United Nations Cultural Organization

Policy Guidelines FOR THE DEVELOPMENT AND PROMOTION OF OPEN ACCESS Communication and Information Sector

United Nations Cultural Organization

Policy Guidelines FOR THE DEVELOPMENT AND PROMOTION OF OPEN ACCESS

by Alma Swan Open Guidelines Series

Published by the United Nations Educational, Scientific and Cultural Organization 7, place de Fontenoy, 75352 Paris 07 SP, France

© UNESCO 2012.

Available in Open Access to copy, distribute and transmit the work for non-commercial purposes with appropriate attribution to the work. Some rights reserved for adaptation and derivative works. Permission must be taken from UNESCO for commercial use. Adaptation and derivatives of the work should not carry the UNESCO logo, and UNESCO shall not be responsible for any distortion of facts therein. Distortion, mutilation, modification of a Work leadingto derogatory action in relation to the author of the work, the Work, and reputation of UNESCO and its Member States will be treated as breach of the Open Access provision. The person/institution responsible for the adaptation/derivative work shall be responsible for legal action, if any, and shall indemnify UNESCO from any liability arising out of such action.

ISBN 978-92-3-001052-2

The designations employed and the presentation of material throughout this publication do not imply the expression of any opinion whatsoever on the part of UNESCO concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries.

About the Author: Dr. Alma Swan, a leading expert in scholarly communication and Open Access, is Director of Key Perspectives Ltd, United Kingdom.

The author is responsible for the choice and the presentation of the facts contained in this book and for the opinions expressed therein, which are not necessarily those of UNESCO and does not commit the Organization.

Acknowledgements: We would like to acknowledge the support of the Open Access Community members at the WSIS Knowledge Communities for their support in providing critical comments on the draft document. We also acknowledge reproduction permissions received for the following:

Graphics: 1. Figure 7: Growth of mandatory policies on Open access (data for year 2006 onwards shown by year-quarter) Source: ROARMAP in Page 45 Texts: 2. The texts related to Wellcome Trust Open Access Policy in Appendix 1, Page 62 3. The texts related to NIH Policy in Appendix 1, Page 62-63 4. The texts related to University of Leige policy in Appendix 1, Pages 64-65 5. The texts related to University of Pretoria policy in Appendix 1, Page 65 6. The texts related to Harvard University policy in Appendix 1, Pages 65-68 7. The texts related to Strathmore University policy in Appendix 1, Pages 68 8. The texts related to Queensland University of Technology in Appendix 1, Pages 68-69 9. The texts related to University of Southampton in Appendix 1, Pages 69

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CLD 412.12 FOREWORD

As stated in its Constitution, UNESCO is dedicated to ‘maintain, increase and diffuse knowledge’. Therefore, part of its mission is to build knowledge societies by fostering universal access to information and knowledge through information and communication technologies (ICTs). The Knowledge Societies Division of the Communication and Information Sector is engaged in promoting multilingualism in cyberspace, access to information for people with disabilities, developing national policies for the information society, preservation of documentary heritage, and use of ICTs in education, science and culture, including Open Access to scientific information and research. Open Access is at the heart of the overall effort by the Organization to build peace in the minds of men and women.

Through Open Access, researchers and students from around the world gain increased access to knowledge, publications receive greater visibility and readership, and the potential impact of research is heightened. Increased access to, and sharing of knowledge leads to opportunities for equitable economic and social development, intercultural dialogue, and has the potential to spark innovation. The UNESCO Open Access strategy approved by the Executive Board in its 187th session and further adopted by the 36th General Conference identified up-stream policy advice to Member States in the field of Open Access as the core priority area amongst others. These policy guidelines are the result of an iterative process undertaken by the UNESCO Secretariat and Dr. Alma Swan, a leading expert in the field of Open Access, to revise the preliminary report based on the online consultation undertaken in the Open Access Community of the WSIS Knowledge Communities for peer review in September 2011.

I believe that this comprehensive document will be broadly useful to decision- and policy-makers at the national and international levels. However, it should be stressed that they are meant to be strictly advisory; they are not intended as a prescriptive or normative instrument. Further, I hope that this publication will also serve as a reference point for all stakeholders to clarify basic doubts in the field of Open Access. I encourage you to provide us your feedback and comments based on your experience of applying the ideas covered in this publication to further improve it in future editions.

Jānis Kārkliņš Assistant Director-General for Communication and Information, UNESCO

3 TABLE OF CONTENTS

FOREWORD by Jānis Kārkliņš 3

INTRODUCTION by Sanjaya Mishra 6

EXECUTIVE SUMMARY 10

SECTION 1. THE DEVELOPMENT OF OPEN ACCESS TO SCIENTIFIC INFORMATION AND RESEARCH 13 1.1 The development of scientific communication 13 1.2 The development of Open Access to scientific information 14 1.3 Defining Open Access 15 1.4 Target content for Open Access 18

SECTION 2. Approaches to Open Access 20 2.1 Open Access repositories: the ‘green’ route to Open Access 20 2.2 Open Access journals: the ‘gold’ route to Open Access 22

SECTION 3. THE IMPORTANCE OF OPEN Access 24 3.1 Access problems 24 3.2 Levels of Open Access 26 3.3 Open Access in the wider ‘open’ agenda 27

SECTION 4. THE BENEFITS OF OPEN Access 28 4.1 Enhancing the research process 28 4.2 Visibility and usage of research 28 4.3 Impact of research 29

SECTION 5. BUSINESS MODELS 30 5.1 The context: traditional business models in scientific communication 30 5.2 New business models in scientific communication 30 5.3 Open data 34 5.4 System costs 34

SECTION 6. COPYRIGHT AND LICENSING 36 6.1 Copyright and Open Access 36 6.2 Licensing 38 SECTION 7. STRATEGIES TO PROMOTE OPEN ACCESS 41 7.1 Policy-focused strategies 41 7.2 Advocacy-based strategies 42 7.3 Infrastructural approaches 42 7.4 Organisations engaged in promoting Open Access 43

SECTION 8. POLICY FRAMEWORK FOR OPEN Access 45 8.1 Development and growth of policies 45 8.2 Policy issues 45 8.3 A typology of policies 50

SECTION 9. SUMMARY POLICY GUIDELINES 53 9.1 The context 53 9.2 Guidelines for governments and other research funders 53 9.3 Guidelines for Institutional policy-makers 55

SELECTED BIBLIOGRAPHY AND REFERENCES 58

GLOSSARY OF KEY TERMS AND ABBREVIATIONS 60

APPENDIX 1. EXAMPLE POLICIES 62 A1.1 Funder policies 62 A1.2 Institutional policies 64

APPENDIX 2. MODEL POLICIES FOR INSTITUTIONS, FUNDERS AND GOVERNMENTS71 A2.1 Type 1: immediate deposit, no waiver (“Liège-style” policy) 71 A2.2 Type 2: rights-retention policies 72

POLICY GUIDELINES FOR THE DEVELOPMENT AND PROMOTION OF OPEN ACCESS 75

FEEDBACK QUESTIONNAIRE 75 INTRODUCTION

Open Access to Scientific Information and (c) Maintain, increase and diffuse knowledge: By assuring Research the conservation and protection of the world’s inheritance of books, works of art and monuments of Scientific information is both a researcher’s greatest history and science, and recommending to the nations output and technological innovation’s most important concerned the necessary international conventions; resource. Open Access (OA) is the provision of free access to peer-reviewed, scholarly and research information to By encouraging cooperation among the nations all. It requires that the rights holder grants worldwide in all branches of intellectual activity, including the irrevocable right of access to copy, use, distribute, transmit, international exchange of persons active in the fields and make derivative works in any format for any lawful of education, science and culture and the exchange of activities with proper attribution to the original author. publications, objects of artistic and scientific interest Open Access uses Information and Communication and other materials of information; Technology (ICT) to increase and enhance the By initiating methods of international cooperation dissemination of scholarship. OA is about Freedom, calculated to give the people of all countries access to Flexibility and Fairness. the printed and published materials produced by any The rising cost of journal subscription is a major force of them. behind the emergence of the OA movement. The While UNESCO’s mission is to contribute to the building emergence of digitisation and Internet has increased the of peace, the eradication of poverty, sustainable possibility of making information available to anyone, development and intercultural dialogue through anywhere, anytime, and in any format. Through Open education, the sciences, culture, communication and Access, researchers and students from around the world information, the Organisation has the following five gain increased access to knowledge, publications receive overarching objectives: greater visibility and readership, and the potential impact of research is heightened. Increased access to and ◾ Attaining quality education for all and lifelong learning sharing of knowledge leads to opportunities for equitable economic and social development, intercultural dialogue, ◾ Mobilising science knowledge and policy for and has the potential to spark innovation. Open Access is sustainable development at the heart of UNESCO’s goal to provide universal access ◾ Addressing emerging social and ethical challenges to information and knowledge, focussing particularly on two global priorities: Africa and Gender equality. In all the ◾ Fostering cultural diversity, intercultural dialogue and a work UNESCO does in the field of OA, the overarching goal culture of peace is to foster an enabling environment for OA in the Member ◾ Building inclusive knowledge societies through States so that the benefits of research are accessible to information and communication everyone through the public Internet. The organisation also has two global priorities – Africa UNESCO and Open Access and Gender Equality within its overall mandate, as areas of focus. Thus, in the areas of its competence, UNESCO’s role The Constitution of United Nations Educational, Scientific is to improve access to information and knowledge for the and Cultural Organization (UNESCO) in Article I, Clause Member States through appropriate use of information 2 states one of the purposes and functions of the and communication technologies. While the programme Organisation as: sectors engage in the specific area of UNESCO’s competence, the Communication and Information sector,

6 especially the Knowledge Societies Division (KSD) engages ◾ To facilitate preservation, by the most appropriate in creating an enabling environment in Member States to techniques, of the world’s documentary heritage. facilitate access to information and knowledge in order ◾ To assist universal access to documentary heritage. to build inclusive knowledge societies. Open Access to scientific information and research is one of the many ◾ To increase awareness worldwide of the existence and programmes on which the KSD works to increase access significance of documentary heritage. to information and knowledge. Some of the other related areas where UNESCO works are: Open Educational Resources

Free and Open Source Software (FOSS) Access to high quality education is key to the building of peace, sustainable social and economic development, In the area of Free and Open Source Software (FOSS), and intercultural dialogue. Open Educational Resources UNESCO fulfils its basic functions of a laboratory of ideas (OER) provide a strategic opportunity to improve access and a standard-setter to forge universal agreements on to quality education at all levels, and increase dialogue, emerging ethical issues by supporting the development knowledge sharing and capacity building. In the and use of open, interoperable, non-discriminatory education and research ecosystem, OER and OA forms standards for information handling and access as two important interventions that works in an integrated important elements in developing effective infostructures fashion to promote the quality of learning and generate that contribute to democratic practices, accountability new knowledge. The term OER was coined at UNESCO in and good governance. Recognising that software plays the 2002 Forum on the Impact of Open Courseware for a crucial role in access to information and knowledge, Higher Education in Developing Countries. UNESCO supported the development and distribution of software such as the Micro CDS/ISIS1 (information Information for All Programme (IFAP) 2 storage and retrieval software) and Greenstone (digital KSD also hosts the intergovernmental programme – library software). FOSS is the engine for the growth and Information for All Programme (IFAP) that is engaged in development of Open Access, and UNESCO encourages reducing the gap between information have and have not community approaches to software development. in North and South. The IFAP seeks to: Preservation of Digital Heritage ◾ promote international reflection and debate on the Preservation of digital cultural heritage, including ethical, legal and societal challenges of the information digital information is a priority area for UNESCO. Digital society; preservation consists of the processes aimed at ensuring ◾ promote and widen access to information in the public the continued accessibility of digital materials. Making domain through the organisation, digitisation and information that are preserved accessible to citizens is preservation of information; facilitated through the appropriate use of a combination of software and hardware tools. UNESCO’s Charter on the ◾ support training, continuing education and lifelong Preservation of the Digital Heritage (2003) states that learning in the fields of communication, information and informatics; “the purpose of preserving the digital heritage is to ensure that it remains accessible to the public. ◾ support the production of local content and foster the Accordingly, access to digital heritage materials, availability of indigenous knowledge through basic especially those in the public domain, should be free of literacy and ICT literacy training; unreasonable restrictions. At the same time, sensitive ◾ promote the use of international standards and and personal information should be protected from best practices in communication, information and any form of intrusion”. informatics in UNESCO’s fields of competence; and UNESCO’s Memory of the World (MoW) programme aims ◾ promote information and knowledge networking at at preserving world’s documentary heritage by making local, national, regional and international levels. it permanently accessible to all without hindrance. The mission of the Memory of the World Programme is:

