Open access policies: The role of research libraries


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Open access policies: The role of research libraries

  1. 1. Open access policies: Therole of research librariesIryna KuchmaOpen Access Programme managerThe V International Open Access Week, the University ofTartu Library, October 27, Attribution 3.0 Unported
  2. 2. Scholarly Communications Officesupports Universitys research,teaching, & service mission byproviding guidance for faculty,students, & staff in matters relating tothe dissemination & use of knowledge
  3. 3. Scholarly Communications Officeris available for individual consultations& to offer workshops & presentations;also serves as a resource on local andnational policy in order to help theUniversity community stay informed &involved with the changing landscapefor scholarly work & publication
  4. 4. For Faculty Authorsinformation on managing the copyrightin their scholarly work (including journalpublication agreements)information about open accesspublishingconsultations on faculty resolutionscalling for changes in the complexsystem of scholarly publishing & formore open access to scholarly research
  5. 5. Talking points aboutmanaging the copyright
  6. 6. Practical guidance when submitting journal articlesIn order to maximize the value of the researchyou produce in digital environment, it isimportant for you to take an active role inmanaging the copyrights to your work.Copyright protection is automatic (at themoment the copyrighted work has been “fixed ina tangible medium,” such as when a writtenwork has been saved on a computers hard driveor printed).(From SPARC Introduction to Copyright Resources:
  7. 7. Practical guidance (2)When you publish in a journal you are typicallyasked by the publisher to sign a copyrighttransfer agreement, or contract, thatdescribes the assignment of various rights to thepublisher.Assigning your rights matters.The copyright holder controls the work.Transferring copyright doesn’t have to beall or nothing.(From Author Rights: Using the SPARC Author Addendum to secure your rights as theauthor of a journal article
  8. 8. A balanced approachAuthors: Retain the rights you want. Useand develop your own work withoutrestriction. Increase access for education& research. Receive proper attribution whenyour work is used. If you choose, deposit yourwork in an open access repository where itwill be permanently and openly accessible.(From
  9. 9. A balanced approach (2)Publishers: Obtain a non-exclusive rightto publish & distribute a work & receivea financial return. Receive properattribution & citation as journal of firstpublication. Migrate the work to futureformats & include it in collections.(From
  10. 10. Securing your rights1. The SPARC Authors Addendum preservesrights for broader use of your research:http://scholars.sciencecommons.org2. If your research is funded by the donor with anopen access mandate, the donor usually offerslanguage that modifies a publishers copyrightagreement to give you the rights to followdonors open access policy.(From SPARC Introduction to Copyright Resources:
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  13. 13. How OA benefits your work & careerDistribution & usageImmediate access to your research output foreveryone upon official publicationMore visibility & usageImmediate impact of your workIntensification of research through fastdissemination & use of research;Possibly a citation advantage as well
  14. 14. How OA benefits your work and career (2)Plus:Monitoring of your research outputPreservation of your research output by yourlibraryKeep your rights instead of signing themaway
  15. 15. “Michael Faraday’s advice to his junior colleague to:“Work. Finish. Publish.” needs to be revised. Itshouldn’t be enough to publish a paper anymore. Ifwe want open science to flourish, we should raise ourexpectations to: “Work. Finish. Publish.Release.” That is, your research shouldn’t beconsidered complete until the data & meta-data is putup on the web for other people to use, until the codeis documented & released, and until the commentsstart coming in to your blog post announcing thepaper. If our general expectations of what it means tocomplete a project & raised to this level, the scientificcommunity will start doing these activities as a matterof course.” (What, exactly, is Open Science? by Dan Gezelter:
  16. 16. Open access policy
  17. 17. How to startFAQ to inform discussions before adoption ofthe policy of open access & an institutionalrepositoryIs this policy unique?Impact of the policyInstitutional repository policy & the plannedservice model for assisting with depositVisit institutional repository
  18. 18. How to start (2)the Task Force, a group appointed by theProvost to explore issues related to theevolution of & support for new models ofdigital information use, management,dissemination, & preservation;includes representatives of all faculties, officeof Provost, library and university press
  19. 19. The Task ForceDraft an open access policy based on themodel set by others;Review the draft with many faculty &administrative governance groups;Revise the document based on feedback fromfaculty.Present & discuss the draft policy at theAcademic Council meeting.The goal: to adopt the policy with aunanimous vote
  20. 20. OA policy optionsVoluntary: requesting that researchers maketheir work OA in the institutional repositoryorMandatory: requiring that researchers maketheir work OA in the institutional repositoryMandatory policies do result in a high level ofself-archiving which in turn provides auniversity with the increased visibility andimpact.
  21. 21. Open access policyoptionsRequest or require?If you are serious about achieving OAfor the research you fund, you mustrequire it. (Peter Suber’s Open access policy options for funding agencies and universities
  22. 22. Green or gold?If you decide to request & encourage OA,rather than a mandate it, then you canencourage submission to an OA journal& encourage deposit in an OArepository as well, especially whenresearchers publish in a toll accessjournal.
  23. 23. Green or gold? (2)But if you decide to mandate OA, thenyou should require deposit in an OArepository & not require submission toan OA journal, even if it alsoencourages submission to an OAjournal.
