1. Publishing Trends: Open Access @ the University of Florida
Presentation to IDS 3931: Discovering Research and Communicating Science
October 21, 2010
Introduction.
Office of Academic and Scholarly Outreach: scholarly communications & open access, coordination of library instruction, and participation on the library in other campus programs
Background: BA, MS in LS, library career, academic career, PhD – public policy and administration
Asst Dean for Academic Affairs, GSLIS UIUC

2. 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
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 publishing their research findings so that they are available to the wider academic community (such as university academics) and beyond.
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.
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
Basically, we are talking about both the process of communicating—the means—which might include attending conferences, blogging, and even tweeting, and also the product of the communication—the conference proceedings, the blog, the tweets, and so on
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!

3. Objectives To define open access
To learn differences between OA and conventional publishing models
To understand :”public access”
To be aware of international & national statements and mandates
To be able to explain local UF Initiatives
Institutional UF, UF Open Access Publishing Fund, and policy
Open Access Week 2009 & 2010
To define open access
To learn differences between OA and conventional publishing models
To understand :”public access”
To be aware of international & national statements and mandates
To be able to explain local UF Initiatives
Institutional UF, UF Open Access Publishing Fund, and policy
Open Access Week 2009 & 2010

4. Open Access Defined OA literature is free of charge to readers
Unrestricted
free of most copyright and licensing restrictions
and requires the consent of, or attribution to, the author or copyright-holder
Digital
Online
Let’s define OA: what are some of the characteristics of OA?
Open Access literature is digital, online, free-of-charge, free of most copyright and licensing restrictions and requires the consent of the author or copyright holder.
The basic philosophy behind OA is a belief that by making research easier to access and open will make research itself more efficient and increase the total research output.
Peter Suber, Focusing on open access

5. Why OA is so Important to Researchers
Research is published faster and freely available online
Gives research timely visibility, wider readership, higher citation rates, and greater overall impact.
Barriers to access are having a significant negative impact on research
Timely, open, online access to the results of federally-funded research in the US will significantly increase the return on the public’s investment in science
IMPACT
There are significant trends in publishing that are supporting the open access movement:
As the creator of content, you want to share your work, you want it to be readily available to make an impact. And you want to be recognized for it. OA benefits the author because articles are published online and made available much faster than those in traditional proprietary journals.
OA gives increased visibility to research, because the publication process is:
Fast
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
Overcomes the barriers: even well-funded research libraries cannot afford all of the published research out there; developing countries can’t afford much at all. And these barriers are having a significant negative impact on research.
All of these benefits lead to:
Higher citation rates (P & T)
Greater research efficiency through early discussion of findings and engagement with other scholars
Facilitation of international and interdisciplinary inquiry and collaboration
Overall, YOUR RESEARCH PUBLICATION CAN HAVE GREATER IMPACT
And, because of this, some of you, and many of your colleagues, have already published in open access vehicles or edit or publish an open access journal.

6. Global and National Initiatives
3 basic statements: Budapest (02), Bethesda (03), & Berlin (03)
UNESCO: for the benefit of global knowledge flow, innovation and socio-economic development
2008 NIH mandate
2009 introduction of Federal Research Public Access Act (FRPAA)
Other funding agencies also: Wellcome Trust and Canadian Institutes of Health Research
3 basic statements:
1st: Budapest Open Access Statement (2002): is a statement of principle, strategy, and commitment to open access.
2nd: The Bethesda Statement on Open Access Publishing (April 2003) aims to stimulate discussion within the biomedical research community on how to proceed, as rapidly as possible, to the goal of providing open access to the primary scientific literature.
3rd: The Berlin Declaration on Open Access to Knowledge in the Sciences and Humnanities (Oct. 2003) moves beyond knowledge to include cultural heritage, and beyond primary literature to include original research results, raw data and metadata, course materials, digital representations of pictorial and graphical materials, and scholarly multimedia material. 
UNESCO: has come out in support of OA for the benefit of global knowledge flow, innovation and socio-economic development.
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. Even though some publishers automatically submit articles they accept, it is the investigator’s responsibility to ensure this is done . It is the investigator’s responsibility that the author’s agreement with the publisher is in compliance with this regulation.
FRPPA, which is now 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.
Other funding agencies
Wellcome Trust and grant recipients from a number of British funding sources must submit manuscripts or copies of peer reviewed research articles to UKPMC. Manuscripts of peer reviewed research articles by recipients of funding from the Canadian Institutes of Health Research must be submitted to and made available via PubMed Central Canada within 6 months of publication.
In addition, some countries—notably Sweden and Denmark—are in the process of construction national open access policies.
Assignment: Those interested in Health Sciences raise your hands: individually go to the OA Guide, Health Sciences Info tab [show Guide- 1 min]. To either the FRPPA or NIH policy, read and record briefly what it declares--who constructed the statement, what it requires or advocates, why—the rationale.
Those others: go to the Declarations page, and choose one of the 3 statements or UNESCO and be prepared to report to class.

