “find evaluator”, “recruit reviewer”, “find referee”, etc.
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The OA Diamond Journals Study
Figure 13. The main arguments in the free text for the peer review
challenges (Q82). Quantitative analysis with Spacy NLP tree
Several respondents highlighted that they are unable to compete with major interna-
tional commercial publishers for peer reviewer recruitment (11902005020): “The re-
viewers like to give their service for paid review or to high rank journals.” (11816938775)
Since they usually run on a tight budget, OA diamond journals with a more professional
audience seldom have the possibility to pay the reviewers.
There are some significant variations of the “reviewer shortage” issue depending on the
journal model and objectives:
✔ An interdisciplinary journal with a wide range of topics has a hard time main-
taining a consistent network of reviewers (11930702393, 11907280275,
11817107425, 11818580619).
✔ Emerging and innovative projects also have a very hard time building a re-
viewer network: “Very difficult to build up a new peer reviewers community
from scratch.” (11820038067)
Respondents mentioned several tools and policies to solve this, such as a database
of reviewers, an enhanced infrastructure for peer review tracking, and a network of
reviewers and paid reviews (Figure 14).
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Dynamics
Yet numerous respondents stressed they lack the necessary time to build up effective
tools (like a database of reviewers) and to customize the recruiting process. The peer
review process remains a highly time-consuming task, even with a good workflow and
technical support (11919594687). Several respondents signalled they were not able
to establish their desired peer review system on account of a lack of time and added
complexity: “I would like to move towards a double-blind evaluation [but] I would need
more colleagues.” (11930584542).
Open Journal Systems is the leading infrastructure among the journals answering to the
survey: 60% of the respondents use it for online publishing (Q56).
According to the free text submissions to the survey, journals reckon that OJS has noti-
ceably simplified the editorial workflow: “The OJS workflow tool is very useful for manage-
ment, tracking and tracing” (11828309616); with OJS 3 “The editorial workflow is smoo-
ther and better than before” (11818588595); “The OJS V2 system is clumsy. However, this
system is to be upgraded to V3 and we look forward to better workflow.” (11967610280)
Additionally, academic CMS appears to be used across the field of OA diamond jour-
nals, regardless of journal size. Figure 15 shows no difference in terms of the mean
number of articles between journals using the two leading CMS (OJS, Lodel) and the
journals that rely on an alternative system.
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The OA Diamond Journals Study
Figure 15. Distribution of the average number of articles of the respondents when
they use academic CMS (Open Journal System, Lodel & Dscape) and other publishing systems
Despite the widespread use of OJS, all of its features are not actually used. Because
of the lack of resources and technical skill, OA diamond journals switch occasionally
to more or less improvised editorial systems in addition to OJS: “The workflow is not
perfect, as it is primarily based on Google Drive tools and emails. This does not, for
example, allow for tight tracking.” (11861460298) “Most editors, authors and reviewers
in our field (history) prefer working over email.” (11908159569)
The two main alternatives to OJS are far behind: 8.5% of the respondents use a generic
CMS, Wordpress, and 8% use Lodel. Lodel is exclusively associated with one platform,
OpenEdition. Wordpress has a more unusual situation. According to one participant
of the focus groups, it used to be a popular solution in the early 2000s due to the
lack of open source software for academic publishing: “As we developed in the 2000s,
generalist frameworks emerged like Drupal or Wordpress and, later on, OJS. A large
number of OA diamond journals migrated to these frameworks.” However, Wordpress
still remains popular among journals with strong links in non-academic circles, such as
journals owned by NGOs/Charities (33% of respondents) or journals relying on editorial
review (25% of respondents).
Respondents also mentioned numerous alternatives in 392 free text submissions iden-
tifying 128 unique cases. The most popular option after OJS, Wordpress, and Lodel is
a home-made website (53 answers, 4% of respondents), which covers a very wide set
of options from simple HTML pages to complex platforms. The persistence of custom
solutions showcases the importance of technical autonomy for OA diamond journals.
Additional tools with a non-anecdotal usage include frameworks developed by univer-
sities (SCIndeks, Hrcak, Bepress, J-Stage) or by commercial publishers (Ubiquity Press
Journal Management System, ScienceOpen).
› 3.3.1.2 Hosting
Sources: Survey Q13, Q57 and Q58
According to the data retrieved from the survey, the OA diamond landscape is domi-
nated by institutional platforms (40%), hosted by universities and other academic ins-
titutions. International platforms are the main alternative (25%), followed by national
platforms (13%) and commercial hosts (11%). Only 11% of the respondents either are
uncertain or rely on another kind of hosting.
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Dynamics
The difference between publishing software and platforms is not well understood by the
respondents: 623 respondents quote OJS as a platform or aggregator. The distinction
has possibly become blurrier since OJS has increasingly endorsed features associated
with platforms such as hosting by PKP or archiving. Other hosting examples mentioned
align better with the common definition of an academic publishing platform: OpenE-
dition (79 respondents), Ubiquity Press (28), Hrčak (20) J-STAGE (13) or Redalyc (13).
3
Diamond journals rely on a large variety of websites to ensure their dissemination
(Q57). The 1,437 respondents provided 783 different domain names. OpenEdition is
first to appear with 80 respondents (which may be due either to the concentration of
French OA diamond journals on the platform and to the large representation of French
respondents). This situation is consistent with the strong institutional links of OA dia-
mond journals, which depend on a variety of academic websites to find their audience.
› 3.3.1.3 Format
Sources: Survey Q27 and DOAJ
Publication formats can either include structured markup languages (in HTML or XML)
or page descriptive language with a fixed layout (PDF). XML markup is currently a strong
recommendation of cOAlition S, as it allows semantic information to be embedded into
the scientific publication: “Availability for download of full text for all publications (in-
cluding supplementary text and data) in a machine-readable community standard for-
mat such as JATS XML.”
Figure 16. Formats used by the respondents (one respondent can use several formats)
HTML is also a format that fulfils the requirement. 25.6% of diamond journals offer at
least one of these formats (XML or HTML), including 63.4% of APC-based journals. The
picture is a bit better when looking at articles, 31.5% of diamond OA and 84% of APC-
based journal articles are published in one of the two formats.
The most popular format, PDF, is offered by 98.8% of diamond journals and 99.1% of
APC-based journals.
Looking at diamond OA journals and assuming that both XML and HTML cover this re-
quirement, we see that 20.9% of HSS journals comply, compared with 22.2% science and
46.1% medicine journals. We also see that the larger the journal — except for the largest
journals publishing 500 or more articles per year — the higher the rate of compliance. The
journals publishing 100–499 articles per year have a compliance rate of 49.1%.
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The OA Diamond Journals Study
is variable. As shown in Figure 17, respondents hosted on Open Edition Journals,
SciELO, ScienceOpen or Ubiquity Press have largely implemented structured text for-
mats. Conversely, independent journals relying on OJS are overwhelmingly PDF-only.
According to the survey, 57% of the respondents state that, to the best of their
knowledge, they have no preservation policy in place (Figure 18).
This rate of no-preservation rises to 71.9% of the respondents with less than $/€1,000
of annual budget. This puts a large share of OA diamond journals at risk.
National libraries are currently the main service providers of content preservation for
OA diamond journals (quoted by 11% of respondents). While it is not yet certain if they
will be included in the recommendations of cOAlition S, national libraries are already
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Dynamics
key stakeholders in practice and should be directly involved in future discussions regar-
ding the preservation of academic publishing.
The established initiatives for preservation currently fare lower, such as LOCKSS (9%),
CLOCKSS (6%) or Portico (4%).
3
OJS has a significant potential to address the issue of preservation of OA diamond jour-
nals. While the Publication Knowledge Project Preservation Network (PKP PN) is only
quoted by 6% of the respondents, OJS is already extensively used as a publication tool,
although this mechanism only works for the latest versions. In the future, international,
national and institutional hosting platforms can become important intermediaries to
make PKP PN a workable solution.
Survey data show that Crossref DOIs have become a standard in OA diamond journals
with 69% of respondents using them (960 respondents out of 1,388). ORCID comes se-
cond with 38% of respondents. The use of alternative DOIs is significant as well (28%)
and shows, once again, the diversity of community-driven publishing.
Conversely, unique identifiers for grants are hardly used. This is not entirely surprising since
one of the key motivations for using a grant ID was the correct attribution of publication
funding in commercial open access journals. This may be a problem when seeking to comply
with Plan S. Grant ID is currently a mandatory technical condition for all publication venues:
“Metadata must include complete and reliable information on funding provided by cOAlition S
funders (including as a minimum the name of the funder and the grant number/identifier).”
As shown in Figure 19, the hosting situation is an important factor in the implementa-
tion of publication IDs.
Figure 19. Use of article IDs (Q42) across the main types of hosts (Q58)
International platforms and commercial host providers attain the highest rate of stan-
dardisations, with respectively 75% and 82% of the journal hosted there having DOIs.
International platforms also have the highest rate of grant ID (17%) and Datacite DOIs
(10%), while adoption of both indicators remains lower than average in commercial host
providers. The results show that international and, to a lesser extent, national platforms
play an important part in the implementation of publishing standards in the OA dia-
mond landscape. Provided they are sufficiently funded, they will likely be critical actors
in the implementation process of the requirements of cOAlition S.
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The OA Diamond Journals Study
›3.3.2 Strength
OA diamond publishing journals have made significant steps towards open source software
in the past years. OJS has been largely adopted with 60% of the respondents using it as a
publication tool: “Open source publishing software has contributed to reducing the design
costs of a large number of journals by disseminating automated procedures that have long
been applied within large organisations such as Elsevier or Springer.” (Langlais 2016)
Shared hosting and dissemination platforms help meet increasing standard require-
ments with a limited cost: investments for implementing standards or integrating in-
dexes can be managed at the scale of several hundred publications. Interviews with the
platforms showed much more readiness with Plan S conformity than the text and focus
groups from the individual journals.
