Public Access to Federally Funded Research (Harnad Response to US OSTP RFI) (Part 2 of 2)

[Part 2: see also Part 1)]

---

QUESTION 8 (8a, 8b):

(Question 8a) “What is the appropriate embargo period after publication before the public is granted free access to the full content of peer-reviewed scholarly publications resulting from federally funded research?” 

There is no real reason any would-be user should ever be denied access to publicly funded research journal articles. Over 60% of journals (and virtually all the top journals) already endorse immediate green OA to the author’s final draft.

But if federal funding agencies wish to accommodate the <40% of journals that do not yet endorse immediate green OA, an embargo period (preferably no longer than 6 months) could be allowed.

The crucial thing, however, is that the embargo should not apply to the date at which deposit of the author’s final, peer-reviewed draft in the author’s institutional repository is required. That deposit should be done immediately upon acceptance for publication, for all articles, without exception.

The allowable OA embargo should apply only to whether access to the immediate-deposit is made OA immediately, or access is instead set as “Closed Access” during the allowable embargo period.

Harnad, S. (2006) The Immediate-Deposit/Optional-Access (ID/OA) Mandate: Rationale and Model Open Access Archivangelism

SUMMARY: Universities and research funders are both invited to use this document. Note that this recommended "Immediate-Deposit & Optional-Access" (IDOA) policy model (also called the "Dual Deposit/Release Strategy") has been specifically formulated to be immune from any delays or embargoes (based on publisher policy or copyright restrictions): The deposit -- of the author's final, peer-reviewed draft of all journal articles, in the author's own Institutional Repository (IR) -- is required immediately upon acceptance for publication, with no delays or exceptions. But whether access to that deposit is immediately set to Open Access or provisionally set to Closed Access (with only the metadata, but not the full-text, accessible webwide) is left up to the author, with only a strong recommendation to set access as Open Access as soon as possible (immediately wherever possible, and otherwise preferably with a maximal embargo cap at 6 months). 
     This IDOA policy is greatly preferable to, and far more effective than a policy that allows delayed deposit (embargo) or opt-out as determined by publisher policy or copyright restrictions. The restrictions apply only to the access-setting, not to the deposit, which must be immediate. Closed Access deposit is purely an institution-internal book-keeping matter, with the institution's own assets, and no publisher policy or copyright restriction applies to it.
     [In the meanwhile, if there needs to be an embargo period, the IR software has a semi-automated EMAIL EPRINT REQUEST button that allows any would-be user to request (by entering their email address and clicking) and then allows any author to provide (by simply clicking on a URL that appears in the eprint request received by email) a single copy of the deposited draft, by email, on an individual basis (a practice that falls fully under Fair Use). ). This provides almost-immediate, almost-Open Access to tide over research usage needs during any Closed Access period.]

(Question 8b) “Please describe the empirical basis for the recommended embargo period.” 

The many empirical studies that have – in every research field tested – repeatedly demonstrated the research impact advantage (in terms of both downloads and citations) of journal articles that have been made (green) OA, compared to articles in the same journal and year that have not been made OA, have also found that the OA impact advantage is greater (and, of course, comes earlier) the earlier the article is made OA. The advantage of early OA extends also to preprints made OA even before peer review. Delayed access means not only delayed impact but also lost impact, in areas of research where it is important to strike while the iron is hot. See especially the findings of the Harvard astrophysicist, Michael Kurtz in:

Bibliography of Findings on the Open Access Impact Advantage

The optimal OA embargo period is zero: peer-reviewed research findings should be accessible to all potential users immediately upon acceptance for publication. Studies have repeatedly shown that both denying and delaying access diminish research uptake and impact. Nor does delayed access just mean delayed impact: Especially in rapid-turnaround research areas (e.g. in areas of physics and biology) delaying access can mean permanent impact loss (see Figure 6):

Gentil-Beccot A, Mele S, Brooks T.C. (2010) Citing and reading behaviours in high-energy physics. Scientometrics 84(2):345–55

---

EXTRA QUESTIONS (X1, X2, X3):

Question X1. “Analyses that weigh public and private benefits and account for external market factors, such as competition, price changes, library budgets, and other factors, will be particularly useful.”

Please see the careful comparative economic analyses of John Joughton and co-workers (Figure 1):

Houghton, J.W. & Oppenheim, C. (2009) The Economic Implications of Alternative Publishing Models. Prometheus 26(1): 41-54

Houghton, J.W., Rasmussen, B., Sheehan, P.J., Oppenheim, C., Morris, A., Creaser, C., Greenwood, H., Summers, M. and Gourlay, A. (2009). Economic Implications of Alternative Scholarly Publishing Models: Exploring the Costs and Benefits, London and Bristol: The Joint Information Systems Committee (JISC)

Houghton, J.W. and Sheehan, P. (2009) Estimating the potential impacts of open access to research findings, Economic Analysis and Policy, vol. 39, no. 1, pp. 127-142.

Harnad, S. (2010) The Immediate Practical Implication of the Houghton Report: Provide Green Open Access Now. Prometheus 28 (1): 55-59

---

Question X2. “Are there evidence-based arguments that can be made that the delay period should be different for specific disciplines or types of publications?”

The optimal OA delay period is zero: the research reported in peer-reviewed journal/conference articles should be accessible to all potential users immediately upon acceptance for publication, in all disciplines. There is no real reason any would-be user should ever be denied access to publicly funded research journal articles. Over 60% of journals (and virtually all the top journals) already endorse immediate green OA to the author’s final draft.

But if federal funding agencies wish to accommodate the <40% of journals that do not yet endorse immediate green OA, an embargo period (preferably no longer than 6 months) could be allowed.

The crucial thing, however, is that the embargo should not apply to the date at which deposit of the author’s final, peer-reviewed draft in the author’s institutional repository is required. That deposit should be done immediately upon acceptance for publication, for all articles, without exception.

The allowable OA embargo should apply only to whether access to the immediate-deposit is made OA immediately, or access is instead set as “Closed Access” during the allowable embargo period.

---

Question X3. “Please identify any other items the Task Force might consider for Federal policies related to public access to peer-reviewed scholarly publications resulting from federally supported research.”

If Federal funding agencies mandate green OA self-archiving of the fundee’s final draft of all peer-reviewed journal articles resulting from federally funded research, deposited in the fundee’s institutional repository immediately upon acceptance for publication (ID/OA mandate), this will not only generate 100% OA for all US federally funded research, but it will inspire funders as well as universities and research institutions worldwide to follow the US’s model, reciprocating with OA mandates of their own, thereby ushering in the era of open access to all research, worldwide, in all fields, funded and unfunded (see mandate growth curve from ROARMAP (Registry of Open Access Mandatory Archiving Policies), Figure 2).