Commission study addresses Europe's scientific publication system

Stevan Harnad harnad at ECS.SOTON.AC.UK
Tue Apr 18 15:40:54 EDT 2006


On 18-Apr-06, at 1:53 PM, Eugene Garfield wrote:

> Subject:  Commission study addresses Europe's scientific  
> publication system
> The European Commission has published a study
> The study... makes a number of recommendations for future action,
> including:
> *       Guaranteed public access to publicly-funded research, at  
> the time of
> publication and also long-term...
> http://europa.eu.int/comm/research/science-society/pdf/scientific- 
> publication-study_en.pdf
Given that Gene has posted the above to Sigmetrics, here is some  
pertinent follow-up:

Suggestion for Optimising the European Commission's Recommendation to  
Mandate Open Access Archiving of Publicly-Funded Research

The European Commission "Study on the Economic and Technical  
Evolution of the Scientific Publication Markets in Europe" has made  
the following policy recommendation:

RECOMMENDATION A1. GUARANTEE PUBLIC ACCESS TO PUBLICLY-FUNDED  
RESEARCH RESULTS SHORTLY AFTER PUBLICATION.

"Research funding agencies have a central role in determining  
researchers' publishing practices. Following the lead of the NIH and  
other institutions, they should promote and support the archiving of  
publications in open repositories, after a (possibly domain-specific)  
time period to be discussed with publishers. This archiving could  
become a condition for funding. The following actions could be taken  
at the European level: (i) Establish a European policy mandating  
published articles arising from EC-funded research to be available  
after a given time period in open access archives [emphasis added],  
and (ii) Explore with Member States and with European research and  
academic associations whether and how such policies and open  
repositories could be implemented."
  The European Commission’s Recommendation  A1 is very welcome and  
potentially very important, but it can be made incomparably more  
effective with just one very simple but critical revision concerning  
what needs to be deposited, when (hence what can and cannot be delayed):

  For the purposes of Open Access, a research paper has two elements  
– (i) the whole document itself (called the “full-text) and (ii) its  
bibliographic metadata (its title, date, details of the authors,  
their institutions, the abstract and so forth). This bibliographic  
information can exist as an independent entity in its own right and  
serves to alert would-be users to the existence of the full-text  
article itself.

EC Recommendation A1 should distinguish between  first (a) depositing  
the full text of a journal article in the author’s Institutional  
Repository (preferably, or otherwise any other OAI-compliant Open  
Access Repository – henceforth referred to collectively as OARs; see  
Swan et al. 2005) and then deciding whether to (b1) allow Open Access  
to that full-text deposit, or to (b2) allow Open Access only to its  
bibliographic metadata and not the full-text. EC Recommendation A1  
should accordingly specify the following:

Depositing the full-text of all journal articles in the author's OAR  
is mandatory immediately upon acceptance for publication for all EC- 
funded research findings, without exception.
In addition, allowing Open Access to the article’s bibliographic  
metadata at the time of deposit (i.e., immediately upon acceptance  
for publication) is always mandatory.
However, allowing Open Access to the full-text of the article itself  
immediately upon deposit is merely encouraged wherever possible, but  
not mandatory; full-text access can be made Open Access at a later  
time if necessary: The OAR software enables the author to allow Open  
Access to either the whole article or to its bibliographic metadata  
only.

This separate treatment of the rules for (a) depositing and for (b)  
access-setting provides authors with the means of abiding by the  
copyright regulations for the articles published in the 7% of  
journals that have not yet explicitly given their official green  
light to authors to provide immediate Open Access through self- 
archiving (as  93% of journals have already done). Authors can make  
their full-text Open Access at the time agreed with the publisher  
simply by changing the access-setting for the deposit at the chosen  
time.

Meanwhile, however, the  bibliographic metadata for all articles are  
and remain openly accessible to everyone from the moment of  
acceptance for publication, informing users of the existence and  
whereabouts of the article. During any publisher-imposed embargo  
period, would-be users who access the metadata and find that they  
cannot access the full-text can email the author individually to  
request an eprint -- and the author can then choose to email the  
eprint to the requester, or not, as he wishes, exactly as authors did  
in paper reprint days.

