Open Access: Where Are We Now and How Did We Get Here?

Tom Reinsfelder – Penn State Mont Alto John Barnett – University of Pittsburgh PaLA – College & Research Division Spring Program May 30, 2014

Journal Prestige & Tenure

Growth in Scholarly Publishing

•

≈50 million research articles published 1665-2009

•

≈1.35 million journal articles published per year (2006 est.)

Sources: Jinha, (2010), Bjork, et al. (2009)

Beginnings of Electronic Scholarly Communication

1945 – Vannevar Bush in the Atlantic Monthly. described a device “in which an individual stores all his books, records,

and communications, and which is mechanized so that it may be consulted with exceeding speed and flexibility”

1977 – John Senders described a typewriter connected to a television screen that would allow researchers to connect with one another. 1979 – American Council of Learned Societies; “a scholar may turn to a console in the corner of the office and summon up through a national network the images of the pages that are of greatest interest”

1989 – First refereed electronic journal, Psycoloquy American Psychological Association / S. Harnad. Distributed by Email & Usenet. (Harnad, 1992) 1991 – 6 peer-reviewed scholarly e-journals. (Wilson, 1991) 1994 – 73 peer-reviewed scholarly e-journals. (Mogge, 1998) 1997 – 1,049 peer-reviewed scholarly e-journals. (Mogge, 1998) 2014 – Nearly all peer-reviewed scholarly journals are available as e-journals. Some free; Some $$

Traditional Academic Publishing System

Author Universities Editor Publisher Peer Reviewers

Traditional Academic Publishing System

Author Universities Editor Publisher Peer Reviewers

What is Open Access?

Open access literature is digital, online, free of charge, and free of most copyright and licensing restrictions.

Peter Suber, Open Access. MIT Press. 2012

Open Access is Compatible with…

• • • • • Peer review Promotion and tenure criteria Copyright law Revenue and profits Any genre or format

Open Access does not …

   Mean low quality Violate copyright Reduce author choice or academic freedom 10

Two Paths to Open Access

•

Gold OA

Open Access Journals

•

Green OA

Online Databases / Repositories

Gold OA

doaj.org

Income Models for OA Journals Funded primarily by producers

• Article Processing Fees • Advertising • Sponsorships • Internal Subsidies • External Subsidies • Donations & Fundraising • Endowments • In-Kind Support • Partnerships

Funded primarily by consumers

• Use-Triggered Fees • Convenience-Format License • Value Added Fee-Based Services • Contextual E-Commerce SPARC®, the Scholarly Publishing and Academic Resources Coalition http://www.sparc.arl.org/resources/papers-guides/oa-income-models

Green OA

Repositories/Databases

Faculty Adopted Open Access Policies

Institution-wide polices Amherst College Bryn Mawr College Bucknell University California State Northridge Duke University Emory University Lafayette College Massachusetts Institute of Technology (MIT) Oberlin College Oregon State Princeton University Rollins College Rutgers University Trinity University University of California, ALL CAMPUSES University of Kansas University of North Texas Utah State University Wellesley College College/departmental policies Arizona State University Libraries Brigham Young: Department of Instructional Psychology & Technology; University Library Columbia University: Lamont -Doherty Earth Observatory; University Libraries Gustavus Adolphus College Library

Harvard University:

Government, Business School, Divinity School, Law School, Graduate School of Design, Graduate School of Education, Faculty of Arts and Sciences, John F. Kennedy School of Public Health Indiana University–Purdue University Indianapolis Library Miami University of Ohio, Libraries Stanford University: School of Education University of Northern Colorado Library Faculty University of Oregon: Department of Romance Languages; Library Faculty Virginia Tech, Libraries Wake Forest University: Z. Smith Reynolds Library Faculty Source: Registry of Open Access Repositories/Mandatory Access Policies

roarmap.eprints.org

Typical Faculty OA Policy Features

• University is granted non-exclusive right to post online scholarly work written by the researcher. • Faculty members retain the copyright to these articles and can turn copyright over to a third party, such as a publisher.

• Faculty are strongly discouraged from signing publishing contracts that forbid open access posting but usually receive an exception from the policy if needed.

