open access and new forms of publishing in economics, social sciences and the humanities
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Information event organised by D-MTEC, D-GESS & ETH-Bibliothek
ETH Zurich, 25 November 2013
Barbara Hirschmann, E-Publishing Office, ETH-Bibliothek
OPEN ACCESS AND NEW FORMS OF PUBLISHING
IN ECONOMICS, SOCIAL SCIENCES AND THE HUMANITIES
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OPEN ACCESS:
STATEMENTS, QUESTIONS AND FEARS
«We are in the hands of thepublishers.» (Umfrage ETH-Bibliothek, 2012)
«Ein Artikel muss im Web of Science zitiert werden, sonst ist es verlorene Literatur.» (Umfrage ETH-Bibliothek, 2012)
«Es darf nicht zum Zwang werden, man sollte die Wahl haben.»(Umfrage ETH-Bibliothek, 2012)
Who is responsible for quality control in
open access publications?
How does peer review go together with
open access?
How can an open access publications
reach a good reputation?
Who pays for an open access publication?
With open access copyright is in danger.
Why should I publish open
access?
3
What is Open Access?
OPEN ACCESS
«Open access […] literature is digital, online, free of charge,
and free of most copyright and licensing restrictions.»
(Peter Suber, 2012)
without costs for the readeraccessible
possibility to reuse
• Download
• Copy
• Distribute
• Search
• …
4
TRADITIONAL PUBLICATION CYCLE
Author(as producer)
Publisher
Bookseller/ Library Supplier
Library
Author(as recipient)
5
TRADITIONAL PUBLICATION CYCLE
Author(as producer)
Publisher
Bookseller/ Library Supplier
Library
Author(as recipient)
peer review
layout, copy-editing
distribution
selection &
acquistion
delivery
Paid by
taxpayer
Paid by
taxpayer
6
THE SERIALS CRISIS
Annual US journal price increases compared to Consumer Price Index (CPI).
Source: http://allenpress.com/system/files/pdfs/library/2012_AP_JPS.pdf
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JOURNAL PRICES
Science
Impact
Factor:
1.54
$ $=
Journal of applied polymer science
$$
Impact
Factor:
1.3
=
Journal of non-crystalline solids
$
Impact
Factor:
31,2
$
8
JOURNAL PRICES
Source: Bosch, Stephen and Kittie Henderson. «The Winds of Change. Periodicals Price
Survey 2013.» Library Journal 21 July 2013. URL:
http://lj.libraryjournal.com/2013/04/publishing/the-winds-of-change-periodicals-price-survey-
2013 [18.11.2013]
9
PROFIT MARGINS
IN SCIENTIFIC PUBLISHING
0.00%
5.00%
10.00%
15.00%
20.00%
25.00%
30.00%
35.00%
40.00%
Source: http://de.slideshare.net/cirasella/open-access-which-side-are-you-on-oa-week-2013
[22.11.2013]
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Journals electronic format
current, printed format
14 600
5 380
Databases 145
Books, reference works e-Books
printed papers (monographs and
bound volumes)
105 000
2 887 000
Dissertations, reports documents ETH E-Collection
reports and microfiches
28 000
2 213 000
Maps incl. plans 403 000
… … …
RESOURCES AND DOCUMENTS HELD
BY THE ETH-BIBLIOTHEK
12
USAGE OF PRODUCTS OF THE
ETH-BIBLIOTHEK
0
250,000
500,000
750,000
1,000,000
1,250,000
1,500,000
1,750,000
2,000,000
2,250,000
2,500,000
2,750,000
3,000,000
3,250,000
3,500,000
3,750,000
4,000,000
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Usage of products ETH-Bibliothek 2001 – 2012
Loans (printed documents)
Document delivery
subito, FIZ
Accesses library website
Accesses databases
Accesses licensed electronic journals
Accesses ETH E-Collection (PDF downloads)
Accesses e-books
13
ACQUISITIONS BUDGET OF THE
ETH-BIBLIOTHEK
60%13%
14%
9%3%
journals (online and print)
databases
e-books
monographs and serials
other
14
OPEN ACCESS
• A way out of the serials crisis?
• A way out of library budget
problems?
• Solve copyright restriction
problems?