The European Commission is urged to make this small but extremely  
important change in its policy recommendation. It means the  
difference between immediate 100% Open Access and delayed, embargoed  
access for years to come.

Pertinent Prior American Scientist Open Access Forum Topic Threads:

  2002: "Evolving Publisher Copyright Policies On Self-Archiving"  
http://www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#2351

2003:    “Draft Policy for Self-Archiving University Research Output”  
http://www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#2550

"What Provosts Need to Mandate" http://www.ecs.soton.ac.uk/~harnad/ 
Hypermail/Amsci/subject.html#3241

"Recommendations for UK Open-Access Provision Policy" http:// 
www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#3292

2004:    "University policy mandating self-archiving of research  
output" http://www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/ 
subject.html#3292

"Mandating OA around the corner?" http://www.ecs.soton.ac.uk/~harnad/ 
Hypermail/Amsci/subject.html#3830

"Implementing the US/UK recommendation to mandate OA Self-Archiving"  
http://www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#3892

"A Simple Way to Optimize the NIH Public Access Policy" http:// 
www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#4092

2005:   "Comparing the Wellcome OA Policy and the RCUK (draft) Policy"  
http://www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#4549

"New international study demonstrates worldwide readiness for Open  
Access mandate" http://www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/ 
subject.html#4605

"DASER 2 IR Meeting and NIH Public Access Policy" http:// 
www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#4963

"Mandated OA for publicly-funded medical research in the US" http:// 
www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#4982

2006:   "Mandatory policy report" (2) http://www.ecs.soton.ac.uk/ 
~harnad/Hypermail/Amsci/subject.html#4979

"The U.S. CURES Act would mandate OA" http://www.ecs.soton.ac.uk/ 
~harnad/Hypermail/Amsci/subject.html#5046

"Generic Rationale and Model for University Open Access Mandate""  
http://www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#5216

"U. California: Publishing Reform, University Self-Publishing and  
Open Access" http://openaccess.eprints.org/index.php?/archives/57- 
guid.html

"A Simple Way to Optimize the NIH Public Access Policy" http:// 
openaccess.eprints.org/index.php?/archives/64-guid.html

"Optimizing Open Access Guidelines of Deutsche  
Forschungsgemeinschaft" http://openaccess.eprints.org/index.php?/ 
archives/70-guid.html

"Optimizing MIT's Open Access Policy" http://openaccess.eprints.org/ 
index.php?/archives/74-guid.html

Future UK Research Assessment Exercise (RAE) to be Metrics-Based  
http://openaccess.eprints.org/index.php?/archives/75-guid.html

Optimizing the European Commission's Recommendation for Open Access  
Archiving of Publicly-Funded Research http://openaccess.eprints.org/ 
index.php?/archives/78-guid.html

APPENDIX

Why it is so important that research should be deposited immediately,  
rather than delayed/embargoed

The reasons are six:

(1) Science is done (and funded) in order to be used, not in order to  
be embargoed.

(2) For fast-moving areas of science especially, the first few months  
from publication are the most important time for usage and progress  
through immediate uptake and application to further ongoing research  
worldwide. Studies show that early usage has a large, permanent  
effect on research impact (Kurtz et al. 2004; Brody & Harnad 2006).  
Limiting the possibility of early usage therefore means a large and  
permanent loss of potential research impact.

                (3) If the metadata of all Restricted Access articles are visible  
worldwide immediately alongside all Open Access articles, individual  
researchers emailing the author                 for an eprint of the full text will  
maximise early uptake and usage almost as rapidly and effectively as  
setting access privileges to Open Access immediately. The                       OAR  
software is designed to simplify and accelerate this to just a few  
keystrokes.
(4) For this, it is critical that the deposit of both the full-text  
and bibliographic metadata should be immediate (upon acceptance for  
publication) and not delayed.

(5) If the EC policy were instead to allow the deposit to be delayed  
for 6-12 months or more, the result would be to entrench instead of  
to eliminate usage-denial for research findings that were made and  
published in order to be used, immediately.

(6) Publisher copyright agreements concern making the full text  
publicly accessible, whereas authors depositing their full-texts in  
their own OAR without public access -- and emailing individual  
eprints on request from fellow-researchers -- constitutes Fair Use.

