Smathers Libraries Support of UF Research and Scholarship: Open Access and The IR@UF Presentation to the Symposium for Teaching and Learning with Technology, March 9, 2011 Good morning. [introduce self] We’re delighted to be here from Smathers Libraries. Appreciate the opportunity to share with you information on the libraries role in supporting research and scholarship, specifically Open Access and OA initiatives and the UF Institutional Repository—called the IR@UF.

Main Points Role of Smathers Libraries in Scholarly Communication Open-access in brief National and international trends and mandates Local Initiatives: UFOAP and the IR@UF Questions/Discussion We want to cover The role of the Libraries in supporting scholarly communications, and what that is… Some of the trends in scholarly publishing, and how the UF Libraries are responding to those challenges here on campus. We will present: OA – what it is and why it is so important. National and global trends and mandates, and Review local initiatives Allow some time for questions and discussion. [Introduce, Judy Russell, Dean, University Libraries]

UF Libraries The George A. Smathers Libraries have two main components under RCM: Health Science Center Libraries (HSCL) – funded through the academic & research units of the Health Sciences Center University Libraries (UL) – funded through the other academic & research units, excluding the College of Law*   * The Lawton Chiles Legal Information Center is not part of the George A. Smathers Libraries. The George A. Smathers Libraries have two main components under RCM: Health Science Center Libraries (HSCL) – funded through the academic & research units of the Health Sciences Center University Libraries (UL) – funded through the other academic & research units, excluding the College of Law*  

Facilities Library Technology 541 public workstations Nearly 475,000 sq. ft. of public space & seating for almost 4,500 56 group study rooms and 6 instruction labs Over 41,000 sq, ft. of shelving Over 650 public hours/week and remote online service 24/7 Library Technology 541 public workstations 50 loaner laptops 9 media-equipped study and instruction rooms The library facilities are extensive and heavily used. As you can see, we have a considerable physical plant, but not nearly sufficient for the 3 million in-person visitors each year. The University of Florida Libraries are technology hubs offering 541 public workstations; 50 loaner laptops; and 9 media-equipped study and instruction rooms. The Libraries maintain the largest number of public workstations on campus, and all equipment is supported by the Libraries’ Information Technology Hardware Support Units.

The Value and Role of the Smathers Libraries Supporting the University’s mission across all disciplines Supporting student learning, achievement, and university experience Supporting faculty teaching, research, and scholarly communications Providing Subject Specialists for personal assistance Libraries uniquely embody the distinct characteristics of the whole university and support its threefold mission of teaching, research, and service, across all disciplines. The Libraries add much value to stakeholders, including: Student Enrollment, Retention and Graduation Student Achievement and Learning Student Experience, Attitude and Perception of Quality Faculty Research Productivity and Teaching Faculty Grants Institutional Reputation and Prestige In addition to providing information literacy programs for all constituents, I want to especially bring to your attention that the Libraries provide expert faculty, called Subject Specialists, to help you and your students find and access the educational and research materials needed. While the mission remains the same, the Libraries continue to adjust services and facilities to create supportive learning environments through: -on-campus research commons -remote online access to most services -integration of library materials and services into the Saki course management system -digitization of unique research materials, and -operation of an institutional repository as a permanent portal to the digital scholarly output of UF faculty and students. Likewise, we are also responding to a need to address changes in scholarly communications in academic publishing, and how this poses an exciting challenge to the research university and the Libraries.