›3.3.3 Challenges
Sources: Survey Q83, Q84 and Q85
Support for tools and services is the preferred form of support expressed by the res-
pondents to the question on funders’ support with 217 statements (Figure 20).
Open source infrastructures require regular investment and maintenance. In the free
texts, respondents raised regular issues about training, technical support and missing
features of standard CMS (Figure 21). OA diamond journals lack pre-existing skills to
easily implement specialised tools like OJS.
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Dynamics
Figure 21. The main challenges linked to the use of a standard academic CMS
Despite the generalisation of OJS and other specialised software, journals still largely
depend on custom know-how in practice (with some editorial workflow relying on
email, Google Drive or Excel). This combination of standardised CMS with non-standar-
dised additional tools can create a two-tier system where the journals are mostly run
by a core team without involving a larger circle of volunteers. Respondents noted that
the learning curve is not that hard, but requires more regular training and practice: “The
handling of tools (OJS, LODEL), especially by volunteer colleagues who only use them
occasionally, is problematic.” (11828309616); “The Janeway system that the journal
uses is excellent. However, getting editorial staff up to speed with using it inevitably
requires time.” (11931066578)
Some respondents also signaled a lack of interaction between the actors of OA dia-
mond publishing and the development process of open software tools, which results in
the removal of important functions like a database of readers (11817053886) or lack of
development in some areas, such as log analytics.
Not all the necessary tools and norms are covered by academic CMS. Several important
requirements are potentially costly for OA diamond journals with very limited funds.
✔ Acquisition of DOIs. DOIs are mentioned in 70 free text submissions to the sur-
vey. 52 of them (a large majority) stress the financial cost of DOIs for small jour-
nals: “This is perhaps the most pressing problem since the journal does not have
any income” (11824266141); “We lack funding for DOIs” (11841587194); “We
do not have the necessary funds to obtain the DOIs required by most indices”
(11912173373); “We do not have money to arrange DOIs.” (11884881559)
Respondents also called for extended support from funders or academic insti-
tutions: “We would be grateful for your effort to achieve a significant reduction
or removal of the fees in dollars for DOIs” (11832229290); “The ideal model is
that one of operating in a system where some costs such as DOI and resolution
of DOIs” (11819271522); “We would like to be able to count on funding for
DOI.” (11833592505) The acquisition of DOIs is one of the preferred areas of
support for tools and services (along with copy-editing and hosting).
✔ Use of an anti-plagiarism tool. This service is already largely used by the res-
pondents to the survey (820 “Yes” versus 589 “No” and 70 “Unknown”). Thanks
to the partnership of Crossref with Authenticate, this service is relatively inex-
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pensive. Yet it adds up to the financial pressure incurred by small journals.
Seven respondents have explicitly suggested that funders could provide an-
ti-plagiarism service for free: “Supporting the use of plagiarism detection tools
accessible or free of charge for open access scientific journals”; “Provide free
anti-plagiarism software”; “Achieve a significant reduction or removal of the
fees in dollars for (…) anti-plagiarism tools”; “Be able to pay anti-plagiarism
software (now we use a borrowed one)”; “Provision of access to plagiarism de-
tection software”; “Free plagiarism detection service”; “Paying the anti-plagia-
rism software on time.” Nine other respondents raised the issue of the amount
spent on anti-plagiarism software in other free text questions.
This “tragedy of the commons” had wide-range implications that are easily measured
in the survey. As seen above, a large majority of the respondents to the survey have
no archiving policies (855 respondents from a total of 1,575 answers to the question
on archiving policy). Only 387 respondents use a standard archiving system (LOCKSS,
PKP PN, CLOCKSS and Portico) that may be compliant to cOAlition S requirements.
Additionally, some of the main archiving solutions are not yet compliant to Plan S. Na-
tional libraries are important actors in the preservation of diamond journals, as they
are quoted by 11% of the respondents. The cost and the complexity of the joining
procedures to the existing archive services are likely key factors in this low adoption:
“We can’t afford to pay for preservation by other institutions, and thankfully we haven’t
needed to yet. We have published on our preservation techniques in multiple venues.”
(11972804083)
Archiving was one of the main problems discussed in the focus groups. One of the par-
ticipants underscored that “Archiving policy is currently a big issue. We are publishing
multimedia content and currently there are no solutions, even though initiatives like
Porticos are working on one. We can’t afford any major backup plans.” Another partici-
pant currently relies on a private company for video hosting since there is no scientific
infrastructure able to store and preserve this type of content in their home country.
The results of the survey, the data from the literature and the inputs from the focus
groups all converge to make archiving one of the most pressing issues of the OA dia-
mond landscape.
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› 3.3.3.4 Indexation
As shown in Figure 22, indexation is the main technical challenge for diamond journals.
3
400 journals in the survey are not included on the DOAJ. Inclusion is directly correlated
with the size and resources of the journals (Figure 23). Scopus indexes one-fourth of
journals with less than $/€1000 as an annual budget, rising to 68% for journals with
more than $/€50,000 of annual budget.
Indexation can represent a significant burden for OA diamond journals with little admi-
nistrative support: “Indexing means meeting certain formal and technical requirements
that are not usually free. On the contrary, the system that has been created around the
publication of journals (systems for detecting plagiarism, identifiers for articles, genera-
tion of XML files) is geared towards obtaining profits and pays little to the free nature of
the knowledge” (11837383477); “Having to be always alert to new demands is utterly
and completely exhausting” (11828350723); “The files to be filled in are heavy, the
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waiting time is long, and the criteria for social sciences are unclear.” (11850896848)
Several diamond journals simply lack the financial means necessary to perform the re-
gistration: “Unfortunately, we currently lack the capacity to run our registration, e.g. in
DOAJ and a membership in OSPA.” (11820118156)
The focus groups also stressed that difficult procedures are the main problem. The par-
ticipants were generally frustrated with the way indexes are managed: “Most of my time
is spent with checking indexes. Why so many different indexes? With so many different
criteria?”; “I tried to apply to the DOAJ last summer but did not succeed. I need another
person with me. While I know everything that is needed about my journal, I am not
familiar enough with the technological systems.” The Spanish-speaking journals inter-
viewed on the third focus groups similarly stressed that journal editors spend conside-
rable resources in achieving quality and technical criteria required by many databases
and indexes, but many national or institutional policies consider only private indexes
such as Scopus or JCR to assign a score to a journal or researcher.
These difficulties raise the issue of the representativity of existing indexes. While largely
used to analyse the academic publishing landscape, Scopus, WOS or even the DOAJ
may not cover efficiently the entire diversity of the OA diamond ecosystem: “There
are many journals that should be in there but are not. In practice, the DOAJ is not just
DOAJ but with much more letters: Directory of Open Access Journals for Filling this
Particular Form about Archiving, Editorial Use and about Licensing….”
Competing requirements of the international and national indexes have also been a
major issue raised by the focus groups. The participants called for more harmonisations
in terms of criteria, although they realize that the process is not that simple: “Global
criteria can leave aside South Journals.” Participants also quoted potential issues regar-
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Dynamics
ding the lack of compliance (especially regarding license conformity) or the consistency
of the metadata.
Journals often have to prove their worth over time: “We have been likened to [a pu-
blisher], and there is some interest, but we have to have 3+ years of publishing history
before this will be looked at seriously.” (11860395865); “The journal is less than five
years old. Its sustainability will strongly depend on its membership in a platform such
as OpenEdition Journals.” (11934713826) It may require a more professional manage-
ment of the journal and, paradoxically, add more pressure to the editing management:
“Moving on to another type of work, namely the integration in SciELO, a bibliographic
and digital database of electronic publications, will require additional work that can no
longer be done by a volunteering service.” (11919701208)
In some cases, the appropriate platform does not yet exist. Several journals currently at-
tempt to create common initiatives: “We have promoted the formation of collaborative
work networks between institutions to begin to formalise this knowledge, so we pro-
posed the creation of the Sara Network, a network of journal portals.” (11820268427)
Calls for mutualisation are recurrent as well in developing countries: “The authorities
of Science and Higher Education in developing countries should invest in the creation
of repositories for the preservation of archives, create sources of financing to access.”
(11968939160) Hosting platforms are also important multilingual content providers in
science, which is a major concern of non-English OA diamond journals.
Currently, shared platforms are mostly concerned with academic publishing. Several journals
made a call for expanding this strategy to other aspects of scientific dissemination which could
include, for instance, a public-owned international index: “A European, multilingual search en-
gine, independent of the large financial groups such as Elsevier, is necessary.” (11820595111)
Yet our analysis also underlined several recurrent patterns and convergent dynamics.
The statistical comparisons showed that several variables had more explanatory power
than others, such as the form of ownership, the type of host/platform, the budget of
the journal or the average number of the articles. Their recurrence suggests that there
are several consistent clusters of editorial practices, organisational structures and eco-
nomic models.
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The OA Diamond Journals Study
The two axes of the correspondence analysis can be interpreted as two meaningful
dimensions: the extent of financial support (y-axis) and the degree of autonomy from
the institutional context (x-axis)).
The graph highlights the high diversity of the OA diamond landscape. Five regular pro-
files can be identified in the graph:
✔ Small voluntary-run journals: They tend to have a very small budget (< $/€1000
annually) and less institutional support (the owner is more likely to be an indivi-
dual). This profile occurs more frequently in art and humanities disciplines and
in the mathematics and computer science disciplines.
✔ Learned society journals: funded and supported by a learned society, they get
a significant source of funding through membership fees.
✔ Institutional journals: While their funding may be limited, they are well em-
bedded in an academic organisation and benefit from in-kind support. This pro-
file occurs more frequently in the social sciences.
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Dynamics
✔ Large professional journals: thanks to a significant source of funding, these pu-
blications are able to recruit a professional editorial team and rely significantly
less on volunteers.
