Category Archives: Open Access

Theory as a keel: Developing a critical framework for open education, Part 2

“If open is the answer, then what is the question?” was posed by educator and researcher Catherine Cronin (National University of Ireland, Galway) in her keynote address for the Open Education Conference 2016 in Edinburgh, UK last April. This question challenges our community to explore the why behind the how driving open education initiatives, and reveals the need for a body of critical research examining the same.

Jamison Miller, Ph.D. student in the School of Education at William & Mary, hopes to develop a framework that balances critical analysis with practical implementations, and provide the open education movement with the foundation to help move it forward in a socially responsible manner. He credits his affiliation with the Global OER Graduate Network (GO-GN) with providing an invaluable support network for doctoral students studying open education. The group helped bring Jamison to Krakow last spring for the OEGlobal Conference, and will be supporting a trip to Cape Town for this year’s conference in March.

Continue reading Theory as a keel: Developing a critical framework for open education, Part 2

The Rock and the Hard Place (Part 3): Being Open For Change

Two years ago the department in which I work was charged with developing a new organizational structure in response to changes in the scholarly publishing landscape.  Reflecting, presenting, and writing in various venues about this, it’s hard to avoid the ad nauseam reference to change – change is the new normal; embrace change; anticipate change; be the change you wish to see in the world.

In my previous post, the second in this three part series, I noted that the literature is growing in supporting the fact that flipping (changing) the subscription model to open access is an attainable reality, and that a will to do so is what’s needed.  My experience rethinking acquisitions and resource sharing workflows to support this changing landscape lead me to believe there is more than will at play.

One problem many libraries are aiming to solve with reorganizations, is the inadequate support of e-resource and open access workflows resulting from predominantly print based workflow and organizational structures.  This is interestingly parallel to an observation Van Noorden makes regarding the costs (that translate to high pricing) of traditional publishing and open access models. He writes:

“Whereas small [open access] starts ups can come up with fresh workflows using the latest electronic tools, some established publishers are still dealing with antiquated workflows for arranging peer review, typesetting, file-format conversation, and other chores.  Still older publishers are investing heavily in technology and should catch up eventually.”

Investing heavily is an interesting lens with which to consider the tensions at play in the subscription model and open access and is often the starting point for change. Investment connotes the shared driver of money at stake.  But investment of time, thought, and resources are also very much at play in exploring alternative workflow and organizational structures in these same spheres.   And because both involve people, solutions are not always a matter of simple arithmetic.

I had the opportunity to take notes for parts of the OA Symposium held at the University of Kansas recently, which was aimed specifically on open access funding alternatives to article and book processing charges (APC/BPC).  As I took notes for the symposium, I listened for specific connections to the subscription model that might lead to actionable solutions in my circle of influence. From almost every participant there was a common call for: concrete, actionable solutions (that do not reinvent the wheel), connections, and momentum.  Not surprisingly, these same outcomes are desired by those involved in reorganizational efforts to address and support such changes.

Breaking down any large problem — like institutional reorganizations or flipping subscription based or APC models of open access — requires both an ability to see the actors involved and the connections at play.  Both cases need a good dose of facilitation and process mapping.  In the OA Symposium participants did a fair amount of idea-generation, but also worked together in small groups to break down the processes involved in the APC model and its connections to many local and international players.  Proposing alternative models addressed the practicalities and anticipated challenges of implementation. Some of these proposals mentioned connections to subscription model in general terms; others offered more specifics.  I starting thinking more about the workflow and organizational implementation on a couple of these ideas.

Common funding models for open access initiatives, besides funding APC, are investing in open access memberships.  This is somewhat like subscription-based membership in consortia, which aim to reduce individual cost of participants and garner negotiating power in numbers. But a new (to me) twist on this model proposed that instead of modeling the price of participation on FTE or Carnegie classification (as the subscription models commonly do), perhaps differing levels of participation could be more voluntary, like endowments. Taking this a step further, I wonder if the options to invest as a silent donor would attract even more willing participation.  While contrary to the more public investment desired by open access advocacy, this recognizes a more guarded approach the subscription model workflow sometimes takes in managing messages about investment.  Take new e-resource trials, for example, which on the face of it represent no actual monetary commitment. However, a decision to even pursue trials may be carefully considered against messages that might appear to over promise the availability of resources that cannot be realistically afforded.  Such a decision might also  work at cross purposes with existing renewal workflows in negotiating better deals. To be clear, the need for budgetary accommodation in subscription renewals does not prevent libraries from considering new resources, but an awareness that the complexities of that messaging should be recognized.

