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1 University of Florida Open Access Publishing Fund Pilot Project Mid Term Report Submitted by Judith Russell, Dean of University Libraries Compiled by Christine Ross and Isabel Silver, Academic and Scholarly Outreach Description The University of Florida Open Access Publishing Fund (UFOAP) was launched July 1, 2010. The Fund was set up as an 18 24 month pilot project, funded with $120,000 from the Provosts Office, with $60,000 allocated for year one and $60,000 allocated for the second year. Any UF faculty, student or staff was eligible for up to $3,000 per year, and $3,000 per peer reviewed research article in a journal listed in the Directory of Open Access Journals (DOAJ), or $1,500 for an article published in a hybrid journal1. Because the UFOAP funds were intended to support articles not covered by grants or other funding sources, support was provided for articles emanating from grants submitted before the UFOAP commencement of July 1, 2010. Evaluation Three measures are used to evaluate the pilot project: 1) quantification of the use of the funds, 2) evaluative comments from the participants, and 3) citation counts of the articles. Quantification of the Use of UFOAP 73 applications received (See Figure 1) 52 applications reimbursed o 37 Faculty o 4 Staff o 11 Students 46 unique submitting authors reimbursed o 31 Faculty o 4 Staff o 11 Students 174 total number of UF faculty, student s, and staff recipients benefitting as co authors 10 colleges and the Museum of Natural History participating 28 departments participating 31 unique journals utilized 8 hybrid journals utilized $62,599.86 funds disbursed The 21 applications denied either did not meet the Fund criteria (e.g. publication or publisher not listed in either the DOAJ or the OASPA) or the applicants did not submit required documentation upon request. The number of applications per month varied. There was a noticeable increase in the number of applications after the Open Access Week event in October 2010 (see Figure 2 below). At this time, 1 A hybrid journal is a variation on the open access journal model. Traditional open access journal are fully open access in that every article is available freely and openly. Hybrid journals are not fully open; rather, the only articles that are open access are those for which the author has specifically paid a fee for it to be freely available. All other articles in the journal are closed and only available to paid subscribers.
2 library subject specialists were charged with contacting departments and faculty about OA and the UFOAP, and the upward trend continued. Figure 1: Number of Applications by UF College Figure 2: Number of Applications Per Month in Year One 15 0 3 0 1 2 0000 14 22 22 3 15 2 0 5 10 15 20 25 Applications by College 0 2 4 6 8 10 12 14 Jul 10Aug 10Sep 10Oct 10Nov 10Dec 10Jan 11Feb 11Mar 11Apr 11May 11Jun 11 Jul 10Aug 10Sep 10Oct 10Nov 10Dec 10Jan 11Feb 11Mar 11Apr 11 May 11 Jun 11 No. of Apps Per Month 2148638569813No. of Apps Per Month
3 Qualitative Feedback from the Participants Reactions from UF researchers have been very positive, and almost every single recipient has replied to his or her acceptance letter with an effusive thank you and/or expression of appreciation. Several specific comments follow: Dr. Graciela Lorca, Assistant Professor, Department of Microbiology and Cell Science wrote to us: The Open Access Publishing Fund is more important than ever. The use of open access publications increases the impact and availability of peer reviewed work to a much wider audience than traditional publications For us personally, the open access format maximizes the visibility and impact of our work, and is the real next step in the evolution of peer reviewed publishing ..The Open Access Fund allowed us to publish in what we believe is a better format than traditional journals without dealing with inhibitory publishing fees. Dan Spade, who is a graduate student in the UF Physiological Sciences Department but works in Environmental Toxicology, studied the queen conch with support from the Florida Fish and Wildlife Conservation Commission. He appreciated having the UFOAP Fund available because his was a small grant that didnt include money for open access publishing. While he enjoyed having his article published so quickly and looks forward to