15
OPEN ACCESS
• Increased visibility and higher citation rates
• Fast, toll-free access to information
• Good findability via search engines
• All the benefits of digital documents
• Promotes international and inter-
disciplinary cooperation
• Greater research efficiency through early
discussion of results
• Authors retain copyright
• Open access to publicly-funded research
results
• Long-term document availability
• Benefits in networked, IT-supported work
environments
16
Open Access – The Green Road
OPEN ACCESS – THE GREEN ROAD
Author(as producer)
Publisher
Bookseller / Library Supplier
Library
Author(as recipient)
Peer Review
layout, copy-editing
distribution
selection &
acquistion
delivery Publication in
Repository
17
OPEN ACCESS – THE GREEN ROAD
0
250,000
500,000
750,000
1,000,000
1,250,000
1,500,000
1,750,000
2,000,000
2,250,000
2,500,000
2,750,000
3,000,000
3,250,000
3,500,000
3,750,000
4,000,000
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
Usage of products ETH-Bibliothek 2001 – 2012
Loans (printed documents)
Document delivery
subito, FIZ
Accesses library website
Accesses databases
Accesses licensed electronic journals
Accesses ETH E-Collection (PDF downloads)
Accesses e-books
18
Self-Archiving in Open Access repositories
OPEN ACCESS – THE GREEN ROAD
Institutional
Repository
Disciplinary
Repository
OpenDOAR (Directory of Open Access Repositories)
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OPEN ACCESS – THE GREEN ROAD
20
OPEN ACCESS – THE GREEN ROAD
21
OPEN ACCESS – THE GREEN ROAD
Persistent Identifier
Free of charge
Disciplinary collection
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OPEN ACCESS – THE GREEN ROAD
Persistent Identifier (DOI)
Long term archiving
Free of charge
Up-to-date download statistics
When publishing in ETH E-Collection you comply with Open Access mandates
of ETH Zurich, SNSF, and the European Commission!
Metadata transfer to E-Citations
23
Publishing in Open Access Journals
• Quality Control (Peer Review)
• Different funding mechanisms
• Article Processing Charges
• Author retains Copyright (standard licence: CC-BY)
OPEN ACCESS – THE GOLDEN ROAD
24
Open Access – The Golden Road
1. Choose a Journal
List of OA Journals with impact factor: http://labs.biblioteca.uoc.edu/test/doaj/
2. Avoid publishing with predatory OA Publishers:
– Beall’s List: http://scholarlyoa.com/publishers/
– OASPA: Open Access Scholarly Publishers Association
OPEN ACCESS – THE GOLDEN ROAD
25
Funding
• Research Funds
• ETH Zurich memberships
• Open Access Option («Hybrid Journals»): Not financed by ETH Zurich!
e.g. Springer Open Choice, Elsevier Sponsored Articles, Wiley Online Open, ….
OPEN ACCESS – THE GOLDEN ROAD
$
2500,-
$
1140,-$ 0,-
26
Correlation of APCs with Journal’s Impact Factor
Source: Theo Andrew (2012): Gold Open Access: Counting the Costs, http://www.ariadne.ac.uk/issue70/andrew.
OPEN ACCESS – THE GOLDEN ROAD
27
OPEN ACCESS – THE GOLDEN ROAD
Source: Laakso and Björk BMC Medicine 2012, 10:124 doi:10.1186/1741-7015-10-124
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OPEN ACCESS – THE GOLDEN ROAD
0.00%
2.00%
4.00%
6.00%
8.00%
10.00%
12.00%
14.00%
16.00%
18.00%
2008 2009 2010 2011
Delayed OA
Hybrid OA
In full immediate OA journals
Source: based on Laakso and Björk BMC Medicine 2012, 10:124 doi:10.1186/1741-7015-10-124
29
OPEN ACCESS – THE GOLDEN ROAD
Source: Laakso and Björk BMC Medicine 2012, 10:124 doi:10.1186/1741-7015-10-124
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New Publishing Models: Megajournals
OPEN ACCESS – THE GOLDEN ROAD
Source: Davis, Phil: The Rise and Fall of PLOS ONE’s Impact Factor (2012 = 3.730).
