A Global View of Open Access – Part 5

Part 5: A perspective on Open Access in Germany

I am very pleased to introduce the fifth article in this series of snapshots of the progress towards open access around the globe. Authors Norbert Lossau, Birgit Schmidt and Margo Bargheer from the University of Goettingen have written a definitive summary of progress towards open access in Germany. Although Germany, with the Berlin declaration, was one of the pioneers in the move towards open access for research publications and many German universities and funding agencies have official open access policies, these OA policies have not resulted in an enforced mandate. Instead, organizations like the Federal funding agency, the DFG, and the Federal Ministry of Research and Education, have provided support for the implementation of open access in a number of interesting ways, ranging from the creation of publication funds to changes in the copyright law. The German OA activities have also been closely linked to activities supported by the European Commission. The article presents an informative and authoritative picture of the progress towards full open access to research papers, and of the complexities in its implementation.

Tony Hey
February 2014

An Update on Open Access Developments in Germany

Birgit Schmidt, Margo Bargheer, Norbert Lossau
University of Goettingen, Germany

Introduction

Ten years after the Berlin Declaration, initiated by the Max-Planck-Society, open access has become a common topic in Science Policy, for funders, universities and research organisations. An illustrative example is the recently negotiated coalition agreement between the conservative party (CDU) and social democrats (SPD) for the upcoming years (27 November 2013) that explicitly mentions the need for open access. At the institutional level, open access policies have been introduced at a number of universities and research organisations. However, mainly due to legal reasons, these policies result in no enforced mandate. The “Deutsche Forschungsgemeinschaft” (DFG) is the main research funding body in Germany and supports the implementation of open access in multiple ways. The Federal Ministry of Research and Education has intensified its activities over the last few years and has been supportive of the new copyright law. There is a vibrant open access community in Germany, collaborating in several working groups and joint events with German speaking communities in Austria and Switzerland.

A strong emphasis has been on building up supporting infrastructures and services. This includes the creation of publication funds; the enhancement of links between research information systems and repositories; and first steps in institutional support of research data management—approaches which can substantially enforce open access. New approaches are also being trialed for national licensing, and first results seem to be promising. In addition, recent changes to the German copyright legislation will secure basic rights and could be beneficial for implementing open access. Publishers have recognised the need for open access business models. Indeed, the majority don’t dispute if they should offer open access, but rather how to find a suitable way of implementing it.

Awareness of open access is generally high among researchers. Still, the percentage of uptake is on average only 20%. The main reasons have been the dominance of impact factors in furthering academic careers, in particular for young scientists, disadvantageous copyright regulations, the lack of high-quality open access journals in some disciplines and the difficulties to transform subscription-based journals into open access.

In the following we describe some relevant open access activities in Germany, closing with an outlook on initiatives and trends for the future.

Researchers’ perspective on OA

strategy in which individual researchers are reluctant to abandon the dominant publishing strategy (in closed access journals) to avoid individual reputation loss—in dilemma offers a promising starting point, for instance by offering specific incentives for early adopters.

Combining repositories and research information

In recent years, German universities and research organisations have developed a growing need to improve knowledge about their research outputs and impact. This stems from the German Excellence Initiative (which funds outstanding research projects and institutions, selected through a nation-wide competition), institutional and funders’ open access policies, international rankings of universities and, last but not least, from building up publication funds to support open access publishing. Typically it is libraries administrating such funds. In consequence, some institutions have started to rethink their information management approach and brought together various stakeholders from research support, administration and the library. Challenges include the gathering and curation of data as well as selection of impact indicators. At the same time, nearly all universities and research institutions in Germany operate open access repositories and contribute to national and European repository networks. A census of 141 German repositories provided information about the size, software used and value-added services (such as bibliographic export, usage statistics, social bookmarking, etc.); an extended update of the census is currently in preparation (Vierkant 2013). In most cases digital repositories only loosely connect to institutional information management strategies and systems. Usually only information import takes place, whereas a full two-way-flow that would offer academic incentives is still lacking.

To enable collaboration across institutions, the working group Research Information of the German Initiative of Networked Information (DINI) constituted itself in 2012. It works towards recommendations to support institutions in developing institutional strategies and setting up services compliant with international standards such as the Common European Research Information Format (CERIF). Bibliometric services—which are not yet common in German universities—address similar goals, in particular to develop a clear understanding of the current performance of institutions in terms of research outputs. To obtain reliable information both service areas have to be closely aligned; typically CRIS data form an essential data layer for bibliometric analysis.

Metrics on publication usage in repositories can be used to measure readers’ interests at the article-level and the relevance of topics present in the repository. The effort to set up such services will be comparably low for repositories, as soon as standards for counting downloads and for usage data aggregation across repositories are in place. However, so far only a few countries have succeeded in setting up sustainable services; among them is the German initiative “OA-Statistics” cooperating with a library service provider to maintain and extend the service. An interest group set up in the context of the Confederation of Open Access Repositories (COAR) will share gained experiences with the international community.

Building up publication funds

Funders and institutions in Germany generally endorse open access but do not adopt strong and forceful mandates. This is mainly due to researchers’ and other stakeholders’ reluctance towards mandatory clauses, in particular as such a clause might interfere with the German constitutional freedom of research. Therefore the most common strategy to foster open access is to offer support on various levels. In particular, the DFG has been supporting networked repositories, start-up funding for open access journals and the German information hub open-access.net. In addition, universities can apply for DFG-funds to support publishing in genuine open access journals.

More than 30 universities have set up open access publication funds with support of the DFG (75% co-funding) for article procession charges (APC) between 2010 and 2014. The DFG’s rules exclude APCs for hybrid journals and limit reimbursement to 2,000 EUR per article. So far, average costs per article vary around 1,000-1,200 EUR. Applying for these funds constitutes a challenge for institutions and their reporting systems: the application procedure requires detailed figures on publications (overall numbers, ratio of open access publications, etc.) for the year preceding the application and a projection of funds needed for the coming year. In addition, care needs to be taken for promoting the fund and setting up workflows for processing invoices. The DFG considers this program as a start-up, meaning that after a period of up to 5 years institutions have to endow the funds solely from their own resources. This raises questions such as where this budget will come from, e.g. from cancellations of journal subscriptions or from faculties which benefit most from open access funds, and how funds could be distributed fairly when demand exceeds the available resources.

Linking policies and practices

Nationally, the DFG and other research organisations, the University Rector’s Conference (HRK) and several institutions have expressed their support for open access by signing the Berlin Declaration and/or developing policies and additional activities for the implementation. The German Ministry for Education and Research has recently announced it will strengthen support for open access.

