DOCSLIB.ORG

A Study of Open Access Publishing by NHMRC Grant Recipients

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
A Study of Open Access Publishing by NHMRC Grant Recipients School of Media, Creative Arts and Social Inquiry A Study of Open Access Publishing by NHMRC Grant Recipients Noreen Suzanne Kirkman This thesis is presented for the Degree of Master of Philosophy (Media, Culture and Creative Arts) of Curtin University September 2018 Declaration To the best of my knowledge and belief this thesis contains no material previously published by any other person except where due acknowledgment has been made. This thesis contains no material which has been accepted for the award of any other degree or diploma in any university. The research presented and reported in this thesis was conducted in accordance with Chapters 5.1.7 and 5.1.18-5.1.21 of the National Health and Medical Research Council, the Australian Research Council and the Australian Vice-Chancellors Committee National Statement on Ethical Conduct in Human Research (NHMRC, ARC & ACCC, 2015). The research study received human research ethics approval from the Curtin University Human Research Ethics Committee (EC00262), Approval Number MCCA-04-14. Signature: Date: 13 September 2018 i Abstract In 2012, Australia’s premier medical research funder, the National Health and Medical Research Council implemented its policy mandating open access for all Council funded journal articles along with the deposit of metadata in Australian institutional repositories. An extensive literature revealed the diverse range of journal open access models and the low levels of author participation in depositing accepted manuscripts in repositories. Within this context, this study investigated the extent of compliance with the Council’s Open Access Policy during its first two full years. A key finding of this study was that over two-thirds (67.3%) of the articles were open access, most published in journals (56.24%) with a small number of accepted manuscripts located in Australian institutional repositories (7.24%) and PubMed Central (3.82%). The extent of open access articles published in journals was higher than that reported by other studies. Hybrid open access comprised 25.58%, with 20.85% in fully open access journals. Delayed open access journals contributed 8.75%. The level of metadata in institutional repositories was high (74.92%), mostly due to the work of repository staff. Despite grant recipients having access to author accepted manuscripts at the time of acceptance, the deposit of these versions in institutional repositories was low. Issues affecting deposits in repositories included the authors’ lack of understanding of the requisite open access version, complicated repository procedures, and publishers’ embargoes beyond the twelve months mandated by the Council’s Policy. This study is the first comprehensive investigation to measure compliance with Australia’s earliest national-level open access policy. Filling a gap in information about the publishing patterns of the Council’s grant recipients, the research also highlighted the need for supportive guidelines, procedures, and programs for authors. A coherent national approach addressing the main issues of open access would increase awareness and greater compliance with the National Health and Medical Research Council Open Access Policy. ii Table of Contents Declaration ................................................................................................................... i Abstract ....................................................................................................................... ii List of Tables ............................................................................................................ vii List of Figures ............................................................................................................ ix List of Appendices ...................................................................................................... x List of Abbreviations ................................................................................................ xi Acknowledgements ................................................................................................... xii Chapter 1: Introduction ............................................................................................ 1 Problem Statement ............................................................................................................ 2 Research Questions ............................................................................................................ 3 The Significance of the Study ........................................................................................... 3 Definitions........................................................................................................................... 4 Research Design and Methods .......................................................................................... 6 Data Analysis ...................................................................................................................... 6 Assumptions ....................................................................................................................... 7 Thesis Structure ................................................................................................................. 8 Research Ethics .................................................................................................................. 8 Chapter 2: Background and Literature Review ................................................... 10 Background to Funder Open Access Mandates ............................................................ 10 Background to the NHMRC Open Access Policy ......................................................... 14 Documentation .............................................................................................................. 14 Framework .................................................................................................................... 15 Open Access in Journals and Repositories .................................................................... 18 Open Access in Journals ............................................................................................... 18 Open Access in Repositories ......................................................................................... 24 Terminology .................................................................................................................. 36 iii Studies into Open Access................................................................................................. 39 Extent of Open Access Articles in Journals .................................................................. 42 Extent of Open Access in Repositories ......................................................................... 44 Extent of Total Open Access ......................................................................................... 46 Journal Level Studies .................................................................................................... 47 Studies into Funding Acknowledgement ...................................................................... 50 Studies into Funder Mandates ....................................................................................... 53 Conclusion to Literature Review .................................................................................... 54 Chapter 3: Research Design, Methods and Data Analysis ................................... 56 Research Design ............................................................................................................... 56 The Bibliometric Method ................................................................................................ 57 Literature Informing on Methods .................................................................................. 59 Population......................................................................................................................... 61 Search Strategies ........................................................................................................... 62 Population Results ......................................................................................................... 64 Sample............................................................................................................................... 64 Sampling Methods ........................................................................................................ 64 Sample ........................................................................................................................... 67 Research Instruments ...................................................................................................... 68 Codes for Journal Open Access Models ....................................................................... 69 Checklists of Australian Institutional Repositories ....................................................... 69 Article Study Instrument ............................................................................................... 69 Journal Study Instrument .............................................................................................. 72 Data Collection ................................................................................................................. 72 Time Frames .................................................................................................................. 72 Article Study Data ........................................................................................................