1 http://www.unesco.org/new/en/communication-and-information/access- to-knowledge/free-and-open-source-software-foss/cdsisis/ 2 http://www.greenstone.org/

7 World Summit on the Information Society Organisation of the Contents

The World Summit on the Information Society3 (WSIS), The content of the Policy Guidelines is organized in to nine Geneva (2003) declared that “the ability for all to access sections: and contribute information, ideas and knowledge is ◾ essential in an inclusive Information Society”. It further Section 1: The Development of Open Access to Scientific emphasised that sharing of global knowledge for Information and Research, gives an overview of the development can be enhanced by removing barriers definitions used, and the history of the OA movement to equitable access to information. While a rich public – Budapest–Bethesda–Berlin. domain is an essential element for the growth of the ◾ Section 2: Approaches to Open Access, enumerates the Information Society, preservation of documentary records ‘green’ and ‘gold’ routes to OA. and free and equitable access to scientific information is necessary for innovation, creating new business ◾ Section 3: The Importance of Open Access, explains opportunities and provide access to collective memory of how OA is important for scholars, research institutions the civilizations. and for developing knowledge societies.

In the context of Open Access, the Summit proclaimed: ◾ Section 4: The Benefits ofOpen Access, emphasizes that OA enhances research process, improves visibility and 28. We strive to promote universal access with equal usage of research works, and therefore, the impact of opportunities for all to scientific knowledge and the research works is also increased through citations and creation and dissemination of scientific and technical impact outside the academia. information, including open access initiatives for scientific publishing. ◾ Section 5: Business Models, analyses the traditional business models in scientific communications and Two of the Action Lines of the WSIS (Action Line 3: describes the new emerging models in the context of Access to information and knowledge and Action Line OA. 7: E-Science) have been involved in promoting Open Access to peer-reviewed information and research data ◾ Section 6: Copyright and Licensing, provides an through their interventions and engagements with the overview of the legal issues in a non-legal language to stakeholders. explain that copyright is at the heart of OA. Copyright owners consent is essential to make OA happen, and Objective of this Document authors and creators can retain rights to increase use of their works through different mechanisms, including The overall objective of the Policy Guidelines is to Creative Commons licensing. promote Open Access in Member States by facilitating ◾ understanding of all relevant issues related to Open Section 7: Strategies to Promote Open Access, describes Access. Specifically, it is expected that the document shall: policy- focused, advocacy-based and infrastructural approaches to OA. While all the approaches are ◾ Enable Member State institutions to review their important, it also lists a number of organizations position on access to scientific information in the light engaged in promoting OA. of the Policy Guidelines; ◾ Section 8: Policy Framework for Open Access, presents ◾ Assist in the choice of appropriate OA policy in the an overview of the growth of policies, and a critical specific contexts of Member States; and appraisal of the issues affecting OA policies. It also presents a typology of OA policies to explain the ◾ Facilitate adoption of OA policy in research funding difference in different types of policies adopted around bodies and institutions by integrating relevant issues in the world. The chapter should be seen along-with the the national research systems. examples in Appendix-1. Thus, the Policy Guidelines are not prescriptive in nature, ◾ Section 9: Summary Policy Guidelines, is the key but are suggestive to facilitate knowledge-based decision- section of this document and explain the various making to adopt OA policies and strengthen national components that a standard policy should consider, research systems. and suggests the best policy decision to be included. This section should also be seen along-with the templates in Appendix-2. 3 http://www.itu.int/wsis/docs/geneva/official/dop.html

8 The Policy Guidelines also gives a detailed bibliography and glossary of terms and abbreviations used at the end. An executive summary is also there in the beginning to provide an overview of the document to help a quick understanding, though it is recommended that you read the sections for detail.

Using the Policy Guidelines

The Policy Guidelines can be used by individuals as a basic text on Open Access and related policies. While we recommend that beginners to the world of Open Access should read it from cover to cover, people having some understanding of OA may like to start reading from any of the sections. Decision-makers, administrators and research managers should focus on Sections 8 and 9 that capture all relevant issues of OA policy development. At the end of this document, you will find examples of different types of OA policies (Appendix 1), and three policy templates (Appendix 2) to choose and adopt. While every institution may have their unique process of policy adoption, we recommend a more democratic, consultative and open approach to adopt Open Access policy, as success of the policy implementation will depend on the ownership of the stakeholders to deposit their work and/or publish in OA journals. We are sure that the Policy Guidelines will be useful to you, and we are interested in listening to your experiences and feedback. Please fill the attached feedback form at page 75-76 and return it to us to help improve the Policy Guidelines and also share your experiences with others.

Dr. Sanjaya Mishra Programme Specialist (ICT in Education, Science and Culture) Knowledge Societies Division Communication and Information Sector United Nations Educational, Scientific and Cultural Organization

9 EXECUTIVE SUMMARY

These Guidelines provide an account of the development cultural norms have changed to support Open Access. of Open Access, why it is important and desirable, how to Open Access is achieved by two main routes: attain it, and the design and effectiveness of policies. ◾ Open Access journals, the ‘gold’ route to Open Access, Open Access is a new way of disseminating research are a particularly successful model in some disciplines, information, made possible because of the World Wide and especially in some geographical communities Web. The development of the concept is summarised as ◾ The ‘green’ route, via repositories can capture more follows: material, faster, if the right policies are put in place ◾ The Web offers new opportunities to build an optimal Additionally, ‘hybrid’ Open Access is offered by many system for communicating science – a fully linked, publishers: this is where a fee can be paid to make a single fully interoperable, fully-exploitable scientific research article Open Access in an otherwise subscription-based database available to all journal. In some cases, the publisher will reduce the ◾ Scientists are using these opportunities both to subscription cost in line with the new revenue coming in develop Open Access routes for the formal literature from Open Access charges, but in most cases this is not and for informal types of communication offered. The practice of accruing new revenue from Open Access charges without reducing the subscription price is ◾ For the growing body of Open Access information, known as ‘double dipping’. preservation in the long-term is a key issue There are a number of issues that contribute to the ◾ Essential for the acceptance and use of the Open importance of Open Access: Access literature are new services that provide for the needs of scientists and research managers ◾ There is a problem of accessibility to scientific information everywhere ◾ There are already good, workable, proven-in-use definitions of Open Access that can be used to ◾ Levels of Open Access vary by discipline, and some underpin policy disciplines lag behind considerably, making the effort to achieve Open Access even more urgent ◾ There is also a distinction made between two types of Open Access – gratis and libre – and this distinction ◾ Access problems are accentuated in developing, also has policy implications emerging and transition countries

◾ Two practical routes to Open Access (‘green’ and ◾ There are some schemes to alleviate access problems ‘gold’) have been formally endorsed by the research in the poorest countries but although these provide community access, they do not provide Open Access: they are not permanent, they provide access only to a proportion ◾ The primary, and original, target for Open Access of the literature, and they do not make the literature was the journal literature (including peer-reviewed open to all but only to specific institutions conference proceedings). Masters and doctoral theses are also welcome additions to this list and the concept ◾ Open Access is now joined by other concepts in a is now being widened to include research data and broader ‘open’ agenda that encompasses issues such books as Open Educational Resources, Open Science, Open Innovation and Open Data There is already considerable infrastructure in place to enable Open Access although in some disciplines this ◾ Some initiatives aimed at improving access are not is much further advanced than others. In these cases, Open Access and should be clearly differentiated as something different

10 The benefits of Open Access are summarised as follows: require it. Evidence shows that only the latter, mandatory, type accumulate high levels of material. Evidence also ◾ Open Access improves the speed, efficiency and shows that researchers are happy to be mandated on this efficacy of research issue. ◾ Open Access is an enabling factor in interdisciplinary The issues that an Open Access policy should address are research as follows: ◾ Open Access enables computation upon the research ◾ Open Access routes: policies can require ‘green’ literature Open Access by self-archiving but to preserve authors’ ◾ Open Access increases the visibility, usage and impact freedom to publish where they choose policies should of research only encourage ‘gold’ Open Access through publication in Open Access journals ◾ Open Access allows the professional, practitioner and business communities, and the interested public, to ◾ Deposit locus: deposit may be required either in benefit from research institutional or central repositories. Institutional policies naturally specify the former: funder policies may also As Open Access has grown, new business models have do this, or may in some cases specify a particular been developed – for journal publishing, for Open Access central repository repositories, book publishing and services built to provide for new needs, processes and systems associated with the ◾ Content types covered: all policies cover journal new methods of dissemination. articles: policies should also encourage Open Access for books: funder polices are increasingly covering The dissemination of research depends upon the research data outputs copyright holder’s consent and this can be used to enhance or hamper Open Access. Copyright is a bundle ◾ Embargoes: Policies should specify the maximum of rights: authors of journal articles normally sign the embargo length permitted and in science this should whole bundle of rights over to the publisher, though this is be 6 months at most: policies should require deposit not normally necessary. at the time of publication with the full-text of the item remaining in the repository, but closed, until the end of Authors (or their employers or funders) can retain the the embargo period rights they need to make the work Open Access, assigning to the journal publisher the right to publish the work ◾ Permissions: Open Access depends on the (and to have the exclusive right to do this, if required). permission of the copyright holder, making it Such premeditated retention of sufficient rights to enable vulnerable to publisher interests. To ensure that Open Open Access is the preferable course of action rather than Access can be achieved without problem, sufficient seeking permission post-publication. rights to enable that should be retained by the author or employer and publishers assigned a ‘Licence To Formally licensing scientific works is good practice Publish’. Where copyright is handed to the publisher, because it makes clear to the user – whether human or Open Access will always depend upon publisher machine – what can be done with the work and by that permission and policies must acknowledge this by can encourage use. Only a minor part of the Open Access accommodating a ‘loophole’ for publishers to exploit literature is formally licensed at present: this is the case even for Open Access journal content. ◾ Compliance with policies: compliance levels vary according to the strength of the policy and the on- Creative Commons licensing is best practice because the going support that a policy is given: compliance system is well-understood, provides a suite of licences that can be improved by effective advocacy and, where cover all needs, and the licences are machine-readable. necessary, sanctions In the absence of such a licence, legal amendments to copyright law will be necessary in most jurisdictions to ◾ Advocacy to support a policy: there are proven enable text-mining and data-mining research material. advocacy practices in support of an Open Access policy: policymakers should ensure these are known, Policy development is still a relatively new activity with understood, and appropriate ones implemented respect to research dissemination. Policies may request and encourage provision of Open Access, or they may ◾ Sanctions to support a policy: both institutions and funders have sanctions that can be used in support of