These profiles obviously remain ideal-types. In practice, there is a lot of potential hybri-
disation, especially within the institutional model. If it is properly supported, this variety
3
makes OA diamond journals more structurally resilient: bibliodiversity creates a healthy
ecosystem that is able to cover a large range of needs and use from different scientific
cultures and withstand a larger variety of issues, as it makes it more likely that several
models will have the capacity to overcome new challenges.
More isolated models are also perceptible, such as journals supported by NGOs and
other philanthropic associations. They show that the OA diamond ecosystem extends
beyond the academic sector, as professional or NGO actors may lack the resources to
access pay walled scientific publications or to pay for APCs: “Many of our readers do
not have access to institutional subscriptions.” (11822191482) This concern is espe-
cially apparent in the health sciences: “In the spirit of the journal’s aim to foster public
engagement with research, authors come from both inside and outside of universities,
and many are based in the community, in health or education systems, in business or
voluntary organisations. None of these have access to funding for publishing research.”
(11930702393)
Beyond this breakdown in different profiles, our analysis highlighted the emergence
of a latent culture of OA commons publishing. At present, most of these journals use a
similar publishing framework following the widespread adoption of OJS. They have to
overcome similar challenges, such as the lack of recognition of community-driven mo-
dels and the retention of volunteer contributions. Finally, they tend to share common
values: they value the ideals of open access, their autonomy, and their ability to develop
innovative editorial formats or governing structures.
International and national platforms have the potential to support this convergence.
Platforms are not significantly correlated with either profile as they aim to host journals
from a wide variety of editorial, organisational and scientific models. They have the po-
tential to maintain and sustain the diversity of the OA diamond journals profiles while
bringing forward common standards and norms at a limited technical and organisatio-
nal cost. This potential remains partially unfulfilled: unless they are strongly supported,
platforms lack the means to lower their cost of entry for journals.
The OA diamond community is in the process of existing. A key stake of the coming
years will be to develop the proper mechanism to support it and let it thrive.
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The OA Diamond Journals Study
Sustainability
4
Sustainability
Understanding how
diamond journals
are funded and how
sustainable they are
by Vanessa Proudman
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Vanessa Proudman
SPARC Europe
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Sustainability
Contents 4
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4.1 Facts
›4.1.1 The cost of running journals
Sources: Survey Q66, Q67, Q68 and Q72
The study’s survey found that over 60% of journals reported annual costs in the pre-
vious year under $/€10,000, including in-kind contributions as shown in Figure 1. Just
under half of these reported costs lower than $/€1,000, as seen in Figure 2. Journal
costs are low across the 54 surveyed countries; 65% of all country respondents from
all continents with the most journals running at this cost include France (39), USA (37),
Brazil (34), Italy (34) and Spain (24) (these are also the countries with the most respon-
dents) with a long tail of 30 countries with three or fewer at this cost.
Figure 1. Previous year annual costs of journals by percentage (n=1,370); survey Q66
Figure 2. Number of journals with costs below $/€1,000 by country (n=340); survey Q66
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Sustainability
Nineteen percent reported not knowing costs of the previous year. Figure 3 shows that
it is university presses and universities that have the most difficulties reporting costs,
with 28% of all university press-owned and 21% of university-owned journals.
4
Figure 4 shows that the annual costs for journal editing and operational work are
mainly under $/€10,000 (70%), with just over a third of the total report costs below
$/€1,000 (36%). Almost one-fifth are unaware of the specifics of personnel costs for
editing and operational costs.
Journals from 64 countries reported low annual costs of under $/€1,000. Almost half of
these come from Europe, as can be seen in Figure 2, with Asian and African countries as
hosts coming in second place. Of the 29 European countries, fewer than half of these
are from higher income countries.
The 25 journals with the highest costs of above $/€50,000 come from Europe (13),
North America—including Mexico—(8) and Asia—including Japan—(3). These are largely
universities, learned societies, government agencies and others.
When comparing the average number of articles per year to the total annual costs of
the journal (including in-kind institutional contributions), it is possible to estimate a
cost per article for the OA diamond journals in our survey. The median cost per article
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The OA Diamond Journals Study
calculated in this way is $/€208 across all journals. The median cost per article de-
creases with journal size, ranging from $/€556 for journals publishing five to nine ar-
ticles per year to $/€48 for those publishing 100-499 articles per year (Figure 5).
Figure 5. Distribution of estimated cost per article for diamond OA journals by journal size
Figure 5 shows box-and-whisker plots where boxes indicate first and third quartiles
(25th and 75th percentiles), with the horizontal line indicating the median, and the box
width proportional to the number of observations. Whiskers extend to the smallest
and largest value not exceeding 1.5 IQR (interquartile range). For survey Q16 andQ66,
n=965.
There are various limitations to these estimates relating to both the completeness and
interpretation of the data. Data for both article number and total cost were available
for 965 of 1,619 journals in the survey, making this a relatively small sample, especially
for some subgroups. Moreover, annual costs were presented in the survey as brackets
(ranging from $/€0-1,000 to $/€50,000-$/€100,000) rather than exact amounts. For
these brackets, a middle value was taken which was then divided by the reported num-
ber of articles per year. This means that all individual data points, and consequently all
aggregate measures, are estimates within a range.
Annual costs include both fixed (or indirect) costs of running the journal, as well as
variable (or direct) costs that are commensurate with the number of articles published,
including cost of editorial staff. A recent exploration by Brembs and Grossmann (2020)
estimated per-article cost for a conventional pre-publication peer-reviewed journal
with a 50% rejection rate, with production services outsourced at market prices and all
editorial duties performed by in-house staff, at US$ 643 for a journal publishing 100 ar-
ticles per year to US$ 565 for a journal publishing 1,000 articles per year. In this model,
direct costs (e.g. copy-editing, formatting, Crossref DOIs) are estimated to amount to
US$ 267, editorial staff to US$ 290 and indirect costs (e.g. platform hosting, archiving,
Crossref membership) to between US$ 8.70 (for 1,000 articles) and US$ 87 (for 100
articles).
These numbers are considerably higher than the numbers calculated here, raising the
question as to whether many diamond OA journals actually operate on lower costs, or if
all costs were actually included in the estimates given by survey respondents. For exa-
mple, while survey respondents were specifically asked to include institutional in-kind
contributions (like staff costs) in their estimates, what in fact was and was not included
in the annual costs reported may have differed among respondents. This necessitates
caution in the interpretation of the numbers reported here. In addition, for many dia-
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Sustainability
mond OA journals, strong reliance on voluntary labour means that a part of the total
costs will remain invisible.
Another caveat concerns differences in price levels across the globe. All costs were re-
ported in euros and U.S. dollars, but many costs will be made locally, against local price
levels. A journal operating in Indonesia, for example, could be expected to have lower
4
costs converted to dollars/euros than a journal operating in Switzerland. While it could
be argued that this hampers meaningful comparison of costs, varying costs across the
globe could also be considered a real indication of the amount of money that is involved
globally. Also, outsourcing has increasingly become a global market, especially for big
Western publishers that profit from low wage levels in India, for example, to which a
lot of copy-editing and administration has been outsourced. While we stay far from a
global market and cost assessment with the limited data available here, it is interesting
that no clear trends are observed when comparing estimated cost-per-article for jour-
nals from different regions in our sample (Figure 6).
Figure 6 shows box-and-whisker plots where boxes show first and third quartiles (25th
and 75th percentiles), with the horizontal line indicating the median, and the box width
proportional to the number of observations. Whiskers extend to the smallest and lar-
gest value not exceeding 1.5 IQR (interquartile range). Survey Q14, Q16, Q66, n=951.
As seen in Figure 7, the five main expenses/payables of the journal are editing (531),
copy-editing (463), technical and software support (393), typesetting (384), and design
(336). Marketing (44) and peer review (90) are reported the least frequently. From the
“Other” responses, by far the most common expense was printing (94) with translation
(54) as the second most common expense. For those who wrote in “Translation” and
specified a language, it was English in all cases apart from one, which was from French
to German. Other common expenses were editorial salary (40), DOIs (39) and Crossref
(18). Membership (9) was mentioned separately and included DOAJ, REDALYC, COPE,
and OASPA. In rare cases, metadata standards were mentioned as incurring costs for
journals; metadata standards that were also prominent included: XML (15) and JATS (7),
which were mentioned by name. As to the aforementioned costs reported far less fre-
quently, these numbers are low and show that the vast majority of journals do not have
expenses in these areas, meaning that these activities could be largely met through
in-kind contributions or voluntary work. We are not aware of the reasons behind why
some journals do not report incurring costs in certain areas. This may be due to the fact
that they do not carry out these activities, the work is done in-house, by volunteers or
via other in-kind contributions.
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The OA Diamond Journals Study
As regards personnel costs for journal editing and operational work, just over half of
all journals reported personnel costs for less than 1 Full Time Equivalent (FTE) and just
over one quarter fund 1-2 FTEs, as visualised in Figure 8. Over 80% of the cohort has
limited personnel costs of 2 FTE or under. Fewer than 2% need 6-9 FTEs; the majority
of whom are from Brazil (10) and Mexico (4) with one percent with 10-20 FTEs. These
high-cost venues stem from five countries: Colombia, Indonesia, Spain, Turkey and the
UK; most of these are owned by universities, and one learned society is also included.
A very large majority of OA diamond journals publish fewer than 50 articles per year
(86%). When analysing paid staff for journal editing and operations by size of the jour-
nal where provided, i.e. by number of journal articles per year, 81% run on 1-2 FTEs or
less. However, there are some outliers: of the 724 journals with under 25 articles per
year, 10 journals run on 6-9 FTEs or more. On the other end of the scale, 15 journals run
on under 1 FTE, publishing more than 100 articles per year. See Figure 9.
