Transforming Scholarly Publishing through Open Access: A Bibliography,

2010·2.4 MB·English

by  Charles W. Bailey, Jr.

Transforming Scholarly
Publishing through Open
Access: A Bibliography
C W. B , J .
HARLES AILEY R
DIGITAL SCHOLARSHIP
HOUSTON,TX
TransformingScholarlyPublishingthrough Open Access:A
Bibliography
Copyright ©2010byCharles W.Bailey,Jr.Coverphotographs
(beforealteration)byNASA.
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Table of Contents
PREFACE.............................................................................................................1
ASHORTINTRODUCTIONTOOPENACCESS.......................................................2
1GENERALWORKS.........................................................................................5
1.1OPENACCESSOVERVIEWS...........................................................................5
1.2OPENACCESSANALYSISANDCRITIQUES..................................................10
1.3OPENACCESSDEBATESANDDIALOGS......................................................22
1.3.1TheEconomicImplicationsofAlternativePublishingModels..........22
1.3.2NatureWebDebateonFutureE-AccesstothePrimaryLiterature..23
1.3.3NatureWebFocusonAccesstotheLiterature:TheDebateContinues
....................................................................................................................27
1.3.4Other..................................................................................................31
1.4OPENACCESSECONOMICISSUES...............................................................31
1.5OPENACCESSRESEARCHSTUDIES.............................................................33
1.6OTHER........................................................................................................37
2COPYRIGHTARRANGEMENTSFORSELF-ARCHIVINGANDUSE42
2.1COPYRIGHTGENERALWORKS...................................................................42
2.2AUTHORRIGHTS.........................................................................................44
2.3COPYRIGHTRESEARCHSTUDIES................................................................47
3OPENACCESSJOURNALS.........................................................................50
3.1OPENACCESSJOURNALGENERALWORKS................................................50
3.2OPENACCESSJOURNALECONOMICISSUES................................................53
3.3OPENACCESSJOURNALPUBLISHERSANDARCHIVES................................59
3.3.1PublicLibraryofScience...................................................................59
3.3.2PubMedCentral.................................................................................60
3.3.3Other..................................................................................................61
3.4OPENACCESSJOURNALCASESTUDIES......................................................62
3.5OPENACCESSJOURNALRESEARCHSTUDIES.............................................67
4E-PRINTS........................................................................................................77
4.1E-PRINTGENERALWORKS.........................................................................77
4.2E-PRINTHISTORY.......................................................................................79
4.3E-PRINTRESEARCHSTUDIES......................................................................79
5DISCIPLINARYARCHIVES........................................................................84
5.1DISCIPLINARYARCHIVEGENERALWORKS................................................84
5.2SPECIFICDISCIPLINARYARCHIVESANDPROJECTS.....................................84
5.2.1arXiv...................................................................................................84
5.2.2NASAAstrophysicsDataSystem........................................................85
5.2.3RePEc.................................................................................................87
5.2.4Other..................................................................................................87
6INSTITUTIONALREPOSITORIES............................................................90
6.1INSTITUTIONALREPOSITORYGENERALWORKS.........................................90
6.2COUNTRYANDREGIONALINSTITUTIONALREPOSITORYSURVEYS.............97
6.3MULTIPLE-INSTITUTIONREPOSITORIES....................................................102
6.4SPECIFICINSTITUTIONALREPOSITORIES...................................................103
6.4.1eScholarship.....................................................................................103
6.4.2MIT...................................................................................................104
6.4.3OSUKnowledgeBank......................................................................104
6.4.4Other.................................................................................................104
6.5INSTITUTIONALREPOSITORYPRESERVATIONISSUES................................110
6.6INSTITUTIONALREPOSITORYLIBRARYISSUES..........................................111
6.7INSTITUTIONALREPOSITORYMETADATAISSUES.....................................114
6.8INSTITUTIONALOPENACCESSMANDATESANDPOLICIES........................117
6.9INSTITUTIONALREPOSITORYR&DPROJECTS...........................................120
6.9.1ARROW............................................................................................120
6.9.2DAEDALUS......................................................................................120