(a) Self-archiving increases research usage and impact by 25-250%  
http://opcit.eprints.org/oacitation-biblio.html

(b) But only 15% of researchers as yet self-archive spontaneously  
http://citebase.eprints.org/isi_study/

(d) 95% of researchers report they will comply if self-archiving is  
mandated by their institution and/or research funder http:// 
eprints.ecs.soton.ac.uk/11006/

(d) 93% of journals already officially endorse author self-archiving  
http://romeo.eprints.org/stats.php

(e) For the remaining 7% of articles, immediate deposit can still be  
mandated, and for the time being access can be provided by emailing  
the eprinthttp://www.jiscmail.ac.uk/cgi-bin/webadmin? 
A2=ind0604&L=jisc-repositories&T=0&O=D&P=1908

Open Access maximises research access, usage, impact and progress,  
maximising benefits to research itself, to researchers, their  
institutions, their funders, and those who fund the funders, i.e.,  
the tax-paying public for whose ultimate benefit the research is  
done. Access to the research corpus also provides secondary benefits  
to students, teachers, the developing world, industry, and the  
general public.

ROAR (Registry of Open Access Repositories) tracks the Institutional  
and Central Open Access Repositories (OARs) worldwide as well the  
individual growth of each http://archives.eprints.org/ (see also  
OpenDOAR (Directory of Open Access Repositories) http:// 
www.opendoar.org/ , which  provides a human-confirmed subset of ROAR  
plus classification details coverage in alliance with DOAJ, the  
Directory of Open Access Journals http://www.doaj.org/ ).

ROARMAP (Registry of Open Access Repository Material Access Policies)  
tracks the adoption of Open Access Self-Archiving Policies in  
institutions worldwide http://www.eprints.org/signup/fulllist.php

ROMEO (Directory or Journal Open Access Self-Archiving Policies):  
tracks the growth in the number of journals giving their “green  
light” to author self-archiving: 93% of the over 9000 journals so far  
endorse some form of immediate author self-archiving: http:// 
romeo.eprints.org/stats.php

REFERENCES

Brody, T. and Harnad, S. (2006) Earlier Web Usage Statistics as  
Predictors of Later Citation Impact. Journal of the American  
Association for Information Science and Technology. http:// 
eprints.ecs.soton.ac.uk/10713

Harnad, S. (2006) Publish or Perish ? Self-Archive to Flourish: The  
Green Route to Open Access. ERCIM News 6 http://www.ercim.org/ 
publication/Ercim_News/enw64/harnad.html Kurtz, M. J., Eichhorn, G.,  
Accomazzi, A., Grant, C. S., Demleitner, M., Murray, S. S. (2004) The  
Effect of Use and Access on Citations Information Processing and  
Management 41 (6): 1395-1402 http://cfa-www.harvard.edu/~kurtz/IPM- 
abstract.html

Swan, A., Needham, P., Probets, S., Muir, A., Oppenheim, C., O’Brien,  
A., Hardy, R., Rowland, F. and Brown, S. (2005) Developing a model  
for e-prints and open access journal content in UK further and higher  
education. Learned Publishing 18(1) pp. 25-40. http:// 
eprints.ecs.soton.ac.uk/11000

        ABSTRACT: A study carried out for the UK Joint Information Systems  
Committee examined models for the provision of access to material  
institutional and subject-              based archives and in open access  
journals. Their relative merits were considered, addressing not only  
technical concerns but also how e-print provision (by authors)  can  
be achieved -- an essential factor for an effective e-print delivery  
service (for users). A "harvesting" model is recommended, where the  
metadata of articles                    deposited in distributed archives are  
harvested, stored and enhanced by a national service. This model has  
major advantages over the alternatives of a national            centralized  
service or a completely decentralized one. Options for the  
implementation of a service based on the harvesting model are presented.

  "Central vs. Distributed Archives" (1999-2003) http:// 
www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#294

  "Central versus institutional self-archiving" (2003-2006) http:// 
www.ecs.soton.ac.uk/~harnad/Hypermail/Amsci/subject.html#3207





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