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Adopting and Implementing an Open Access Policy: The Library's Role


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The faculty at Allegheny College are on the verge of adopting an open access policy. The library has been influential in its creation and will be integral in its implementation. The first part of this presentation will introduce the College’s open access policy. It will discuss the faculty’s concerns and final decision making process. The library’s role in the formation of this policy will be analyzed. The second part of this presentation will focus on implementation, especially the library’s institutional repository (IR). Allegheny’s IR is a ‘dual-purpose system’. It includes content available to all users (e.g., digitized manuscripts) and content available only to Allegheny affiliated users (e.g., classified administrative documents). This approach has been beneficial, affirming the importance of IRs to the campus and scholarly communications. Such duality, however, may pose new obstacles for carrying out Allegheny’s open access policy. Additional implementation issues will be considered.Presenter: Brian Kern, Allegheny College

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Adopting and Implementing an Open Access Policy: The Library's Role

  1. 1. Adopting and Implementing anOpen Access Policy: The Library’sRoleBrian KernHead of Technical ServicesPelletier
  2. 2. Outline• Institutional profile• Adopting the policy• Implementing the policy• Conclusion: Lessons Learned
  4. 4. About Allegheny College• Small residential liberal arts college located innorthwestern Pennsylvania– No graduate or online programs– ‘Traditional’ student population– Enrollment (2012-13) = 2140– Faculty (2012-13) = 200• Small number of grants
  5. 5. About Pelletier Library• Staff: 16.5 (FTE)• Current # of journals: 12,143– 358 subscriptions (print and / or online)– 27 package deals– 97% of our journalscome from a package deal• 1/3 of entire budget spenton journals
  6. 6. • Journal cancellations in 2004 and 2010– Over 2/3 of collection has been cut in last decade– Preference for publisher deals when they makeeconomic sense• Advocating for open access is a primary goalof the library.
  7. 7. Open Source Software• DSpace: open source institutional repository– Hosted and supported by a third party vendor• Also using open source software for learningmanagement system (LMS), ERM, and serialsmanagement.
  9. 9. Allegheny’s Open Access Policy• Officially adopted by the faculty on March14, 2013.• Developed by a faculty committee whosecharge includes sabbatical requests and localfunding for research projects.•
  10. 10. Policy• Permission based policy– “Harvard-style policy”– Faculty gives College nonexclusive right to maketheir work available through Open Access– Early drafts of the policy were ‘encouragementpledges’• No specifics about implementation in thepolicy
  11. 11. Waiver• Policy states it will be automatically granted• Waivers are necessary when– Embargo– Publisher prohibits participation– Author does not want to participate• No restrictions on where to publish• Encouraged to remove restrictive languagefrom contracts
  12. 12. Closed Archive• Despite obtaining a waiver, the article still hasto be archived– “Closed” archive where only the author can accessthe article
  13. 13. Scholarly articles• Only interested in peer-reviewed articles, notconference proceedings, etc.• There is no stipulation on what form thearticle is– Published article– Prior to peer-review (preprint)– After peer-review, but before publication(postprint)• Contracts with publisher dictates the form
  14. 14. Exceptions• No obligation to self-archive articles writtenprior to the adoption of this policy• No need to renegotiate licenses prior to theadoption of this policy
  15. 15. Funding• Library offers $3,000 funding for open accessfees• Provost matching $3,000 funding• Hope is to carry over unused funds to build upthe fund (maximum $12,000)
  16. 16. Role of the Library• Indirect– Journal cancellations– Marketing through newsletters– Speaking at committee meetings• Direct– Implementing the policy
  18. 18. Staff and setup• Setup– Website– DSpace (Institutional Repository)• Staffing– Library director: website and policy questions– Instructional technologist: website and copyrightissues– Head of Technical Services: DSpace– Student assistant
  19. 19. Website• Policy• FAQ• Author addendums• Waivers• Funding requests• Terminology and related information
  20. 20. DSpace• Faculty Scholarship collection–• Faculty will submit articles through DSpace– Basic citation information– Abstract– Embargo– Files• Submissions are reviewed/accepted andadditional metadata is added
