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Open Access 101
An oversimplified, aggressively abbreviated
    overview and summary of recent
              developments
                         Claire Stewart
                          Josh Honn
                         John Blosser

                      Open Access Week 2012
                          October 25, 2012
        Center for Scholarly Communication & Digital Curation
                       Northwestern University
A Realistic Goal?

                       In 10 years, a scientist
                       will be able to
                       incorporate 30% more
                       papers into their thinking
                       than they can today in
                       the same amount of time

Neil M. Thakur, Special Assistant to the National Institutes of Health (NIH)
       Deputy Director for Extramural Research, Berlin 9 presentation
From Neil M. Thakur's Berlin 9 presentation
Motivations
Why Open Access?
•   Pricing
•   Democratizing access
•   Promoting reproducible and efficient
    research
•   Computing across the literature to yield new
    insights, promote discovery, collaboration
Serials pricing
"The Resources and Technical Services Division
  of the American Library Association has created
  the Subcommittee on Serials Pricing Issues to
  gather and disseminate statistics and other data
  on the rising costs of journals to libraries,
  perhaps the greatest concern among
  academic libraries today."


          Issue 1, ALA/RTSD Newsletter on Serials Pricing Issues, 1989
                                                     (emphasis added)
Source:
ARL Statistics 2008-2009
Democratizing access


   "In today’s information age, where essentially
   anything said by anyone can be made accessible
   within a matter of moments, it is unfortunate that
   families have easy access to all BUT the most
   scientifically valid information, that which can be
   found in scientifically reviewed research literature."



Sophia Colamarino, Vice President for Research, Autism Speaks
Testimony, House Committee on Oversight and Government Reform, Hearing
on Public Access to Federally Funded Research, July 29, 2010
Reproducible and efficient research




Reproducibility initiative
https://www.scienceexchange.com/reproducibility
Computing the literature




    Action Science Explorer, http://www.cs.umd.edu/hcil/ase/
Basics
Brief (and oversimplified)
digression: how scholarly journal
publishing works

1. Authors write articles for free
2. Other qualified researchers review them for
   free
3. Publishers publish them
  a.   Traditional publishers charge a fee to read
  b.   Open Access publishers don't, but might charge a
       fee to authors
Key players in the ecosystem
Authors and researchers
Editorial boards
Scholarly societies
Universities
Publishers
Libraries
Repositories
Funders
Policy makers
Readers and the general public!
What is Open Access?
Open-access (OA) literature is digital, online,
 free of charge, and free of most copyright and
 licensing restrictions.


               A very brief introduction to Open Access
                                             Peter Suber
What is 'Real' open access?
             Green versus gold
Self-archived or immediate OA from publisher
               (when and what)


            Gratis versus libre
        Free to read or free to reuse
                (what rights)
Who pays for (Gold) OA?
Free is free: some (many) are free to authors
  and to readers


For those that are NOT free to authors:
  submission charges, article processing
  charges (APC), page charges
   o   NIH, NSF, HHMI, others will allow publishing costs
       to be charged to grants
   o   OA funds. We don't have one at NU (should we?),
       some universities do.
   o   Author personal funds
Hybrid Open Access

                                                        Author pays APC
                                                        to make single
                                                        article available:
                                                        immediate OA




 Subscription required to access entire issue/run; rights to reuse
 vary -- see
 A crowdsourced survey of 'open access' publishers, publications, licenses and fe
  and SHERPA/RoMEO's paid option list
Repositories




         https://scholarsphere.psu.edu | http://arxiv.org
Publisher policies




            http://www.sherpa.ac.uk/romeo
Creative Commons




           http://creativecommons.org
... and other issues




  http://www.doaj.org | http://www.plos.org/about/open-access/howopenisit | http://scholarlyoa.com
Scholarly Communication LibGuide




         http://libguides.northwestern.edu/scholcomm
Milestones
Open Access milestones




1966: ERIC and MEDLINE, seeds of open access. early 1970's:
Agricola, Project Gutenberg. arXiv 1991, SSRN 1994.
e-biomed and PubMed Central: Harold Varmus and the NIH role
NIH public access policy




      PubMed Central; full policy @ http://publicaccess.nih.gov
Scholarly Publishing and Academic
Resources Coalition (SPARC) 1998




             http://www.arl.org/sparc
August 2006, editorial board
of the mathematics journal
Topology resign en masse,
citing concerns about
Elsevier's pricing policies.
Editorial board resignations and alt
journals
Not always a transition to Open Access! many
  moved from big commercials to University
  Presses
(Portal: Muse/JHU; Journal of Topology:
  LMS/Oxford, etc.)


