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Open Access: 
an introduction 
Elizabeth Yates, Liaison/Scholarly Communication Librarian 
October 2014 
Free to share or reuse with attribution
Hot button issue: grant funding 
Image: 'The Red Button' 
http://www.flickr.com/photos/57768536@N05/7904690074 
Found on flickrcc.net
Today’s outcomes 
You will recall main characteristics of: 
•of Open Access publishing: gold and green 
•funding landscape and Open Access 
•Library OA publishing fund for Brock researchers 
•next steps to support Brock researchers
OA 
•Free, immediate online access to scholarly research 
•No end-user fees 
•Usually greater freedom for re-use
Two flavours 
Gold: 
•Immediately via Open 
Access journals 
Green 
•Via online archiving: may 
be immediate or delayed
‘It’s like the Wild West’
Rapid growth in OA Journals 
 more than 10,000 fully Open Access 
scholarly journals from 100 countries > 
around 1/3 of all peer-reviewed journals 
 contain more than 1.7 million articles 
 fastest growing fields STEM: 
16-fold growth in biomedicine between 
2000-2011 
Sources: Heather Morrison, Imaginary Journal of Poetic Economics: poeticeconomics.blogspot.ca 
Laakso, M. & Bjork, B. (2012). Anatomy of open access publishing: a study of longitudinal development and internal structure. BMC 
Medicine (10), 124.
Journal articles: published in 2011 & 
indexed in Scopus 
Open Access 17 % 
Subscription 83% 
Total published: 
1.66M 
Laakso, M., & Björk, B.-C. (2012). Anatomy of open access publishing: a study of longitudinal 
development and internal structure. BMC Medicine, 10(1), 124. doi:10.1186/1741-7015-10-124
Open Access growing rapidly: 
repositories 
Source: Heather Morrison, http://poeticeconomics.blogspot.ca/2014/10/dramatic-growth-of-open-access.html
Open Access growing rapidly: 
institutional mandates 
Source: Heather Morrison, http://poeticeconomics.blogspot.ca/2014/10/dramatic-growth-of-open-access.html
OA funding mandates
Canada 
• Tri-Agency Draft Policy 
issued fall 2013 
• Final policy expected 
October 2014 (?) 
• Focus: journal articles 
• Must be OA via either: 
• Immediate publication in 
OA journal 
• Online archiving within 
12 months
We’re 
prepared! 
•Information and 
outreach to researchers 
•Repository for article 
deposit 
•Library Open Access 
Publishing Fund 
•Scholarly Journals 
at Brock 
http://www.brocku.ca/library/about-us-lib/openaccess/tri-agency-open-access-consult
Institutional OA funds 
•Globally, about 75 
academic/research 
institutions offer OA 
publishing funds 
•Growing phenomenon: 75 
now versus 30 in 2012 
Nariani, R., & Fernandez, L. (2012). Open Access Publishing: What 
Authors Want. College & Research Libraries, 73(2), 182-195. 
Open Access Directory. (2014). OA journal funds. 
http://oad.simmons.edu/oadwiki/OA_journal_funds
Library OA publishing funds 
U.S. LIBRARIES N=22 CANADIAN LIBRARIES N=13 
Sources: SPARC (2014). Open access funds in action. bit.ly/OAfunds; CARL (2014). Support for OA at CARL libraries. bit.ly/CARLOAfunds
OA FUND STATS BROCK UNIVERSITY 
Articles funded Since 2011: 16 
Authors funded 15 
Author status: Faculty members – 10; grad students/postdocs - 5 
Top disciplines: Biology – 4; Health Sciences – 4; Psychology - 3 
Total amount expended: $21,322.94 
Average APC paid: 
Highest APC paid: 
Lowest APC paid: 
$1,254.29 
$2,407.50 
$206.00 
Top journal: PLoS One (4) 
Top publishers: PLoS (4), Hindawi (2)
Demand > supply 
•11 applicants turned 
away between 
January 2014-now: 
no $ 
•Support from ORS 
welcomed!
