The Next Information Revolution - How Open Access Repositories and Journals will Transform Scholarly Communications
David C. Prosser
"...providing all of the information required by UK researchers is beyond the capability of any single library; and indeed
that the aggregated efforts of all UK research libraries are failing to secure a national collection in keeping with the researchers'
current and emerging needs and demands." (Final Report, 2003).
Finally, Society as a whole loses if we continue with sub-optimal communications channels that restrict the free-flow of information
between the world's scholars and the public.
NEW OPPORTUNITIES
As a result of the problems described above, many have looked at the continued development of the Internet and new electronic
publishing tools and have asked whether it might be possible to totally reengineer the scholarly communication process. Rather
than only producing online versions of print journals accessed using traditional subscription-based models, might there be
new financial models that use new technology to better fulfil the functions of journals and better serve authors, readers,
and, ultimately, research? The most profitable approach to finding ways of using new technology and business models to provide
solutions to the serials crisis is to look carefully at what it is that journals actually do. Traditionally, journals have
been seen to perform four functions: Registration, Certification, Awareness, and Archiving (Roosendaal & Geurts, 1998). That
is,
• |
Registration - the author wishes to ensure that he/she is acknowledged as the person who carried out a specific piece of research and
made a specific discovery. |
• |
Certification - through the process of peer-review it is determined that the author's claims are reasonable. |
• |
Awareness - the research is communicated to the author's peer group. |
• |
Archiving - the research is retained for posterity. |
The traditional journal integrated all these functions into the print issue, distributed through subscriptions. This made
perfect sense in the print environment where the production of extra copies incurred extra costs, which were recovered by
charging subscriptions. In the new environment dominated by the Internet and digital publishing technologies it is perhaps
no longer the case that integrating these functions is the most efficient solution.
In December 2001 a meeting was convened in Budapest to address these issues, to scrutinise potential new models, and to investigate
the best ways in which the new technology could be used. As a result of this meeting the Budapest Open Access Initiative (BOAI) was published in February 2002. The BOAI identified two parallel and complementary strategies that could be used to move
towards a fairer, more equitable, and more efficient communications system. These were self-archiving and open-access journals.
Self-Archiving refers to the right of scholars to deposit their refereed journal articles in searchable and free electronic archives. Open Access Journals do not charge for access to the papers, but make the papers available to all electronically and look
to other financial models to cover the costs of peer-review and publishing. They do not invoke copyright or exclusive licenses
to restrict access to the papers published within them, rather they encourage the dissemination of research limited only by
the reach and extent of the Internet. These complementary approaches will now be investigated in more detail to show how by acting together they can fulfil the
functions required of a 'journal'.
SELF-ARCHIVING IN INSTITUTIONAL REPOSITORIES
The terms 'institutional repositories' and 'open archives' have been used to describe digital collections capturing and preserving
the intellectual output of a single or multi-university community (Crow, 2002). They may contain a wide range of materials
that reflect the intellectual wealth of an institution - for example, pre-prints and working papers, published articles, enduring
teaching materials, student theses, data-sets, etc. The repositories would be cumulative and perpetual, ensuring ongoing access
to material within them. By building the archives to common international technical standards - specifically, to the Open
Archive Initiative (OAI)standards - the material deposited within them will be fully searchable and retrievable, with search engines treating the
separate archives as one. Readers will not need to know which archives exist or where they are located in order to find and make use of their contents. To maximise the use and impact of the repositories the material within them should be freely available over the Internet.
While an institutional repository can make available a wide range of material (as described above), this paper is concerned
only with the peer-reviewed research literature. If researchers were to place the results of their research into their local
institutional repository, i.e., to self-archive their papers, three of the functions of a traditional journal would be immediately
met:
1. |
Registration - by depositing in the repository the researcher would make claim to their discovery. |
2. |
Awareness - by constructing the repository to OAI standards the institution would ensure that the researcher's work would be found
by search engines and available to their peers. New alerting services could be developed that would inform readers of new
papers deposited in any repository that matched their research interests (in the same way that journal table of contents can
be received). |
3. |
Archiving - the institution would be responsible for maintaining the long-term archive of all the work produced by members of that
institution. This would place the onus of archiving back onto the library community where it has rested for centuries, rather
than on the publisher community where it has migrated following the transfer from print to online. In many cases the research
library will be best placed to maintain over many decades an archive of its own research. |
As well as fulfilling these three functions of the traditional journal, there are many benefits, at many levels, to institutional
repositories.
