Presented during the AAU DATAD Conference

1. 1
Increasing access to and preserving
institutional research assets: an
Open Access approach
Ina Smith
Presented during the Annual DATAD Conference, 24-26
August 2016, AAU & Lupane State University, Bulawayo,
Zimbabwe

2. Agenda
• Setting the scene: Open Access (OA)
• Demonstrating support for OA
• Strategy
• Berlin Declaration
• Statement
• Policy
• Approaches to OA
• Open Access Journals (Gold)
• Open Access Institutional Repositories (Green)

3. Open Access (OA) defined (policy)
All content is freely available without charge to the
user or his/her institution. Users are allowed to
read, download, copy, distribute, print, search, or
link to the full texts of the research items, or use
them for any other lawful purpose, without asking
prior permission from the institution, copyright
owner, publisher or the author. This is in
accordance with the BOAI definition of Open
Access.

4. Who needs OA?
• Scientists/scholars not affiliated with institutions
• Students in (high/secondary) schools
• Physicians
• Health care workers/practitioners
• Patient groups
• And MANY MANY more!

5. Why OA?
• (State) funded research should be available to all
• More exposure
• More citations
• More review / control post-publication
• Better quality science
• More efficiency - less double studies
• Everybody can participate in knowledge creation
• More use of innovation potential, entrepreneurs
• And more …

6. Why OA?
Jack Andraka- Tapping into the hidden innovator: an open access story
How Open Access Empowered a 16-Year-Old to Make Cancer Breakthrough

7. http://thefreethoughtproject.com/cdc-
scientist-admits-destroyed-data-showed-
vaccines-caused-autism-
children/#cZz6lzEjivPoTZ80.99

8. Why OA?
Gomez is a Colombian graduate student who shared an academic paper without
permission online and received a criminal copyright complaint from the author. If convicted,
Gomez faces a 4-8 year prison sentence and a significant monetary fine.

10. “Tesla Motors was created to accelerate the advent of
sustainable transport. If we clear a path to the creation of
compelling electric vehicles, but then lay intellectual
property landmines behind us to inhibit others, we are
acting in a manner contrary to that goal. Tesla will not
initiate patent lawsuits against anyone who, in good faith,
wants to use our technology.” – Elon Musk, CEO

12. Date Downloads
Nov 2013 984
May 2014 1 534
Oct 2015 2 289
Aug 2016 2 486

15. http://www.topuniversities.com/qs-world-university-rankings

16. In a statement released by Linda Jarvis, Chief
Financial Officer at Wits, her office explains the
increase:
“Some of the key reasons are:
The rand-dollar exchange rate has fallen by
approximately 22%, which has resulted in a
substantial increase in the amount of money that
we pay for all library books, journals, electronic
resources research equipment that are procured
in dollars and euros.”
http://connect.citizen.co.za/25760/why-is-
wits-raising-its-fees/

17. SA Subscription Costs
• SA Univ. research output 2000-2013 increased by 250%
• R24 bill. spent on research & development 2000-2013
(50%+ from tax payer)
• SA HEIs paid R470 million to national and international
publishers for subscription fees to academic journals in
2014
• Double-dipping: Article Processing Charges &
Subscription
• Top South African university + R30 mill. for 2016

18. Publisher profits published in 2013

19. Publisher profits published in 2014

20. https://www.techdirt.com/articles/20151117/
09383132839/elsevier-says-downloading-
content-mining-licensed-copies-research-
papers-could-be-considered-stealing.shtml

21. http://chronicle.com/article/What-a-Mass-
Exodus-at-a/234066

23. How to demonstrate support?
• Institutional strategy
• Sign the Berlin Declaration
• Issue a statement
• Implement a policy

24. https://globalyoungacademy.net/
news-release-gya-members-pledge-
for-open-access/

25. Strategy
• Long term plan of action to achieve a specific
goal
• Align library strategy with overall institutional
strategy
• Actions, Key Performance Indicators (KPIs)
• Example strategic objective:
To increase the visibility, accessibility and impact
of Zimbabwean research output

26. About the Berlin Declaration
• Berlin Declaration on Open Access to
Knowledge in the Sciences and Humanities
• Announcement of support in terms of Open
Access
• 565 signatories
• SA: 17; Africa: 46
• Africa: http://tinyurl.com/zjezaza
• All: https://openaccess.mpg.de/319790/Signatories

27. About the Berlin Declaration
• Top-level institutional representative email Max
Planck Society - email:
open-access@mpdl.mpg.de
• http://openaccess.mpg.de/Berlin-Declaration

