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Open Access Symposium

UNT Gateway Center



opening remarks by UNT Provost Wendy Wilkins



Stevan Harnad

Designing the Optimal Open Access Mandate


critical distinctions:

-- request vs. require

-- deposit mandates vs. permission mandates

-- university mandates vs. funder mandates

-- university deposit vs. central deposit


Green OA = COPE, SCOPE 3


what is open access in a university…?

free online access to referred journal articles


why is it important?

because it's possible; the internet has made it possible

it's optimal for research


what are the benefits?

taxpayers that fund research should be able to access its results

the intended users of research should have access to it


anticipated costs to the university and faculty?

next to nothing

an hour's worth of keystrokes


what's next in academic info sharing on the internet?

metrics; the importance and impact of research are important, so metrics are big as measures of that usage and impact

commentary (on the research)


overview of other institutions, funders, policies


are there legal issues with international and/or collaborative scholarship/research?


how does this relate to UNT's push toward Tier 1?



Open Access is NOT:

-- copyright reform

-- publishing reform

-- peer review reform

-- digital preservation

-- "freeing knowledge"



this is about making articles freely accessible -- not the end of peer review or copyright; this is a supplement to classic peer review.  Green OA (not Gold OA) is about making access to already-published articles. archiving the author's final draft is preservation (but non-canonical draft)


knowledge comes in many forms, some of it proprietary, patent-based, confidential

open access is more modest than that

OA--it's about articles that appear in peer-reviewed journals specifically


free, immediate permanent, full-text, online access


about 2.5 million articles per year appear in about 25,000 peer-reviewed journals (all languages, countries)

not a single author wrote that article for revenue--so it's in their best interest if that information is read, accessed, used, has an impact

barriers to those articles is harmful to the researchers and progress of research

this isn't true for other publication venues / objects


university repository: deposit the final accepted draft of article before publication


types of OA:

-- Green OA: published in journal and deposited in OA repository

-- Gold OA: published in OA journal

-- Gratis OA: no price barriers

-- Libre OA: no price barriers, no permission barriers for re-use


the immediate practical implication of the Houghton Report: 40-fold benefit/cost ratio if all peer-reviewed research were self-archived by authors to make it OA


contributors to the OA Adnvantage:

-- Early Advantage - hastens and increases citations

-- Quality Advantage - top research, best quality benefits more; top 20% received 80% of citations

-- Usage Advantage - increases downloads

-- Competitive Advantage - OA/non-OA advantage (disappears when all is OA, but now it's very important)

-- Quality Bias - higher-quality articles are self-selectively self-archived (if you re ashamed of it, you won't make it easily accessible)


there's also user quality bias: if you have access to all content, you want to limit what you look at to the very best information


various ways to render data: summary data, simple analyses, complex analyses, monthly downloads graph, etc.


CiteBase Search

-- search by hit-rate of author, article, etc.

-- chronometrical: how citations/downloads grow or decay with time


question about revenue as a journal editor -- OA affect?

-- but this isn't about [publishing, this is about research)




David Schulenburger

The Research University Imperative to Distribute Scholarly Research


campuses should initiate discussion involving administration and faculty about their current practices…


present role of university in distributing faculty research = PASSIVE

publication - responsibility of faculty author

incentive - tenure/etc


electronic publication has often more limited access than the old print model, bizarrely enough

scholarly publication distribution is diminishing

audiences limited by ability to pay, or membership in an org which pays for access

ILL prohibited by contract for electronic journals (further limits access compared to print model)


OA not limited to articles; imagine access to all your university's:

-- faculty refereed publications

-- grant final reports

-- federally funded data sets

-- dissertations

-- theses senior honors papers

-- Centers & Institutes-related publications

-- available thru your university's digital repository


Alma Swan, citation advantage for OA


in physics: 25% of the citations occur *before* the articles are published



easier, more complete lit review

reduction of reinventing the wheel with already-conducted research (not related to replicability of research, though)


cost of HE shifting rapidly from state funding to student funding (tuition as larger portion of HE revenue)


a way to let the average citizen know the research occurring on their public university campuses, particularly research that interests them

if we make the public aware of this relevant research, and make it accessible and useable to them, we may see an increase in state funding priorities for HE

you can't argue for HE for the public good if you're not actually making that "good" available to the public!


your role: "insist that public goods remain public" (move from passive to active!!)

