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May 19, 2012 Tom Richardson, New England Journal of Medicine Jean P. Shipman, University of Utah, Spencer S. Eccles Health Sciences Library John Tagler, Association of American Publishers Positioning the Professions: Science, Technology, and Medicine (STM) Publishing (CE 703) by Chicago Collaborative is licensed under a Creative Commons Attribution-Non Commercial-Share Alike 3.0 United States License. Based on a work at www.chicago-collaborative.org. Permissions beyond the scope of this license may be available at same site.Chicago CollaborativeCreative Commons Attribution-Non Commercial-Share Alike 3.0 United States Licensewww.chicago-collaborative.org Positioning the Professions: Science, Technology, and Medicine (STM) Publishing (CE 703)
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Course Objectives Learn about the publishing process of STM journals. Gain knowledge of the value added by publishers to scholarly communication. Examine the scope of publishing in a dual format and multimedia environment. Appreciate that no two publishers are alike in their approaches to publishing. Consider choices to be made in publishing.
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Outline of Today’s Program I. STM Publishing: Editors & Authors Chicago Collaborative Editors & authors Peer review Ethics Workshop # 1 Break (15 minutes) II. Behind the Scenes Production & delivery Printing Semantic publishing Workshop # 2 (Decision Points)
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Outline of Today’s Program Break (15 minutes) III. The Business of STM Publishing Pricing, sales, distribution Licensing Advertising Issues & challenges in the digital environment Workshop #3 (Decision Points: cont’d) Discussion & wrap-up
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The Chicago Collaborative Founding Members (2008) Assn of Academic Health Sciences Libraries Assn of American Medical Colleges – Council of Academic Societies Assn of American Publishers – Professional & Scholarly Publishing Division Assn of Learned & Professional Society Publishers Federation of American Societies for Experimental Biology International Assn of Scientific, Technical & Medical Publishers International Committee of Medical Journal Editors Society for Scholarly Publishing
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The Chicago Collaborative Grand Challenges Preservation / archiving Effective STM authorship Peer review / quality assurance Dynamic content containers Branding STM content Future of the journal Strategies Equal partners in dialogue – consensus-driven statements Broad, high level opportunities & challenges Shared ideas representing association interests
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Credits: Course Developers Norman Frankel: Society for Scholarly Publishing Margaret Reich: Consultant Tom Richardson: Society for Scholarly Publishing Irv Rockwood: Assn of Learned, Professional & Scholarly Publishers Rita Scheman: FASEB & DC Principles Jean Shipman: American Assn of Health Science Libraries Elizabeth Solaro: Society for Scholarly Publishing John Tagler: Assn of American Publishers/ Professional & Scholarly Publishing
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To Start... What are your questions and expectations for today’s programs?
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I. The Current STM Publishing Landscape Publishers... Authors... Editors & Peer Review
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The Current STM Publishing Landscape Society publishers (not-for-profit) Commercial publishers University presses (not-for-profit) Contract publishing – society retains editorial control – production, marketing and distribution outsourced to commercial, society or university press publisher
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STM/ Scholarly Journals Publishing 2000+ Publishers books & journals 25,000 journals 675 English-language journal publishers 1.3 – 1.5 million articles/year 1 million authors/year 10 - 12 million readers 1.8 billion journal article downloads/year
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The STM Market: Global Institutional universities & colleges medical & professional schools government research facilities industry hospitals Professional Societies members Individuals practitioners students
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STM Publishing: The Key Players Authors Scientific editors Editorial board Peer reviewers/referees Editorial department – copyeditors – journal supervisors Art/design department Compositor/printer Online host Marketing and sales departments – direct sales staff (in-house or third-party) – subscription agents – booksellers Rights and permissions Archivists (third party)
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The Role of STM Journal Publishers: Core Responsibilities Validate and disseminate research results Establish a quality standard ethical policies peer review selection editing Facilitate access to and maximize usability of content maintain state-of-the art delivery and file format collaborate in the development of community tools
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The Role of STM Journal Publishers: Associated Responsibilities & Functions manage author and publisher rights and permissions comply with industry standards and government policies maintain digital archiving and preservation strategies partner with authors, readers and librarians to develop and implement techniques to improve and expedite scientific communication and discovery ongoing investment in publication process innovation
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The Role of STM Journal Publishers: Community Benefits Create a unique community for authors & readers defined scope quality seal of approval discoverability Transformation of an article Provide a measure of the researcher’s productivity and influence vital to career path vital for funding to continue research
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THE PUBLISHING PROCESS The following processes and staffing vary from publisher to publisher
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The Editorial Team Responsible for content selection editor associate/deputy/regional editors editorial board reviewers/referees editor’s assistant/managing editor NB: The editor and editorial board have editorial independence and are solely responsible for content selection.
