<p class="MsoNormal" align="center" style="text-align:center"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">Evidence to BIS
Select Committee Inquiry on Open Access</span></b></p><p class="MsoNormal" align="center" style="text-align:center"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></b></p>
<p class="MsoNormal" align="center" style="text-align:center"><span style="line-height:107%;font-family:Arial"><b>full text:</b><b style="font-size:12pt"> </b></span><a href="http://eprints.soton.ac.uk/348483/">http://eprints.soton.ac.uk/348483/</a> <b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> </span></b></p>
<p class="MsoNormal" align="center" style="text-align:center"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></b></p>
<p class="MsoNormal" align="center" style="text-align:center"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">Stevan
Harnad</span></b></p><p class="MsoNormal" align="center" style="text-align:center"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></b></p><p class="MsoNormal" style="text-align:left">
</p><p class="MsoNormal"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">Executive Summary:</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> </span></p><p class="MsoNormal">
<b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></b></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E1.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> <b>UK worldwide leadership in OA.</b> The UK has led the world OA movement
ever since the historic recommendation of the <a href="http://www.publications.parliament.uk/pa/cm200304/cmselect/cmsctech/399/39903.htm">2004 (Gibson) Select Committee</a> to
mandate Green OA self-archiving. But the new <a href="http://www.researchinfonet.org/wp-content/uploads/2012/06/Finch-Group-report-FINAL-VERSION.pdf">BIS/Finch Committee recommendation</a>
to prefer and fund Gold OA pre-emptively and unilaterally, and to restrict UK
authors' journal choice -- and the resultant <a href="http://www.rcuk.ac.uk/research/Pages/outputs.aspx">RCUK OA policy</a> -- are having
unanticipated and unintended negative consequences, both for UK OA and for
worldwide OA. </span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E2.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> <b>Unintended negative consequences.</b> The UK's new policy of funding
Gold OA pre-emptively and unilaterally in preference to strengthening the UK's
existing Green OA mandate model is neither affordable nor sustainable, and the
model <a href="http://sparceurope.org/analysis-of-funder-open-access-policies-around-the-world/">is not being (and will not be) followed by the rest of the world</a>. It will
not only waste scarce UK research funds needlessly and provoke resentment and
non-compliance among UK researchers, but it will have perverse effects on
publisher policy worldwide, encouraging publishers to offer hybrid Gold OA
(i.e., institutional subscription plus optional author Gold OA for an extra
fee) as well as encouraging publishers to adopt or lengthen Green OA embargoes
in order to makes sure UK authors must choose the paid Gold option.</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E3.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> <b>Mandate and monitor immediate, unembargoed deposit.</b> Irrespective of
what funds the UK elects to spend on paying pre-emptively for Gold OA while
subscriptions still need to be paid, and independent of embargo policy, the UK
should (1) mandate and enforce immediate deposit of the author's peer-reviewed
final draft of every journal article in the author's institutional repository
immediately upon acceptance for publication and (2) designate repository
deposit as the sole mechanism for submitting publications for performance
review and research assessment.</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E4.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> <b>Link compliance to funding.</b> Compliance with this immediate-deposit
requirement has to be systematically monitored and enforced, with consequences
for non-compliance (non-funding and non-renewal of grants), as is now being
done to reinforce Green OA mandates worldwide.</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E5.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> <b>Preserve researchers’ journal choice.</b> At the same time, the UK
should merely urge strongly, rather than require, that the immediate-deposit be
made immediately OA, rather than embargoed. This restores authors’ free choice
of journal. It frees authors from having to publish in journals they don’t want
to publish in. It frees authors from having to pay for Gold OA if they do not
wish to (or can’t). It frees authors from having to provide CC-BY if they do
not wish to (or can’t). It ensures that 100% of RCUK-funded research output is
