The document discusses open access publishing options, policies, and best practices. It begins with definitions of open access and describes the conventional publication cycle versus open access models. It outlines the green road of self-archiving and gold road of open access journals. It discusses policies from ETH Zurich, Switzerland, and funders like SNSF regarding open access mandates and compliance options. It notes challenges in transitioning to more open access publishing.

1. ||ETH-Bibliothek
vmitet Career Event, 18th October 2017
18.10.2017Barbara Hirschmann 1
Open Access Publishing
Options, Policies, Best Practices

2. ||ETH-Bibliothek
1. Introduction to Open Access
2. How does is work?
 Green Road
 Gold Road
3. Policy framework
4. ETH Zurich’s Research Collection
18.10.2017Barbara Hirschmann 2
Agenda

3. ||ETH-Bibliothek
1. Introduction
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4. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 4
What is Open Access?
«Open access […] literature is digital, online, free of charge,
and free of most copyright and licensing restrictions.»
(Peter Suber, 2012)
without costs for the readeraccessible
possibility to reuse
• Download
• Copy
• Distribute
• Print
• Textmining
• …

5. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 5
Conventional publication cycle
Author
(as producer)
Publisher
Bookseller
/ library
supplier
Library
Author
(as recipient)

6. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 6
Conventional publication cycle
Author
(as producer)
Publisher
Bookseller
/ library
supplier
Library
Author
(as recipient)
Peer Review
Layout &
Copy-editing
Distribution
Selection &
Acquistion
Delivery
Paid by
taxpayer
Paid by
taxpayer

7. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 7
Journal price increases compared to Consumer Price Index
Annual US journal price increases compared to Consumer Price Index (CPI).
Source: Tillery, Kody (2013). 2012 Study of Subscription Prices for Scholarly Society Journals. Allen Press,
Inc. Retrieved on 18 March 2016 from: http://allenpress.com/system/files/pdfs/library/2012_AP_JPS.pdf.

8. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 8
Publisher profit margins
Company Profit margin
Elsevier 39%
Springer 34%
Wiley 42%
Company Profit margin
Microsoft 20%
Google 17%
McDonalds 19%
“Publishing obscure academic journals is that rare thing in the media
industry: a license to print money.” (The Economist, 14 April 2012)

9. ||ETH-Bibliothek
 Increased visibility, fast access
 Authors retain copyright
 Greater research efficiency
through early discussion of
results
 Promotes international and
inter-disciplinary cooperation
 Publicly-funded research
results should be publicly
available
 …
 A solution for the «serials
crisis»?
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Why Open Access?
How would you rate a complete
transformation of academic publishing
towards an OA-based model?
ETHZ open
access
survey 2017

10. ||ETH-Bibliothek
2. How does it work?
18.10.2017Barbara Hirschmann 10

11. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 11
Self-archiving (Green Road)
Author
(as producer)
Publisher
Bookseller
/ library
supplier
Library
Author
(as recipient)
Peer Review
Layout &
Copy-editing
Distribution
Selection &
Acquistion
Delivery
Publication in
Repository

12. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 12
Self-archiving (Green Road)
Institutional
Repository
Disciplinary
Repository
OpenDOAR
(Directory of Open Access Repositories)
Academic
Networking Site
Multidisciplinary
Repository • Commercial start-up
• No copyright
clarification at upload
• Currently brought to
court by Elsevier &
ACM due to massive
copyright
infringements
• Not-for-profit
• All uploads checked
against publishers’
copyright regulations

13. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 13
Self-archiving: copyright issues
 Subscription publishers usually require authors to transfer copyright or grant
them an exclusive license to publish their work
 But: They also usually allow some sort of self-archiving
 after a certain period of time (embargo)
 if you do not upload the publisher’s PDF but a manuscript version of the paper
(no publisher layout & logo)
 Where to look up the regulations?
 SHERPA/RoMEO Database: http://www.sherpa.ac.uk/romeo
 Publisher/journal website
 Copyright transfer agreement

14. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 14
Which format?
• Usually Postprint
(= author’s manuscript
after peer review)
When?
• Possible embargos
between 2 and 36
months
Where?
• Author’s website
• Institutional repository
• Disciplinary repository

15. ||ETH-Bibliothek
 What is an OA journal?
 Quality Control (Peer Review)
 Different funding mechanisms
 Article Processing Charges
 Institutional, society, library funding
 Author retains Copyright (standard licence: CC-BY)
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Open access journals (Gold Road)

16. ||ETH-Bibliothek
 Is the journal indexed in DOAJ (Directory of Open Access Journals)?
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How to assess the quality of OA journals

17. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 17
DOAJ: Tick / Seal
Journals that were accepted in to DOAJ
after March 2014 when DOAJ launched
its new criteria for journals to be
accepted in to DOAJ. The new criteria
require a higher level of compliance to
best practices and publishing standards.
Journals that do not have The Tick are in
the process of reapplying under the new
criteria.
Journals that achieve a high level of
openness, adhere to Best Practice and
high publishing standards.

18. ||ETH-Bibliothek
 Did someone leave a review on QOAM (Quality Open Access Market)?
 Is the publisher a member of OASPA (the Open Access Scholarly Publishers
Association) or COPE (the Committee on Publication Ethics)?
 Have a look at the journal’s website:
 Does the journal conduct a peer review process?
 Are acknowledged scientists among the authors and editorial board members?
 More tips: http://thinkchecksubmit.org
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How to assess the quality of OA journals

19. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 19
OA journals: How much does it cost?
Journal APC Impact factor 2016
€ 735
-
€ 1’560 3.786
€ 2’460 9.797
€ 3’700 13.092

20. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 20
OA journals: institutional funding
 ETH Library covers APCs if
 Corresponding author is affiliated with ETH Zurich
 Article is published in a fully OA journal of one of the following publishers:

21. ||ETH-Bibliothek
 Not financed by ETH Zurich nor most research funders!
 For example:
 Spinger OpenChoice
 Wiley Online Open
 IEEE Hybrid Journals
 …
18.10.2017Barbara Hirschmann 21
Subscription journals with OA option («Hybrid journals»)
Subscription fees
Publication fees (APCs)
«Double Dipping»

22. ||ETH-Bibliothek
3. Policy framework
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23. ||ETH-Bibliothek
 Adopted by swissuniversities General Assembly in January 2017
 Goal: all publicly funded publications must be freely accessible by 2024
 Action items:
 Adopting and aligning OA policies
 Negotiations with publishers
 Coordinating and pooling resources
 Alternative forms of publishing
 Communicating and raising awareness
 Supportive regulatory framework
 National monitoring
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Open Access in Switzerland: National Strategy
Take-away for individual
researchers:
 Action items mostly directed at
Swiss institutions
 Institutions and research funders
come up with or update their own
policies
 Researchers have to comply with
institutional/funder policies

24. ||ETH-Bibliothek
 2006 ETH Zurich signs Berlin Declaration on Open Access to Scientific
Knowledge
 2008 ETH Zurich adopts Open Access policy
 Requires staff to post electronic copies of research papers to ETH institutional
repository
 Encourages staff to publish in open access journals
 Mandates that all doctoral theses must be deposited in ETH institutional
repository
 2013 ETH Zurich adopts “no-waiver policy” for doctoral theses
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Open Access at ETH Zurich I

25. ||ETH-Bibliothek
 2015 ETH Zurich signs LERU statement for the 2016 Dutch EU
Presidency (“Christmas is Over”)
 2017 Online survey among scientific staff at ETH Zurich
 2018 New open access policy to be adopted
18.10.2017Barbara Hirschmann 25
Open Access at ETH Zurich II

26. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 26
Open Access in EC-funded projects
Regulation
OA mandatory for • Peer-reviewed publications
Requirement • Deposit paper in repository
Max. embargo period
• STM: 6 months
• HSS: 12 months
Funding for OA articles
• APCs for OA journals can be
claimed as project expenses
• FP7 post-grant Open Access
funding available
How to comply (3 options):
• Publish in OA journal
• Publish in subscription journal
with max. 6 months embargo
• Publish in subscription journal
with longer embargo, and pay
for immediate (hybrid) OA
In all 3 cases:
• Deposit paper in the Research
Collection
• Inlude the Grant ID in the
metadata form

27. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 27
Open Access in SNSF-funded projects
Regulation
OA mandatory for
• Journal articles
• Book publications
Requirement • Deposit paper in repository
Max. embargo
period
• Articles: 6 months
• Books: 24 months
Funding for OA
articles
• APCs of up to CHF 3’000 can be claimed
as project costs
• No hybrid journals
Funding for OA
books
• Yes, via project budget or independent
publication grant
How to comply (3 options):
• Publish in OA journal
• Publish in subscription journal
with max. 6 months embargo
• Publish in subscription journal
with longer embargo, and pay
for immediate (hybrid) OA
In all 3 cases:
• Deposit paper in the Research
Collection
• Inlude the Grant ID in the
metadata form

28. ||ETH-Bibliothek
• APC without upper limit
• Funding of Gold OA Publications independent of project duration
• Systematic Monitoring of OA Compliance
• Sanctions for Non-Compliance
• …
18.10.2017Barbara Hirschmann 28
New SNSF policy to be announced within the next months

29. ||ETH-Bibliothek
• Open Access publishing is developing steadily, but slowly
• The financial aspects of Gold Open Access are not solved
• Can financial savings be achieved? Who will finance additional costs during the “transition
period”?
• Green Open Access probably not to become a standard if it does not come
with strong enforcement mechanisms
• The current academic reward system is a major barrier for change in the
scholarly publication system
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Challenges

30. ||ETH-Bibliothek
4. Research Collection
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31. ||ETH-Bibliothek
 Publication directory /
university bibliography
 Open access repository
 Research data repository
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Research Collection: «3 in 1»
www.research-collection.ethz.ch

32. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 32
Publication directory / university bibliography
Websites (AEM)
Annual Academic
Achievements

33. ||ETH-Bibliothek
 Publish original works (e.g. reports, presentations, theses…)
 Self-archive scientific papers (Green OA)
18.10.2017Barbara Hirschmann 33
Open access repository
Publisher version Open access version

34. ||ETH-Bibliothek
• Publish, share or archive your research
data
• As supplementary material
or stand-alone publication
• All file formats allowed
• Retention periods:
10 years / 15 years / indefinite
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Research data repository

35. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 35
Automatic & manual ingest
Manual input
form
Web of Science /
Scopus: daily
automatic updates
Input form
DOI query
Batch import:
BibTex / RIS
New item in Research Collection

36. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 36
Upload fulltexts / add organisational code / suggest edit

37. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 37
Access rights for full texts / data files
Open access Embargoed ETHZ users Selected users Closed access
Publications  
Research data     

38. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 38
Citable DOIs & DOI preview option

39. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 39
Citation counts / Altmetrics / Download statistics

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Linking
between
publications
and
datasets

41. ||ETH-Bibliothek 18.10.2017Barbara Hirschmann 41
Step-by-step instructions

42. ||ETH-Bibliothek
 Copyright questions re. OA publishing
 Advise re. SNF and EU open access
and open data requirements
 APC funding for OA journals
 Data management and digital curation
 ORCID at ETH Zurich
 …
18.10.2017Barbara Hirschmann 42
The ETH Library’s E-Publishing & Digital Curation services
Research Collection
www.research-collection.ethz.ch
Open Access at ETH Zurich
www.library.ethz.ch/open-access
Digital Curation at ETH Zurich
www.library.ethz.ch./digital-curation

43. ||ETH-Bibliothek
Contact
Barbara Hirschmann
E-Publishing Product Manager
barbara.hirschmann@library.ethz.ch
Tel. 044 632 06 90
18.10.2017Barbara Hirschmann 43
Thank you! – Questions?