The document discusses the evolution and implementation of open access (OA) publishing, emphasizing that the focus has shifted from whether OA is beneficial to how it is implemented across various stakeholders, including national governments and research institutions. It outlines different types of OA, the policies influencing their adoption at various levels (national, funder, institutional), and highlights specific case studies such as the U.S. NIH's policies on OA. The conclusion presents two potential future scenarios regarding the role of publishers and the research community in shaping the OA environment.

1. Sarah L. Shreeves
University of Illinois at Urbana-Champaign
Special Libraries Association – Arabian Gulf Chapter 2014
March 25, 2014 - Doha, Qatar
INTERNATIONAL
DEVELOPMENTS IN OPEN
ACCESS:
An overview of trends at the national,
funder, and institutional levels
Open by Matt Katzenburger http://www.flickr.com/photos/matthileo/4826783509/ CC BY-NC-SA 2.0

2. Whether open access is
„good‟ is no longer the
question.

3. The question is how open
access will be
implemented and who will
make that decision.

4. Open access literature is
digital, online, free of charge,
and free of most copyright
and licensing restrictions.
- Peter Suber
DEFINITIONS

5.  Most open access discussions and activities are
focused on the peer-reviewed journal literature
 Open access can also apply to monographs,
conference papers and presentations, textbooks,
and other scholarly output
 Open access is a model seen across all disciplines,
but has the most activity in the sciences.
DEFINITIONS

6. TWO (AND A HALF) ROADS
TO OPEN ACCESS
Open Access
Publishing
(journals & books)
„gold‟ „hybrid‟
Archiving
(self, institutional,
disciplinary)
„green‟
Two Roads Were There by Simon Kirby
http://www.flickr.com/photos/1000/187984223/ (CC BY-NC-SA 2.0)

7. GRATIS and LIBRE
 Gratis: You can read it for free. Anything
else, you better ask permission.
 Libre: With credit given, OK to text-mine, re-
catalog, mirror for preservation, quote,
remix, whatever.
 Most OA is gratis. You get to “libre” via
Creative Commons licensing, usually.
Definitions from Dorothea Salo

8. POLICIES
National
Funder
Institutional
Sub-institutional

9. Governments
WHO ARE THE ACTORS?
Public
Libraries
Researchers
Research
funders
Publishers
Research
institutions
Business

10. Economic good
WHAT ARE THE DRIVERS?
Access
Sustainability
Wide
dissemination
Return on
Investment
Customer
demand
Increased
visibility
Innovation

11. INSTITUTIONAL
MANDATE/POLICY
• Often permission based (i.e. the faculty grant rights to
institution to make available research)
• Successful institutional policies:
• Come from the faculty themselves
• Include an opt out waiver
• Infrastructure support sits in the Library often
(usually through the use of an institutional
repository)
• Do not specify where faculty should publish
Widener Memorial Library by Mak506 http://www.flickr.com/photos/mak506/2771080083/ (CC BY-NC-SA 2.0)

12. SUB-INSTITUTIONAL POLICIES
- Some departments
/ research centers
- Most often focused
on electronic
theses and
dissertations

13. NATIONAL AND FUNDER POLICIES
 National policies are often essentially
funder policies (i.e. are put in effect via
the funders)
 Increasingly private funders – particularly
in medical sector – are instituting OA
policies

14. Nov 2013 – Argentina
passes law that requires
publicly funded research
to be made openly
available in a repository.
May 2012 - United
Kingdom Finch
Report that requires
OA with emphasis on
„gold‟
Feb 2013 – White
House issues a
directive to federal
agencies to require
open access
Dec 2013 – European
Commission requires OA
through Horizon 2020
Initiative.
See also national funders in
- Australia
- Canada
- Denmark
- Norway
- Peru
- Singapore….and more

15. CASE STUDY: OPEN ACCESS AT THE
NATIONAL LEVEL IN THE US
2005 US National Institutes of Health strongly
recommends OA to published research
2006 Introduction of the Federal Research
Publication Access Act (also 2010,2012)
2008 US NIH policy enacted into law as
requirement of funding
2011 Introduction of the Research Works Act
2012 Research Works Act loses support
2013 Introduction of Fair Access to Science
and Technology Act
2013 NIH starts to enforce compliance for OA
policy

16. February 2013
John P. Holdren, Director of the Office of
Science and Technology Policy (OSTP) of
the White House, issues a memorandum
directing all federal agencies with over
$100 million in research and development
expenditures to “develop a plan to support
increased public access to the results of
research funded by the Federal
Government.”

17. 2014 - Introduction of the Frontiers in Innovation, Research, Science and Technology
Act (FIRST)
HOW WILL THE OSTP DIRECTIVE BE
IMPLEMENTED?
 The Clearinghouse for the Open Research of the United
States (CHORUS) from a group of over 100 publishers and
related organizations. See http://chorusaccess.org/.
 Shared Access Research Ecosystem (SHARE) from the
Association of Research Libraries (ARL), the Association of
American Universities (AAU), and the Association of Public
and Land-grant Universities (APLU). See
http://www.arl.org/focus-areas/public-access-
policies/shared-access-research-ecosystem-share
 Or ????

18. What‟s next?

19. I see two possible scenarios, one in
which publishers effectively appropriate
OA to their own ends, another in which
the research community takes charge
and oversees the development of an OA
environment more suited to its needs
than the needs of publishers.
– Richard Poynder, March 2014

20. Questions?
Comments?
sshreeve@illinois.edu

21. Title Slide: Open by Matt Katzenburger
http://www.flickr.com/photos/matthileo/4826783509 / under a CC BY-NC-SA 2.0
Two Roads Were There by Simon Kirby http://www.flickr.com/photos/1000/187984223 /
(CC BY-NC-SA 2.0)
Widener Memorial Library by Mak506
http://www.flickr.com/photos/mak506/2771080083 / (CC BY-NC-SA 2.0)
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