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Sustainability
4
Figure 9. Paid staff by size of the journal, i.e. number of articles per year
(n=1211); survey Q67 and Q16
Figure 10. Size of paid staff for journal editing and operational work by
owner of the journal/organisational type (n=1373); survey Q67 and Q34
›4.1.2 Voluntary work
Sources: Survey Q69, Q70 and Q71
Sixty percent of respondents report using volunteers whereas 40% do not. Of those
who use volunteers, a large proportion reported to what extent they are reliant on
volunteers and of these, 86% reported either having a high or medium reliance on vo-
lunteers. Sixty-four percent of the total stated a high reliance on volunteers, whereas
under a quarter (23%) reported a medium reliance on volunteers. The countries whose
journals declared the highest reliance on volunteers are the US (64%), Italy (59%) and
Croatia (41%).
Figure 11 shows that when comparing the reliance on volunteers with reported 2019
costs, the majority that rely highly on volunteers run on under $/€10,000. Those who
reported the highest dependence on volunteers are those running on 1 FTE. They have
an 81% medium or high reliance on volunteers.
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The OA Diamond Journals Study
When comparing the reliance on volunteers with the size of paid staff for journal editing
and operational work, the majority that rely highly on volunteers also use fewer paid
staff, i.e. under 1 FTE (376), although there is also a significant number of this group
(212) that did not report reliance on volunteers. Compared to those who declare costs
for 2019, those who provided FTEs are slightly less reliant on volunteers, as shown in
Figure 12, with 64% of those running on 1 FTE with a med-high reliance.
Figure 12. Reliance on volunteers by size of paid staff for journal editing and
operational work (n= 1,427); survey: Q70 and Q67
To understand what volunteers are used for, excluding peer reviewing and editorial
board membership, volunteers are used across the whole publishing process with edi-
ting (538), proofreading (482) and copy-editing (467) being the most frequent, as seen
in Figure 13.
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Sustainability
›4.1.3 Financial support
Sources: Survey Q61, Q62, Q63 and Q65
The majority of journals have largely been financially supported (including salary costs)
over the last two years by Research Performing Organisations (541), by national fun-
ding/government agencies (351) and by publishers (320). Scholarly or learned societies
supported 187 of the cohort. Museums/archives/heritage institutions (28), NGOs or
charities (31), international funding agencies (38) and national academies (45) are the
least likely to have funded OA diamond over the last two years. RFOs are named by
70 respondents. “Others” included a mix of organisations and revenue models. In or-
der of size: individuals (23), professional associations (15), industry (8), freemium, gra-
duate programmes, platforms, print sales, sponsors, conferences, advertisements and
12 other single mentions. Note that when “Other” mentions correspond to the given
variables, these have been included in the figure.
Figure 14. Who has funded the journal over the last two years? (n=1,421); survey Q61
To fund their journals, respondents reported a range of funding mechanisms, with in-
kind support by home institutions reported highest (536). Voluntary labour, work (ex-
cluding scientific) came second (475) and grant funding was much lower in third place
with 212, as shown in Figure 15. These are not only recent diamond OA journals or
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The OA Diamond Journals Study
start-ups, as just under half of these journals were created before 2000. When com-
paring RFOs as financial supporters of journals with mentions of grant funding, they
are mentioned together in 26 cases, however, 44 other cases of RFO support are men-
tioned without grant funding, showing that some RFOs are contributing in other ways
than grant funding. Ten percent indicated collectively organised funding mechanisms
working for them. Apart from those mentioned under “Other”, the least reported fun-
ding mechanisms are syndication/hosting/reposting (14), subscribe-to-open (19), en-
dowment/interest (24) and freemium content/services (34).
“Other” responses included organisations first of all with, often, names of universities
(184) and governments (93), which refer to national research councils (National Ministry
of Science, UKRI, etc.), or other governmental agencies. Learned societies come in third
place (28). The next topic relates to voluntary work with 27 mentions. Subscriptions
were also recorded by 12 respondents referring to the print edition of the journals,
which some journals retain given that they’re also published via diamond open access. A
small number of libraries provide financial support, along with “donations”. “Advertising”
in the print edition and “sponsorship” of individual issues were also mentioned, along
with NGOs, charities, and membership. Unique topics were as follows: patron, venture
capital, alumni association, book sales, commercial revenue, conference fees, industry,
medical centre, museum, paid workshops, tax revenue, third party and WHO.
When asked whether journals had always been funded this way, a very large majority of
OA diamond journals (94%) affirmed this.
Ninety-one percent of journals (1,186) reported not charging for any of their services.
Of those who do, printing (52), layout (43) or copy-editing (39) are the most frequent
sources of chargeable income. Ebook versioning (2), HTML conversion (11) and XML
markup (13) are the least commonly reported by a minute proportion as seen in the
following figure. Those 216 journals who do charge for services are mainly from univer-
sities (41), learned societies (20), university presses (12) or “Other” research organisa-
tions (8), and only four of the 16 are for-profit publishers. Sixty percent of those who
charge services are those that have been established in the last 20 years, with 39% es-
tablished between 2010-2019 and 21% between 2000-2009 and 19% in 1990-1999.
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Sustainability
›4.1.4 H
ow research funders might support the financial
sustainability of OA diamond journals
Sources: Survey Q75
When asked how research funders might support the financial sustainability of OA dia-
mond journals, 869 responses were provided.
Most funds are needed for payables and where in-kind contributions cannot be found.
Twenty-five percent called on funders or institutions to provide direct support and
shared services, with about one-quarter of these calling for funding for platforms. Di-
rect support is needed for editorial services, including copy-editing and proof-reading,
translation and plagiarism support. Financial support for technical infrastructure is
called for by numerous respondents, with hosting costs most commonly stated. The
costs of DOIs are also a clear concern. A trade-off is also mentioned between using
shared services and sometimes resulting increased demands on the journal.
Sixteen percent called for more long-term structural funding to help sustain their jour-
nal: “Having a long-term funding model would go a long way to secure the long-term
viability of the journal.” Several respondents underlined that small funds can go a long
way: “Directing to journals and/or publishers some of the funds that would otherwise
go to individuals for paying-to-publish or paying for open access (…) For example, a
single APC fee on a top journal would be enough to sustain us for one to two years.”
With more structural funding, journals can plan ahead and stabilise and strengthen their
services rather than just get by on the resources they have to stay afloat.
Ten percent needed more staff resources, either FTE or in-kind contributions from uni-
versities or their libraries for editorial and technical support. Some respondents pro-
posed formally sharing expertise between journals, either in the form of personnel or
delivered by a shared platform or service.
Only 8% saw grants as a way that funders can support OA diamond, and 6% asked for
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The OA Diamond Journals Study
the more radical redesign of grant funding. Grants are considered an unreliable source
of funding by some, and considered an unstable source of income.
Micro-grants could fund more lightweight procedures such as hosting or financial ad-
ministration, i.e. “a more easily or automatically renewable source of funding, providing
the journal meets the conditions required,” also since acquiring funding is an expertise
in itself and grant criteria do not always speak to all forms of publication or disciplines.
Some were critical about external funding as a general principle as it can bring additio-
nal constraints and alter the general management of the journal. Having the expertise
and staff resources can be more essential than obtaining extra funding.
›4.1.5 Financial stability
Sources: Survey Q73 and Q74
When analysing the financial status of the OA diamond journal, 43% of journals re-
ported that they break even and 25% make a loss, as shown in Figure 17. Thirty-one
percent stated that their financial status is “Unknown”. One percent makes a profit and
of these, six are universities, four are university presses and three are associations.
Figure 17. Current financial status of the journal (n=1,393); survey Q73
Of those who reported a loss, 60% were journals owned by government agencies, al-
though 38% of for-profit publishers, of a total of 16, also reported losses. Those that
reported the least losses proportionally are universities and other research organisa-
tions, both at 17%. The country with the highest loss ratio for journals is Spain (64/138:
at 46%) with over half coming from government agencies. Journals from Brazil (26/97:
27%), UK (23/73: 32%), France (20/145: 14%) and Croatia (18/76: 24%) also reported
a higher frequency of losses than other countries—though it should be mentioned that
they are also the countries with the highest number of responses.
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Sustainability
Thirty-one percent of journals reported “Unknown” as to what their financial status is,
with the highest proportion reported by university-owned journals (38%) and 33% of
all university presses. Journals owned by learned societies are some of the fewest who
reported not knowing their status (14% of total).
Only 19 respondents reported making a profit. Those that make a profit are above all
4
from France (7), and also the country with the highest responses, with Brazil, Argentina,
Canada, Chile, Croatia, Finland, Portugal, Sri Lanka and Turkey reporting one to two
journals or platforms. Six of these are universities and four are university presses.
When asked how sustainable the journal is in the next three years on a scale of one
to 10 where 10 is very secure, 64% considered themselves as secure or very secure
(eight or above) with 33% of the total considering themselves as very secure. Only 18%
were less confident about their financial stability reporting five or under. Twenty-eight
percent were on the fence between five and seven, however. Of those that reported
less confidence in their financial security, 29% of all reported university presses ex-
pressed the greatest concerns with journals owned by individuals and learned societies
at 24% and 18% respectively. Those with by far the least concerns are government
agencies (5%). Those with less confidence are journals mostly established in the last 10
years (36%), between 2000-2009 (22%) or those from 1990-1999 (18%). Those with
the least confidence (one or two rating out of 10) are more likely to be from journals
established between 1990-1999 (34%) and then more recent journals from 2010 and
2019 (28%), with those from 2000-2009 with the third highest concerns (19%).
For those who answered both questions: on the financial status and how sustainable they
consider the journal in the next three years, of those with greater confidence in the sustai-
nability of the journal, the majority reported breaking even. However, over 100 of those
who had the most confidence also reported a loss, which shows that perceptions do not
always reflect reality. When journals have less confidence, i.e. five or under, this generally
shows a higher proportion of losses to break even. See Figure 18 for more information.
