Abstracts SPARC Open Access Meeting 2012

Opening Keynote

John Wilbanks, Fellow, Ewing Marion Kauffman Foundation

The transition from analog to digital publishing has to date been dominated by the digitization of papers into PDFs. But the real disruption is rapidly approaching: datasets and multimedia as first-rank scientific artifacts, the separation of validity and impact in peer review, and the uncertain future of business models carried over from print. The emerging information landscape brings together these technical and financial changes as well as the full-throated entry of policymakers and funders, and we need to pay special attention to the new sociological and cultural environment into which knowledge is published if we are to take full advantage of the technical environment in which we find ourselves. This keynote will examine all of these issues and explore scenarios that are implied, but far from guaranteed.

National and institutional policy adoption – the impact on faculty and the role of the library
From our college and university campuses to the Halls of Congress, there is an increased focus on developing policies to ensure that the results of research can be communicated widely and used robustly in the digital environment.  This session will provide a snapshot of the current "State of Play” for such policies, with experts discussing current events as well as identifying emerging trends from campus, National and International policy circles.  

Speakers will explore campus developments ranging from the development of new Open Access policies to the formation of the COAPI group; discuss the latest twists and turns from the U.S. Legislative and Executive branches, and note current opportunities for Open Access policy discussion and development across the European continent. They will also explore the current impact of existing policies, drawing on data wherever available. With new developments emerging on a weekly basis, this session will provide important perspectives and the latest information to help keep the library community up to date in this important arena.

Lars Bjørnshauge, Director of European Library Relations, SPARC
OA in Europe--Latest Developments

The European landscape is rather diverse and complex. With nearly 50 countries, 20+ languages, huge differences in terms of economy and culture. Given that, it is not easy to provide a complete overview of OA in Europe. Nevertheless at lot has been done in Europe, on the institutional and national level, as well in supranational associations, organizations and bodies, not least in and around the European Commission. This presentation will highlight examples of national OA policies and coordination and promotion programs. Numerous research funders have issued OA mandates and research funder associations have issued OA statement and policies. The talk will also touch upon the current and future initiatives of the EU, where important statements and programs are underway and are subject to intense lobbying activities. A number of OA organizations are operating in Europe; important work has been done and will continue. SPARC's renewed European agenda will among other things try to facilitate synergy not only within Europe, but also contribute to tackling the various issues related to infrastructure, standardization, sustainability and consolidation – issues that are really global in nature, and thus require global collaboration in order to maximize impact on the road towards a new system of scholarly communication.

Neil M. Thakur, Special Assistant to the NIH Deputy Director for Extramural Research
The NIH Public Access Policy: What it is and what it is not

This presentation will provide an overview to the NIH Public Access Policy, how works, what it is designed to do, what it is not designed to do, and its impacts.  The policy is intended to maximize the benefit of NIH’s direct investment in peer-reviewed journal articles.  It has been a statutory mandate since 2008, and is designed to provide fair use access to NIH supported papers.  Therefore, the policy is not intended, nor has it, facilitated goals of the open access movement beyond fair use access, such as changing journal pricing or publisher business models.  The policy works by having NIH pay for the research, salary time for manuscript preparation, and reimbursing awardees for all publication and dissemination costs from their NIH awards. It requires awardees to ensure authors retain rights to post their peer-reviewed manuscript to PubMed Central (PMC), a full text XML archive, or have the peer-reviewed manuscript or final published version posted to PMC on their behalf.  Archive structures are important; XML provides the technological basis to move literature archives from storage and retrieval tools to a problem solving tools.  Policy impacts will also be discussed. Since 2008, the policy has made public over 260,000 NIH supported papers.  During this same time period, the number of biological sciences and agriculture journals and medicine and health journals increased 15% and 19%, respectively, and the average prices of biology journals and health sciences journals increased 26% and 23%, respectively.

Ellen Finnie Duranceau, Program Manager, MIT Libraries Office of Scholarly Publishing & Licensing
Lessons from Open Access Policy Implementers:The Current State of the Art

Reviews the landscape of campus open access policies in the US, summarizing actions taken by early open access policy implementers; publisher responses; the formation of a new coalition of open access policy institutions and its role; and open access funds as another aspect of transforming scholarly publishing in the direction of more open access to research.