The scholarly kitchen. URL: http://scholarlykitchen.sspnet.org/2013/06/20/the-rise-and-
fall-of-plos-ones-impact-factor-2012-3-730/
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New Publishing Models
OPEN ACCESS – THE GOLDEN ROAD
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• Publication of the submitted version as “Discussion Paper”
within 3 weeks
• Review by
• invited referees (classic peer review)
• Registered readers (open assessment)
• Published or rejected as “Journal Article”
• Discussion Paper with all comments remains accessible to
the public
• Journal included in SSCI since 2012
OPEN ACCESS – THE GOLDEN ROAD
33
• «Delayed Open Access»:
Open Access to Publisher Backlists
(books / journals)
e.g. retro.seals.ch
• Pilot projects with
Open Access Book Publishing
• Research funder initiatives (DFG, Wellcome Trust,
Austrian Science Fund)
OPEN ACCESS IN THE HUMANITIES
34
The Open Access Movement & ETH
2002 Budapest Open Access Initiative
2003 Berlin Declaration on Open Access to Scientific Knowledge
2006 ETH Zurich signs Berlin Declaration
2008 ETH Zurich adopts Open Access Policy
OPEN ACCESS @ ETH ZURICH
35
ETH Zurich Open Access Policy (2008)
OPEN ACCESS @ ETH ZURICH
“The ETH Zurich requires of staff and postgraduate students to post
electronic copies of any research papers that have been accepted
for publication in a peer-reviewed journal (post-prints), theses and other
scientific research output (monographs, reports, proceedings, videos
etc.), to be made freely available as soon as possible into the
institutional repository ETH E-Collection, if there are no legal
objections. The ETH Zurich expects authors where possible, to retain
their copyright. For detailed information see the rules of the ETH E-
Collection.”
“The ETH Zurich encourages their researchers to publish in a
suitable Open Access journal where one exists and will cover a part of
the publication costs.”
www.library.ethz.ch/open-access
36
Open Access in FP 7• FP7: Open-Access pilot
• Grant agreements in seven areas contain special clause 39
«Open Access»
• Articles originating from these projects must be deposited to an online
repository latest 6 / 12 months after publication (sciences / social sciences
& humanities)
• Article Processing Charges are eligible (limited to duration of project)
Open Access in Horizon 2020• From OA pilot in FP7 to OA mandate in Horizon 2020
• Possibility for funding of Article Processing Charges after project ends
• Pilot for Open Research Data
OPEN ACCESS IN THE EU
37
Swiss National Science Foundation
• requires its grant recipients to self-archive their
publications in peer-reviewed journals on an
open-access repository
• offers researchers the opportunity to claim
publication fees for articles in open-access
journals of up to CHF 3’000 as project costs
OPEN ACCESS @ SNSF
38
International Developments
Great Britain
• Research Councils UK: direct funding to
Universities for financing APCs from 2013
United States:
• NIH to withhold grant money to enforce OA
policy
OPEN ACCESS MANDATES
39
Quelle: http://www.sherpa.ac.uk/news/2012-12-12-JULIET-Upgrade.html [17.12.2012]
OPEN ACCESS MANDATES
40
• Self-Archiving
• What is allowed?
• How do I retain my rights?
COPYRIGHT – SELF-ARCHIVING
41
• Publishers usually allow some sort ofself-archiving
• Where to look it up?
• Copyright Transfer Agreement
• SHERPA/RoMEO Database
COPYRIGHT – SELF-ARCHIVING
“ETH Zurich requires of staff and postgraduate students to post
electronic copies of any research papers [¨…] into the institutional
repository ETH E-Collection, if there are no legal objections.”
42
Where?
• Author’s website
• Institutional
repository
• Disciplinary
repository
Which format?
• Usually Postprint
(= author’s
manuscript after peer
review)
When?
• Possible embargos
between 2 and 24
months
43
What does this mean?
• Read the publication agreement with great care
• Transferring copyright doesn’t have to be all or nothing
• Publishing agreements are negotiable
• Use the SPARC author addendum
COPYRIGHT- SELF-ARCHIVING
“The ETH Zurich expects authors where
possible, to retain their copyright.”
44
Creative Commons Licences
COPYRIGHT - LICENSING
CC BY:
Creative Commons Attribution Licence
CC BY NC:
Creative Commons Attribution Non-Commercial Licence
45
A Vision for the future?
THE FUTURE OF PUBLISHING
Björn Brembs,
Professor of Neurobiology,
University of Regensburg
Source:
http://de.slideshare.net/brembs/some-technical-hurdles-towards-open-science
Is a publishing system
without journals
feasible?
• Peer Review?
• Prestige?
• Impact Factor?
46
• Open Access publishing is developing steadily, but slowly
• The financial aspects of Gold Open Access are not solved• Can financial savings be achieved?
• Who will finance additional costs during the “transition period”
• Can the power of the big publishers be cut down?
• Green Open Access probably not to become a standard if it does not come with strong enforcement mechanisms
CHALLENGES REMAIN…
47
www.library.ethz.ch/open-access
http://e-collection.library.ethz.ch
e-publishing@library.ethz.ch
CONTACTS
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