1 Scholarly Publishing & Academic Resources Coalition An initiative of the Association of Research Libraries Scientific Publishing: What Does the Future Hold? Lehigh University 12 November 2005 Bethlehem, PA Julia C. Blixrud SPARC Assistant Director, Public Programs Advancing Public Access for the Public Good

2 The Context

3 Rapid Pace of New Technological Developments MARCH 2, 2004 Tearing Down the Walls in Telecom In a few years, it "will be a sectorless industry," with phone, cable, and even power companies all selling the same communications services… May 28, 2004 Downloads 'fuel music recovery' The beleaguered global music industry says it expects to see an increase in music sales next year. Bound For Industry Upheaval– With A Layover In Dallas June 7, 2004 The Internet continues to drive change in the travel-reservation business, and Sabre is sure to be in the middle of it. iTunes

4 The Research Environment

5 Opportunity for Change New models born of the Web Availability of digital publishing technologies Availability of ubiquitous network Internet economics -- low marginal cost of dissemination

6 Functions of Scholarly Publication ARCHIVING of scholarly record for future use AWARENESS of new research by potential users REGISTRATION of intellectual priority CERTIFICATION of quality/validity of research REWARDING of scholars ARTICLE

7 J O U R N A L Bundling of Functions MULTIPLE ARTICLES ARCHIVING of scholarly record for future use AWARENESS of new research by potential users REGISTRATION of intellectual priority CERTIFICATION of quality/validity of research REWARDING of scholars

8 Unbundling of Functions ARTICLE D E C O N S T R U C T E D J O U R N A L ARCHIVING of scholarly record for future use AWARENESS of new research by potential users REGISTRATION of intellectual priority CERTIFICATION of quality/validity of research REWARDING of scholars

9 Canada - Apr 15, 2003 Canadian researchers put SARS data on Web VANCOUVER — The Vancouver researchers who mapped the genetic sequence of the virus believed to cause SARS have put their data on the Internet. Data Sharing

10 Public Policy Issues

11 “…it’s clear the current model is breaking up.” – Outsell (Feb. 2004) Market Forces Driving Change 1. The effects of technology 2.Research library funding constraints continue 3.Market power of STM giants - mergers, acquisitions change complexion of marketplace

12 SCHOLARLY COMMUNICATION SYSTEM Impetus for Change Market Forces Grassroots Efforts Market Forces Grassroots Efforts Societal Benefits Develop Public Policy Societal Benefits Develop Public Policy Why open access? How open access?

13 Scientific Imperative A Foundation for Discovery If sharing of knowledge is the foundation of scholarly advancement, then faster and wider sharing will fuel its progress. GOALS OF OPEN ACCESS Improve Information Access & Sharing Accelerate Discovery Stimulate Further Discovery Reduce Systemic Cost & Inefficiency Enable New Research Strategies (e.g., data mining) Translate Knowledge into Public Benefits

14 Open Access

15 What is “Open Access”? Immediate free availability on the public Internet Research literature that scholars produce without expectation of payment (e.g., journal articles) Recognizes that the value of research increases with use Exploits economics of Internet An access model, not a business model

16 What Open Access Can Achieve Expand information usage and application Remove barriers that make content scarce Focus economic return on value addition (rather than content control) Eliminate systemic inefficiencies by unbundling functions Weaken the position of publishers that use their monopoly position to support excessively high prices Introduce price competition Benefits outweigh dislocations

17 Open Access Statements Budapest Open Access Initiative Bethesda Statement on Open Access Publishing The Wellcome Trust Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities berlindeclaration.html

18 “Open Access” Strategies Two main approaches: 1. Open-access journals – require alternative business models to replace subscription-based models.

19 “Open Access” Strategies Two main approaches: 1. Open-access journals – require alternative business models to replace subscription-based models. 2. Open-access archives – publicly available digital repositories, exist alongside traditional publishing.

20 Open Access Archives FEDERATION …exist alongside traditional publishing

21 How the Pieces Work Together ContentServices Interoperability Standards Overlay Journals CiteBase (impact metrics) Google Scholar, OAIster LoCKSS (archiving integrity) Archiving Awareness Rewarding Certification Institutional Repositories Disciplinary Repositories

22 Issues of Open Access Reward structures Peer review Funding organizations Business models Patterns of access to scientific information Copyright and intellectual property Author self-interest in self-archiving research papers

23 Societies and Open Access Societies were pioneers in open access  Optics Express  New Journal of Physics  Molecular Biology of the Cell Estimated 20% of titles in Directory of Open Access Journals from societies Open access a means of driving high impact But most societies skeptical of converting subscription journals to open access  Fear loss of publishing surpluses  Open access decision easier when society has diversified revenue base