The German open access community has developed a range of tools and services—many of them with initial funding from the DFG—access.net, a certificate that sets standards and best practices for repository services (DINI Certificate), a network of open access repositories and services on top of repositories, and a collaboration of university presses. A registry of research data repositories has been recently launched. These national projects are linked to international activities through collaboration with COAR, Knowledge Exchange, OAPEN, DOAB and other initiatives.

Internationally, recent statements by research funders and organisations expressed the need for joint action to further the uptake of open access, e.g. the Global Research Council (May 2013) and the G8 Ministers for Science and Education (June 2013). The European Commission has been a driver of open access for several years, from 2008 with an open access pilot for the Seventh Framework Program and moving on to a mandate for Horizon 2020, the new framework program for research starting in 2014. Open access to publications will be obligatory to publications while a pilot for open data will be optional and only apply to selected research areas. Since 2009, the EC-co-funded initiative OpenAIRE supports the implementation of the EC’s open access policies.
German institutions are starting to develop infrastructure and services for the management of research data (e.g. research organisations, universities of Bielefeld, Berlin, Göttingen, etc.). Pilot services are often linked to large Collaborative Research Projects. Since 2007, the DFG has set incentives for such embedded data management and services sub-projects; currently there are about 20 projects which combine research management, IT and library competencies. Issues include long-term archiving, sustainability, and acceptance by the other sub-projects (Radieschen, 2013).

Open access and licensing

Open access depends on the availability of rights to make articles openly available. The majority of authors still use traditional routes of publishing in subscription journals and “open access” in repositories in many cases solely refers to articles that can be downloaded for personal use, but are not be disseminated any further. Similarly, journal subscription licenses typically do not provide any rights for further dissemination in institutional repositories.

In the framework of the Digital Information initiative of the German Alliance Initiative, a national licensing working group has been formed and has agreed on guidelines for licensing negotiations. These guidelines include an open access clause to secure that authors (or their institution on their behalf) from all authorised institutions—at no extra cost—s databases and the use of persistent author identifiers is not yet the norm. Activities of the licensing working group are now extending towards analysing gold open access options where the main challenge lies in the handling of transition processes, i.e. from subscriptions to open access models.

The international Task Force on Open Access Agreements and Licenses, initiated by COAR, further facilitates the monitoring and evaluation of practices in this area. A recently published report summarises the current clauses in use, as well as some lessons learned from organisations that have been successful in implementing open access clauses in publisher licenses (COAR 2013).

Changes in German intellectual property right

The German law on intellectual property rights has been under revision for several years now. One of the discussion points was §38 UrhG which regulates that after one year all rights to articles published in journals and magazines fall back to the authors. Until June 2013 this clause could be applied only if there wasn’t a formal publishing contract denying authors these rights. The German parliament has now decided that authors whose publications result from at least 50% publicly funded research maintain an indispensable right to disseminate the author’s version of their article, if the article has been published in a serial or journal with two or more annual issues, and its dissemination has no commercial purpose.

Not all stakeholders are convinced of the benefits of this approach. In particular, the trade organisation of German booksellers and publishers argues that disseminating authors final manuscripts through open access repositories would lead to confusion among readers. The scholarly community on the other hand is disappointed by the clause. This is largely because for authors, and their institutions, the core of indispensable rights is weakened by opaque conditions (i.e. two or more issues per year, non-commercial purpose) that cause additional effort to identify eligible articles and will lead to low numbers of available articles for the public. If the clause comes into force by January 2014, some first articles could be openly accessible by January 2015. It is likely that authors won’t touch their article again at this stage, therefore deposit in institutional repositories upfront at publication time would secure that articles become accessible right after the embargo ends. A well-integrated CRIS (Current Information System) at the institutional level, combined with incentives for researchers to use it, would pave the way for a smooth flow of metadata and full texts.

Outlook

Recently initiated activities in Germany have addressed open access publishing of books as well as new approaches to convert subscription-based to open access based licensing models. The DFG with its funding programmes continues to play a vital part to facilitate these efforts. For Germany the linking of national activities to Europe is high on the agenda with the upcoming new 7-year funding programme Horizon2020 of the European Commission (2014 onwards) that will require open access to all EC-funded publications.

One option is to use the European repository infrastructure, OpenAIRE to additionally include publications from nationally funded research, thus providing access to them and usage statistics for funders. Linking publications to research data expands the role of repositories and moves previous activities further towards a more comprehensive scientific information infrastructure. Publishers will be encouraged to provide large-scale, automated deposit of publications into repositories, deploying tools and routines provided by the European PEER project. The goal for Germany should be, in line with the strategy of the European Commission, to increase the percentage of open access publications until 2020 to at least 60%, if not higher.

References

Andrew, T. (2012): Gold Open Access: Counting the Costs, Adriadne 70, http://www.ariadne.ac.uk/issue70/andrew

Confederation of Open Access Repositories (COAR) (2013): Open Access Clauses in Publishers’ Licenses – Current State and Lessons Learned, report produced by the Open Access Agreements and Licenses Task Force, October 2013, http://www.coar-repositories.org/files/OA-Clauses-in-Publishers-Licenses.pdf

Eger, T.; Scheufen, M. and D. Meierrieks (2013): The Determinants of Open Access Publishing: Survey Evidence from Germany, submitted to the European Journal of Law and Economics, SSRN Working Paper, http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2232675

RADIESCHEN (Project RADISH) (2013): Framework Conditions for an inter-discipinary research data infrastructure, final report, April 2013, doi:10.2312/RADIESCHEN_009
Vierkant, P. et al (2012): Census of Open Access Repositories in Germany, poster at Open Access Days 2012, http://nbn-resolving.de/urn:nbn:de:kobv:11-100204211

Rowlands, I.; Clark, D. and D. Nicholas (2012): PEER Usage Study – Randomised controlled trial results, June 2012, http://www.stm-assoc.org/2012_06_18_D5_3_PEER_Usage_Study_RCT.pdf

Schmidt, B. and K. Shearer: Licensing Revisited: Open Access Clauses in Practice, Liber Quarterly 22, No 3, URN:NBN:NL:UI:10-1-113939

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A Global View of Open Access – Part 4

Part 4: A perspective on Open Access in Australia

I am very pleased to introduce the fourth article in this series of snapshots of the progress towards open access around the globe. Dr. Danny Kingsley, Chief Executive Officer of the Australian Open Access Support Group, summarizes the main OA policy developments and the OA activities that have taken place in Australia during 2013. Australia is clearly playing a leading role in the international OA agenda and have also been pioneering open access to research data. I am now working with Ross Wilkinson of the Australian National Data Service (ANDS) and the newly formed Research Data Alliance (RDA). The year 2013 has clearly been a momentous year for open access to publications and 2014 looks to continue this momentum and make progress on issues to secure meaningful access to research data.