deposited. </span></p><p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></b></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"></span><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E7.</span></b><span style="font-size:12pt;line-height:107%;font-family:Arial"> <b>Facilitated eprint requests during embargos.</b> For whatever deposits
are not made immediately OA, the repositories have the automated
email-eprint-request Button that allows individual users to request — and
authors free to choose whether or not to provide — an individual eprint of a
Closed Access deposit with just one click each. (This is not OA but
“Almost-OA.”)</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E8. ID/OA mandate is globally scalable.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> The ID/OA mandate allows all funders and all institutions, all over the
world, to mandate immediate-deposit (and to provide at least Almost-OA) to all
research, irrespective of where it’s published and whether or how long it’s
embargoed. The Almost-OA Button tides over research needs during embargos.</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E9. Keystroke mandate.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> <a href="http://www.sherpa.ac.uk/romeo/statistics.php">Sixty percent of journals</a> already endorse immediate Green OA. Hence
ID/OA not only generates at least 60% immediate Green OA plus 40% Almost-OA,
but once ID/OA is adopted worldwide, it will usher in the inevitable and
well-deserved death of all OA embargoes, under the growing natural peer-to-peer
pressure for OA among researchers. OA is -- and always was -- just a matter of
keystrokes.</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E10. Optimal and inevitable outcome.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> The UK should accordingly mandate the keystrokes, now, and the rest
will take care of itself, as a natural matter of course. Focusing instead on
Gold, Gold funds, CC-BY, copyright, and embargoes will delay for yet another
decade the obvious, optimal, inevitable (and long overdue) outcome for refereed
research in the online age that has already been within reach for decades: Free
online access for all users.</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E11. Priorities.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> Free online
access for all users (not just subscribers) is urgently needed, and extremely
beneficial to all research and researchers – both authors and users -- because
it puts an end to access-denial. Text-mining, re-mix and republishing rights are
very important in a few fields and will be useful in many fields, but they are
not nearly as important or urgent as free online access is today -- and
certainly not worth paying pre-emptive Gold OA fees for.</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E12. Grasp what is already within immediate reach.</span></b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> Once Green OA has prevailed universally and induced a leveraged
transition to Gold OA, as described below, authors will be able to provide as
much CC-BY as they wish. But insisting instead on paying for CC-BY now, at the
expense of losing the cost-free Green OA that is already within reach, is
simply asking for another 10 years in the desert, lacking both free online
access and CC-BY. </span></p><p class="MsoNormal" style="margin-left:36.0pt"><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></b></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"></span><b><span style="font-size:12.0pt;line-height:107%;font-family:Arial">E13. Unilateral UK Gold is the losing choice in a
Prisoner’s Dilemma.</span></b><span style="font-size:12pt;line-height:107%;font-family:Arial"> If the UK unilaterally mandates
Gold OA Publishing (with author publication charges) today, instead of first
(effectively) mandating Green OA self-archiving (at no added cost) then the UK
has made the losing choice in a non-forced-choice Prisoner's Dilemma:</span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12pt;line-height:107%;font-family:Arial"><br></span></p>
<table class="MsoTableGrid" border="1" cellspacing="0" cellpadding="0" width="479" style="width:478.8pt;margin-left:36.0pt;border-collapse:collapse;border:none">
<tbody><tr>
<td width="154" valign="top" style="width:154.25pt;border:solid black;border:1.0pt;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt"><span lang="EN-CA" style="font-size:12.0pt;font-family:Arial"> </span></p>
</td>
<td width="165" valign="top" style="width:164.95pt;border:solid black;border:1.0pt;border-left:none;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt"><span lang="EN-CA" style="font-family:Arial;color:green">Unilateral Green (rest of world)</span></p>
</td>