7. OA in Peer Institutions
Many research universities have Open Access policies, encouraging or mandating faculty to submit peer-reviewed articles to Institutional Repositories.
Some top-tiered Universities have OA publishing funds
While universities have taken various approaches in regard to specific policy, there is a growing number of leading research institutions that have Open Access policies -- 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.
The growing number of policies indicates that the question is not if UF will have an Open Access policy, but rather what kind policy we will adopt and when it will be implemented. In fact Harvard has accepted the mantle to spread knowledge to society—that its mission is to provide public access to research for the public good.
With the hiring of the new Scholarly Communications Librarian at Smathers Libraries, this will become a top priority for here at UF.
For listing of OA (academic) repositories, see the Registry of Open Access Repositories Institutional Policy Map (ROARMAP)

8. The Imperative for Open Access
Concept of “public access”: taxpayers, federal agencies, and universities pay twice for funded research
High costs of journals are now unsustainable
Barriers to access are having a negative impact on research
While there are many attractive features of OA for researchers, there are other factors that indicate the importance of OA. Respected scholarly studies now indicate that the barriers to access are having a significant impact on research, and that the commercial publishing model is not in the interest of scientists or the public.
As Senior VP Dr. David Guzick has recently written, there are at least two fundamental problems with the pricing and cost of scholarly journals:
First, Universities, the federal government, and the taxpayer pay twice for scholarly research under the current model because they pay for the production of the research at the university through federal grants, and then they pay again for it in the form of scholarly journals. What happens is that most research is publicly-funded by national agencies and public universities, but then is given away freely to the marketplace, and then the public must buy it back at exorbitant rates, and even then the public doesn’t “own” the material and it can lose it. This is a barrier to PUBLIC ACCESS, and not in the interest of the common good”. In fact, both Sweden and Denmark are proposing national open access policies, and of course open access can greatly help developing countries.
The research is publicly-funded, the public has a right to it:
By taxpayers through funding agencies
By universities that pay both the researchers and the peer-reviewers (peer review for the commercial publishers for free!)
Moreover, many of this research is based on clinical trials—people have sacrificed to participate to further research and knowledge in areas of interest to them—life-and-death interest; also not fair to deny them the results of their efforts.
Second, despite digitization of conventional journals, which decreases the cost of production, the price of scholarly journals for university libraries has far outpaced the consumer price index in part due to the licensing-fees and annual price increases stipulated by contracts. Median expenditure of ARL libraries on serials increased from $4.4 million in 2000 to $7.1 million in The Cost of the Journal of American Medical Association (JAMA) to UF increased from $365 in 2003 to $12,105 in 2004 because of the shift in pricing model. Especially in the age of flat and decreasing budgets, this is unsustainable and has a disproportionate impact on the purchase of books which are cut disproportionately to enable the university to maintain journal subscriptions.
Basically, the current proprietary model of information ownership is both an unsustainable economic model and untenable public access/public good model.
See “Overcoming barriers: Access to Research Information” an analysis of five studies of access done by the U.K.’s Research Information Network. Pdf files of the report are available at: Harvard Provost, Steve Hyman lists the high cost of journals as hindering access even at Harvard’s libraries which have been forced to cut journal subscriptions (“Occasional Pamphlets” See also Guzick, “On the Same Page Open Access Publishing Part 2—Transforming the Model of Scientific Publishing”
(Tom Walker, Open Access Presentation 15 April 2009.

9. Open Access: 2 Primary ways to Participate
Self-archiving in a repository – green OA
Publishing in an open access journal or monograph – gold OA
Self Archiving in a repository: institutional repository (university-wide, or departmental or college, or disciplinary
Publishing in an open access journal.

10. Steps Toward Open Access @ UF
Promotion of the UF institutional repository
Establishment an OA publishing fund
Creation of a faculty-driven university-wide OA policy
The University Libraries Committee supported the development of an infrastructure to support OA, notably: the creation of the UF institutional repository with a user-friendly submission tool AND, with the assistance of the provost and academic deans, the establishment of an OA publishing fund. Some of the other top-tier universities with OA publishing funds: Cornell, Dartmouth, Harvard, MIT, U. of Berkeley, Columbia, AND UF! We can be very proud of our university leadership in this area.
Therefore, basically, these are the two ways to participate in OA publishing at UF:
Depositing your work in the UF IR—the portal to our university’s research and creativity, and
Publishing in an open access journal, and receiving supporting funds from the UFOAP.
Eventually we will arrive at the creation of an OA policy. However, no policy can be effective unless the faculty understand and support it, this is, unless the university views OA as part of its mission, and faculty it treat as standard operating procedure.