Digital repositories – building a worldwide infrastructure alongside trust for authors and users
Until recently, the predominant role of open repositories has been to support the dissemination of research outputs. However, digital repositories are not simply institutional tools for providing access to research papers. They are also being used to measure research impact and are being incorporated into local and national research assessment processes. They collect much more than research papers, and are being used to share research data, amongst other things. Open repositories are becoming a key element in the broader international e-research ecosystem. They have the potential to form a global network providing unified preservation, access, and re-use of research outputs. However, these new roles for repositories also require new approaches, not only technological but organizational and political. Interoperability will be a critical feature as repositories become further integrated into research processes, and it will be necessary for the repository community to collaborate closely together, and engage actively with the other components of the e-research ecosystem. This session will provide an overview of the changing landscape for open repositories, and present some specific examples of how repositories are evolving beyond static tools to become more active players within e-research and scholarly communication.

Kevin Ashley, Director, Digital Curation Centre
Trust: when we need it, how to get it

Repository owners demand trust from all of those they interact with. We ask depositors to trust us that we will take care of their material, make it available to those who should have it and protect it from those who should not, and not misrepresent the depositor in the process. We ask consumers to trust that we have done these things, that our holdings are accurate and that the services we provide on top – such as access via OAI-PMH – provide appropriate information.

Some of those consumers are other repository operators just like us, and we expect them to trust us just as much as they trust themselves. And we ask our funders, whoever they may be, to trust us that we are spending their money in their best interests, wisely and prudently, and that we can predict now and in the future how much more we will need and why.
We ask a lot, and and we don't do a lot to prove we are deserving of it. How much trust is really needed is one question I'll examine. I'll also discuss the more formal ways in which trust can be demonstrated, through mechanisms such as DSA and TRAC and standards such as ISO 16363. And for those who don't understand the acronyms, I'll be explaining them as well – but you'll have to trust me on that.

Thornton Staples, Director, Office of Research Information Services Smithsonian Institution

The Smithsonian Institution supports research activities in all aspects of science and cultural heritage in both research institute and museum settings. This presentation will describe an information architecture that captures the structure and context of a research project, as well as all of the content generated by it. The goal of the project is to support the researchers to get their information into a trusted repository as the first stage in the information lifecycle, then to be able to manage, analyze and disseminate the information in a linked-data world, retaining ownership and control until they are ready for it to pass to an institution to be curated for the long term. The first version of the software, implemented in Fedora and Islandora, will be discussed.

Tyler Walters, Dean, University Libraries, Virginia Tech
Advancing the fourth paradigm of research: Assimilating repositories into active research phases

The repository movement in libraries is maturing beyond its initial phase of content aggregation and management. Increasingly, repository managers and designers are focusing on integrating repositories into active phases of the research process. Such integration also points toward new organizational, political, and technological approaches to scientific and scholarly communication as well. Hence, repository professionals are emphasizing the need to comprehend e-research methods and environments and erecting associated cyberinfrastructure. They are weaving their repositories into “virtual ecosystems,” which are holistic and support communities of practice. At the same time, researchers are analyzing and visualizing repository content in new ways to derive new knowledge and meaning. They also are sharing their questions, insights, and findings increasingly through social media. These new systems also support initiating workgroups and the workflows that stem from sponsored research. The presenter will examine integrating repositories into research processes, specifically looking at ‘early stage’ deposit activities, use of software tools and toolkits with repository content, and integrating virtual communities and their capabilities. He will use a sample of innovative repository projects to illustrate these developments.

The Current Complexities of Author Rights in a Global, Open (or not) Access Environment
This panel will address current issues surrounding the rights and reuse of research and scholarship production, in three segments:  author rights and creative commons licensing; rights and open data; and publisher agreements.  Speakers will address major trends and issues regarding: the strategy of negotiating with publishers to include author-rights language in content licenses; the use and adoption of Creative Commons licenses; the complexities of the rights issues for sharing open data; and strategies for working with key players, including authors, publishers, and research sponsors to advance open access.

Michael Carroll, Director, Program on Information Justice and Intellectual Property, American University

Copyright is an author’s right, but too many scholarly authors routinely transfer their rights to publishers without providing for open access.  This presentation will address how copyright works with funder open access policies, university policies, and author strategies for providing open access to their work.