Tony Hey
December 2013

Open Access in Australia

This has been a big year for open access around the world, and developments in Australia have moved apace. Two things happened on the first of January 2013—the Australian Research Council (ARC) announced their open access policy and the Australian Open Access Support Group (AOASG) began operations (disclaimer—I work as the Executive Officer for the AOASG).

Funding policies

The ARC policy is very similar to the policy introduced on 1 July 2012 by the Australia’s other government funding body, the National Health and Medical Research Council (NHMRC). Both policies require that the Chief Investigators for funded projects should add metadata about their publications to their institutional repositories at the time of acceptance. There should be a link to the open access version within 12 months of publication. Neither policy advocates a particular method of achieving open access, and both policies specifically do not require payment for open access. However both organisations allow use of grant funding to pay for publication.

These policies stand out because they specifically look to use the established infrastructure in Australia. All Australian universities, (and many other institutions) have established an institutional repository. Generally to date Australia has enjoyed strong commitment and support from the government to develop infrastructure for open access.

At an Open Access Week event in October, organised by the AOASG, the CEOs of both the ARC and the NHMRC spoke about these policies. They noted that given the speed of change in scholarly communication it is almost impossible to know what the open access agenda will look like in five years’ time. For this reason neither the NHMRC nor the ARC wish to be prescriptive about how to implement their policies. They also noted that while there are no current plans to withhold future grants from researchers that do not comply with the policies, this could become the case into the future.

Institutional policies

Open Access Week also saw the announcement of several new open access policies in Australian universities. Edith Cowan University, Deakin University, University of Queensland and University of South Australia. There is a list of statements on open access from Australian institutions at http://aoasg.org.au/resources/.

These four new policies are added to the existing six policies in Australian universities. Those six universities (Australian National University, Charles Sturt University, Macquarie University, Newcastle University Queensland University of Technology and Victoria University) are the founding members of the AOASG. With a total of 10 open access policies, a quarter of all Australian universities now have an OA policy. In the same week the Australian Medical Student’s Association also released their policy on open access.

Events and activities

The ARC & NHMRC event was one of many OAWk events held in Australia in 2013, which was the largest yet. Every state and territory is hosting events with more than half the country’s universities participating.

The week following OAWk saw a large open access-themed conference—the Open Access and Research Conference held at QUT from 30 October to 1 November. This event featured many high-profile international speakers.

Earlier in 2013 the National Scholarly Communication Forum was held, addressing the topic “Open Access Research Issues in the Humanities and Social Sciences”. A full run down of the presentations, themes and readings can be found at http://aoasg.org.au/2013/05/16/notes-from-the-national-scholarly-communication-forum-may-3-2013/.

Informing the discussion

Throughout the year the AOASG has worked towards its goal of informing and encouraging the discussion around open access. The primary output of the group has been the development of the AOASG webpage. This consists of a combination of information about open access specific to Australia, links to useful resources, and discussion points about events in the open access space both in Australia and overseas.

The site has had over 26,000 visitors since going live in February. An analysis of page statistics indicates a strong interest in practitioner issues. The most popular blog has been “So you want people to read your thesis?”, followed by “Journal editors take note – you have the power”. The most popular webpage (apart from the homepage) is the list of Australian OA journals.

The website also contains several graphics including posters and flowcharts that are available for download under CC-BY license.

The Australian and New Zealand repository community has been fortunate to have a strong community of practice which developed over several years through discussion lists and community days organised through the CAUL Australasian Institutional Repository Support Service (CAIRSS). While CAIRSS no longer exists, the Council of Australian University Librarians (CAUL) has continued to support these important services.

To complement this community, AOASG started the Australian Open Access Community Discussion List which pleasingly has had a strong uptake. Over 200 people have joined the list, representing a wide range of backgrounds. While 72% of the members are library-associated, a significant number of these are from research institutions outside the university sector. We have a positive interest from researchers, with many joining the list. There has also been some international interest—with members from India, Japan and Singapore plus several from New Zealand.

Twitter has been a very useful way to share the vast amount of developments, publications, policies and resources that are part of the open access area. The Twitter feed @openaccess_oz has sent over 1,200 notifications during the year. Followers come from all over the world.

Possibly the most positive sign for open access in Australia is the increasing number of policies in institutions. The AOASG began with representatives from six universities with open access policies. During the year more have been announced and there is a full list of Australian OA policies at http://aoasg.org.au/resources/.

The AOASG is looking to expand its membership for 2014, which is shaping to be an even bigger year for open access in Australia.

Dr. Danny Kingsley
Executive Officer
Australian Open Access Support Group
e: eo@aoasg.org.au
p: +612 6125 6839
w: http://www.aoasg.org.au
t: @openaccess_oz

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A Global View of Open Access – Part 3

Part 3: A perspective on Open Access in China

I am very pleased to introduce the third article in this series of snapshots of the progress towards open access around the globe. Professor Xiaolin Zhang is the Director of National Science Library of Chinese Academy of Sciences in Beijing and has been engaged with the open access movement for many years. The Chinese Academy of Sciences (CAS) was a signatory to the Berlin Declaration for Open Access in 2004 along with the Natural Science Foundation of China (NSFC). In 2010, the 8th Berlin Conference on Open access was co-hosted in Beijing by CAS and the Max Planck Society. CAS has been a firm supporter of green OA and has now created Institutional Repositories for almost all of its hundred or so research Institutes. Professor Zhang has been in the forefront of these developments in China and CAS and STFC will be the co-hosts of the 3rd annual meeting of the Global Research Council in China in 2014 where the GRC’s steps towards Open Access will be reviewed.

Read and enjoy!

Tony Hey
7 August 2013

Open Access in China

1. Promotion of Open Access
As the second largest country in terms of research papers published internationally, and as a country striving for an innovative nation, China has been encouraging open access to scientific information, especially results from publicly-funded research. In December 2003, Lu Yongxiang, then the President of Chinese Academy of Sciences (CAS), signed as the first Chinese scientist the Berlin Declaration for Open Access. In 2004, CAS and the Natural Science Foundation of China (NSFC) officially signed the Berlin Declaration as the first Chinese research and funding organizations. In 2005, the International Conference on Strategies and Policies of Open Access to Scientific Information was held in Beijing by the National Science Library (NSL), CAS, to promote open access on a national scale. In 2006, in CODATA Beijing Congress, the Minister of Science and Technology Mr. Xu Guanghua spoke in his keynote on the need for open access to scientific papers and data. In 2007 and 2009, two international seminars were held in Beijing by NSL/CAS to discuss rights issues and Creative Common Licenses with open access.