Scholarly Communications Sharing research, knowledge, and creative productivity Publishing Issues: author’s rights, economics of scholarly resources, new models--open access, institutional repositories, rights and access, preservation of intellectual assets As the Smathers Libraries has adjusted its services to keep pace with the changing times, it is now actively supporting scholarly communications on campus. What is meant by scholarly communications? Scholarly Communications concerns publishing but it is more than publishing. It is an umbrella term used to describe the process of academics, scholars and researchers sharing and communicating their research ideas and findings so that they are available to the wider academic community and beyond. Again, it is more than the formal process of publishing and includes many informal means of communication—including conference sessions, proceedings, blogs, and facebook. The most common method of scholarly communication is by writing up the findings of research in to an article to be published in a scholarly journal; however, there are many other methods, such as publishing a book, book chapter, conference paper, and - particularly in the arts and humanities - multimedia formats such as sound and video recordings. --Wikipedia Scholarly communications issues include author rights, the economics of scholarly resources (cost of journals, royalties, who gets what), new models of publishing including open access, institutional repositories, rights and access to federally funded research, and preservation of intellectual assets. Publishers and libraries therefore play a role in SC, but a limited role—each in support of the mission of their parent company or organization. Honestly, while OA has co-opted the term, SC, it is not SC but only a narrow part of the much larger world of SC. Crisis in Scholarly Communications: Journal costs have consistently risen above inflation in recent years. The high cost of journals coupled with the increasing numbers available have led to universities not being able to subscribe to the journals they require. *Funders, such as universities and tax payers not having access to the research they pay for. *Those not associated with universities, or those in developing countries, have no access to current research, which acts as a barrier to entry to most of the world's population. *As journals move to 'online' only, preservation is a major issue: in the past, if a publisher ceased operations, libraries would still have their back catalogues and archives ensuring the published research was not 'lost'; today, as journals are online, should a publisher or journal disappear, including their website, research could be lost. *Producing a research paper may require years of scholarly work and requires a lot of money from funders, however publishers, that often do little more than copy edit articles ready for publication, normally require that they become the copyright holder. What this means to the author!

Open Access Defined Open-access (OA) literature is free of charge to readers free of most copyright and licensing restrictions digital and online Peter Suber, Focusing on open access http://www.earlham.edu/~peters/fos/overview.htm Open Access literature is scholarly literature that is: free-of-charge to readers, free of most copyright and licensing restrictions (it requires the consent of the author or copyright holder), and it is digital and online—accessible to any reader, anywhere, at any time, who has access to the Internet. In short: it’s free, unrestricted, and online.

Why OA is so Important to Researchers Available online: Faster + timely visibility + increased findability  wider readership + higher citation rates Barriers to access negatively impact research Overall IMPACT There are significant trends in publishing that are supporting the open access movement. OA benefits our UF researchers because: Their articles are published in digital format and online, and therefore are made available much faster than those in conventional journals. The research results are broadly and freely available – on the Internet: accessible to anyone, at anytime, anywhere in the world! There is good find-ability through search engines and reference services, and Long-term document availability. This makes it possible for our faculty to share their work, and their research has a wider readership, and higher citation rates. While the traditional research barriers (such as publication time delays and the expense of subscriptions) can limit the impact of research, the reduction of these barriers through OA means that there is greater research efficiencies through early discussion of findings and engagement with other scholars, and also a facilitation of international and interdisciplinary inquiry and collaboration. Overall, THE RESEARCH PUBLICATION CAN HAVE GREATER IMPACT, and this provides wider recognition to our faculty and University.   And, because of these obvious advantages, many of our colleagues—especially those in the sciences, have already published in open access vehicles or edit or publish an open access journal.

Why OA is so Important to Students To break down barriers: The Right to Research Coalition: http://righttoresearch.org/ Access to Research is a Student Right Learning and inquiry are impeded when scholars lack access Provides access to global research OA levels the educational playing field OA movement was originally student-driven, with students creating the first Open Access Day in 2007, and for good reason: The Right to Research Coalition is a network of 31 student groups, including the American Medical Student Association, that have signed the Student Statement on the Right to Research. OA improves the educational experience: It’s not just about providing undergraduates and graduate students with access to research but breaking down barriers that prevent them from accessing research materials. There is an international multi-billion dollar research and development enterprise, and only a portion of this research is available in any academic library at any one time—even our top-tier research library. Much of this information is not affordable to many campus libraries and therefore not available to students. Learning and inquiry are impeded when students and faculty lack access. OA advances research, by facilitating access to the latest studies: OA has the potential to provide access to a much larger body of research and development, and this provides much more browsability, findability, and discoverability, and this leads to much greater research efficiencies, and greater discoveries and enhanced results, and therefore OA improves the visibility and impact of scholarship. OA democratizes access to research, and levels the educational playing field: and this applies to students in community colleges and all students around the globe, and from developing countries. IT also provides students with publishing options early in their academic programs.