Another, perhaps controversial twist on the membership models was tying participation with a commitment to reinvest subscription dollars along various timelines. (e.g. 1% – 100% over 10 years).  The incremental nature of this approach is also similar to subscription renewal workflows, which operate in annual incremental percentages increases (e.g. multi-year renewal deals often negotiate a pricing percentage cap on increases).  Again, its success with subscription workflows may come down to a question of transparency.  As with some licensing negotiation terms, a public, unified statement of commitment often helps get such clauses addressed in negotiation. Whether internal, or a transparent part of the negotiation process, finding a way to flip the negotiation of price cap percentage to a price reinvestment percentage is an interesting concept.

There are million other tiny ways to begin rethinking subscription and open access workflows in concrete ways. My next concrete step is to consider the steps recommended in the OA2020 Roadmap which is teeming with concrete practical solutions for subscription and open access budgeting and reporting, assessment, negotiation, and more. Being present at KU’s OA Symposium allowed me to pay attention and consider realities I hadn’t been aware of and take stock of how much more I can learn and potentially contribute.

 

References

Richard Van Noordern, “The True Cost of Science Publishing,” Nature 495 (2013), 426-429, doi:10.1038/495426a

Is Open Access Enough? Strategies for Healthier OA.

I’m a salesman, and the hardest part of my job is encouraging people to buy. As a Digital Scholarship librarian I manage the Institutional Repository (IR) and peddle Open Access (OA) to students and faculty, who, despite enthusiasm in our field are sometimes skeptical about web based and OA resources. For a long time, librarians have championed OA in the light of the greater good that access will provide. We very often cite the evidence that OA increases impact factor and citation counts for our faculty, while librarians like Char Booth show the ways in which OA empowers students to publish and contribute to larger scholarly conversations. Unfortunately, in the recent past we’ve seen high profile rejections of the OA model. The most notable of these is the American Historical Association’s recommendation against OA deposit of History Theses and Dissertations. This has been debated and framed as “protecting the most vulnerable” in the academic profession. Inherent in this is a distrust of the open access model as a legitimate form of scholarship (despite arguments to the contrary). Anecdotally, I hear stories of faculty discouraged from publishing open access because of the lesser prestige associated with these journals.

Low faculty involvement in the Institutional Repository and suspicion of OA are symptoms of growing concerns surrounding the intellectual weight of OA resources. There are some in our universities who will see Char Booth’s assertion that OA is good pedagogically for students, as evidence to this point that OA journals and publishers do not have the weight that traditional “brick and mortar” journals have (ie it is good enough for students but not good enough for faculty.) For a long time I have explained the importance of OA to my faculty as a discoverability and impact issue, but, evidence has shown it is a quality issue as well. Just because availability of research increases its use, most often through FUTON (Full Text Online) bias, this is not indicative of the caliber of a resource. Therefore, Librarians shouldn’t dismiss our faculty’s concerns as a stodginess or an unwillingness to publish in web sources, but instead view them as part and parcel of larger debates of what makes research influential, impactful, and important.

I have seen this in my limited experience as a new librarian at both my graduate school and my current institution. Predatory journals and publishers work to capitalize on our enthusiasm for OA to entice our libraries to purchase, and our faculty to publish in, less than reputable journals. This is where our enthusiasm hurts the people we’re here to help, and hurts the overall image of OA. That is why I believe that librarians should encourage more than just openness in publishing; we should encourage quality. These are not mutually exclusive.

A result, perhaps, of the glut of false information on the internet we are suspicious of the quality of online sources. Open sources because of their very nature exist outside of the familiar boundaries of the expensive and locked journals of yesteryear, and so they are presumed to lack intellectual weight. How do we as librarians combat this in our efforts to encourage OA? For libraries with OA funds, we should only fund journals that appear in the Directory of Open Access Journals (DOAJ) and we should investigate every publisher who appears on the market. We should become well-versed in resources like Beall’s List that show predatory publishers, and we should warn each other about new and shady publishers. These sources are not set in stone so we should be open to talk with publishers about what we desire from open access publishing. We should hold our own hosted journals and monograph series to the same standard that our University Press partners and influential journals do. By doing this we do not limit who can publish or what can be published, but we ensure that OA journals and repositories will be treated with the respect that we know they should. The result would be that all open research including student research (which is often seen as unpolished or unready for the limelight) will be more impactful because of the healthier state of Open Access. We are approaching a moment where open publishing could be as accepted, especially for tenure files, as established sources.