Open-Access Publishing: Going for Gold
As Open Access publishing (the "gold model") continues to expand its market share, the time has come to assess its impact, examine some of the issues that have emerged, and plan how libraries can support further growth. Caroline Sutton will give a broad introduction, assessing the increasing impact of Open Access (OA) publishing today, and ways of measuring this. She will also discuss issues of definition and trust that have arisen and how the community is addressing them. Finally, she'll identify key trends to watch in the industry, especially the entry of new actors into the OA market (such as eLife), major growth in the amount of content produced by OA publishers, and increasing acquisitions and mergers activity. Speakers will then focus on two proven strategies that libraries can engage in to support OA publishing; allocating funds to reimburse campus-based researchers who publish in OA journals, and supporting library publishing services. Chuck Eckman will survey existing publishing funds. He will share steps libraries should take and issues to consider when setting up funds, and suggest ways of assessing their impact. Tim Deliyannides will give an overview of the current state of library publishing services, and then focus on his experiences at Pittsburgh. He will share strategies for sustaining publishing services such as establishing an advisory board, entering into written agreements with publication “sponsors,” and introducing cost recovery options. There will be opportunities to ask specific questions of each speaker, and a panel discussion at the end. Delegates should expect to take away an understanding of the state of "gold" Open Access publishing, especially in North America, and some practical strategies their institutions can adopt to advance these initiatives.

Timothy Deliyannides, Director, Office of Scholarly Communication and Publishing and Head, Information Technology, University of Pittsburgh Libraries
Incentivizing Open Access: the Library as Publisher 

Academic libraries are demonstrating an increased commitment to transforming the scholarly publishing industry by becoming publishers themselves.  As publisher, the library can take direct action to foster the growth of Open Access publishing as a viable alternative to the traditional publishing model. The University Library System (ULS), University of Pittsburgh has developed an innovative program to support journal publishing services for partners worldwide. Moving beyond support for the home institution, the ULS now offers its services to partners anywhere who share a commitment to Open Access for high-quality peer-reviewed scholarly content. By subsidizing OA publishing, libraries can provide real material support to the principle of Open Access to scholarly research and incentivize scholars worldwide to join in this commitment. To ensure sustainability of its program, the ULS has developed an efficient process and suite of tools with the Public Knowledge Project’s Open Journal Systems (OJS) software as a foundation to work with new publishing partners and encourage them to become nearly self-sufficient in publishing new peer-reviewed content.   Thus, each new journal can be added with only very small incremental costs.  Strategies to uphold the quality and sustainability of the program include careful selection of publishing partners, the formation of a Publication Advisory Board and the planned introduction of modest cost recovery mechanisms to sustain future growth.

Caroline Sutton, Publisher, Co-Action Publishing and President, OASPA, the Open Access Scholarly Publishers Association 
The increasing impact of Open Access publishing and key trends in today’s marketplace

In this presentation I will assess the increasing impact of Open Access (OA) publishing today. While Open Access publishing (gold) has become an established part of the scholarly communications landscape, several trends can be discerned that are impacting upon Open Access publishing and publishing more broadly. These are: 1) New entrants to the OA publishing market, including both legacy publishers and new actors (such as eLife), 2) Major growth in OA publications, 3) Opportunities for new metrics in the digital environment, 4) Acquisitions activities involving OA publishing businesses, and 5) Open Access publications in the broad context of Open Science. In this presentation I will discuss each of these trends, their further implications and questions that can be raised in relation to them, such as: the rise of mega journals, the need to manage a growing number of OA publication fees, copyright and licensing policies, vetting practices to determine serious publishers, metrics for measuring the impact of publications, open data, and the role of OASPA in these areas.

Charles Eckman, University Librarian and Dean of Library Services, Simon Fraser University
Institutional Open Access Funds: Implementation Issues

It has been six years since libraries at the University of Wisconsin and University of North Carolina at Chapel Hill pioneered the concept of allocating funds to reimburse campus-based researchers who publish in open access journals.  The growth of such funds across North American universities has been steady since then—at least twenty-one such funds are currently in place.  This trend reflects in part the adoption of the article processing charge (APC) model by a wide range of OA publishers.  Although grant-based funding is available to subsidize OA APC’s for some researchers, such resources are not available to all authors. Several campus-based OA funds have been established as part the commitments made by adherents to the Compact on Open Access Publishing Equity (COPE).  This presentation provides practical advice and addresses the value and impact that OA funds can bring to authors, institutions and the broader community.  Steps for libraries to take and issues to consider when setting up such a fund include: consulting with stakeholders; identifying funding sources; articulating goals; determining eligible applicants; addressing hybrid journals; budgeting; implementing workflows; promoting the fund and assessing its effectiveness.   Director, Digital Curation CentreUniversity Librarian and Dean of Library Services, Simon Fraser University

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