A Question of Access Public Policy and Repositories

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					                                       THE SCHOLARLY PUBLISHING
                                       & ACADEMIC RESOURCES COALITION
                                       21 Dupont Circle NW, Suite 800
                                       Washington, DC 20036
                                       (202) 296-2296

    A Question of Access:
Open Access and Public Policies
           Heather Joseph, Executive Director
    The Scholarly Publishing and Academic Resources
                    Washington, DC
                    SPARC’s Mission

SPARC was formed by the community
 specifically to be a catalyst for action, in
 order to stimulate new systems that:
      • expand dissemination of research results
      • reduce financial pressures on libraries
      • leverage the networked digital
        environment to better serve scholarship           2
        SPARC’s Three Program
• Educating stakeholders on problems and
  opportunities for change in scholarly
• Incubating demonstrations of business and
  publishing models that advance changes
  benefiting scholarship and the academy;
• Advocating policies that support use of
  technology to advance scholarship, and
  recognize that dissemination is an essential
  component of the research process          3
                    The Issue
• Internet provides new opportunity to bring
  information broader audience at virtually no
  marginal cost.
• Too often, the research results (either publicly or
  privately funded ) are simply not widely available
  to the community of potential users.
  Result: Call for new framework designed to
   eliminate access barriers to allow research
     results to be more easily accessed and
                      used.           4
                    Calls For Action
• Recognition that new opportunities existed for
  better dissemination was initially articulated in a
  series international “declarations,” notably:
           • Budapest Open Access Initiative (2002)
           • Bethesda Statement on Open Access (2003)
           • Berlin Declaration on Open Access to
             Knowledge in Science and the Humanities
           • Salvador Declaration on Open Access (2005)               5
            What is Open Access?
• Open Access is the immediate, free availability
  on the Internet of the research results that
  scholars traditionally produce without payment.
• It is a vision of scholarly communication where:
     – user toll barriers to research access are eliminated
     – potential usage is maximized
     – the value of research is more fully realized

• It is an access model, not a business model               6
Revenue Streams to Support Open
SELF GENERATED INCOME                               Value-added fee-based services
INPUT FEES                                          ELECTRONIC MARKETPLACE
Author submission charges                                Contextual E-commerce
                                                         Community Marketplace
Article processing fees
Off-print sales                                     INTERNAL AND EXTERNAL
                                                    INTERNAL SUBSIDIES
Advertising Sponsorships
                                                    Dues Surcharge
Co-hosting of conferences and
   exhibits                                         GRANTS AND CONTRIBUTIONS
ALTERNATIVE DISTRIBUTORS                            Foundation Grants
Convenience-format licenses or                      Institutional Grants and Subsidies
   distributor format fee                           Government Grants
RELATED PRODUCTS AND                                Gifts and Fundraising
  SERVICES                                          Voluntary Contributors
Journal publication in off-line media               In-kind Contributions

             Source - Open Society Institute “Guide to Business Planning for
             Launching an Open Access Journal,” 7
        Greater Access is Important to:
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Lawrence, Steve (2001). “Free online
availability substantially increases a paper's
impact.” Nature, Vol. 411, No. 6837, p. 521

         Greater Access Enables
“ Once a critical mass is reached, text mining will
  enable new facts to be discovered that would not
  be possible by humans, such as information about
  gene associations. Data meshing will also start to
  happen where, for example, you could look at
  associations between supermarket loyalty cards (to
  find out what people eat), their health records and
  gene make up. This will have a huge impact on
  public health.”
--Robert Terry, Senior Policy Advisor, The Wellcome Trust
   (Research Information, June/July 2006)               9
Greater Access is Important to:

Even the               250%

wealthiest, best-                                                        Serial
                                                                         Unit Cost

funded private         200%

institutions simply
can not afford to      150%

give their patrons                                                       Monograph
access to all of the                                                     Unit Cost

peer-reviewed          50%

resources that they                                                      (+66%)

require.                0%

                          1986 1988 1990 1992 1994 1996 1998 2000 2002                  10
    Greater Access is Central to
         Higher Education
“The broad dissemination of the results of
  scholarly inquiry and discourse is
  essential for higher education to fulfill its
  long-standing commitment to the
  advancement and conveyance of
  knowledge. Indeed, it is mission critical.”

   --25 U.S. University Provosts, in an Open Letter to
        the Higher Education Community, 7/24/06            11
            Some Publishers Recognize
              Competitive Advantage
                                               •    Genetics (Genetics Society of America)
•   American Journal of Pathology (American
    Society for Investigative Pathology)       •    Journal of Cell Biology (Rockefeller
•   American Journal of Human Genetics              University Press)
    (American Society for Human Genetics)      •    Journal of Clinical Investigation (Am.
•   Annals of Family Medicine (American             Society for Clinical Investigation)
    Academy of Family Physicians)              •    Journal of Experimental Medicine
•   Annals of Internal Medicine (American           (Rockefeller University Press)
    College of Physicians)                     •    Journal of Neuroscience (Society for
•   Antimicrobial Agents and Chemotherapy           Neuroscience)
    (American Society for Microbiology)*
                                               •    Molecular Biology of the Cell (American
•   Applied and Environmental Microbiology
                                                    Society for Cell Biology)
    (American Society for Microbiology)
•   Canadian Medical Association Journal       •    Nucleic Acids Research (Oxford
    (Canadian Medical Association)                  Univesity Press)
•   Clinical Medicine & Research (Marshfield   •    Pediatric Research (American Pediatric
    Clinic)                                         Society)
•   Clinical and Vaccine Immunology (ASM)      •    Proceedings of the National Academy of
•   Development (Company of Biologists)             Sciences (US NAS)
•   Diabetes (American Diabetes Association)   •    RNA (The RNA Society)                         12
Greater Access Is Important to:
         The Public   13
    Greater Access is a Market
“[W]e would expect governments (and taxpayers) to
   examine the fact that they are essentially funding
   the same purchase three times: governments and
   taxpayers fund most academic research, pay the
   salaries of the academics who undertake the peer
   review process and fund the libraries that buy the
   output, without receiving a penny in exchange from
   the publishers for producing and reviewing the
   content....We do not see this as sustainable in the
   long term…. “
    - (Credit Suisse First Boston, Sector Review: Scientific, Technical and
    Medical Publishing. April 6, 2004.)                      14
        Greater Access is a Policy
“Governments would boost innovation and get
  a better return on their investment in publicly
  funded research by making research findings
  more widely available…. And by doing so,
  they would maximize social returns on public