For the individual:
• |
they provide a central archive of the researcher's work |
• |
by being free and open they increase the dissemination and impact of the individual's research |
• |
they act as a full CV for the researcher |
For the institution:
• |
they increase the institution's visibility and prestige by bringing together the full range and extent of that institution's
research interests |
• |
they act as an advertisement for the institution to funding sources, potential new researchers and students, etc. |
For society:
• |
they provide access to the world's research |
• |
they ensure long-term preservation of institutes' academic output |
• |
they can accommodate increased volume of research output (no page limits, can accept large data-sets, 'null-results', etc.) |
PEER-REVIEW AND OPEN ACCESS JOURNALS
The one function of the traditional journal that self-archiving in institutional repositories do not fulfil is certification
or peer-review. Each institution will be able to make its own policies on how material is to be deposited in the repository,
and some may insist that papers receive at least an initial review before being made widely available. However, this will
not be a substitute for independent, international peer review. Peer review serves the reader as a mark of quality (helping
them to decide which papers they wish to read), while it is used by authors to validate their research (which is of particularly
importance in their next grant proposal or attempt at promotion). Peer-review journals could sit comfortably with the network
of institutional repositories. Authors, who wanted their work to be peer-reviewed, could, after they had deposited it in their
local repository, send it to their journal of choice. At this stage the work would be evaluated as in the current system and,
if considered by the editor of the journal to be acceptable, the paper would be published in the journal and so receive the
journal's quality stamp. The authors could place a peer-reviewed 'post-print' onto their local institutional repository ensuring
that both versions were archived.
Obviously, with all the relevant material available for free on a network of institutional repositories it becomes impossible
for a journal to charge a subscriber to access a paper in the journal. The peer-reviewed journals, therefore, would need to
have no access restrictions on them - that is, they would be 'open access'. Open access journals would give free and unrestricted
access through the Internet to all primary literature published within the journal. Scholars give this literature to the world
without expectation of payment and in the hope that it is distributed and read as widely as possible. Making it freely available
over the Internet immediately distributes it to the 650 million people worldwide who have Internet access. Giving all interested
readers access will accelerate research, enrich education, share learning among rich and poor nations, and, ultimately, enhance
return on investment in research (much of which comes from the world's taxpayers). From being in a position where institutions
cannot supply all the information need of researchers, researchers will be able to access all of the relevant information
they need to be effective. Open access also provides major benefits for authors. Rather than their paper being seen by readers
at the few hundred institutes at institutions lucky enough to have a subscription to the journal, the paper can now be seen
by all interested readers. This increases the profile of the authors, their institutions, and their countries.(Suber, 2003).
Without subscription income publishers will have to look at new financial models to support their journals. There are costs
associated with the peer-review process and with publication of a paper (even if it is only online), and these costs must
be met somehow. A number of possible revenue sources for open access journals have been identified (Crow & Goldstein, 2003),
but one of the most stable for the science, technical, and medical fields may be that where authors pay a publication charge,
so ensuring that the publisher would receive sufficient revenue to make the paper available to all with no access restrictions.
Ultimately, it would be for the funding body or the institution to cover the publication charge, but basically, this model
looks to a move for paying for access to material (through subscriptions) to paying for dissemination.
PRACTICAL DEVELOPMENTS
The scenario above gives a vision for a fair and efficient mechanism for scholarly communications. All research material is
made freely available in a world-wide network of fully searchable repositories. A sub-section of the material in the repositories
- peer reviewed papers - receives a certification 'quality stamp' from journals. This process is financed by the authors'
institutions and funding bodies, rather than through the readers' libraries, so allowing free access to all interested readers
to all peer-reviewed papers via the Internet. This vision may sound utopian, but already many steps are being taken around
the world to realise this future, and the pace of change appears to be increasing.
Institutional Repositories
At least four open source software packages exist for setting up and implementing institutional repositories[3] and well over 100 institutions worldwide have used these packages to set up repositories. In addition, a number of national
initiatives have been set up to provide infrastructure support for repositories - these include SHERPA in the UK, DARE in The Netherlands, and the recent announcement of the Australian Government to fund more than $12 million to promote institutional repositories in Australia.
As the amount of content in the growing number of repositories continues to increase, new services are being developed to
make use of this content. To date, the most active area of service provider development has been the construction of search
engines that can search over a number of repositories simultaneously, so ensuring that the reader can find material irrespective
of where it have been deposited.[4] One of these search engines, OAIster, now searches through almost 2,000,000 electronic items in over 200 repositories.