-- support the spread of NIH policies

-- support White House OSTP public inquiry

-- support Cornyn/Leiberman's Public Info Act




R. Michael Tanner

Disruptive Transformations and Open Access


technology is going to force us toward OA or some new model


Moore's law is about to run out

-- we're running into barriers increasing processing speed; so now we're using multiple processing cores to go faster

-- storage densities continue to follow Moore;s law


-- he argues that all print will disappear in the manner that digital cameras have effectively replaced film cameras and printed photographs (use photos online, social media, etc.)

-- print media is dwindling because of the convenience and flexibility of digital media (mobile platforms, etc.)

-- info saturation; how do we filter to the most relevant and useful content?


Big moments in written communication:

papyrus, scribes, portable media

invention of printing, China, 11th century

printing press, Gutenberg, 1450

offset rotary presses, around 1900

internet, 1990s


Music progressiont o digital:

vinyl to CD to peer-to-peer to iTunes



film to DVD to on-demand to downloadable


what economic model could sustain newspapers? (print sub. to online sub. to "free")


value of communications:

-- value to receiver

-- value to sender

-- love letter = high cost and high value to sender and receiver

-- targeted ads = high value to provider, low to receiver

-- bulk ads = medium to provider, low to receiver

-- add-free newspaper = high to receiver, low to provider

-- high cost for high value in both areas; medium cost for only one high value area; low cost for low value in both

-- scholarly journal = ?


how do you monetize scholarly research?


convenience is big (less time, more information)


pre-print archives

self-publishing to the web

access mandates (compact for OA publishing entity)


NIH 12-month-access policy

OA journals

Google Scholar, Google Books


problems with the vendor package-subscription model when cancellation means no access to previous issues of journals (during years subscribed to the service)


long-term preservation of electronic journals (?) -- no clear answers here

-- pay attention to what you're going to archive

-- you can't archive everything


why give away your work as an author?

-- maybe you already don't get any direct economic benefit

-- broad recognition of your ideas is paramount

-- sharing knowledge is a moral imperative

-- for creative artists, you probably shouldn't give away your work


instead of having pro org members pay for journal subscription, up the org membership fees and encourage university to subsidize those memberships (instead of purchase a journal subscription)

journals with large audiences coud try an iTunes model

shift from "subscriber pays" to "author pays" (?)

who will pay for the OA model? (need a viable economic base)





Tyler Walter


Advancing Open Access Through Library Digital Services


Georgia Tech: SMARTech =  "Scholarly Materials And Research at Tech" (institutional repository since 2004)

-- D-Space

-- 3 systems analysts

-- network support specialist

-- server log analyzer for statistics

EPAGE @ Tech = Electronic Publishing


they are successful; spend a lot of time collecting content

high stats on usage and on number of items collected/made accessible

90% of the hits come from Google

30,000+ items

14,800+ theses/dissertations

1.4 million to 2.? million hits (2006 to 2008)


large list of varied types of content included in repository


they adhere to conditions of various publishers' copyright policies

authors retain rights to research materials archived in SMARTech

authors grant Georgia Tech a non-exclusive license to distribute and preserve materials for noncommercial, educational purposes


digital conversion:

-- various types of content, including government documents and technical reports

---- environmental impact statements

---- NTIS reports

-- conference proceedings

-- presidents papers (university presidents)

-- Archives / digital collections


Collection Policy & Development (drawn from university's strategic plan, those areas of focused research)


OJS/OCS digital journal/conference management software

software creates website, manages abstract/paper submission, etc.


conference hosting complements journals / OA repository

lecture recording service for campus scholarly events (turn-around =  14 days)


outreach and marketing

-- scholarly communication website

-- NIH training / brown bags

-- campus bulletins





David Eltis & Elizabeth Milewicz

Voyages: The Trans-Atlantic Slave Trade Database:

A Case Study in Transitioning to Open Access


key points:

-- online

-- open access

-- open source

-- secured thru preservation networks

-- collaborative


"never go on stage with a live animal, and never give a presentation with a live website"