24 Societies Consider Open Access Each society must assess its own situation  Whether: internal appeal? external market pressure?  How: feasibility & internal hurdle; availability of alternative business models It’s not all or nothing (embargoed access) Unpack & examine the business models for programs subsidized by journal profit Experiment while there’s time

25 Open Access Resources ARL Open Access Web Site SPARC Open Access Newsletter Guide to Business Planning for Converting a Subscription- based Journal to Open Access business_converting.htm Guide to Business Planning for Launching a New Open Access Journal business_planning.htm Directory of Open Access Journals

26 SPARC and Its Programs

27 About SPARC Coalition of academic & research libraries (200 in North America in Europe) to address inequities in the scholarly communication system Stimulates emergence of new systems that:  Leverage networked digital environment to serve scholarship  Expand dissemination of research  Reduce financial pressures on libraries Provides practical assistance to innovative scholarly communication initiatives through  Incubation  Education  Advocacy

28 Strategic Thrusts Aid Editorial Boards & non- profit publishers Build capacity & scale in non- profit sector 3. ACT Reduce startup/entry risk Lobby for public policies Build coalitions 2. ADVOCATE Advance cultural & institutional change Enhance awareness & price signaling Present options for action 1. INFORM Present success stories

29 Advocacy Program: Education Raise key policymakers’ awareness of Open Access Build understanding of why Open Access is important to them Use outside experts to assist in creating coordinated, sustained effort Engage policymakers to spur them to take action

30 Advocacy Program: Outreach Regular Communications/Outreach to members of scholarly community on Open Access policy issues through  SPARC Open Access News (monthly)  Open Access News Blog (daily)  SPARC e-News (bi-monthly)  Website updates (daily)  Full roster of e-lists (as often as needed)

31 Advocacy Program: Outreach Establish and continually build active media program that includes network of reporters interested in Open Access  Provide background info and education on Open Access issues  Established SPARC and its coalition members as reliable source of expertise and commentary on Open Access issues Stories regularly placed in academic press (Science, Nature, Chronicle of Higher Education) and also in national media (Wall Street Journal, New York Times, Washington Post)

32 Advocacy Program: Coalitions Develop internal “networks” of libraries poised to take specific, issue-oriented action  i.e., letter-writing campaigns on proposed legislation Establish larger, external coalition of library organizations similarly poised to act  OAWG (ALA, ARL, MLA, SLA, etc.) Create and deploy wider coalitions targeting specific issues, expanding coalitions beyond academic community  Alliance for Taxpayer Access

33 Taxpayer Access to Federally Funded Research

34 Taxpayer Costs Credit Suisse First Boston: “[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, given pressure on university and government budgets.” –Sector Review: Scientific, Technical and Medical Publishing, April 6, 2004

35 Taxpayer Coalitions

36 The Message: Four Principles American taxpayers are entitled to open access on the Internet to the peer-reviewed scientific articles on research funded by the U.S. Government. Widespread access to the information contained in these articles is an essential, inseparable component of our nation’s investment in science. This and other scientific information should be shared in cost-effective ways that take advantage of the Internet, stimulate further discovery and innovation, and advance the translation of this knowledge into public benefits. Enhanced access to and expanded sharing of information will lead to usage by millions of scientists, professionals, and individuals, and will deliver an accelerated return on the taxpayers' investment.

37 Direct Work with Federal Agencies Regular education efforts in both U.S. House of Representatives and U.S. Senate  Ongoing conversations key to building understanding of Open Access issues Opening conversations/education efforts in various federal agencies (Department of Energy, Department of Agriculture, National Science Foundation) Contact with Administrative/Policy oversight agency (Office of Management and Budget (OMB))

38 Common Themes in Policies Right of public to have access to results of taxpayer funded research Create useful, long-term archive of federally funded material Accelerate pace of research; stimulate discovery and innovation Leverage the return on taxpayer investment Promote the advancement of science

39 Emerging Policies NIH Public Access Policy ( FY05) Appropriations Committee Report Language - June, 2004  “The (U.S. House of Representatives Appropriation’s) Committee is concerned that there is insufficient public access to reports and data resulting from NIH-funded research.”  “….contrary to the best interests of the U.S. taxpayers who paid for this research.”

40 NIH Public Policy

41 Making Science Accessible

42 Further information For more information on progress of these (and other) emerging Open Access policies in the U.S., please see:

43 Julia C. Blixrud Assistant Director, Public Programs SPARC 21 Dupont Circle, Ste 800 Washington, DC ext (fax) (mobile) SCHOLARLY PUBLISHING & ACADEMIC RESOURCES COALITION An initiative of the Association of Research Libraries