11. The gateway to UF’s research and scholarly output
The Institutional Repository at UF
The gateway to UF’s research and scholarly output
The Libraries established and supports the Institutional Repository in order to offer a central location for the collection, preservation and dissemination of the University of Florida’s scholarly research and creative production along with historical materials from the University.
Increasingly, major research universities are creating similar digital archives to preserve and showcase the intellectual output of their universities. It is a service to faculty to help promote and preserve their research.
Show website and hand out brochures

12. The IR@UF at 1 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
The 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 now has 1,059,525 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.

13. Why Scholars Participate in the IR@UF?
To share research through:
A permanent archive with stable links
An open access repository compliant
with digital library standards
Why participate in the
It allows you to share your research openly with scholars around the world, regardless of affiliation.
The consistent, stable links to the materials are ideal to use on a researcher’s own website, CV, or to distribute in other promotional materials.
The utilizes repository and digital library standards, to facilitate citations and links to the work via the UF Digital Collections, library catalog,
Accessible through UF DLC search, library catalog search, Google and other search engines. 
The material in the can be found via UF DLC search, library catalog search, Google and other search engines. 
It also provides a permanent archive for preservation, independent of the publishers.
AND IT IS A PORTAL TO, AND SHOWCASE OF, UF SCHOLARLY OUTPUT AND RESEARCH

14. Self-submittal Tool a
The self-submittal tool makes it easy to upload materials to the Institutional Repository. The entire process from sign-on to viewing your submitted item is only four minutes!

15. Demonstrating Self-Submittal
One-Minute Video
Demonstrating Self-Submittal
There is a concern among researchers/faculty that self-archiving is time-consuming. It’s NOT, only takes a few minutes, and so easy.
There is a one-minute video available from the website that demonstrates the self-submittal tool.
4 minute tutorial available on the IR Home page.

16. Publishing in an OA Journal
OA journals are different:
free of charge to readers,
unrestricted and
online
different funding model
quality control
commercial publishers respond with hybrid journals
The second way to participate in OA publishing is through OA journals.
What is an Open Access Journal?
Defined: OA journals are scholarly journals that are freely available online to readers with access to the Internet.
OA journal publishers use a different funding model: freely available but not “free”; instead of charging readers or their institutions (e.g., libraries) for access, charges are transferred up front.
OA journals charge up-front article processing fees – usually the responsibility of author, but covered by research grant and/or employing institution.
OA journals and P & T considerations (reservations):
Quality control: important point
OA journals are increasing in number and quality every day: see DOAJ [all have peer-review or editorial control]. DOAJ has over 5,000 journals.
It is important for you to make sure that the OA journal offers the necessary quality control of a peer-reviewed system: see DOAJ (e.g., BioMed Central, PLoS journals)
Legal issues: increasingly, proprietary journals allow authors to post their articles to the IR [There is a website that tells you journal policies on this: .]

17. The UF Open Access Publishing Fund The 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.
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.
Articles that comply with the eligibility criteria will be funded on a first-come, first-serve basis.
Show website and hand out brochures

18. Pilot Project Began July 1, 2010 Lasts 18-24 months
$120,000 provided by Provost
Does not replace grant or other funding
for open access publishing
The pilot project began on July 1, 2010 and one award has been provided.
$120,000 was provided by the Provost for months.
The funds do not replace grant or other funding. Researchers should be encouraged or reminded to include Article Processing Fees in their grants.

19. Eligible Authors Eligible Articles UF faculty, staff and student
authors and co-authors, including
post-doctoral researchers
Eligible Articles
Peer-reviewed research articles in
Open Access and hybrid journals
Eligible authors include any UF faculty, post-doctoral researcher, staff member, or student author.

20. Funding Levels academic year for publishing in open access journals
Maximum of $3,000 per author per
academic year
Up to $3,000 per article to cover fees
for publishing in open access journals
Up to $1,500 per article to cover fees
for open access publishing in paid
access (hybrid) journals
Eligible Articles include peer-reviewed research articles.
Up to $3,000 per article to cover fees for publishing in open access journals.
Up to $1,500 per article for open access fees in commercial (hybrid) journals.

21. Eligible Publications
Open Access Journals and Paid
Access (Hybrid) Journals listed in
the Directory of Open Access Journals
and/or compliant with the Open Access
Scholarly Publishers Association’s
Code of Conduct
Hybrid journals, BTW, are those that provide some but not all of their articles in open access. Doesn’t change the commercial economic model. In fact, just one more paymentot make it OA. OF course the publishers love that!
Eligible Open Access Journals include those listed in the Directory of Open Access Journals or publishers that hold membership in the Open Access Scholarly Publishers Association and/or are compliant with the Association’s Code of conduct.
The DOAJ is now up to 5,500 journal titles and is adding on average 3 new titles a day.
BTW, as of July 1st, we have become a supporter member of BioMed Central, and all UF researchers automatically receive a 15% discount off the “article processing charge” when their article is accepted for publication.
Assignment: [handout scrap paper] go to the DOAJ and find one journal in your area of interest.
title, who is the publisher?, what keywords are used to describe the journal? About the journal, articles in the most recent issue?
Hand in with your name at the top.