2010 saw significant steps forward for open access in China. The 8th Berlin Conference on Open Access was held in Beijing, co-hosted by CAS & the Max Planck Society (MPS), the first Berlin Conference outside Europe. CAS delivered an Open Access Strategy Statement, by Mr. Pan Jiaofeng, Associate Secretary General and Head of Bureau of Strategic Planning, CAS. The statement committed CAS to: promote self-deposit of research papers into institutional repositories; support OA publishing by CAS authors; support OA journals by CAS institutes; promote national policies and funder initiatives for in public access to publicly funded research; participate in international cooperation in OA initiatives. It was also in 2010 CAS formally started the development of its institutional repository grid (CAS IR Grid).

In July 2012, Mr. Wen Jiabao, then the Premier of China, stressed at the National Scientific Innovation Congress that all information resources created from publicly funded research should be accessible as widely as possible. In October 2012, the first China Open Access Week was held by NSL/CAS, where trends and issues on OA policies, IR and OA publishing were discussed, and several road-shows of PLoS, BMC, and arXiv.org, were organized in universities and research institutes. It was during the OA Week that a group of major academic and research libraries led by NSL formed an IR Implementation Group to promote Green OA, and NSL released its DSpace-based IR platform software, CSpace, as an open source software project.

In 2013, CAS, NSFC, and Ministry of Science and Technology (MoST) are all studying policies of open access to publicly-funded research, partly encouraged by actions from the OSTP in the US, RUCK in the UK, and the Horizon 2020 OA policy in the EU. CAS and NSFC participated in the 2nd Annual Meeting of the Global Research Council (GRC) in May 2013, and endorsed GRC’s Open Access Action Plan.

2. Actions towards Open Access
China is active in research and scientific publishing and is funding and research organizations have long been in action to promote open access. According to a survey in 2010 by Cheng and Ren, among 1868 high quality STM journals published in China, there are 642 titles, 34%, publishing as open access or delayed open access, which amounts to a more than 300% increase since 2006. 20% of these are in medicine, 16.7% in engineering, and 31% are journals published by universities. More than 44% are immediate open access, and 36% delayed open access for 1-12 months. Many have transferred to open from a subscription only model, with 17% having retrospective content open back to pre-1990, and 13% more are open back to pre-2000. Another survey in 2012, by Chu Jingli, mapped the scene with learned society journals under the umbrella organization of the Chinese Association of Science and Technology (CAST). There are 308 OA titles among a total of 1050, counting for 29%, which means a 137% increase since 2006. 55% of them offer immediate OA, 25.6% with delayed OA in 1-6 months, and a small percentage, 2.5%, have a delayed OA more than 13 months. This 2012 survey asked 79 titles about their funding, with only 7 titles among 79 charging OA publishing fees, while most still keeping print subscription and charging fees from e-journal aggregators. Most STM journals were at least partially funded by host institutes, which is more a norm than an exception in China. Among them there are some high impact Chinese journals, such as Science China-Life Science, Science China-Information Technology, and Chinese Science Bulletin.

In supporting OA publishing by authors, CAS, NSFC, MoST, and the Ministry of Education (MoE, another research funding intensive ministry) have allowed their grantees to pay the article processing charges (APC) from research grants when publishing in peer-reviewed open access journals. This has resulted in increasing numbers of OA papers. For example, there have been 5000+ papers by Chinese authors published in PLoS journals in 2011-2012 alone, over 1000 papers each in 2010 and 2011 by Chinese authors in BMC journals, with an increase to 1650 papers in 2012. Yet few institutes or funding agencies have formal arrangements to support OA publishing. One large scale exception is CAS. Organized by its library, NSL, it has been an institutional member of BMC. After an institutional discount off the official APCs, NSL pays 50% of the remaining APC for papers published with a CAS researcher as the corresponding author. CAS has also signed an Express of Interest to join SCOAP3, the international effort to transfer 90+% high energy physics (HEP) papers to open access. NSL then organized a SCOAP3 China group consisting of HEP-intensive Chinese organizations to support SCOAP3 nationally.

One significant effort has been the CAS IR Grid. CAS is a national research organization in fields of basic sciences, bio-medical sciences, geo-and-environmental sciences, and computer and electronic technologies, with more than 100 research institutes in more 30 cities across China. In 2010 CAS formally began a large scale development of IRs in each of all its research institutes, both as knowledge management and open access measures. By April 2013, 90 IRs are in service and 13 more in development. More than 320,000 full-text articles are now self-deposited, more than 75% of them are currently openly accessible after their embargo periods, with close to one third published in international journals. All repositories are OAI-PMH compatible, and a CAS IR Grid search engine, as an OAI-PMH service provider, provides CAS-wide IR search. With its high volume and high quality, CAS IR Grid now becomes a hot resource, with total downloads exceeding 4 million in 2012 and 2 million in the first 4 months of 2013, with 40% of downloads coming from outside the mainland China. To make the CAS IR Grid a trusted and reliable resource in terms of content and rights management, NSL has developed detailed guidelines for self-deposit, rights management, and repository services. It recommends self-deposit of the accepted author manuscripts of published journal articles with an embargo period of 12 months, full recording of the journal publication information in the metadata, using the journal publication information as the preferred citing reference, and linking, when feasible, back to the journal website. Quite a number of CAS research institutes now make the depositing into IR a condition for researcher performance evaluation and graduate student degree condition. In addition to CAS, Xiamen University developed its IR to include more than 10,000 items openly accessible. A dozen of universities such as Tsinghua University, Peking University, Shanghai Jiaotong University, began their IR development recently.

3. Efforts ahead
Open access in China is now moving forward with ever increasing momentum. It is expected that policy studies in MoST, CAS, and NSFC, will soon be turned into concrete policy measurements. Aware of the complex challenges involved, they will take a more balanced and flexible approach, by supporting both Green and Gold OA models. They may first facilitate Green OA with proper embargo periods and deposit formats. They will extend experiments with Gold OA while striving for quality, cost transparency, affordable APCs, and integrated transition of subscription fees to OA publishing funds. Of course there are still uncertainties, but the direction is unmistakable. Just like the OSTP open access memorandum, the collective push of NSFC and CAS will definitely result in a changed game of the scholarly communications in China. Keep tuned in.

