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Éric Archambault - Universalisation of OA scientific dissemination

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Open Access is increasingly a determining part of the structures and processes of scholarly communication, particularly in the emerging open science modus operandi, which presupposes the opening of all research components. Currently, most scholarly communication instances, products and services refer to open access in some way. The bibliographic indexes started to identify open access articles. New publishers were created, most commercial publishers started to publish open access journals or offer authors the possibility to publish open access articles in subscription journals. Open access mega journals have appeared. In developing countries, open access journals predominate, with emphasis on the pioneering SciELO Program, publishing open access journals from 1998, four years before the Budapest Open Access Initiative declaration. The preprints modality with open access availability of manuscripts before evaluation and publication in journals grows and new tools appear. Several innovative models have emerged in recent years to promote open access to journal articles, such as library consortia or crowdfunding. There is still difficulty and resistance from publishers in developing financial models that enable open access, and the calculation of article processing charges (APC) remains opaque. But the main force that can make the universalization of open access viable is public policies, the best example being currently the European Commission’s Horizon 2020 program.

Before this landscape, this panel will analyze progress already achieved, the promising solutions and the persistent barriers in the routes towards the universalization of open access.

Syllabus
The classical open access modalities – gold route journals, green route, new models of open access financing, metrics on the status of open access, barriers to the universalization of open access, and open access policies.

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Éric Archambault - Universalisation of OA scientific dissemination

