ELECTRONIC SCIENTIFIC, TECHNICAL, AND MEDICAL JOURNAL PUBLISHING AND ITS IMPLICATIONS

PROCEEDINGS OF A SYMPOSIUM

Committee on Electronic Scientific, Technical, and Medical Journal Publishing

Committee on Science, Engineering, and Public Policy

Policy and Global Affairs Division

THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS
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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium ELECTRONIC SCIENTIFIC, TECHNICAL, AND MEDICAL JOURNAL PUBLISHING AND ITS IMPLICATIONS PROCEEDINGS OF A SYMPOSIUM Committee on Electronic Scientific, Technical, and Medical Journal Publishing Committee on Science, Engineering, and Public Policy Policy and Global Affairs Division THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. Support for this project was provided by the National Academy of Sciences through an unnumbered internal grant. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and symposium speakers and do not necessarily reflect the views of the organizations or agencies that provided support for the project. Committee on Science, Engineering, and Public Policy, 500 Fifth Street, NW, Washington, DC 20001; 202-334-2424; Internet, http://www7.nationalacademies.org/cosepup/ Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu Copyright 2004 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium THE NATIONAL ACADEMIS Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare.Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium STEERING COMMITTEE ON ELECTRONIC SCIENTIFIC, TECHNICAL, AND MEDICAL JOURNAL PUBLISHING AND ITS IMPLICATIONS EDWARD H. SHORTLIFFE (Chair), Columbia University Medical Center DANIEL ATKINS, University of Michigan FLOYD BLOOM, The Scripps Research Institute JANE GINSBURG, Columbia University School of Law CLIFFORD LYNCH, The Coalition for Networked Information JEFFREY MACKIE-MASON, University of Michigan ANN OKERSON, Yale University MARY WALTHAM, Publishing Consultant Principal Project Staff Paul Uhlir, Project Director Alan Inouye, Senior Program Officer Julie Esanu, Program Officer Robin Schoen, Program Officer Kevin Rowan, Project Associate Amy Franklin, Senior Program Assistant

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium COMMITTEE ON SCIENCE, ENGINEERING, AND PUBLIC POLICY MAXINE F. SINGER (Chair), Carnegie Institution of Washington R. JAMES COOK, Washington State University HAILE T. DEBAS, University of California, San Francisco MARYE ANNE FOX, North Carolina State University ELSA M. GARMIRE, Dartmouth College MARY-CLAIRE KING, University of Washington W. CARL LINEBERGER, University of Colorado ANNE C. PETERSEN, W. K. Kellogg Foundation CECIL B. PICKETT, Schering-Plough Research Institute GERALD M. RUBIN, Howard Hughes Medical Institute EDWARD H. SHORTLIFFE, Columbia University Medical Center HUGO F. SONNENSCHEIN, The University of Chicago IRVING L. WEISSMAN, Stanford University, School of Medicine SHEILA WIDNALL, Massachusetts Institute of Technology MARY LOU ZOBACK, U.S. Geological Survey Staff Richard E. Bissell, Executive Director Deborah D. Stine, Associate Director Marion E. Ramsey, Administrative Associate