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Editorial Office Staff Editor-in-chief Executive editor Subject editors Associate/deputy editors – permanent or part-time – maintain outside affiliations and professional roles NB: The editorial office staff have editorial independence and are solely responsible for content selection.
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The Journal Editor’s Role* Accepts/rejects ms. for review Selects referees Funded by the publisher - stipend - office/support staff - office space - hardware/software - board meetings * External to publisher’s control of influence
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The Journal Editor’s Role (cont’d) Serves as decision maker Liaises w/ authors on revisions Returns accepted ms. to publisher Establishes & maintains - acceptance standards - rejection rates: submissions vs. acceptances - breadth/evolving scope Cooperation w/ editorial board & publisher for journal quality & relevance
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The Author: Manuscript Submission Submits/uploads manuscript to publisher-provided web-based peer review system Comply with Publisher’s Instructions to Authors, which provide detailed manuscript submission and preparation guidelines, e.g.: – authorship – ethical policy and COI disclosure – figure and data submission – manuscript type – content suitability
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Editorial Systems Manuscript submission Manuscript tracking Peer reviewer database Online editing Production editing Q: Will authors see tracking information about their submission as it flows through system?
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Peer Review
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More than three centuries old Attributed to Henry Oldenburg, Secretary of the Royal Society of London, and founder of Philosophical Transactions (1665), the “world’s oldest scientific journal in continuous existence,” who introduced the practice of soliciting opinions on manuscripts from colleagues who were more knowledgeable in the area in question Peer review norm adopted at different times in different fields, and different locations Today essentially synonymous with scholarly journal publishing Formal peer review in medicine dates only from the post-WWII era
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The Culprit! Henry Oldenburg and Philosophical Transactions, (1665) Journal content now available through JSTOR
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The Editorial/Peer Review Process Manuscript submission – usually via online system – date-stamp the research of a particular author Step one: initial review by intake editor – fundamental questions: Is it appropriate for the scope of the journal? Does it present new research findings? Other articles on the same topic? What is the journal’s capacity at present? – may either reject or move forward
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The Editorial/ Peer Review Process Step two: assignment to ‘decision’ editor – assigns article to 2-3 reviewers – may use plagiarism software – art, statistics and text reviewed for quality and authenticity The final step: outcome options w/ final decision made by editor – rejection (on scientific or ethical grounds) – acceptance (w/minor or major revisions) – acceptance
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Article Revision & Resubmission Upon conclusion of review... authors may be asked to revise their manuscript before it receives further consideration Typical requests – rewriting – additional research Author’s options – revise and resubmit – submit to another journal
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New Peer Review Tools & Procedures Clinical Trial Registry – per 9/16/2004 International Committee of Medical Journal Editors joint statement, ICMJE member journals now require, as a condition of consideration for publication, registration in a public trials registry, on or before onset of patient enrollment (N Engl J Med 351;12,1250) – URL: ClinicalTrials.gov Statistical Review – manuscripts also often go through one or more rounds of statistical review – some journals may require independent statistical analysis Reporting conflicts of interest, financial aspects of research and role of sponsors in funded studies – http://jama.ama-assn.org/misc/editpolicy.dtl http://jama.ama-assn.org/misc/editpolicy.dtl
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Peer Review in the News Infrequently – considering 1.25 million primary research and review articles published per year across all disciplines Preconditions – publication of flawed research – ethics violations – on a newsworthy topic (e.g., cloning) Possible results – public shaming of the culprit – adverse publicity for the publication involved and its editorial staff – a brief flurry of public discussion
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Peer Review Failure or Fraud? The peer review process is not designed to detect deliberate fraud Failure occurs when a published article that has been subjected to peer review contains errors that undermine one or more of its main conclusions. Many newsworthy scientific controversies are examples of fraud, not peer review failure.
