2. California Digital Library Whither Open Access Publishing? Catherine H.Candee Director, Publishing and Strategic Initiatives University of California, Office of the President Catherine H.Candee Director, Publishing and Strategic Initiatives Office of Scholarly Communication University of California

3. Outline I.Trends in Scholarly Publishing; some evidence of changing attitudes and behaviors II.A case study: UC’s digital publishing program: a library and university press collaboration III.Lessons and opportunities for university and research libraries

4. I. Trends in Scholarly Publishing

5. Universal issues in schol comm Opportunities of networked digital technologies Diminished purchasing power of research libraries Diminished earning power of university presses Pricing structures of commercial publishing industry Control of faculty output and management of university’s digital assets

6. Evidence of change Transformation of manuscript production and submission Proliferation of online books, journals, papers, data; many open access 2,340 open access journals in DOAJ 8/2006 496 registered open access repositories in DOAR 8/2006 Studies showing greater visibility and impact of OA articles (e.g., PNAS in 2004)

7. More evidence Experimentation with OA journals by publishers and societies (OUP, Nature, etc) Funding agencies mandating OA for results of funded research (Wellcome Trust, JISC, NIH…almost) Intensification of discussion of ideas with faster and wider dissemination of work Greater concern with access to primary data, for verification and further research (NSF, etc

8. But problems persist The crisis reduces the university’s access to scholarly materials and limits the dissemination thru traditional means The crisis inhibits publication of worthy scholarly material and leaves many faculty unable to publish a first monograph The tenure system rewards traditional forms of publication and makes faculty reticent to endorse alternative publishing forms that might support their publishing needs

9. Faculty attitudes and behavior Faculty across disciplines have embraced new forms of research and communication for “in- progress communication” (King 2006)…to establish one’s name, to test one’s ideas in the scholarly “marketplace” and to stake a claim on ideasKing 2006 Paradoxically, these same faculty felt compelled to publish in traditional formats in order to satisfy the requirements of the tenure rewards system

10. II. A Case Study: UC’s digital publishing program: a collaboration of The Library and University of California Press

11. Why tackle scholarly communication at UC? A question of scale 34 million items held by UC; shared collection development strategies constrained; redirect funds from redundant print collections UC serials expenditures > $20 million, even with economies of scale 50% of budget for online materials are for journals receiving only 25% of the use. UC faculty > 13% of senior editors at top 2,000 journals and a significant % of authors

12. CDL formed in 1997 Collections include more than 230,000 online books, 8,000 scholarly journals, 4,500 statistical files, as well as 250 A & I databases, and over 500,000 digital surrogates for works in art & architecture Tools enable the creation, capture, organization, customization, annotation, presentation, and long- term management of persistent, interoperable, and high-quality digital information Services encourage the effective adaptation and use of CDL tools in scholarly publishing; content capture, aggregation and site building; digital preservation

13. CDL’s Publishing Program Provide low-cost, alternative publication services for the UC community Support widespread distribution of the materials that result from research and teaching at UC Foster new models of scholarly publishing

14. A short history of change  Enable faculty-led experiments with new publishing technologies (2000) Build generic infrastructure (2001) Find efficiencies; collaborate w/Press (2002) Enable peer-reviewed publishing; support tradition (2003) Return to faculty, determine real needs, behaviors and trends (2006)

15. Publishing Services Scholarly Publishing Services Scholarly Monographs Peer-reviewed journals Dissemination & Repository Services Working papers, Technical reports, etc. Seminar Series Postprint Repository New Publishing Models Hybrid publishing programs, distributed Ed Bds Digital Critical Editions

16. Scholarly Publishing Services Monographs eScholarship Editions 2000 books on art, science, history, music, religion, and fiction… Hybrid Access: 1500 open to all UC faculty, staff, and students; 500 books open to the public. UC Publications in Zoology, etc highly specialized book- length works published by UC Press in UC’s Inst. Repository. Publishing is open to all qualified scholars. Page charges required from non-UC authors. All books Open Access Peer-reviewed Journals Open Access Peer Reviewed Journals published directly by University of California faculty-based editorial boards University of California Press Journals subscription-based electronic journals

