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

2. “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
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3. “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
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4. 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%
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5. 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
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6. “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
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7. “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
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8. What Open Access is about
Freely available
Publicly available
Permanently available
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11. 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
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12. 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)
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13. Why researchers publish their work
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14. A much better term to use is
‘Open Access’?
A much better term to use is
Open Dissemination
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15. Who benefits from Open Access?
Scientists – as authors
Scientists – as readers
Scientists – as teachers
Universities
Research funders
Taxpayers and society at large
Publishers
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16. Increased citation rates
Biology %
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)
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17. Open Access increases citations
Range = 50%-200%
(Courtesy Stevan Harnad and co-workers)
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18. Open access increases citations (further studies)
Lawrence (computer science)
Kurtz 2004 (astronomy)
Brody & Harnad 2004 (all disciplines)
Antelman 2005 (philosophy, politics, electrical & electronic engineering, mathematics)
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19. 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.”
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20. 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%)
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21. There is also a monetary measure
In the last 5 years there have been citations to articles by Indian scientists (indexed by ISI)
This figure could have been 42.5% higher (with OA) = 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
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22. And for individual scientists….
Diamond, A M (1986) What is a citation worth? J. Human Resources 21, 200 (
Marginal value of one citation is USD (depending on field and number of citations: an increase from 0 to 1 citation is worth more than from citations)
Update for inflation (170%) = USD
Convert to rupees = INR
Now let’s look at one Indian scientist’s situation….
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25. 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!!!
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26. Two ways to provide Open Access
Publish in an Open Access journal
Deposit copies of published articles in an Open Access repository (‘self-archiving’)
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27. 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
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28. Open access journals in Asia
Approximately 130
About 90% are learned society journals
India, Japan and South Korea have most
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29. 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
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30. Open Access repositories
500+ worldwide
Open source software (e.g. EPrints from Southampton University)
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31. 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)
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34. 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
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35. CERN preprint archive
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37. 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
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38. Overall self-archiving activity level
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39. An institutional repository provides researchers with:
Secure storage (for completed work and for work-in-progress)
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40. 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.”
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41. 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
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43. 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)
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44. What discourages self-archiving?
“ I worry about copyright infringement”
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45. Publisher permissions
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46. Publisher permissions (journals)
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47. Publisher permissions
92% of journals permit self-archiving
SHERPA/RoMEO list at:
Or at:
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48. What discourages self-archiving?
“I worry about copyright infringement”
“It will be too difficult”
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50. What discourages self-archiving?
“I worry about copyright infringement”
“It will be too difficult”
“It will take too long”
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52. What discourages self-archiving?
“I worry about copyright infringement”
“It will be too difficult”
“It will take too long”
“My society may suffer”
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53. 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
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54. “How many subscriptions have you lost as a result of arXiv?”
APS: “None”
IOPP: “None”
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55. “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.”
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56. 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)
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58. What can encourage self-archiving?
Highlighting the increased visibility and impact
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60. What can encourage self-archiving?
Highlighting the increased visibility and impact
Requiring authors to self-archive
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61. Author readiness to comply with a mandate5%
14%
81%
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62. 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)
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64. (Data courtesy of Arthur Sale)
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65. (Data courtesy of Arthur Sale)
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66. (Data courtesy of Arthur Sale)
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67. (Data courtesy of Arthur Sale)
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68. 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
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69. The developing world… Brazil is well ahead India is moving fast
China now developing a policy
Pakistan has built its first national repository
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70. Other drivers for Open Access
Data sharing stipulations
E-science
Interdisciplinary research
Scientometrics
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72. 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
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73. 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)
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74. Wellcome Trust:
World’s largest private funder of biomedical (and allied) research
Spends c£400million ($700million) per annum
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75. “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

76. Wellcome Trust
Issued a Position Statement on Open and Unrestricted Access to Published Research
Amended its Grant Conditions accordingly
Effective 1 October 2005
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77. 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)
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78. 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
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79. Publisher reaction?
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80. Readiness to comply with a mandate
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81. Thank you for listening
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