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Understanding Open Access in the Academic Environment

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Understanding Open Access in the Academic Environment UNDERSTANDING OPEN ACCESS IN THE ACADEMIC ENVIRONMENT: A GUIDE FOR AUTHORS Kylie Pappalardo With the assistance of Professor Brian Fitzgerald, Professor Anne Fitzgerald, Scott Kiel-Chisholm, Jenny Georgiades and Anthony Austin Open Access to Knowledge (OAK) Law Project Legal Protocols for Copyright Management: Facilitating Open Access to Research at the National and International Levels Funded by the Australian Government Department of Education, Employment and Workplace Relations (DEEWR) A Systemic Infrastructure Initiative (SII) funded project and part of the Commonwealth Government’s Backing Australia’s Ability – An Innovation Action Plan for the Future Also available online at: http://www.oaklaw.qut.edu.au and http://www.oaklist.qut.edu.au June 2008 This work is licensed under an Australian Creative Commons Attribution-NonCommercial-ShareAlike 2.5 License <http://creativecommons.org/licenses/by-nc-sa/2.5/au> Preface This Guide - Understanding Open Access in the Academic Environment: A Guide for Authors - has been undertaken as an initiative of the DEEWR funded Open Access to Knowledge (OAK) Law Project and implements the recommendations of the OAK Law Project Report No. 1: Creating a Legal Framework for Copyright Management of Open Access Within the Australian Academic and Research Sector. It aims to provide academic authors with an overview of the concept of and rationale for open access to research outputs and how they may be involved in its implementation and with what effect. In doing so it considers the central role of copyright law and publishing agreements in structuring an open access framework as well as the increasing involvement of funders and academic institutions. The Guide also explains different methods available to authors for making their outputs openly accessible, such as publishing in an open access journal or depositing work into an open access repository. I am thankful to Ms. Kylie Pappalardo for developing this guide and to Professor Anne Fitzgerald, Messrs. Anthony Austin and Scott Kiel-Chisholm and Ms. Jenny Georgiades for assisting Kylie in this endeavour. I would also like to acknowledge the valuable support of QUT DVC Professor Tom Cochrane, DEEWR Director of Education, Innovation and Infrastructure Policy Ms. Margot Bell, Queensland Government Senior Lawyer Mr. Neale Hooper, QUT eResearch Access Coordinator Ms. Paula Callan and Ms. Wilma Mossink of SURF foundation. We hope that academic authors will find this guide a useful resource in understanding and implementing open access within Australia’s current research environment. Brian Fitzgerald Professor of Intellectual Property and Innovation (QUT) < http://www.ip.qut.edu.au > Project Leader for OAK Law Project < http://www.oaklaw.qut.edu.au > and Legal Framework for e-Research Project < http://www.e-research.law.qut.edu.au > May 2008 1 Purpose of this guide This guide aims to provide practical guidance for academic authors interested in making their work more openly accessible to readers and other researchers. The guide explains, in detail, the principles and features of the open access movement and outlines the benefits of open access, particularly those relating to dissemination, citation impact and academic reputation. It examines institutional repositories and open access journals as tools for implementing open access, and explains how they operate and how they can be best utilised by academic authors. The guide further considers how moves by funding bodies and academic institutions to mandate the deposit of research output into institutional repositories affects authors in today's publishing environment. The underlying law of copyright is also explained, with a practical emphasis on how authors can best deal with their legal rights to enable open access to their academic work. The guide outlines authors' options for providing open access to their work, including the use of copyright licences and open content models such as Creative Commons licences. A Copyright Toolkit is provided to further assist authors in managing their copyright. Importantly, the guide addresses how open access goals can affect an author's relationship with their commercial publisher. It provides guidance on how to negotiate a proper allocation of copyright interests between an author and publisher in order to allow an author to deposit their work into an institutional repository and reuse their work. The guide addresses both legal and non-legal issues related to maintaining a positive relationship with publishers while still ensuring that open access can be obtained. 2 Table of Contents Table of Contents..........................................................................................................................................3 Chapter 1: Introduction..............................................................................................................................6 Chapter 2: What is Open Access (OA)? ...............................................................................................7 2.1 Open access defined.................................................................................................................................... 7 Principles underlying open access................................................................................................................................................7 2.2 Why open access?........................................................................................................................................ 8 The ‘value of the researcher’ argument.....................................................................................................................................8 Public benefit arguments..................................................................................................................................................................9 Ethical and moral arguments.......................................................................................................................................................10 Pragmatic arguments.......................................................................................................................................................................12 “Self interested” arguments..........................................................................................................................................................12 2.3 How open access is achieved: the two different roads .....................................................................13 2.4 Developments in the open access movement.....................................................................................13 Key events in the OA movement (technology).....................................................................................................................14 Key events in the OA movement (policy)...............................................................................................................................14 The Bermuda Principles...........................................................................................................................................................................15 The Budapest Open Access Initiative.................................................................................................................................................15 The Bethesda Statement on Open Access Publishing..................................................................................................................16 The Berlin Declaration..............................................................................................................................................................................16 Self-archiving and OA repositories ...........................................................................................................................................17 OA publishing.......................................................................................................................................................................................18 Funding body mandates..................................................................................................................................................................18 Australian developments.................................................................................................................................................................19 Rights management ..........................................................................................................................................................................20 Chapter 3: Understanding copyright law......................................................................................... 22 3.1 What is copyright?.....................................................................................................................................22 3.2 Original expression in a material form...............................................................................................22 3.3 Works and subject matter other than works .....................................................................................22 3.4 Exclusive rights...........................................................................................................................................23 3.5 Copyright term...........................................................................................................................................24
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