Another push comes from the GRC OA action plan. CAS and NSFC will be the co-hosts of the 3rd Annual Meeting of GRC which will review the implementation of the plan. These two are in a good position with, as mentioned before, CAS being the largest research organization in China, and NSFC the major funder for basic research with a good size funding budget. I can personally contest, as someone present at the GRC 2013, that CAS and NSFC are geared up to take the opportunity of the GRC 2014 to further promote open access. In addition, to facilitate open access policies a number of public campaigns are planned to raise awareness of open access among researchers and research organizations. What is more, there will be detailed studies of implementation policies, supporting infrastructures, and best practices, especially on things like criteria for qualified OA Journals, recommended altmetrics, APC management requirements and mechanisms, and evaluation criteria and methods for OA policies & progresses.

With all these actions to promote open access, I hope and highly expect that China will play a more active and constructive role in the global movement of open access that will benefit Chinese researchers and China greatly.

Xiaolin Zhang, National Science Library, Chinese Academy of Sciences
zhangxl@mail.las.ac.cn

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A Global View of Open Access – Part 2

Part 2: The perspective from Brazil and the SCIELO open access portal

This second posting in the series of blog articles on global views of Open Access comes from Brazil. I am very pleased to introduce this second article by Professor Carlos Henrique de Brito Cruz, the Scientific Director of the Sao Paulo Research Foundation (FAPESP) – better known to me just as ‘Brito’. The article starts by describing a rather different direction on open access from the focus on repositories. The SCIELO portal works with Brazilian open access journals to give more visibility to Brazilian research. SCIELO was started in 1997 and now has operational collections in most countries in Latin America. Only relatively recently has there been a movement towards creating open access repositories in major research universities in Brazil.

Enjoy!
Tony Hey
31 May 2013

Open access Initiatives in Brazil and Latin America
One of the earliest open access initiatives is the portal SCIELO, created by the São Paulo Research Foundation (FAPESP) in partnership with the Pan-American Health Organization (PAHO) in 1997 to increase the visibility of a collection of scientific journals edited in Brazil. The Brazilian collection, which started with 10 journals, grew to 269 in 2013, and its articles receive 1.2 million views each day.

Originally, the proposal for the SCIELO Portal was brought to FAPESP by researchers who were motivated by the article “Lost science in the third world”, by W. Wayt Gibbs (http://www.nature.com/scientificamerican/journal/v273/n2/pdf/scientificamerican0895-92.pdf). The argument put forth by the proposers[1] was that by using the (then new) possibilities offered by digital access, the articles published in Brazilian journals would gain international visibility. These objectives were achieved to an extent well beyond the initial expectations of the proposers and of FAPESP when the initial proposal was approved. According to Webometrics[2], a high visibility ranking of international repositories, SCIELO Brazil ranked first among the “Portals” in 2011, among all scientific repositories in the world. In the DOAJ portal, Brazil ranks second in the quantity of open access journals[3] (884 journals following the U.S. with 1,334 journals).

Another indicator of the success of the SCIELO idea is that it gave rise to several spin-off sites: now there are SCIELO portals in eleven countries, shown in Table 1, and collections in development in other five. There are also two “thematic” SCIELO portals: Public Health and Social Sciences. In each of these, the team from SCIELO Brazil was instrumental in lending technology and organizational support.

From the beginning, SCIELO was much more than an open access repository, having many characteristics of a publisher. This was part of the strategy to raise the standards of the participating journals, with the objective of enhancing their visibility. An Editorial Board selects the journals, which must comply to a set of procedural and quality standards to be included. For example, they must have an international editorial board, demonstrate stable periodicity, and adhere to peer-review procedures to select articles.

Presently SCIELO Brazil offers to the selected/participating journals the following services:

  • Multilingual publication. Language is a well-known barrier for the visibility of scientific articles published in Brazil; so that SCIELO works with the editors of participating journals to facilitate the publication of the full texts in English (all articles in SCIELO have titles, summary, and keywords with English version). In 2012 54% of the full texts were in English, 62% in Portuguese, and 16% in both languages.

Table 1. Summary data on the SIELO collections

Country Starting year Journals Documents
Collections fully operational Qty %
Argentina 2004 102 18,302 4%
Brazil 1997 269 233,500 57%
Chile 1998 89 37,156 9%
Colombia 2004 152 27,972 7%
Costa Rica 2000 11 4,721 1%
Cuba 2001 42 19,667 5%
Mexico 2003 103 15,696 4%
Portugal 2004 26 7,057 2%
South Africa 2009 23 5,553 1%
Spain 2001 33 23,328 6%
Venezuela 2000 33 14,214 3%
Total titles, fully operational   883 407,166 100%
     
Collections under development    
Bolivia 2009 14 2,507
Paraguay 2007 7
Peru 2004 14 4,932
Uruguay 2005 10 1,803
West Indies 2006 1 1,072
Total titles, under development 46 10,314  
         
Thematic collections        
Public Health (*) 2000 15 25,502
Social Sciences 2006 33 665
Total titles, thematic collections   48 26,167  
  • Ahead of print publication of selected articles. This service is used by 54 journals (out of 269) and it is expected that by the end of 2014 50% of the collection will use it.
  • Online manuscript processing through ScholarOne. This service, in use by 60 journals, is being offered on a progressive basis at a rate of five additional journals per month. The use of this tool facilitates the participation of editors and reviewers from countries other than Brazil, contributing to the internationalization strategies of the journals.
  • Full text formatting with XML and the production of HTML, PDF, and EPUB (for smartphones and tablets). All journals will use this service by the end of 2014

As of 2013, SCIELO is working with Thomson-Reuters’s Web of Science to provide the operation of the SCIELO Citation Index as a part of the Web of Knowledge (WoK) Platform. This is expected to bring a boost in the visibility of the journals in SCIELO, as all tools for search, navigation, connection to full articles will be integrated with those of the WoK.

Finally, it is worth mentioning two new initiatives that are in their final preparation stages to go into the implementation phase later in 2013.

One is the creation of open access repositories in the main universities in the state of São Paulo, Brazil (which responds for 50% of the total articles published by authors in Brazil) for all articles published with funding from FAPESP.  FAPESP adopted an open access policy, according to which all articles resulting from its funding must be made accessible openly, to an extent that considers the restrictions of the journal in which they were published. FAPESP does not want to interfere with the choice by the researchers of the journals in which they will publish their work, so the agency is willing to comply with whatever is the policy of each particular journal.

The second initiative aims at working with some journals published in Brazil, to be selected through an open call for proposals, to offer them special support to advance their professionalization, visibility, and impact. Proposals will be selected on the basis of plans submitted by editors aiming at to professionalizing their operations in a sustainable way and proposing a strategy for increasing the journal’s articles visibility and impact. Presently FAPESP is working with other funding agencies in Brazil to secure nationwide support, so that the initiative can be national.