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PUBLICATION ETHICS
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Publication Ethics Data manipulation – changing or making up data in a manuscript; intended to “improve” the results; includes digital image manipulation Selective inclusion/exclusion of data Unacceptable figure manipulation – improper grouping, adjustment – moving, removing, introducing, obscuring, enhancing any specific feature within an image Duplicate/redundant publication – submission of or publication of the same paper or substantial parts of a paper in more than one place – data; extended verbatim text passages; tables or illustrations Human/animal welfare concerns – treatment of experimental subjects that does not conform with accepted standards and journal policy
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Publication Ethics Authorship attribution – disputes arising from the addition, deletion or change of authors – ensure all named authors participated in research – disclosure of all contributors Plagiarism/self-plagiarism – taking the work of another or copying one’s own work – copying a figure, table or even wording from a published or unpublished paper without attribution to one’s own or another’s work Conflicts of interest – real or perceived conflict due to employment, consulting, or investment in entities with an interest in the outcome of the research Others – reviewer bias; reviewer misappropriation of privileged information – duplicate submission
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Ethics Policies Publishers set clearly-stated policies While publisher policies vary, authors found to have violated these policies are subject to a variety of actions, from the issuance of corrections, retractions and up to and including notification of their institution and/or sanctions for the most serious offenses. Many publishers exert extensive efforts on furthering research integrity through compliance with ethical policies, both in staff and editor time.
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Acceptable Forms of Image Manipulation Original Capture Crop Contrast-Brightness Adjustment Submitted Figure Re-size ConTrt A Protein X Trt BTrt C Courtesy of Dr. C. Bennett; APS 37
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Unacceptable Forms of Image Manipulation Original Capture Excessive Cropping Dropped Background Submitted Figure Re-size – Shape Change ConTrt A Protein X Trt BTrt C Courtesy of Dr. C. Bennett, APS 38
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Incidence of Cases of Ethical Misconduct at the APS 2010 – ‘11 +/- 3800 ms/year 39
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Recommended Resources CSE’s White Paper on Promoting Integrity in Scientific Journal Publications 2009 Update www.CouncilScienceEditors.org Committee on Publication Ethics (COPE) http://publicationethics.org/resources/guidelines American Physiological Society www.the-aps.org/publications/journals/apsethic.htm AAAS www.sciencemag.org/about/authors/prep/gen_info.dtl Office of Research Integrity (ORI) for ethical publication violations for manuscripts funded by NIH) http://ori.dhhs.gov
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Completion of research Preparation of manuscript Submission of manuscript Assignment and review Decision Rejection Revision Acceptance Resubmission Re-review PUBLICATION! Rejection Adapted from a figure by Dale Benos 41
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Session 1: Workshop Discuss the types of Peer Review blind peer review double blind peer review open peer review post-publication peer review
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II. Behind the Scenes of STM Publishing
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PRODUCTION & DELIVERY
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Post-acceptance Publication Process (processes vary per publisher) Figures checked for authenticity Accepted, unedited manuscript published online Figures edited/redrawn; manuscript copyedited Ms to compositor; typesetting/page layout completed Page proofs emailed to author and copyeditor Author reviews, marks, returns proof Pagination and final corrections Issue posted online issue printed & mailed 45
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“ Pre-print” or “In print” Publication Article should carry a DOI* for discoverability and version control Author manuscript posted online immediately after acceptance Usually not copyedited or formatted, although some publishers provide minor formatting Allows fastest publication of research, without quality control Is superseded by final, edited, formatted copy when issue is published online * Assignment of DOI varies per publisher
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Copyediting/Quality Control Transfer of accepted mss from Editor’s office to editorial/production office of publisher Copyediting may be internal or outsourced – cost vs. speed vs. quality control Copyediting tasks – correcting spelling, grammar, punctuation, inconsistencies – follow journal style and rewriting re-writing is usually minor require author and editor approval – code and edit non-text elements math & formulas tables & charts figures halftones some publishers have illustrators that re-create graphics – typesetting codes
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Composition and Imposition XML coding allows consistent typesetting, page makeup and multiple uses (e.g., print, online, archiving) of manuscript files) Compositor takes text and figure files; makes up pages according to journal style Page proof sent to author; corrections made when returned from author and proofreader Journal issue makeup (imposition) includes articles and front/back matter, advertisements
