Open Access policies: An Overview


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Presented at the workshop “Open Access: How to improve accessibility, visibility and impact of your research outputs”, December 22, 2008,
Addis Ababa University, Ethiopia

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Open Access policies: An Overview

  1. 1. Open Access policies: An Overview. Iryna Kuchma, eIFL Open Access Program Manager, Presented at t he workshop “ Open Access: How to improve accessibility, visibility and impact of your research outputs”, December 22, 2008, Addis Ababa University, Ethiopia
  2. 2. Open Access policies <ul><li>Increasing number of Open Access policies from: </li></ul><ul><li>Research groups </li></ul><ul><li>Research centers </li></ul><ul><li>Universities </li></ul><ul><li>Funding bodies </li></ul><ul><li>Governments </li></ul><ul><li>National and international bodies </li></ul>
  3. 4. Funder policies - mandates <ul><li>Australian Research Council </li></ul><ul><li>National Health and Medical Research Council, Australia </li></ul><ul><li>Fonds voor Wetenschappelijk Onderzoek (Research Foundation Flanders) </li></ul><ul><li>Canadian Institutes of Health Research (CIHR) </li></ul><ul><li>European Research Council (ERC) </li></ul><ul><li>Agence Nationale de la recherche (France) </li></ul><ul><li>Health Research Board (HRB) of Ireland </li></ul><ul><li>Irish Research Council for Science, Engineering & Technology </li></ul><ul><li>Swiss National Science Foundation </li></ul><ul><li>Arthritis Research Foundation, UK </li></ul><ul><li>Arts and Humanities Research Council, UK </li></ul><ul><li>Biotechnology and Biological Sciences Research Council (BBSRC), UK </li></ul><ul><li>British Heart Foundation </li></ul><ul><li>Cancer Research UK </li></ul><ul><li>Chief Scientist Office (Scottish Executive Health Department) </li></ul><ul><li>Department of Health (UK) </li></ul><ul><li>Economic and Social Research Council (ESRC), UK </li></ul><ul><li>JISC (Joint Information Systems Committee), UK </li></ul><ul><li>Medical Research Council (MRC), UK </li></ul><ul><li>National Environmental Research Council (NERC), UK </li></ul><ul><li>Science & Technology Facilities Council, UK </li></ul><ul><li>Wellcome Trust, UK </li></ul><ul><li>National Institutes of Health (NIH), USA </li></ul><ul><li>Howard Hughes Medical Institute (HHMI) </li></ul>
  4. 5. The USA <ul><li>The U.S. National Institutes of Health , the single largest funder of research in the U.S with an annual budget of $28.9 billion USD, implemented a policy requiring that its grant recipients make articles resulting from any NIH funding publicly available within 12 months of publication in a peer-reviewed journal. </li></ul><ul><li>This policy, passed by the U.S. Congress and signed into law by the President, went into effect in April of 2008.   </li></ul><ul><ul><li>(Alliance for Taxpayer Access, Worldwide momentum for policies supporting public access to publicly funded research) </li></ul></ul>
  5. 6. The European Research Council <ul><li>In January of 2008 The European Research Council (ERC) implemented a mandatory public access policy for its funded researchers. </li></ul><ul><li>The policy states:   </li></ul><ul><li>“ Requires that all peer-reviewed publications from ERC-funded research projects be deposited on publication into an appropriate research repository where available, such as PubMed Central, ArXiv or an institutional repository, and subsequently made Open Access within 6 months of publication.” </li></ul><ul><ul><li>(Alliance for Taxpayer Access, Worldwide momentum for policies supporting public access to publicly funded research) </li></ul></ul>
  6. 7. Proposed Funder mandates <ul><li>European Commission </li></ul><ul><li>European Research Advisory Board (EURAB) </li></ul><ul><li>European University Association (EUA) </li></ul><ul><li>National Knowledge Commission, India </li></ul><ul><li>Federal Research Public Access Act (FRPAA), USA </li></ul>
  7. 8. European University Association <ul><li>Universities should develop institutional policies and strategies that foster the availability of their quality-controlled research results for the broadest possible range of users, maximising their visibility, accessibility and scientific impact. </li></ul><ul><li>The basic approach …should be the creation of an institutional repository or participation in a shared repository.. </li></ul><ul><li>http://www. eua .be/ fileadmin /user_upload/files/Policy_Positions/Recommendations_Open_Access_adopted_by_the_EUA_Council_on_26th_of_March_2008_final. pdf </li></ul>
  8. 9. European University Association <ul><li>University institutional policies should require that their researchers deposit (self-archive) their scientific publications in their institutional repository upon acceptance for publication. Permissible embargoes should apply only to the date of open access provision and not the date of deposit. </li></ul><ul><li>...It should be the responsibility of the university to inform their faculty researchers about IPR and copyright management… </li></ul><ul><li>http://www. eua .be/ fileadmin /user_upload/files/Policy_Positions/Recommendations_Open_Access_adopted_by_the_EUA_Council_on_26th_of_March_2008_final. pdf </li></ul>
