Open access policies: An overview


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Presented at Open Access and the Evolving Scholarly Communication Environment workshop, July 10 2012, Makerere University, Uganda

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Open access policies: An overview

  1. 1. Open access policies:An overviewIryna KuchmaOpen Access Programme ManagerOpen Access and the Evolving Scholarly CommunicationEnvironment workshop, July 10 2012, Makerere Attribution 3.0 Unported
  2. 2. OA policyUniversities & research funding agencies have beenimplementing OA policies since 2004.Institutional OA policy may be voluntary (e.g.requesting that researchers make their work OA inthe institutional repository) or mandatory (e.g.requiring that researchers make their work OA in theinstitutional repository).Mandatory policies do result in a high level of self-archiving which in turn provides a university with theincreased visibility and impact.
  3. 3. 500 000 unique users daily99% articles have been downloaded at least once25% of users from univrsity domains; 40% general public; 17% companies, governmental organizations
  4. 4. “Heidi Williams (MIT) has shown, in her study of the competition between Celera Corporation and theHuman Genome Project (HGP) to decode the humangenome, that providing increased public access to research results--as practiced by the HGP--not only resulted in more follow on research but infaster commercialization of the research through new products and services. (The 30% gains in follow-on research and commercialization attributed to the openness of the HGP process persists even today.) More follow-on research and faster commercialization increases economic growth and creates new jobs.”TESTIMONY OF ELLIOT E. MAXWELL BEFORE THE SUBCOMMITTEE ONINVESTIGATIONS AND OVERSIGHT OF THE COMMITTEE ON SCIENCE, SPACE AND TECHNOLOGY THE UNITED STATES HOUSE OF REPRESENTATIVES MARCH 29, 2012
  5. 5. World Bank OA Policy Requires that manuscripts published through the Bank, be both free to access online through the Bank’s Open Knowledge Repository and free ofrestrictions on their use (libre OA) from the time of deposition of the content. These manuscripts shall be published under the CC BY license
  6. 6. World Bank OA Policy (2) Requires that manuscripts published throughexternal publishers be free to access online (be published under the CC BY-NC-ND licenseunless the publisher accepts that the manuscript be published under the more liberal CC BY license), through the Bank’s Open Knowledge Repository, preferably without delay. If an external publisher requires an embargo period,the Bank will respect the requirement, but everyeffort should be made to limit the duration of the embargo (ideally, no more than 18 months)
  7. 7. “Open access to research is a must forthe competitiveness of Europe”Neelie Kroes, the EU Commissioner for Digital Agenda
  8. 8. OA in the European UnionChapter 2.5.2 of the Digital Agenda for Europe – Driving ICT innovation by exploiting the single market – refers to effectively managed knowledge transfer activities & states that publicly funded research should be widely disseminated through Open Access publication of scientific data & papers
  9. 9. OA in the European Union (2)Europe 2020 Flagship Initiative Innovation Union: the Commission will promote open access to the results of publicly funded research; & it will aim to make open access to publications the general principle for projects funded by the EU research Framework Programmes
  10. 10. OA in the European Union (3)Since August 2008 the European Commission (EC) is conducting a pilot initiative on OA to peer reviewed research articles in its Seventh Research Framework Programme (FP7). The EC requires grant recipients in 7 areas to "deposit peer reviewed research articles or final manuscripts resulting from their FP7 projects into an online repository & make their best efforts to ensure OA to these articles".
  11. 11. UN High Commissioner for Human RightsConsultation on the right to enjoybenefits of scientific progress & itsapplicationsThe rights of scientists & collaborativework
  12. 12. 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
  13. 13. 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.
  14. 14. 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.
  15. 15. Deposit what?The final version of the authors peer-reviewed manuscriptDataA citation and link to the publishededition
  16. 16. 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
  17. 17. Scope of policyFor simplicity & enforceability, follow theexample of most funding agencies:apply your OA policy to research youfund "in whole or in part"
  18. 18. 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.
  19. 19. What exceptions?Private notes, records not intended forpublication, classified researchPatentable discoveriesRoyalty-producing books