Figure 18. Journals by financial status and how sustainable they consider the
journal in the next three years on a scale of one to10 where 10
is very secure; survey Q73 and Q74
- 121 -
The OA Diamond Journals Study
›4.1.6 Confidence in the OA diamond model
Sources: Survey Q76 and Q77
A significant majority of journals reported no intention of moving away from this model
(73%) while 20% either perhaps consider doing so or affirm that this is a plan, as shown
in Figure 19.
Figure 19. Journals that consider moving away from the OA diamond model (n=1,426); survey Q76
Those journals that reported that they are considering moving away from the OA diamond
model and with a year of establishment provided, are largely those who were established
in the last nine years 2010-2019 (44%) and 2000-2009 (25%) or between 1990-1999
(13%), as shown in Figure 18. Of those journals who are perhaps considering moving mo-
dels, 88% are journals that went diamond between 2000-2019. Only 22% of those who
went diamond in the last 20 years indicated they wanted to move models.
Figure 20. Journals that are considering moving away from the OA
diamond model by journal creation year and percentage (n=279); survey Q76 and Q30
The majority reported longer-term feasibility (249) and economic viability (231) as rea-
sons for reconsidering the model, with the importance of the impact factor coming in
third place (184), as seen in the following figure.
- 122 -
Sustainability
Fifty-four “Other” reasons for changing the business model were provided, including
the dependence on volunteers. The next most common topic, survival (10), had some
quite stark responses, including: “The journal is at risk of disappearing due to the ex-
haustion of those involved,” and “I am going to die one day,” or “I am old. I cannot do this
forever.” Six reported concerns with the decreasing funding available.
4.2 Strengths
As far as costs are concerned, the majority of OA diamond journals do not use exten-
sive resources to maintain their publications, with 60% of journals reporting annual
costs in 2019 as coming in under $/€10,000. Just under half of these reported costs
lower than $/€1,000 from 54 countries, i.e. 65% of all respondent countries. Some of
these are countries high on the GNP list or high on the Big Mac Index such as the US,
France or Italy. Only 3% reported high costs between $/€50,000-$/€100,000.
Variable costs such as journal editing and operations are similarly low for many,
with over one-third reporting costs below $/€1,000 and 70% reporting costs under
$/€10,000. Certain countries who feature high on the GNP index or on the Big Mac
Index such as the US, France, Spain or Italy, and half of European countries who do not
come from low-income countries, also reported significant numbers of journals running
at low costs.
Note that the majority of those who reported running below $/€1,000 or run on less
than 1 FTE, also heavily rely on volunteers. This could mean that they do not cost much
to run, that they are being efficiently managed, that they are making the best use of
money with little waste, that in-kind contributions are not always recorded or, rather,
that the term cost is not understood correctly. Alternatively, they could be underfunded
or working with infrastructure that is well developed.
Personnel costs for journal editing and operations are equally low, with 80% of the co-
hort who reported personnel costs for 2 FTE or less, and just over half running on less
than 1 FTE. Only 2% reported needing 6-9 FTEs, and 1% 10-20 FTE.
The majority of OA diamond journals are financially supported by stable, large institu-
tions such as RPOs and national funding/government agencies. This shows a significant
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The OA Diamond Journals Study
commitment to supporting scholarly communication as part of their missions to sup-
port research. Numerous institutions consistently show their strong support by provi-
ding in-kind support. OA journals use a range of funding models to fund their journals;
collective funding being a reasonably popular choice.
Over 60% of surveyed journals considered themselves financially sustainable and se-
cure or very secure, with over 30% of journals considering themselves as very secure.
This shows clear confidence in the model and in the sustainability of the venue by many.
OA diamond journals showed a clear confidence in the current funding model, i.e. in
their venue and business or financial model since 94% of OA diamond journals have
always been funded this way and 73% have no intention of moving away from the
model. This indicates that the large majority intend to remain not-for-profit and inde-
pendent. Almost all journals do not charge for any services so keep the costs down for
authors and readers.
›4.3.1 The cost of running journals and voluntary work
Although over 60% of journals reported running on under $/€10,000, when resources
are needed, they are for payables and where in-kind contributions cannot be found.
Twenty-five percent called on funders or institutions to provide direct support and
shared services, with about one-quarter of these mentioning platforms. Direct support
for editorial services, including copy-editing and proof-reading, translation, hosting
and anti-plagiarism support are mentioned explicitly. The costs of DOIs are also a clear
concern. A trade-off is also mentioned between using shared services and sometimes
results in increased demands on the journal.
Some were also concerned about the lack of trained personnel or experts in translation,
editing, peer review, formatting, technical support/infrastructure or other areas. While
some mentioned collaboration as a solution to some challenges like these, others also
talked of the challenge of joining forces on common platforms, for example, since it calls
for other expertise or professional standards that cannot be provided by volunteers.
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Sustainability
The very large majority of OA diamond journals are small outfits that publish fewer than
50 articles per year (86%). Of those declaring operational costs, 81% run on 1-2 FTEs
or less. However, there are some outliers reporting significant costs: of the 724 journals
with under 25 articles per year, 10 journals run on 6-9 FTEs or more. On the other end
of the scale, 15 journals that publish more than 100 articles per year run on under 1
FTE. The extent of funding of some journals may be of concern since certain journals
4
have high annual costs, above $/€50,000, when relating it to the GNP or Big Mac Index
in some countries. Similarly, of the 2% needing 6-9 FTEs for journal editing and opera-
tions, the majority are from Brazil and Mexico. Journals with 10-20 FTEs, most of which
are owned by universities, come from both low- and high-income countries, such as Co-
lombia, Indonesia, Spain, Turkey and the UK. Government agencies who own journals
usually use 3-5 FTEs, which is also higher than most. More investigation is needed to
understand the high costs of some venues and their service offering to see where costs
can be reduced and efficiencies gained, where feasible. High costs may result from plat-
forms or journals that provide advanced infrastructure, in which case these instances
may be candidates for providing shared services to other smaller journals.
A further challenge relates to monitoring and administering costs, since almost 20%
reported not being aware of the costs of their journal, with half of these at univer-
sities and many learned societies, university presses or other research organisations
reporting the same. Similarly, just over one-fifth are unaware of the payable specifics of
personnel costs for editing and operational costs. In the best case, this might have so-
mething to do with who filled in the survey; however, it might well have to do with the
accounting rules or lack of them at the institution. It does indicate that many journals
are not able to monitor budgets and expenditure or use them to see where efficiencies
might be gained.
When looking at the costs of OA diamond, one area where OA diamond journals seem
not to be investing in is marketing — at least, it is not often reported as a main expense.
Survey data also show that almost 200 journals who use volunteers use them to fill that
marketing gap. While extensive marketing may not be necessary for all journals, and
other expenses may be more important, almost 10% indicated that marketing is one
of the reasons why some journals consider moving away from the OA diamond model,
hence its importance.
›4.3.2 Confidence in the current funding model/OA
diamond model
Although a large percentage are confident in the OA diamond model, twenty percent
of OA diamond journals either consider or plan to move away from the current fun-
ding model and 69% of these were journals who were established in the last 20 years.
Eight-eight percent of these were journals that went diamond in recent years between
2000-2019. They reported a lack of confidence in the long-term feasibility of the mo-
del and/or its economic viability or due to the impact factor. Reliance on volunteers is
also a reason for some to consider change, with one respondent stating: “It feels wrong
to have to fund the journal I co-founded and co-edit with my own money, when also
co-editing a not open access journal from which the support from the for-profit publi-
sher is minimal. I however think it’s the for-profit journal that needs to change, not truly
open access ones.”
The importance of prestige and the impact factor was also perceived as a challenge for
OA diamond journals with almost 200 journals (ca. 12%) reporting this as a reason to
move away from the current OA diamond funding model. Some respondents were also
concerned that funding is sometimes impacted by the lack of the perceived prestige of
the journal.
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The OA Diamond Journals Study
›4.3.3 Financial stability
As regards the financial health of the journal, only just over 40% reported that they
break even, and the rest reported a loss, profit or said they were unaware of their fi-
nancial status. Sixty percent of all government agency-owned journals stated a loss.
Despite reporting a loss, some of these journals expressed extreme confidence in the
stable sustainability of their venue, the reasons for which need further investigation,
which could be due to structural funding, consistent in-kind contributions, strategic
choices that are not influenced by the financial status of the journal by the institution,
or other reasons.
Thirty-one percent of journals reported “Unknown” as to what their financial status is,
with the highest proportion reported by university-owned journals (38% of the total),
and 33% of all university presses, which makes accounting for specific financial sustai-
nability issues and economising difficult.
Of those that reported less confidence in their financial security in the next three
years, 29% of all reported university presses expressed the greatest concerns, followed
by journals owned by individuals and learned societies at 24% and 18% respectively,
which shows that more stable funding is needed to serve the needs of the academic
publishing with university presses and learned societies in particular.
›4.3.4 Financial support
The majority who reported challenges related to sustainability were concerned about
the uncertainty of funding, even in the case that basic costs are covered by government
funding or by universities. Journals are concerned that university or learned society
ownership and funding might also be threatened by changes in policy or sudden crises,
like the COVID-19 pandemic. Those worried about current funding levels are usually
worried about covering DOI and indexing costs for their journals.
Respondents also mentioned a lack of long term grant funding or sponsorship for OA
diamond journals. Over 200 respondents (13%) reported grant funding as a mechanism
to fund their journal, which one would normally associate with funding development
projects rather than operations. Grants are not only mentioned by recent OA diamond
journals or start-ups, with just under half of these journals created before 2000. It is
not known as to whether grants are being used or requested to sustain operations or to
innovate and develop journals or platforms.