It is our view that open access has been playing an important role in increasing the visibility of the science done in Brazil and Latin America. The results obtained with SCIELO, one of the main open access portals in the world, are very concrete and motivate new initiatives in this direction.

Carlos Henrique de Brito Cruz,
Scientific Director, São Paulo Research Foundation

[1] The proposal was presented to FAPESP by Rogério Meneghini and Abel Packer, with the support of BIREME the Health Information Center of the Pan American Health Organization.

[2] http://repositories.webometrics.info/en/top_portals, accessed May 25, 2013.

[3] http://www.doaj.org/doaj?func=byCountry&uiLanguage=en, accessed June 2, 2013.

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A Global View of Open Access – Part 1

Part 1: A French perspective on Open Access and the Episciences Initiative

This second series of blog articles on Open Access will look at the global perspective. In order to give an authoritative view the entries are by invitation and authored by relevant researchers in the different countries. I am very pleased that to open this second series with a view from France, contributed by Claude Kirchner, Executive Officer for Research and Technology Transfer for Innovation, and colleagues Laurent Romary and Pascal Guitton. In true Napoleonic fashion, France has a centralized research repository called HAL and is participating in ambitious plans to create ‘epi-journals’—a new type of overlay journal based on peer-reviewed pre-prints (http://episciences.org/).

Enjoy!
Tony Hey
31 May 2013

A strong Green open access policy for France… and even more for Inria

2013 will probably appear as an important milestone in the developments of Open Access in France. On 24 January, during an open access awareness event organised by the CNRS and the national consortium of University libraries (Couperin), the French Ministry for research and higher education, Geneviève Fioraso, expressed a support to the Open Access movement, stating that « L’information scientifique est un bien commun qui doit être disponible pour tous » (“Scientific information is a public good that should be available to all”) and showed a strong preference to the green route to open access and in particular to the use of the national publication repository HAL (maintained by CNRS). She also strengthened the role of the national coordination on scientific information (BSN – Bibliothèque Scientifique Numérique) and its role to help higher education and research institutions coordinate their policy in this domain. Following this, a major memorandum of understanding was signed by 25 national institutions to state their willingness to work together in making HAL a reference repository for all research productions in France.

Inria, the French research institution for computational sciences and applied mathematics actually played a seminal role in making such progress possible. It has had a long-standing involvement in the open access movement. It was an early signatory of the Berlin Declaration in 2003 and as soon as April 2005, it officially set its own portal (HAL-Inria) on the national HAL repository. At that time, it recommended that all publications from its researchers should be deposited there. In 2006, being a signatory to the national agreement on open archiving, it accelerated its involvement in designing additional deposit, presentation and dissemination services to the HAL platform at the benefit of its researchers.

In the recent period, Inria has identified how difficult it has become to work in collaborative partnership with publishers—private, but also professional associations and learned societies—in defining new publishing business and editorial models. In this context, Inria decided to take the bull by the horns and to proactively contribute to the elaboration of such models. In the beginning of 2013 it issued a deposit mandate, whereby HAL-Inria becomes the only source of information for all reporting and assessment activities of its researchers, teams and research centres.

Going even further, Inria is now engaging forces in experimenting new publication frameworks. It is thus involved in the Episciences initiative, which aims at creating a peer-reviewing environment coupled to the deposit of pre-prints in HAL, with reduced overhead costs and maximal dissemination efficiency.

The underlying vision is that of a research infrastructure where no fee is applied to its users—whether author or reader—and which offers a set of basic services facilitating an efficient dissemination and review of scholarly papers. Like traditional journals, scientific quality is ensured by the recognition of the editorial committee that carries out the peer-reviewing process.

The epi-journal platform is conceived in the spirit of traditional peer-reviewed journals, with additional facilities resulting from its leaning against a publication repository. Indeed, open archives are now widely available and can be used by any researcher to store, index and make freely available any of his publicly accessible research documents. These documents can be for instance research papers, experiments, data, programs, videos. Such archives as arXiv or HAL are widely accessible and provide a sustainable and free service. In the case of the HAL platform for instance, papers are finely associated with affiliation information for authors, with generic long term archiving facilities, as well as additional services facilitating the creation of personal or institutional web pages.

In order to support the editorial committees for the journals hosted on the platform in their day to day business, a support in terms of editorial management will be provided. This will comprise:

  • Management of the peer-review process, comprising the channeling of community based feedback;
  • Handling the management of the journal volumes and issues;
  • Contribution to some basic quality checking tasks (bibliography, meta-data, cross-references);
  • Community management: advertising papers to various channels and social networks, moderation of online discussions;
  • General visibility: interaction with major indexing services and databases (DBLP, Thomson Reuters, Scopus…), as well as adequate mirroring on relevant thematic repositories (ArXiv, PMC, RePEc,  etc.).

Through the hosting on the national repository infrastructure HAL, all journals will benefit from a high quality technical environment comprising 24/24 7/7 services, long term archiving and proper authentication and authorization infrastructure.

As to the copyright policy, we want the IP to remain with the authors, who will only grant the journal—and hence the platform—a non-exclusive right to publish under its brand. Besides, the journals will decide on the license to be applied, but a strong recommendation will be made to adopt a generic creative commons CC-BY (attribution) license, which is quite adequate for scholarly purposes.

Finally, we will ensure that journal titles be freed from any private ownership. When the title is not properly hosted by an academic institution or a scientific society, a consortium of supporting organisation should be able to take ownership of such orphan titles at the service of editorial committees.

In order to provide a sustainable service, we will put together step by step a consortium of interested parties that may provide further cash or in-kind contribution to the further exploitation of the platform. It is anticipated that such contributions can be taken out of the existing scientific information budget of the interested institutions (e.g. subscriptions).

This is to our view the only way not only to master our scientific information budgets, but also to master the services we need to disseminate our research results in good conditions. Indeed, investing in such new services is just a step towards the definition of more integrated virtual research environments facilitating eScholarship.

Laurent Romary, Pascal Guitton, Claude Kirchner
Inria

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A Journey to Open Access – Part 6

Part 6: The Open Access Revolution: The Next Steps…

Since the beginning of the year, the momentum for open access to research publications has grown dramatically. On 13 February 2013, the Fair Access to Science and Technology Research (FASTR) Act was introduced in the US Senate by Jon Cornyn (R-TX) and Ron Wyden (D-OR), and in the House by Mike Doyle (D-PA), Zoe Lofgren (D-CA) and Kevin Yoder (R-KS). FASTR would require open access to peer-reviewed research papers arising from federally-funded research and would require the major federal research funding agencies—including DOE, NIH and NSF—to make these papers freely available to the public through a digital archive maintained by the agency. Significantly, the bill not only talks about the requirement of accessibility—with a suggested maximum embargo time
of 6 months—but also highlights the need to maximize the utility of the research by enabling re-use:

“The United States has a substantial interest in maximizing the impact of the research it funds by enabling a wide range of reuses of the peer-reviewed literature reporting the results of such research, including by enabling automated analysis by state-of-the-art technologies.”