11 an Open Access policy: policymakers should ensure that these are identified, understood and appropriate ones implemented where other efforts fail to produce the desired outcome

◾ Waivers: where a policy is mandatory authors may not always be able to comply. A waiver clause is necessary in such policies to accommodate this

◾ ‘Gold’ Open Access: where a funder or institution has a specific commitment with respect to paying ‘gold’ article-processing fees, this should be stated in the policy

12 Research AccessInformation to and Scientific This isthenumberindexed by 4 publication isgenerallyagreed to bearound 25,000 The numberofpeer-reviewed currently in journals funding andresearcher numbers. massive investment insciencethatincreased project rapidly, whennumbersgrew very 20th century reflecting approximately lineargrowth untilthe latter halfofthe titlesinthemid1800sand slowly atfirst,with100extant (of London). grew journals The numberofscholarly very Paris andthe 1665 ofthefirstissuesboth communication canbetracedbackto thepublicationin The beginning eraofscientific ofthemodern fide, original andproperly conducted. endeavours to guarantee publishedisbona thatthework controloperate aquality system through peerreview that andpresent the first work itsfindings,to conduct and to sothatauthorscanlay claimto bethe in thearticles, contained to property theintellectual establish theirright through orbooksare journals sothatscholarsmay ofaformal purposes publishingsystem The primary 1.1 protocol accessfor (ftp) otherscientists. This may seem findings onelectronicarchives thatoffered filetransfer 1970s, were scientistsatBellLaboratories postingtheir for newways ofcommunicatingaboutresearch. the By computingdevelopments offered century opportunities from ofactivity, inintensity butinthemid-20th apart three thereOver centuries waslittlechangeinthesystem formal peerreview.do notundertake publications inadditionto this, aswell aspublications that are probably many more localand regional peer-reviewed SECTION 1.SECTION communication The development ofscientific Philosophical Transactions oftheRoyal Society Ulrich’s Periodicals Directory Journal desSçavans ofOpen The Development

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These are ofanew journals of OpenAccess disseminationvehicle wasalsoonthe locations for OpenAccess material, thealternative type At thesametimeasrepositories were developing as OpenAccessdone inextending to theseareas. science notcovered to bythemandsomuchwork be in specificdisciplines, butthere remains a great deal of are allexcellent examplesofopeninguptheliterature entering thescene entering in biomedicinetheform ofPubMed Central subsequent development ofOpenAccess collections While many disciplinesdidnotfollow suit,there was 5 For Academic: http://www.bloomsburyacademic. example, Bloomsbury 15 OAPEN (Open Access publishinginEuropean Networks): http://www. 14 OASIS (Open Access Information Sourcebook): Scholarly University 13 Web http://wokinfo.com/products_ JournalCitationReports: ofKnowledge 12 11 http://repec.org/ http://www.ncbi.nlm.nih.gov/pmc/ There are alsonationalversions of 10 model for producing their outputsinOpenAccess form pressesadvances byuniversity to findasustainable in thisarea have beenextensive:ofnote are themany though withsomerefinements). Recentdevelopments copies(amodelitstilluses online whilesellingprint itsbooksfreely available which, in1994,beganmaking in OpenAccess wasbytheNationalAcademies Press experiments oneoftheearliest publications andinfact some cases, booksareIn alsoavailable asOpenAccess com/ oapen.org/home php?option=com_content&view=article&id=557&Itemid=385 presses andOpenAccess Publishing: http://www.openoasis.org/index. tools/analytical/jcr/ PubMed Central (suchasUKPubMed Central: http://ukpmc.ac.uk/) 12 . 11 15 and similar services). andsimilarservices). These services . 14 , andwithcommercial publishers 10 andin 13 , Initiative iswordedInitiative asfollows: following 2001. ameetinginBudapestDecember The 16 http://www.soros.org/openaccess Open Access Initiative used bymostpeopleremains thatofthe formally definition definingOpen Access, the working Although there have beenseveral different attempts at 1.3 as-yet un-reviewed preprints mightwishtoput thatthey butitalsoincludesany peer-reviewed journalarticles, of payment.Primarily, encompasses thiscategory their that whichscholarsgive totheworld withoutexpectation The literature thatshouldbefreely accessible online is access. this cause, thesoonerwe willallenjoy thebenefitsofopen stand intheway. toadvance Themore whojointheeffort remove thebarriers, especiallytheprice barriers, that to helpopenupaccess totherest ofthisliterature and for all, we call onallinterested institutionsandindividuals visibility, readership, andimpact.To secure thesebenefits gives authorsandtheirworks vast andmeasurable new find andmake useof relevant literature, andthat it feasible, thatitgives readers extraordinary power to initiatives have shown thatopen access iseconomically intheselimitedcollections,But even manydifferent ofthejournalliterature.far beenlimitedtosmallportions online availability, which we willcall For various reasons, offree andunrestricted thiskind quest forknowledge. inacommon intellectualconversationhumanity and useful asitcan be, andlaythefoundationforuniting poor andthewithrich,make thisliterature as enrich education, share thelearningofrichwith access barrierstothisliterature willaccelerate research, teachers, students, andothercurious minds. Removing free andunrestricted access toitby allscientists, scholars, of thepeer-reviewed journalliterature andcompletely make possibleistheworld-wide electronic distribution technologyistheinternet.Thepublicgoodthey The new andknowledge. without payment,forthesake ofinquiry publish thefruitsoftheirresearch inscholarlyjournals tradition is thewillingnessofscientistsandscholarsto to make possibleanunprecedented publicgood. Theold oldtraditionAn technologyhave converged andanew 1.3.1 Defining Open Access Initiative The BudapestOpenAccess (BOAI, 2002 16 ) whichwasreleased open access Budapest , hasso online for comment or to alert colleagues to important colleagues toimportant online forcomment ortoalert not charge subscription oraccess fees, andwillturnto Because price isabarriertoaccess, journalswill thesenew publish. they permanent openaccess toallthearticles willusecopyrightInstead they andothertoolstoensure restrict access publish. toanduseofthematerialthey journalswillnolongerinvokethese new copyright to shouldbedisseminatedaswidelypossible, articles to make thetransition toopenaccess. Because journal to openaccess, andtohelpexistingjournalsthatelect generationmeans tolaunchanew ofjournalscommitted II. their contents. where are they located inorder tofindandmake useof as one. whicharchives Usersthenneednotknow existor engines andothertoolscan treat theseparate archives created Archives by Initiative, theOpen thensearch thesearchives When self-archiving. conform tostandards open electronic archives, apractice commonly called, in assistance todeposittheirrefereed journalarticles I. recommend strategies. complementary two To openaccess achieve toscholarlyjournalliterature, we goal isattainableandnotmerely preferable orutopian. cost ofdisseminationisareason tobeconfident thatthe financing mechanisms, butthesignificantly lower overall open access willrequire cost new recovery modelsand access asameansofadvancing theirmissions. Achieving libraries, foundations, andotherstoembrace open strong incentive forprofessional associations, universities, scope ofdisseminationatthesametime, there istodaya andexpandthe tosave money With suchanopportunity lower thanthecosts oftraditional formsofdissemination. costs ofproviding openaccess tothisliterature are far to produce. However, experimentsshow thattheoverall accessible onlinewithoutcost toreaders, itisnotcostless thepeer-reviewedWhile journalliterature shouldbe the righttobeproperly andcited. acknowledged give authorscontrol over oftheirwork and theintegrity the onlyrole for copyright inthisdomain,shouldbeto The onlyconstraint onreproduction anddistribution, those inseparable from gainingaccess totheinternetitself. without financial, legal, ortechnical barriersotherthan to software, orusethemforanyotherlawfulpurpose, crawlthese articles, themforindexing, passthemasdata copy, distribute, print,search, orlinktothefulltextsof public internet,permittinganyuserstoread, download, to thisliterature, we meanitsfree availability onthe wider andeasieraccess tothisliterature. “open By access” research findings. There arekinds of manydegrees and Self-Archiving: First, Self-Archiving: scholarsneedthetoolsand Open-access Journals:Second, Open-access scholarsneedthe 15 SECTION 1. The Development of Open Access to Scientific Information and Research 16 SECTION 1. The Development of Open Access to Scientific Information and Research an identifiable cost associated with it in terms of printing an identifiable costassociated ofprinting withitin terms dissemination wasnotpossible becauseeachcopyhad thedaysdissemination ofgoods. ofprint-on-paper, In free now possibleisbecausethe Web offers ameans for free First, that thereason Open Access is itacknowledges and needto behighlighted. The BOAI addresses anumberofissuesthatare important much more free toflourish. oftheworld areresearch that part and education inevery barriers toopenaccess andbuildingafuture inwhich share ourvisiontojoinusinthetaskofremoving the professional associations, andindividualscholarswho editors, publishers, foundations, learnedsocieties, We invitegovernments, universities, libraries, journal and resources.organizations tolendtheireffort substantial, muchinneedofother thisinitiative is very Institute’s Society Open commitment andresources are system become economically self-sustaining. the While journals, journal open-access andtohelpanopen-access promote to launchnew institutionalself-archiving, willuseitsresourcesIt andinfluence toextendand to providing initialhelpandfundingtorealize thisgoal. founded by philanthropist George Soros, iscommitted Institute, thefoundationnetwork Society The Open secure, andlong-lived. to assure thatprogress indiverse settingswillberapid, and adaptationtolocal circumstances are thebestways dissemination toopenaccess. Flexibility, experimentation, ways tomake thetransition from thepresent methodsof outlined, we alsoencourage experimentationwithfurther we strategies endorsethetwo or legislation.While just and neednotwait onchangesbrought aboutby markets are withinthereach ofscholarsthemselves, immediately, are notonlydirect andeffective meanstothisend, they access journals(II.) goal. accessOpen topeer-reviewed journalliterature isthe forother,no needtostoplooking creative alternatives. solutions over theothersforalldisciplinesornations, and themselves. There isnoneedtofavor oneofthese or access fees, orevencontributions from theresearchers cancellation ofjournalscharging traditional subscription ons tothebasictexts, fundsfreed upby thedemiseor of thecause ofopenaccess, profits from thesaleofadd- endowments setupby disciplineorinstitution,friends the universities andlaboratories thatemploy researchers, the foundationsandgovernments thatfundresearch, alternative sources offundsforthispurpose, including other methodsforcovering theirexpenses. There are many Self-archiving (I.) Self-archiving are theways toattainthisgoal. They and a new generation andanew of open- section below.section ofaccess. more types to-do These are explainedinthe Access, andfree- free-to-read distinguishingbetween ofthedefinitionOpen This hasledto anextension for freearticle willnotbeenough. other words,create In knowledge. beingableto intensive andmachinesneedto accesstheliterature to methods willdominate assciencebecomesmore data- digital scienceinthe21stcentury, where computational wassettinginplacetheconditionsneededforInitiative detailedlist,butthe anunnecessarily This may seemlike data tosoftware, orusethemforanyotherlawfulpurpose crawltexts ofthesearticles, themforindexing, passthemas download, copy, distribute, print, search, orlinkto thefull Access literature which,itsays, shouldbeavailable to r Finally, addresses theInitiative theissueof or licensing restrictions onuse) or licensingrestrictions view charges) and ‘permission barriers’ (onerous copyright ‘price barriers’ (for example, costsorpay-per- subscription permanently. ishelpfulto of thinkofthisalsointerms It users onceinpublishableform, andthereafter available findings shouldbeimmediately available to would-be removal ofatemporal barrier, meaningthatresearch technical inthedefinitionisalso andlegal. Implicit are inanOpenAccess non-permissible –financial, world that ofaccessbarriers Fourth, theBOAI detailsthekinds as the ‘gold route’). available onthe Web atthetimeofpublication(referred to theircontent freelyjournals, publicationsthatmake called the ‘green route’); andbypublishinginOpenAccess copies ofpapersinOpenAccess archives (commonly made OpenAccess: byself-archiving, thatisbydepositing Third, theBOAI ways two canbe inwhichwork describes course. provided for free byscientists, asistheraw material, of reviewed literature, are even thoughpeerreview services thatthere are coststoacknowledges producing thepeer- Second,and distribution. andrelated to thefirst,BOAI 7 From ofOpen Access‘Overview (2010)by Peter Suber. bibliography See for 17 community,within theOpenAccess advocacy ‘libre’ Open definition ofOpen Access hasbeencalled, byagreement in ways over andabove simplyreading. This mostliberal tomaterial bemade OpenAccess withprovision for re-use Policies it,requiring mayimportant. explicitlyacknowledge From development, thisissueis theviewpointofpolicy full reference. 1.3.2 Gratis andLibre OpenAccess 17 . use oftheOpen read an ead, . ◾ ◾ ◾ ◾ ◾ 8 For ofopencomputation, seeLynch anoverview (2006):fullreference in 18 A scientistmight: possibilities. out whatitsmessagesare. We canimagine anumberof inways otherthanjustreading itto find use anarticle term re-use’,‘human bywhichismeant thatscientistsmay First, ofre-use. fundamentaltypes two whatwe might examininghere whatisimplicated. isworth It There are far. one thing, itissaid, butallowingmore may beastep too available for otherscientiststo theirarticles read is Making for rights theirwork. clear abouttheissueofliberalre-use The argument goesthattheymay not,however, beso findings available and to have aspossible. asmuchimpact their aimsofscientists to make withthenormal conflict GratisOpenAccess thuspresentsas publicservants. no oftheiremployment baseisthepurpose knowledge capacity,or inanotherprivate to thegeneral contributing is precisely why inindustry theypublish:unlesswork towant theirwork beread and builtuponbyothers. That behaviour oftheirowninterests, inrespect allscientists implications are ratherprofound. ofscientists’ terms In The differencetwo may the seemsubtle, between butthe ‘gratis’ OpenAccess. iscalled ofre-use, types further does notexplicitlypermit Access. whereThe othervariant, isfree material to read but creating new knowledge thatcanbebeneficial creating newknowledge and refined becauseof thehugepotential theyhave for days,is initsearly buttechnologies are beingdeveloped the literature. Computation uponthescientific literature which ismeantthatcomputers canalsousewhatisin Second, there iswhatwe canterm ‘machine re-use’, by too. inthearticle, material There commercial may useof bepeoplewhocouldmake But fellow scientistsare nottheonlypotential users.