Fact Fiction? 
All Open Access journals 
charge publication fees
Fiction!! 
Fact > Multiple OA business models: 
-Publication fees 
-Advertising 
-Free online, print subscription 
-Institutional subsidies/technical support 
-Membership dues 
-Indexing revenues (e.g. EBSCO, Scopus, Proquest) 
Source: OA journal business models, Open Access Directory: http://oad.simmons.edu/oadwiki/OA_journal_business_models
Gold Open Access is … 
•Often associated with 
Article Processing 
Charges (APCs) to cover 
the costs of publishing 
•But most OA journals 
don’t charge APCs 
•Info from Directory of Open 
Access Journals, May 2014 
OA journals in the DOAJ 
No APCs: 6467 APCs: 2567 Conditional charges: 520 No info: 145 
Directory of Open Access Journals
Fact Fiction? 
Open Access publishing is 
incompatible with rigorous 
peer review
Fiction!! 
Fact > OA is fully compatible with rigorous peer review 
-every journal establishes its own peer-review process: this is 
independent of how articles are disseminated (subscription 
versus OA) 
-peer-review itself is problematic and does not guarantee 
scientific rigour (bias, retractions, fraud)* 
Smith, R. (2006). Peer review: a flawed process at the heart of science and journals. Journal of the Royal Society of Medicine, 99(4): 178-182. 
http://www.ncbi.nlm.nih.gov/pmc/articles/PMC1420798/ 
Birukou, A., Wakeling, J.R., Bartolini, C., et al. (2011). Alternatives to peer review: novel approaches for research evaluation. Frontiers in Computational Neuroscience, 5 (56). doi: 
10.3389/fncom.2011.00056 
Jefferson T, Alderson P, Wager E, Davidoff F. (2002). Effects of editorial peer review: a systematic review. JAMA, 287: 2784-6. doi:10.1001/jama.287.21.2784 
Van Noorden, R. (2011). Science publishing: the trouble with retractions. Nature 478, 26-28. doi:10.1038/478026a
Fact Fiction? 
Open Access authors retain 
full copyright
FaCt!! 
Fact > Fully OA journals allow you retain copyright on your 
work 
-usually, Open Access authors can choose from a variety 
Creative Commons licenses e.g. CC-BY, CC-BY-NC
Fact Fiction? 
Articles in OA publications 
are eligible for consideration 
in promotion & tenure 
decisions
FaCt!! 
Fact > P&T committees can decide what counts – including 
OA publishing 
-you confer the prestige 
-OA is linked to higher impact 
-recognizing OA in P&T can open the door for other 
emerging forms of scholarship 
*Mark J. McCabe, Christopher M. Snyder (2013) 
The Rich Get Richer and the Poor Get Poorer: The Effect of Open Access on Cites to Science Journals Across the Quality Spectrum, Social Science Research Network 
SSRN, May 25, 2013
Fact Fiction? 
All Open Access journals are 
legitimate
Fiction!! 
Fact > Unfortunately, the simplicity of Internet publishing 
makes it easy for less-than-legitimate players to enter 
the publishing game 
• This requires researchers to exercise scrutiny over where they 
publish (a good thing) 
• Libraries can help researchers choose good publications and 
weed out bad ones 
• “Beall’s list” a good resource http://scholarlyoa.com/ - but he 
has an agenda
Fact Fiction? 
Open Access articles are 
cited more frequently
FaCt!! 
Fact > Open Access increases impact as measured by the 
number of citations 
• effect present in both gold (journal publishing) and green 
(archiving) versions of OA 
• Open Access Citation Advantage is correlated with quality, 
just as citations are (the top 20% of articles receive about 
80% of all citations) 
• Open access increases cites to the best content but reduces 
cites to lower-quality content 
Open Citation Project: http://opcit.eprints.org/oacitation-biblio.html
Alternate forms 
of impact
Article impact 
Accesses: 6394 > 
huge 
Altmetric score: 
captures other 
forms of impact 
e.g. social media 
shares
Social media reaction to Tsiani’s article
Tsiani’s article 
ranking score 
from 
Altmetric.com
What’s next? 