-- International Organization for Economic Cooperation and
    Development, Report on scientific publishing, 2005               15
           Open Access Strategies

Strategy 1. Open-access journals – require
    alternative business models to replace
    subscription-based models.
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                Open Access Strategies
Strategy 2. Open Access
   Archives - publicly available
   digital repositories, exist
   alongside traditional
   publishing venues.

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             Open Access Strategies
Strategy 3: Managing
  Copyright - educating
    authors on desired
   current and future of
     their research, to
  enable them to ensure
   distribution and use
    of scholarly output.

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       Enabling Access and Use
               As a scholar, you may want to:
      • Include sections of your article in later works
      • Give copies to your class
      • Distribute copies among colleagues - share
        work as freely as possible
      • Place it on your personal Web page
      • Post work on an institutional Website or
      • Post work on a Federal repository, such as the
        NIH’s PubMed Central              19
            The SPARC Addendum
                    Author Retained Rights:
•      (i) the rights to reproduce, distribute, publicly perform,
       and publicly display the Article in any medium for non-
       commercial purposes;
•      (ii) the right to prepare derivative works from the Article; and
•      (iii) the right to authorize others to make any non-commercial
       use of the Article so long as Author receives credit as author
       and the journal in which the Article has been published is
       cited as the source of first publication of the Article.
•      For example, Author may make and distribute copies in the
       course of teaching and research and may post the Article
       on personal or institutional Web sites and in other open-
       access digital repositories.                     20
           Open Access Strategies

Strategy 4: Advocacy -
    Working to encourage
    policy makers (at the
    local, institutional,
    national and
    international) level to
    adopt policies that
    enable open access
    to publicly funded
    research results.

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         Selected Proposed Policies
•    The European Commission
•    Research Councils United Kingdom             Source:
•    Australian Research Council                        QuickTime™ and a
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•    Canadian Institute of Health Research
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•    Chinese Academy of Sciences                 TIFF (Uncompressed) decompressor
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•    Ukrainian Parliament               
•    South African Academy of Sciences            ss/policysignup/

•    German Research Fund (DFG)
•    CNRS, France
•    U.S. National Institutes of Health
•    U.S Federal Research Public Access Act              22
             Public Access Policies
• Funders invest in research with the expectation that it
  will result in improvements to the public good.
        • spur the advancement scientific discovery
        • lead to greater innovation
        • provide economic stimulus
• They recognize that dissemination is an essential
  component of the research process.
• Research is cumulative - science advances only
  through sharing of results. Only through use of
  research findings that the value of their investment in
  research is maximized.              23
     Policies are Cost Effective
• Policies recognize that progress can be
  maximized with minimal investment.
• For example, the NIH estimates costs for its
  public access program to be $3.5 million annually
  - an amount equal to 0.01% of the agency's
  $28 billion budget.
• A recent Australian study that found that a five
  percent increase in access and efficient use of
  research results could deliver A$628 million in
  economic and social benefits.          24
        Common Goals of Public
           Access Policies
ACCESS - Provide fast, free electronic access to
 federally-funded research publications.
ARCHIVE - Provide permanent archive of vital
 federally-funded research results.
ADVANCE SCIENCE - Create new information
 resource for scientists to use in innovative ways.
ACCOUNTABILITY - Allow federal agencies to
 manage research portfolios more effectively and
 transparently.          25
  Common Elements in Public
      Access Policies
 Deposit of copy of final manuscript that has been
  accepted for publication in a peer-reviewed journal
  into online repository
 Deposit in a stable digital repository that
  provides free public access, interoperability, and
  long-term preservation
• Free, public availability of manuscript as soon as
  possible, (range: 6-12 months) after publication in
  a peer-reviewed journal.           26
    Common Themes in Public
       Access Policies
• Dissemination of results is an inseparable,
  essential component of research.
• Better access will strengthen the national ability to
  leverage collective investments in scientific
• Better access will stimulate new discoveries and
  new innovations.
• Better access will increase both transparency and
  accountability of funding agencies.            27
                    Paying Dividends

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              Why A Focus on Open
“Open access serves scholarly communication by:
  facilitating text-mining; data and literature
  integration; construction of large-scale knowledge
  structures; and creation of co-laboratories that
  integrate the scholarly literature directly into
  knowledge creation and analysis environments…
It also honors our commitments to the
   democratization of teaching, learning, scholarship,
   and access to knowledge throughout our society
   and globally.”
  - Clifford Lynch, CNI, Closing comments, ARL/CNI/SPARC Public
                     Access Forum, October 20, 2006                 29
            Selected Resources for
             Additional Information
            30

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