Silviase/jgov_v1.4_full_ann huggingface dataset:
necessary in remodelling GiA-PSRR-SP. The Working Group hopes that the proposal will be discussed internally more in detail by the Japan Society for the Promotion of Science, which operates the processes of screening applications and allocating grants in this category, along with the examination of the impact of the improvement.

(Providing grants for expenditures necessary for the publication of journals)

- In light of the progress of digital publishing, it is necessary to review the eligibility for application as well as the types of expense which the grant is allowed to cover in order to allow for support for the expenditures necessary for improving the methods of publishing journals (including refereeing, editing, and publishing).

• With regard to the eligibility of projects, the aid needs to be made available for project proposals that are designed to strengthen the contribution to international scholarly communication by way of journal publishing. In addition to programs implemented by individual academic societies, new initiatives which coordinate and consolidate communities of researchers in specific research areas to start a new online journal in the area.

• With regard to the types of expense to be covered by the grant, funds should flexibly cover such project expenses as strengthen the capacity of international scholarly communication as well as the direct costs of publishing conventional print journals. However, in case the increased flexibility in application of the grant causes confusion in executing the budget on the part of academic societies, it is preferred that guidelines and examples be provided.

(Revision of the application guidelines to evaluate efforts to strengthen the capacity of international dissemination of information)

- It is to be desired to arrange the format of proposal in the way that the applying society itself sets goals for its own project of strengthening its contribution to scholarly communication as well as specifies the yearly progress plans for the entire period so that the review committee can review the application as a whole, together with an explicit statement prior to the application that the committee will prioritise the elements in the proposal which concern the improvement of journals toward stronger international contribution, such as digital publishing and internationalization.
• With regard to the length of project period, the shift from the current practice of giving the grant primarily on a single-year basis upon applications from academic societies to the framework in which the grantee can show the results from the project which can be evaluated.

As far as the sectioning of application is concerned, it is important to relax the condition on used language not only because the percentage of articles in English in international journals is indeed approaching 100%, but because it is necessary to assess the quality of Japanese language journal projects more properly in reference to the characteristics of the field the journal specialises in. Considering the current status of international scholarly communication, it should be possible to set the default to English and allow the use of other languages exceptionally.

## (Support for open access initiatives)

- It is of vital importance to subside, by way of GiA, those projects which target the open access of online journals, given that we require journals based in Japanese societies to not only begin to compete on a par with but also go ahead of the existing American- and European-society based journals, strengthening their contribution to international scholarly journal communication

• As a side note, it is to be remarked that, because journals that are not sold overseas are currently not eligible for GiA-PSRR-SP, open access journals cannot apply for the category. This requirement of paid distribution overseas should be removed to make both subscription-based journals and open access journals eligible for the grant.

• To make explicit that open access journals are to be promoted as our policy agenda, we should give a thought to installing a new focus category of "Open Access Journals (Start-up Support)." In installing this category, the project period should be determined to accommodate the additional time it takes new journals to be recognised while, at the same time, simultaneous multi-category applications should be permitted to encourage open access journal initiatives towards the publication of new open access journals other than conventional subscription-based journals.

(The necessity of strengthening the category)

• The category of GiA-PSRR-SP, which provides support for journals which publish
original papers, must be inevitably promoted also from the perspective of fostering influential journals that contribute to human scholarship and science in respective fields to equate Japan's contribution to scholarly communication with its research strengths.

(Other important matters regarding the improvement of Grants-in-Aid for Scientific Research)

- The structure and composition of the review process in GiA-PSRR-SP should guarantee the appropriate evaluation of the proposed projects in terms of their contributions to improved scholarly communication.

- It should be so arranged that a special consideration in the process of reviewing is to be given to those proposals which are based on a plural number of societies' collaborative efforts for the improvement of international scholarly communication.

- The upper limits on the amount of requested grant in the subcategories should be reconsidered, allowing for the possibility of removing the limits, from the perspective of ensuring the provision of necessary support at an appropriate scale.