•Continued outreach to Brock researchers with special focus on 
Tri-Agency OA Policy 
•Customizing Brock Digital Repository to archive and promote 
Brock research 
•Adding more Open Access journals 
•Strengthening relationships with campus partners including 
ORS, ITS 
•Digital Scholarship Lab: supporting digital research, data 
processing and management and Open Access publishing
AND …
Resources: right here! 
My office 
Elizabeth Yates 
eyates@brocku.ca 
X4469
Top OA tools 
Directory of Open Access Journals – doaj.org 
• Searchable at journal and article level 
OpenDOAR – www.opendoar.org 
• Searchable directory of Open Access repositories 
ROARMAP -- roarmap.eprints.org 
•Registry of Open Access mandates 
SHERPA/RoMEO – www.sherpa.ac.uk/romeo 
•The database to find publishers’ copyright policies for 
archiving, etc.
References 
Canadian Association of Research Libraries (2014). Support for OA at CARL libraries. bit.ly/CARLOAfunds 
Cryer, E., & Collins, M. (2011). Electronic Journal Forum: Incorporating Open Access into Libraries. Serials 
Review, 37103-107. doi:10.1016/j.serrev.2011.03.002 
Fruin, C. & Rascoe, F. (2014). Funding open access journal publishing: article processing charges. College & 
Research Libraries News. 75(5), 240-243. 
Harris, S. (2013). Implementing Open Access APCs: the role of academic libraries. Report on a roundtable 
commissioned by SAGE in association with JISC. http://www.uk.sagepub.com/repository/binaries/pdf/apc.pdf 
Nariani, R., & Fernandez, L. (2012). Open Access Publishing: What Authors Want. College & Research 
Libraries, 73(2), 182-195. 
Nariani, R., & Fernandez, L. (2011). Open Access funds: a Canadian library survey. Partnership: the Canadian 
Journal of Library and Information Practice and Research, (6)1. Retrieved from 
https://journal.lib.uoguelph.ca/index.php/perj/article/view/1424/2083 
Open Access Directory. (2014). OA journal funds. http://oad.simmons.edu/oadwiki/OA_journal_funds 
Scholarly Publishing and Academic Resources Coalition. (n.d.). Open access funds: funds introduction. 
http://www.sparc.arl.org/resources/funds/intro 
Scholarly Publishing and Academic Resources Coalition (2014). Open access funds in action. bit.ly/OAfunds

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Open Access: an introduction

  • 1. Open Access: an introduction Elizabeth Yates, Liaison/Scholarly Communication Librarian October 2014 Free to share or reuse with attribution
  • 2. Hot button issue: grant funding Image: 'The Red Button' http://www.flickr.com/photos/57768536@N05/7904690074 Found on flickrcc.net
  • 3. Today’s outcomes You will recall main characteristics of: •of Open Access publishing: gold and green •funding landscape and Open Access •Library OA publishing fund for Brock researchers •next steps to support Brock researchers
  • 4. OA •Free, immediate online access to scholarly research •No end-user fees •Usually greater freedom for re-use
  • 5. Two flavours Gold: •Immediately via Open Access journals Green •Via online archiving: may be immediate or delayed
  • 6. ‘It’s like the Wild West’
  • 7. Rapid growth in OA Journals  more than 10,000 fully Open Access scholarly journals from 100 countries > around 1/3 of all peer-reviewed journals  contain more than 1.7 million articles  fastest growing fields STEM: 16-fold growth in biomedicine between 2000-2011 Sources: Heather Morrison, Imaginary Journal of Poetic Economics: poeticeconomics.blogspot.ca Laakso, M. & Bjork, B. (2012). Anatomy of open access publishing: a study of longitudinal development and internal structure. BMC Medicine (10), 124.