  20. 20. Legal basis: Twooptions1. Seek permission from publishers, and onlydistribute OA copies when succeed in obtainingit.2. Ask faculty to retain the right to provide OA onthe universitys terms (and grant the universitynon-exclusive permission to provide that OA),even if faculty transfer all their other rights topublishers.
  21. 21. Legal basisTo help faculty who may not understandcopyright law, or who do not want tonegotiate with publishers, the universityshould adopt an author addendum whichallows the author to retain the rightsneeded to implement the university policy.
  22. 22. Harvard approachSelf-imposition by faculty of an open-access policy according to which facultygrant a license to the university todistribute scholarly articles and committo providing copies of manuscriptarticles for such distribution
  23. 23. Harvard approach(2)In order to guarantee the freedom of faculty authorsto choose the rights situation for their articles, thelicense is waivable at the sole discretion of theauthor, so faculty retain control over whether theuniversity is granted this license. But the policyhas the effect that by default, the universityholds a license to articles, which can thereforebe distributed from a repository.
  24. 24. Harvard-style OA policies in Kenya Strathmore UniversityJomo Kenyatta University of Agriculture and Technology
  25. 25. Immediate Depositwith immediate OARequires authors to deposit their articles uponacceptance for publication, once the finalcorrections have been made, and to make theirarticles openly available immediately through therepository.However, because some journals do not permitimmediate OA, this type of policy has thedisadvantage that it restricts the choice ofjournals in which an author can publish.
  26. 26. Later deposit after theembargo periodRequires authors to deposit their articles afterpublication, at the end of the publishersembargo period.The advantage is that this complies with thepublisher requirements but the disadvantage isthat it delays OA and runs the risk that theauthor forgets to deposit the article so long afterpublication.
  27. 27. Immediate depositwith optional accessRequires immediate deposit, but if the article issubmitted to a journal with an embargo, then thepolicy permits access to be open only at the endof the embargo period.The advantage is that the policy complies withpublisher embargoes but at the same timeensures that all the required research outputsare compiled in the repository at the earliestopportunity that is, when the article has beenaccepted for publication and is in its final form.
  28. 28. Best practices & lessons learntDraft an open access policy based onthe models set by;Implementation should be part of thepolicy;Collaborations are important.
  29. 29. Best 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 theinstitutional repository or request the list in digital form with live links to OA copies in the institutional repository (Katholieke Universiteit Leuven, Labortoire de Psychologie et Neurosciences Cognitives (at the University of Paris - Descartes), Charles Sturt University, and the National Research Council Canada)
  30. 30. Berlin Declaration on OA to Knowledge in the Sciences & HumanitiesTo encourage researchers to make theirmaterials available in OA;To develop means and ways to evaluateOA contributions to maintain the standardsof quality assurance and good scientificpractice;To advocate that OA publications berecognised in promotion and tenureevaluation;
  31. 31. Berlin Declaration signatories in UgandaMakerere University (2011);Mbarara University of Science andTechnology (2012).
  32. 32. UP Open Scholarship Programme1. Theses and dissertations are available onlineand OA based on a policy of mandatorysubmission2. Research and conference papers are availableonline and OA and researchers actively contributebased on a policy of mandatory submission3. Researchers and students actively use OAmaterial
  33. 33. UP Open Scholarship Programme (2)4. Researchers publish in available OA journalsand the institution has policy and financial supportin place for that5. Researchers actively manage the copyright oftheir publications, inter alia with addenda to theircontracts or using Creative Commons contracts,and the necessary policy exists6. Publications from the institutionspress/publishing house are available in OA basedon policy
  34. 34. UP Open Scholarship Programme (3)7. The institution publishes its own online OAjournals OR provides infrastructure and support formembers of its community who are involved withsociety publishing8. Dissemination forms part of its publicationstrategies.
  35. 35. Open licensesInternational Livestock Research Institute (ILRI)adopted a proposal for the institute to use an‘open’ license for its published outputs.The aim is to encourage maximum uptake and re-use of ILRI’s research.Under this proposal, ILRI retains copyright overeach output. It also explicitly encourages widenon-commercial re-use of each output, subject tofull attribution of ILRI and the author(s), and use ofan equally open license for any derivative output.
  36. 36. Thank you! Questions?