28. OA defined by Berlin Declaration
• “We define open access as a comprehensive
source of human knowledge and cultural heritage
that has been approved by the scientific
community.”
• “In order to realize the vision of a global and
accessible representation of knowledge, the
future Web has to be sustainable, interactive, and
transparent. Content and software tools must be
openly accessible and compatible.”
http://openaccess.mpg.de/Berlin-Declaration

29. Berlin Declaration (1)
“The author(s) and right holder(s) of such
contributions grant(s) to all users a free,
irrevocable, worldwide, right of access to, and a
license to copy, use, distribute, transmit and
display the work publicly and to make and
distribute derivative works, in any digital medium
for any responsible purpose, subject to proper
attribution of authorship …”

30. Berlin Declaration (2)
“A complete version of the work and all
supplemental materials, including a copy of the
permission as stated above, in an appropriate
standard electronic format is deposited (and
thus published) in at least one online repository
using suitable technical standards …”

32. Open Access Statement
• Clear expression of requirements –
recommendations in terms of Open Access
• Policy statement – formal document outlining
the ways in which an institution intends to
support Open Access, manage research output
and act in specific circumstances
• Publicly make funders, researchers aware of
intent, view

33. Example Open Access Statements
• IFLA Statement on Open Access
http://www.ifla.org/files/assets/hq/news/documents/ifl
a-statement-on-open-access.pdf
• Statement on Open Access to research
publications from the National Research
Foundation (NRF)-funded research
http://www.nrf.ac.za/media-room/news/statement-
open-access-research-publications-national-research-
foundation-nrf-funded

34. Strong vs Weak

35. What is a “policy”?
“A definite course or method of action selected
(by governments, institutions, groups,
individuals) from among alternatives and in light
of given conditions to guide and determine
present and future decisions.”
“A high-level overall plan embracing the general
goals and acceptable procedures especially of a
governmental body.”
(Merriam-Webster Online Dictionary)

36. What is a “policy”? (cont.)
Fox and Meyer (1995: 107) define policy as “authoritative
statements made by legitimate public institutions about
the way in which they propose to deal with policy
problems”.
Anderson (1997:9), as based on the work of political
scientist Carl J. Friedrich, defines policy as “a proposed
course of action of a person, group, or government
within a given environment providing obstacles and
opportunities which the policy was proposed to utilize
and overcome in an effort to reach a goal or realize an
objective”.

37. What is a “policy”? (cont.)
• Open Access Policy Advisory Group – involve
research community
• Revisit policy from time to time (annually)
• Ratified by highest governing body
• National: Parliament (government)
• Institutional: Council/Board

38. Policy = Principles + Objectives + Decisions
Policy = Decision-making framework to achieve
a desired outcome, in the interest of a specific
community
Policy = Response to the changing world we find
ourselves in
Policy needs to be aligned
1
2
3
4

39. Policy = Followed by procedures, guidelines,
processes, planning
Policy = Strategic & long term; Planning =
operational within specific timeframes
Policies change, needs to be revisited, adapted in
line with change
Policy can be enforced
5
6
7
8

40. Human rights and OA
• Principle: Right to access information
(Constitution)
• UN General Assembly adopted Resolution 59(I), stating,
“Freedom of information is a fundamental human right
and ... the touchstone of all the freedoms to which the
United Nations is consecrated.”
• Problem: High subscription costs & research funded
with tax payer’s money
• Objective: Policy to open up access to information
funded with tax payer’s money

41. Stages of Policy Process (John W Kingdon)
Problem
Identification
Policy
Formulation
Policy
Adoption
Policy
Implement
ation
Policy
Evaluation
Policy Advisory Committee
Terms of Reference

42. Policy implementations promoting OA
Source: http://unesdoc.unesco.org/images/0021/002158/215863e.pdf

43. Harvard University
Source: https://osc.hul.harvard.edu/policies/

44. Policy implementations promoting OA
Source: http://unesdoc.unesco.org/images/0021/002158/215863e.pdf

45. National Health Institute OA Policy

46. Policy implementations promoting OA
Source: http://unesdoc.unesco.org/images/0021/002158/215863e.pdf

47. Wellcome Trust OA Policy

48. Bill & Melinda Gates Foundation

49. Open Access policies resource
http://roarmap.eprints.org

50. Status of Open Access policies
http://roarmap.eprints.org/dataviz.html

51. Policies on Open Access in Africa

52. Open Access policy effectiveness

53. Open Access policy guidelines

54. Elements of an effective Open Access
policy (1)
• https://goo.gl/QxkD5Q
• Mandatory policy/not mandatory
• Articles must be deposited in IR at time of acceptance for
publication in journal – manage embargoes
• Version: final peer-reviewed version, with final corrections
(post-print, galley, author’s version, publishers version)
• Stipulating how OA should be provided:
• When & where (IRs) research articles must be deposited
• Publishing in OA journal
• Length of permitted embargo
• Must become OA when embargo expires