  24. 24. Deposit what?The final version of the authors peer-reviewed manuscriptDataA citation and link to the publishededition
  25. 25. Deposit what? (2)Allow the deposit of unrefereed preprints,previous journal articles, conferencepresentations, book manuscripts, thejournals edited or published on campus,open courseware, administrative records,digitization projects from the library, theses& dissertations
  26. 26. Scope of policyFor simplicity & enforceability, follow theexample of most funding agencies:apply your OA policy to research youfund "in whole or in part"
  27. 27. What embargo?No more than six months.Any embargo is a compromise with thepublic interest; even when they arejustified compromises, the shorter theyare, the better.
  28. 28. What exceptions?Private notes, records not intended forpublication, classified researchPatentable discoveriesRoyalty-producing books
  29. 29. A legal basisTwo options for creating a legal basis todistribute open access copies of peer-reviewed manuscripts by their faculty:1. can seek permission from publishers, &only distribute open access copies whenthey succeed in obtaining it.
  30. 30. A legal basis (2)2. can ask faculty to retain the right toprovide open access on the universitysterms (& grant the university non-exclusivepermission to provide that open access),even if faculty transfer all their other rights topublishers.The second option can support open access for100% of the faculty research output, while the firstoption would support much less.
  31. 31. Some practicesWhen universities need to see a list of a faculty members recent journal publications (e.g. for promotion, tenure, or post-tenure review), they should either draw up the list from the institutional repository or request the list in digital form with live links to open access copies in the institutional repository.
  32. 32. Some practices (2)They should tell faculty that they will limit their review of journal articles to those on the list, unless the faculty member writes a special justification for the Dean.Policies along these lines are already in effect at Katholieke Universiteit Leuven, Labortoire de Psychologie et Neurosciences Cognitives (at the University of Paris - Descartes), Charles Sturt University, & the National Research Council Canada.
  33. 33. Some practices (3)Open access here means at least removing price barriers (making content free of charge).But when possible, the policy should remove permission barriers as well (making content free of unnecessary copyright & licensing restrictions).For example, the University of Auckland releases student theses and dissertations under Creative Commons licenses.
  34. 34. Supporting openaccess journals &booksOpen Journal System can be used to manage the open access journals.Or institutional repositories can provide hosting, publication & dissemination platform for the journals published on campus.Universities could create a fund to pay reasonable publication fees at fee-based open access journals (or subsidies to no-fee open access journals).
  35. 35. Open educationalresourcesA University library could support dissemination of open educational resources hosting them in the institutional repository.
  36. 36. Open dataA University library could support dissemination of open data hosting them in the institutional repository (e.g linked to the journal articles).
  37. 37. Repository managementBudget: Managing the repository budget &responding to user needs in line withresources;Strategic planning: Developing a strategy& costing for the future development of therepository;Fundraising: Sourcing fundingopportunities for repository projects;
  38. 38. Repository management (2)Workflows: Developing workflows tomanage the capture, description &preservation etc. of repository outputs;Personnel: Coordinating & managingactivities of repository personnel &coordinating repository development withassociated departments.
  39. 39. Content & usagePolicies: Developing a content policy for the repository;Quantity & quality: Increasing the amount & quality of items deposited in the repository;Collections & user satisfaction: Setting up test collections & running user satisfaction surveys to evaluate the service;
  40. 40. Content & usage (2)Deposit, download & other usage indicators: Monitoring deposit, download & other usage indicators to identify the impact & success of the repository & areas for improvement in the service; producing usage reports;
  41. 41. Content & usage (3)User expectations: Managing user expectations to ensure that expected service delivery is achievable; handling comments, complaints & relationships if service delivery does not meet user demand.
  42. 42. Advocacy, Training &Support, LiaisonAdvocacy programmes: Developing advocacy programmes to address the full spectrum of stakeholders to create a broad culture of engagement within the institution;Advocacy & publicity materials: for use within the institution e.g. webpages, guides, FAQs & presentations; institutional newsletters, seminars & email alerts etc;
  43. 43. Advocacy, Training &Support, Liaison (2)Training: Assessing the training needs of specific stakeholder groups within the institution; developing suitable training programmes & materials for those groups; organizing & running training sessions;Helpdesk: Answering queries & providing advice;
  44. 44. Advocacy, Training &Support, Liaison (3)Liaison (internal and external): Coordinating repository development with associated departments; liasing with a wide range of institutional departments & interest groups (e.g. students); promoting the repository outside the institution as a showcase of the institution’s work; liasing with external stakeholders in repository development
  45. 45. Based onThe SPARC Open Access Newsletter, issueissue #127 & #130 by Peter Suber: principles for university open accesspolicies:
  46. 46. Some more linksOpen Access Scholarly InformationSourcebook (OASIS):Developing an institutional OA policy: Optimal Open Access Policy forInstitutions (OASIS) – and FAQ:
  47. 47. Some more links (2)Repositório Científico de Acesso Aberto dePortugal (RCAAP) Open Access PoliciesToolkit: Campus Open Access Policies:
  48. 48. Thank you! Questions?