Open Access: What it can do for science and scholarship in India Alma Swan Key Perspectives Ltd Truro, UK

“The Role Of The Scientific Journal: First, to place before the general public the grand results of Scientific work and Scientific discovery; and to urge the claims of Science to a more general recognition in Education and daily life. Secondly, to aid scientific men themselves, by giving early information of all advances made in any branch of natural knowledge throughout the world, and by affording them an opportunity of discussing the various scientific questions that arise from time to time.” Nature, 4 November 1869 Key Perspectives Ltd

“At a time when the journal has become the primary vehicle for communicating research results …. libraries are finding it difficult to maintain, let alone expand, their journal collections ….” “…. It is becoming increasingly clear that the current scientific communication process is not working in the best interests of the scientific community, nor in the best interests of society as a whole.” Stephen Pinfield, 2005 Deputy Chief Information Officer and Director of Teaching & Learning Resources and Information Resources, University of Nottingham Key Perspectives Ltd

What has happened in the last 130 years? The number of scientific research journals has grown, and grown, and grown… Journal prices have risen - much faster than inflation. Since 1986: The UK retail price index has risen 70% Journal prices have risen 291% Key Perspectives Ltd

One result … The ‘Men of Science’ do not have access to all the scientific literature they need to enable science to progress as efficiently and effectively as possible Key Perspectives Ltd

“Just funding the research is a job only part done “Just funding the research is a job only part done. A fundamental part of [our] mission is to ensure the widest possible dissemination and unrestricted access to that research.” Robert Terry Senior Policy Advisor, Wellcome Trust Key Perspectives Ltd

“Speak to people in the medical profession and they will say the last thing they want is people who have illnesses reading this information, marching into surgeries and asking things.” John Jarvis, Managing Director, Wiley Europe (one of the world’s largest science publishing houses) Oral evidence to the House of Commons enquiry, 1 March 2004 Key Perspectives Ltd

What Open Access is about Freely available Publicly available Permanently available Key Perspectives Ltd

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The World Wide Web has enabled Open Access to science Not constrained by the limitations of print on paper Available to any individual with Internet access, worldwide With proper arrangements in place, availability is permanent Key Perspectives Ltd

What Open Access is not about NOT vanity publishing or self-publishing NOT about non-peer-reviewed literature NOT about publications that scientists expect to be paid for (e.g. books) Key Perspectives Ltd

Why researchers publish their work Key Perspectives Ltd

A much better term to use is ‘Open Access’? A much better term to use is Open Dissemination Key Perspectives Ltd

Who benefits from Open Access? Scientists – as authors Scientists – as readers Scientists – as teachers Universities Research funders Taxpayers and society at large Publishers Key Perspectives Ltd

Increased citation rates Biology 36% Psychology 108% Sociology 172% Health sci 57% Political Sci 57% Physics 250% Economics 49% Education 77% Law 108% Business 76% Management 92% (Courtesy of Stevan Harnad and co-workers) Key Perspectives Ltd

Open Access increases citations Range = 50%-200% (Courtesy Stevan Harnad and co-workers) Key Perspectives Ltd

Open access increases citations (further studies) Lawrence 2001 (computer science) Kurtz 2004 (astronomy) Brody & Harnad 2004 (all disciplines) Antelman 2005 (philosophy, politics, electrical & electronic engineering, mathematics) Key Perspectives Ltd

An author’s own testimony on open access visibility “Self-archiving in the PhilSci Archive has given instant world-wide visibility to my work. As a result, I was invited to submit papers to refereed international conferences/journals and got them accepted.” Key Perspectives Ltd

Lost citations, lost impact Only around 15% of research is Open Access…. ….. so 85% is not ….. and we are therefore losing 85% of the 50% increase in citations (conservative end of the range) that Open Access brings (= 42.5%) Key Perspectives Ltd

There is also a monetary measure In the last 5 years there have been 219040 citations to 104617 articles by Indian scientists (indexed by ISI) This figure could have been 42.5% higher (with OA) = 312132 citations 44462 citations have been lost over 5 years With an annual S&T budget of 164bn INR …. …. and 42.% impact lost… …. that means 70bn INR-worth of impact lost to India over 5 years Key Perspectives Ltd