Alas, all of this open information is useless if no one is reading it. We should make it a point to include OA resources into our database instruction. Why isn’t the Institutional Repository taught in our class sessions as a resource for students to use? Why do we always point to our paid databases rather than OA ones? There are two common sense reasons for this, one being that we pay for these resources, and two that these resources are “legitimate,” as in they are peer-reviewed and, often, backed by universities or organizations. Open Access in some ways counteracts the elitist undertones of this kind of thought. But this is a self-fulfilling prophecy. Open resources are not seen as legitimate because we do not treat them as such, and legitimate resources do not use them because we do not believe them worthy. As Daniel Dorner and James Revell remarked in 2012, about IRs and OA, they: “must also be seen by information seekers as an accessible information resource whose content is useful to their needs”1 This worthiness is built not on availability but on expectations of quality. Hence, increasing the use of the IR or of OA resources will show that they are a worthy home for higher quality projects. If we expect people to submit to OA sources, we should encourage them to use the materials that are already housed in them.

Out of the Margins: Reflections on Open Access Week 2016

Please welcome our new First Year Academic Librarian Experience blogger Lily Troia (@LilyTroia), Digital Services Librarian at the College of William and Mary, primarily working at the Virginia Institute of Marine Science in digital scholarship, open access, and research data management.

This year marks the 9th annual International Open Access Week, a celebration that engages the global research community in issues surrounding openness. Open Access Week was first launched in 2008 by SPARC®, the Scholarly Publishing and Academic Resources Coalition and student partners, and seeks to raise awareness of, and encourage participation in, open access advocacy, working towards the goal of making openness the default in research. This year’s theme, “Open in Action,” aims to motivate individuals, institutions, and organizations to take concrete, actionable steps towards increasing open access to scholarly materials.

Access to research and scholarly articles gets to the heart of the library and information profession’s ethos. Conditions around access to information have the power to sharply segregate society into haves and have-nots—a circumstance acutely represented in the serials crisis academic libraries have been grappling with for 20 plus years. In a 2013 TEDMED talk, Elizabeth Marincola, CEO of the Public Library of Science (PLOS), warns of the repercussions of this commoditization of information, and a society in which only students at the wealthiest schools have access to the best research.

The open access alternative represents a commitment to the basic tenets of scholarly pursuits, and recognition of the incredible distribution potential of digital technology. The rise of the Internet Age has irrevocably changed the economic landscape for countless industries, especially those involving intellectual property, so it should come as no surprise that scholarly publishing would also face a similar reckoning. Yet open access offers all stakeholders an opportunity to evaluate what’s broken, what needs to be maintained, and to collaborate to create new methods and tools for communicating the fruits of research and academic labor to the widest audience possible.

The benefits of open access might seem obvious, but to many in academia, they are not. In a recent webcast Q&A with Peter Suber, Director of the Harvard Office for Scholarly Communication, and author of the seminal work Open Access, Suber pointed out 30% of journals are now OA, and roughly half of peer-reviewed articles are OA after publication within two years, indicating incredible progress towards the goal of making open the standard. A recent report revealed the growth rate for open access articles double that of published research articles in general. Despite these heartening statistics, Suber noted librarians continue to be the drivers of most open efforts, a necessity to the campaign, but one that will fall short without equal engagement from faculty and researchers. Continued (and amplified) focus on outreach will be crucial to the movement. Certainly the public’s right to know should resonate with many, especially when considering taxpayers fund a good portion of the research. The limitless analytical potential of text and data mining across wide swaths of intellectual output cannot be understated. For some researchers, the requirement to share data or their articles may be reason enough, yet the benefits of increased exposure, substantial citation advantage, fostering of collaboration, and opportunities to have huge public impact, should be continually reinforced via communications and policy.

Since its earliest days of inception as a grassroots, scientist-led initiative, open access and the related efforts around open data and open research have successfully shifted the conversation in scholarly communication, with funder requirements for OA the norm, and self-archiving allowances by for-profit journals common. While the cause has certainly advanced, bolstered by the momentum accompanying public access mandates, cultural shifts in academia, especially those surrounding tenure and promotion, have been slow to respond, and wading through this extended transitional period has resulted in traditional models and subscription costs maintaining a firm foothold. Researcher participation, most notably in the humanities, is still far from universal. Scholarly communications librarians, those working with institutional repositories, and university administrators[1] reveal concerns about slow shifts towards faculty buy-in and acknowledge researcher misconceptions around open access are prevalent.