the permanency of his article, he especially noted that a major benefit of OA is making the research available to other people who are working on the same species throughout the Caribbean. We have a collaborator that we work with pretty directly from the Virgin Islands, and their university library does not offer access to as many journals online as the UF does, and people like that who are interested in the same species but do not have access to the same resources that this big university does can still see my paper. Associate Professor Max Teplitski told us that open access publishing has come a long way and now there are many highly prestigious journals in which to publish, and the rapid turn around of his published article demonstrated value to the funding agency and helped participating graduate students. Assistant Professor Zhonglin Mou reported back that the OA review and publication processes were quicker and inexpensive in comparison to conventional publishing, he received immediate feedback on his research, the publication would strengthen his Tenure and Promotion packet, and the application process was quick and very nice to have this kind of support for the article processing fees. Citation Counts on Each Article At the pilot project midterm, in July 2011, citation counts were conducted on each article through Harzings Publish or Perish program2 and ISI Web of Knowledge3. Data for computation of citations in Harzings comes from Google Scholar, which crawls and indexes scholarly content on the web, including both traditional and open access journals as well as books and conference reports. Google reportedly refreshes its content on a regular basis, at the most monthly. However, updates to existing records take 3 6 months to a year or longer, depending upon the size of the source web site. Further, citation counts reflected in Harzings can also be affected by the availability of web content. If cited papers become unavailable or are reformatted in a way to make them difficult to be indexed, citation counts may decrease. ISI Web of Knowledge includes content from all ISI registered journals. ISI indicates that it updates its content on a weekly basis. The time between publication and appearance in these two 2 Harzing, A.W. (2007) Publish or Perish available from http://www.harzin g.com/pop.htm 3 Thomson Reuters ISI Web of Knowledge, available from http://webofknowledge.com/
4 citation services, thus, may vary from a week to a few months and likely accounts for the lack of citations for articles published in May 2011 and after. In addition, it should be noted that the citation rates for published articles during the first six months, or even longer, will be very low because the UFOAP supported articles first must be read and evaluated by other researchers, incorporated into the new research with citing authors taking time to complete their research and write their articles, and then allowing for the time needed for the entire publishing process of the new articles. The chart below lists articles funded during the first year of the pilot, including the date of publication and the citation counts from the two services. Application Date Publication Date Applicant/Author Journal ISI Harzing's July 2, 2010 May 10 Graciela Lorca PLoS ONE 11 9 August 5, 2010 August 10 Maxim Teplitski PLoS ONE 0 2 August 23, 2010 September 10 Daniel Spade PLoS ONE 1 0 September 21, 2010 September 10 Zhonglin Mou Plant Methods 1 1 September 23, 2010 September 10 Paul Gulig BMC Genomics 1 1 October 4, 2010 April 11 Peng Jiang Advances in Biomimetics Not Indexed (Book Chapter) Not Indexed (Book Chapter) October 5, 2010 December 10 Sergio Alvarez Journal of Sustainable Development 0 0 October 22, 2010 November 10 Dimitri Van Simaeys PLoS ONE 0 0 October 22, 2010 December 10 Allah Haafiz Clinical and Experimental Gastroenterology 0 1 November 3, 2010 November 10 Stephen Hagen PLoS ONE 0 0 November 29, 2010 December 10 Kwame Sefah PLoS ONE 1 0 November 29, 2010 November 10 Lung Ji Chang Journal of Immune Based Therapies and Vaccines 0 0 November 29, 2010 November 10 Ling Meng PLoS ONE 0 0 December 1, 2010 December 10 Cuong Nguyen Journal of Biomedicine and Biotechnology 0 0 December 2, 2010 November 10 Brenda Thacker Caries Research 0 0 December 2, 2010 December 10 Matthew Gitzendanner PNAS 0 2 December 16, 2010 January 11 Erik Black Journal of Medical and Internet Research 2 0 December 21, 2010 February 11 Sihong Song Journal of Translational Medicine 0 0