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Sample XML File Energy deficit after exercise augments lipid mobilization but does not contribute to the exercise-induced increase in insulin sensitivity Newsom Sean A. 1 Schenk Simon 1 Thomas Kristin M. 1 Harber Matthew P. 1 Knuth Nicolas D. 1 Goldenberg Naila 2 Horowitz Jeffrey F. 1 1 School of Kinesiology and 2 Department of Internal Medicine, University of Michigan, Ann Arbor, Michigan Address for reprint requests and other correspondence: J. F. Horowitz, School of Kinesiology, Univ. of Michigan, 401 Washtenaw Ave., 48109-2214 (e-mail: jeffhoro@umich.edu ). 3 2010 31 12 2009 108 3 554 560 28 9 2009 28 12 2009 Copyright © 2010 the American Physiological Society 2010 The content of meals consumed after exercise can impact metabolic responses for hours and even days after the exercise session. The purpose of this study was to compare the effect of low dietary carbohydrate (CHO) vs. low energy intake in meals after exercise on insulin sensitivity and lipid metabolism the next day. Nine healthy men participated in four randomized trials. During the control trial (CON) subjects remained sedentary. During the other three trials, subjects exercised [65% peak oxygen consumption (V̇ o 2peak ); cycle ergometer and treadmill exercise] until they expended ∼800 kcal. Dietary intake during CON and one exercise trial (BAL) was designed to provide sufficient energy and carbohydrate to maintain nutrient balance. In contrast, the diets after the other two exercise trials were low in either CHO (LOW-CHO) or energy ( 49
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Online Presentation of Content In online journal issue, each article is usually presented in two ways: – HTML – PDF HTML – easier to read online – text flows – live links to citations, references, affiliations, etc. – figures can be enlarged and downloaded separately – reader can easily access online-only (supplemental) material PDF – easier to print and read offline – retains style of print publication – lose access to online-only functionality and material
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Online presentation 51
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PDF file 52
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Other Electronic Delivery Methods Mobile devices – decisions must be made to deliver all or some of content – software and design requirements to allow readability on smaller screen – different software and design requirements – interactive elements must be created designed implemented
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Mobile Devices: Constantly Evolving 54
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Printing... Most Journals Are Still Printed! Printing options – medium to large press runs (1000’s) web offset press 5X faster than sheet fed press Small press runs (100’s to 1000’s) – sheet-fed offset press – mini-web offset press
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Printing... Most Journals Are Still Printed! Print on Demand (POD) digital printing can order 1 to multiple copies,as needed Covers printed separately on heavier coated stock Binding selected binding (advertising) foreign editions
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Semantic publishing, data mining & text mining Semantic technology – allows for: aggregation analysis visualization author/researcher publication patterns discoverability enhanced search re-configuration
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Semantic publishing, data mining & text mining What is metadata? data about data controlled vocabularies allow added power to content via semantic tagging What does it mean to publishers? spec of the file format digital asset management the size of the image/content file who created the image/content who owns the image/content whether it is art of a larger collection when it was created
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Semantic publishing, data mining & text mining Metadata in the workflow deeper commitment but bigger upside requires planning for tools, workflow, usability & maintenance allows author participation (or subject specialists) at beginning of workflow good metadata planning should combine with creativity in product development semantic tagging describes what content “is” and not merely how it should “look” on the page or screen
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Semantic publishing, data mining & text mining The power of semantic web technologies is already available today, but it is most prevalent in vertical applications with semi-structured content. The #1 limitation today to almost any semantic technology solution is the user (training, ease of use.) - the industry is rarely limited by “what can be done” but we are almost always limited by “what will be used” and “how will it be used” - anyone in Natural Language Processing will say that Google is not the most advanced search engine, but few grasp why it attracts more utilization than all others combined - ease of use - familiarity (“first mover advantages”) The #2 limitation today is budget, but it is a VERY distant cousin to # 1
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EDITING, APPROVAL & PRODUCTION DIGITALContent Management System & ARCHIVE DIGITAL Content Management System & ARCHIVE Options for Current & Future Product Offerings AudioBooksBook Series Reference Works Digital Collections Video Journal issue Journal article Book Chapters Book Chapters Journal Articles Journal Articles Graphics 61
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Workshop # 2 Decision Points: 1
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III. The Business of STM Publishing
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Pricing Considerations Decision makers editorial, marketing, finance, society, sales Position of individual journal established or new competitive environment expanding/contracting discipline (page projections) Open Access option hybrid model gold/green
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Pricing Considerations Subscription model institutions individuals society members others Package pricing consortia aggregation platforms third-party vendors Advertising