17. Dissemination & Repository Services Working papers, pre-prints, technical reports: free, open-access publishing infrastructure provides UC departments direct control over dissemination of scholarly materials… Seminar Series: full-text versions of papers and supplementary materials from graduate seminars, lecture series, and colloquia sponsored by UC faculty. The Seminar Series includes the schedule, the list of speakers and lecture topics. Postprint Repository previously published material by UC faculty authors

18. New publishing models GAIA Global, Area and International Archive collaboration of UC faculty/CDL/UC Press, publishes papers, peer-reviewed articles, volumes & monographs in the repository; UC Press produces print editions Mark Twain Project a collaboration of the Mark Twain Papers, UC Press, and CDL; aims to provide unprecedented access to manuscript and critical editions of all of Mark Twain’s writings

19. CDL’s Publishing Infrastructure Two main publishing platforms in our search for sustainable, alternative models: eScholarship Repository: Library/faculty partnership; enables greater faculty control over publishing & dissemination eScholarship Editions: CDL/University Press partnership to extend publishing capabilities and experiment w/new roles

20. eScholarship Repository Full spectrum publishing platform: pre-prints and reports, peer-reviewed articles, edited volumes and peer-reviewed journals Existing university structure: research units and departments are gatekeepers; editorial and administrative functions distributed High adoption rate: >200 UC academic depts. and units on 10 campuses, labs and the Office of the President; 13,644 papers, articles, books High usage rate: > 3.5 million full-text downloads to date; 66,159 per week during Spring 2006

38. PostPrints Repository Allows universities to capture and manage pools of content; allows development of new third-party value- added services (and may help end the fight over control of content) Takes advantage of liberalized “reprint” (i.e., postprint) policies by publishers Individual authors may submit or assign proxy Citations harvested by library and mailed to faculty member for auto-upload of metadata Discovery, resolver, linking services badly needed

42. Mandatory Deposit at UC? Proposal introduced at UC by system-wide Academic Senate in April 2006 All UC faculty would, by default, assign a non- exclusive perpetual license to the Regents of the University of California for management and preservation of their scholarly output. Legal and policy language is being developed Copyright addenda, operational services are being developed by the library for Sept 2007 The university will pay for infrastructure and service.

43. OA Peer-reviewed journals All titles fully Open Access Faculty controlled Editorial Board required Review process explained on site Fully automated editorial processed Permanent identifiers Articles can never be removed

49. Search within and across journal

50. Peer-reviewed works are flagged

53. (Other) Peer-reviewed works Edited volumes Monographic series Article collections Re-formatted monographs

61. eScholarship Editions CDL-UCP partnership: book-length publishing (nearly 2,000 TEI-compliant XML-coded UC Press monographs), available to all UC faculty, staff and students, with select titles available to public Publishing goals: Streamlined work flow; opportunity for content delivery in multiple formats from a single, master XML file Usage goals: Flexible and robust display - Finding new ways of serving up information that better fit the research and pedagogical needs of faculty and students (CDL’s in-house XTF technology)

69. But wait…Why XML? What are the services we should be offering through eScholarship? How does XML affect functionality in a significant way for scholars, teachers, students, libraries? Do the advantages of the technology justify the resources required for building and supporting it?