-- qualitative & quantitative historic info

-- info on almost 35,000 slaving voyages

-- three major search methods on the database

-- this is a work of interpretation as well as a database

-- comprised of tables, timeline, and maps (interpretive maps, various themes such as overall geography of the slave trade)


three search methods/access points:

-- estimates of passengers on voyages

-- names of individuals liberated from slavery

-- list of individual slave voyages


can track individual sources of information on the database, as well


started in 1968 as a series of computer cards, then CD-ROM, then website/database


edits and data contributions from non-academics and other academics

public exposure to and involvement in digital scholarships

expanded audience

quick updates when online





Dwayne K. Butler (law degree; endowed chair for scholarly communication)

Copyright & Publication Agreements: Who Owns Your Work?

aka, "South Park, Gilligan's Island, and the Search for Meaning in Copyright Law"


mitigating risk! :)

the Professor keeps getting in the boat to escape the island, even though Gilligan keeps screwing up

he's choosing risk because the potential benefit is huge


South Park: episode where the internet dried up; seen now as a necessity (like water)


why is copyright important?

broad ("original works" fixed in a "tangible medium of expression")

life of author + 70 years

pervasive: governs dissemination & use of scholarship & creative work now & in the future


copyright's original purpose is to PROMOTE the progress of science and useful arts, by securing for LIMITED TIMES to authors and inventors the EXCLUSIVE RIGHT to their respective writings and discoveries

copyright was originally designed to promote learning, progress, discovery


automatic protection, even without registration, etc.



facts, ideas, expired works, statutory defects, government information/work


1834 Wheaton vs. Peters -- case about gov info and copyright

supreme court opinions -- commentator couldn't copyright it because access was required for an understanding of the law

decided as a policy point to create accessibility to enhance democratic process


exclusive rights

reproduction, distribution, derivative works, public performance, public display, plus "digital bonus"


possible copyright owners:

creator, work-made-for-hire (employer), copyright assignee, inherited copyright


academic world:

-- work-made-for-hire?

-- within the scope of their employment

-- institutional intellectual property policies may say faculty = copyright owners (of intellectual works)

-- patent may be different--depends


publication agreements at institution

there is legal effect from these agreements; good to look up and know your university's

"i hereby transfer, assign, grant, give…" (giving control to someone else)

"i represent and warrant that…" (deposit agreements)

"i hereby indemnify…"


think about how you will manage your rights:

-- an assignee = acquires all rights

-- a licensee = exclusive or non-exclusive?

-- contracts, publication agreements (they are enforceable)


things to look for:

-- a license gives you more control

-- if they won't publish it without becoming assignee, then see if you can add reservations:

---- copies for teaching

---- institutional repository

---- your website

---- other colleagues

---- derivative works

---- preprints / postprints


things you should do:

-- strive to avoid transferring copyright

-- read your IP policy

-- read your publication agreement

-- understand your rights

-- negotiate for better agreements

-- think about long-term possibilities

-- share your knowledge about this widely!!




Heather Joseph (SPARC, executive director)


Is Open Access Becoming the New Normal?


Directory of Open Access Journals

upward trend in OA

number of impact factors, citations, etc.

PloS one article: 83,000+ views; articles are rated

Open Access Scholarly Publishers Association


Confederation of Open Access Repositories

OA is one piece of a bigger whole: Open Data / open information

Open Educational Resources -- teaching community, curriculum, textbooks, course packs, etc.


"I propose the seeming paradox that in science, private property is established by having its substance freely given to others…"


copyright is a contract that can be negotiated for what you want to happen to your work down the stream


SPARC - digital author addendum creator

creative commons

licensing vs. copyright

appropriate type of agreement for a certain rights-management situation

JCP - now uses creative commons instead of taking copyright from authors


copyright policy page on Obama White House website; now accepts creative commons licensing

Harvard passed an OA policy

proliferation of national policies


"governments would boost innovation and get a better return on their investment in publicly funded research by making research findings more widely available… and by doing so, they would maximize social returns on public investments."