Load more

Recommended publications
  • A Content Analysis of Australian University Open Access Policies
    bioRxiv preprint doi: https://doi.org/10.1101/2021.08.20.457045; this version posted August 20, 2021. The copyright holder for this preprint (which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. It is made available under aCC-BY 4.0 International license. 1 Free for all, or free-for-all? A content analysis of Australian university open access policies Authors Simon Wakeling – Charles Sturt University Danny Kingsley – Australian National Centre for the Public Awareness of Science, ANU Hamid Jamali – Charles Sturt University Mary Anne Kennan – Charles Sturt University Hamid Jamali – Charles Sturt University Maryam Sarrafzadeh – University of Tehran Abstract Recent research demonstrates that Australia lags in providing open access to research outputs. In Australia, while the two major research funding bodies require open access of outputs from projects they fund, these bodies only fund a small proportion of research conducted. The major source of research and experimental development funding in Australian higher education is general university, or institutional, funding, and such funds are not subject to national funder open access policies. Thus, institutional policies and other institutional supports for open access are important in understanding Australia’s OA position. The purpose of this paper is, therefore, to understand the characteristics of Australian institutional open access policies and to explore the extent they represent a coherent and unified approach to delivering and promoting open access in Australia. Open access policies were located using a systematic web search approach and then their contents were analysed. Only half of Australian universities were found to have an open access policy.
    [Show full text]
  • Open Access Repositories in the Asia-Oceania Region: Title Experiences and Guidelines from Three Academic Institutions
    View metadata, citation and similar papers at core.ac.uk brought to you by CORE provided by HKU Scholars Hub Open access repositories in the Asia-Oceania region: Title Experiences and guidelines from three academic institutions Author(s) Mamtora, J; Yang, T; Singh, D Citation IFLA Journal, 2015, v. 41 n. 2, p. 162-176 Issued Date 2015 URL http://hdl.handle.net/10722/219103 Rights IFLA Journal. Copyright © Sage Publications Ltd. The Development of Open Access Repositories in the Asia-Oceania Region: a Case Study of Three Institutions Jayshree Mamtora, Tina Yang, Diljit Singh Abstract In recent years open access (OA) models have transcended traditional modes of publishing, thus enabling freer access to research. This paper takes a trans-regional approach to open access publishing in the Asia and Oceania region focussing on individual institutions in three countries – Charles Darwin University (Australia), University of Hong Kong, and the University of Malaya, reflecting on how each one is rising, in its own individual way, to meet the range of challenges that its research communities are facing. Specifically, it focuses on open access and institutional repository development, and traces their development at each of the aforementioned institutions. This paper is based on interviews conducted with staff involved with the development of the repository, and the open access collection in particular, at each of the three institutions. It synthesises OA developments and reviews the role the library has played in each institution in the development of OA across the academic and research community; and the success that has been achieved to date.