6.9.3DARE................................................................................................122
6.9.4DRIVER............................................................................................122
6.9.5Hydra/REMAP/RepoMMan..............................................................122
6.9.6SHERPA...........................................................................................123
6.9.7Other.................................................................................................124
6.10INSTITUTIONALREPOSITORYRESEARCHSTUDIES..................................125
6.11INSTITUTIONALREPOSITORYSOFTWARE................................................131
6.11.1General...........................................................................................131
6.11.2DSpace...........................................................................................132
6.11.3Fedora............................................................................................134
6.11.4Other...............................................................................................135
6.12ELECTRONICTHESESANDDISSERTATIONSININSTITUTIONAL
REPOSITORIES.................................................................................................136
7OPENARCHIVESINITIATIVEANDOAI-PMH....................................140
8LIBRARYISSUES........................................................................................143
8.1GENERALLIBRARYISSUES.......................................................................143
8.2SPARC.....................................................................................................147
9CONVENTIONALPUBLISHERPERSPECTIVES.................................149
10OPENACCESSLEGISLATION,GOVERNMENTREVIEWS,
FUNDINGAGENCYMANDATES,ANDPOLICIES.................................153
11OPENACCESSINCOUNTRIESWITHEMERGINGAND
DEVELOPINGECONOMIES........................................................................160
11.1DEVELOPINGCOUNTRIESGENERALWORKS...........................................160
11.2DEVELOPINGCOUNTRIESSPECIALPROGRAMS.......................................162
12OPENACCESSBOOKS............................................................................164
12.1GOOGLEBOOKS......................................................................................164
12.2OTHEROPENACCESSBOOKS.................................................................169
APPENDIXA.RELATEDBIBLIOGRAPHIES...........................................171
APPENDIXB.ABOUTTHEAUTHOR........................................................173
Preface
TransformingScholarlyPublishingthrough OpenAccess:A
Bibliographypresents over1,100selectedEnglish-language
scholarlyworks useful inunderstandingtheopen access movement's
efforts toprovide freeaccess toandunfettereduseofscholarly
literature. Thebibliographyprimarilyincludes books andpublished
journal articles. Alimitednumberofbookchapters, conference
papers, dissertations andtheses, magazinearticles, technical reports,
andotherscholarlyworks that aredeemedtobeofexceptional
interest are also included. Thebibliographydoes not coverdigital
mediaworks (such as MP3 files),news articles, editorials,
interviews, letters tothe editor,presentationslides ortranscripts,
unpublishede-prints, weblogpostings, ore-mail messages.
Thebibliographyincludes links tofreelyavailable versions of
includedworks. Suchlinks, eventopublisherversions andversions
indisciplinaryarchives andinstitutional repositories, aresubject to
change. Typically, URLs mayalterwithout warningor automatic
forwarding, andtheymaydisappear altogether. Inclusionoflinks to
works onauthors'personal sites is highlyselective. Links are
checkedas of8/1/2010. Notethat e-prints andpublishedarticles
maynot beidentical.
Most sources havebeen publishedfrom January1,1999through
August 1,2010; however,alimitednumberofkeysources
publishedpriorto1999arealso included.
1
A Short Introduction to Open Access
Openaccess deals withfreeaccess toandreuseof scholarlyworks.
Todate,it has primarilybeenconcernedwithscholarlyjournal
articles; however,digital books, electronictheses anddissertations,
andresearchdatahavebeenof growingconcern. Interest indigital
books has beenincreased bymass digitizationprojects, especially
Google Books. Not all works inGoogle Books are openaccess;
however,it is ofinterest becauseit contains asignificant numberof
freelyavailabledigital books andit has beenanimportant catalyst in
theareaofmass digitization.
There aretwotypes ofopenaccess. Gratis open access means that
ascholarlyworkis freeofcharge.1 Libreopenaccess means that a
scholarlyworkis freeof charge andsomeor all restrictions onits
reuse,such as translatingit,havebeenremoved. Openlicenses are
oftenusedto grant users rights toreuselibreopen access works.
Forexample,thePublicLibraryofScienceuses theCreative
Commons AttributionLicenseforthejournals it publishes.
There aretwomajoropenaccess strategies.2 Openaccess journals
publish articles (typicallypeer-reviewedarticles)that are freeof
charge and,dependingonthejournal,maybeabletobereused
underanopen license. Self-archiving involves authors (orlibrarians
actingforauthors)depositinge-prints ofjournal articles (orother
works)indigital depositories. These e-prints are freeofcharge,
and,dependingonthe copyright holder (authoror publisher),may
beabletobereusedunderanopenlicense.
E-prints aretypicallyprepublication versions ofarticles. Ane-print
is oftenthefinal authorversionofanarticlethat has beenaccepted
bythejournal beforefinal editorial changes havebeenmade.