  9. 10. Ireland <ul><li>The Irish Research Council for Science, Engineering and Technology (IRCSET) has adopted an ideal OA mandate.  From the policy : </li></ul><ul><li>...Where a research publication arises in whole or in part from IRCSET funded research..., the following policy will be adhered to with effect from 1st May 2008..... </li></ul><ul><li>1. This publication policy confirms the freedom of researchers to publish first wherever they feel is the most appropriate. </li></ul>
  10. 11. Ireland <ul><li>2. The effect of the policy is intended to increase the visibility of, and improve access to, the research funded by IRCSET and the State, where such research is intended to be published by the researcher(s) concerned. </li></ul><ul><li>3. The policy is based on recognised best practice. It is in keeping with the recommendations of the European Research Advisory Board (EURAB) Policy in relation to scientific publication. It is also in keeping with the combined OECD Ministers’ Declaration entrusting the OECD to work towards commonly agreed Principles and Guidelines on Access to Research Data from Public Funding. </li></ul>
  11. 12. Ireland <ul><li>Conditions to which IRCSET funded Award Recipients should adhere: </li></ul><ul><li>1. All researchers must lodge their publications resulting in whole or in part from IRCSET-funded research in an open access repository as soon as is practical, but within six calendar months at the latest. </li></ul><ul><li>2. The repository should ideally be a local institutional repository to which the appropriate rights must be granted to replicate to other repositories. </li></ul>
  12. 13. Ireland <ul><li>3. Authors should deposit post-prints (or publisher’s version if permitted) plus metadata of articles accepted for publication in peer-reviewed journals and international conference proceedings; </li></ul><ul><li>4. Deposit should be made upon acceptance by the journal/conference. Repositories should release the metadata immediately, with access restrictions to full text article to be applied as required. Open access should be available as soon as practicable after the author-requested embargo, or six month, whichever comes first; </li></ul>
  13. 14. Ireland <ul><li>5. Suitable repositories should make provision for long-term preservation of, and free public access to, published research findings.... </li></ul>
  14. 15. Harvard <ul><li>Harvard’s Faculty of Arts and Sciences voted to adopt a policy under which </li></ul><ul><li>(1) faculty are required to deposit a copy of their scholarly journal articles in an institutional repository and </li></ul><ul><li>(2) automatically to grant to the University a University License to make those articles openly accessible on the Internet. </li></ul>
  15. 16. Harvard <ul><li>The Faculty of Arts and Sciences of Harvard University is committed to disseminating the fruits of its research and scholarship as widely as possible. </li></ul><ul><li>In keeping with that commitment, the Faculty adopts the following policy: Each Faculty member grants to the President and Fellows of Harvard College permission to make available his or her scholarly articles and to exercise the copyright in those articles. </li></ul>
  16. 17. Harvard <ul><li>In legal terms, the permission granted by each Faculty member is a nonexclusive, irrevocable, paid-up, worldwide license to exercise any and all rights under copyright relating to each of his or her scholarly articles, in any medium, and to authorize others to do the same, provided that the articles are not sold for a profit. </li></ul>
  17. 18. China <ul><li>Chinese Ministry of Science and Technology (CHINA) </li></ul><ul><li>http://www.most. gov . cn /eng/ </li></ul><ul><li>http://www. codataweb .org/06conf/ </li></ul><ul><li>Mandate to deposit research data (not yet applicable to research articles themselves) </li></ul><ul><li>Hong Kong Universities proposed Open Access policy for publicly funded research </li></ul>
  18. 19. India <ul><li>National Institute of Technology, Rourkela (institutional-mandate) </li></ul><ul><li>http://www. nitrkl </li></ul><ul><li>http:// dspace . nitrkl dspace </li></ul><ul><li>10th Senate meeting, NIT Rourkela resolution All research papers by faculty and students, MTech (Research) and Ph. D. thesis is to be self-archived in Dspace@nitr or it should be submitted to the librarian for archiving, so that others interested may benefit by referring to these documents. The Administration may use this archive for assessment of faculty performance when needed. </li></ul>
