Presentation at “Open Access, Knowledge Sharing and Sustainable Scholarly Communication in Mongolia” seminar, December 11, 2014, Open Society Forum

1. Open access
policies
Iryna Kuchma
Open Access Programme Manager
www.eifl.net Attribution 3.0 Unported

2. Open access
repository policies
Institutional open
access policies
Attribution 4.0 International

3. Operational
policies

4. Types of policies
1. Content policy (defining the type of content that will
be stored in your repository)
2. Submission policy (defining the policy for getting
content into the repository)
3. Data re-use policies (how the content in your
repository can be used by others)
4. Preservation policy (how you define the preservation
approach for your repository)
5. Take-down policy (to deal with disputes over items
that have been submitted)

5. Content policy intro
The [repository title] is an OA repository with a set of
services to capture, store, index, and provide access to
scholarship produced by [name of the institution]. The
repository, coordinated by [name of the university
department that coordinates the project] offers
worldwide access to a wide variety of works:
conference proceedings, monographs, book chapters,
peer-reviewed journals and articles, publicly funded
research, reports, theses and dissertations, working
papers and learning objects are some examples of the
scholarly output represented in the repository.

6. Sample policy intro
(2)
Powered by [software which you use], the aim of the
repository is to improve dissemination and visibility of a
variety of scholarly materials throughout the academic
communities and general public and to provide a free
and persistent point of access. The Repository provides
a robust, statewide platform for saving, discovering and
sharing—free of charge—the instructional, research,
historic and creative materials produced by [name of
the institution].

7. 1. Content Policy
Deposited items may include: working drafts;
submitted versions (as sent to journals for
peer-review); accepted versions (author's final
peer-reviewed drafts); published versions
(publisher-created files)
Items are individually tagged with: their version
type and date; their peer-review status; their
publication status.

9. 2. Submission policy
1. Items may only be deposited by accredited
researchers based at any participating
university, college or research organization, or
their delegated agents.
2. Authors may only submit their own work for
archiving.
3. Submitted items are not vetted by the
administrator.

10. 2. Submission policy
(2)
4. The validity and authenticity of the content of
submissions is not checked.
5. Items can be deposited at any time, but will
not be made publicly visible until any
publishers' or funders' embargo period has
expired.

11. 2. Submission policy
(3)
6. Any copyright violations are entirely the
responsibility of the authors/depositors.
7. If the repository receives proof of copyright
violation, the relevant item will be removed
immediately.

12. 3. Data re-use policies
(metadata policy and
data policy)
This repository is not the publisher; it is merely the
online archive.

15. 4. Preservation
policy
1. Items will be retained indefinitely.
2. Repository will try to ensure continued
readability and accessibility.
 It may not be possible to guarantee the
readability of some unusual file formats.
3. Repository regularly backs up its files
according to current best practice.

16. 5. Take-down policy
1. Items may be removed at the request of the
author/copyright holder.
2. Acceptable reasons for withdrawal:
Journal publishers' rules
Proven copyright violation or plagiarism
Legal requirements and proven violations
National Security
Falsified research

17. 5. Take-down policy
(2)
3. Withdrawn items are not deleted per se, but are
removed from public view.
4. Withdrawn items' identifiers/URLs are retained
indefinitely.
5. URLs will continue to point to 'tombstone' citations,
to avoid broken links and to retain item histories.
6. In the event of repository being closed down, the
database will be transferred to another appropriate
archive.

18. Reference
Repository Support Project: Policies & legal issues:
http://bit.ly/H74zAq

19. Open access
policies and
mandates

20. Deposit what?
The final version of the author's peer-
reviewed manuscript
Data
A citation and link to the published edition

21. Deposit what? (2)
Allow the deposit of unrefereed preprints,
previous journal articles, conference
presentations, book manuscripts, the journals
edited or published on campus, open
courseware, administrative records,
digitization projects from the library, theses &
dissertations

22. Scope of policy
For simplicity & enforceability, follow the
example of most funding agencies: apply your
OA policy to research you fund "in whole or
in part"

23. What exceptions?
Private notes, records not intended for
publication, classified research
Patentable discoveries
Royalty-producing books

24. Good practices
When universities need to see a list of a faculty
member's 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 OA copies in the
institutional repository

26. References (2)
ROARmap: http://roarmap.eprints.org/
Ten years on from the Budapest OA Initiative: setting the
default to open: http://bit.ly/Q2ucDE
Peter Suber: OA policy options for funding agencies
and universities: http://bit.ly/1Tp1KV
Good practices for university OA policies by Stuart
Shieber & Peter Suber: bit.ly/goodoa
Policy Guidelines for the Development and Promotion
of OA by Alma Swan comissioned by UNESCO:
http://bit.ly/HnibYc

27. Thank you! Questions?
iryna.kuchma@eifl.net