55. Elements of an effective Open Access
policy (2)
• Whether waivers may be granted
• Depositing in IR cannot be waived – must be deposited at
point specified by policy
• Conditions under which publication charges may be
paid
• Sanctions when non-compliance
• Deposit in IR linked with research assessment/performance
evaluation procedures
• Specific requirements regarding licensing – authors
retain certain rights over their work
• Cannot be waived

57. Guidelines to an effective Open Access
policy
http://cyber.law.harvard.edu/hoap/Good_practices_for_university_open-access_policies

58. Alma Swan – Policy Guidelines for the development and
promotion of open access
http://unesdoc.unesco.org/images/0021/002158/215863e.pdf

59. Open Access Policy Templates
• Harvard University example
https://osc.hul.harvard.edu/assets/files/model-
policy-annotated_01_2013.pdf
• Columbia University Scholarly Communication
Programme
http://scholcomm.columbia.edu/wp-
content/uploads/2011/10/ColumbiaOAPolicyTe
mplate.doc

60. Activity
Use one of the template policy documents,
and adapt for your institution.
https://goo.gl/QxkD5Q >> policies

61. • Open scholarly repositories
• Open scholarly journals
• Open scholarly monographs
• Open scholarly science
• Open scholarly conference proceedings
• Open data set repositories
• Open Educational Resources (OERs)
• Massive Open Online Courses (MOOCs)
Approaches to Open Access

62. Open Access Repositories (Green)
http://www.sherpa.ac.uk/romeo/index.php
Publisher Policies

63. http://www.sherpa.ac.uk/juliet/index.php
Funder Policies

64. Open Scholarly Repositories (Green)
https://repository.unam.edu.na/

65. Open Access Journals (Gold)
Centrally, publicly and internationally available
community-curated database of high quality
open access journal titles across all disciplines
(scientific/scholarly)
doaj.org

66. Open Scholarly Journals (Gold)

67. Open Scholarly Journals (Gold)

68. Open Scholarly Monographs

69. Every part of the scientific method is nowadays
becoming an open, collaborative, and
participative process:
• Transparency in experimental methodology,
observation, and collection of data
• Public availability and reusability of scientific data
• Public accessibility and transparency of scientific
communication
• Using web-based tools to facilitate scientific
collaboration
Open Science

72. Massive Open Online Courses (MOOCs)

73. Online self-paced courses for librarians

74. Open Educational Resources (OERs)
https://www.oercommons.org/

75. Intellectual Property Rights
• Exclusive rights to the creative work, commercial
symbol, or invention which is covered by it –
remains with owner/creator
• IP Policy at your institution
• Permission obtained from rights holder
• DC Element “Rights” – individual items
• Add “Rights”- document/ file together with item
• Copyright/ Rights note for Collection/ Community

76. Copyright
• IP Policy for institution
• Agreement between student/researcher &
institution
• Work agreement between employee &
employer
• Theses/Dissertations: Institution
• Articles: rights reside with author/institution –
do not sign away to publisher

77. Author Rights
• Educate researchers not sign IP/Copyright away
• Researchers can add addendum to article
http://www.sparc.arl.org/resources/authors/addendum
• Three approaches to determine rights:
– Publisher policy on SHERPA RoMEO – else;
– Visit publishers’ web site
– Contact publisher directly and obtain permission/
negotiate – archive letter of consent on your IR

78. Consent letter to publisher

79. Licensing
License stored with each item –
Submitter grants license
“By submitting this license, you (the owner of the rights) or on behalf of the owner of the
rights, grants to the University of Pretoria the non-exclusive right to reproduce, translate
(as defined below), and/or distribute your submission (including the abstract) worldwide
in print and electronic format and in any medium, including but not limited to audio or
video.”

80. Creative Commons Licenses
https://creativecommons.org/licenses/

81. Limiting access in DSpace
Assign policies on community, collection, item or
bitstream (file) level

82. Supporting web page for IR

83. Activity
Explore the Ranking Web of Repositories
http://repositories.webometrics.info/
• Visit a few high performing IRs
• Which IRs from Africa are listed?
• How do they compare?
• Visit:
http://wiki.lib.sun.ac.za/index.php/SUNScholar/Ranking
• DATAD Project: Monitor ranking of all
African IRs?

84. Thank you!
Ina Smith
SciELO Planning Manager, ASSAf
ina@assaf.org.za