    [Show full text]
  • Sci-Hub, a Challenge for Academic and Research Libraries Llarina González-Solar; Viviana Fernández-Marcial
    Sci-Hub, a challenge for academic and research libraries Llarina González-Solar; Viviana Fernández-Marcial How to cite this article: González-Solar, Llarina; Fernández-Marcial, Viviana (2019). “Sci-Hub, a challenge for academic and research libraries”. El profesional de la información, v. 28, n. 1, e280112. https://doi.org/10.3145/epi.2019.ene.12 Article received on 26-09-2018 Approved on 24-11-2018 Llarina González-Solar * Viviana Fernández-Marcial https://orcid.org/0000-0003-4443-4102 https://orcid.org/0000-0002-9277-266X Universidade da Coruña (Spain) Universidade da Coruña (Spain) Facultad de Humanidades y Documentación Grupo de Investigación Historia, Arqueología, [email protected] Documentación y Cultura (Hadoc) [email protected] Abstract Sci-Hub emerged into the field of scientific communication in 2011 as a platform for free access to scientific papers. Itis the most popular of the so-called shadow libraries, systems that overcome the limits of legal access to scientific publi- cations, standing apart from the open access movement. Besides from the media coverage that has served to boost its popularity, several studies reveal the impact of Sci-Hub among researchers, who have embraced this initiative. Sci-Hub has revealed new forms of access to scientific information, affecting academic and research libraries that cannot remain on the sidelines. This study addresses the Sci-Hub phenomenon and its implications for academic and research libraries from different points of view, through a bibliographic review and an analysis of examples of action. Keywords Academic libraries; University libraries; Shadow libraries; Information behaviour; Sci-Hub; Scientific communication; Ethics; Legality; Legal issues; Information access; Open access; Free information; Information usage habits.
    [Show full text]
  • Understanding Open Access in the Academic Environment
    UNDERSTANDING OPEN ACCESS IN THE ACADEMIC ENVIRONMENT: A GUIDE FOR AUTHORS Kylie Pappalardo With the assistance of Professor Brian Fitzgerald, Professor Anne Fitzgerald, Scott Kiel-Chisholm, Jenny Georgiades and Anthony Austin Open Access to Knowledge (OAK) Law Project Legal Protocols for Copyright Management: Facilitating Open Access to Research at the National and International Levels Funded by the Australian Government Department of Education, Employment and Workplace Relations (DEEWR) A Systemic Infrastructure Initiative (SII) funded project and part of the Commonwealth Government’s Backing Australia’s Ability – An Innovation Action Plan for the Future Also available online at: http://www.oaklaw.qut.edu.au and http://www.oaklist.qut.edu.au June 2008 This work is licensed under an Australian Creative Commons Attribution-NonCommercial-ShareAlike 2.5 License <http://creativecommons.org/licenses/by-nc-sa/2.5/au> Preface This Guide - Understanding Open Access in the Academic Environment: A Guide for Authors - has been undertaken as an initiative of the DEEWR funded Open Access to Knowledge (OAK) Law Project and implements the recommendations of the OAK Law Project Report No. 1: Creating a Legal Framework for Copyright Management of Open Access Within the Australian Academic and Research Sector. It aims to provide academic authors with an overview of the concept of and rationale for open access to research outputs and how they may be involved in its implementation and with what effect. In doing so it considers the central role of copyright law and publishing agreements in structuring an open access framework as well as the increasing involvement of funders and academic institutions.
    [Show full text]
  • 274103458-Oa
    IFLA Article International Federation of Library Associations and Institutions 2019, Vol. 45(3) 233–245 Advancing scholarly publishing ª The Author(s) 2019 Article reuse guidelines: through open access biomedical sagepub.com/journals-permissions DOI: 10.1177/0340035219846139 repositories: A knowledge journals.sagepub.com/home/ifl management perspective Lisa Kruesi Monash University, Australia Kerry Tanner Monash University, Australia Frada Burstein Monash University, Australia Abstract Scholarly publishing has undergone major changes over the past 50 years. Funder mandates and organisational reporting obligations have heralded the creation of open access repositories, such as institutional and subject repositories. This research draws upon the US PubMed Central (PMC) and Europe PMC, also known as PMC International, as a role model to inform the concept and opportunity for an Australasia open access biomedical repository. PMC International is a leader in making citations and research output, which link to research data, Findable, Accessible, Interoperable and Reusable (FAIR). As repositories approach two decades of development, this paper reports on the potential for an Australasia open access biomedical repository through a knowledge management lens and explores the opportunities for future open access biomedical repositories. Keywords Australasia, Europe PMC, evidence-based healthcare model, knowledge management, open access biomedical repositories, open science, PMC, PMC international, PubMed Central, scholarly publishing Submitted:
    [Show full text]
  • Open Access in Australia: an Odyssey of Sorts?
