Self-archiving publications

This chapter discusses the historical development, current practice and future prospects of the self-archiving of research papers in open-access repositories (so-called 'e-print archives'). It describes how the development of interoperable e-print repositories in a number of subject communities has shown that self-archiving can benefit academic researchers (and potentially others) by enabling quick and easy access to the research literature and therefore maximising the impact potential of papers. Realising that the possible benefits are high and the technical entry barriers low, many organisations such as universities have recently tried to encourage widespread self-archiving by setting up institutional repositories. However, major barriers to self-archiving remain - most of them cultural and managerial. There are concerns about quality control, intellectual property rights, disturbing the publishing status quo, and workload. Ways in which these issues are currently being addressed are discussed in this chapter. A number of self-archiving initiatives in different countries have been set up to address the concerns and to kick-start e-print repository use. However, issues remain which require further investigation; those discussed in this chapter include discipline differences, definitions of 'publication', versioning problems, digital preservation, costing and funding models, and metadata standards. The ways in which these issues are resolved will be important in determining the future of self-archiving. Possible futures are discussed with particular reference to journal publishing and quality control. If widely adopted, self-archiving might come to assume a central place in the scholarly communication process, but a great deal of restructuring of the process needs to take place before this potential can be realised.

RoMEO Studies 8: self-archiving: the logic behind the colour-coding used in the Copyright Knowledge Bank

Purpose – The purpose of this research is to show how the self-archiving of journal papers is a major step towards providing open access to research. However, copyright transfer agreements (CTAs) that are signed by an author prior to publication often indicate whether, and in what form, self-archiving is allowed. The SHERPA/RoMEO database enables easy access to publishers' policies in this area and uses a colour-coding scheme to classify publishers according to their self-archiving status. The database is currently being redeveloped and renamed the Copyright Knowledge Bank. However, it will still assign a colour to individual publishers indicating whether pre-prints can be self-archived (yellow), post-prints can be self-archived (blue), both pre-print and post-print can be archived (green) or neither (white). The nature of CTAs means that these decisions are rarely as straightforward as they may seem, and this paper describes the thinking and considerations that were used in assigning these colours in the light of the underlying principles and definitions of open access. Approach – Detailed analysis of a large number of CTAs led to the development of controlled vocabulary of terms which was carefully analysed to determine how these terms equate to the definition and “spirit” of open access. Findings – The paper reports on how conditions outlined by publishers in their CTAs, such as how or where a paper can be self-archived, affect the assignment of a self-archiving colour to the publisher. Value – The colour assignment is widely used by authors and repository administrators in determining whether academic papers can be self-archived. This paper provides a starting-point for further discussion and development of publisher classification in the open access environment.

Substituting outline fonts for bitmap fonts in archived PDF files

As collections of archived digital documents continue to grow the maintenance of an archive, and the quality of reproduction from the archived format, become important long-term considerations. In particular, Adobe s PDF is now an important final form standard for archiving and distributing electronic versions of technical documents. It is important that all embedded images in the PDF, and any fonts used for text rendering, should at the very minimum be easily readable on screen. Unfortunately, because PDF is based on PostScript technology, it allows the embedding of bitmap fonts in Adobe Type 3 format as well as higher-quality outline fonts in TrueType or Adobe Type 1 formats. Bitmap fonts do not generally perform well when they are scaled and rendered on low-resolution devices such as workstation screens. The work described here investigates how a plug-in to Adobe Acrobat enables bitmap fonts to be substituted by corresponding outline fonts using a checksum matching technique against a canonical set of bitmap fonts, as originally distributed. The target documents for our initial investigations are those PDF files produced by (La)TEXsystems when set up in a default (bitmap font) configuration. For all bitmap fonts where recognition exceeds a certain confidence threshold replacement fonts in Adobe Type 1 (outline) format can be substituted with consequent improvements in file size, screen display quality and rendering speed. The accuracy of font recognition is discussed together with the prospects of extending these methods to bitmap-font PDF files from sources other than (La)TEX.

Mapping and Displaying Structural Transformations between XML and PDF

Documents are often marked up in XML-based tagsets to delineate major structural components such as headings, paragraphs, figure captions and so on, without much regard to their eventual displayed appearance. And yet these same abstract documents, after many transformations and 'typesetting' processes, often emerge in the popular format of Adobe PDF, either for dissemination or archiving. Until recently PDF has been a totally display-based document representation, relying on the underlying PostScript semantics of PDF. Early versions of PDF had no mechanism for retaining any form of abstract document structure but recent releases have now introduced an internal structure tree to create the so called 'Tagged PDF'. This paper describes the development of a plugin for Adobe Acrobat which creates a two-window display. In one window is shown an XML document original and in the other its Tagged PDF counterpart is seen, with an internal structure tree that, in some sense, matches the one seen in XML. If a component is highlighted in either window then the corresponding structured item, with any attendant text, is also highlighted in the other window. Important applications of correctly Tagged PDF include making PDF documents reflow intelligently on small screen devices and enabling them to be read out in correct reading order, via speech synthesiser software, for the visually impaired. By tracing structure transformation from source document to destination one can implement the repair of damaged PDF structure or the adaptation of an existing structure tree to an incrementally updated document.

O! She doth teach the torches to burn bright: How JULIET can help authors and repository advocates.

JULIET is a service provided by SHERPA. Its mission is to provide a brief summary of each funding agency’s policy on self-archiving of the published research they have funded. Each entry covers the requirements and details: -Whether archiving is mandatory or encouraged, -What should be deposited -Within what time frame this deposit should take place -Where articles should be deposited -Any conditions attached to this deposit. JULIET interacts with other services such as RoMEO, which listed publisher policies on self-archiving. JULIET is being developed to include funding agency’s policies on open access to data.

RoMEO studies 7: creation of a controlled vocabulary to analyse copyright transfer agreements

This paper describes the process of creating a controlled vocabulary which can be used to systematically analyse the copyright transfer agreements (CTAs) of journal publishers with regard to self-archiving. The analysis formed the basis of the newly created Copyright Knowledge Bank of publishers’ self-archiving policies. Self-archiving terms appearing in publishers’ CTAs were identified and classified, with these then being simplified, merged, and discarded to form a definitive list. The controlled vocabulary consists of three categories that describe ‘what’ can be self-archived, the ‘conditions’ of self-archiving and the ‘restrictions’ of self-archiving. Condition terms include specifications such as ‘where’ an article can be self archived, restriction terms include specifications such as ‘when’ the article can be self archived. Additional information on any of these terms appears in ‘free-text’ fields. Although this controlled vocabulary provides an effective way of analysing CTAs, it will need to be continually reviewed and updated in light of any major new additions to the terms used in publishers’ copyright and self-archiving policies.