The Public’s Need for OA Concept of “public access”: taxpayers, federal agencies, and universities pay twice for funded research Increases the public’s ROI in research Open access reduces barriers and can foster collaboration and research advances. In addition, Senior VP Dr. David Guzick has written, one of the fundamental advantages of open access publishing deals with the principle of Public Access: most research is publicly-funded (by the University and the national funding agency), but then is given away freely to the marketplace by the author, and then the public must buy it back, often at exorbitant rates, and even then the public doesn’t “own” digitized material and it can lose it. This is a barrier to public access, and not in the interest of the “Common Good”. The conventional publishing model—not in the interest of researchers or the public good—is also not in the interest of research. There are scholarly studies that indicate that publishing our publicly-funded research in an OA format can lead to further collaborations and efficiencies. One major example of this is the Human Genome Project, which made tremendous progress only after the research became open, shared, and coordinated globally. Moreover, online open access to federally-funded research significantly increases the return on the public’s investment in science. The public pays for the research, and open access enables the public to benefit from the research. Just as Harvard has recently stated its mission to serve the public good—and its open access and licensing policies deliberately reflect this—UF, as a land-grant institution, also shares this same purpose. And the library is in a good position to lead the OA initiative because providing access to information, and the collection and preservation of content is integral to our mission. Here to tell you more about the OA momentum as a national and global movement is Rae Jesano, Assistant University Librarian, HSCL: The library is also well-placed within the university as a neutral, trusted, and service institution.

OA Momentum National and Global Mandates 2008 NIH mandate 2009 Federal Research Public Access Act (FRPAA) UNESCO: for the benefit of global knowledge flow, innovation and socio-economic development EU’s OpenAire Dept of Labor : Open Educational Resources Because of the benefits of OA to researchers, the research, and the public, national and global mandates supporting OA publishing are increasing: NIH Mandate: that all NIH-funded investigators submit an electronic version of their final, peer-reviewed manuscripts to pubmedcentral.gov as soon as they are accepted for publication. They are then made available to the public on PubMed Central within 12 months of publication. FRPPA, which has been moving through both the House and the Senate, requires 11 agencies with over $100 million in research funding to make results publicly and freely available via the Internet within 6 months of commercial publication. This bill, BTW, has been supported in an “Open Letter to Higher Education” by our colleagues at Carnegie-Mellon, Cornell, Dartmouth, Duke, Harvard, Indiana U, Miami U, Ohio State, Stanford, the U. of CA, and others. [While it may not get passed in this lame-duck session, it is almost certain to be re-introduced in the new session.] Other funding agencies are jumping on board: Wellcome Trust and grant recipients from a number of British funding sources must submit copies of peer-reviewed research articles to UKPMC. The Canadian Institutes of Health Research also requires grant recipients to submit their peer-reviewed articles to PubMed Central Canada within 6 months of publication. In addition, some countries—notably Sweden and Denmark—are in the process of constructing national open access policies. This is a global movement: UNESCO: has come out in support of OA for the benefit of global knowledge flow, innovation, and socio-economic development of developing countries. The big news is that the European Union has just launched OpenAire at the University of Ghent in Belgium to provide EU researchers, businesses, and citizens free and open access to EU-funded research papers. The project is running a helpdesk in 27 European countries, consisting of a network of experts and a portal of tools helping researchers to make their articles available online. [Source: The European Commission] In short, while OA has many advantages to the researcher, it is no longer optional for many funded projects—it is increasingly mandatory. And just to make the point that the open access movement is gaining increasing momentum with ever-more mandates, the US Dept of Labor, in consultation with the Dept of Education, just recently announced a new OA mandate for open educational resources (OER), a considerable funding initiative ($2 billion over the next four years) to build OER to help US community college students graduate with marketable skills. But since these will be “open” educational resources, they could help English-speaking, college-level students everywhere.