• A single institutional repository service is designated as the official distribution site for the faculty works.

Some OA Perspectives of…

•

Faculty Authors

•

Librarians

•

Publishers

•

University Administrators

see Reinsfelder (2012). Open access publishing practices in a complex environment: Conditions, barriers & bases of power. Journal of Librarianship and Scholarly Communication, 1(1). jlsc-pub.org

Now: Open Repositories

Growth in repositories

Now: Open Journals

9,772 134 1,646,119

Top 10 Countries for OA Journals

• • • • •

Brazil United Kingdom United States Spain India

• • • • •

Egypt Germany Switzerland Colombia Chile

Now: Open Books, Data, & Education

• • • Open Access Books – e.g., OAPEN and Knowledge Unlatched Open Data = Research data that can be freely used, reused, and redistributed by anyone Open Educational Resources (OERs) = Teaching, learning, and research resources released under an open license that permits free use and repurposing by others

Why?

• • • Over the past few decades, the market for monographs has shrunk by @ 90% (1) College textbook prices rose 82% between 2003 and 2013 (2) 65% of students report not purchasing a textbook because of its high price (3)

Open Access Mandates

National Institutional State International

State Legislation: Illinois

•

Open Access to Articles Act

o Passed August 9, 2013 o o o o Public universities to establish Open Access to Research Task Force by January 1, 2014 Review current practices and design a policy for open access to research articles Findings and recommendations of task forces by January 1, 2015 Policy and implementation plan 32

State Legislation: New York

• •

NY State Taxpayer Access to Publicly Funded Research Act

o Introduced to State Assembly, January 2013 o o Introduced to State Legislature, March 2013 Action expected 2014 Requires any NY State executive branch agency, commission, or authority that funds direct research to establish a public access policy that would provide access to articles reporting on research funded by the state

State Legislation: California

•

California Taxpayer Access to Publicly Funded Research Act

o Introduced into the state legislature, April 2013 o o o Passed May 2013 Heard in the CA State Senate Committee on Governmental Organization but failed to move out of committee Expected to be reconsider in 2014 • Researchers receiving a state-funding grant required to submit an electronic copy of articles to a publicly accessible online database • No later than 6 months after publication • Available through the California State Library

Federal Policies & Laws

•

National Institutes of Health Public Access

Policy (2008) •

“All investigators funded by the NIH submit ...to the National Library of Medicine’s PubMed Central an electronic version of their final, peer-reviewed manuscripts upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication”

35

FASTR

•

Fair Access to Science & Technology Research Act

- H.R. 708 (Introduced Feb. 2013) o Rep. Doyle (D-PA), et al.

• • Being considered by the U.S. House and Senate Support by higher education leaders, university provosts, White House, library and information advocacy organizations

• • •

White House Directive Mandating OA – Feb 22, 2013

Directs federal agencies to develop OA policies within the next 6 months Covers the same agencies covered in FASTR plus @ a dozen more Takes effect immediately 37

Around the world

• • • • UK: Finch Report and RCUK Canada: CIHR (2013); draft Tri-Agency policy Australia: ARC Open Access Policy (2013) EU: Ongoing reports/policies (2006-) •

There’s also PubMed Central US,

PubMed Central Canada,

and Europe PubMed Central

OA Challenges

• • Copyright and OA publishing Funding OA publishing o Self-publishing/vanity publishing • • Quality and OA publishing o o Predatory publishers Peer review Tenure and OA publishing o Impact factor of OA journals

In the news: Bohannon “sting”

• • • October 2013: Writer John Bohannon publishes “Who’s Afraid of Peer Review?” (Science) Bohannon submitted a spoof research article to 304 OA journals listed in DOAJ and in Beall’s List of predatory OA publishers 157 journals accepted the article with scant to no evidence of peer review/poor peer review

• • •

Analysis

Article accepted for publication by journals in the developing world . . .