    Insights – 26(3), November 2013 OA in Australia: an odyssey of sorts? | Colin Steele Open access in Australia: an odyssey of sorts? Scholarly communication change and open access (OA) initiatives in Australia have followed an Odyssean path in the last decade. The stop-start nature of early initiatives demonstrates that institutional leadership is essential for the successful deposit of academic content in an institutional repository. Similarly, OA policies from the two Australian Research Councils were delayed for nearly a decade, partly due to publisher pressure and bureaucratic conservatism. More successful has been the development of full, or hybrid, open access university e-presses. These presses, usually embedded in the scholarly infrastructure of the university, provide monographic models for wider global consideration. Australian universities are now reflecting, partly through recent Research Council edicts and monitoring global OA developments, greater awareness of the need for action in scholarly communication change. If scholarly publishing was to be reinvented in the 21st century, would we replicate the current model? Probably not, except perhaps the areas of peer review and digital distribution. There is no obvious reason in the future for journals to continue to exist, other than reputational branding. Individual articles with associated data are the key access points. Universities and their academics, moreover, would be very unlikely to give away, as in the present mode, their intellectual content to publishers. The domination of library budgets by publisher big deals and the current reward systems COLIN STEELE (with their limited metrics), imposed by research assessment exercises and university league Emeritus Fellow tables, have, however, created a scholarly publishing environment that makes rapid change Australian National University difficult.
    [Show full text]
  • Open Scholarship in Australia: a Review of Needs, Barriers, and Opportunities*
    Open Scholarship in Australia: A Review of Needs, Barriers, and Opportunities* Published as: Arthur, Paul Longley, Lydia Hearn, Lucy Montgomery, Hugh Craig, Alyssa Arbuckle, and Ray Siemens. “Open Scholarship in Australia: A Review of Needs, Barriers and Opportunities.” Digital Scholarship in the Humanities (2021): https://doi.org/10.1093/llc/fqaa063. Abstract: Open scholarship encompasses open access, open data, open source software, open educational resources, and all other forms of openness in the scholarly and research environment, using digital or computational techniques, or both. It can change how knowledge is created, preserved, and shared, and can better connect academics with communities they serve. Yet, the movement toward open scholarship has encountered significant challenges. This article begins by examining the history of open scholarship in Australia. It then reviews the literature to examine key barriers hampering uptake of open scholarship, with emphasis on the humanities. This involves a review of global, institutional, systemic, and financial obstacles, followed by a synthesis of how these barriers are influenced at diverse stakeholder levels: policymakers and peak bodies, publishers, senior university administrators, researchers, librarians, and platform providers. There view illustrates how universities are increasingly hard-pressed to sustain access to publicly funded research as journal, monograph, and open scholarship costs continue to rise. Those in academia voice concerns about the lack of appropriate open scholarship infrastructure and recognition for the adoption of open practices. Limited access to credible research has led, in some cases, to public misunderstanding about legitimacy in online sources. This article, therefore, represents an urgent call for more empirical research around ‘missed opportunities’ to promote open scholarship.