5 January 11, 2011 January 11 Allen Overman PLoS ONE 0 0 January 11, 2011 December 10 Ammon Peck Arthritis Research & Therapy 0 0 January 18, 2011 March 11 Allah Haafiz Clinical Medicine Insights: Pediatrics 0 0 January 31, 2011 January 11 James Gillooly PLoS ONE 0 0 February 2, 2011 February 11 Mark Bishop BMC Musculoskeletal Disorders 0 0 February 7, 2011 January 11 Candace Bichsel PLoS ONE 0 0 February 8, 2011 February 11 Xiangxuan Zhao PLoS ONE 0 0 February 22, 2011 March 11 Fuhua Chen Applied Computational Intelligence and Soft Computing 0 0 February 24, 2011 April 11 Allah Haafiz Clinical and Experimental Gastroenterology 0 0 March 17, 2011 January 11 David Reed Molecular Biology and Evolution 1 1 March 21, 2011 Unknown Yoonseok Lee New Journal of Physics 0 0 March 21, 2011 May 11 Meryl Alappattu Journal of Pain Research 0 0 March 21, 2011 April 11 Leticia Reyes BMC Infectious Diseases 0 0 March 28, 2011 August 11 Xiaohui Xu Occupational and Environmental Medicine 0 0 April 8, 2011 April 11 Donald Behringer Diseases of Aquatic Organisms 0 0 April 8, 2011 December 10 Sihong Song PLoS ONE 1 0 April 13, 2011 April 11 John Faver PLoS ONE 1 0 April 14, 2011 May 11 Alfred Thomson Zootaxa 0 0 April 19, 2011 June 11 Allah Haafiz Clinical Medicine Insights: Pediatrics 0 0 April 22, 2011 May 11 Minoru Satoh Arthritis Research and Therapy 0 0 April 28, 2011 June 11 Jennifer Elder Journal of Child and Family Studies 0 0 May 3, 2011 May 11 Andrew Barbour PLoS ONE 0 0 May 10, 2011 May 11 Kevin Folta PLoS ONE 0 0 May 11, 2011 Unknown Xiaohui Xu Air Pollution Not Indexed (Book Chapter) Not Indexed (Book Chapter) May 27, 2011 May 11 Edward Braun BMC Evolutionary Biology 0 0
6 June 3, 2011 June 11 Steven George BMC Musculoskeletal Disorders 0 0 June 9, 2011 May 10 Stephanie Staras Maternal and Child Health Journal 0 0 June 13, 2011 July 11 Cameron Johnson Ophthalmology and Eye Diseases 0 0 June 21, 2011 Unknown Allah Haafiz Hepatic Medicine: Evidence and Research 0 0 June 21, 2011 June 11 Erika Eksioglu PLoS ONE 0 0 June 21, 2011 Unknown Caprice Knapp Journal of Medical Internet Research 0 0 June 27, 2011 Unknown Shannon Pressey Infectious Agents and Cancer 0 0 June 27, 2011 June 11 Dan Brown BMC Research Notes 0 0 June 28, 2011 Unknown Folakemi Odedina Infectious Agents and Cancer 0 0 Year Two Proposals for Sustainability According to SPARC, given the newness of open access publishing funds and the small number of funds, there havent been any reported formal measurements of performance developed. However, our own data suggests that there are two main areas upon which we should concentrate our attention and effort. First, we want to maintain the steady uptick in the number of applications. This will be accomplished by continued marketing through refreshed online presence, promotion to departments by library subject specialists, and targeted contact by the Scholarly Communications Librarian. We will also survey past recipients for feedback about the application process and inquire as to how they learned about the fund, their experience with the application and funding process, and their general opinions about open access. This feedback will instruct us as we continue to modify and update our application form and procedures. We will also reach out to graduate students through both publicity announcements and programming as a means of increasing the number of applications from this group. The second area of attention should be upon those colleges that have not put forward any applications. UF colleges not yet participating are Business and Administration; Law; Design, Construction and Planning; Fine Arts; Public Health and Human Performance; and Journalism and Communication. Notably, many humanities and social sciences departments within the College of Liberal Arts and Sciences also have not applied for funding. In discussions with colleagues at other institutions with OA funds and in the literature on open access, we find this paucity of participation is not uncommon. The Open Access movement struggles to make inroads into these academic areas. This is partially attributable to the lack of open access publishing opportunities in these fields along with different requirements for promotion and tenure.