But also by OA journals published by Elsevier, Wolters Kluwer, and Sage Reputable OA publishers (Hindawi, PLoS One) rejected the article

• •

In the news: Elsevier take-down notices

December 2013: Elsevier demands that copies of their works be removed from Academia.edu and other websites used by scholars to share, store, and promote work o

IRs at several universities also notified

Authors violated their agreements with Elsevier, posting the published version (publisher PDF) of their works to the sites

• •

Analysis

Elsevier wasn’t technically or legally doing anything wrong o

Authors had signed publisher agreements that transferred rights to Elsevier

Often Elsevier allows authors to post a copy of a published article on a personal or institutional website o

But this must be the author’s version (pre-print or post-print)

•

Copyright Awareness

SPARC Author Addendum o

Allows authors to modify copyright transfer agreements with non-OA journals

• Creative Commons licenses o

Allows control and sharing depending on author choice

• Sherpa/RoMEO

• • • •

Funding OA

Knowledge Unlatched (libraries sharing costs) Organizational support o e.g., Pennsylvania Libraries: Research & Practice Author fee funds o Libraries/institutions pay article processing charges for eligible peer reviewed OA journals Compact for Open-Access Publishing Equity (COPE) o Universities already subsidize scholarly journal publishing through subscriptions o They should also create “mechanisms for underwriting reasonable publication charges for articles written by its faculty and published in fee based open –access journals …”

OA Funds for Researchers

University of Calgary University of California, Berkeley Columbia University Cornell University Dartmouth University Duke University University of Florida Grand Valley State University Harvard University Massachusetts Institute of Technology Memorial Sloan-Kettering Cancer Center Michigan State University University of Michigan University of North Carolina, Chapel Hill Ontario Genomics Institute University of Oregon University of Ottawa Simon Fraser University University of Pittsburgh University of Tennessee, Knoxville Texas A&M University University of Toronto Tufts University University of Utah Wake Forest University University of Wisconsin

Quality Assurance

• • Beall’s List: Potential, Possible, or Probably Predatory Scholarly Open-Access Publishers o

Analyzes journals and publishers for questionable practices

•

Caveat: Sometimes tars with a broad brush

Directory of Open Access Journals (DOAJ) o

Previous incarnation: List of registered OA journals from around the world

o

Post-Bohannon sting: Journals must meet criteria to be included in the list

Quality Assurance

• • Open Access Scholarly Publishers Association (OASPA) o o o

Represents OA journal and book publishers Code of conduct: Standards, practices, ethics for OA scholarly communications Advance OA business and publishing models

Library Publishing Coalition (LPC) o o

2-year, library-led initiative to advance the field of library publishing Foster collaboration, share knowledge, and develop common practices for publishing and distributing academic and scholarly works

Prestige, Tenure, and Impact Factor

• San Francisco Declaration on Research Assessment (DORA) (2012) o o Initiated by the American Society for Cell Biology (ASCB) + editors and publishers of scholarly journals “Improve the ways in which the outputs of scientific research are evaluated” o 1 general recommendation: “Do not use journal-based metrics, such as Journal Impact Factors, as surrogate measures of the quality of individual research articles, to assess an individual scientist’s contributions, or in hiring, promotion, or funding decisions”

Prestige, Tenure, and Impact Factor

• • • Altmetrics = Alternative ways of measuring the use and impact of scholarship “Altmetrics are measures of scholarly impact mined from activity in online tools and environments” (Jason Priem) Altmetrics combines traditional impact measures (citation counts) with non-traditional measures •

Altmetrics = ALL METRICS

Prestige, Tenure, and Impact Factor

• Altmetrics services and tools o o

Impact Story Altmetric

o o

PLoS article-level metrics Plum Analytics/PlumX

• • • • • • • •

Steps Each of Us Can Take

Read & Support OA Journals Serve as a Reviewer/Editor for OA Journals Read your publication agreements and ask questions Become aware of our publisher policies Discuss these issues with colleagues and students Place your work in your institution’s repository or another open access database Learn more about OA publications Help start an OA publication

Recommended Reading

“Open Access should be required reading for everyone involved in the publishing cycle – from authors to publishers…and general readers. Everyone who reads this volume will gain a better understanding and appreciation of OA” (Choice Reviews, Feb 2013)