  19. 20. India <ul><li>National Knowledge Commission (proposed-funder-mandate) </li></ul><ul><li>http:// knowledgecommission . gov .in/ </li></ul><ul><li>http:// knowledgecommission . gov .in/downloads/documents/ wg _open_course. pdf </li></ul><ul><li>On a policy level, all research articles published by Indian authors receiving any government or public funding must be made available under Open Access and should be archived in the standard OA format on his/her website. Further, as a national academic OA portal is developed, these same research articles should be made available through this portal. </li></ul>
  20. 21. South Africa <ul><li>the Academy of Science (ASSAF) Committee on Scholarly Publishing in South Africa (CSPiSA) and the Department of Science and Technology (DST) has dedicated a substantial three-year budget to fund the implementation of ASSAF's recommendations for the development of scholarly publication in South Africa - a 'gold route' Open Access approach to journal publishing in South Africa </li></ul>
  21. 22. South Africa – Why? <ul><li>In a 2006 report, the Academy of Science of South Africa found that over the past 14 years, 1/3rd of South African journals have not had a single paper cited by their international counterparts </li></ul><ul><li>Fewer than 1 in 10 of South Africa's 255 accredited journals has been cited enough to feature in the main international research databases, despite South Africa being the continent's leading publisher of research </li></ul>
  22. 23. South Africa – Why? <ul><li>“ Visibility for research output from South Africa, and other developing countries, must be increased dramatically so that research from developing countries is incorporated into the global knowledge pool, so vital to the resolution of global issues such as climate change or the spread of infectious diseases.” </li></ul><ul><ul><li>( http://www. scidev .net/ quickguides /index. cfm ? fuseaction = qguideReadItem &type=1& itemid =2828&language=1& qguideid =4 ) </li></ul></ul>
  23. 25. South Africa <ul><li>Department of Library Services </li></ul><ul><li>http :// www . library . up . ac . za </li></ul><ul><li>https :// www . up . ac . za / dspace / </li></ul><ul><li>UPSpace is a university-based institutional repository which offers a set of services to the reseachers of the UP Community, for the management and dissemination of digital academic/research materials (excluding work of administrative or commercial nature) donated to or created by the institution and its community members. The set of services includes the collection, storage and preservation in digital format, and retrieval of items submitted to UPSpace. </li></ul>
  24. 26. Russia <ul><li>Central Economics and Mathematics Institute of Russian Academy of Sciences (institutional-mandate) </li></ul><ul><li>http://www. cemi . rssi . ru / </li></ul><ul><li>http:// socionet . ru /index-en.html </li></ul><ul><li>http:// cemi . socionet . ru / </li></ul><ul><li>http://www. cemi . rssi . ru / rus /news/ initiat -eng. htm </li></ul><ul><li>All researchers of the Central Economics and Mathematics Institute of Russian Academy of Sciences are mandated by director's decree to immediately deposit their papers/articles in the institutional Open Archive. [&quot;...mandate researchers of CEMI RAS to deposit all completed research (in working paper form), including the full text, in institutional OA (repository) not later than 6 months after completion.&quot;] </li></ul>
  25. 27. Ukraine <ul><li>Since January 2007 Ukraine has a law - proposed mandate for open access to publicly funded research. </li></ul><ul><ul><li>The Law of Ukraine On the principles of developing information society in Ukraine for 2007-20015 at www. rada . gov . ua </li></ul></ul>
  26. 28. Open Access – A Policy Issue <ul><li>Open Access policies are: </li></ul><ul><li>Welcomed by authors </li></ul><ul><li>Complied with by authors </li></ul><ul><li>Compatible with copyright and respect authors’ moral rights </li></ul><ul><li>Compatible with patent registration </li></ul><ul><li>Respectful of academic and intellectual freedoms </li></ul><ul><li>Aligned with the aims of most funding bodies and institutions </li></ul><ul><li>Effective! </li></ul>
  27. 29. Appealing to All the Major Stakeholders <ul><li>To the funders of researcher – both as a public service and as an increased return on their investment in research </li></ul><ul><li>To the authors – as it gives wider dissemination and impact </li></ul><ul><li>To readers – as it gives them access to all primary literature, making the most important ‘research tool’ more powerful </li></ul>
  28. 30. Appealing to All the Major Stakeholders <ul><li>To editors and reviewers – as they feel their work is more valued </li></ul><ul><li>To the libraries – as it allows them to meet the information needs of their users </li></ul><ul><li>To the institutions – as it increases their presence and prestige </li></ul><ul><li>To small and society publishers – as it gives them a survival strategy and fits with their central remit </li></ul>
  29. 31. Thank you ! Questions ? Iryna Kuchma iryna.kuchma[at]; www. eifl .net The presentation is licensed with Creative Commons Attribution 3.0 License