    [Show full text]
  • (PMC)? a Qualitative Investigation
    RESEARCH ARTICLE With open science gaining traction, do we need an Australasia PubMed Central (PMC)? A qualitative investigation Lisa M. KruesiID*, Frada V. Burstein, Kerry J. TannerID Faculty of Information Technology, Monash University, Melbourne, Victoria, Australia * [email protected] a1111111111 Abstract a1111111111 Open biomedical repositories, such as PubMed Central (PMC), are a means to make a1111111111 a1111111111 research discoverable and permanently accessible. Assessing the potential interest of key a1111111111 stakeholders in an Australasia PubMed Central was the objective of this research. The investigation is novel, assisting in the development of open science infrastructure through its systematic analysis of the potential interest in, and viability of a biomedical repository for managing openly accessible research outputs for the Australasia region. The research OPEN ACCESS adopted a qualitative approach based on semi-structured interviews and a focus group. Forty-four stakeholders located throughout Australia and New Zealand participated in the Citation: Kruesi LM, Burstein FV, Tanner KJ (2019) With open science gaining traction, do we need an research. Participants expanded upon their experience of PubMed, MEDLINE, PMC and Australasia PubMed Central (PMC)? A qualitative their use of information resources for research and clinical practice. The Evidence Based investigation. PLoS ONE 14(2): e0212843. https:// Healthcare (EBHC) pyramid was the theoretical model adopted to explain open biomedical doi.org/10.1371/journal.pone.0212843 repository processes. A strengths, weaknesses, opportunities and threats (SWOT) analysis Editor: Gemma Elizabeth Derrick, Lancaster identified support for exploring membership of an international PMC system, in particular University, UNITED KINGDOM Europe PMC. Lessons learnt from PMC US, Europe PMC and PMC Canada (collectively Received: May 5, 2018 known as PubMed Central International) informed the investigation.
    [Show full text]
  • オープンアクセスジャーナルの進展と悩ましい問題 三重大学 三根慎二 [email protected]
    オープンアクセスジャーナルの進展と悩ましい問題 三重大学 三根慎二 [email protected] はじめに が政策的な志向もあり，出版社による組織的対応が 見られるようになったものの，全体としては依然と 2015 年は，学術雑誌が誕生してから 350 年が経過 して利用率は高くない[10]。 した節目の年である[1]。学術雑誌および論文は，当 初から現在の形態を取っていたわけではなく，各時 APC 代において掲載内容および形式の定式化と変化を繰 （ ，論文処理費用）と り返してきた。インターネット登場以後の最大の変 APC Article Processing Charge は， ジャーナルに論文を発表する際に，著者あ 化は，学術雑誌の流通であると考えられる。具体的 OA るいは研究機関が出版社に支払う料金である。 には，電子ジャーナルであるが，学術雑誌の流通媒 OA ジャーナルのモデルの中でも，現在，APC を課すも 体が印刷版から電子ジャーナルに変化することで， のが増えている。2015 年 7 月現在，DOAJ 収録タイ 学術雑誌に対する研究者の閲読行動，大学図書館の トルのうち，APC を課しているものは 3 割程度であ 役割，大学経営における位置づけの変化などの大き り，タイトル単位では主流にはなっていない。しか な影響をもたらしている[2]。近年では，電子ジャー し，Laakso らは，論文単位では，このモデルに基づ ナルの一種であるオープンアクセスジャーナル（以 いて発表された OA 論文数が 2000 年から 2011 年に 下，OA ジャーナル）が台頭しており，特に国の政 かけて顕著な伸びていることを示している[11]。 策に組み込まれるなど，研究者，大学図書館，学協 一般的には，APC は平均 3000 ドル程度と言われ 会，研究助成機関，政府など，学術情報流通の各利 ることが多いが，調査によって，660 ドル[12]，906 害関係者にとって無視できないまでに至っている。 ドル[13]，1237 ドル[14]などと，相当のばらつきが 本稿の範囲 ある。各調査によって，調査時期，対象タイトル等 に違いがあることが大きな理由であると考えられ， OA ジャーナルの歴史，品質，研究者の意識や行 現時点では APC の価格設定に関して特定の傾向は 動などに関する先行研究は，横井によって網羅的に 見られない。現時点での APC の価格設定は実コスト 整理されている[3] [4]。本稿では，これらの文献で ではなく実勢価格で設定されているという指摘もあ 扱われていない，より最近の OA ジャーナルの動向， り[10]，しばらくは出版者間での価格設定とサービ 具体的には，OA ジャーナルのモデル・種類， OA スにおける競争が継続するものと考えられる。 ジャーナルに対する研究者調査，政策について，中 APC の価格設定が何を意味しているのかに関し 心的なトピックを整理したい。 て，学術雑誌のインパクトとの関係を調査したもの がある。たとえば，West ら[15]は Article Influence（AI） OA ジャーナルの進展 値と APC 価格との回帰分析の結果，AI 値が高いタ イトルほど高い APC 価格の設定をしていることを， ジャーナルのディレクトリ OA Directory of Open Björk と Solomon[16]は SNIP 値（Source Normalized には， 年 月現在で，約 万タ Access Journals 2015 7 1 Impact per Paper）と APC とに弱い相関があることを
    [Show full text]
  • The Changing Landscape of Scholarly Publishing Due to Open Access
    The Changing Landscape of Scholarly Publishing due to Open Access/Public Access Pressures AIP 2014 Assembly of Society Officers David Crotty Senior Editor, Oxford University Press [email protected] March 27, 2014 Historical Overview: The idea of open access is not new • The term “open access” was already in use by 1787, when Richard Cumberland argued that the press provided “open access” to “all men.” • By 1899, there were discussions over “open access” among librarians in the American Library Association. • In 2000, the internet era version of the OA movement came to attention via an open letter created by Harold Varmus, Patrick Brown and Michael Eisen This started things off on an antagonistic note OA has now reached a new era of practical implementation BOAI (2001) Definition of Open Access By “open access” to [peer-reviewed research 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. What is Open Access? Free and unrestricted online access to and re-use of material, usually in scholarly journals What does Open Access provide? Davis, P.M.