- 126 -
Sustainability
Bibliography
- 127 -
The OA Diamond Journals Study
The references listed below are the ones cited in the report. The full
bibliographical database constituted for the literature review can be
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Potts, J., Hartley, J., Montgomery, L., Neylon, C., & Rennie, E. (2017). A journal is a club: A new economic model
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- 128 -
Bibliography
Annex
- 129 -
Contents
OA Diamond Journals Study Dataset
Questionnaire
CSI study
OA Diamond Journals
Study Dataset
This dataset contains data used by and partly generated by the OA Diamond Journals Study on
open access journals that do not charge authors. It contains the datafiles themselves as well as
some readme texts with variable lists.
Identifier: 10.5281/zenodo.4553103
Available files:
1. Survey questionnaire, English version (PDF)
2. Survey data without identifying information and without free texts answers (CSV). This
includes, for some questions, data from DOAJ for journals present in that database.
3. Readme text with the variable list for the survey data file (TXT)
4. Stratified sample of 500 records from the ROAD database of open access journals
downloaded 20201102 (CSV)
5. Readme text with the variable list for the ROAD database sample (TXT)
6. Directory of Open Access Journals (DOAJ) metadata downloaded 20200602 (CSV)
7. Directory of Open Access Journals (DOAJ) metadata downloaded 20200918 (CSV)
8. Added and Removed change log DOAJ, downloaded 20210121 (CSV)
9. Readme text with variable list for the Added and Removed change log DOAJ (TXT)
Additionally, an online version of the survey results (excluding DOAJ data and excluding free text
answers) is available from SurveyMonkey
List of journals and
platforms consulted
Platforms interviewed
1–AJOL
2–Hrcak
3–PKP
4–openjournals.nl
5–OpenEdition
6–Redalyc
7–Scielo
8–Sciendo
9–Ubiquity Press
4–21: Inquiries into Art History and the Visual Beiträge zur Kunstgeschichte und visuellen Kultur (https://journals.
ub.uni-heidelberg.de/index.php/xxi/index)
6–AACADigital (www.aacadigital.com)
7–AATEX (https://www.jstage.jst.go.jp/browse/aatex/)
9–Acarologia (http://www1.montpellier.inra.fr/CBGP/acarologia/)
35–Adeptus (https://ispan.waw.pl/journals/index.php/adeptus/index)
51–Al-Qantara (http://al-qantara.revistas.csic.es)
54–Alteridades (https://alteridades.izt.uam.mx)
58–Ambiances (http://ambiances.revues.org)
76–Annals of «Dunărea de Jos» University of Galaţi: Fascicle XI Shipbuilding-Analele Universitatii Dunarea de Jos
din Galati, Fascicula XI- Constructii navale (http://www.gup.ugal.ro/ugaljournals/index.php/fanship)
80–Anthropozoologica (http://sciencepress.mnhn.fr/fr/periodiques/anthropozoologica)
82–Antropologia (http://www.ledijournals.com/ojs/index.php/antropologia)
84–Antropológicas (https://revistas.rcaap.pt/antropologicas/)
95–Appareil (http://appareil.revues.org)
99–Aquichan (http://aquichan.unisabana.edu.co/index.php/aquichan/index)
100–Aquitania (https://aquitania.u-bordeaux-montaigne.fr/index.php/catalogue/la-revue-aquitania)
101–ARBOR (http://arbor.revistas.csic.es/index.php/arbor/)
106–Architecture_MPS (https://www.uclpress.co.uk/pages/architecture-mps)
112–Areté Revista Digital del Doctorado en Educación de la Universidad Central de Venezuela (http://saber.ucv.ve/
ojs/index.php/rev_arete/index)
114–Argumentum (http://periodicos.ufes.br/argumentum/)
116–Arhiv za higijenu rada i toksikologiju / Archives of Industrial Hygiene and Toxicology (http://www.degruyter.
com/view/j/aiht)
130–ASCLEPIO (http://asclepio.revistas.csic.es)
133–ASIANetwork Exchange: A Journal for Asian Studies in the Liberal Arts (http://www.asianetworkexchange.org)
139–Avant (http://avant.edu.pl/en/)
140–Avtobiografiя. Journal on Life Writing and the Representation of the Self in Russian Culture (https://www.
avtobiografija.com/index.php/avtobiografija)
146–Belgeo (http://belgeo.revues.org/)
147–BIBECHANA (https://www.nepjol.info/index.php/BIBECHANA)
149–Bibliothecae.it (http://bibliothecae.unibo.it/)
155–Biolinguistics (http://www.biolinguistics.eu/)
156–Biotechnologie Agronomie Société et Environnement/Biotechnology Agronomy Society and Environment
(http://www.pressesagro.be/base/)
169–Bothalia (http://www.abcjournal.org)
172–Breathe (https://breathe.ersjournals.com/)
175–Brodogradnja (http://www.fsb.hr/brodogradnja)
187–Búsqueda (http://revistas.cecar.edu.co/busqueda)
202–Caletroscópio (http://www.ichs2.ufop.br/caletroscopio/revista/index.php/caletroscopio)
203–Calidoscópio (http://revistas.unisinos.br/index.php/calidoscopio)
212–CeROArt (http://ceroart.revues.org/)
218–CHIMIA (http://chimia.ch)
226–Circula (http://circula.recherche.usherbrooke.ca/)
250–Confins (http://confins.revues.org/)
252–Contemporaneity (http://contemporaneity.pitt.edu)
265–Criminologie (https://www.erudit.org/fr/revues/crimino/)
297–Dearq (https://revistas.uniandes.edu.co/journal/dearq)
305–Diacronia (http://www.diacronia.ro/en/)
307–Didacticae (http://revistes.ub.edu/index.php/didacticae/)
312–Díkaion (http://dikaion.unisabana.edu.co/index.php/dikaion/index)
313–Dike (https://riviste.unimi.it/index.php/Dike)
315–Discours (http://discours.revues.org/)
319–DMTCS (http://www.dmtcs.org/dmtcs-ojs/index.php/dmtcs)
326–DYNA (http://dyna.medellin.unal.edu.co/es/index.php)
327–E-Logos (https://e-logos.vse.cz/)
337–Educare (https://ojs.mau.se/index.php/educare)
345–Eikon (http://ojs.labcom-ifp.ubi.pt/index.php/eikon/index)
348–Eksperimentator (https://eksperimentator.empirik.si/)
355–Elektronika-Electronics (http://www.electronics.etfbl.net/)
359–EMERITA (http://emerita.revistas.csic.es/index.php/emerita)
360–En-Gender! (Engenderacademia.wordpress.com)
363–Enfoques (http://publicaciones.uap.edu.ar/index.php/revistaenfoques)
370–Enthymema-International Journal of Literary Criticism Literary Theory and Philosophy of Literature (http://
riviste.unimi.it/index.php/enthymema/index)
371–Environmental and Water Sciences public Health and Territorial Intelligence Journal (https://revues.imist.ma/
index.php?journal=ewash-ti&page=index)
372–Ephata (https://revistas.ucp.pt/index.php/ephata/index)
380–Eskişehir Osmangazi Üniversitesi İlahiyat Fakültesi Dergisi (Journal of Eskisehir Osmangazi University Faculty
Of Theology) (http://dergipark.gov.tr/esoguifd)
411–Eugesta (https://eugesta-revue.univ-lille.fr/)
423–Eurosurveillance (http://www.eurosurveillance.org/)
433–feminists@law (http://journals.kent.ac.uk/index.php/feministsatlaw)
445–folklor/edebiyat (http://www.folkloredebiyat.org)
454–Francigena (http://www.francigena-unipd.com/index.php/francigena/index)
455–Franciscanum (http://revistas.usb.edu.co/index.php/Franciscanum)
456–Francosphères (https://www.liverpooluniversitypress.co.uk/journals/id/70)
458–Frontière·s (https://publications-prairial.fr/frontiere-s/)
461–GénEr♀♂s (http://revistasacademicas.ucol.mx/index.php/generos/index)
462–Geoadria (http://hrcak.srce.hr/index.php?show=casopis&id_casopis=150)
468–GEOPAUTA (http://periodicos2.uesb.br/index.php/geo)
476–GLADIUS (http://gladius.revistas.csic.es)
477–Glasnim - journal of legal theory and practice of the bar association of Vojvodina (https://scindeks.ceon.rs/
journaldetails.aspx?issn=0017-0933&lang=en)
483–GRAELLSIA (http://graellsia.revistas.csic.es/)
492–HISPANIA (http://hispania.revistas.csic.es/index.php/hispania)
505–Historyka (http://journals.pan.pl/hsm/117793?language=en)
506–Hoken Iryo Kagaku (Journal of the National Institute of Public Health) (https://www.niph.go.jp/journal/)
517–Iberoforum (https://iberoforum.ibero.mx/index.php/iberoforum)
520–Identidades (https://iidentidadess.wordpress.com/)
529–INDIANA (https://journals.iai.spk-berlin.de/index.php/indiana/index)
542–Insights (http://insights.uksg.org/)
546–Interdisciplinaria (http://www.ciipme-conicet.gov.ar/ojs/index.php/interdisciplinaria/index)
577–ISEGORIA (http://isegoria.revistas.csic.es)
587–Izquierdas (http://www.izquierdas.cl)
588–Janus (https://journal.fi/janus/index)
593–Jewish Historical Studies: Transactions of the Jewish Historical Society of England (https://www.uclpress.