extract large for chunksoftext useinotherarticles extract for publication use acomponentinanarticle or teaching thatare materials madewidelyavailable use oneorotherofthosecomponentsinpresentations to form apubliccollection it use oneofthesecomponentsalongsideotherslike modification of for thepurpose research analysisor outfurther photograph orlist)andcarry (agraph ortable, acomponentofthearticle extract the bibliography. 18 . For drugs andothertherapies the potential to identifyavenues to discoveringnew on barrier-free and disseminationofscientific works The BethesdaStatement therefore reinforces theemphasis Acomplete version ofthework andallsupplemental 2. Theauthor(s)andcopyright holder(s)grant(s) toallusers 1. conditions: two Open Access Publication isonethatmeetsthefollowing says, licences. an It through theattachmentofparticular theownersorcreatorsrights grant ofthework to users specifies whatanOpen Access publicationisandwhich which OpenAccess particular, canbeused. material In it built upontheBOAI byspecifyingindetailtheways in either XML or can be easily converted toeither XMLorcanbeeasilyconverted it. are to discouragePDFandinsistonaformat likely thatis In thefuture,significant. asthis area develops, policies itisrather terms point,butinpolicy may seematrivial Language). format Markup isXML(Extensible This are available inatthemoment. articles The preferred istheformatwhich unfortunately thatmostOpenAccess technologies wellinPDFformat, donotwork ontexts The Subsequent definitionsofOpen Access have beenoffered. example, text-mining ofthebiomedicalliterature 21 http://www.earlham.edu/~peters/fos/bethesda.htm For anexampleofhow thetechnologies theUK’s work, NationalCentre 20 For anexplanationofthetechnologies, seeRodriguez-Esteban (2009):full 19 Central issucharepository). long-term archiving (forthebiomedical sciences, PubMed access, unrestricted distribution,interoperability, and organization thatseekstoenableopen well-established institution, scholarlysociety, government agency, orother by anacademic thatissupported one onlinerepository deposited immediatelyuponinitialpublication inatleast above, inasuitablestandard electronic formatis materials, includingacopy ofthepermissionasstated personal use. right tomake smallnumbersofprintedcopies fortheir subject toproper attributionofauthorship, aswell asthe works, inanydigitalmediumforresponsible purpose, the work publiclyandtomake anddistributederivative and alicense tocopy, use, distribute, transmit anddisplay a free, irrevocable, worldwide, perpetualrightofaccess to, literature: http://www.nactem.ac.uk/ukpmc/ collaborating withUKPubMed Central thebiomedical ontext-mining for Text (NaCTeM) Mining andtheEuropean Bioinformatics are Institute reference inthebibliography. Bethesda StatementonOpenAccess Publishing 1.3.3 Open Access formal definitionsof Other 20 . It is worth notingthatthese isworth . It 19 has 21

17 SECTION 1. The Development of Open Access to Scientific Information and Research 18 SECTION 1. The Development of Open Access to Scientific Information and Research ◾ ◾ ◾ These issues are further discussed in section 8. discussed insection These issuesare further development: that there are three mainissuesto dealwithinpolicy itclear onthedefinitionsabove makes Reflection hurdles to clearto achieve OpenAccess satisfactorily. literature; ortoo much–inwhichcasethere are too many which casewhatresults isnotatrueOpenAccess bodyof iseasyforother bodies. policiesto specifytoo It little–in development, whetherbyresearch funders, institutionsor to policy thorough important becausetheissueiscritically This accountofthedefinitionOpen Access hasbeen definition. of OpenAccess’, have becomeestablishedastheworking usually usedtogether andreferred to asthe ‘BBB definition Open Access, thesethree (Budapest,BethesdaandBerlin), attemptsAlthough there to define have beenfurther recommendation for research institutions, asfollows: cities eachyear) theconference agreed to anadditional Conferences onOpenAccess (whichare heldindifferent Bethesda Statement butatthethird oftheannualBerlin 22 http://oa.mpg.de/lang/en-uk/berlin-prozess/berliner-erklarung/ published in2003 Knowledge intheSciences andHumanities Finally, the conditionsthatapply.rights/licensing ofderivativeworks, andthe permits, includingthemaking thatOpenAccess expressly ofre-use detailsthetypes

copyright andlicensing copyright and whatconditionsshouldbeappliedwithrespectto and howOpenAccess shouldbeprovided what shouldbespecifiedwith regard to timing, costs, what shouldbecovered byapolicy 2. and 1. to: should implementapolicy In order toimplement theBerlinDeclaration institutions to happen). toenablethat journal exists(andprovide thesupport inopen access journalswhere asuitable articles encourage inanopenaccess repository published articles require Berlin Declaration onOpenAccessBerlin Declaration to theirresearchers todepositacopy ofalltheir 22 theirresearchers topublishtheirresearch . This isessentiallythesameas was public data storage and preservation facilitiesforpublic datastorage scientists andpreservation Bermuda meetingin1996 Bermuda were ofdatasharing principles agreed atthenow-famous sequence thewholehumanDNAcomplementand to ontheeffort of scientistsaround worked theworld Human GenomeProject illustrates thispoint:thousands fields moveto withoutcollaborative intent.forward The to effect progress. Scienceissimply too biginsome needto sharethere datainorder isanacknowledged becoming ever more so. somedisciplines(butnotall) In that isresearch data.Scienceisnowdata-intensive and that isincreasingly becomingafocus for policy, and ofresearchSecond, there output isanothercategory discussiononthis). 8forsection further books (andbookchapters), complete withcaveat (see same for books. Nonetheless, policiesusuallydomention cannotbethe articles withrespectto terms journal policy financial payoff existsmeansthatwhatcanbe required in reward are hardly high offinancial thattheirexpectations tool) acknowledge dissemination most affected sincebooksare theprimary most authorsinthehumanities(whichisdiscipline ofcases, and smallinthevastmajority very is certainly come to themfrom books. writing The financial reward afinancial expect reward as well as reputational capital to research –citations. Bookauthors, however, dosometimes ofacademic capital andbenefitpersonallyinthecurrency for inwriting istotheir purpose gainreputational journals payment for anddonotexpect in journals this. Indeed, for publication areJournals articles simple:scientistswrite First, there books. istheissueofhowto dealwithscholarly ‘literature’, theneedfor though,brings somecaveats. such asengineering) andbooks. Usingthisgeneralterm disseminationroute insomedisciplines, (the primary cover journals, peer-reviewed conference proceedings reviewed research literature’. broadest terms, In thiswould thetargetis usedto describe ofOpenAccess is peer-‘the research outputsare to becovered. that The generalterm of onOpenAccess iswhat types policy Central to making 1.4 24 1st International Strategy Meeting on Human Genome Sequencing: onHumanGenome Sequencing: Strategy 1stInternational Meeting This 24 Anecdotally, agree thatreputational capitalfaroutweighs mostcheerfully 23 Human_Genome/research/bermuda.shtml#1 24 hoursofbeingproduced: http://www.ornl.gov/sci/techresources/ over genomedata andthatdatawould bemadepublicly-available within rights would property claimintellectual included aprinciplethatno-one in bookform. financial reward asthemainhoped-for benefit from publishingtheir work Target content for OpenAccess 23 , but the fact thatthepotential for, butthefact 24 . There isexcellent provision of as many studieshave demonstrated considerablyfrom onedisciplineto another, vary norms and means ubiquitous anddatamanagementpractices must beemphasised, however, isbyno thatdatasharing made openlyavailable asaconditionofpublication require andinsomecasesjournals datato be articles on theirownwebsites journal for datasetssupporting open websites. Publishers spaceavailable alsomake for depositingdatasetsfor sharing, orplacedatasetson Some researchers usetheirinstitution’s digital repository and principles ofOpenDataconcept and principles Pantonthe recently-developed Principles definetheaims growing organisation andformalisation ofthisfieldand companies). Though thisissueisnowhere approaching producedare bycommercial paid-for publishing services (currently, themost comprehensive bibliographic services bibliographic service a properly constructed, fully-open would bemuch more easilyfindable were there to be science. The premise here isthatscientificinformation is amove towards developing anOpenBibliography of Finally, muchinitsinfancy, there thoughthisistillvery significance. considerable some disciplinesthistierofoutputsisvery they are second-tiertargets anditshouldbenoted thatin are notcovered bytheformal definitionofOpen Access, papers, pamphlets, etc).such asworking Whilst these research literature notdestinedfor peer-reviewed journals theses (masters andthe anddoctoral) ‘grey’ literature (the which opennessisconsidered desirable. These are Third, there ofresearch are othertypes literature for to enable the practicalities ofcomplyingwiththem to enablethepracticalities arrangements infrastructural byparticular them backed nowhaveworld OpenDatapoliciesinplace, some of scientists theyfund. Many research funders around the to ensure thatresearch dataare madeaccessiblebythe for scientificprogress, support onpolicy are also working this topic. Research funders, to optimiseconditions keen disciplines there isamore ofinterest generalawakening in OpenDataseeninsome developments to support As andinfrastructure well asthesignificant policy intensive disciplines. 27 The journal As anexample, seetheNaturalEnvironment Research Council’s datacentre 26 For example, seethedatabasesmaintainedby theNationalCentre 25 in biomedicalresearch 29 http://pantonprinciples.org/ Ruusalepp(2008),Brown See: &Swan (2009)andSwan &Brown (2008):full 28 network in the UK: http://www.nerc.ac.uk/research/sites/data/network intheUK: European Bioinformatics http://www.ebi.ac.uk/ Institute: for Biotechnology Information: http://www.ncbi.nlm.nih.gov/ andthe references inthebibliography. to seeanduse. dataavailable forthat stipulates thatauthorsmustmakesupporting others Nature , for example, hasaclauseinitsconditions ofpublishing 25 , asthere isinsomeotherdata- 28 29 . There is, however, . 26 27 . . It . It system groundwork isbeingdoneto buildanOpenBibliography place, development the cantake the stagewhere policy 30 See thenewprinciplesonopenmetadatapromoted See by theJoint 30 ▶ ▶ ▶ ▶ ▶ ▶ ▶ Open Access pointsonthedevelopment of Summary ▶ org/Wg/bibliography Foundation’s Working Group onOpenBibliographic Datahttp://wiki.okfn. news/stories/2011/07/openmetadata.aspx andtheOpenKnowledge Information Systems http://www.jisc.ac.uk/ Committee intheUK:

Open AccessOpen that canbeusedto underpinpolicy There are already good, workable, proven-in-use definitionsof research managers thatare provide newservices fortheneedsofscientists and Essential fortheacceptance Access anduseoftheOpen literature the long-term isakey issue For thegrowing Access bodyofOpen information, preservation in communication Access routes fortheformalliterature of andforinformaltypes bothto develop areScientists Open usingtheseopportunities exploitable scientific research database available to all communicating science –afullylinked, fullyinteroperable, fully- The Web buildanoptimalsystemto for offersnewopportunities formally endorsedby theresearch community Two routes practical to Access Open (‘green’ and ‘gold’) have been implications Access – There ofOpen madebetween two types isalsoadistinction and books and theconcept isnow beingwidenedto includeresearch data Masters thesesare anddoctoral alsowelcome additionsto thislist literature (includingpeer-reviewed conference proceedings). The primary, andoriginal, target Access forOpen was thejournal 30 . gratis and libre – and this distinction also has policy alsohaspolicy –andthisdistinction 19 SECTION 1. The Development of Open Access to Scientific Information and Research 20 Section 2. Approaches to Open Access A all adhere to thesamebasicsetoftechnical rules discovery tools thatindex discovery canalsobedoneusingoneofthemore specialised It matter ofsearching using oneofthesetools. bykeyword databaseisasimple whatisinthisdistributed discovering Google, GoogleScholarandothersearch engines, so acrossdistributed theworld. They are allindexed by themonelargebetween OpenAccess database, albeit create and,they form through anetwork thatnetwork, abide bythesebasicrulestheyare interoperable: thatis, their content to Web search engines. Because theyall govern theway theystructure, classify, labelandexpose Open Access 2 OAI-PMH (Open Archives -Protocol Initiative for Harvesting): Metadata 32 The mostcommon onesare EPrints (www.eprints.org) andDSpace (http:// 31 mostlyrunonopensourceRepositories software potential isonlyrealised isputinplace. ifaproper policy highlevels isexcellent,capturing ofmaterial thoughthis all institutionscanbuildarepository, thepotential for collect available to allonthe Web. Becauserepositories can papers andotherresearch them outputsandmake Open Access ofscientific repositories house collections 2.1 one oftwoways. structured to beusedaboutinformation madeavailable in software. The term OpenAccess, however, tends photographs, audioandvideofiles) books, (includinggraphics, datasets ofalltypes bookchaptersfor andwhole journalarticles, SECTION 2.SECTION http://www.openarchives.org/OAI/openarchivesprotocol.html www.duraspace.org/) onto awebsite. This cananddoeshappen openly available, simplyby beingposted ny form ofscientificoutputcanbemade ‘green’ route to OpenAccess Open Access repositories: the all theoutputsfrom aninstitution,andbecause only repository content repository Approaches to 32 31 that and repositories isshowninFigure 1. rather thanthewhole Web 3 For example, theBielefeld Academic Search Engine: http://base.ub.uni- 33 behaviour where theculture doesnotpre-exist. ofsharing thatestablishesthis support their findings, oruponpolicy wherearenorms the expectations thatauthorswillshare deposit repositories isdependenteitheruponcommunity repositories thatcanbeharvested. The successofdirect- suitable content orresearch intheuniversity institute isdependentuponthere beingsufficient of repository is created inthisway. The successofthe ‘harvesting’ type service. The economicsOpenAccess repository, RePEc, (e.g.collections repositories) university to create acentral arXiv),orby (like repository ‘harvesting’ content from other into depositingtheirwork by authorsdirectly the 1.2).Subject-specific mayrepositories section becreated physics andalliedfields,high-energy calledarXiv(see forsuccessful examples. Onesuchistherepository andtherecentralised type are someoutstandingly wasthesubject-specific, ofrepository type The earliest 3% bielefeld.de/en/index.php orOAIster: http://oaister.worldcat.org/ 2.1.1 7% 19% Figure 1:Distribution ofrepositor 3% 20% (source: OpenDOAR, July2011) repositories Centralised, subject-specific 1% 0% 33 . of The current distribution 47% Caribbean Africa Australasia South America Asia America North Europe Other Other ie s

Southampton, United Kingdom, in2000 Southampton, United Kingdom, of Electronics&Computer of ScienceattheUniversity wasbuiltintheSchool The firstinstitutional repository literature.the scholarly 100%OpenAccessthe potential to for provide virtually universities andresearch institutes havehas arepository Ultimately, inwhichallresearch-based anetwork complement thecentralised, repositories. subject-based large communities. that serve These repositories that itrunson,EPrints been rapid:withinadecadethere were 1800repositories provide OpenAccess to theirresearch outputs. Growth has other institutionsbeganto buildtheirownrepositories to 36 http://www.eprints.org/software/ 35 http://eprints.ecs.soton.ac.uk/ OpenDepotisacentral, OpenAccess operated by repository theUniversity 34 handful ofcentral, broad-scope onessuchasOpenDepot a growing ofinstitutionalrepositories, network plusa around OpenAccess.cultural practices There is, however, PMC like orarXivnor,service yet, anestablishedsetof other fields anddisciplinesthere isno centralised In transforming theUKsite into aEuropean PMC. additional sites inotherregions, of includingthepossibility Canadian site hasbeenannounced, withdiscussionof ofotherresearch funders.in 2007byaconsortium A first international PMC (PMCi) wasestablishedintheUK PMCs to complementandmirror theUS-basedone. The appears toofnationalorregional beto buildanetwork The generalintention inthisbiomedicalsciencesfield 1.3). (seesection morelicence thatpermits liberalre-use definition ofOpen undera Access bybeingdistributed access andread, onlyabout11%fallunderthestrictest thoughwhileallare free articles, journal to full-text by authors. The databasecurrently hasaround 2million aswelldepositedcontents of600journals asmanuscripts growing steadily to thepresent day, the whenitcollects years itcovered andnumbershave 55journals been 2000, withthecontents journals. ofjusttwo Within two wasestablishedintheUSyear other things. It ofHealthamongst outputs oftheNationalInstitutes thathousestheOpenAccess therepository Central (PMC), exampleis Another successfulsubject-specific PubMed 8. insection further issue,This istherefore andisdiscussed policy animportant home institution repository whenoneisestablished:http://opendepot.org/ home institutionrepository to the articles institution doesnotyet have andre-directs arepository offers adeposit location It of Edinburgh,for UK. researchers whose own 2.1.2 scope repositories andotherbroad-Institutional 36 , isopensource itsrelease andafter 35 . The software software . The 34

Figure 2. areThe relative shownin ofrepository numbersoftypes forresearch submissionto theassessmentexercise. articles Australian universities to haveto collect arepository increase andthenumbercontinuestoin institutionsworldwide 40 Specialised repositories may collect material on a particular topic Specialisedrepositories from a may material onaparticular collect 40 At thetimecalledResearch Framework Quality (RQF);now calledthe 39 38 http://www.hefce.ac.uk/research/ref/ At thetimeofwritingthere are well over 2000repositories globally. Two 37 national research assessmentexercise Australia, asimilar formal them.In policiesunderpinning universities nowhave institutionalrepositories, many with provides for astructure suchanexercise almostallBritish about research andoutputs. activities Becausearepository REF in future to becalledtheResearch Excellence Framework, nationalResearchthe periodic Assessment Exercise (RAE; for example,the establishmentofrepositories. theUK, In hasalsoencouraged insomecountries Research policy provides. arepository andimpact value oftheadditionalvisibility number ofsources, or may focus ofcontent, ononetype suchastheses. era/ Excellence inResearch for Australia Initiative(ERA) http://www.arc.gov.au/ http://www.opendoar.org/index.html Open Access Repositories (ROAR): http://roar.eprints.org/ andOpenDOAR: of ofrepositories:directories trackthenumbersandtypes theDirectory 38 ) hasrequired universities to gatherinformation 37 11% asuniversities andresearch institutionsseethe 4% 2% (Source: OpenDOAR, July2011) Figure types 2:Repository 83% Government Specialised Subject-specific Institutional 39 actually required actually 40