1989 - present, spike around 2003


Source: Journal declarations of independence (OAD)
Journals that converted from Toll Access to Open Access
from the Open Access Directory (OAD)
Declarations and principles
•   Budapest: February 2002,
    reaffirmed and expanded September 2012
•   Bethesda: April 2003. Definitions and
    statements of principle
•   Berlin: October 2003
•   Open Access Scholarly Publishers
    Association (OASPA): 2008,
    Code of Conduct
(Attempted) legislation




   http://www.taxpayeraccess.org/issues/frpaa | http://thecostofknowledge.com
Institutional mandates




            http://roarmap.eprints.org/
Open Access funds




  http://www.arl.org/sparc/openaccess/funds/ | http://www.library.cornell.edu/compact
Interesting models and NU support
1999 - SPARC
2003 - BioMed Central
2004 - PLoS
2005 - Stanford Encyclopedia of Philosophy
2008 / 2011 - New Journal of Physics
2008 - SCOAP3
2010 - arXiv
What about impact and uptake?
Bibliography of studies on OA impact advantage
from Laakso, M., & Björk, B.-C. (2012). Anatomy of open access publishing: a study of longitudinal
   development and internal structure. BMC Medicine, 10(1), 124. doi:10.1186/1741-7015-10-124
Recent developments
Petition to the White House




https://petitions.whitehouse.gov/petition/require-free-access-over-internet-scientific-journal-articles-arising-taxpayer-funded-research/wDX82FLQ
EU & UK recent developments
•   PEER report June 2012: no evidence that self-archiving
    harms publishing
•   EU signals intention to support full OA in Horizon 2020
    research programme
•   Finch report, commissioned by UK science minister
    David Willetts July 2012, strong support for Gold, and
    diversion of public funds to support it. (lots of criticism
    that Finch got some basic stuff wrong)
•   Research Councils UK mandate based on Finch
    recommendations:
     o favors Green, embargo of no more than 6 months for science,
        12months for other, CC-BY-NC or better
    o   if Gold (even hybrid) is available instead, must choose it. Govt will pay
        via block grants to unis, but no embargo and CC-BY required
MLA and AHA



June 2012:                                •   Concedes that there are
                                              significant problems with the
"The revised agreements leave                 current ecosystem, growing
   copyright with the authors and             problems of inequitable access
   explicitly permit authors to deposit       and rising cost
   in open-access repositories and
   post on personal or departmental       •   Voices concern about the
   Web sites the versions of their            emergence of APC model and
   manuscripts accepted for                   recommendations of the Finch
   publication."                              report
                                          •   Sciences v humanities/SS
                                          •   Exchanging one set of cost
Text of the MLA statement                     inequalities for another?
                                          Text of the AHA statement
What's coming next?
On sharing data: "Open your minds and share your results" by Geoffrey
Boulton, emeritus professor of Geology of the University of Edinburgh and
chair of a Royal Society committee that authored the June 2012 report
"Science as an open enterprise"
Peer review+OA experiments continue: F1000 Research open access
and post-publication peer review, Modern Language Association's MLA
Commons for pre-publication peer review and publishing platform for
scholarship in new formats
PeerJ and eLife
Thank you!

Time for discussion
Image credits, additional citations
Unless otherwise indicated, quotes, screenshots, images and other materials are the intellectual
    property of the referenced persons or organizations, and are reproduced here according to
    section 107 fair use principles of the United States Copyright Law, title 17 U.S. Code. This
    presentation is intended for educational and research use only; any additional use of these
    materials may be subject to additional restrictions and/or require the permission of the copyright
    holder.



•   'A realistic goal?' and 'A new role for scientific publishing'
    Thakur, N. M. (2011, November 8). Open access as a path to increased scientific productivity.
    Presented at the Berlin 9 conference, Bethesda MD. Retrieved from
    http://www.berlin9.org/bm~doc/berlin9-thakur.pdf
•   'Democratizing access' photograph from Berlin 9 speaker page and Autism Speaks logo from
    Autism Speaks web page
•   'What is Open Access?' Thorpe, Lilian. Photo of Peter Suber by Lilian Thorpe. Taken in
    Brooksville, Maine, November 25, 2009. Work found at http://en.wikipedia.org/wiki/File:Peter-
    Suber8.jpg / http://creativecommons.org/licenses/by-sa/3.0/
•   'e-biomed and PubMed Central' photo of Harold Varmus from Columbia University news
All original material in this presentation is
                   (c) 2012
                       by
John Blosser, Josh Honn and Claire Stewart
          this work is licensed under a
 Creative Commons Attribution 3.0 License
                 (CC BY 3.0)