And for individual scientists…. Diamond, A M (1986) What is a citation worth? J. Human Resources 21, 200 (www.garfield.library.upenn.edu/essays/v11p354y1988.pdf) Marginal value of one citation is 50-1300 USD (depending on field and number of citations: an increase from 0 to 1 citation is worth more than from 30-31 citations) Update for inflation (170%) = 86-2227 USD Convert to rupees = 3870-100215 INR Now let’s look at one Indian scientist’s situation…. Key Perspectives Ltd

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Professor Balakrishnan 39 citations Could have been 42.5% higher (or more) = 56 citations Each citation is worth 3870 INR Value of lost impact = 0.2m INR Conservatively!!! Key Perspectives Ltd

Two ways to provide Open Access Publish in an Open Access journal Deposit copies of published articles in an Open Access repository (‘self-archiving’) Key Perspectives Ltd

Open Access journals ‘New’ Open Access publishers BioMedCentral Public Library of Science c2000 Open Access journals in existence ‘Traditional’ publishers offering a hybrid publishing model Key Perspectives Ltd

Open access journals in Asia Approximately 130 About 90% are learned society journals India, Japan and South Korea have most Key Perspectives Ltd

Self-archiving Subject-centred repositories (e.g. arXiv) Institutional repositories Subject coverage reflects institution Interoperable (Open Archives Initiative-compliant) Global interlinked network – a worldwide database of research Key Perspectives Ltd

Open Access repositories 500+ worldwide Open source software (e.g. EPrints from Southampton University) Key Perspectives Ltd

Repository types Most are institution-wide Some are departmental Some are cross-institutional Some are national Some are subject-specific Some contain only specific types of article (e.g. theses/dissertations) Key Perspectives Ltd

Why an institutional repository? Fulfils a university’s mission to engender, encourage and disseminate scholarly work Enables a university to compile a complete record of its intellectual effort Forms a permanent record of all digital output from an institution Enables standardised online CVs for all researchers (e.g. RAE exercise) ‘Marketing’ tool for universities An institution can mandate self-archiving across all subject areas Key Perspectives Ltd

CERN preprint archive Key Perspectives Ltd

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How are the authors responding? 24% have submitted an article to an Open Access journal (49% intend to) 22% have deposited an article in an Open Access institutional repository 15% have deposited an article in a subject-based Open Access repository Key Perspectives Ltd

Overall self-archiving activity level Key Perspectives Ltd

An institutional repository provides researchers with: Secure storage (for completed work and for work-in-progress) Key Perspectives Ltd

An author said… “This is a very handy way to keep all of one’s work together and findable, which helps me as much as anyone else.” Key Perspectives Ltd

An institutional repository provides researchers with: Secure storage (for completed work and for work-in-progress) A location for supporting data that are unpublished, and other digital objects Key Perspectives Ltd

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An institutional repository provides researchers with: Secure storage (for completed work and for work-in-progress) A location for supporting data that are unpublished One-input-many outputs (CVs, publications) Key Perspectives Ltd

What discourages self-archiving? “ I worry about copyright infringement” Key Perspectives Ltd

Publisher permissions Key Perspectives Ltd

Publisher permissions (journals) Key Perspectives Ltd

Publisher permissions 92% of journals permit self-archiving SHERPA/RoMEO list at: www.sherpa.ac.uk/romeo.php Or at: http://romeo.eprints.org/stats.php Key Perspectives Ltd

What discourages self-archiving? “I worry about copyright infringement” “It will be too difficult” Key Perspectives Ltd

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What discourages self-archiving? “I worry about copyright infringement” “It will be too difficult” “It will take too long” Key Perspectives Ltd

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What discourages self-archiving? “I worry about copyright infringement” “It will be too difficult” “It will take too long” “My society may suffer” Key Perspectives Ltd

Learned societies publishing physics journals in areas covered by arXiv American Physical Society: Physical Review D Physical Review C Nuclear Physics Institute Of Physics Publishing (UK): Classical & Quantum Gravity Journal of High Energy Physics Journal of Physics G J. Cosmology & Astroparticle Physics Key Perspectives Ltd