21 Section 2. Approaches to Open Access 22 Section 2. Approaches to Open Access (Scientific Electronic Library Online) (Scientific Electronic Library SciELOexemplified service bytheLatinAmerican an organised approach to OpenAccess publishing, and insomegeographical communitiesthere isalso successful OpenAccess journals, suchasinbiomedicine; researchers. somedisciplinesthere are In many, highly by arewhether suchjournals welcomed andsupported play aroleAgain, norms indetermining community was BioMed Central was BioMed Open Access canbeconsistent withcommercial aims sizeable OpenAccessThe earliest publisherto showthat respect. The OpenAccess literature journal isnodifferent inthat access literature, rangesfrom quality excellent to poor. operations. Andjustasfor thesubscription- or one-journal some large publishingoperationsandthousandsofsmall there varied: areThe OpenAccess publishingsceneisvery a discussionofbusinessmodels). switch to onethatdelivers 5for OpenAccess (seesection to forego revenue theirsubscription-based modeland is good, butis limited bythewillingness ofpublishers highlevels ofOpenAccesscapturing bythisroute material Corporation hosting themonitsownwebsite. PublishingThe Hindawi inPMC atthetimeofpublicationaswell as articles and mathematics. Central depositsallitsjournal BioMed though alsowithsomecoverage ofchemistry, physics publishes some210journals, mainlyinbiomedicine, publishing organisation). Central currently BioMed agriculture andmedicine. the naturalandappliedsciences, covering 300 journals hasmore list,alsopublishesinthesciences.than journal It 44 http://www.hindawi.com/ 43 http://www.biomedcentral.com/ SciELO publishing cooperative isanelectronic thatoffers of a collection 42 ofOpenAccess The Directory Journalsmaintainsalistandsearch facility: 41 at themoment,altogether offering over 600,000articles openly available literature. There are around 7,000ofthese Open Access of to alsocontribute thecorpus journals 2.2 www.scielo.org/php/index.php?lang=en http:// Latin AmericanandCaribbean journalsandassociated services: http://www.doaj.org 2.2.1 route to OpenAccess Open Access journals:the ‘gold’ 44 , theOpenAccess publisherwiththelargest arena The OpenAccess publishing 43 (now part of the Springer science oftheSpringer (nowpart 42 . The potential for 41 . Reports Publishing Group withthe launchof successful andhasrecently beenemulated bytheNature response online.community The modelhasproved very areand impact madethrough post-publication published andjudgments aboutitsrelevance, significance outinasoundscientificmanner.carried Thepaperisthen purely hasbeen onthebasisofwhetherwork article peer review, referees pre-publication are to judgean asked control.new system ofquality Though stillbasedupon covers allthenaturalsciences. PLoS ONEintroduced a publishing through thelaunchof This publisherhasalsochangedtheshapeofscientific and medicine( inbiology journals publishes someofthehighestimpact researchers. bringing themto theattention ofdeveloped world from developing and countries orarticles visibility intheircatalogues, thereby increasing (DOAJ) Journals ofOpenAccess generallyincludetheDirectory libraries biomedicine andagriculture. As well astheseservices, all from developing andemerging countries, covering the biosciences, initscollection, hasover 50journals publishers wishingto publishOpenAccess in journals provides afree publishingplatform electronic for small Another publisher, ofScience thePublic Library 47 http://www.bioline.org.br/ 46 http://www.nature.com/srep/marketing/index.html 45 http://www.plos.org/ option allowsauthorsto optto pay apublication fee and based businessmodel. This so-called ‘hybrid’ OpenAccess Open Access while retaining theircurrent subscription- publishershavescholarly introduced thisinorder to offer licensed accordingly –there isanothermodel. large Most inwhichallcontentabove isOpenAccess –journals and As well asthe ‘pure gold’ OpenAccess described journals sciences. AndBiolineInternational in thenaturalsciences, medicine, agriculture andsocial covers offering over over 800journals 300,000articles inSpanishorPortuguese, countries South American reviewed OpenAccess publishedmainlyfrom journals ofpeer- Online),acollection (Scientific ElectronicLibrary terms, OpenAccess isbecomingagreat leveller. SciELO developed-world scientificcommunication scientists. In easilyfindableand theirwork readable by at lastmake provides themeansfor scientistsintheseregions to developing andemerging countries, too. OpenAccess inthisareaThere in hasbeensignificant activity 2.2.2 46 . PLoS Biology ‘Hybrid’ OpenAccess and PLoS Medicine PLoS ONE 47 , a service that , aservice Nature Scientific Nature Scientific , a journal that , ajournal , plusothers). 45 , collects alltheinstitution’scollects outputs, ratherthanhaving thatit is to beusedfor thenitisimportant thispurpose can bemeasured, arepository analysedandassessed. If isto create inarepository material abodyofoutputs that from theinstitutionorfunderviewpointfor having role.preservation Moreover, oneofthesignificant reasons from oneinstitutionto another, andtheyplay noreliable of date orbecomeobsolete whenresearchers move compromised. Author websites are alsocommonlyout are anddiscoverability which meansthattheirvisibility are fullyindexed notnecessarily by Web search engines, protocol 2.1). (seesection This meansthattheircontents with theinternationally-agreed standard OAI-PMH createjournals for eachitem, andmostdonotcomply (labelling system) thatrepositories orOpenAccess available, thesesites lackthestructuredmetadata paperspublicly Although thesemethodsdomake andotherinformation. using theseto share articles in otherways, includingbycomputingtechnologies. access andread theyare notallowed often to bere-used are free tolicence: thismeansthatthoughthearticles available underasuitable thearticles option donotmake shouldalsobenoted thatmany offering journals this It Access charges. asrevenue oftheirjournals price comesinfrom Open made publiccommitmentsto adjustingthesubscription That said, there are anumberofpublisherswhohave chargessubscription inlinewiththenewrevenue stream. OpenAccess butdonotlower their anarticle making ‘double dip’: fee for thatis, charge anarticle-processing publishing willnotallowthemto dosoto publisherswho authorsto usetheirfundstopermit pay for OpenAccess 49 Such as Mendeley http://www.mendeley.com SuchasMendeley orAcademia.edu http:// 49 For example, fees for ‘hybrid’ journals publishedby Wiley andElsevierare 48 websitesin community sites. As well astheseexamples, there isgrowing interest group websites site, orauthors’ departmental personal them onpubliclyavailable websites suchasresearch anddataopenbyposting articles ispossible to make It fee (less than3%currently), largely becauseofthelevel of journal. subscription Take-up ontheseoptions isnothigh madeOpenAccess withinanotherwise have theirarticle 48 academia.edu/ around USD3000,excluding taxes andcolour charges. butalsobecausemany universities andfunderswho 2.2.3 outputs open research ways ofmaking Other 49 , andresearchers are increasingly websites. them spread across multipleacademiccommunity ▶ ▶ ▶ ▶ ▶ ▶ Summary points on approaches to Open Access pointsonapproachesto Open Summary

Predominantly thesepublishersare ‘double-dipping’ ‘Hybrid’ Access Open isoffered manyby publishers. faster, iftheright policiesare putinplace The ‘green’ route, viarepositories cancapture more material, some geographical communities successful modelinsomedisciplines,particularly andespeciallyin AccessOpen journals, the ‘gold’ route to Access, Open are a Access butnotsomuchinothers In somedisciplinescultural normshave Open changedto support advanced thanothers In somedisciplinesthisismuchfurther AccessOpen There isalready considerable infrastructure inplace to enable 23 Section 2. Approaches to Open Access 24 Section 3. The importance of Open Access T And Open Access repository downloadfiguresAnd OpenAccess indicate repository currently averaging aroundarticles USD50,000peryear. loancostsfor in thecountry, journal showinter-library to expected bethebest-resourcedthose withlibraries indicator oflackaccess. The UK’s ‘Elite 5’ universities, is another loanexpenditure articles on journal Inter-library (pay-per-view) loan)orPPV systems.(inter-library in otherinstitutions, orusingpaid-for accessthrough ILL that researchers colleagues use–emailingauthors, asking This presumably into even accounttheworkarounds takes theyneedfind allthearticles ‘only rarely orwithdifficulty’. andfoundworld that37%ofrespondents said theycould 40,000researchersand publishing, surveyed across the atOpenAccesspublisher-led, EU-fundedprojectlooking On aglobalscale, theSOAP study, alarge, 3-year, forconcern researchers’. Open Access 51 http://www.rin.ac.uk/our-work/using-and-accessing-information-resources/ 2010andthe intheUNESCO Reported Science Report World Science Social 50 access and five outondiscovery RIN-sponsored studiescarried thatbrought togetherin ameta-report thefindingsfrom concluded (RIN)intheUK, Research Network Information this issoeven inwealthy research-intensive countries. The information theyneed. Many studieshave shownthat would claimthatheorshehasaccessto allthe work, Probably noscientist,wherever theymay live and 3.1 information the generation of, andaccess to, scientific on thepatterns andtrends to withrespect previously, anddata have beenproduced SECTION 3.SECTION overcoming-barriers-access-research-information (2010) inbibliography for fullreference 2010: seeUNESCO Science Council (2010)andInternational Social Report future hasbeenhighlighted by UNESCO context ofbuildingasustainableglobal ofaccesshe importance to research inthe 51 Access problems , that findingisthataccessstillamajor key ‘the 50 . of The Importance needs ofhumankind” and fororientingscientificprogress towards meetingthe realizing thefullpotentialofscientific communities worldwide requirement butalsoessentialfor forhumandevelopment, “Equal access toscience isnotonlyasocialand ethical under theauspicesofUNESCO andtheICSU, declared, of course. The World Conference onScience, heldin1999 andunderstood,This problem wasalready acknowledged the previous 5years (Aronson, 2004). tocurrent journals, international subscriptions norhadfor USD 1000perannum,56%ofresearch institutionshadno wherethat incountries the be oneoftheirmostpressing problems. found This survey to journals claimaccessto subscription-based countries in theyear 2000found thatresearchers indeveloping serious. A out World carried HealthOrganization survey thedeveloping world,In thesituationiseven more unaffordable titles. of recession intheform ofprestigious ofattrition but are journals feelingand society-published thechillwind offerings on2-,3-or5-year deals)are beingcancelled pressure, (purchase BigDeals of ‘bundles’ ofapublisher’s budgetsaredeveloped willincrease. world under Library We accessproblems may alsoassumethatjournal inthe still sought,theUKNationalCommission for UNESCO adecadelater in2008,whenimprovementNearly was original journal Access route for thosewhoare unableto accessthe thataccessisbeingfulfilledthroughthe extent thatOpen 4 UNESCO Council andtheInternational Unions(1999): ofScientific 54 theUS:http://chronicle.com/article/Libraries-Abandon- In 53 e.g. The University ofSalford’s containing some1500full- newrepository 52 declaration_e.htm. (July 1).http://www.unesco.org/science/wcs/eng/Knowledge Scientific World Conference onScience;DeclarationScienceandtheUse of packages/32371 wiredcampus/british-research-libraries-say-no-to-big-deal-serials- http://chronicle.com/blogs/Expensive/128220/ andintheUK: itholds. downloads permonthof the30,000articles andtheUniversity ofLiegeinBelgium, with35,000 items initsrepository; whichsees30,000downloads amonthsofthecirca 6,000full-text UK, &Computer ofElectronics the School Science, University ofSouthampton, researchtext papers, experiences 25,000downloads oftheseeachmonth; 52 . 54 . per capita incomeislessthan 53

60 http://www.bmj.com/content/342/bmj.d196.full Access to GlobalOnline Research inAgriculture: 59 OnlineAccess to research intheEnvironment: http://www.oaresciences. 58 HealthInterNetwork Access to Research http://www.who.int/ Initiative 57 Abrahams, L,Burke, M,Gray, E&Rens, A(2008).Openingaccess to 56 that region access to anddisseminationofresearch publicationsin Universities Association (SARUA) revealed apictureon More recently, Regional African astudybytheSouthern OARE of this topic in section 4.3.2. of thistopic insection isresearch-based.whose work discussion There isfurther teachers) andindependentscholarsconsultants (middleandhighschool the educationcommunity consultancies), engineering companies, horticulturalists, (for community example, thepractitioner civil workers), firms, healthcaredoctors, legalpractices,accountancy include theprofessional (for community example, family These are what theBOAI terms ‘other minds’. curious They can benefitfrom access to thescientificliterature as well. and theirinstitutions. There are otherconstituenciesthat All oftheabove discussionrelates to academicscientists Publisher-mediated initiatives suchasthe WHO’s HINARI from beingrealised. Bangladesh demonstrated off from theseprogrammes, asthe of recent experience to raiseitseconomicstatusalittleitcanfinditselfcut manages status. Andifacountry developing country example, donotqualifyfor theseschemes, despite their rate, however relatively for poortheyare: Braziland India, capita whose USD1250and3500.Countries GNI between to thosewitha per institutionsubscription GNI above andbelowUSD1250,charging aUSD1000 differentiate thathave countries between a only to someusersincountries. The programmes Access bydefinition,however, sinceaccessis available for somedeveloping users. world They are notOpen 5 UNESCO (2008)Improving AccessInformation to Scientific for Developing 55 weaknesses” declining institutionalbudgetsandcurrency combined forces ofthehighcost ofjournalsubscriptions, toafford essentialscientificliteratureinability duetothe countries hastherefore beengreatly hampered by their concluded, http://www.aginternetwork.org/en/ org/en// hinari/en/ universities www.sarua.org/?q=content/opening-access-knowledge-southern-african- AfricanSouthern Regional Universities Association, Johannesburg, http:// African inSouthern universities.knowledge SARUA In 2008StudySeries, Scientific%20Information%20-%20May%2008.pdf http://www.unesco.org.uk/uploads/Improving%20Access%20to%20 Committee) Improving AccessInformation to Scientific Group Working Countries: UKLearned andJournal Access Societies Programmes. by Report 58 GNI is above USD 3500 pay the normal subscription GNIisabove subscription USD3500pay thenormal andAGORA 56 “Strengthening scientific indeveloping capacity

thatindicates thatimprovement isstillfar 59 provide free accessto journals 60 . per capita per capita (Natural Sciences per