While the open access movement is specifically focused on scholarly journals, it represents a broader shift towards openness made possible by networked technology. Open data has been at the center of the research community’s discussion surrounding reproducibility, and has many other implications: data sharing can stimulate innovation; like new analytical tools, it enables new research questions to emerge when datasets are combined, it serves as an incentive for better data documentation, and it can reduce costs associated with research by eliminating redundant efforts and other inefficiencies.

In addition, librarians must be ready to support non-traditional uses of data and collection materials – like digitization of archival materials, artistic projects, or software programs. While tangential to the serials-focused movement, special collections and archives must be involved in open initiatives, and educating information professionals working in these fields will be paramount to developing a unified message and building strategic alliances across the open data, research, and science movements.

Suber acknowledged institutional change is among the hardest hurdles, yet implored librarians to maintain optimism, and encouraged actionable efforts such as blogging about open access, publishing their own works in OA outlets, and refusing to peer-review for non-OA journals. Advocacy to increase open access is needed now more than ever. Many organizations, professionals, and policy-makers are responding to the call, with targeted work aimed at building both internal and external support, and development of policies and platforms that promote greater participation. It is critical these conversations are inclusive, and identify (and work to deconstruct) the privilege and power structures inherited from our communities of practice. In a recent blog post, April Hathcock, Scholarly Communications Librarian at NYU, calls upon the open community to address ways the movement simply recreates the dominating “Western neoliberal research institution . . . fully colonized across the globe;” and notes any transformation of scholarly communications must demand openness and transparency in its own discourse.

Above all, open access advocacy is about collaboration with all research communities, and the broader public, who are also key stakeholders—and investors—in this process. We must form alliances with like-minded publishers, expand our role in digital scholarship, and build public awareness around the ways that open issues touch all of our lives. Advocacy also involves enlisting the support of our institutional administrators, anticipating and addressing faculty concerns, engaging early researchers and even undergraduates, and ensuring all academic librarians are confident in their understanding of copyright, open licensing, and new modes of publishing.

Forward-thinking institutions like William and Mary are creating new positions such as mine, focused on facilitating academic digital services, expanding open research, and recognizing the vital importance these roles play in promoting a healthier flow of scholarly communication. I feel incredibly privileged to have been tasked with organizing our International Open Access Week events here at William & Mary Libraries, and view these outreach and educational activities as essential components of open access advocacy and action.

In 2009, when asked to give his outlook for the future of open access, Suber referenced the sage words of computing pioneer Alan Curtis Kay: “The best way to predict the future is to invent it.” The outlook of digital scholarship is riddled with unknowns, so it is up to us to engage various stakeholders and audiences, enlist their support in open access initiatives, and empower the academic community towards sustainability. It is up to us to ensure the dissemination of information is not stymied or stalled by lack of action, and to stand firm in our commitment to make certain the future is open.

[1] See more on this discussion (specifically in the context of IR participation) in a recent series of blog posts and responses: Q&A with CNI’s Clifford Lynch: Time to re-think the institutional repository?; Institutional Repositories: Response to comments; Repositories vs. Quasitories, or Much Ado About Next To Nothing

The Rock and the Hard Place (Part 2): Opening Up License Negotiation

The following is the second in a series of posts on the subscription-based model and open access alternatives, and how each get stuck from their respective ends of the scholarly information supply chain.  In addition to the usual disclaimer regarding my own opinions expressed here, these should also not be interpreted as a substitute for legal advice.

In my last post I outlined one side of scholarly communication — the subscription renewal process – in underrepresented detail, revealing places where it is stuck in arduous workflow, inefficient systems, and complex, problematic licenses. In addition to pointing out the subscription model’s own struggles, I acknowledge its perpetuation works directly against investment in open access alternatives. Seeing the shared predicament from each respective end, I wondered how these two workflows come together in practice. Beyond our company in misery, this post will explore where collaborations, specifically in the realm of licensing, have made progress toward alternatives to traditional publishing and subscription-based acquisition.

Licensing
Contract negotiation is an activity associated with the subscription model that most often occurs when placing new orders or at renewal. In many cases this responsibility is performed by collection management or acquisitions, usually with support of the institution’s general counsel. Scholarly communication staff also interpret contracts as they assist authors in negotiating publishing terms and retention of authors’ copyright. The scholarly communication office might also be involved in contract negotiation if they are a publishing entity themselves. A third player, interlibrary loan, also plays a role in licensing terms, interpreting copyright and fair use as it relates to day-to-day borrowing and lending, and copyright fee payment associated with these activities.

