An Evolving Landscape: Addressing Access Issues in Academic and Research Publishing Today Richard Fyffe Rosenthal Librarian of the College Grinnell College Marquette University 26 September 2008

Scholarly Communication The technological and institutional means by which theories, interpretations, and findings are submitted to the scrutiny of disciplinary experts and critiqued, endorsed, disseminated, synthesized, and archived on behalf of a broad community of teachers and learners (novice and advanced, lay and professional).

4 Key Trends 1.Increasing availability to a broader range of users for a broader range of purposes (“open access”)‏ 2.Blurring of boundaries between “formal” and “informal” scholarly communication 3.Increasing attention to the processes of scholarship and the enduring value of works created at different stages in the research process 4.Increasing collaboration among the traditional agents in the scholarly communication process (research centers, publishers, libraries, information technology departments)‏

Opportunities Lost? “… access to the internet and World Wide Web is ubiquitous; consequently nearly all intellectual effort results in some form of “publishing”. Yet universities do not treat the publishing function as an important, mission-centric endeavor … and the result has been a scholarly publishing industry that many in the university community find to be increasingly out of step with the important values of the academy.” Source: Laura Brown, Rebecca Griffiths, and Matthew Rascoff University Publishing in a Digital Age. Ithaka.

What Has Made These Changes Possible? Desktop authoring tools The Internet Repository and social networking technology Copyright law

What Has Motivated These Changes? Competition for research impact New disciplinary practices New social norms (e.g., taxpayer expectations)‏ Increasing prices and numbers of scholarly journals

Topography of This Evolving Landscape 1.Repository and social networking technologies 2.Legal issues: copyright 3.Open-access scholarship 4.New collaborations: libraries, IT departments, university presses

Repository Technologies and Enduring Scholarship Structured metadata Harvesting protocols Durable citations (persistent addresses)‏

Social Networking Technologies Blogs Wikis Photo-sharing sites (e.g., Flickr)‏ Video-sharing sites (e.g., You-tube)‏

Copyright 101 Authors own their work Copyright is a bundle of rights Ownership can be transferred OR specific rights can be licensed

Authors’ Rights “Scientists and scientific publishers have an opportunity to take a leading role in the creative use of licensing or copyright transfer to build a new publishing system”—AAAS, “Seizing the Moment: Scientists’ Authorship Rights,” July 2002 Source:

New Models of Copyright Management Creative Commons Licensing: Amending copyright transfer agreements:  SPARC:  Science Commons:

Open-Access Scholarship: A Coat With Many Colors Business models  Commercial and non-commercial Revenue models  “Author pays” and subsidized Access models  Pure open-access and mixtures of open-access and subscription-access content  Immediate vs. embargoed access

Open-access Content 1.Journals 2.Articles / Repositories 3.Theses and dissertations 4.Data

Open-access Journals Include peer-reviewed and editor-reviewed journals Directory of Open Access Journals (DOAJ) registers 3,653 individual journals Source: 20 Sept. 2008

Open-Access Articles “Self-archiving”  Working papers  Manuscript as submitted  Final corrected manuscript  Article formatted as published NIH requirement (2008)‏  PubMed Central repository

Open-Access Repositories Directory of Open Access Repositories has registered over 1200 article repositories May include data, texts, images, and other ancillary materials not formally published Source: 20 September 2008

Open-Access Repositories Disciplinary:  e.g., arxiv.org: "Open access to 493,088 e- prints in Physics, Mathematics, Computer Science, Quantitative Biology and Statistics" Institutional

[SCREENSHOT OF KUScholarworks]

Publisher Policies Some form of self-archiving of papers published in conventional journals is permitted by 68% of 414 scholarly publishers surveyed:

Publisher Policies 137 publishers permit self-archiving of accepted pre-prints and PDF post-prints (“Green” publishers)‏ 97 publishers permit self-archiving of the corrected accepted manuscript but not the publisher’s PDF (“Blue” publishers)‏ 49 publishers permit self-archiving only of the pre- refereed manuscript (“Yellow” publishers)‏ Source: SHERPA (Securing a Hybrid Environment for Research Preservation and Access), University of Nottingham: (28 August 2008).

Research Impact A 2004 study of citation rates for specific journals concludes that “OA journals have a broadly similar citation pattern to other journals” “Open access” here means “unqualified open access” not including author self-archived copies. Source: “The Impact of Open Access Journals: A Citation Study from Thomson ISI” (

Research Impact A 2005 study analyzed one million articles in about 1000 journals between 1992 and 2003 and concluded: the percentage of OA articles ranges from 5% - 20% depending on discipline, specialty and year;

Research Impact In four disciplines and 28 subfields analyzed, the OA articles have a citation advantage ranging from 25% - 250%. Disciplines = Biology, Business, Psychology, Sociology Source: Hajjem, C., Gingras, Y., Brody, T., Carr, L. and Harnad, S. (2005) Open Access to Research Increases Citation Impact. Technical Report, Institut des sciences cognitives, Université du Québec à Montréal (

Open-access Theses and Dissertations Visibility for student authors Visibility for advisors and institutions National Digital Library of Theses and Dissertations (NDLTD)‏ Questions about impact on future publication

Open-access Data Open Data  NIH Requirement since 2003 for grants over $500,000.  “Recorded factual material commonly accepted in the scientific community as necessary to validate research findings.”

Open-access Data “Open-notebook science”  Often blog- or wiki-based  Questions about preservation  Example: UsefulChem:

[screenshot of open notebook]

Open-access Dissemination: Data “ … examined the citation history of 85 cancer microarray clinical trial publications with respect to the availability of their data. The 48% of trials with publicly available microarray data received 85% of the aggregate citations. Publicly available data was significantly (p = 0.006) associated with a 69% increase in citations, independently of journal impact factor, date of publication, and author country of origin using linear regression.” Source: Piwowar, H. A., Day, R. S. and Fridsma, D. B. (2007). Sharing Detailed Research Data Is Associated with Increased Citation Rate. PLoS ONE, March 21, 2007.

U.S. University Policies Harvard Faculty of Arts and Sciences (February 2008) Harvard Faculty of Law (May 2008) Stanford Department of Education (June 2008)

New Collaborations Libraries Research Centers Graduate Schools IT Departments University Presses Museums

2 Seminal Papers 2003: Clifford A. Lynch, "Institutional Repositories: Essential Infrastructure for Scholarship in the Digital Age," ARL Bimonthly Report 226 (February 2003), 1-7. Available: : Laura Brown, Rebecca Griffiths, and Matthew Rascoff, University Publishing in a Digital Age. Available: nADigitalAge

Richard Fyffe Rosenthal Librarian of the College Grinnell College grinnell.edu

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