-- IOECD, Report on scientific publishing, 2005



remember WHY you're doing this--communication of ideas is the heart of scholarship



NIH's Public Policy

subcommittee on courts, the internet, and intellectual property

11th congress, 1st session, S. 1373, June 25, 2009

(proposed in senate, and more recently in the house)


OSTP Public Access Policy Forum


a set of homogenous policies emerging in the direction of greater access toward research, to increase the public good


May 5, 2010 America COMPETES Reauthorization Act

requests more investigation of these kinds of policies


Issues & Perspectives: Scientists Embrace Openness, April 9, 2010

initially this was a science-driven movement; they need more outlets to communicate their science and do their science

"Everybody makes mistakes. And if you don't expose your raw data, nobody will find your mistakes." Jean-Claude Bradley

the Open Science Movement as a driver for Open Access

Open Science Project, Open Science Grid, Open Science Foundation




Sanford G. Thatcher

What University Presses Think About Open Access


university press -- straddles academic and commercial publishing world

-- mission: driven to create new knowledge and communicate it to the next generation of students and scholars

-- but must remain viable as a commercial enterprise

-- most need to be subsidized on some level by the university (usually about 10% of their budget is subsidized)

-- various levels of association with the "parent" institution (Princeton had only a faculty editorial board, but no financial support)


pricing philosophies vary:

-- some make them cheaper to disseminate them wider

-- some make them more expensive to help cover costs


university presses strongly support "transformative" works as understood by 2nd court of appeals (not as understood by the 9th)




Karen Hunter (Elsevier)

Open Access From a STM Journal Publisher's Perspective


for Elsevier:

-- 7,000 employees in 62 offices in 26 countries

-- +1,800 journals, +20% publish peer-reviewed articles

--affil. with more than 500 societies

-- LESS than 50% of revenue from journals

(SMALL for an academic publisher)


what does a publisher do?

org. editorial boards

launch new specialists journals

solicit & manage submissions

manage peer review

edit & prepare MS's


publish & disseminate

archive & promote publications


call from researcher community for more functionality, and for more digitization

(this requires more from publishers)


publisher mission:

-- make a sustainable profit

-- make researchers more productive


thus, heavy investments in digitization/databases/etc since 1995

to digitize backfiles, 2,000 people and a new factory, $40 million


what falls under the umbrella of OA for STM?

author pays journals (pure golden road)

-- author fee per article published (sole way journal is supported)

-- subsidies, grants

sponsored articles (golden road)

-- pay article fee (option) after decisions to publish

-- 25% of all published articles are in journals that offer this option

delayed access (primarily health and life sciences)

-- embargo period, then articles freely available (DttP)

manuscript archiving (green road)

-- preprints on websites and repositories

public access; developing world access



-- pro Universal Access

---- want information disseminated and available to all

-- pro quality

---- emphasize peer review

---- quality of the research is essential

-- pro sustainability

---- need a well-functioning communications system

---- test a number of options

--- system must be sustainable for partners, too (universities, etc)


currently, 93% of researchers say that access is vary/fairly easy to get for 93% research journal articles

ease of access by content type compared to importance of access


less attention is paid to providing access to and preserving the DATA that the research articles are based on


her data on existing research articles / research quality is based on 1) surveys of research groups 2) on their opinion.

seems to me that this should focus on private-sector workers and citizens,

and on factual data about access, not anecdote and opinion


sponsored articles

450 sponsored-option journals (in Elsevier)

uptake has been minimal, only 515 articles did this in 2009

if these increase, Elsevier will reduce the subscription price to the journal(s)


delayed access

article usage over time; life sciences = more than 60% of use in the first year; social sciences = 35% of usage within first year

(one size does not fit all)

30 journals available after delay; delay periods vary


manuscript posting (author websites)

support this, but no third-party websites or systematic distribution


market perception of Elsevier's author posting policies: very cooperative


public access for patients & developing countries

medical literature available to any patient or relative of a patient (indicate this and register from Google search as a patient; article watermarked)

freely available thru Research4Life (UN programs)


UNT's proposed policy; Elsevier position

author posted and repository is no problem

would like to create written agreement with the specific institution


"web showcase"

provide comprehensive listing of all UNT-authors from Scopus/Elsevier (18,000 journals)

still in pilot phase





Deborah Kahn (BioMed Central, publishing director)

Open Access Publishing: Benefits, Challenges and Experiences


how gold OA (OA publishing) can compliment green OA (repositories)