55 . 57 , 100000 120000 140000 the lastfew years thatare in thatcollection ‘libre’ hasincreased greatly over ‘libre’ statuswherever possible. ofarticles The proportion isUKPMC,an effort whichhassystems inplace to secure level canberaisedconsiderably. The bestexampleofsuch place to ensure is collected thatthematerial ‘libre’ thenthe and are ‘libre’. Where specificpoliciesandprocesses are in anappropriate (usuallyCreative Commons) licence carry are ofthe articles ‘gratis’ thoughasmallproportion type, literature. of institutionalrepositories themajority In does notyet constitute thebulkofOpenAccess as what isknown ‘libre’ OpenAccess. ‘Libre’ OpenAccess other products, etc.), 1.3.2. asdiscussedinsection This is mined, in translated into otherlanguages, usedinpart ways (text- invarious to bere-used enable thearticle of OpenAccess, however, to doesrequire rights re-use for many researchers.necessary The formal definition ishelpfulandmay beallthatis article of ajournal Beingableto read asimplePDFrepresentationimportant. As well astheissueofaccess 61 See Robert Kiley’s of thisinearly2011:http://ukpmc.blogspot. Robert See summary 61 20000 40000 60000 80000 Figure of 3:Proportions ‘gratis’ (orange) and ‘libre’ (blue) com/2011/04/increasing-amount-of-content-in-ukpmc.html com/2011/04/increasing-amount-of-content-in-ukpmc.html 0 1 2 3 4 1 5 6789 2 3 Non-OA articles (peryear) articles Non-OA (courtesy of Robert Kiley, ofRobert (courtesy Wellcome Trust) articles in UKPMC 2001-2009 articles in UKPMC 61 (SeFigure 3). per se , the type ofaccessis , thetype OA articles (peryear) OA articles

25 Section 3. The importance of Open Access 26 Section 3. The importance of Open Access can beassumedto becurrently around 30%. overall percentage oftheliterature thatisopenlyavailable intheresults.variances Altogether, however, thecurrent groups usingdifferent methodologies, whichexplainsthe research outbytwo these studieshave beencarried these percentages downby discipline. broken Note that the literature from theyears 1998-2006.Figure 6shows The barsshowthe%OpenAccess, intheyear 2008,of Figure 5showsthelevels inrepositories (the ‘green’ route). different disciplines. in repositories (green (goldbars)for bars)andjournals been measured ways. invarious Figure 4showsthelevels (the ‘green’ route) (the andinjournals ‘gold’ route) have The current levels ofOpenAccess inrepositories material 1.4). see section through PubMed Centralarticles (andresearch datasets, ofjournal infrastructure inplaceto enablethesharing recent years, there andsophisticated isawell-developed OpenAccessrapid andextensive developments over thebiomedicalsciences, afieldthathasenjoyed In norm. 1.2)hasbecomeacommunity (seesection repository and astronomy becausedepositingfindingsinthearXiv physics ubiquitous inthefieldsofhigh-energy virtually benefits to behadfrom Open Access. Open Access is is fundingandeasily-identifiablescientificsocietal to where strongly there drive developments, particularly and norms, canhelp andtheinterplay thetwo between plays aroleInfrastructure here, culture asdoescommunity lagsbehind.practice computer science. To others, theconceptisnewer and physics,sharing, suchasinhigh-energy astronomy and cultureIn somecasesthere of field. isalong-established considerably from disciplineto disciplineandfield to The level thatisopenlyaccessiblevaries ofmaterial 3.2 Levels ofOpenAccess 10% 15% 20% 25% Chemistry andChemical Chemistry 3 Datafrom Gargouri 63 62 0% 5% Biochemistry, genetics, Physics andastronomy Figure 5:Percentage ofthetotalscholarlyliterature available Other areas relatedOther to Yassine Gargouri, within confidence limits. literature (Björketal, 2009:see bibliography forfullreference). Thedifference is Accessestimated thatthelevel ofOpen materialwas 19.4%ofthetotal Access.form ofOpen Thesamegroup Access measured Open in2006and group estimatesthatin2008,20.4%oftheliterature was available insome from Björketal,Data 2010(see bibliography forfullreference). Thisresearch the form ofOpenAccess by articles, disciplineandmode Figure 4:Percentage ofthetotalscholarlyliterature in OA journals('gold' OA) 1998 1999 2000 2001 2002 2003 2004 2001 2005 2006 2002 2003 1998 19992000 14% molecular biology Social sciences Earth sciences Earth Mathematics Mathematics engineering Engineering 16% in Open Access repositories in2010 medicine Medicine Medicine Université 18% of dissemination in 2008 et al ^YH :`HCV_ , 2011(unpublished;personalcommunication from % articlesthatareOpenAccess 10203040 0 du 20% (N = 210,212 articles) (N =210,212articles) 3 4,8 5,5 5,6 Publication year 8,1 7 10,6 Québec 13,7 13,9 20% 7,4 13,6 OA repositories ('green' OA) à 20,5 4,6 Montréal 17,9 17,5 22% 6,2 7,8 25,9 ) 62 23% 63 22% 21% 10 15 20 25 30 35 40 45 materials) Educational Resources (OER;teaching andlearning be only partly achieved ifresearchbe onlypartly information cannotbe things. can materials Openingupteaching andlearning there these Importantly, between isinterdependency 6 For example, theOERCommons: http://www.oercommons.org/ 66 notebooks Where experimental scientistspublishtheirlaboratory 65 Datafrom Gargouri 64 Open Data,Notebooks (orOpenScience) Open Access in thescientificdomainare such things as focused onopenpublicdomaininformation. Alongside and, indeed,withitsopenagenda inthewidersociety rootthat areinthescientific taking research sphere sitswithinabroad ecosystem of concept. It ‘open’ issues Open Access to research outputsisnotanisolated 3.3 region, thoughlittledatahave beenpublishedonthisyet. or Levels bycountry ofOpenAccess to are vary alsolikely 0 5 Figure 6:Percentage ofthetotalscholarlyliterature available in OpenAccess repositories in2010,by year ofpublication, Chemistry Chemistry Biology All fields Cameron’s LaBLog: http://biolab.isis.rl.ac.uk/camerons_labblog the UsefulChem and site: http://usefulchem.wikispaces.com/All+Reactions containing methodologies andresults openlyonthe Web. For example, see 1998 1999 2000 2001 2004 2002 200320052006 1998 19992000 agenda Open Access inthewider ‘open’ 66 , Open Innovation andOpenSource Software. , OpenInnovation Clinical medicine Mathematics Engineering broken down by discipline et al, 2011 (opcit) Biomedicine Psychology Physics 64 65 Earth sciences Earth Social sciences Health , Open Open Access isacrucialpieceofthisjigsaw. – research, teaching, creating, innovating – madeopen. and redistributed statistics, genestogeodata–thatcan befreely used, reused, is Open Knowledge to beachieved.to indicate thescopeofwhatistrying ofallto the bestterm use isperhaps Open Knowledge societies. commonsandbuildingtrueknowledge knowledge step inamove early towardsan important creating a alongside thenotebooks’ content. SoOpenAccess is found thatshouldbeOpenAccess inresearch articles andsynthesisoffindingsinthat domainarethe context resultsway towardsexperimental available to all: making notebooks onlygo some ofthe cases. Openlaboratory researchbarriers: results are teaching inmany materials toll behindproprietary included becauseitisstilllocked 67 Definition from the Open Knowledge Definitionfrom theOpen Foundation: http://okfn.org/ 67 ▶ ▶ ▶ ▶ ▶ ▶ Summary points on the importance of Open Access ofOpen pointsontheimportance Summary