Interim measures for the transition to the proposed stable and sustainable multi-year grant from the current single-year grant cycle must be discussed.

- The change from the title of "Grants-in-Aid for Publication of Scientific Research Results (Scientific Periodicals)" should also be considered in light of the resulting revisions.
3. Establishment of Open Access to Results of Research Funded by Grants-in-Aid for Scientific Research and Other Competitive Funds

### a. Necessity of Open Access

☐ Results of scientific research are preferred to be shared as intellectual assets of all humankind in the first place. In particular, the results of publicly funded research should be widely accessible and available by the public. On this recognition, the current global trends are towards the promotion of open access that makes research results accessible by the users of the results without payment or other constraints, arguing against the situation where journal articles are increasing hard to have access to on account of ever more expensive subscription fees and ever stronger copyright protection.

The collection of education and research results and the establishment of open access are also promoted in the Fourth Science and Technology Basic Plan, which we need to actively address.

### b. Ways of Establishing Open Access

There are two main ways of making research results open access. One is to publish papers in open access journals (including cases where a paper is submitted to a subscription-based journal but the author pays for the cost of making only his or her paper open access); the other is for researchers themselves to make their papers accessible online with the permission from the copyright holders, themselves included.

## (Publication in open access journals)

- Since journals have traditionally turned to subscription fees to subside publication, it is researchers that they have to turn to for the cost of making them open access and asking readers no financial burden for accessing them, unless there should be extra funding. As a result, there are still only a limited number of open access journals in Japan, given that to make open access possible, researchers have to be strongly motivated to submit and publish their articles in spite of the burden of publishing fees and that such a situation is naturally anticipated in which some journals might cease to be able to guarantee the quality and quantity of published articles in the consequence of changing the business model from subscription to
open access.

• However, the fact that there are online journals with viable business models such as the mega-journals like PLoS ONE, published in the US, has led the Working Group to propose, as described above, that, in the remodelling of the GiA-PSRR-SP category, a special provision should be made so that new launch open access journals be encouraged and funded during their formative stage up to the time point they are reputedly established.

- It is important for the funding agencies to unequivocally inform researchers, with the intention of discouraging them from avoiding submission to open access journals, that the financial costs incurred on the part of researchers, including publication fees, can be paid with the funds they award them. Incidentally, such payment for publication for research results is explicitly allowed in the current practice of GiA, and described in the Handbook and other documents and manuals.

## (Publication on the internet)

- Ways in which researchers make their publication public are characterized by the combinations of the elements in the three following viewpoints, subject to the copyright policies of journals publishing their articles.

1. Place

• On the website of the funding agency that awarded the grant which made the relevant research possible

• On the website of the institution the researcher is affiliated with

• On the website the researcher hosts

### 2. Timing

• At the time point when the result is published for the first time

• No later than after a certain period of time determined by the publisher since its first publication of the results.

### 3. Content

- Content finally accepted and officially published by the journal (publisher's version, or the version of record)

• The author's final draft and other drafts

- While various initiatives have been taken overseas for providing places where open access is made possible, in Japan, it is considered to be realistic to take advantage of "institutional repositories" as a vehicle for shifting to open access,
which are being developed as places for accumulating, preserving, and distributing education and research results owned by universities and other institutions. Researchers who works for a corporation or institution that has no institutional repository are to be advised to make their research results open access on their own.

- The timing is subject to the decision of the publisher who holds the copyright. The elapsed time till open access is called "embargo period" and decided by the publisher from the point of view of protecting their copyright, varying from roughly six months to three years. Problem of the embargo period being long, it is problematic that researchers cannot decide whether they are allowed to publish their research results in other media because many of the academic societies in Japan have not yet established their copyright policies. Besides the problem of the large length of embargo period, the large number of Japanese society publishers have not decided on their copyright policy, thereby leaving researchers uncertain about whether they could make their research results open access by different media.