For other obvious reasons, these areas of the library are key stakeholders in the subscription renewal process. If we cancel, what will the faculty reaction be? How will the subscription savings through cancellation effect the cost of ILL? If we renew, what does this say about our efforts in promoting open access? In addition to this, the skillset these faculty share in negotiation and the interpretation of copyright in particular reveals a unique collaborative opportunity for subscription and open access workflows.

Bringing these shared skillsets together in the licensing process allows for a more comprehensive awareness of where contracts can restrict rights granted by copyright law. More specifically these perspectives can quickly identify key terms that can best mitigate that risk and influence other favorable objectives. The LIBLICENSE project is an excellent starting point for understanding general license terms and those specific to the needs of libraries. I highlight examples of some commonly sought terms below for which the collaborative contexts I’ve mentioned have been most helpful in addressing. Relevant pages and discussion threads from LIBLICENSE and other resources are linked within.

In terms of content and acquisition:
• Post-cancellation access (see perpetual license)
• Emergency cancellation clause (see force majeure and early termination)
• Title swap and cancellation allowance
• Content caps on changed or lost content
• Pricing caps – the larger or longer the deal, the lower the cap

In terms of ILL and copyright:
• Allowing ILL with more liberal interpretation for electronic access (see 1997 ILL straw poll)
• Assert/Do not remain silent on copyright (see section 3.3 model license “ No Diminution of Rights” and Fair Use assumptions discussion thread)

In terms of open access:
• Assert author rights (see 3.4 model license “Authors’ Own Works” and also COAR’s 2013 report: OA Clauses in Publishers Licenses )
• Eliminate or ameliorate confidentiality and non-disclosure clauses (see also ARL recommendation)
• Allow for text and data mining (see Request: Text and Data Mining Licenses…Language thread)

Negotiation
Though many of these terms are generally accepted among the library profession and even have the backing of national and international organizations, publishing and other industries have their own generally accepted clauses and the backing of their organizations. This is why it can be difficult, unrealistic even, for the single acquisitions staff responsible for negotiation to push for all these on her own.  A major subscription contract renewal is an important opportunity for many to speak with a unified voice, not just on behalf of buyers and content, but on behalf of authors and of a wider audience of users. In addition to bolstering well known terms and issues, these multiple perspectives are key to introducing new ideas into a traditional negotiation.

Sometimes new ideas (and even traditional ones) will not result in accepted contract terms because they are dealt with entirely separately from the renewal process, or because they do not otherwise match the other party’s entrenched business practices. This can be advantageous from a negotiating standpoint, as losing out on some issues can favorably influence the advancement of others. The fact that some issues are perceived as entirely separate from the renewal process can also be advantageous. Author rights, for example, are often handled through individual author contracts or separate institutional open access policy agreements. While this can sometimes prevent their inclusion subscription agreements, by recognizing the separation itself the negotiation lends a stage to raise important issues more boldly without directly jeopardizing the terms of renewal.

New ideas I’d like to see in renewal negotiation discussions involve taking what is often the licensee’s obligation and making it a mutual or licensor obligation. One example is caps on changed and added content. Publishers often allow a clause that addresses when a percentage of content lost by a publisher can trigger breach or renegotiation. But aside from title cancellation and swap clauses – which are rare and require a significant amount of time and effort by the library to invoke — there is nothing to prevent a publisher from acquiring and adding content to a package for which the libraries are required to take on in their renewal spend. Another has to do with advance renewal or offer deadlines. As outlined in my previous post, publishers often require advance notice of cancellation, but there is nothing that requires publishers to provide the library with advance notice of major changes that might influence a cancellation decision, like new package offerings or an entirely new license contract. I’d also like to explore clauses that might address the myriad ways payment for published research is replicated across the institution (aka double-dipping), such as with the libraries paid subscription and the author’s open access article processing charges.

Closing the deal
In any change, the individual and organizational commitment to cooperation can be the hardest, but most important first step. In future posts, I’ll lay out ways organizational structures, workflows and individual skills might lead to more frequent and improved collaborative work on these issues.

Breaking the big deal of a major subscription renewal and reinvesting in open access will certainly require a deeper investigation into economics of open access and subscription infrastructure already well-covered by the literature. Perhaps, as with licensing, if we look at these economics more carefully with a different group of eyes and minds, new practical alternatives will emerge.