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Open Access 101

  • 1. Open Access 101 An oversimplified, aggressively abbreviated overview and summary of recent developments Claire Stewart Josh Honn John Blosser Open Access Week 2012 October 25, 2012 Center for Scholarly Communication & Digital Curation Northwestern University
  • 2. A Realistic Goal? In 10 years, a scientist will be able to incorporate 30% more papers into their thinking than they can today in the same amount of time Neil M. Thakur, Special Assistant to the National Institutes of Health (NIH) Deputy Director for Extramural Research, Berlin 9 presentation
  • 3. From Neil M. Thakur's Berlin 9 presentation
  • 5. Why Open Access? • Pricing • Democratizing access • Promoting reproducible and efficient research • Computing across the literature to yield new insights, promote discovery, collaboration
  • 6. Serials pricing "The Resources and Technical Services Division of the American Library Association has created the Subcommittee on Serials Pricing Issues to gather and disseminate statistics and other data on the rising costs of journals to libraries, perhaps the greatest concern among academic libraries today." Issue 1, ALA/RTSD Newsletter on Serials Pricing Issues, 1989 (emphasis added)
  • 8. Democratizing access "In today’s information age, where essentially anything said by anyone can be made accessible within a matter of moments, it is unfortunate that families have easy access to all BUT the most scientifically valid information, that which can be found in scientifically reviewed research literature." Sophia Colamarino, Vice President for Research, Autism Speaks Testimony, House Committee on Oversight and Government Reform, Hearing on Public Access to Federally Funded Research, July 29, 2010
  • 9. Reproducible and efficient research Reproducibility initiative https://www.scienceexchange.com/reproducibility
  • 10. Computing the literature Action Science Explorer, http://www.cs.umd.edu/hcil/ase/
  • 12. Brief (and oversimplified) digression: how scholarly journal publishing works 1. Authors write articles for free 2. Other qualified researchers review them for free 3. Publishers publish them a. Traditional publishers charge a fee to read b. Open Access publishers don't, but might charge a fee to authors
  • 13. Key players in the ecosystem Authors and researchers Editorial boards Scholarly societies Universities Publishers Libraries Repositories Funders Policy makers Readers and the general public!
  • 14. What is Open Access? Open-access (OA) literature is digital, online, free of charge, and free of most copyright and licensing restrictions. A very brief introduction to Open Access Peter Suber
  • 15. What is 'Real' open access? Green versus gold Self-archived or immediate OA from publisher (when and what) Gratis versus libre Free to read or free to reuse (what rights)
  • 16. Who pays for (Gold) OA? Free is free: some (many) are free to authors and to readers For those that are NOT free to authors: submission charges, article processing charges (APC), page charges o NIH, NSF, HHMI, others will allow publishing costs to be charged to grants o OA funds. We don't have one at NU (should we?), some universities do. o Author personal funds
  • 17. Hybrid Open Access Author pays APC to make single article available: immediate OA Subscription required to access entire issue/run; rights to reuse vary -- see A crowdsourced survey of 'open access' publishers, publications, licenses and fe and SHERPA/RoMEO's paid option list
  • 18. Repositories https://scholarsphere.psu.edu | http://arxiv.org
  • 19. Publisher policies http://www.sherpa.ac.uk/romeo
  • 20. Creative Commons http://creativecommons.org
  • 21. ... and other issues http://www.doaj.org | http://www.plos.org/about/open-access/howopenisit | http://scholarlyoa.com
  • 22. Scholarly Communication LibGuide http://libguides.northwestern.edu/scholcomm
  • 24. Open Access milestones 1966: ERIC and MEDLINE, seeds of open access. early 1970's: Agricola, Project Gutenberg. arXiv 1991, SSRN 1994.
  • 25. e-biomed and PubMed Central: Harold Varmus and the NIH role
  • 26. NIH public access policy PubMed Central; full policy @ http://publicaccess.nih.gov
  • 27. Scholarly Publishing and Academic Resources Coalition (SPARC) 1998 http://www.arl.org/sparc
  • 28. August 2006, editorial board of the mathematics journal Topology resign en masse, citing concerns about Elsevier's pricing policies.
  • 29. Editorial board resignations and alt journals Not always a transition to Open Access! many moved from big commercials to University Presses (Portal: Muse/JHU; Journal of Topology: LMS/Oxford, etc.) 1989 - present, spike around 2003 Source: Journal declarations of independence (OAD)