  21. 21. People and Places• Monthly e-mail newsletter / blog of studentand faculty publication, proceedings, andother scholarly achievements– Library uses this resource to identify and acquirefaculty publications such as books and articles– Most faculty are used to contributing to thissource–
  22. 22. CHALLENGES: IR, OAI & GOOGLEImplementing an Open Access Policy:
  23. 23. Building the Repository• Adding faculty articles that were already OAprior to enactment of the policy– Initial focus on published articles that are OA• Using Stephen X. Flynn’s code for seeking outOA articles• See his ACRL poster / blog entry at
  24. 24. DSpace @ Allegheny• Implemented DSpace in 2009• Hybrid repository– ‘part open, part closed’ (Crawford, 17)– Senior Projects and College Committee minutesare limited to Allegheny users– Special Collections, Departmentalcollections, College Newspaper (The Campus), andOA articles are open to the world•
  25. 25. Open Collections• The Documents of Ida M. Tarbell– Online collection started in 2009– Supported by NEH grant– 14,500 records and still growing– All metadata and image files available to the world
  26. 26. Closed collections• Senior Projects– Started in 2009– Voluntary, unless department mandates– No metadata or projects are available to the world• Necessary for the project to get off the ground– Library acquires permission from students tomake projects available to Allegheny users and theworld
  27. 27. “Hybrid access, not open access…”• Three ways DSpace exposes metadata1. Google crawlers2. Google Scholar Metadata MappingIndexing in Google
  28. 28. ExampleGoogle Scholar• google.citation_title• google.citation_journal_title• google.citation_volume• google.citation_firstpageDSpace• dc.title• dc.relation.ispartof• dc.citation.volume• dc.citation.spage
  29. 29. “Hybrid access, not open access…”• Three ways DSpace exposes metadata1. Google crawlers2. Google Scholar Metadata Mapping3. Open Archives Initiative (OAI)
  30. 30. Metadata Exposure at Allegheny• Allegheny has implemented– Google crawlers– Google Scholar Metadata Mapping• Allegheny cannot implement OAI– Closed collections• This is not an issue for us, but…
  31. 31. • Most discovery platforms rely on OAI– Allegheny does not have a discovery platform• Limiting our ability to make OA articlesavailable to the world• Fortunately, users can access our OAcollections through Google
  32. 32. Opportunities• A new version of DSpace will– fix the OAI issue– introduce new embargo capabilities• ‘Restricted’ metadata will likely go away• OA has forced Allegheny and DSpace toimprove their systems.
  33. 33. LESSONS LEARNED (IN 86 DAYS)Conclusion
  34. 34. Adopting an OA Policy• Allegheny’s open access policy is dependenton:– Faculty with a passion to see open access a reality– Library keeping faculty informed of the issues• Funding plan was our most urgent need• “It’s not about us…”– It’s about author rights!
  35. 35. Implementing a policy• Make sure plans for submitting articles are inplace• Help faculty comply with the policy– Don’t expect faculty to be copyright lawyers– Use existing resources• People and Places• SHERPA / RoMEO
  36. 36. • Keep the submission process simple– IR– E-mail– Whatever is convenient for them• Expose your collection!
  37. 37. Acknowledgements• Linda Bills, Director of the Library, AlleghenyCollege• Academic Support Committee at AlleghenyCollege– Dr. Bradley Hersh, chair• Ellen Finnie Duranceau, Program Manager forScholarly Publishing & Licensing, MIT Libraries• Stephen X. Flynn, Emerging TechnologiesLibrarian, College of Wooster
  38. 38. ReferencesAllegheny College DSpace Repository.[accessed May 11, 2013].Allegheny College Open Access Policy. [accessed May 11, 2013].Bills, Linda. Open Access Journals: Reclaiming Scholarship. @theLibrary2.0 1, no.1 (Fall 2011): n.p.Crawford, Walt. Open Access: What You Need to Know Now. ALA EditionsSpecial Reports. Chicago: American Library Association, 2011.Duranceau, Ellen Finnie and Sue Kriegsman. Implementing Open AccessPolicies Using Institutional Repositories. In The InstitutionalRepository: Benefits and Challenges, ed. Pamela Bluh and CindyHepfer, 75-97. Association for Library Collections & TechnicalServices, 2013. [accessed May 11, 2013].
  39. 39. References (cont).EBSCO. Serials Price Projections for 2013.Flynn, Stephen X. “Kickstart your Institutional Repositorywith Content from Publishers.” Poster presented atAssociation for College and Research Libraries (ACRL)2013 Conference, Indianapolis, IN, April 11, 2013. [accessed May 11, 2013].Google. Google Scholar: Inclusion Guidelines forWebmasters. [accessed May 11, 2013].Suber, Peter. Open Access. MIT Press Essential KnowledgeSeries. Cambridge, MA: MIT Press, 2012.