70. XML and the Scholarly Edition Convergence of XML-TEI tech capabilities and textual criticism Extending the work that a scholarly edition can do and the kinds of research it can support

71. Mark Twain Project A new dimension of CDL’s scholarly publishing initiatives Expansion of the critical edition as a scholarly tool A prototype for responsible and sustainable digital critical editions A node of intersection between technology and the humanities

72. MTP: The Collaboration Mark Twain Papers and Project Encoded Texts and Data (TEI-conformant XML, Data Cleanup, METS Generation) UC Press Business Plan (Rights, Marketing, Imprint) CDL Publishing Services (Information Architecture, XTF, HTML/CSS)

73. MTP: Core Technologies

74. XTF – eXtensible Text Framework

75. XTF Functionality  Search using Boolean commands, truncation/wildcard operators, and exact phrases  Perform structure-aware searching (e.g. search only this chapter) and view search terms in context  Browse hierarchical facets  Performance: XTF at CDL ~ 200,000 objects up to 15 Mb in size: 90% of queries are under 1 sec. latency, 99% under 2 sec latency

76. MTP Functionality  Simple keyword search across entire corpus  Long works, letters: searchable and browsable within and across TEI files  Exposure of facets on query results pages  Alternate view options: Clear text, explanatory notes, textual apparatus

77. Launch: Fall 2007

78. Many Questions before launch Revenue model: Site will be Open Access; NEH pays for digital publishing (editing and mark-up) going forward. UC Press will publish print editions of select works, e.g., Autobiography. Ongoing support of site? Scalability? Structure of collaboration, post-launch; what is CDL’s ongoing role?

79. III. Lessons and Opportunities for University, College and Research Libraries

80. Insights from eScholarship The structure of the literature and the specific culture of a discipline will decide how technologies will be adopted and when they will be transformative. (Economics working papers vs ACLS History eBooks) Books are read in a linear fashion because of the way our minds work; don’t try to atomize everything just b/c it is technically possible. (GAIA multi-tiered publishing program) Absent a mandate, author behavior changes very slowly. With a mandate, author behavior changes …slowly. Target services according to the university or nat’l situation; market services to the points of pain or need of scholarly and researchers. Faculty are busy. (NL vs US)

81. Lessons for libraries 1) Work on all fronts: policy, purchasing, publishing 2) Enable, don’t prescribe 3) Use technology where needed, i.e., for speed & efficiency if traditional formats dictated; for pushing boundaries if the technology can stimulate or unleash new forms of research & communication 4) Keep R&D separate and bounded 5) Tailor business model to discipline, genre, and technical/e-commerce capabilities

82. Lesson 1: Work on all fronts Purchase carefully; don’t support high prices & restrictive publisher policies Support transformative models, e.g., PLoS, Stanford Encyclopedia of Philosophy Educate faculty w/r/t mgmt of their rights and scholarly output, i.e., where they publish, what they use and cite

83. Lesson 2: Enable, don’t prescribe Disciplines, even sub-fields, have their own culture. Know your users so you can understand their publishing needs. Test services widely; listen to feedback Develop services that can meet the broadest range of users; no “one-offs” Keep up on technology trends; be ready

84. Lesson 3: Use technology wisely Go for speed & efficiency if traditional formats are dictated (UC Press books) Push boundaries if the technology can stimulate or unleash new forms of research & communication (MTP) Develop flexible tools & infrastructure Keep R&D separate from Production

85. Lesson 4: Preservation Born-digital scholarship is proliferating, often without a print analog or adequate processes for digitally preserving it. Plan for preservation from the start. Research and scholarly products must be managed in trusted repositories, in the academic/non-commercial sector. The university has a stake in ensuring the long term management of the products of research & teaching– its primary activities

86. Lesson 5: Tailored business model  Consider your administrative, technical and e- commerce capabilities. Don’t lose money trying to figure out how to capture revenue. Start-up projects often begin with a funded prototype. (Mark Twain)  Tailor business model to service and discipline; culture and current pricing structures influence expectations and attitudes (eSchol. Repository)  Consider collaborating with a partner with a business infrastructure; provide hybrid services so open access services can be bolstered by revenue generating services. (UC Press, GAIA, Mark Twain)

87. Last lesson Don’t be afraid to fail. This is a time of constant flux and some efforts are bound to fail. Failures are valuable. We learn from all of them. Some people get invited to speak to international gatherings of intelligent, interested people about those failures.

88. Thank you for your attention! catherine.candee@ucop.edu