Such automated analysis would permit a genuine realization of the vision of the Memex put forward by Vannevar Bush in his seminal paper ‘As We May Think’. The FASTR act also includes another far-sighted requirement that federal agencies consider whether or not the terms of use should include “a royalty free copyright license that is available to the public and that permits the reuse of those research papers, on the condition that attribution is given to the author or authors of the research and any others designated
by the copyright owner
”. As Heather Joseph points out in her SPARC newsletter, this would effectively require research papers to be published under some form of Creative Commons license.

On 22 February, just eight days after FASTR was introduced into both houses of Congress, the White House issued a directive requiring the major Federal Funding agencies “to develop a plan to support increased public access to the results of research funded by the Federal Government.” Significantly, these results include not only peer-reviewed publications but also digital data. The memorandum defines digital data
“as the digital recorded factual material commonly accepted in the scientific community as necessary to validate research findings including data sets used to support scholarly publications, but does not include laboratory notebooks, preliminary analyses, drafts of scientific papers, plans for future research, peer review reports, communications with colleagues, or physical objects, such as laboratory specimens.”

The White House memorandum is from John Holdren, Director of the Office of Science and Technology Policy and underlines the Obama Administration’s belief that federally-supported basic research can catalyze innovative breakthroughs that can help grow the
US economy:

“Access to digital data sets resulting from federally funded research allows companies to focus resources and efforts on understanding and exploiting discoveries. For example, open weather data underpins the forecasting industry, and making genome sequences publicly available has spawned many biotechnology innovations. In addition, wider availability of peer-reviewed publications and scientific data in digital formats will create innovative economic markets for services related to curation, preservation, analysis and visualization. Policies that mobilize these publications and data for re-use through preservation and broader public access also maximize the impact and accountability of the Federal research investment. These policies will accelerate scientific breakthroughs and innovation, promote entrepreneurship, and enhance economic growth and job creation.”

We now have OA mandates coming from both the Legislative and the Executive branches of the US Government. The White House memorandum covers both research publications and research data and requires the relevant Federal Agencies to deliver a plan within six months from February 2013. It is noteworthy that both the White House memorandum and the bi-partisan FASTR bill require green open access via repositories and say nothing about gold—in contrast to the approach preferred by the Finch Report and by the Research Councils in the UK. For more commentary on both FASTR and the White House memorandum see Peter Suber’s blog.

In the USA, I believe that these developments represent a tipping point for the Open Access movement. But besides the dramatic moves towards Open Access in the US and the UK, there have also been significant developments elsewhere around the world. In Europe, a press release from the European Commission in July 2012 about the new Horizon 2020 Research Framework stated that:

“As a first step, the Commission will make open access to scientific publications a general principle of Horizon 2020 … As of 2014, all articles produced with funding from Horizon 2020 will have to be accessible … The goal is for 60% of European publicly-funded research articles to be available under open access by 2016.”

Note that like the USA—and unlike the UK—the European Commission also does not favor gold OA over green. Similarly, in Australia, the National Health and Medical Research Council (NHMRC) and the Australian Research Council (ARC) both back green OA via repositories. In July 2012, the NHMRC policy stated:

“NHMRC therefore requires that any publications arising from an NHMRC supported research project must be deposited into an open access institutional repository within a twelve month period from the date of publication.”

Following this example, ARC introduced an open access policy for ARC funded research with effect from 1 January 2013. Their policy requires that any publications arising from an ARC supported research project must be deposited into an open access institutional repository within a twelve month period from the date of publication. These are just a few of the many examples of what it is clearly now an inexorable move towards the new norm of open access for research publications.

Back in the UK, some re-thinking of Finch and RCUK’s OA policy is taking place. A recent review by the House of Lords criticized RCUK for failures in communication and for lack of clarity about its policy and guidance. Prior to a more complete review of its policy in 2014, RCUK issued a revision of its Open Access policy on 6 March 2013. The major change was that there is now an explicit statement that although RCUK prefers gold, either green or gold is acceptable. The Department for Business, Innovation and Skills (BIS) has also launched an inquiry into open access which has yet to report. Finally, on 25 February, the Higher Education Funding Council for England (HEFCE) is consulting the research community on ‘the role of open-access publishing in the submission of outputs
to the post-2014 Research Excellence Framework (REF)’
. For non-UK readers, the REF is a research review process conducted by HEFCE, the major UK university funding organization, to determine national university and departmental research rankings. Their intent is ‘to require that outputs meeting the REF open access requirement (whether published by the gold or green route) shall be accessible through a repository of the submitting institution’.

Finally, in May of last year there was the inaugural meeting of a new organization called the Global Research Council (GRC) in Washington DC. The meeting was prompted by the White House Office of Science and Technology Policy who invited the NSF to host a meeting of the world’s research funding agencies to discuss global standards of peer review for basic research. The GRC is a virtual organization with members of the Governing Board from the US, Germany, Brazil, Saudi Arabia, Japan, China, Europe, Canada, Russia and India. The result of the first summit attended by around 50 research agencies was an agreed statement on ‘Merit Review’.

tonyhey_grc-photo

Global Research Council (GRC) meeting

The second summit meeting of the GRC will take place in Berlin from 27 to 29 May 2013, hosted by the German Research Foundation (DFG) and the Brazilian CNPq agency. The main goal of this summit will be to agree on an action plan for implementing Open Access to Publications as the main paradigm of scientific communication in the following years’. Such unanimity on Open Access between the major global research funding organizations will surely bring about both a more sustainable model of scholarly communication and a more efficient research process for solving some of the major scientific challenges facing the world.

tonyhey_as-we-may-readWhat scholarly communication structures will emerge in the future? I recommend reading an interesting paper by Paul Ginsparg, playfully titled ‘As We May Read’.

Read the full story…

In particular, his conclusions deserve serious consideration:

“On the one-decade time scale, it is likely that more research communities will join some form of global unified archive system without the current partitioning and access restrictions familiar from the paper medium, for the simple reason that it
is the best way to communicate knowledge and hence to create new knowledge. Ironically, it is also possible that the technology of the 21st century will allow
the traditional players from a century ago, namely the professional societies
and institutional libraries, to return to their dominant role in support of the
research enterprise.”