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium PREFACE The use of the Internet and other digital information technologies by the scientific, technical, and medical (STM) research community in the United States and most other countries has transformed many aspects of the research and publishing process. The new technologies have created fundamental changes in the production, management, dissemination, and use of all types of information. It is now possible to communicate research results much more quickly, broadly, and openly than was possible through traditional print publications in the past. Researchers are now able to make available independently their data and articles online, where the information may be easily found, browsed, annotated, critiqued, downloaded, and freely shared. This is resulting in significant changes to the linear path of writing, refereeing, and reviewing of publications as all these functions can be performed concurrently. Most STM publishers also now publish electronic versions of their journals, some exclusively so. The technological developments and resulting changes to the sociology of science are creating both opportunities and challenges for the effective management of scientific communication generally, and STM publishing more specifically. Because of the far-reaching implications of these developments, the National Academy of Sciences Council’s Committee on Publications recommended that the council commission a study of the factors involved in the changing mechanisms for access to STM information in the scholarly publications and the various technical, legal, policy, and economic issues that they raise. The committee indicated that it is imperative for the National Academies to address, in particular, the increasing concerns about the implications of various models for access to STM publications for the scientific community. As a result, the Committee on Science, Engineering, and Public Policy was asked to appoint a committee to oversee the planning for the Symposium on Electronic Scientific, Technical, and Medical Journal Publishing and Its Implications, which was held May 19-20, 2003, at the National Academy of Sciences in Washington, D.C. The symposium brought together experts in STM publishing, both producers and users of these publications, to: (1) identify the recent technical changes in publishing, and other factors, that influence the decisions of journal publishers to produce journals electronically; (2) identify the needs of the scientific, engineering, and medical community as users of journals, whether electronic or printed; (3) discuss the responses of not-for-profit and commercial STM publishers and of other stakeholders in the STM community to the opportunities and challenges posed by the shift to electronic publishing; and (4) examine the spectrum of proposals that has been put forth to respond to the needs of users as the publishing industry shifts to electronic information production and dissemination. The symposium was divided into six sessions, each introduced by opening comments from a moderator, followed by several invited presentations. Session 1 examined the costs involved with the publication of STM journals while Session 2 looked at the related publication business models. Session 3 explored the legal issues in the production and dissemination of these journals. Sessions 4 and 5 looked toward the future and examined, respectively, what is publication in the future and what constitutes a publication in the digital environment. The final session provided several commentaries on the results of the symposium. This publication presents the Proceedings of the symposium. The speakers’ remarks were taped and transcribed, and subsequently edited. The statements made in the enclosed papers are those of the individual authors and do not necessarily represent the positions of the steering committee or the National Academies. The National Academies hosted a live audio Webcast of the symposium to reach a broad audience and receive additional input. This Webcast can be found on the symposium Web site at: http://www7.nationalacademies.org/cosepup/E-Publishing.html/. A summary report prepared by the symposium committee has been published separately and is available from the National Academies Press. Edward Shortliffe Committee Chair Paul Uhlir Project Director

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium ACKNOWLEDGMENTS The Committee on Electronic Scientific, Technical, and Medical Journal Publishing and Its Implications would like to thank the following individuals (in alphabetical order) who made presentations during the symposium (see Appendix A for the final symposium agenda): Hal Abelson, Massachusetts Institute of Technology (MIT); Bruce Alberts, National Academy of Sciences; Kent Anderson, New England Journal of Medicine; Malcolm Beasley, Stanford University; Robert Bovenschulte, American Chemical Society; Monica Bradford, Science; Patrick Brown, Stanford University; Brian Crawford, John Wiley & Sons; James Duderstadt, University of Michigan; Joseph Esposito, SRI Consulting; Michael Jensen, Harvard Business School; Michael Keller, HighWire Press; David Lipman, National Center for Biotechnology Information; Wendy Lougee, University of Minnesota; Richard Luce, Los Alamos National Laboratory; James O’Donnell, Georgetown University; Paul Resnick, University of Michigan; Bernard Rous, Association for Computing Machinery; Alex Szalay, Johns Hopkins University; Gordon Tibbitts, Blackwell Publishing USA; and Ann Wolpert, MIT. The committee also would like to express its gratitude to the Guidance Group for this project, which was formed under the Committee on Science, Engineering, and Public Policy. Members of that group included James Cook, Washington State University; Paul Torgerson, Virginia Polytechnic Institute and State University (retired); and Edward Shortliffe, Columbia Presbyterian Medical Center, Columbia University. This volume has been reviewed in draft form by individuals chosen for their technical expertise, in accordance with procedures approved by the NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for quality. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of selected papers: Martin Blume, American Physical Society; Karen Hunter, Elsevier Health Services; Justin Hughes, Cardozo Law School; James Neal, Columbia University; Andrew Odylzko, University of Minnesota; and Carol Tenopir, University of Tennessee at Knoxville. Although the reviewers listed above have provided constructive comments and suggestions, they were not asked to endorse the content of the individual papers. Responsibility for the final content of the papers rests with the individual authors. Finally, the committee would like to recognize the contributions of the following National Research Council staff. Paul Uhlir, director of the Office of International Scientific and Technical Information Programs, was the project director for the symposium and principal editor of the committee’s report; Julie Esanu, program officer for the Office of International Scientific and Technical Information Programs, helped organize the symposium and edit the report; Alan Inouye, interim director of the Computer Science and Telecommunications Board, and Robin Schoen, program officer for the Board on Life Sciences, provided advice on the project; and Kevin Rowan, project associate for the Committee on Science, Engineering, and Public Policy provided project support for the May symposium; and Amy Franklin, senior program assistant for the Board on International Scientific Organizations, assisted with the production of this report.