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Sales & Distribution Publisher sales & site-licensing team for institutional sales direct sales force to libraries third-party vendors/platforms internal contact for subscription agents, aggregators or other third party vendors Additional sales & distribution channels pay-per-view, bundling, subject subsets sales to individuals member access Support & help desk functions hours of operation 24/7 (?) Access control & authentication administration
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Licensing Site Licensing site-wide access to books, journals, databases Aggregated/Third-Party Licensing third party (e.g., an aggregator provides access to content) Point-of-Care Licensing (MD decision support tool) third parties or publishers provide access to customer-designed/aggregated content to aid bedside analyses Local Edition Licensing publishers develop versions of the journals for specific markets and countries either translated or in the local language
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Licensing: Options Organization-wide, 24/7 access to one title or a collection of titles May come with or without a print edition Single-user or simultaneous user provision Individual license is negotiated between the publisher and library
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Licensing: Third-Party/Aggregators Aggregators: Companies that bundle books, journals, databases and other information into online-content subscriptions Aggregators allow publishers to reach non-core markets and provide a supplemental revenue stream Provide libraries with one portal to access numerous products
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Point-of-Care Licensing MD Decision Support Tool developed for physicians who need reliable information quickly and flexibly provides physicians with evidence summaries to guide them in their clinical thinking and decision making
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Third-Party Licensing: Point-of-Care Services Most POC services include at least some of the following features: synthesis of current evidence for treatment and drugs means for rapid consultation at the point of patient care evidence-based, frequently updated information with links to relevant literature drug information, ICD coding, basic information for patients, provision for links to electronic health records
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Locally Licensed Editions Many U.S. and British publishers reach out to their colleagues overseas through licensed editions (print and/or online) Licensed editions, both translated or in English, provide selected articles to local markets Publicizes research performed in the US and encourages local researchers to submit their work to the primary collection Translated content can reach larger local audience
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Electronic Sales Process Helpdesk SALES SUPPORT E-FULFILLMENTHELPDESK Analysis Call Prep Sales Call Negotiation Agreement Contract Invoice Electronic Entitlement Electronic Entitlement 24/7 Support License Usage Analysis 73
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Administration Points of Access login (UN/PW) IP range proxy server federated sign-on – e.g., Shibboleth, Athens consortia user third-party agent geolocation PPV – patientACCESS (pilot project) other – patientINFORM, Research4Life
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Authentication Content Configurations date ranges own vs. access model calendar year, rolling year society access/content library allowances bundles open access content PPV conditions & time entitlements
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Advertising: New Considerations Print advertising in decline, but still a significant revenue source biomedical journals account for vast majority of that base/primarily from the pharma industry – digital dimes replacing analogue dollars – online advertising increasing, but not approaching print levels
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Advertising: New Considerations Growth in 2011 increased by 6%, but lagged behind 2010 The 2012 market is slow, down 14% in pages Print advertising remains the strongest channel Source: Medical Media, and Marketing, April 2010
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Advertising: New Considerations 2007 -2009 AAP Industry Statistics Report/PSP Journals
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Advertising: New Considerations Regional restrictions – brand names, government regulations, product approval & availability Society/editorial guidelines and approval processes – commercial ads (e.g., no ads on article pages), society ads, publisher ads Integration w/ eTOC, alerts, searches, interstitial ads Sponsorship of subscriptions, topic collections, translated editions Demand for more detailed reporting on click-through rates (CTR) and impressions Demand for more detail on who is visiting the site and validation/registration Cost of creating cross-channel campaigns (e.g., mobile, tablet, print, online)
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The Digital Environment: Issues & Challenges
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Article Versions Publisher versions post acceptance, interim publication (e-only) final publication (multiple formats) preprint (only some publishers) (e-only in IR; preprint server) Version of Record (VOR) – typically the final electronic version – publisher ensures update/correction of VOR – What provisions are made for updating other sources? Other sources PubMed Central institutional repository pre-print servers author web site rogue/uncontrolled sites
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Online Environment Content moves from library stacks to digital platform – shifts responsibilities from the library to the publisher or host site Online delivery platforms – self-host (ScienceDirect, Wiley Interscience) – outsource (HighWire, Ovid, BioOne, Atypon) Disaster recovery strategy Archive provisions – in-house – external (e.g., Portico, JSTOR, LOCKSS)