OA Momentum OA articles: 120,000 in 2009 OA journals in the DOAJ: 6,244! 2009: 4,535 (2/day) 2010: 5,936 (4/day) Scholars perceptions: benefits to self and community OA Week 2010: 94 countries And because of the benefits of OA to researchers, the research, and the public, AND with the impetus of mandates, the growth of OA is robust, deep and steady. The number of OA articles published in 2009 was around 120,000—about 8 – 10 % of the estimated yearly global scientific output, and we expect the 2010 count to be much greater.—perhaps as high as 20% in the US. The number of journal titles listed in the DOAJ is growing rapidly, from adding on average two new journals per day in 2009 to adding 4 per day in 2010. The current number is already over 6, 225, which is huge growth, and the DOAJ provides access to over half a million articles (i.e., 515,860). Scholar’s perceptions are also changing rapidly: A recent “Study of Open Access publishing” presented its final results in January: Out of 40,000 published scholars who responded, 90% are convinced that OA journals are or would be beneficial for their field. This is because they are: a benefit top the scientific community a public good, and a benefit to the individual scientist, who prefer the free availability of their content, the quality of the journal, and the speed of publication. The vast majority disagreed with the idea that OA journals are either of low quality or undermine the process of peer review. and OA journals in several disciplines including Life Sciences, Medicine, and Earth Sciences, are of outstanding quality, and have Impact Factors in the top 1-2% of their disciplines. In addition, the largest, most successful International Open Access Week was celebrated this past October. With just under 900 participants in 94 countries, this year’s event was three times larger than it was just a year ago. From a student-driven one-day event in 2007, deep inroads have been made into the academy, with humanists, climate change scientists, provosts, research funders, Nobelists, and lawyers using this occasion to share their insights on how Open Access has had an impact on their work and lives. [email message from Heather Joseph, Executive Director, and Jennifer McLennan, Program Director for Open Access Week, SPARC).

Strategies Toward Open Access @ UF Promotion of the UF institutional repository: the IR@UF: Sharing. Scholarship. Online. www.uflib.ufl.edu/ufir Establishment of an OA publishing fund: UFOAP Creation of a faculty-driven university-wide OA policy Given both the need for OA and the library’s potential role, the University Libraries Committee supported the development of an infrastructure to support OA. First, we have created the UF Institutional Repository—the IR@UF--an open access portal to UF’s research and creativity. Please see the brochure, visit the website, AND deposit your publications and work to give it a stable and permanent home and make it accessible. It’s a very easy submission process and we can give you assistance as well. AND, second, with the assistance of the provost and academic deans, we have established an OA publishing fund of $120,000 over the next two years. While many other universities are now striving to build digital repositories, UF is in the vanguard with both the IR@UF and especially with our UF OA Publishing fund, joining other top-tier universities, such as: Cornell, Dartmouth, Harvard, MIT, U. of CA @ Berkeley, Columbia. We can be very proud of our university leadership in this area. So basically, these are the two ways to participate in OA publishing at UF: 1). Depositing your work in the IR@UF--the portal to our university’s research and creativity, and 2). Publishing in an open access journal, with supporting funds from the UFOAP. The next step is for us to facilitate a faculty-driven policy, in step with both national mandates and the global movement. Many top-tier research universities have already adopted Open Access policies, encouraging or mandating faculty to submit peer-reviewed articles to Institutional Repositories; e.g., Harvard, MIT, Stanford, Cornell, Columbia, Dartmouth, the University system of California, the University of Oregon, Illinois (U-C), University of Kansas, Massachusetts, Temple -- just to name a few. These policies were derived from faculty support, following discussion and debate, for the benefit of faculty, and the benefit of the university. The growing number of policies indicates that the question is not if but what kind policy UF will adopt, and when it will be implemented. With the hiring of the new Scholarly Communications Librarian at Smathers Libraries, a jumpstart position, this third initiative can become a reality here at UF, especially with continued University support OA as part of its mission, and eventually faculty who treat it as standard operating procedure. I’d like to introduce Dina Benson, Coordinator of the IR@UF, to tell you more about it.

The IR@UF - Sharing Scholarship Online: It is a digital archive for the intellectual output of UF. More than that, the IR is a PORTAL TO, AND SHOWCASE OF, UF SCHOLARLY OUTPUT: RESEARCH & CREATIVITY Let’s look at its holdings.