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium Contents 1.   Introductory Remarks Bruce Alberts, President, National Academy of Sciences   1 2.   Keynote Address James Duderstadt, President Emeritus and University Professor of Science and Engineering, Millennium Project, University of Michigan   3 3.   Costs of Publication   6      Introductory Comments, Floyd Bloom, The Scripps Research Institute   6      Overview of the Costs of Publication, Michael Keller, Librarian and Publisher, Stanford University   6      Comments by Panel Participants, Kent Anderson, Publishing Director, New England Journal of Medicine Robert Bovenschulte, Director, Publications Division, American Chemical Society Bernard Rous, Deputy Director/Electronic Publisher, Association for Computing Machinery Gordon Tibbitts, President, Blackwell Publishing, USA   11      Discussion of Issues,   19 4.   Publication Business Models and Revenue   27      Introductory Comments, Jeffrey MacKie-Mason, University of Michigan   27      Comments by Panel Participants, Brian Crawford, Vice President and General Manager, Life and Medical Sciences, John Wiley & Sons Joseph Esposito, President and Chief Executive Officer, SRI Consulting Wendy Lougee, Director, University of Minnesota Library Patrick Brown, Professor of Biochemistry, Stanford University   28      Discussion of Issues,   38 5.   Legal Issues in Production, Dissemination, and Use   46      Introductory Comments, Jane Ginsburg, Columbia Law School   46      Copyright Basics: Ownership and Rights, Jane Ginsburg, Columbia Law School   46      Licensing, Ann Okerson, Yale University   59      Economic and Non-Economic Rewards to Authors: The Social Science Research Network Example, Michael Jensen, Jesse Isidor Straus Professor of Business Administration, Emeritus, Harvard Business School   61      Discussion of Issues,   62

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium 6.   What Is Publishing in the Future?   67      Introductory Comments, Daniel Atkins, University of Michigan   67      Implications of Emerging Recommender and Reputation Systems, Paul Resnick, Associate Professor, University of Michigan School of Information   68      Preprint Servers and Extensions to Other Fields, Richard Luce, Research Library Director, Los Alamos National Laboratory   70      Institutional Repositories, Hal Abelson, Class of 1922 Professor of Computer Science and Engineering, Massachusetts Institute of Technology   72      Discussion of Issues,   74 7.   What Constitutes a Publication in the Digital Environment?   80      Introductory Remarks, Clifford Lynch, Coalition for Networked Information   80      The Signal Transduction Knowledge Environment, Monica Bradford, Executive Editor, Science   81      Publishing Large Data Sets in Astronomy—The Virtual Observatory, Alex Szalay, Alumni Centennial Professor, Department of Physics and Astronomy, The Johns Hopkins University   83      Genomic Data Curation and Integration with the Literature, David Lipman, Director, National Institutes of Health/National Center for Biotechnology Information   86      Discussion of Issues,   87 8.   Symposium Wrap Up   95      Moderator’s Overview, Mary Waltham, Publishing Consultant   95      Comments by Panel Participants, Malcolm Beasley, Theodore and Sydney Rosenberg Professor of Applied Physics, Stanford University James O’Donnell, Provost, Georgetown University Ann Wolpert, Director of Libraries, Massachusetts Institute of Technology   96      Discussion of Issues,   100      Closing Remarks, Edward Shortliffe, Symposium Chair   104

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Electronic Scientific, Technical, and Medical Journal Publishing and its Implications: Proceedings of a Symposium     Appendixes     A.   Symposium Agenda,   105 B.   Speakers’ Biographies,   108 C.   Symposium Participants,   115

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