  • 8. Journal articles: published in 2011 & indexed in Scopus Open Access 17 % Subscription 83% Total published: 1.66M Laakso, M., & Björk, B.-C. (2012). Anatomy of open access publishing: a study of longitudinal development and internal structure. BMC Medicine, 10(1), 124. doi:10.1186/1741-7015-10-124
  • 9. Open Access growing rapidly: repositories Source: Heather Morrison, http://poeticeconomics.blogspot.ca/2014/10/dramatic-growth-of-open-access.html
  • 10. Open Access growing rapidly: institutional mandates Source: Heather Morrison, http://poeticeconomics.blogspot.ca/2014/10/dramatic-growth-of-open-access.html
  • 12. Canada • Tri-Agency Draft Policy issued fall 2013 • Final policy expected October 2014 (?) • Focus: journal articles • Must be OA via either: • Immediate publication in OA journal • Online archiving within 12 months
  • 13. We’re prepared! •Information and outreach to researchers •Repository for article deposit •Library Open Access Publishing Fund •Scholarly Journals at Brock http://www.brocku.ca/library/about-us-lib/openaccess/tri-agency-open-access-consult
  • 14. Institutional OA funds •Globally, about 75 academic/research institutions offer OA publishing funds •Growing phenomenon: 75 now versus 30 in 2012 Nariani, R., & Fernandez, L. (2012). Open Access Publishing: What Authors Want. College & Research Libraries, 73(2), 182-195. Open Access Directory. (2014). OA journal funds. http://oad.simmons.edu/oadwiki/OA_journal_funds
  • 15. Library OA publishing funds U.S. LIBRARIES N=22 CANADIAN LIBRARIES N=13 Sources: SPARC (2014). Open access funds in action. bit.ly/OAfunds; CARL (2014). Support for OA at CARL libraries. bit.ly/CARLOAfunds
  • 16. OA FUND STATS BROCK UNIVERSITY Articles funded Since 2011: 16 Authors funded 15 Author status: Faculty members – 10; grad students/postdocs - 5 Top disciplines: Biology – 4; Health Sciences – 4; Psychology - 3 Total amount expended: $21,322.94 Average APC paid: Highest APC paid: Lowest APC paid: $1,254.29 $2,407.50 $206.00 Top journal: PLoS One (4) Top publishers: PLoS (4), Hindawi (2)
  • 17. Demand > supply •11 applicants turned away between January 2014-now: no $ •Support from ORS welcomed!
  • 18. Fact Fiction? All Open Access journals charge publication fees
  • 19. Fiction!! Fact > Multiple OA business models: -Publication fees -Advertising -Free online, print subscription -Institutional subsidies/technical support -Membership dues -Indexing revenues (e.g. EBSCO, Scopus, Proquest) Source: OA journal business models, Open Access Directory: http://oad.simmons.edu/oadwiki/OA_journal_business_models
  • 20. Gold Open Access is … •Often associated with Article Processing Charges (APCs) to cover the costs of publishing •But most OA journals don’t charge APCs •Info from Directory of Open Access Journals, May 2014 OA journals in the DOAJ No APCs: 6467 APCs: 2567 Conditional charges: 520 No info: 145 Directory of Open Access Journals
  • 21. Fact Fiction? Open Access publishing is incompatible with rigorous peer review