co.uk/pages/jewish-historical-studies)
595–JIME (http://www-jime.open.ac.uk/)
596–JLIS.it (https://www.jlis.it/)
700–K@iros (http://revues-msh.uca.fr/kairos/)
704–Kasmera (http://produccioncientificaluz.org/index.php/kasmera/index)
709–Kotsuken (https://www.jstage.jst.go.jp/browse/kotsuken/-char/ja/)
710–Krmiva (636.084/636.087(497.13)(05))
711–Kroatologija (https://hrcak.srce.hr/kroatologija)
713–kunsttexte.de (www.kunsttexte.de)
721–LACLIL (http://laclil.unisabana.edu.co/index.php/LACLIL/index)
722–Læknablaðið (http://www.laeknabladid.is/)
728–Lanx (https://riviste.unimi.it/index.php/lanx/index)
730–Lateral (https://csalateral.org)
737–LEDGER (http://ledgerjournal.org/)
745–Lexicon Philosophicum: International Journal for the History of Texts and Ideas (Lexicon.cnr.it)
749–LIDIL (https://journals.openedition.org/lidil/)
754–Linguamática (http://www.linguamatica.com/index.php/linguamatica/index)
764–LOQUENS (http://loquens.revistas.csic.es/index.php/loquens)
765–Luz (http://luz.uho.edu.cu/index.php/luz/index)
766–M@n@gement (https://management-aims.com/index.php/mgmt)
771–Mappemonde (http://mappemonde.mgm.fr)
780–MDCCC1800 (http://edizionicafoscari.unive.it/en/edizioni/riviste/mdccc-1800/)
786–Medievalista (https://journals.openedition.org/medievalista/)
791–Métropoles (http://metropoles.revues.org)
792–Metropolitiques (metropolitiques.eu)
794–MHC (https://www.jstage.jst.go.jp/browse/mhc/-char/ja)
796–Millenium (http://revistas.rcaap.pt/millenium/index)
804–Montesquieu.unibo.it (http://montesquieu.unibo.it)
811–NAAJ. Revue africaine sur les changements climatiques et les énergies renouvelables (https://www.revues.
scienceafrique.org/naaj/)
812–Naturae (http://sciencepress.mnhn.fr/fr/periodiques/naturae)
821–Noctua (http://www.didaschein.net/ojs/index.php/noctua/index)
822–Nóema (http://riviste.unimi.it/index.php/noema/index)
831–NOVUM (https://revistas.unal.edu.co/index.php/novum/index)
834–Oceanologia (http://www.journals.elsevier.com/oceanologia/)
837–ODEERE (http://periodicos2.uesb.br/index.php/odeere)
842–Oliviana (https://journals.openedition.org/oliviana/)
845–Onkologija (https://revijaonkologija.si/)
873–Perfiles (http://ceaa.espoch.edu.ec:8080/revista.perfiles/)
875–Peristil (https://hrcak.srce.hr/peristil?lang=en)
879–Phantasia (https://popups.uliege.be/0774-7136/index.php)
883–Philosophia (http://revistas.uncu.edu.ar/ojs/index.php/philosophia/index)
890–PIRINEOS (http://pirineos.revistas.csic.es)
896–PODIUM (http://revistas.uees.edu.ec/index.php/Podium/index)
897–Poligrafi (http://ojs.zrs-kp.si/index.php/poligrafi/index)
899–Politeia (http://scindeks.ceon.rs/journalDetails.aspx?issn=2232-9641&lang=en)
902–Politiikka (https://journal.fi/politiikka)
903–Poljoprivreda (https://hrcak.srce.hr/poljoprivreda?lang=en)
910–Pretexto (http://www.fumec.br/revistas/index.php/pretexto)
920–Projectique (https://www.cairn.info/revue-projectique.htm)
926–Psihologija (http://www.doiserbia.nb.rs/Journal.aspx?ISSN=0048-5705)
929–Psilogos (http://www.psilogos.com)
931–Psocial (https://publicaciones.sociales.uba.ar/index.php/psicologiasocial/index)
933–Psychofenia (http://siba-ese.unisalento.it/index.php/psychofenia)
934–Psychologica (https://impactum-journals.uc.pt/psychologica/index)
941–Quanta (http://quanta.ws/)
944–Quiroga (https://revistaquiroga.andaluciayamerica.com/index.php/quiroga)
958–RECIAL (https://revistas.unc.edu.ar/index.php/recial)
1007–Revista de Ciências Agrárias Amazonian Journal of Agricultural and Environmental Sciences (https://
periodicos.ufra.edu.br/index.php/ajaes)
1108–RiCognizioni (http://www.ojs.unito.it/index.php/ricognizioni/index)
1110–Riséo (http://www.riseo.cerdacc.uha.fr)
1118–Romantik (https://www.vr-elibrary.de/journal/jsor)
1125–S&F_scienzaefilosofia.it (http://www.scienzaefilosofia.it)
1131–Santiago (http://revistas.uo.edu.cu/index.php/stgo)
1137–Science infirmière et pratiques en santé - Science of Nursing and Health Practices (https://snahp-sips.ca)
1150–SEFARAD (http://sefarad.revistas.csic.es)
1157–Shima (http://www.shimajournal.org/)
1158–Siècles (https://journals.openedition.org/siecles/)
1159–Siembra (http://revistadigital.uce.edu.ec/index.php/SIEMBRA)
1162–Sincronía (http://sincronia.cucsh.udg.mx/)
1177–Sociopoétiques (http://revues-msh.uca.fr/sociopoetiques/)
1179–Solum (http://jurnalsolum.faperta.unand.ac.id)
1180–Sortuz (http://opo.iisj.net/index.php/sortuz)
1193–Sportis. Scientific Journal of School Sport Physical Education and Psychomotricity (http://www.sportis.es/
revista/index.php/ScientificTJ/index)
1197–STATISTICA (http://rivista-statistica.unibo.it)
1199–Strenæ (http://strenae.revues.org/)
1216–Subjetividades/Subjectivities (https://periodicos.unifor.br/rmes/index)
1222–Tabularia (https://journals.openedition.org/tabularia/)
1223–Tahiti (https://tahiti.journal.fi)
1224–Taiwania (http://taiwania.ntu.edu.tw/index.php)
1232–Tendencias (http://revistas.udenar.edu.co/index.php/rtend)
1235–Terminal (https://journals.openedition.org/terminal)
1236–Terminal (https://journals.openedition.org/terminal/)
1237–TERMINÀLIA (http://revistes.iec.cat/index.php/terminalia)
1242–The Achievers Journal: Journal of English Language Literature and Culture (http://theachieversjournal.com/
index.php/taj)
1243–The Annals of “Dunarea de Jos” University of Galati. Fascicle IX Metallurgy and Materials Science (http://
www.gup.ugal.ro/ugaljournals/index.php/mms)
1271–Theoria. An International Journal for Theory History and Foundations of Science (http://www.ehu.es/theoria)
1275–tic&société (http://ticetsociete.revues.org)
1290–Transposition (https://journals.openedition.org/transposition/)
1296–Tropicultura (http://www.tropicultura.org/)
1297–Tuexenia (https://www.zobodat.at/publikation_series.php?id=20993)
1315–Viatica (http://revues-msh.uca.fr/viatica/)
1321–Volcanica (https://www.jvolcanica.org/ojs/index.php/volcanica/index)
1322–Vulture News (www.ajol.com/vulnew)
1326–Wieki Stare i Nowe [The Old and the New Ages] (https://www.journals.us.edu.pl/index.php/WSN)
1332–Yönetim ve Organizasyon Araştırmaları Dergisi (Journal of Management & Organization Studies) (http://
betadergi.com/yoad/home.html)
1336–Zbornik radova Ekonomskog fakulteta Sveučilišta u Mostaru - Journal of Economy and Business (https://
zbornik.ef.sum.ba/)
1342–Život umjetnosti – Journal for Modern and Contemporary Art and Architecture (https://hrcak.srce.hr/zivot-
umjetnosti)
1
Diamond Open Access Survey
Introduction
You are invited to participate in a survey dedicated to growing our understanding of the global
landscape of open access journals and platforms that don’t charge authors to publish OA; this is
commonly referred to as the “diamond model”: journals that are free for both readers and authors.
This survey takes place in the context of the Diamond Open Access study commissioned by
cOAlition S. With a dissemination of the survey on an international scale, we hope to bring greater
visibility and a deeper understanding of this landscape, and provide insights that will help a range
of actors, such as research funders, governments and universities to develop effective policies
towards supporting this sector.
Scope
The survey specifically targets journals and platforms that provide immediate open access content
and do not charge authors a fee to publish. If you belong to the scientific or editorial team of a
journal, you can take the survey on behalf of your journal. We ask you not to answer for an entire
hosting/technical platform which could have many journals on it.
A preliminary question will ask if the journal is already registered in the Directory of Open Access
Journals (DOAJ). If you answer “yes” to this first question, you will be able to skip a number of
questions because we already have the data from DOAJ.
We understand that completing the survey can be an effort. As a reward to this effort, you’ll be able
to have, if you wish:
- the name of the journal published on a public webpage on cOAlition S Website listing all the
journals that have participated in the survey. With this webpage we look forward to showcasing the
breadth of the OA offering.
- a file containing all of your answers sent to you by email in September when the survey will be
closed, that you’ll be able to share as the “identity card” of the journal with third parties such as
funders, research organizations, etc.
- The final report of the study will be sent to you at the end of the year.
Instructions
You can download the complete list of the questions in a PDF file before providing your answers.
Do not be discouraged if you are unable to answer all questions. You’ll be able to skip those you
can’t answer. The survey is available in English, French, Spanish, German, Italian and Portuguese.
Answers in those languages are accepted. You can access the language menu in the top-right
corner of your screen.
Completing the survey will take you around half an hour. At the end of the survey we’ll ask you an
open question about your ideal model to support open access journals. We hope that going
through the different questions of the survey will help you reflect on the question so that you can
share with us your expectations for a better future regarding the open access landscape at the end
of the survey.
Thank you for your contribution and don't hesitate to contact us if you have any question or issue
answering the survey: operas
3
Diamond Open Access Survey
* 1. Consent
If you do not wish to participate in the research study, please decline participation by clicking on the
"disagree" button.
Agree
Disagree
4
Diamond Open Access Survey
* 2. If one of the following applies to your journal or platform, you should not proceed with filling in the
survey:
- The journal is not peer-reviewed
- The journal is “delayed” open access (access to full text of the articles is opened to everyone only after a
certain period of time)
- The journal requests “article processing charges” (APC) to be paid at least by some authors for
publishing
- The journal business model is based on “APC”, but reduced to 0 for some or all of the authors thanks to
specific agreements (partial or universal, temporary or permanent waivers)
- The access to the full text of some of or all the articles is normally based on subscription but opened
thanks to specific “Transformative agreements”.