7 Our own application data reveals that the more than half of the funded articles (29 of 52) were published in journals by the largest open access publishers: PLoS (Public Library of Science) and BioMed Central. These publishers publish exclusively in the health and natural sciences. College Journal College of Liberal Arts and Sciences Applied Computational Intelligence and Soft Computing College of Liberal Arts and Sciences BMC Evolutionary Biology College of Liberal Arts and Sciences New Journal of Physics College of Liberal Arts and Sciences PLoS ONE (6 applications) College of Liberal Arts and Sciences PNAS College of Agricultural and Life Sciences Diseases of Aquatic Organisms College of Agricultural and Life Sciences Journal of Sustainable Development College of Agricultural and Life Sciences Plant Methods College of Agricultural and Life Sciences PLoS ONE (5 applications) College of Dentistry Journal of Biomedicine and Biotechnology College of Dentistry Journal of Caries Research College of Engineering Advances in Biomimetics College of Medicine Arthritis Research & Therapy (2 applications) College of Medicine BMC Genomics College of Medicine BMC Research Notes College of Medicine Clinical and Experimental Gastroenterology (2 applications) College of Medicine Clinical Medicine Insights: Pediatrics (2 applications) College of Medicine Hepatic Medicine: Evidence and Research College of Medicine Infectious Agents and Cancer College of Medicine Journal of Immune Based Therapies and Vaccines College of Medicine Journal of Medical and Internet Research (2 applications) College of Medicine Maternal and Child Health Journal College of Medicine Ophthalmology and Eye Diseases College of Medicine PLoS ONE (3 applications) College of Nursing Journal of Child and Family Studies College of Pharmacy Infectious Agents and Cancer
8 College of Pharmacy Journal of Translational Medicine College of Pharmacy PLoS ONE College of Public Health and Health Professions Air Pollution (eBook) College of Public Health and Health Professions BMC Musculoskeletal Disorders (2 applications) College of Public Health and Health Professions Journal of Pain Research College of Public Health and Health Professions Occupational and Environmental Medicine College of Veterinary Medicine BMC Infectious Diseases College of Veterinary Medicine PLoS ONE Florida Museum of Natural History Molecular Biology and Evolution Florida Museum of Natural History Zootaxa In this second year, we will seek to increase applications from other fields through departmental outreach by library subject specialists. Library subject specialists will provide information, and answer questions, about the Fund when interacting with faculty in these departments. Subject specialists will also investigate the possible journal titles available in their respective fields and promote these to faculty. If needed, the Office of Academic and Scholarly Outreach is available to collaborate with subject specialists to create lists for distribution to faculty of open access publications in their specialties. These lists will include impact factor information as well as links to author submission instructions for the publications. Another way that we will raise awareness of faculty about open access publishing and the UFOAP is through promotion of the Open Journal System hosted by FCLA, a soon to be formalized resource of the Libraries. In addition to these two strategic directions, we will continue marketing the UFOAP. The Dean of the Libraries will make a presentation to the Faculty Senate, we have and will distribute literature at Library events such as the New Faculty Orientation, the Graduate Student Orientation Information Fair, Open Access Week, and we will utilize campus communication tools such as the weekly newsletter for faculty, and targeted letters to graduate students, deans, directors, and department chairs. Conclusion With the steady and strong growth of the OA movement, we see a continuing need for UFOAP funding. The demand for OA funding will continue to spring from the health and hard sciences, but we expect that the social sciences will become more interested in OA publishing as the current publishing paradigm continues to be challenged from the outsideby open and free resources, and as we continue to present open access publishing possibilities to them. 09 15 11