The IR@UF-1½ Million! Journal articles Conference papers and proceedings Monographs and monograph series Technical reports Theses and dissertations White papers UF Journals and Other Publications Grant proposals University archives materials So let’s look at our first strategy in OA publishing: The IR@UF now has just over one-and-a-half million pages, and includes: Journal articles Conference papers & proceedings Monographs and monograph series, and Technical reports It also collects “gray literature” not handled by conventional publishers; materials such as: Theses and dissertations White papers/working papers UF journals and other publications Grant proposals Data sets Lectures, outreach, and educational materials Materials from the University Archives including graduation programs, photographs, audio and video of recent and historic campus events and people, campus directories and yearbooks The IR@UF now has over one and a half million pages. Dissertations and theses account for just over half of these pages. The rest are UF faculty, student, and staff publications, and a large portion of materials are from the IFAS documents written by UF faculty.

Why Scholars Participate in the IR@UF? A faculty resource To share research through: A permanent archive with stable links An OA repository compliant with digital library standards Why participate in the IR@UF? Remember, surveys show that faculty are interested in making their content widely available and quickly. The IR@UF can be used as a faculty resource: *to try out a work in progress [and a visiting scholar recently told us how this was a great advantage to him in correcting a work he had posted in draft form] *as a teaching resource, *as a site for distance learning It can be used for faculty advancement and self-promotion: *It allows faculty to advertise themselves and their work. This is an advantage for P & T: the faculty member must be “known”. *It allows faculty to share their research openly with scholars around the world, regardless of affiliation. *The IR@UF’s consistent, stable links to the materials are ideal to use on a researcher’s website, CV or distribute in other promotional materials. *The IR@UF facilitates citations and links to the work via the UF Digital Collections, library catalog, Google and many other search systems. It also provides a permanent archive for preservation, independent of the publishers

Why UF Supports The IR@UF? A portal to UF research and creativity: Institutional memory Public advancement: a showcase of scholarly output Institutional advancement And as a portal to, and showcase of, UF scholarly output, it also has many institutional benefits: The IR@UF is the digital archive for the institutional memory of UF: Preservation Access/discovery Consolidation of materials and information Introspection on the life of the university It is also a vehicle for public advancement: Open access to research and scholarly literature Enables regional collaboration And as a showcase of UF research and intellectual output, it supports institutional advancement: Branding Promotion of University Development (Funding) Recruitment

The UF Open Access Publishing Fund supports making UF research findings immediately, freely and globally available through Open Access publishing. The Open Access Publishing Fund Pilot Project supports the goal of making UF research findings immediately, freely and globally available. The pilot project began on July 1, 2010, with $120,000 was provided by the Provost for 18-24 months. When funds are not available from other sources, the UFOAP Fund will assist UF authors by paying reasonable article processing fees for publishing in open access journals and for a portion of paid access fees charged by other publishers, as specified in the brochure. Emphasize that it is the author who must choose the appropriate journal for his article and academic career. This fund is designed to support the author’s choice to publish in an OA journal, and by so doing, providing the opportunity of expanded exposure to faculty and students, and their research. Articles that comply with the eligibility criteria are funded on a first-come, first-serve basis.

Eligible Authors Eligible Articles UF faculty, staff and student authors and co-authors, including post-doctoral researchers Eligible Articles Peer-reviewed research articles in OA and hybrid journals Listed in the Directory of Open Access Journals: www.doaj.org Eligible authors include any UF faculty, post-doctoral researcher, staff member, or student author. Eligible articles include peer-reviewed journal articles in OA and hybrid journals, listed in the Directory of OA Journals. I want to stress that this Fund only supports articles in peer-reviewed OA journals, and not creative works, which ideally would be submitted to the IR@UF. It should also be noted that the number and quality of OA journals are increasing every day. For example, new studies (and citation reports that we have run) show that many open access journals have higher impact factors that the traditional prestigious journals and lead to higher citation rates. To date, we have approved 29 applications and disbursed over $37,000, benefitting as many as 97 Gators: UF researchers—faculty and students from various departments across campus. The average request is almost $1,300 and average per person amount allocated is $340 to support OA publishing.