Open Access Journals
The number of open access journal publishing high quality, peer reviewed research is growing. SPARC and SPARC Europe are in
partnership with a number of these journals,[15] in particular, BioMedCentral who have now published over 4000 open access
papers in 100 journals. Lund University have compiled the Directory of Open Access Journals (DOAJ) listing fully peer-reviewed journals that place no financial barriers between the papers published online and readers. The
DOAJ was launched in May 2003 with 375 titles, a figure that had quickly risen to over 570 six months later. One feature of
the DOAJ is that records for each journal listed can be easily download by librarians and entered into their catalogues, thereby
allowing readers to learn about the journals. New open access initiatives are regularly being announced. In October 2003 the
first issue of PLOS Biology was launched. Produced by the Public Library of Science (PLOS), PLoS Biology is the first in a proposed stable of journal titles. It is aiming to publish the highest possible quality papers - rivalling
such established titles as Science and Nature. The first issue generated massive international publicity, with reports and editorials in many of the world's leading newspapers.
Like the BioMedCentral titles, PLoS Biology is mainly financed through author payments. The Public Library of Science plans to launch a PLoS Medicine early in 2004.
In addition, a plan has been put forward to transform current subscription-based journals into open access journals (Prosser,
2003). Under this plan, authors are given a choice as to whether or not they are willing and able to pay a publication charge.
If they are (and, of course, the paper is judged acceptable for publication following peer-review) the paper is made open
access on publication. If they are unwilling or unable to pay, the paper is only made available to subscribers. Over time,
the proportion of authors willing to pay should increase and the publisher can begin to reduce the subscription price. Eventually,
the entire journal will be open access. This model has proved to be attractive to a number of publishers, especially smaller
and society publishers who believe in the moral case for open access but who did not see a way of converting their journals.
The model gives authors who pay the benefits of open access (i.e., wider dissemination, higher citation, greater kudos, etc.),
while allowing those authors who do not pay the opportunity to still publish in their journal of choice. As the benefits of
open access become clear (and in this hybrid model they can be accurately measured) authors will place pressure on their funding
bodies to provide grants for publication.
While not eliminating financial risk for the journal owner, this model does reduce the risk by providing a smooth transition
period as the decline in subscription revenue is matched to the increase in publication revenue. It is probably for this reason
that a number of 'traditional' publishers such as Oxford University Press, the Company of Biologists, and the American Physiological Society are experimenting with variations of this model.
Support from Funding Bodies
The year2003 has seen increasing support for open access (in the form of both self-archiving and open access journals) from the funding
bodies that pay for research. In April 2003, a meeting organised by the Howard Hughes Medical Institute resulted in the Bethesda Statement. This was followed in the summer by a statement of strong support for open access by the Wellcome Trust in the UK. In October, all the major German funding bodies signed the Berlin Declaration supporting open access. The Berlin Declaration has also been adopted by, amongst others, the CNRS and INSERM in France, by
the FWF Der Wissenschaftsfonds in Austria, and the Fonds voor Wetenschappelijk Onderzoek in Flanders. This support from the
funding bodies has come about as they realise that, to quote the Berlin Declaration, "Our mission of disseminating knowledge is only half complete if the information is not made widely and readily available to
society." They increasingly believe that it is in their interests and it is their responsibility to support the wider dissemination
through open access of the research results that they have funded
The Power of Open Access
As open access is a relatively new concept, it is difficult to compare directly open access publication (either through self-archiving
or in peer-reviewed journals) with closed, subscription-based access. However, initial evidence is accumulating that supports
that intuitively obvious assertion that open access will give greater dissemination and impact. Recent figures from the Astrophysical Journal show that for 72% of papers published free versions of the papers are available (mainly through ArXiv). Citation analysis shows that these 72% of papers are, on average, citedtwiceas often as the remaining 28% where there are no free versions available. At this stage it is difficult to show clear cause
and effect, but it is an intriguing indication of the increase in impact of authors' work if they self-archive.
The differences in downloads between closed, subscription-based journals and open access journals is even more dramatic. Working
from Elsevier's half-year results, Peter Suber calculated that the average number of downloads for articles in ScienceDirect
over the past year was 28. Over the same period the average number of downloads for articles in BioMedCentral was 2,500.
This would suggest that publication in an open access journal gives, on average, 89 timesas much usage as publication in a subscription-based access![5] There are a number of reasons why this may not be an entirely accurate comparison, but Elsevier has refused to give the average
downloads for biomedical papers published over the past year and so a direct comparison cannot be made. But even if 89 times
is an over-estimate, it is clear that the evidence is beginning to show that open access does give greater dissemination,
usage, and impact and as authors become more aware of this, they are increasingly going to want to publish in open access
journals and to deposit their papers in their local institutional repositories.
NEXT STEPS
It's my belief that there is growing international momentum in favour of institutional repositories and open access journals.
Increasing numbers of libraries are taking on the role of host for institutional repositories, becoming responsible for maintaining
the intellectual heritage of their institution. The libraries are also increasingly resisting the old models of subscriptions
and big deals. Growing numbers of open access journals are attracting high profile editors and quality papers from excellent
authors. More and more readers view these papers, increasing the impact and visibility of the journals. In addition, the continued
success of these open access journals is proving the feasibility of the new business models.