    [Show full text]
  • Common Struggles: Policy-Based Vs. Scholar-Led Approaches to Open Access in the Humanities
    Common Struggles: Policy-based vs. scholar-led approaches to open access in the humanities Samuel A. Moore 2019 Submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy in the Department of Digital Humanities, King’s College London. The copyright of this thesis rests with the author and no quotation from it or information derived from it may be published without proper acknowledgement. They hang the man and flog the woman Who steals the goose from off the common Yet let the greater villain loose That steals the common from the goose ― Anonymous, 17th century protest song Without community there is no liberation, only the most vulnerable and temporary armistice between an individual and her oppression. But community must not mean a shedding of our differences, nor the pathetic pretense that these differences do not exist. ― Audre Lorde (1984) 2 Abstract Open access publishing (OA) not only removes price and permission restrictions to academic research, but also represents an opportunity to reassess what publishing means to the humanities. OA is increasingly on the agenda for humanities researchers in the UK, having been mandated in various forms by universities and governmental funders strongly influenced by advocates in the STEM disciplines. Yet publishing practices in the humanities are unique to the field and any move to a new system of scholarly communication has the potential to conflict with the ways in which humanities research is published, many of which are shaped by the expectations of the neoliberal university that uniquely impact on the practices of humanities researchers. Furthermore, OA does not reflect a unified ideology, business model or political outlook, and different methods of publication based on open practices will inherently represent a variety of values, struggles or conceptual enclosures.
    [Show full text]
  • Open Access in Australia Scholarly and Research Communication Danny Kingsley Volume 4 / Issue 1 / 2013 Australian National University
    Build It and They Will Come? Support for Open Access in Australia Scholarly and Research Communication Danny Kingsley volume 4 / issue 1 / 2013 Australian National University Danny Kingsley, PhD, is Manager, Scholarly Communication and ePublishing of Scholarly Information Services, Chifley Library, Building 15, Australian National University, Acton, ACT 0200. Email: danny.kingsley@ Abstract anu.edu.au . Australia has enjoyed governmental support for open access for approximately a decade. This article provides a brief overview of the infrastructure now in place as a result of this support, including widespread repositories and mandates at institutional and funding levels. In addition, the funding process for Australian universities means citation information for all research output has been collected for many years. This offers a unique test case for attempting to determine whether good infrastructure support results in a higher uptake of open access. The difficulties in establishing the percentage of research that is available through open access make it impossible to answer the question definitively. However simple changes such as developing an open access advocacy body, altering the wording of mandates, and the introduction of a requirement to provide the accepted version for reporting would allow Australia to take full advantage of the policy and technical infrastructure already in place and to experience a large increase in open access to Australian research. Keywords Knowledge dissemination; Open access; Digital scholarship; Research assessment; Research funding; Open data; Data repositories; Tools and practices CCSP Press Scholarly and Research Communication Volume 4, Issue 1, Article ID 010137, 16 pages Journal URL: www.src-online.ca Received January 22, 2012, Accepted May 30, 2012, Published November 6, 2012 Danny Kingsley.
    [Show full text]