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Proposal Information University of North Texas | Principal Investigator: Kevin S. Hawkins | Grant Reference Number: ​ ​ 1907-06973 Proposal Information Project Title: Developing a Data Trust for Open Access Ebook Usage Amount Requested: $1,200,000 Grant Start Date: January 1, 2020 Duration (in months): 24 Program: Scholarly Communications Description of Proposed Work: This project will put into action the recommendations of the white paper “Exploring Open Access Ebook Usage,” published by the Book Industry Study Group in May 2019 with support from the Foundation, by building a pilot data trust for usage data on open access (OA) monographs. As an international cooperative managed by the community of stakeholders in scholarly communications and operating a secure data repository and member dashboards, this data trust will be designed to align with the priorities of authors and institutions while respecting emerging ethical norms in the use of metrics. 1 University of North Texas | Principal Investigator: Kevin S. Hawkins | Grant Reference Number: ​ ​ 1907-06973 Proposal Narrative Cover Letter: When invited to submit the final proposal, please upload a cover letter on the organization’s letterhead, signed by the principal investigator(s). A draft may be provided here for review by Foundation staff. DRAFT BELOW Dear Patricia: On behalf of the project team, I am pleased to submit this proposal for a two-year project entitled “Developing a Pilot Data Trust for Open Access Ebook Usage.” This project is a collaboration led by Kevin Hawkins at the University of North Texas (UNT), with co-PIs Katherine Skinner (Educopia Institute), Lucy Montgomery and Cameron Neylon (Curtin University), Rebecca Welzenbach (University of Michigan), and Brian O’Leary (Book Industry Study Group). With $1.2 million in funding from the Foundation, the project team will take into account the findings of our previously funded environmental scan, build on its recommendations, and leverage the strong relations established during our community consultation, collaborating with publishers, platforms, and standards bodies in the US and around the world in scholarly communications to create a secure pilot data repository and member dashboards. The University of North Texas will adhere to the Foundation’s Grantmaking Policies published at https://mellon.org/grants/grantmaking-policies-and-guidelines/grantmaking-policies/ as of ​ ​ today’s date. Sincerely, Kevin S. Hawkins Assistant Dean for Scholarly Communication Interim Head of Library Research Support Services 2 University of North Texas | Principal Investigator: Kevin S. Hawkins | Grant Reference Number: ​ ​ 1907-06973 Endorsement Letter: When invited to submit the final proposal, please upload a signed endorsement letter from the chief executive officer, vice chancellor, rector, or president of the organization if the head of the institution is not the principal investigator for the proposed grant. Please see the proposal ​ guidelines for further details about the letter. A draft may be provided here for review by ​ Foundation staff. DRAFT BELOW Dear Dr. Hswe: On behalf of the University of North Texas, I am pleased to endorse this application for a two-year, $1.2 million grant project entitled “Developing a Pilot Data Trust for Open Access Ebook Usage,” to be led by Kevin Hawkins of the University of North Texas Libraries. As in his letter from August ___, 2019, he will lead a team of co-PIs from a range of institutions that will collaborate with publishers, platforms, and standards bodies in the US and around the world to create a secure data repository and member dashboards and lay the foundation for an international cooperative managed by the community of stakeholders in open-access monograph publishing. Sincerely, Neal J. Smatresk President 3 University of North Texas | Principal Investigator: Kevin S. Hawkins | Grant Reference Number: ​ ​ 1907-06973 Proposed Activities and Rationale: In as many pages as you need, please explain in detail the project’s rationale and proposed activities. This document should address the questions and topics set forth in the Foundation’s proposal guidelines for the relevant program area. These guidelines can be found here. ​ ​ Background The promise of open access (OA) to scholarship is that published work will be more often downloaded, used, and cited. Authors, publishers, and funders of works of scholarship have increasingly experimented with OA in the hopes that the work will be more often accessed, consulted, and cited. However, these stakeholders in scholarly communications need reliable and comprehensive information about usage in order to make such claims. To take an example, Branislav Jakovljević, a faculty member in theater and performance studies at Stanford, published a monograph with the University of Michigan Press about the interplay of artistic, political, and economic performance in the former Yugoslavia from 1945 to 1991, arguing that they were in fact inseparable. Since it is a profoundly interdisciplinary work, Jakovljević was interested in ensuring that it would be discovered by readers outside