This entry concludes this series of articles on my personal journey to Open Access. However, I must thank my colleagues at the University of Southampton in the UK who educated me and collaborated to achieve great things at the University—Wendy Hall,
Les Carr, Chris Gutteridge, Steve Hitchcock, Tim Brody and Jessie Hey in the Department of Electronics and Computer Science, Mark Brown, Pauline Simpson and Wendy White in the University Library, and Alma Swan from Key Perspectives. But most of all I should thank the world’s most persistent evangelist for green open access, Stevan Harnad.

In this series I have so far only mentioned two of the three pioneers of Open Access—
Paul Ginsparg, who created the physics arXiv, and David Lipman of NCBI and PubMed Central.  But the third pioneer who deserves our thanks and homage is Stevan Harnad whose ‘Subversive Proposal’ paper in 1994 was the opening salvo in what has turned out to be a twenty year battle for Open Access. Stevan has steadfastly evangelized green OA as the best way to make research publications accessible. His advocacy of the Immediate-Deposit/Optional-Access model successfully adopted by the University of Liege in Belgium is both rational and compelling. Any given deposit can be made Closed Access instead of OA for the period of any embargo time but the requirement for immediate deposit has enabled Liege to capture over 80% of its annual refereed research output in their repository. So my final words in this series are a ‘thank you’ to Stevan Harnad—and the hope that he can now get some sleep and not feel the need to respond instantly to emails on OA at any time of the day or night!

Tony Hey
April 4, 2013

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A Journey to Open Access – Part 5

Part 5: Open Access in the USA: The Open Access Policies of the DOE, NIH and NSF

In a previous entry I wrote about the open access policy of the NIH and their PubMed Central repository. While the NIH has set a great example for open access, it is actually another US funding agency that has been the real pioneer in making the results of its non-classified R&D accessible to both researchers and the general public for over fifty years. This is the DOE, the US Department of Energy—not the NSF as one might have expected. The DOE policy was established in the 1940’s by none other than General Groves, who had led the Manhattan atomic bomb project in such secrecy during the war:

It was just over 60 years ago that General Leslie Groves, commanding the Manhattan Engineer District in Oak Ridge, TN, mandated that all classified and unclassified information related to the Atomic Bomb be brought together into one central file. Thus, in 1947, the precursor to the Office of Scientific and Technical Information (OSTI) was born.

From the OSTI website we read:

‘Established in 1947, DOE’s Office of Scientific and Technical Information (OSTI) fulfills the agency’s responsibilities related to the collection, preservation, and dissemination of scientific and technical information emanating from DOE R&D activities. This responsibility has been codified in the organic, or enabling, legislation of DOE and its predecessor agencies and, more recently, was defined as a specific OSTI responsibility in the Energy Policy Act of 2005.’

The declared mission of OSTI is ‘to advance science and sustain technological creativity by making R&D findings available and useful to DOE researchers and the public’. The Office was founded on the principle that science progresses only if knowledge is shared and the corollary that accelerating the sharing of knowledge accelerates the advancement of science.

The OSTI facility is located in Oak Ridge, Tennessee.

The OSTI facility is located in Oak Ridge, Tennessee.

Although I had interacted with many of the DOE Labs over the years, I am ashamed to say that I only became aware of the activities of OSTI a few years ago. This was through our work with the British Library on Virtual Research Environments. It was Richard Boulderstone who first told me about OSTI and its leadership of the international consortium called the WorldWideScience Alliance. This is a federation of 70 national science portals giving access to over 80 research databases. OSTI have been instrumental in developing a multilingual federated search tool that allows a user to search all of these individual databases. Microsoft Research was involved in developing the translation service for the search tool using Microsoft Translator. When a user enters a query, it is translated into the appropriate language and sent to all of the WorldWideScience databases. The results are returned in relevance-ranked order, translated back into the user’s preferred language. Ten languages are currently supported: Arabic, Chinese, English, French, German, Japanese, Korean, Portuguese, Russian, and Spanish. (See http://research.microsoft.com/en-us/projects/translator/.)

In 2011, OSTI partnered with Microsoft Research again and used the Microsoft Research Audio Video Indexing System (MAVIS) tool to build a multimedia search engine called ScienceCinema. (For details of the MAVIS project see http://research.microsoft.com/en-us/projects/mavis/). This makes approximately 1,000 DOE videos available and searchable by the public. ScienceCinema content continues to grow with the recent initial installment from the multimedia collection of CERN, the European Organization for Nuclear Research. ScienceCinema was launched in February 2011 and named as one of six new initiatives in DOE’s Open Government Plan 2.0.

OSTI are also active in a number of other exciting open access projects such as ScienceAccelerator.gov and Science.gov, which bring together R&D information from 13 federal agencies. In addition, OSTI’s E-print network provides a gateway to 35,000 websites and databases worldwide—including arXiv—and some 30,000 scientific and technical information institutional repositories. The network contains more than 5 million e-prints and its contents are searchable via Science.gov.

Jim Gray, in his January 2007 talk to the Computer Science and Telecommunications Board of the US National Research Council, called for federal science agencies to ‘establish digital libraries that support other sciences in the same way the National Library of Medicine supports the biosciences’. On February 15th of this year OSTI announced the launch of the National Library of Energy (NLE) as ‘a virtual library and open government resource to advance energy literacy, innovation and security’. The OSTI NLE search tool gives users easy access to all the major DOE information sources on energy—not only R&D results but also relevant information and technology for home-owners as well as analyses of the energy market.

The latest innovation in open access from OSTI is its development of a portal called PAGES—a Public Access Gateway for Energy and Science. This will be a web-based portal that ensures that scholarly publications resulting from DOE research are publicly accessible and searchable at no charge to readers. The research papers will either be accessible through links to publisher sites for articles that they make publicly accessible or links to a copy of the final accepted manuscript hosted in a repository, after an agreed embargo period.

To conclude, in this post I wanted to highlight the pioneering role that OSTI and its staff have played in fostering public access to non-classified R&D results from the Department of Energy in the US for more than 50 years. More recently, the National Institutes of Health have also played a prominent role in furthering the cause of open access with their PubMed Central repository and other publicly accessible databases in the National Library of Medicine. By contrast, it is surprising—at least to me—that the major US funder of university research, the National Science Foundation, has not played a similarly active role in moving towards delivering open access of the results of its research. However, the NSF is to be applauded for taking the first step towards an ‘open data’ agenda by requiring all research proposals to include a data management plan.

In my last post in this series on open access, I will discuss the recent announcement on February 22nd from the White House’s Office of Science and Technology Policy on ‘Increasing Access to the Results of Federally Funded Research’

To be concluded…

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