22. Application Process
The application form is on the OA website with the policies and procedures at
Submit the completed application form and publisher invoice to the Libraries for payment.
Requests for publisher payment may be made as soon as an article is accepted and an invoice for publication charges is received.
The researcher completes our online application form and prints it out for their signature, and submits the application with the publisher invoice to the Dean’s Office. I receive it, and once funding is approved, I send a notices to the submitter and the department chair. Payment will be sent directly to the publisher.
To date, we have disbursed $6,650+ [to be updated] from 5+ [to be updated] applications to benefitting 33+ [to be uddated] UF researchers—faculty and students.

23. You are invited to:
Participate in the and the Open Access Publishing Fund
Attend the Open Access Week 2010 program: Wednesday, Oct. 20th, 1:00 - – 4:30 p.m.
Please take advantage of the University’s open access publishing strategies, specifically the and the UF Open Access Publishing Fund.
We want to emphasize that we are providing researchers and scholars with a broader choice for their publishing, and we support their choice to publish open access.
OA Week 2010: October 20th [hand out program schedule]

24. Managing Your Copyright
Copyright is?
Managing your copyright
Negotiate!
This is necessary to use your own research in future teaching, research, and collaborative efforts
Copyright: a bundle of rights, including the right to reproduce, distribute, make derivatives, perform or display
You are the copyright holder of your work unless you transfer the rights.
Copyright can be given away in writing only.
We own our work until we sign it away.
Managing your rights:
Unfortunately, most standard publishing agreements require a transfer of full copyright, resulting in giving away your copyright and rights to your own work, thereby limiting your future use of your own work (i.e., limiting you to “fair use” of your own work).
Actually, publishers really only need the “right to first publication”
You can grant permission to publish your article without a wholesale transfer of your rights to the research.
Summary:
If full rights are retained (through OA), then your use is limitless within the law
If some rights are retained, then your use is within the limits of the negotiated rights
If no rights are retained, then your use is limited to “fair use” only.
You can negotiate your contract or use an addendum or a Science Commons licensing agreement.
You can also publish your own work with a Creative Commons license that can grant different permissions of use; see:
Currently, the Science Commons Use-Reuse Addendum serves as the instrument of choice for negotiating author’s rights with publishers.
You can retain sufficient rights to post a copy of the published version of your article (usually in pdf form) online immediately to an open access site--a site that does not charge for access to the article.
Even if you’ve signed over your copyrights, traditional journals are increasingly allowing authors to post their research to a repository. Increasingly, proprietary journals are allowing authors to post their articles to the IR. [There is a website that tells you journal policies on this: .]

25. Summary What is open access? What are Open Access Journals?
What is the difference between open access publishing and conventional publishing?
What are two ways to participate in OA on campus?
What is open access? Free, unrestricted, and online access
What are Open Access Journals? Journals that provide research articles free of charge to the reader, unrestricted, (attribution required), and online
What is the difference between open access publishing and conventional publishing? The payment model is moved from the reader/institutions to the author at the time the article is approved. Most grants or institutions will pay this fee, and it is also often waived or not charged to begin with
What are two ways to participate in OA on campus? Self-archiving (green) and open access journal publishing (gold)

26. Open Access Project
Create a multimedia presentation on OA from the student perspective (up to 2 min) OR
Write an 8 – 10 page paper on the history of OA from 3 perspectives:
Publishers
Librarians,
Researchers
Deposit this in the
With a partner, create a multimedia presentation that shows your personal perspective on
Open Access as a student researcher. This video should be 2 minutes or less and must be
uploaded to a video sharing site such as Vimeo, YouTube, or Blip. OR
Write an 8-10 page paper detailing the history of the open-access debate from the point
of view of the main three stakeholders (publishers, librarians, and researchers).
Purpose: Explore in depth the controversial topic of open access through scholarly and
popular literature. Gain an understanding of the complexity of the topic.

27. Questions? Dr. Isabel Silver Academic and Scholarly Outreach isilver@ufl.edu 273-2524
Please contact me, or any member of the Open Access Task Force, if you have any further questions or comments on our efforts.
This presentation is also available on the staff guide.
In closing: I want to thank you for your attendance today, and your interest in OA. It is your enthusiasm and outreach that can make a difference, and we really appreciate. Thank you very much.