of theater studies, and since it addresses the role of soft power in dictatorships, he wanted the work to reach audiences in various countries where English-language university-press monographs are rarely available. Therefore, he was happy to allow the University of Michigan Press to make the work OA through Knowledge Unlatched, though he also wanted to be able to understand how readers used the book and to make a case about the impact of the OA version of the work for his promotion dossier—especially in comparison to similar work—beyond quoting sales figures, book reviews, and book awards. At the same time, the University of Michigan Press wanted to reassure the author that he had chosen the right publisher and made a good decision in choosing OA. How could both the author and publisher get the information they needed in relation to usage of this book? The University of Michigan Press has struggled to find a way to help its authors understand the impact of their publications in OA. Usage data—the numbers of downloads, views, searches, and online annotations, all broken down by time period and country of use—is available in many platforms that support OA monographs. However, ebooks are often made available in more than one online location, for example, via the publisher website, through digital content platforms such as JSTOR, and through dedicated OA monograph platforms such as the OAPEN Library. As a result, significant work is involved in aggregating data that relates to usage of an OA ebook from each of the websites hosting the content. Furthermore, individual platforms make OA books available in different ways—for example, as individual chapter downloads, full book PDF download, or in HTML on-screen read-only formats. As a result, usage data provided by different platforms must also be standardized in order to allow meaningful information to be distilled from raw usage numbers. This requires data-science expertise that most book publishers (which are generally smaller in size than journal publishers) and many other stakeholders in ebook publishing do not possess. 4 University of North Texas | Principal Investigator: Kevin S. Hawkins | Grant Reference Number: ​ ​ 1907-06973 The problem goes beyond individual publishers working with individual authors. Even with standardization, the different stakeholders in OA monograph publishing, having only a small perspective on usage of ebooks based on their position in the ecosystem, need help understanding data relevant to them and how it relates to data from other stakeholders. Crucially, access to data must be carefully controlled to ensure that users have access only to what they are entitled to see, taking into account user confidentiality, international privacy legislation, and certain business sensitivities. A system for sharing data should be designed to ensure responsible use of ebook metrics, with knowledge of the potential, as well as the limitations, of usage data as a source of insight into the ways in which specialist scholarly books are being accessed, the communities using them, and the impact of the knowledge that they contain. In sum, support for OA book publishing will not grow without investment in the collection and analysis of usage data. Little of the promise for increasing the reach of long-form digital scholarship through OA can be demonstrated without the availability of aggregated and standardized ebook usage data, agreement on what is important to analyze, and tools for reporting to authors and funders. What is needed The project team believes that a positive step toward tackling this challenge is to create a data ​ trust. Data trusts are an increasingly common feature of the information landscape, especially in ​ cases where data from a range of different providers (who may have conflicting interests) needs to be shared. As documented in a recent report1 from the Open Data Institute, such structures facilitate data sharing while retaining trust among organizations, and researchers at the Digital Media Research Centre at the Queensland University of Technology have documented examples from industries, such as automobile manufacturing and pharmaceuticals, that have characteristics in common with the OA ebook ecosystem.2 Namely, they found industry stakeholders with an overarching question that there is mutual interest in answering, entities of various sizes with data to share, the need to cooperate across organizations with a range of value systems, and information requiring commercial confidentiality. In most cases a governance framework for sharing data is combined with a data repository where information can be ingested from data holders, normalized, and disseminated to data users. Indeed, the Open Data Institute defines a data trust as “a legal structure that provides independent stewardship of data.”3 The time has come for a data trust for OA ebook usage. The University of Michigan was awarded a grant of $93,000 (G-1802-05418) from the Foundation in 2018 to engage with the challenges of sharing data among stakeholders in the publishing of OA ebooks and to socialize the idea of a data trust.
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