UF Recipients Dr. Graciela Lorca, Assistant Professor, Dept. of Microbiology and Cell Science Daniel Spade, Student in Physiological Sciences Max Teplitski, Associate Professor, Soil and Water Science   Reactions from UF researchers have been very positive: we’ve received many emails expressing appreciation. Dr. Graciela Lorca, Assistant Professor, Department of Microbiology and Cell Science wrote to us: The Open Access Publishing Fund is more important than ever. The use of open access publications increases the impact and availability of peer-reviewed work to a much wider audience than traditional publications… For us personally, the open access format maximizes the visibility and impact of our work, and is the real next step in the evolution of peer-reviewed publishing…..The Open Access Fund allowed us to publish in what we believe is a better format than traditional journals without dealing with inhibitory publishing fees.   [right click, open hyperlink] Graduate Student Dan Spade pointed out the significance of open access to developing countries that otherwise cannot afford access to scholarly subscriptions and research, and also the permanency of his published OA article. [move forward to 36 or 2:21 minutes]. [Associate Professor Max Teplitski shows that open access publishing has come a long way and now there are many highly prestigious journals in which to publish, and the rapid turn-around of his published article demonstrated value to the funding agency and helped participating graduate students. [move forward to 36 to 2:29]

Copyright Resources To retain your rights: “Author Rights: Using the SPARC Author Addendum to secure your rights” http://www.arl.org/sparc/author/addendum.shtml To retain your rights and allow others to use it to various degree specified by you: Science Commons Background Briefing http://www.sciencecommons.org/projects/publishing/background-briefing Science Commons Author’s Addendum FAQ http://www.sciencecommons.org/resources/faq/authorsaddendum SHERPA RoMEO: Publisher copyright and self-archiving policies http://www.sherpa.ac.uk/romeo/ University of Minnesota Author’s Addendum http://www.lib.umn.edu/scholcom/CICAuthorsRights.pdf While we don’t have time to cover copyright in this session, we want to let you know that authors need to manage their copyright to retain control over their own work , and that there are several resources to help you do this. We are available to talk to you at greater length at another time.

For more information, contact: Judy Russell Dean of University Libraries jcrussell@ufl.edu 273-2505 Isabel Silver Director, Academic and Scholarly Outreach isilver@ufl.edu 273-2524 Visit our website: http://www.uflib.ufl.edu/ We want to emphasize that we are providing UF researchers and scholars with a broader choice for their publishing, and we want to support their choice to publish open access. If we have a little time for Qs and discussion, we would also like to ask you how we can more effectively promote OA and the UFOAP on campus and move the issue forward with faculty. [switch to next slide]

Questions and Discussion I welcome any questions, comments, or discussion about our open access initiatives….. Please contact me, or Isabel Silver, if you have any further questions or comments on our efforts. [In closing] I want to thank you for your invitation today, and taking the time to consider OA and the current trends in this direction. Thank you very much and please don’t hesitate to contact us for more information. _____________________________________________ IF Question about quality: There is a range of quality in OA journals just as in conventional publishing. We are not talking about vanity publishing but only peer-reviewed journals, some of which have over-taken the conventional prestigious journals in their impact factors. We can expect this trend to continue, given the advantages of OA publishing. If statement that OA publishing is not recommended for T & P purposes: We have had assistant and associate professors seek OA Publishing Fund support because they are thrilled to be publishing in very reputable OA journals, and they fully expect that these articles will strengthen their T & P case because the journals are so reputable. Moreover, faculty establish the T & P standards, and more and more faculty are now recognizing the value of OA journals. Meanwhile, those tenured faculty who don’t have to adhere to traditional publishing measures can exert more creativity in their publishing choices, and they will experience the benefits of OA publishing. If statement about the need to support their society journal or it will not survive. A visiting scholar [Siva Vaidhyanathan] recently recognized that the economic situation of many scholarly journals is very fragile. He suggested that we might ask: “What might emerge if other publishing options are not resisted?” Perhaps there might be a greater range of publishing options (?), and this might be good for the field. OA publishing, for example, allows non-scholars (i.e., journalists), and scholars from other areas, to engage with the work. This can also be beneficial for the field.