Open Access: Background, Process & Advantages Paper presented by Helena Asamoah-Hassan at the AAU /KIT/CARLIGH International Seminar on DATAD & Advocacy for Institutional Repository 16 th – 18 th March 2009, Accra, Ghana
OVERVIEW o o o o Introduction What OA is & is Not Brief History of Scholarly Information & OA Movements for OA Major Developments in OA Support for OA and its Policies Issues For and Against OA Unresolved Sustainability issues DOAJ & IR Obstacles for Access to Scholarly Information in Africa Relevance of OA to Africa What OA should do for Africa Conclusion 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Introduction… o OA is subject of discussions in recent times among stakeholders. o Several definitions but commonly used one is the Budapest Open Access Initiative. o OA has come in to save the situation of lack of scholarly information in libraries – high cost journals and reduced budgets of libraries. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Introduction… o Currently about 15% of peer reviewed journals are OA journals. o However OA is seen by some as economically unsustainable, whilst others do not agree. o Various business models have been devised to make OA sustainable. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Introduction… o Swan discusses the following business models: n n n Community advertising supported grant-aided or sponsored article processing charges Institutional membership 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Introduction… o Willinsky discusses other initiatives or variations of OA as Nine flavours : o e-print archive o unqualified o Dual mode o Delayed open access o Author fee o Partial open access o Per capita o Abstract o Co-op. o The debate on the life or death of OA is still on. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What is OA o Access to scholarly & research material, usually digital. o Free online access to published & peer-reviewed journal articles thru the internet. o Open Access is provided when a researcher - publishes an article in an Open Access journal. - places a copy of his article or research in an Open Access Institutional repositories (IR). o Consists of peer reviewed journal articles and conference papers, technical reports, theses, working papers. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What is OA o Budapest Open Access Initiative definition of OA: “By Open Access to literature, we mean its free availability on the public internet permitting users to read, down load, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited” www. soros. org/openaccess/ 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What is not OA o OA is not self publishing. o OA is not a means of by passing peer review procedures formal publishing. o OA is not a poor class publishing avenue. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Brief history of Scholarly Communication… o In the 17 th century (and even today) journals were an effective way of sharing scientific research with other scientists, so content of journals was (and is still is) extremely important. o No author paid or received payment for an article o Scientists read and responded to the published work of their peers and colleagues. o Costs were paid by patrons usually through subscriptions o Usually administration of publication was unpaid or built into subscription costs. o Academic Societies and Universities were usually the publishers. o Libraries were the places journals were made available to users in addition to individual subscribers. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Brief history of Scholarly Communication… o Even when the industrial revolution brought in its wake the rise of capitalism, this situation survived until well into the 20 th century even though there were slight changes like - formalisation of peer review - subscriptions became more important as a means of revenue than patronage of the journal. o Cost of subscription went up slightly. o Libraries continued to be the avenue for access to the publications. o The status quo remained. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Brief history of Scholarly Communication… o After 2 nd World War, Robert Maxwell of Pergamon Press started buying up academic journals and small university presses o He said his aim was to take over the “burden” of publishing & administration, “so academics could concentrate on research”. o He charged academics for publishing their articles “to pay for the administrative costs”. o He also took over author copyright. o Then prices went up, especially for library subscriptions o Authors and reviewers however remained unpaid. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Brief history of Scholarly Communication… o Outcome of this situation was that : o Maxwell and other commercial publishers made huge profits and enlarged their businesses o In order to be read, academics published in these expensive journals. o Research Councils funded research were published in this kind of journals, because everyone read them. o Library budgets that were rarely increased became more and more taxed. o Universities had very little control of their own research. o There was no alternative so academics accepted the situation because they needed an avenue to publish their research. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Brief history of Scholarly Communication… o The goal of authors is to communicate their scholarly works and make it accessible to all. o The status then was that authors and reviewers were not being paid for their work, but the cost of many journals kept going up and it was becoming difficult for the libraries of the authors’ institutions to subscribe to the journal in which the article was printed. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Brief history of Scholarly Communication… o Then things began to change! o The internet and world wide web came in, and non-journal scholarly communication began to use this to express ideas. o The Web brought in opportunities to publish in a new way, and a wide group of potential users who will have access to the information. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Brief history of Scholarly Communication… o Internet archiving initiatives like SPARC, OAI and ar. Xiv, then began to make it possible for research papers to be archived and shared with other researchers without any payments for page charges. o Libraries also began getting themselves organised into cost-sharing consortia. o Availability of electronic journals made it possible for people to think of publishing in open access journals since it has the same basics. o Then Libraries started giving up print journals in favour of electronic journals. o Some libraries went further to give up for-profit journals in favour of open access journals. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What brought about the changes? o Some studies carried out found out that articles in open access journals were more cited than those in for-profit journals. o Some public –funded bodies, like National Library of Medicine (brain behind Pub. Med since 1997), decided that results of research supported by public funds should be put in the public domain at no cost to users. o Then advocacy for Open access started becoming vigorous. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Movements for OA – Role of OSI o Open Society Institute (OSI) o It is a privately grant making foundation funded by George Soros. o It funds Programs in education, civil society, economic reform, public health, media, legal and information. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Movements for OA – Role of OSI o OSI held a meeting in Budapest in 2001 for leaders exploring alternative publishing models for scholarly communication to find a solution to the problems of access. o The participants decided that open access was the goal and agreed on two main strategies for achieving it: - self-archiving (development of institutional repositories); - open access journals as the alternative. o The decisions form the basis of the Budapest Open Access Initiative (BOAI). OSI’s Open Access Project is based upon the principles of the BOAI. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Major Developments in OA… o 2005 - Major health funders, US National Institutes of Health & Wellcome Trust, strongly encouraged selfarchiving of articles soon after they are published. o Research Councils began reviewing policies in favour of open access as follows: n 2004 Canada Social Science & Humanities Research Council n Research Councils UK reviewed policy on access to research outputs n 2006 (April) European Commission study on publicly funded research n 2006 (May) US Federal Research Public Access Act was introduced in Congress o OA peer reviewed journals increased rapidly n In 2007 DOAJ had 2600 entries, 25% increase over 2006. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Major Developments in OA o Between 2005 -2006: o members of some editorial boards of for-profit journals resigned to start OA journals. o Some for-profit journal publishers included OA journals in their lists, experimented with different models of payment, & allowed their pre- & postprints to be archived. o Then some for-profit journals stepped up their anti-OA campaign but it backfired. o OA Journals kept increasing by the day. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some International Support for OA o Budapest Open Access Initiative, February 2002 o Bethesda Statement, April 2003 o Berlin Declaration, October 2003 & May 2004, February 2005, March 2006 o Wellcome Trust, October 2003, May 2005, 2006 o UK Parliamentary Inquiry, 2004 o US House Appropriations Committee July 2004 o Research Councils UK, 2006 o Academy of Science of South Africa, 2006 o US Public Access to Federally Funded Research Act of 2006 o Ukrainian Law 2007. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some International Support for OA o Bethesda Statement came from the Howard Hughes Medical Institute. The Institute as a Funder of biomedical research encourages/ supports its faculty/grant recipients to publish in open access journals. It also : n Agrees to pay article processing fee n Defined Open Access Publication n Has Guidelines for Institutions and Funding Agencies n Has Guidelines for Libraries and Publishers n Has Guidelines for Scientists and Scientific Societies. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some International Support for OA o Wellcome Trust (UK)on October 2003 made an Announcement that it: n will encourage and support the formation of open access journals and/or freeaccess repositories for research papers; n will cover the cost of publication charges by permitting Trust researchers to use contingency funds for this purpose. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some International Support for OA o Max Planck Society: Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities, 22 October 2003 in Berlin & 12 -13 May 2004 in CERN n Encourages and supports researchers and grant recipients to publish in open access. n Advocates for research published through open access to be recognized in promotion and tenure evaluation. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some International Support for OA o UK Parliamentary Inquiry: Science and Technology Committee, July 20, 2004 made these decisions: n Current model of scientific publishing is unsatisfactory. n all UK higher education institutions should establish institutional repositories & government funded researchers deposit a copy of all articles in them. n strongly supports further experimentation with the author-pays publishing model – provides funding for transition. n create a fund to help authors pay the article processing fees charged by open-access journals. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some International Support for OA o UK Parliamentary Report, cont… n The OA journal publishing model would be extremely advantageous to researchers in developing countries. Financially, author charges would be less burdensome to researchers in the developing world than current subscription rates. If the OA journal model were to prevail, publishers, Government agencies, etc. would need to adapt existing schemes, such as HINARI, AGORA and INASP-PERI, to meet the demands of the altered cost recovery model 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some International Support for OA o U. S. House Appropriations Committee, July 2004 n Proposal to mandate all research funded by National Institute of Health should be made available through open access. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some Support Policies o Since January 2007, Ukraine has a Law that mandates Open Access to publicly funded research. o In the USA in December 2007, an appropriation Bill passed in both Houses of Congress and signed by the President instructs the US National Institute of Health (NIH) to provide OA for NIH funded research. Currently it has only 12 months embargo. o European Research Council adopted OA mandate in January 2008. Currently it has 6 months embargo. o Council of the EU endorsed OA in its 2020 Vision for the European Research Area 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Issues For & Against Open Access o OA is beneficial as research results are made easily accessible and not restricted as in commercial journals. o A Solution to journals subscription crisis of libraries. o OA has built in structures like for subscription journals, to ensure high quality reviewing. o The author pay model is too expensive for an individual to pay, unless payment is through research grants. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Issues For & Against Open Access o OA does not invest heavily in technological development, so no regular innovations. o Professional societies or associations find OA unsustainable but it is a good way of making publishing by its members visible. o Institutions with great research output pay more in the author-pay model while others with more emphasis on teaching pay nothing for using the information. o More research publications in OA Journals means more payment by the institution and likely reduction in Library’s budgets. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Issues For & Against Open Access o OA articles are not really free since some payment is still made at some stage to get it published. o OA needs a lot of marketing so that will increase cost of processing. o OA will neutralize the high quality expected of peerreviewed articles because, of the ability to pay and get published model. o OA will not protect the rights of authors, but it is an effective means to make authors works very visible, more cited and not plagiarized. Who is therefore protected by the restriction? 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Issues For & Against Open Access o OA model will not sustain the archival record of Science, but currently OA articles are automatically deposited in several archives without the trouble of seeking permissions. o Open Access Now provides interesting responses to critics of OA (http: //www. biomedcentral. com/openaccess/inquiry/myths/) 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Unresolved Issue of Sustainability… o Some OA survive on grants or institutions paying, so then … n What happens to the journals when grants are withdrawn? n What is the guarantee that author fees will not eat into the research grant itself? 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Unresolved Issue of Sustainability o If institutions are paying… o are Libraries ready to give up part of their limited funds to support ‘author-pays’ model? o are libraries ready to bear the increased costs of maintaining subscription as well as the ‘author-pays’ model? o OA still has some work to do to inform the public about its viability. o If ‘author-pays model’ is used, only 40% - 60% of the cost will be covered. If all articles are on OA, how will the difference be raised? 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Directory of Open Access Journals (DOAJ) o This lists titles of journals that are on OA. o At the beginning of 2009 there were 3800 journals listed. o Many of these OA journals are indexed by the Web of Science/Web of Knowledge of the Institute for Scientific Information (ISI) http: //www. doaj. org 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Institutional repositories o It has collections of data or information in digital format that are created in a university or research institution by researchers/authors and then made accessible to the public on the web. o Set up to provide OA to the research output and other information of the institution. o Contributes to the status of the institution by displaying the intellectual output of the institution. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Institutional repositories o About 1300 repositories world wide. See Registry of Open Access Repositories (ROAR) http: //roar. eprints. org/ and Directory of Open Access Repositories (Open DOAR) http: //www. opendoar. org/ o Only 22 open repositories in Africa (14 in South Africa) o Latin America has 63 o Asia has 152 o North America has 385 o Europe has 639 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Institutional repositories o May contain peer reviewed journal articles (pre -prints and post prints), conference proceedings, workshop papers, research data, monographs and books, theses, lecture notes, learning objects, dissertations, other research related output, multimedia and audio-visual materials. Software, Patents, special items. o Items can be deposited through self-archiving or mediated deposit methods. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Institutional repositories o All the work of the institution is deposited in its repository using interoperable software that are Open Archives Initiative (OAI) compliant, like DSpace, EPrints, Greenstone, FEDORA, Evergreen etc. o The software enables the work in the repositories to be searched and harvested if they adhere to the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH). o The OAI-PMH also enables the contents of the repository to be indexed by the web search engines like Google scholar that creates online OA databases of research information that is freely available. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Some Big African OA Initiatives o African Journals Online - 1998 www. ajol. info/ o African Digital Library - 1999 africaeducation. org/adl/ o Database of African Theses and Dissertations – 2003 www. aau. org/datad o Africa’s Open Knowledge Network - 2003 o African Online Digital Library www. aodl. org 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Obstacles for Access to Scholarly Publications in Africa… o Avalanche of publications so librarians don’t know number to subscribe. o Even when they know, no storage space. o High cost of journal subscription and dwindling library budgets. o Most scholarly journals are published overseas and problem of foreign exchange. o Uncertain longevity of emerging technologies for access. o Lack of uniform electronic communication data. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Obstacles for Access to Scholarly Publications in Africa… o Lack of hardware and internet connectivity. o Author-pay’s model discourages researchers from publishing in OA. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Relevance of Open Access to Africa… o African researchers depend on free information sources from the north because of poor library budgets, few world acclaimed scholarly journals, and limited research funding in Africa. o Open Access publishing useful in Africa n fills gaps in non-subscriptions n provides full text articles n allows immediate dissemination and access for all to freely use n allows for long term access to scholarly materials 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Relevance of Open Access to Africa… Open Access publishing useful in Africa… n enables small libraries and those with small budgets to have access to greater amount of scholarly materials. n enables research carried out in the south to be made visible globally, and for collaboration. n bridges the digital divide to bring about development and innovation. n A means of making sure that researchers working in Africa are aware of what other researchers in Africa and other parts of the world are doing. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Relevance of Open Access to Africa… Open Access publishing useful in Africa… n Assists faculty and researchers to increase their impact and visibility in the world. n allows for long term access to scholarly materials. n Improves the research profile of the institution. o When research results are put in the public domain discussions are enabled to bring about further innovation. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What OA should do for Africa… o OA concept not widely known and its ideals not greatly accepted in Africa. o Most of those who know are skeptical about its sustainability. o Negative attitude of ‘old brigade’ towards computers and their output. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What OA should do for Africa… There must be a time when: o African scholars will see OA as fastest and easiest means for making African research results available to the world. o All OA journals will be peer-reviewed, indexed and of general high quality. o Institutions will accept OA articles as peer-reviewed and of high quality and give them same weight as the ones on subscription. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What OA should do for Africa… There must be a time when: o There will be more OA publications in the stable of commercial publishers in the north and south. o Strong economic support for OA from Universities and funding agencies will be present. o There will be no personal financial costs to authors in order to get published. o OA will fill scholarly journal gaps in libraries. o Strong academic links (south-south and south –north) between researchers will be fostered. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What OA should do for Africa… There must be a time when: o Adequate planning is made before plunging into OA publishing to make it more sustainable. o Many commercial publishers will release their hold on author’s right after publication to a comfortable period, if not scrapping it. o Stakeholders in the development information sector will agree on a sustainable model for free access. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What OA should do for Africa… There must be a time when: o Companies/Industries will fund OA journals to enable researchers with high quality material but no funding to publish. o Transition period (paying for subscriptions and ‘author pays’ OA model) will not affect library’s budget negatively. o African Institutions will develop their own OSS for their OA journals having in mind their indigenous languages and materials. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
What OA should do for Africa… There must be a time when: o The public will use OA profusely and so demand for more of them. o Universities, research institutes, libraries and librarians in Africa will work together to create a central fund for sustainable OA publishing. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Conclusion… o Several negative campaigns about OA but it is still alive and growing stronger. o OA ideals are laudable especially for developing countries. o To sustain OA its costs should to be built into research grants. o Institutions should set aside funds to support OA ‘author pays’ model for their staff, aside library’s budgets. o Institutions should give OA articles more weight as for subscription ones for advancement of their staff. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Conclusion o Institutions should set up transition fund for the development of their OA publishing. o Governments should legislate that public funded research should be published in OA journals. o Stakeholders should fashion out a more sustainable OA publishing model. o Institutions should set up their open repositories after careful planning, including putting in place good policies to administer it, so that its intellectual wealth will be made available worldwide. 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Additional information o o o Budapest Open Access Initiative: http: //www. soros. org/openaccess/ Directory of Open Access Journals: http: //www. doaj. org/ SPARC: http: //www. arl. org/sparc Public Library of Science: http: //www. publiclibraryofscience. org Bio. Med Central: http: //www. biomedcentral. com Open Archives Initiative: http: //www. openarchives. org/ Sci. X Project: http: //www. scix. net/ Project Romeo: http: //www. lboro. ac. uk/departments/ls/disresearch/romeo/ Max Planck Society: http: //www. zim. mpg. de/openaccessberlin/news 0321. pdf Wellcome Trust: http: //www. wellcome. ac. uk/en/1/awtvispolpub. html UK Parliamentary Inquiry Report: http: //www. publications. parliament. uk/pa/cm 200304/cmselect/cmscte ch/39902. htm 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
Thank you for listening !! 16 -18 March 2009 DATAD & Institutional Repository Advocacy Seminar, Accra , Ghana
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