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Digitizing Archival Content Preliminary decisions gathering print copies in good condition cover-to-cover scanning? advertisements? project management assignment internally choosing a vendor/partner pricing strategy Digitization Process scanning – decision on destructive or non-destructive processing OCR (optical character recognition) – dependent on quality and layout of original – quality assurance: human oversight is essential – specialized content (e.g., medical) not easily recognizable by OCR XML conversion – necessary to make content findable on the Web
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Issues in Digital Preservation Reliable and perpetual access is a priority as more and more journals move online Who is responsible for it and who pays for it – publisher, library or combination? Trigger event(s): – a publisher stops operations – publication of a title ceases – back issues are no longer available – a publisher’s delivery platform fails for a sustained period Dark vs. light archives Rights transfer Access control
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Major Preservation Solutions Member/subscriber initiatives – Portico – LOCKSS – CLOCKSS Government-supported initiatives – Koninklijke Bibliotheek e-Deposit National Library of the Netherlands – German National Library of Medicine Retrodigitization – British Library e-Legal Deposit – National Science Library, ChineseAcademy of Sciences Other – Keepers Registry (EDINA & ISSN International Centre)
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Benefits to Users 90% of STM journals are online* benefits both teaching and research access to more content than ever before incalculable improvement in delivery time – faster turnaround in flow-through processes – article-by-article release rather than by issue 24/7 access: anytime & anywhere – mobile devices enhance this benefit reference links: open up endless navigation possibilities publisher competition to enhance the user experience social networking/subject community possibilities giving customers what they expect – especially younger audience: “If it’s not online, it doesn’t exist” – reading more articles but spending less reading time per article: Renear and Palmer, Science, 325, 828 (2009) *2009 AAP Industry Statistics Report/PSP Journals
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Benefits to Libraries Consortia & university system collections expand – esp. medium and small academic libraries – reduced ILL support, better speed Global licensing and access for corporate customers National or state-wide licensing and access for government agency libraries Simultaneous access – current journal issues + books & reference works Saves on space & staff time No missing/delayed/damaged issues: instant check-in Usage data gathering for analysis & collection management – understand/better serve users
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Benefits to Publishers Develop new pricing and packaging models – reach new niche markets Usage data – understand/analyze customer base – better editorial analysis – marketing capabilities Content can be used in new & innovative ways – repackaging – customization per customer/geographic/discipline sector – data mining & semantic publishing for future re-mixing and retrieval Industry standardization benefits everybody – CrossRef DOI CrossCheck and CrossMark – interoperability enhances everyone’s content and platform by providing a better user experience
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Challenges for Publishers Steadily increasing volume of submissions Constant pressure to keep up with industry innovations in technology and functionality Increasingly capital intensive back office requirements – additional investment in hardware and software – higher skill set for staff, more training, longer learning curve... all resulting in increased costs Coupled with declining library and practitioner funds for subscriptions Market demand to increase efficiency and service while holding or (preferably) reducing prices Uncertainty about sustainability of traditional business model – open access (author-paid model) – public access – government mandated deposit
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Challenges for Publishers Major changes in publishing model Old organizational silos slow to change significant variable costs for each issue printed and mailed
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Challenges for Publishers Major changes in publishing model New working together with internal and external groups in new ways near constant pressure to change & very competitive reduced variable cost for Web delivery significantly increased fixed costs for publishing, Web development, hosting higher skill set for online 24/7 support
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Environmental/Technological Challenges Speed to publication continues unabated Continuity of the journal brand... or the journal as package Global perspective: input + output – content, languages, interfaces, customs, help desk support Mobile devices – PDAs, Notebooks, eBooks, eReaders New digital content added to platforms with expectation of functionality, flexibility and discoverability comparable to journals – reference works, book series, monographs – audio, video, animation Future of copyright in the digital world Digital piracy – economic threat – integrity of content
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Medical Journals Then… 95
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User Databases Text Supplements Slide Shows Audio Video Metadata Medical Journals Now… 96
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Workshop # 3 Decision Points: 2
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Wrap-up
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Thank you trichardson@nejm.org Jean.Shipman@Utah.edu jtagler@publishers.org
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