As issues surrounding institutional repositories and open access journals become more widely discussed there is increasing
awareness amongst authors of their need to retain their publishing rights (e.g., does assigning copyright mean that they cannot
put a copy of their own paper on their departmental website?). There is also increasing awareness of Editors and Editorial
Board members of their power and responsibilities to engage their publishers in discussions regarding fairer publishing practices.
As described above, the past year in particular has seen a burgeoning of interest internationally in publishing issues amongst
funding bodies and at the political level. As success is proved, more authors, readers, university administrators, librarians,
and funding bodies are becoming aware of the limitations of the current system and the possibilities of the new models. More
importantly, they wish to act positive action to bring about a change in the system as quickly as possible.
Over the next few years all players in the communication process can play a part in making change happen.
In particular, authors can:
• |
deposit their work in institutional repositories |
• |
support open access journals by submitting papers to them and refereeing, reading, and citing articles in them |
• |
launch new open access journals if appropriate |
• |
discuss publication rights, open access, and reasonable prices with the publishers of the journals they use regularly (especially
if they are editors or board members) |
• |
discuss with funding bodies and university administrators funding and promotion criteria to ensure that researchers are not
penalized for using repositories or publishing in open access journals (especially those that are online only) |
• |
lobby funding bodies for specific publication funds to take advantage of the benefits of publishing in open access journals. |
Librarians can:
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establish institutional repositories |
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help faculty archive their research papers (new and old) within the repository, digitising older papers if necessary. |
• |
help open access journals launched at their institutions become known to other libraries, indexing services, potential funders,
and potential readers. |
• |
make sure scholars at their institutions know how to find open access journals and archives in their fields and set up tools
to allow them to access them (e.g., by including the journals listed in the DOAJ in their catalogues). |
• |
as open access journals proliferate, and as their usage and impact grow, cancel over-priced journals that do not measure up.
|
• |
engage with University administrators and funding bodies to raise the issue of open access |
• |
familiarize themselves with the issues [6] |
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support SPARC Europe to multiply their effort |
CONCLUSION
The text of the Budapest Open Access Initiative opened with the statement "An old tradition and a new technology have converged to make possible an unprecedented public good." We can see how by harnessing the power of the Internet we can construct a system of scholarly communication that better
serves authors (by given them the wide dissemination they require) and readers (by removing access barriers to the information
they need). This in turn will enhance research and education worldwide and bring great benefits to society.
Obviously, any attempt to change such a well-embedded system with large degrees of inertia will be difficult. However, the
advantages of the new model are immense. By working together we have already made many great strides towards the new system
and by continuing to work together we can achieve it. That is the aim of SPARC Europe and of the many thousands of librarians,
authors, readers, funders, publishers, etc. who see open access as the future of scholarly communications.
REFERENCES
Roosendaal, Hans E. and Peter A. Th. M. Geurts (1998). "Forces and functions in scientific communication: an analysis of their interplay." CRISP 97
WEB SITES REFERRED TO IN THE TEXT
American Physiological Society. http://www.the-aps.org/publications/pg/interest.htm
ArXiv.org e-Print archive. http://arxiv.org/
ARL - Association of Research Libraries. http://www.arl.org/
Arno. http://www.uba.uva.nl/arno
Australian Government. http://www.dest.gov.au/Ministers/Media/McGauran/2003/10/mcg002221003.asp
Australian initiative http://www.dest.gov.au/Ministers/Media/McGauran/2003/10/mcg002221003.asp
Berlin Declaration. http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html
Bethesda Statement. http://www.earlham.edu/~peters/fos/bethesda.htm
BOAI - Budapest Open Access Initiative. http://www.soros.org/openaccess
CDSWare. http://cdsware.cern.ch/
Company of Biologists. http://www.biologists.com/openaccess.html
Create Change. http://www.createchange.org/
DARE. http://www.surf.nl/en/themas/index2.php?oid=7
DOAJ - Directory of Open Access Journals. http://www.doaj.org
Dspace. http://www.dspace.org/
Eprints. http://software.eprints.org/
OAI - Open Archive Initiative. http://www.openarchives.org
OAIster. http://oaister.umdl.umich.edu/o/oaister/
Oxford University Press. http://www.oup.co.uk/
PloS - Public Library of Science. http://www.plos.org
RSLG - Research Support Libraries Group. http://www.rslg.ac.uk/
SHERPA. http://www.sherpa.ac.uk/
SPARC Europe. http://www.sparceurope.org
Wellcome Trust. http://www.wellcome.ac.uk/en/1/awtvispolpub.html
Notes
LIBER Quarterly, Volume 14 (2004), No. 1