OA publishing

all content is peer-reviewed

(207 journals at BioMed Central)

all content freely available on publication

authors retain copyright under a Creative Commons license

cost of publishing is often (not always) covered by an article processing charge (APC) usually paid by research funders or institutional funds (not truly an "author pays" situation) -- primarily from research grants

similar to broadcast television or radio: those with an interest in dissemination pays for content up front (those who are paying for the research); sometimes an APC is waived if an author/institution cannot pay


sometimes the journal itself will subsidize cost of each article


Green AND Gold OA are important

institutional repositories allow earlier OA to work under per review or in press

also provides access to unpublished research

OA publishing provides access to the final published version (VOR)


what do publishers do? (see Karen's press)

maximizes research impact and pace

manage peer review, dissemination and preservation (video, websites, data, etc.--more than the paper model!!!)

develop innovative content and tools

these all carry costs and use resources which need to be paid for


factors influencing author choice of journal:

prestige/perceived quality

perceived influence /dissemination of journal

(more here)


more authors choosing OA journals

up from 11K to 27K at BioMed from 2005 to 2009


OA journals are getting high impact factor/ranking in JCR

so therefore more authors choose to publish in them


also choosing to publish in OA because of high visibility

(more people can read your research!)


authors who can't pay, don't pay

90 poorest countries are automatically waiver

individual waiver requests are considered on case-by-case basis

(slide with summary fo their APC payments and membership types)


SWORD Protocol


automatic deposit to repository / OA deposit

pioneered by MIT

helps ensure increased coverage in Institutional Repository




Closing Speaker, Closing Summary

Clifford Lynch (director, CNI)


scholarship in all disciplines, sciences, humanities, performing arts, is all changing because of technology

and because of social demand for greater access, reproducibility

economics, technology are big factors


discussed variety of facets of OA today

going back to first principles… Dave's research joined with Cliff's in ARL…


big OA questions:

1) how should these institutions (research HE's) becoming more involved in the dissemination of their scholarship to the public, other scholars, society at large?  

-- there are UP's, mandates to faculty, library publishers, etc.

-- new tools are being developed; IR's (institutional repositories), alliances with public broadcasting

2) accelerating scholarship

3) increasing demand for access to scholarship

3) demand for accountability, particularly for publicly-funded research

4) other experts who are not traditional faculty or researchers, but highly-trained, valuable contributions to scholarship


think broadly about these questions and the opportunities before us, move toward greater access to scholarship


substantial image collections at university libraries

many institutions put up barriers to the use of this material

it's often too old to be truly copyrightable

still may be charging for this service or to make the images available

Cornell now has policy that images without active copyright will be made available for scholarly/academic purposes without charge


non-traditional materials that are part of the scholarly record:

conference proceedings

-- most large institutions host a large number of conferences per year; there is a lot of good and a lot of amateur work (grey literature status)

-- but also most innovative conferences aren't highlighted because they don't have a clear place

-- provide a platform for managing and preserving (and providing access to ) conference proceedings

-- these proceedings can often be obscenely costly afterward; this kind of access would be very helpful


lecture series (not class recordings, but university lecture series, etc.)

-- we should capture these and provide access to them

-- (iTunes University a good platform?)



-- there are a lot of disciplinary-specific data repositories

-- institutional repositories

-- laboratories and offices, critically at-risk

-- some included as "supplementary data" in journal publishing process

-- we need to think about preservation AND and data-sharing and data access policies

---- these will be at least as important as the policies about the journal articles that the data supports

-- some of the policy will undoubtedly come out of the funding agencies; these agencies are beginning to see the value of the data and want to see plans for what to do with data and how to preserve/share it

-- still very important for institutions to think about these issues


what about the fate of things that come after traditional journal articles?

-- like the slace-trade database, Voyages (also Valley of the Shadows, Romance of the Rose website, etc.)

-- partially source data, partially interpretive

-- many different uses, values (new forms of scholarly resources)

-- challenge: how to make them economically viable at scale

-- how to fund them on an ongoing basis (usually funded thru grants; short-term funding only, not sustainability)

-- institutions and research libraries will need to step up to support projects like these and sustain them long-term

-- used by public, K-12, theater, hobbyists, genealogists,--but predominate use is HE

-- keep these kinds of projects healthy & open; keep them uses without barriers


think about OA broadly and systematically -- think of it as an institutional commitment to the openness of scholarship




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