“How many subscriptions have you lost as a result of arXiv?” APS: “None” IOPP: “None” Key Perspectives Ltd

“Do you view arXiv as a threat?” APS: “We don't consider it [arXiv] a threat. We expect to continue to have a symbiotic relationship with arXiv. As long as peer review is valued by the community (and it seems to be), we will be doing peer review.” Key Perspectives Ltd

Obeying publisher embargoes? Nature Physics Issue 1: 8 primary research papers 7 available on the web on the day of publication (1 not available except in jrnl) 4 had postprints in arXiv 2 had preprints in arXiv 2 had Nature’s own PDF on author websites Citations: postprints -1,5,0,3 preprints 3,0 (physics research/pub cycle is moving very fast) Key Perspectives Ltd

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What can encourage self-archiving? Highlighting the increased visibility and impact Key Perspectives Ltd

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What can encourage self-archiving? Highlighting the increased visibility and impact Requiring authors to self-archive Key Perspectives Ltd

Author readiness to comply with a mandate 5% 14% 81% Key Perspectives Ltd

Institutions with a mandate already University of Southampton School of Electronics & Computer Science (since 2003) (90+% compliance already) CERN (2003) (90% compliance already) University of Southampton (2004) Queensland University of Technology (2004) (40%+ compliance and growing) University of Minho, Portugal (2005) Key Perspectives Ltd

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(Data courtesy of Arthur Sale) Key Perspectives Ltd

(Data courtesy of Arthur Sale) Key Perspectives Ltd

(Data courtesy of Arthur Sale) Key Perspectives Ltd

(Data courtesy of Arthur Sale) Key Perspectives Ltd

Developments around the world Australian Govt funds nationwide network of repositories to make Australian science more visible French funding bodies set up OP archives All German universities now have a repository Netherlands has a nationwide ‘Cream of Science’ initiative Key Perspectives Ltd

The developing world… Brazil is well ahead India is moving fast China now developing a policy Pakistan has built its first national repository Key Perspectives Ltd

Other drivers for Open Access Data sharing stipulations E-science Interdisciplinary research Scientometrics Key Perspectives Ltd

There are many more measures… Bibliometric measures: Co-citations Hub/authority counts Incest analysis Impact measures: Citation growth, longevity, latency-to-peak Download growth, longevity, latency-to-peak Etc, etc, etc Key Perspectives Ltd

Effective ways to achieve OA in India Encourage authors to use OA journals where appropriate Build an archive Teach them how to deposit (do it for them if necessary) Advocate: tell authors the advantages Reassure: the consequences are not disastrous Insist they do it (impose a mandate) Key Perspectives Ltd

Wellcome Trust: World’s largest private funder of biomedical (and allied) research Spends c£400million ($700million) per annum Key Perspectives Ltd

“Just funding the research is a job only part done “Just funding the research is a job only part done. A fundamental part of [our] mission is to ensure the widest possible dissemination and unrestricted access to that research.” Robert Terry Senior Policy Advisor, Wellcome Trust Key Perspectives Ltd

Wellcome Trust Issued a Position Statement on Open and Unrestricted Access to Published Research Amended its Grant Conditions accordingly Effective 1 October 2005 Key Perspectives Ltd

The Wellcome Trust policy on OA Requires self-archiving of articles (within 6 months of publication in PubMed Central) Will pay publication fees for publishing in open access journals (1-2% of Wellcome’s total research expenditure) Key Perspectives Ltd

Deals with publisher obstructions: If publishers insist on copyright terms inconsistent with the prior funding agreement, then the Trust simply tells grantees to choose among three options:  Give the journal fewer rights than it wants and retain the right to comply with the funding agreement Insert a Wellcome-written paragraph into the publisher's copyright transfer agreement allowing the grantee to comply with the funding agreement Find another publisher Key Perspectives Ltd

Publisher reaction? Key Perspectives Ltd

Readiness to comply with a mandate Key Perspectives Ltd

Thank you for listening aswan@keyperspectives.co.uk www.keyperspectives.co.uk/OpenAccessArchive/ Key Perspectives Ltd