- Publishers generally do not allow the version of a record of an article to be put elsewhere, so, as a consequence, the version made open access tend to be the author's final version. On the other hand, there are concerns on the part of researchers that the distribution of different versions of an article means the existence of more than two sets of information about the same research results, which may cause confusion and undesirable. Because of this, some researchers publish only the bibliographic information.

- Negotiation should take place with society and commercial publishers who hold copyrights with a view to making the timing as early as possible and the content as close as the version of record. It is also important to encourage researchers to actively take part in open access.

### c. Other General Improvements

☐ Funding agencies should require researchers to report to them the method of access to the results of the funded research, including it open access availability, as they need to in control of the relationship between funding and its consequences.
The research results report form of a Grants-in-Aid for Scientific Research has fields in which researchers fill with the web addresses and DOIs of their research articles. The registry of this information should be strongly encouraged so that research results could be widely available through the links from within KAKEN (Grants-in-Aid for Scientific Research Database).
4. Strengthening Information Dissemination Capacity through Utilisation of Institutional Repositories

### a. Roles and Meanings of Institutional Repositories

A wide variety of intellectual outcomes produced at universities and other institutions are the core element in the construction of “knowledge infrastructure,” which is purposed in the Fourth Science and Technology Basic Plan, and need to be shared and utilised in society as valuable assets contributive to the country’s future growth.

It is universities and other research institutions wanting to meet the needs of society that are primarily responsible for the accumulation and dissemination of such intellectual outcomes, including making them open access, with their institutional repositories to be recognised as important means for fulfilling such social obligation, and to be developed and strengthened accordingly. This statement is consistent with the idea of the increased transparency of education and research at universities which was described in relation to the plan of the tentative "University Portrait," as described in the "Execution Plan for University Reform"(June 2012), put forward by the Ministry of Education, Culture, Sports, Science and Technology.

At universities and other institutions, the institutional repositories play a wide variety of roles, not limited to open access, which provide better environments for research, and teaching and learning exemplified below:

1. Collection and long-term preservation of intellectual content produced on campus

2. Infrastructure for scholarly communication, including publishing and provision of articles, data and research reports

3. Infrastructure for teaching and learning, such as one for the digitalisation, provision, and preservation of learning materials

☐ The functionalities of institutional repositories provide can be summarised as follows from the standpoint of scholarly communication

1. Institutions can visibly grasp their entire intellectual assets through storing and preserving them in one location and avail themselves of the repositories to impress the society with their presence and excellence by promptly and widely make their education and research result open access from not only within but without.

For users, institutional repositories provide one-stop access to the diverse intellectual assets of universities and other institutions from anywhere and, in
principle, for free.

Therefore, institutional repositories are expected to grow into a new communication media for scholarly communication.

2. Furthermore, they are also expected to subvert the current system of scholarly communication for journal articles, which causes access problems on account of high subscription fees allegedly through the oligopoly of commercial publishers.

### b. Current Status of Institutional Repositories

(Current status of the development of institutional repositories)

○ Institutional repositories have been created and maintained by universities and institutions through librarians' voluntary efforts on the systems which are either developed individually or jointly, or based on open source softwares. Also, thanks to the advocacy activities and the support from NII and DRF (a broad community organisation for repository managers), the number of active institutional repositories has increased rapidly in recent years. Currently, institutional repositories have been serving at about 250 national, public, and private universities.

Japan is ranked fourth in the world with 136 institutions out of a world total of 2,199 registered at OpenDOAR, which is an institutional repository-related information site (as of April 2012).

Nevertheless, further improvement and penetration is necessary, considering that there are more than 1,000 higher education and research institutions in Japan, counting only the ones registered with Grants-in-Aid for Scientific Research as eligible institutions. In addition to the institutional repositories run by individual universities and other institutions, cooperative repositories are being actively started through institutional cooperation in various communities and regions. Moreover, NII launched the JAIRO Cloud system in fiscal 2011. JAIRO Cloud provides a shared repository system for universities and institutions that lack resources for developing their own system. JAIRO Cloud is expected to accelerate the establishment of institutional repositories.