<td width="160" valign="top" style="width:159.6pt;border:solid black;border:1.0pt;border-left:none;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt"><span lang="EN-CA" style="font-family:Arial;color:#ffc000">Unilateral Gold (rest of world)</span></p>
</td>
</tr>
<tr>
<td width="154" valign="top" style="width:154.25pt;border:solid black;border:1.0pt;border-top:none;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt"><b><span lang="EN-CA" style="font-family:Arial;color:green">Unilateral
Green (UK only)</span></b></p>
</td>
<td width="165" valign="top" style="width:164.95pt;border-top:none;border-left:none;border-bottom:solid black;border-bottom:1.0pt;border-right:solid black;border-right:1.0pt;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt;text-align:center"><b><span lang="EN-CA" style="font-size:12.0pt;font-family:Arial;color:green">win</span></b><b><span style="font-size:12.0pt;font-family:Arial;color:green">/</span></b><span style="font-size:12.0pt;font-family:Arial;color:green">win<b></b></span></p>
</td>
<td width="160" valign="top" style="width:159.6pt;border-top:none;border-left:none;border-bottom:solid black;border-bottom:1.0pt;border-right:solid black;border-right:1.0pt;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt;text-align:center"><b><span lang="EN-CA" style="font-size:12.0pt;font-family:Arial;color:green">win</span></b><span lang="EN-CA" style="font-size:12.0pt;font-family:Arial">/<span style="color:#ffc000">lose</span></span></p>
</td>
</tr>
<tr>
<td width="154" valign="top" style="width:154.25pt;border:solid black;border:1.0pt;border-top:none;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt"><b><span lang="EN-CA" style="font-family:Arial;color:#ffc000">Unilateral
Gold (UK only)</span></b></p></td><td width="165" valign="top" style="width:164.95pt;border-top:none;border-left:none;border-bottom:solid black;border-bottom:1.0pt;border-right:solid black;border-right:1.0pt;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt;text-align:center"><b><span lang="EN-CA" style="font-family:Arial;font-size:12pt"><font color="#ff0000">> </font></span><span lang="EN-CA" style="font-family:Arial;color:rgb(255,192,0);font-size:12pt">lose</span></b><span lang="EN-CA" style="font-family:Arial;font-size:12pt">/<span style="color:green">win </span><font color="#ff0000">< </font></span></p>
</td>
<td width="160" valign="top" style="width:159.6pt;border-top:none;border-left:none;border-bottom:solid black;border-bottom:1.0pt;border-right:solid black;border-right:1.0pt;padding:0cm 5.4pt 0cm 5.4pt">
<p class="MsoNormal" style="margin-bottom:0.0001pt;text-align:center"><b><span lang="EN-CA" style="font-size:12.0pt;font-family:Arial;color:#ffc000">win</span></b><b><span style="font-size:12.0pt;font-family:Arial;color:#ffc000">/</span></b><span style="font-size:12.0pt;font-family:Arial;color:#ffc000">win</span><b><span lang="EN-CA" style="font-size:12.0pt;font-family:Arial;color:#ffc000"></span></b></p>
</td>
</tr>
</tbody></table>
<p class="MsoNormal"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> </span></p>
<p class="MsoNormal" style="margin-left:72.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial">"If OA were
adopted worldwide, the net benefits of <font color="#ffcc99">Gold OA </font>would exceed those of Green OA.
However, we are not in an OA world... At the institutional level, during a
transitional period <b><i><u>when subscriptions are maintained</u>, the cost of unilaterally
adopting Green OA is much lower than the cost of <font color="#ffcc33">Gold OA</font></i></b> – with Green
OA self-archiving costing average institutions sampled around one-fifth the
amount that Gold OA might cost, and as little as one-tenth as much for the most
research intensive university. Hence, we conclude that <b><i>the most affordable and
cost-effective means of moving towards OA is through Green OA, which can be
adopted unilaterally at the funder, institutional, sectoral and national levels
at relatively little cost</i></b>." [emphasis added] </span></p><p class="MsoNormal" style="margin-left:72.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p>
<p class="MsoNormal" style="margin-left:108.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> Houghton, John W. & Swan, Alma
(2013) </span><a href="http://www.dlib.org/dlib/january13/houghton/01houghton.html"><span style="font-size:12.0pt;line-height:107%;font-family:Arial">Planting the green seeds for a golden harvest: Comments and
clarifications on “Going for Gold”</span></a><span style="font-size:12.0pt;line-height:107%;font-family:Arial"> <i>D-Lib Magazine</i> 19(1/2)</span></p>
<p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br></span></p><p class="MsoNormal" style="margin-left:36.0pt"><span style="font-size:12.0pt;line-height:107%;font-family:Arial"><br>
</span></p>
<p></p>