  1. 1. Universalisation of OA scientific dissemination by Éric Archambault, D.Phil. CEO, Science-Metrix and 1science CC BY 1science 2018 #weare1science
  2. 2. 2CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Definitions – you said universalisation? https://www.thefreedictionary.com/universal
  3. 3. 3CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Universalisation is just one of the required norms for an improved research system We need to embrace the Mertonian norms We need to step back to jump forward
  4. 4. 4CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. communalism: all scientists should have common ownership of scientific goods (intellectual property) to promote collective collaboration; secrecy is the opposite of this norm universalism: scientific validity is independent of the sociopolitical status/personal attributes of its participants disinterestedness: scientific institutions act for the benefit of a common scientific enterprise, rather than for the personal gain of individuals within them organized scepticism: scientific claims should be exposed to critical scrutiny before being accepted: both in methodology and institutional codes of conduct Definitions – the Mertonian norms https://en.wikipedia.org/wiki/Mertonian_norms
  5. 5. 5CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice.
  6. 6. 6CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Q: We publish a journal specialised in Indo-Malaysian philology, is this something that you are ready to index? A: Sure, you’re welcome Q: Our journal does not have metadata available in English, can you index it? A: Sure, you’re welcome Q: We publish a journal in our biology department, we’re doing a good job of controlling quality and checking articles for accuracy, would you be interested in indexing it? A: Sure, you’re welcome Universalism: Questions & Answers
  7. 7. 7CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Budapest Open Access Initiative (2002) “The literature that should be freely accessible online is that which scholars give to the world without expectation of payment. Primarily, this category encompasses their peer-reviewed journal articles, but it also includes any unreviewed preprints that they might wish to put online for comment or to alert colleagues to important research findings. There are many degrees and kinds of wider and easier access to this literature. By "open access" to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited.” Let’s come back to open access for a moment
  8. 8. 8CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Peter Suber: Libre vs. Gratis OA “I’ve decided to use the term “gratis OA” for the removal of price barriers alone and “libre OA” for the removal of price and at least some permission barriers. The new terms allow us to speak unambiguously about these two species of free online access.” http://sparcopen.org/our-work/gratis-and-libre-open-access/ Libre OA - Similar to BOAI, free of rights Gratis OA - Similar to a subscription to scholarly journals = right to download & read Let’s build a bridge
  9. 9. 9CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. The main idea behind gold is that publishers make papers available (and often retain some rights) IMPORTANTLY: The papers can be made directly available on the publisher’s website (direct gold OA) or through a designated intermediator (intermediated gold OA) (e.g. NIH PubMedCentral, SciELO, institutional repositories in the case of university presses) There are gold journals (“born gold”, fully & instantly OA), delayed gold OA journals and gold papers published in subscription-based journals (a.k.a. “hybrid journals”) Gold OA can be free or paid for (Article Processing Charge – APC) Definitions Gold & Green OA (1 – Gold) Gold OA
  10. 10. 10CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. The main idea behind green is that parties other than publishers make papers available Often seen as synonymous with self-archiving, but [scholarly communication] librarians & institutional technical services also important actors in archiving papers Green has nothing to do with the version of the paper – a pre-print, a post-print or a version of record could all be legally archived by parties other than the publishers, subject to licensing rights [And in some cases publishers can make pre-prints of articles available, and these would still be gold] Definitions Gold & Green OA (2 – Green) Green OA
  11. 11. 11CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Blue, yellow, white, platinum, bronze, diamond: there is no end to confusing colours that conflate complex dimensions Qualifiers should be used to represent dimensions that should not be conflated with who provides availability: Time: IOA – Instant OA (born gold, preprint archiving) DOA - Delayed OA (embargoes, moving paywalls) D6OA – 6 months delayed OA (Embargoes, moving paywalls) D12OA – 12 months delayed OA (Embargoes, moving paywalls) … Preservation issues: TOA - Transient OA RESIST THE TEMPTATION TO ADD NEW COLOURS (1)
  12. 12. 12CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Infringing copyright, copyleft: ROA - Rogue OA, Robin Hood OA Licensing: copyrighted; public domain; creative common licensing (CC BY); licensed to…; other licence types… Versioning: Pre-print [& pre-peer-review]; post-print [or post-peer-reviewed author manuscript]; version of record [or publisher’s version] -- largely antiquated terms from the pre-digital age, in need of updating Refereeing & peer-review bypass: POA - Predatory OA – a concept that needs a more neutral label – “Allegedly questionable” is the one we propose for now RESIST THE TEMPTATION TO ADD NEW COLOURS (2)
  13. 13. 13CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. 1findr – from universal discovery to inclusive measures y = 3E-32e0.0434x R² = 0.9879 1,000 10,000 100,000 1,000,000 10,000,000 1860 1880 1900 1920 1940 1960 1980 2000 2020 1findr,1861-2016 (June 2018 pipeline run) Doublingperiod: 70/4.34=16-year
  14. 14. 14CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. 1findr – suggests accelerating acceleration y = 3E-22e0.0315x R² = 0.9937 y = 1E-34e0.0462x R² = 0.9918 y = 3E-46e0.0596x R² = 0.9941 1,000 10,000 100,000 1,000,000 10,000,000 1880 1900 1920 1940 1960 1980 2000 2020 2040 1findr, 1890-2015 (September pipeline run) Doublingperiod: 70/3.15=22-year Doublingperiod: 70/4.62=15-year Doublingperiod: 70/5.96=12-year
  15. 15. 15CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Journal articles indexing in 4 databases, 1900-2018 0% 5% 10% 15% 20% 25% 30% 35% Millionsofrecords Percentage of OA 0 5 10 15 20 25 30 Millionsofrecords OA-linked journal articles 0 10 20 30 40 50 60 70 80 90 Millionsofrecords Indexed journal articles