I confirm none of the above situations apply
Leave survey
5
Diamond Open Access Survey
Contact Information
* 3. Journal Title
* 4. Respondent name
* 5. Respondent Email
No
Unknown
6
Diamond Open Access Survey
DOAJ questions
15. Year when the journal has been made available open access:
16. Average number of published articles each year during the three last years:
7
17. What type of content does the journal publish? (Tick all that apply)
Book reviews
Conference proceedings
Data paper
Editorial
Opinion
Research article
18. Select the language(s) that the full text of the articles can be published in (tick all that apply)
English
Portuguese
Deutsch
French
Spanish
Italian
Russian
Chinese
Korean
Japanese
Arab
19. Does the journal embed or display licensing information in its articles? (Tick all that apply)
Yes in pdf
Yes in html
No
Unknown
20. Does the journal allow reuse and remixing of content in accordance with a Creative Commons license
or other type of license with similar conditions ?
Yes
No
Unknown
8
21. Which one(s)? (Tick all that apply)
CC-0
CC-by
CC-by-sa
CC-by-nc
CC-by-nc-sa
CC-by-nd
CC-by-nc-nd
22. Does the journal allow the author(s) to retain the copyright without restrictions?
Yes
No
Unknown
23. if not, does the journal intend to allow the author(s) to retain publishing rights without restrictions in the
future?
Yes
No
Unknown
24. For editorial management, does the journal use a external publisher or publishing service to perform
certain functions? This includes commercial or non-commercial services. (Tick all that apply)
Copy-editing
Dissemination
PR & marketing
Submissions system
Training
Triaging
Typesetting
None of these
9
26. Please select the review process for papers published by the journal
Author and reviewer identities known to each other
Editorial review
Peer review
None
27. Please indicate which formats of full text are available (Tick all that apply)
XML
HTML
DOC
TXT
ePub
Mobi
CINES
CLOCKSS
LOCKSS
PKP PN
Portico
A National Library
Other
No
Unknown
10
Diamond Open Access Survey
General information
32. What year was the journal made available open access?
33. What year was the journal made available open access without charging authors?
11
Diamond Open Access Survey
University press
For-profit publisher
University
Government agencies
Individual
Unknown
No
Unknown
12
Diamond Open Access Survey
Authorship
Please tell us more about your authors.
0% 50% 100%
37. Approximate share of authors from outside the country where the publisher is based
0% 50% 100%
13
Diamond Open Access Survey
38. How has the number of yearly articles published by the journal developed over the last 5 years?
Increased
Constant
Declined
Fluctuating
39. What proportion of content published by the journal is peer-reviewed research content (in
percentage)?
0 50 100
41. Do you have any policy or practice to stimulate open sharing of research data?
Yes
No
Unknown
42. Which persistent identifiers does the journal attribute or use attached to articles, authors, research
grants? (Tick all that apply)
Crossref DOIs
Datacite DOIs
Other DOIs
ORCID
Grant ID
14
43. Does the journal provide abstracts for all its research articles:
In the same language as article language
Additionally in English
Additionally in French
Additionally in Spanish
Additionally in German
Additionally in Portuguese
Additionally in Italian
No abstract at all
Additionally in English
Additionally in French
Additionally in Spanish
Additionally in German
Additionally in Portuguese
Additionally in Italian
No keyword at all
45. Does the journal accept submissions that have been publicly shared as a preprint or working paper
before or on submission?
Yes
No
Unknown
46. Are the journal’s metadata compliant with the OpenAIRE standard?
Yes
No
Unknown
15
47. Does the journal or its publisher deposit articles (in a machine-readable community standard format
such as JATS XML, and including complete metadata) into author designated or centralised Open Access
repositories that fulfil the Plan S criteria ?
Yes
No
Unknown
16
Diamond Open Access Survey
Spreadsheet
OJS
Manuscript Central
Scholar One
Publisher’s system
No
Unknown
50. Does the journal publish annually at least basic statistics? covering in particular:
The number of reviews requested
None of them
51. Does the journal use a plagiarism detection service on all submissions received?
Yes
No
Unknown
17
52. Does the journal comply with best practice guidelines on publication practices?
Yes
No
Unknown
54. Does the journal require linking to data, code, and other research outputs that underlie the publication
and are available in external repositories?
Yes
No
Unknown
55. Does the journal provide openly accessible data on citations according to the standards of the Initiative
for Open Citations (I4OC)?
Yes
No
Unknown
18
Diamond Open Access Survey
Technical framework
Lodel
Wordpress
Dspace
Pubsweet
57. Where is the journal hosted for its online dissemination? (Please provide the URL)
National platform
Institutional platform
Unknown
59. Does the journal allow, legally and technically, text and data mining of the full text of articles by third
parties?
Yes, unrestricted
Yes, restricted
Yes, on request
No
19
Diamond Open Access Survey
Funding Model
60. What are your main motivations in pursuing an open access model that does not charge authors or
readers?
61. Who has financially supported the journal or platform (including salary costs) over the last 2 years?
(Tick all that apply)
Foundation / Trust / Philanthropic Funder / Institutional Philanthropic Organisation
Library
Museum/archive/heritage institution
National academy
NGO/Charity
Research department
Publisher
20
62. How do you currently fund the journal or platform? What funding mechanisms do you use? (Tick all
that apply)
Collectively organized funding
Commercial revenue
Donations or gifts
Endowment / interest
Freemium content/services
Grant funding
Membership
Shared infrastructure
Subscribe-to-open
63. Has the journal or platform always been funded this way?
Yes
No
64. If the way you fund the journal or platform has changed over time, please briefly describe
21
65. If you receive income from charging for services, what do you charge for? (Tick all that apply)
We do not charge for services
Copy-editing
Ebook versioning
Printing costs
HTML conversion
Layout
XML mark-up
66. What were your total annual costs last year? Please also include in-kind institutional contributions.
0 - 1000 US$ or €
Unknown
67. What is the size of paid staff for editing & operational work for the journal (in Full-Time Equivalent
(FTE) )?
Less than 1 FTE
1-2 FTE
3-5 FTE
6-9 FTE
10-20 FTE
Over 20 FTE
68. What is the annual amount paid for editing & operational costs?
0-1000 US$ or €
Unknown
No
22
Diamond Open Access Survey
Volunteering
71. If you have volunteers, what do volunteers do? (Tick all that apply) Note that peer reviewing and
editorial board membership are excluded.
Copyediting
Design
Editing
Hosting
Marketing
Proof reading
Training
Typesetting
23
Diamond Open Access Survey
Sustainability
Design
Editing
Hosting
Marketing
Peer Review
Proof reading
Typesetting
73. Which of the following options describes the current financial status of the journal or platform?
Break-even
Profit
Loss
Unknown
74. How sustainable do you consider the journal or platform in the next 3 years? On a scale of 1-10 (where
10 is very secure)
24
75. How might research funders support the financial sustainability of the journal or platform?
76. Are you thinking of moving away from this model to another?
Yes
No
Maybe
Unknown
77. If you are reconsidering this model, what are the reasons for doing so? (Tick all that apply)
Economic viability
Marketing
Scalability
25
Diamond Open Access Survey
78. How many downloads does the journal have per year?
79. How many unique visitors does the journal have per year?
80. Is the journal readership more important in numbers outside of the journal’s country?
Yes
No
Unknown
26
81. List of directories and indexes where the journal is indexed (tick all that apply)
DOAJ
Ebsco A-to-Z
ExLibris
Dimensions
Google Scholar
Latindex catalog
Lens
Primo Central
Proquest
Redalyc
Scielo
Scopus
Serial Solutions
Summon
Worldcat Primo
WoS
360
27
Diamond Open Access Survey
Challenges
For each of the following topics, please rate and describe the challenge you face. 1 corresponds to
low concerns, 5 corresponds to very important/significant concerns.
Comment
Comment
84. Dissemination
Comment
Comment
28
86. Skills and competences
Comment
Comment
89. What in an ideal world is your ideal model, how would it be financed? What needs to happen?
29
Diamond Open Access Survey
No
* 91. Do you agree to have the name of your journal published in the list of Diamond Journals participating
to the survey on cOAlition S website?
Yes
No
* 92. Do you want to receive your responses as a file after the end of the survey?
Yes
No
* 93. Do you want to receive the final report of the study and further information about its follow-up?
Yes
No
30
Diamond Open Access Survey
Thank you for your participation. Don't hesitate to contact us: [email protected]
https://operas.hypotheses.org/
94. Include
Yes
31
Description of the Diamond SEPS Study,
granted by the French Higher Education, Research and Innovation Minister (MESRI)
Building on the previous study on transformative agreements and the OPERAS Diamond
Study, this study will deepen the analysis of OA Diamond business models and explore
the consent and feasibility of conditional support from actors such as Research Funders.
It will start with as an complementary survey targeting as a priority the more than 800
journals in the sample gathered by OPERAS that have agreed to participate in new
surveys. This body of knowledge will make it possible to produce a detailed mapping of
funding models, both for journals available on major dissemination platforms (Redalyc,
Scielo, OpenEdition, OLH, ...) and for those that are independent (university and scholarly
society portals, own website).
From these results, associated to our knowledge on partial coupled support instruments
included in transformative agreements, we will build sketches and models, as support for
journals. These models willl take into account the need to identify specific research
articles (based on authors, grants) and to quantify them. They will be presented,
discussed and tested through a workshop, in order to measure the willingness and
feasibility on the funders side.
The study will be carried out by Quentin Dufour, David Pontille and Didier Torny and will
be monitored by the French Open Science Committee, in particular its Publications
Committee.
Didier Torny