In the future, all universities and institutions should strive to create and promote their own institutional repositories to ensure diversity in the values they offer.

(Cross sectional coordination and data analysis of institutional repositories)

☐ In effectively developing and utilising the system of institutional repositories, coordination and system-wide data analysis across repositories are essential. In
Japan, NII has installed JAIRO, a tool for searching across institutional repositories which provides the overview the country's status quo, along with a data analysis tool (IRDB) for analysing the content through JAIRO. With regard to user analysis, a system called ROAT has been designed and tested for use under the leadership of Chiba University Library, which allows for segmenting accesses by the country, the kind of institution, etc. from the access logs uploaded. Coordination with institutions overseas, OpenDOAR, OAIster, and other information sharing sites for institutional repositories have been started and operated.

According to an analysis by IRDB, there are about 510,000 bulletin articles, about 160,000 science journal articles, and 40,000 theses out of the roughly 1,000,000 content materials which are deposited in institutional repositories. Those materials are most accessed from within Japan, and with regard to the content, bulletin articles are most accessed (as of May 2012).

○ Institutional repositories have become an important tool for publishing bulletin articles at private universities and in the fields of humanities and social studies. In addition to improving the universities' information dissemination functions, the repositories are expected to enhance the quality of bulletin articles by allowing them to be seen by a large audience when they are published.

c. Challenges and Considerations in Enhancing the Functions of Institutional Repositories

(Reinforcing content registration)

The challenges in the development of institutional repositories include the understanding on the part of institutions and researchers, system development, and securing human resources, but the most important task is the increase of deposited content.

At universities and other institutions, the content is deposited primarily by library staff with cooperation from departments and researchers.

The deposit of content is basically done by each researcher who exercise the right of "self-archiving". However, incentives for researchers to self-archive are not necessarily strong when their articles are already published in journals, since the information is already accessible and because of the duplicated manual labour for the researcher.

Another obstacle is that, while permission from the academic societies or other organisations that publish journals is required for depositing in institutional repositories, many of them have not yet stipulated their copyright policies.
regarding the open access through institutional repositories.

In order to promote self-archiving, universities and other institutions have devised various ways of reducing the burden of researchers. One example is a system in which researchers are only requested to turn in the content data made PDF, and in which library staff handles the rest of the work on behalf of researchers, including the process of checking copyright policies. Other examples include linking of research results to a researcher database published by the university, and the function to export information to the Grants-in-Aid for Scientific Research's research results report form. It is also important to share these systems.

It is desirable to come up with systems that will more easily induce content to institutional repositories, especially in the case of the journal articles could be sent directly from publisher to repositories, with permission from societies with solid copyright policies.

## (Enhancing awareness among universities and researchers)

Universities and other institutions need to assist researchers in understanding that registration of their research results in open access institutional repositories is beneficial to researchers themselves because it facilitates searches by domestic and international audiences, and assists distribution of information. At the same time, researchers should be reminded that making their research results open access leads to the fulfilment of the university's duty of returning scientific information to society.

☐ Moreover, it should be made clear that the institutional repository is a function of disseminating information that universities and other institutions need to make a concerted effort to improve, and that libraries are in charge of such tasks. It is important to provide support based on this understanding.

## (Incorporation into evaluation)

The efforts towards the establishment of institutional repositories for information dissemination should be added as a subject of evaluation in institutional certified evaluation systems. Understanding and publicising the status of such endeavours through Science Information Infrastructure Statistics of Colleges and Universities and through JAIRO are expected to promote the active development of institutional repositories.

It is also important to recognise researchers' information dissemination efforts through content registration in institutional repositories as their achievements in education, research, and social contribution. Such efforts should be taken into account as one of the evaluation points when universities evaluate individual researchers.