  16. 16. 16CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Percentage—OA articles/indexed articles 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 1970 1980 1990 2000 2010 2020 Numberofrecords(millions) Year Articles indexed from scientific journals 1findr, Dimensions, Core + ESCI WoS, and Scopus, 1975–2018 1findr Dimensions Core + ESCI WoS Scopus
  17. 17. 17CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Percentage—OA articles/indexed articles 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50% 1970 1980 1990 2000 2010 2020 PercentageofrecordsthatareOAarticles Year Percentage of OA articles in scientific journals 1findr, Dimensions, Core + ESCI WoS, and Scopus, 1975–2018 % OA 1findr % OA Dimensions % OA Core + ESCI WoS % OA Scopus
  18. 18. 18CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Journal articles indexing WoS, Scopus, 1findr, per domain (1) 0 2 4 6 8 10 12 14 16 18 20 WoS Scopus 1findr Millionsofrecords Natural Sciences 0 2 4 6 8 10 12 14 WoS Scopus 1findr Millionsofrecords Applied Sciences 0.0 0.5 1.0 1.5 2.0 WoS Scopus 1findr Millionsofrecords General
  19. 19. 19CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. % of OA in SCI-E and in 1findr (applied, natural & health sciences) 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50% 1970 1980 1990 2000 2010 2020 PercentageofrecordsthatareOAarticles Year Percentage of OA science and technology articles in scientific journals 1findr and SCI-E, 1975–2018 % OA SciTech in 1findr % OA SCI-E
  20. 20. 20CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Journal articles indexing WoS, Scopus, 1findr, per domain (2) 0 5 10 15 20 25 30 35 40 WoS Scopus 1findr Millionsofrecords Health Sciences 0 1 2 3 4 5 6 7 8 9 WoS Scopus 1findr Millionsofrecords Economic & Social Sciences 0 1 2 3 4 5 6 7 8 WoS Scopus 1findr Millionsofrecords Arts & Humanities
  21. 21. 21CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Number of records – social sciences 0 50,000 100,000 150,000 200,000 250,000 300,000 350,000 1970 1980 1990 2000 2010 2020 Numberofrecords Year Social sciences articles from academic journals 1findr and SSCI, 1975–2018 Social sciences 1findr SSCI
  22. 22. 22CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Percentage of OA – social sciences 0% 10% 20% 30% 40% 50% 60% 1970 1980 1990 2000 2010 2020 PercentageofrecordsthatareOAarticles Year Percentage of OA social sciences articles 1findr and SSCI, 1975–2018 % of OA social sciences in 1findr % OA SSCI
  23. 23. 23CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Denominator—indexed articles—arts & humanities 0 20,000 40,000 60,000 80,000 100,000 120,000 140,000 160,000 180,000 200,000 1970 1980 1990 2000 2010 2020 Numberofrecords Year Number of arts & humanities articles indexed from academic journals 1findr & AHCI, 1975–2018 Art & Hum 1findr AHCI
  24. 24. 24CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Numerator—OA articles—arts & humanities 0 10,000 20,000 30,000 40,000 50,000 60,000 70,000 80,000 90,000 1970 1980 1990 2000 2010 2020 Numberofrecords Year OA arts & humanities articles indexed from academic journals 1findr and AHCI, 1975–2018 OA Art & Hum in 1findr OA in AHCI
  25. 25. 25CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Percentage—OA articles/indexed articles—social sciences 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 1970 1980 1990 2000 2010 2020 PercentageofrecordsthatareOAarticles Year Percentage of OA arts & humanities articles in academic journals 1findr & AHCI, 1975–2018 % OA Art & Hum in 1findr % OA AHCI
  26. 26. 26CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Diversification of the publishing market y = 2E-26e0.0343x R² = 0.992 y = 1E-37e0.0473x R² = 0.9976 0 5,000 10,000 15,000 20,000 25,000 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015 Publishers Number of active academic journals publishers, 1findr database, 1973-2013 CC BY 1science Inc. 2018 Doubling period: 70/3.43 = 20 years Doubling period: 70/4.73 = 15 years
  27. 27. 27CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Diversification of the publishing market 0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 1985 1990 1995 2000 2005 2010 2015 2020 %ofworldpublishedarticlesinacademicjournals Share of scientific paperspublished worldwide by the big five publishers,1findr database, 1990-2015 Unfinalised data – do not draw conclusions too fast
  28. 28. 28CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Incidence of type of country on OA/Non-OA journals Number of journals in the CABI database United Nations classification of countries by type Type of country Subscription journals OA journals Per cent OA Developed 3,819 1,781 32% Transition & Developping 755 1,685 69% Type of country Subscription journals OA journals Per cent OA High-income 3,879 1,751 31% Lower-Income 695 1,717 71%
  29. 29. 29CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. SciELO needs to embrace the Mertonian norms 324 366 2395 0 500 1000 1500 2000 2500 3000 WoS (AHCI, SSCI, SCI-E, ESCI) SciELO 1findr Numberofindexedjournals Number of Brazilian journals indexed per database
  30. 30. 30CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Despite what was reported earlier (e.g. Archambault, 2014), newer evidence based on 1findr data suggests there aren’t huge differences in OA availability between domains ▪ OA in arts and humanities reaches 42% in 1findr ▪ OA in social sciences reaches 52% ▪ OA in science & technology reaches 45% ▪ Including delayed green & gold open access (i.e. max always 18 to 24 in the past) Conclusion
  31. 31. 31CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Measuring OA in traditional databases is fraught with danger Coverage of SSH is insufficiently deep Focus on established journals means emerging OA journals less likely to be indexed Focus on Western countries, English language & established journals means that emerging scientific powers are not adequately covered Over-reliance on DOI & CrossRef creates biases as not used as much in SSH, outside West, older articles & OA articles Why such large differences
  32. 32. 32CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. DOIs are recent, and not universally adopted Scientific journal articles cannot, and should not, be reduced to Crossref, Medline & DOAJ Deep data cave & open sky mining of articles in excluded countries, languages & fields is essential Why such large differences
  33. 33. 33CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Long life to the SciELOs and Érudits of this world and to OJS – one of the key actors in the universalisation of the scientific publishing market BE YE FRUITFUL & MULTIPLY
  34. 34. 34CC BY 1science 2018. This presentation is for educational use only and it contains work-in-progress, un-finalised data. Use at your own risk; consume in moderation, preferably with a soothing beverage of your choice. Obrigado!

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