  • 22. Fiction!! Fact > OA is fully compatible with rigorous peer review -every journal establishes its own peer-review process: this is independent of how articles are disseminated (subscription versus OA) -peer-review itself is problematic and does not guarantee scientific rigour (bias, retractions, fraud)* Smith, R. (2006). Peer review: a flawed process at the heart of science and journals. Journal of the Royal Society of Medicine, 99(4): 178-182. http://www.ncbi.nlm.nih.gov/pmc/articles/PMC1420798/ Birukou, A., Wakeling, J.R., Bartolini, C., et al. (2011). Alternatives to peer review: novel approaches for research evaluation. Frontiers in Computational Neuroscience, 5 (56). doi: 10.3389/fncom.2011.00056 Jefferson T, Alderson P, Wager E, Davidoff F. (2002). Effects of editorial peer review: a systematic review. JAMA, 287: 2784-6. doi:10.1001/jama.287.21.2784 Van Noorden, R. (2011). Science publishing: the trouble with retractions. Nature 478, 26-28. doi:10.1038/478026a
  • 23. Fact Fiction? Open Access authors retain full copyright
  • 24. FaCt!! Fact > Fully OA journals allow you retain copyright on your work -usually, Open Access authors can choose from a variety Creative Commons licenses e.g. CC-BY, CC-BY-NC
  • 25. Fact Fiction? Articles in OA publications are eligible for consideration in promotion & tenure decisions
  • 26. FaCt!! Fact > P&T committees can decide what counts – including OA publishing -you confer the prestige -OA is linked to higher impact -recognizing OA in P&T can open the door for other emerging forms of scholarship *Mark J. McCabe, Christopher M. Snyder (2013) The Rich Get Richer and the Poor Get Poorer: The Effect of Open Access on Cites to Science Journals Across the Quality Spectrum, Social Science Research Network SSRN, May 25, 2013
  • 27. Fact Fiction? All Open Access journals are legitimate
  • 28. Fiction!! Fact > Unfortunately, the simplicity of Internet publishing makes it easy for less-than-legitimate players to enter the publishing game • This requires researchers to exercise scrutiny over where they publish (a good thing) • Libraries can help researchers choose good publications and weed out bad ones • “Beall’s list” a good resource http://scholarlyoa.com/ - but he has an agenda
  • 29. Fact Fiction? Open Access articles are cited more frequently
  • 30. FaCt!! Fact > Open Access increases impact as measured by the number of citations • effect present in both gold (journal publishing) and green (archiving) versions of OA • Open Access Citation Advantage is correlated with quality, just as citations are (the top 20% of articles receive about 80% of all citations) • Open access increases cites to the best content but reduces cites to lower-quality content Open Citation Project: http://opcit.eprints.org/oacitation-biblio.html
  • 32. Article impact Accesses: 6394 > huge Altmetric score: captures other forms of impact e.g. social media shares
  • 33. Social media reaction to Tsiani’s article
  • 34. Tsiani’s article ranking score from Altmetric.com
  • 35. What’s next? •Continued outreach to Brock researchers with special focus on Tri-Agency OA Policy •Customizing Brock Digital Repository to archive and promote Brock research •Adding more Open Access journals •Strengthening relationships with campus partners including ORS, ITS •Digital Scholarship Lab: supporting digital research, data processing and management and Open Access publishing
  • 37. Resources: right here! My office Elizabeth Yates eyates@brocku.ca X4469
  • 38. Top OA tools Directory of Open Access Journals – doaj.org • Searchable at journal and article level OpenDOAR – www.opendoar.org • Searchable directory of Open Access repositories ROARMAP -- roarmap.eprints.org •Registry of Open Access mandates SHERPA/RoMEO – www.sherpa.ac.uk/romeo •The database to find publishers’ copyright policies for archiving, etc.