However,dependingonthecopyright holder, ane-print maybethe
final publishedversionofthearticle.
2
Authors self-archive e-prints onpersonal websites,departmental
websites, departmental digital archives, disciplinaryarchives, and
institutional repositories. Adisciplinaryarchiveis aglobal digital
repositorythat contains e-prints (andpossiblyotherkinds ofworks)
that deal withoneormorescholarlydisciplines. An institutional
repositoryis adigital repositoryspecifictoasingleinstitutionthat
contains diversetypes of digital works that deal withall ofthe
disciplines associatedwith that institution. Institutional repositories
typicallyuse eitherspecializedopensourcesoftware,such as
EPrints, DSpace,orFedora,orarehostedon remoteservers fora
fee,such as theDigital Commons. Acomputerprotocol knownas
OAI-PMHallows metadata(descriptiveinformation)about works in
digital repositories tobe harvested(i.e.,automaticallyretrieved).
Whileopenaccess works arefreelyavailable,theyarenot freeto
produceormakeaccessible.3 Consequently,animportant issueis
howtopayformakingopenaccess works available. Forexample,
someopenaccess publishers chargeauthors fees topublish articles
(thesefees maybe waivediftheauthorcannot pay),others relyon
subsidies from sponsoringorganizations, suchas universities.
Thereis a growingtrend foruniversities, fundingorganizations, and
governments tomandate informal policies that articles createdwith
theirfundingorsubsidybemadeopen access. In somecases,
universities maysuggest,ratherthan require,that this bedonein
openaccess policies.
Whiletraditional publishers havebeenunderstandablyconcerned
about theimpact ofopen access ontheirbusiness models, an
increasingnumberofthem areofferingsometype ofopenaccess
option. Somepublishers havecompletelyconvertedtoafull open
access business models, andsomenewpublishers havebeen
establishedusingone. Sometraditional publishers havealso made
special arrangements toprovideopenaccess tofee-basedworks to
scholars indevelopingcountries.
3
Notes
1.PeterSuber, "Gratis and LibreOpenAccess,"SPARC Open
Access Newsletter,no.124(2008).
http://www.earlham.edu/~peters/fos/newsletter/08-02-08.htm#gratis
-libre
2.Budapest OpenAccess Initiative, "Budapest OpenAccess
Initiative,"14February2002,
http://www.soros.org/openaccess/read.shtml.
3.PeterSuber, "OpenAccess Overview: FocusingonOpenAccess
toPeer-ReviewedResearchArticles andTheirPreprints,"
http://www.earlham.edu/~peters/fos/overview.htm.
4
1 General Works
1.1 Open Access Overviews
Albert,KarenM. "Open Access: Implications for Scholarly
PublishingandMedical Libraries."Journal of the Medical Library
Association 94,no.3(2006): 253-262.
http://www.pubmedcentral.gov/articlerender.fcgi?artid=1525322
Awre,Chris. "Open Access andthe Impact onPublishingand
Purchasing."Serials 16,no.2(2003): 205-208.
Ayris, Paul. "NewWineinOldBottles: Current Developments in
Digital DeliveryandDissemination."EuropeanReview 17,no.1
(2009): 53-71.
http://journals.cambridge.org/action/displayFulltext?type=1&fid=43
24656&jid=&volumeId=&issueId=01&aid=4324648&bodyId=&me
mbershipNumber=&societyETOCSession=
Bailey,Charles W.,Jr. OpenAccess Bibliography:Liberating
ScholarlyLiteraturewithE-Prints andOpenAccess Journals.
Washington,DC: AssociationofResearch Libraries, 2005.
http://www.digital-scholarship.org/oab/oab.htm
———."What Is Open Access?" In OpenAccess:KeyStrategic,
Technical and Economic Aspects,ed.Neil Jacobs, 13-26.Oxford:
Chandos Publishing,2006.
http://www.digital-scholarship.org/cwb/WhatIsOA.pdf
Bergman,SherrieS. "TheScholarlyCommunicationMovement:
Highlights andRecent Developments."Collection Building 25,no.4
(2006): 108-128.
Chantavaridou,Elisavet. "Contributions ofOpen Access toHigher
EducationinEuropeand ViceVersa."OCLC Systems &Services:
International Digital LibraryPerspectives 35,no. 3(2009): 16-174.
5