  • 30. Journals that converted from Toll Access to Open Access from the Open Access Directory (OAD)
  • 31. Declarations and principles • Budapest: February 2002, reaffirmed and expanded September 2012 • Bethesda: April 2003. Definitions and statements of principle • Berlin: October 2003 • Open Access Scholarly Publishers Association (OASPA): 2008, Code of Conduct
  • 32. (Attempted) legislation http://www.taxpayeraccess.org/issues/frpaa | http://thecostofknowledge.com
  • 33. Institutional mandates http://roarmap.eprints.org/
  • 34. Open Access funds http://www.arl.org/sparc/openaccess/funds/ | http://www.library.cornell.edu/compact
  • 35. Interesting models and NU support 1999 - SPARC 2003 - BioMed Central 2004 - PLoS 2005 - Stanford Encyclopedia of Philosophy 2008 / 2011 - New Journal of Physics 2008 - SCOAP3 2010 - arXiv
  • 36. What about impact and uptake?
  • 37. Bibliography of studies on OA impact advantage
  • 38. from Laakso, M., & Björk, B.-C. (2012). Anatomy of open access publishing: a study of longitudinal development and internal structure. BMC Medicine, 10(1), 124. doi:10.1186/1741-7015-10-124
  • 40. Petition to the White House https://petitions.whitehouse.gov/petition/require-free-access-over-internet-scientific-journal-articles-arising-taxpayer-funded-research/wDX82FLQ
  • 41. EU & UK recent developments • PEER report June 2012: no evidence that self-archiving harms publishing • EU signals intention to support full OA in Horizon 2020 research programme • Finch report, commissioned by UK science minister David Willetts July 2012, strong support for Gold, and diversion of public funds to support it. (lots of criticism that Finch got some basic stuff wrong) • Research Councils UK mandate based on Finch recommendations: o favors Green, embargo of no more than 6 months for science, 12months for other, CC-BY-NC or better o if Gold (even hybrid) is available instead, must choose it. Govt will pay via block grants to unis, but no embargo and CC-BY required
  • 42. MLA and AHA June 2012: • Concedes that there are significant problems with the "The revised agreements leave current ecosystem, growing copyright with the authors and problems of inequitable access explicitly permit authors to deposit and rising cost in open-access repositories and post on personal or departmental • Voices concern about the Web sites the versions of their emergence of APC model and manuscripts accepted for recommendations of the Finch publication." report • Sciences v humanities/SS • Exchanging one set of cost Text of the MLA statement inequalities for another? Text of the AHA statement
  • 44. On sharing data: "Open your minds and share your results" by Geoffrey Boulton, emeritus professor of Geology of the University of Edinburgh and chair of a Royal Society committee that authored the June 2012 report "Science as an open enterprise"
  • 45. Peer review+OA experiments continue: F1000 Research open access and post-publication peer review, Modern Language Association's MLA Commons for pre-publication peer review and publishing platform for scholarship in new formats
  • 47. Thank you! Time for discussion
  • 48. Image credits, additional citations Unless otherwise indicated, quotes, screenshots, images and other materials are the intellectual property of the referenced persons or organizations, and are reproduced here according to section 107 fair use principles of the United States Copyright Law, title 17 U.S. Code. This presentation is intended for educational and research use only; any additional use of these materials may be subject to additional restrictions and/or require the permission of the copyright holder. • 'A realistic goal?' and 'A new role for scientific publishing' Thakur, N. M. (2011, November 8). Open access as a path to increased scientific productivity. Presented at the Berlin 9 conference, Bethesda MD. Retrieved from http://www.berlin9.org/bm~doc/berlin9-thakur.pdf • 'Democratizing access' photograph from Berlin 9 speaker page and Autism Speaks logo from Autism Speaks web page • 'What is Open Access?' Thorpe, Lilian. Photo of Peter Suber by Lilian Thorpe. Taken in Brooksville, Maine, November 25, 2009. Work found at http://en.wikipedia.org/wiki/File:Peter- Suber8.jpg / http://creativecommons.org/licenses/by-sa/3.0/ • 'e-biomed and PubMed Central' photo of Harold Varmus from Columbia University news
  • 49. All original material in this presentation is (c) 2012 by John Blosser, Josh Honn and Claire Stewart this work is licensed under a Creative Commons Attribution 3.0 License (CC BY 3.0)

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