  • 39. References Canadian Association of Research Libraries (2014). Support for OA at CARL libraries. bit.ly/CARLOAfunds Cryer, E., & Collins, M. (2011). Electronic Journal Forum: Incorporating Open Access into Libraries. Serials Review, 37103-107. doi:10.1016/j.serrev.2011.03.002 Fruin, C. & Rascoe, F. (2014). Funding open access journal publishing: article processing charges. College & Research Libraries News. 75(5), 240-243. Harris, S. (2013). Implementing Open Access APCs: the role of academic libraries. Report on a roundtable commissioned by SAGE in association with JISC. http://www.uk.sagepub.com/repository/binaries/pdf/apc.pdf Nariani, R., & Fernandez, L. (2012). Open Access Publishing: What Authors Want. College & Research Libraries, 73(2), 182-195. Nariani, R., & Fernandez, L. (2011). Open Access funds: a Canadian library survey. Partnership: the Canadian Journal of Library and Information Practice and Research, (6)1. Retrieved from https://journal.lib.uoguelph.ca/index.php/perj/article/view/1424/2083 Open Access Directory. (2014). OA journal funds. http://oad.simmons.edu/oadwiki/OA_journal_funds Scholarly Publishing and Academic Resources Coalition. (n.d.). Open access funds: funds introduction. http://www.sparc.arl.org/resources/funds/intro Scholarly Publishing and Academic Resources Coalition (2014). Open access funds in action. bit.ly/OAfunds

Editor's Notes

  • #3: Canada will be implementing a Tri-Agency Open Access publishing policy sometime in the near future – likely later this month This will affect about 150 Brock researchers who receive funding from those agencies > so I hope the Library and ORS can work together to support our researchers during this transition Canada will be joining major nations including US, UK, EU, Australia, who have implemented mandating Open Access to taxpayer-funded research Triggered by: -ethical imperative > research funded by taxpayers should be available to taxpayers -financial imperative > journal publishing is a multi-billion-dollar enterprise, with huge profit margins; in today’s era of shrinking academic budgets, we can no longer to afford to pay the publishers what they want
  • #5: Key features: -immediate access with no user fees -But, since there is no such thing as free publishing, OA publishers finance editorial production with various means, including charging article processing fees, selling advertising, or other means. -the key distinction is who pays – it’s not the user Drivers: -ethical imperative > research funded by taxpayers should be available to taxpayers -financial imperative > journal publishing is a multi-billion-dollar enterprise, with huge profit margins; in today’s era of shrinking academic budgets, we can no longer to afford to pay the publishers what they want
  • #7: Scholarly communication is a rapidly changing environment Open Access publishers are entering a journal market which always has been dominated by subscription publishers - at the same time, researchers are experimenting with new ways of making their work more accessible
  • #9: Market share: in the past 10 years, OA journal publishing has increased its relative share of all j publishing by about 1 per cent per year. In 2011, about 17 per cent of 1.66 M articles published and indexed in Scopus were OA (including 5 % with 12 mo embargo)
  • #11: Aligned with growth in OA publishing, policies are being established to promote and guide how OA works at various levels including institutional and national – e.g some institutions, such as Concordia, have policies mandating that researchers must deposit their articles in their IR or give reasons why not.
  • #12: Internationally, Canada is playing ‘catch up’to US, UK, EU, Australia: -UK - RCUK Policy on Open Access – 2012 funded researchers must publish final published version in either immediate OA + archive OR final manuscript in any repo within either 6 (STEM) or 12 mos (SSH) - Australia – Australian Research Council OA Policy “any publications arising from an ARC supported research project must be deposited into an open access institutional repository within a twelve (12) month period from the date of publication.” Early 2013 US Fair Access to Scientific Technology Research Act (FASTR) –require OA j manuscripts repo deposit for agencies with annual research expenditures of $100M +; max 6 month embargo EU – funded articles must be OA by publisher immediately, or by researcher via IR within 6 mos China – National Natural Science Foundation announced in May 2014 that funded papers must be archived within 12 mos
  • #13: Canada = -tri council – SSHRC, CIHR and NSERC working towards a harmonized OA policy; goal by fall 2014 -currently: -SSHRC & NSERC “encourages” OA -CIHR: As of January 1, 2008, researchers must make papers OA thru publisher or IR within 12 mos
  • #16: I can provide a list of Canadian libraries with OA funds that I compiled and point you to another list from SPARC that includes US libraries
  • #27: “Open access increases cites to the best content (top-ranked journals or articles in upper quintiles of citations within a volume) but reduces cites to lower-quality content.”
  • #33: This article was funded by Brock’s Open Access fund. I worked with the author to find a suitable OA venue and suggested Cancer Cell International. It was a good fit and her article was accepted July, published in January. It created a very strong reaction including significant positive media coverage and social media sharing. This kind of impact – sharing critical research results which can affect people’s lives – really highlights the significance of Open Access. My role in funding the article and supporting the author made me feel really good.