everywhere There isaproblem ofaccessibility to scientific information and shouldbeclearlydifferentiated assomething different initiativesSome aimedat improving access are Access notOpen Resources, Science, Innovation Open Open Data andOpen agenda that encompasses Educational issuessuchas Open AccessOpen isnow joinedby otherconcepts inabroader ‘open’ literature opento allbutonlyto specificinstitutions oftheliterature,only to aproportion andtheydonotmake the provide Access: Open theyare notpermanent, theyprovide access poorest countries butalthoughthese provide access, theydonot There are someschemesto alleviate access problems inthe transition countries Access problems are accentuated indeveloping, emerging and Levels Access by ofOpen discipline vary 67 . It is the sum of intellectual endeavour isthesumofintellectual . It any kind ofinformation–sonnetsto any kind 27 Section 3. The importance of Open Access 28 Section 4. The benefits of Open Access A Open Access 8 These include:avoiding duplication, goingupblindalleys andredundancy 68 overcomes Authors cite anumberofproblems thatOpenAccess suchasreviewing theliteratureactivities for anewproject. cited inthepaper,articles andotherresearch-related itself, butpeerreview, whenreviewers lookupsupporting of themouse. This speedsupnot onlytheresearch process isavailable withafew Open Accessclicks thearticle world an In loansystems to obtain anarticle. or usinginter-library colleaguesinotherinstitutions, to theauthor writing asking world, asubscription-based thisentails own library. In thattheycannotaccessthrough their outarticles seeking and more efficiently. Scientistsdonot have to spendtime First, openliterature meansthatresearch canmove faster in anumberofways. An openresearch literature enhancestheresearch process 4.1 funders. scientists, theirinstitutionsandresearch successful interdisciplinary journals usinganOpenAccess journals successful interdisciplinary discipline). Also, inbusinessterms, itiseasierto launch if there isnostrong research programme intheother of another(theirinstitutionmay notcater for thisneed scientists inonedisciplineto locate andusetheliterature research iteasyforinterdisciplinary becauseitmakes disciplinesto resolve.various OpenAccess enhances increasingly require theinputandtechnologies from asscientificproblems to begrowing inimportance researchSecond, interdisciplinary isgenerallyconsidered and ‘returning oftheirownwork’. theirfaithintheintegrity SECTION 4.SECTION (2009) inbibliography) avoidinghindrances to peerreview; resource bias(seefullreference to RIN delays inthesubmissionofpapersto journalandfunding bids;avoiding for losingtheirthread andhaving anarticle, to revisit issues;avoiding in theirwork; avoiding disruptions to theirwork dueto theneedto search benefits for research itselfandfor communication bringsanumberof n openapproach to scientific Enhancing theresearch process 68 , enhancing the efficacy ofthe research, enhancingtheefficacy process The Benefitsof supporting it. supporting ofaresearch includinganytext datawithinitand article, not enough:thesetools moment. Access andbibliographic to detailsis abstracts thattheycannot the fact ‘see’ mostoftheliterature atthe for thefuture. Their promise, however, ishampered by and willform thebasisofanewapproach to research researchin pharmaceutical andsomeareas ofchemistry, computational applicationsare already usedextensively at speedsandinways thatthehumanbraincannot. These capable ofprocessing andbringing together information research –andcreate newknowledge. They are, ofcourse, across –often information disparate fieldsof from articles mining technologies. These computationaltools extract on anopenliterature, suchthingsastext-mining anddata- Third, thenewcomputationaltechnologies can their institution. finditdifficult toassessdemandwithin because libraries titlesthatcover abroadsubscription-based scientificbase and therefore demand, ithasalways beendifficult tosell model because, withlittlestrongidentity community for attheUniversidad example, deLos therepository Andes phenomenon canbeseenfor developing science: world were from repositories inthedeveloped world, butthesame usagewereexamples ofrepository given 3.1. in section These orbookshavejournals noneedto visitrepositories. Some the access. accesstoWould-be subscription userswithlibrary research of andatthesametimeisanindicator oftheseverity usagedemonstrates thelevelsData onrepository ofinterest in one click. appropriate andare keywords retrievable, intheir entirety, with immediately discoverable through a Web search using are inrepositories orOpenAccess are journals easilyand through that thisincreases theirchancesofusage. Articles ofresearchOpen Access maximisesvisibility outputsand 4.2 Visibility andusageofresearch need tobeable ‘read’ thefull only work work build their own knowledge societies build theirownknowledge economic benefit to developing astheyattempt countries to perceptions andintimedeliver an inthescientificcommunity research-intensive regions. This willhelpto changeroles and developing research world justasvisiblethatfrom wealthy, Access changesthisandredresses thebalance, making 1 As recognised by Africa’s DrBladeNzimande, South for Minister Higher 71 AndOpenAccess to overcome isexpected thegeneral dividebetween 70 publishesitsusagestatistics:http://www.saber.ula.ve/ This repository 69 most showed anincrease ofupto 200% with anincrease ofupto 600%found insomecases, though demonstrate thatOpenAccess increases citationsimpact open Access. The rest, however –about30studiesdo a few ofwhichdonotshowany increase incitationsfrom There have beenaround onthistopic, 35studiesconducted discussedabove. of citationsaswell astheusageimpact indicates thatOpenAccess canincreaseintheform impact A considerablebodyofevidenceisaccumulatingthat From derivesusage, andfrom visibility usagederivesimpact. 4.3 2010 in Venezuela downloadsin enjoyed over 4millionarticle indexing services towards developed outputs world indexing services and scientistsandthebiasoflargeworld abstracting hampered bythelackofchannelsfor reaching developed forvisibility developing research, world whichhasalways been them. being seenbyanyone whomighthave reason to cite that are ofcitingstandthemaximum chanceof worthy Access doesisto maximiseaudiencesize sothatarticles in thefirstplace, however many people read it. WhatOpen ofcitations isworthy article This isintuitive, sincenotevery thatisOpenAccess willgainadditionalcitations. article Two thingsare here. ofgreat First, importance notevery 72 A summary ofstudiescarriedoutupto thebeginning of2010showed Asummary that 72 education.gov.za/dynamic/dynamic.aspx?pageid=306&id=8720 knowledge createdtime –thescientific thedevelopingby world. http://www. this, enabling thedeveloped world to discover and consume easily –for thefirst producers andthe latter are ofknowledge consumers. OpenAccess willchange world andthoseoftheAfrican continent. Specifically, hesaidthatthe former are societiesofthedeveloped between theknowledge which hedrew adistinction Education, inaspeechto the2009 World Conference Education,in onHigher the reference list developed anddeveloping world. For fullreference seeGuedon(2008)in mainstream andperipheralinscience, includingthedividebetween the m=2011&mesinicio=01&mesfim=08 2011&end=02-08-2011&pyear=2011&pmonth=08&anoinicio=2011&anofi stats?level=general&type=access&page=down-series&start=01-08- not. See Swannot. See (2010) intheBibliography. 27 studiesdemonstrated acitationadvantagefrom OpenAccess and4did 69 . Importantly, Open Access provides this much-needed OpenAccess. Importantly, provides thismuch-needed 4.3.1 Impact ofresearch Impact Academic impact 71 . 72 . 70 . Open . Open innovative to businessescanbeexpected behuge. global effect oflackaccess to scientificinformation on economy,other developed, sothe knowledge-based that theDanishsituationissovastlydifferent from any institutes’ or customers thanfrom universities orpublicresearch the information theyneedmore easilyfrom suppliers showed that a recent survey ‘innovative find enterprises examineinnovative businessesatregular intervals: Surveys Second, theEuropean Union’s Innovation Community ‘citizens’ andtherest from andothers’.‘Government are from universities, 17%from companies, 40%from users perday ofthe2millionitems inthatdatabase, 25% biomedical literature) showthatofthe420,000unique data for PubMed Central (theNIH’s of large collection it isopenlyavailable to them.For example, theusage First, thatthesepeopleusetheliterature where itisknown there are pointers. the benefitsthatcanaccrue to theseconstituencies, but inourunderstandingoftheirneedsand research. isearly It aresectors ofscientific potential usersandbeneficiaries but theeducation,professional, andbusiness practitioner to patientsfrom accessto healthresearch information, isthebenefit ofimpact usedexampleofthiskind often onotherconstituencies.beneficial impact Themost- As OpenAccess well canhave ascitationimpact, 74 See more See detailsinHoughton 74 Parvan, S-V (2007) StatisticsinFocus: Science andtechnology, 81/2007. 73 to thescientificliterature the Danisheconomy, easyandfree to have access quick, itisfor thesecompanies, and data onhowimportant provides some SMEsinDenmark problems ofR&D-based Third, some recent studyingtheaccessneedsand work ▶ ▶ ▶ ▶ ▶ Summary points on the benefits of Open Access pointsonthebenefits of Summary SF-07-081-EN.PDF http://epp.eurostat.ec.europa.eu/cache/ITY_OFFPUB/KS-SF-07-081/EN/KS-

communities, andtheinterested public, to benefitfrom research AccessOpen allows theprofessional, andbusiness practitioner AccessOpen increases thevisibility, ofresearch usageandimpact AccessOpen enables computation upontheresearch literature AccessOpen ininterdisciplinary research is anenablingfactor research AccessOpen improves of andefficacy thespeed, efficiency 4.3.2 73 . Impact outsideacademia Impact 74 et al . There isnoreason to believe (2011)inthebibliography 29 Section 4. The benefits of Open Access 30 Section 5. Business models the annual price rises the annualprice upwith couldnolongerkeep began to fallwhenlibraries forever eventually beplundered subscriptions andjournal inthesciences.journals Butthebookbudgetcouldnot humanities have for paidtheprice of therocketingprices Towards theendof20 6 This hasbeendubbed the ‘serials crisis’. afullaccount See in Young (2009), 76 salesofaround academicbookwould 1500 the1970s atypical expect In 75 for buyingbooks. Booksalessuffered asa result thebudget subscriptions, generallybyplundering journal struggledto maintain upshot initiallywasthatlibraries indices.times therate ofinflationandotherprice The however, have prices spiralled, journal increasing bymany not considered to beexcessive. thelastfew decades, In were century,second halfofthetwentieth atleastprices was onlyfor thosewhocouldafford it,but,untilthe inthatsystemInherent wastheproblem thataccess cashtransaction for books. a one-off throughout theyear astheywere published, andthrough – usuallyonanannualbasisto receive issues thejournal paidafee (whereby andothersubscribers journals libraries information wasachieved through for subscriptions copyproduced, acostforcarried accessto every scientific methodswhich outthrough print-on-paper was carried Traditionally, andbecausescientificcommunication 5.1 journals. haspersisted successfullyforThe BigDeal more greater to selected thanbuyingindividualsubscriptions butthecostwasalsomuch single publisherthanhitherto, to offer theirpatrons access to farmore from material a deal –for 2-,3-or5-year were periods. Libraries thusable inapublisher’saccess to allthejournals list–abundled BigDeal. Underthismodel, purchased libraries so-called offered bylarger publishers withsizeable lists, journal the SECTION 5.SECTION listed inthebibliography. copies; printrunsare now typical between 200and500copies. communication business modelsinscientific The traditional context: 76 . th century, anewmodel was BusinessModels 75 . The sectors them commonlyusedby Web-based businessesinother range ofnewbusinessmodelshasdeveloped, someof case ofrepositories andsomeOpenAccess journals, a Where operationsare notcash-centred, suchasinthe to theirproducts. with newbusinessmodelsaimedatoffering Open Access new players are thecommercial entering publishingscene additiontoof scientists. thisinstitution-level approach, In press (ifthere isone),andindividualscientistsorgroups are –thelibrary, theuniversity engagedinthiseffort its control insome areas. ofinstitutionalplayerThree types backunder theactivity the research istaking community publishers)over thepast50years, society some learned to includes large commercial publishers (thiscategory Having largely relinquished academicpublishingactivities 5.2 literature. scientists, beganthemove to openupthescientific Against thisbackground, intheinterests ofscienceand budgets are onceagainundersevere pressure. to suffer aslibrary than adecadebutisnowstarting 7 Describedinmore detail in 77 ◾ ◾ ◾

national ICT organisation national ICT by ongoingsponsorshipfrom apublicbodysuchas Public sponsorsmodel:theoperationissupported support bycashdonationsorin-kind community bythe model:theoperationissupported Community institution bythe model:theoperationissupported Institutional (2007). See fullreference(2007). See underSwan (2007)in thebibliography. 77 scientific communication New businessmodelsin . In brief,. In theseare: A DRIVER’s GuidetoInstitutionalRepositories by repositories to thewiderresearch from a community research it ofthecommunity represents, effort ismade available freemake ofcharge to alltheresults ofthe will The valueproposition, whichisthateachrepository ◾ ◾ ◾ ◾ ◾ ◾ ◾ ◾ ◾ ◾ can be summarised asasetofpurposes: can besummarised learning. additional agendaofsupporting The overall case alsocovers educationalmaterials,a repository there isthe information andtopreserve improve teaching. Andwhere case may alsobeanchored in the imperative to properly an optimising research andmanagement. monitoring Where and usually madearoundandimpact maximisingvisibility them. that supports The businesscasefor repositories is value inotherways to theinstitutionorcommunity sellnothing,Repositories atleastfor cash,buttheyreturn

institutional e-portfolios and providing alocationfor thedevelopment of including providing accessto theses anddissertations To advertising through cashpayments fromsupported usersand/or Commercial model:theorganisation trades, andis users through payments from subscription supported its model:theoperationtrades,Subscription andis sharing ofdigitalsharing teaching andaids materials To progress, andfor projects collaborative orlarge-scale To activities To case ofspecialcollections) To students andotherstakeholders constituencies –prospective staff, prospective To result greatest asa possiblechanceofenhancedimpact ofoutputsandproviding the maximising thevisibility To to theworld community To openupandoffer support andsustain support facilitate and further facilitate andfurther provide andpromote manage andmeasure andcuratecollect showcase andsell onandinfluence impact 5.2.1 repository isconcerned, thebusiness repository Repositories theoutputsofinstitutionor digital outputs(orinputs, in the theinstitutionto interested studentendeavours, the development and a workspace fora workspace work-in- research andteaching developments by the UK(INASP services forbeen shownto beforthcoming someOpenAccess has financialsupport Community most-used services. now goinginto howto for secure thatsustainability the andconsiderablethoughtis sustainable inthelongterm, There thatsomeormostofthesemay notbe isconcern Sweden (SIDA over adecadebydevelopment fundsfromsupported to-use sponsoredto-use Business modelsvary, thoughmostare basedonafree- book publishing(from therepository). generation, search-and-retrieve, andjournal/ rankings, advice, (citation)statistics,statistics, CV policy impact thatcanbeprovided are usage Examples ofservices information seekers. the useofrepositories, bothbyinformation creators and for repositories. canreally boost Useful, popularservices to are success oneofthemainkeys services Repository social scienceresearch inLatinAmerica SocialScienceCouncil) regionalAmerica for repository An exampleofpublicsponsorshipistheCLACSO (Latin models.public sponsorshiporcommunity andreputation ofimpact –ortheyareinstitution interms returns valueto the becausetherepository the repository – thatis, theindividualinstitutionfinancesandsupports Business modelsfor repositories are eitherinstitutional theoutcomesto ofpublicly-funded work. sharing commonsand position ofcommitmentto theknowledge 5 For example, thearXiv, by donationsfrom research supported institutions 85 For example, OpenAccess thecommunity-created Repositories news list: 84 For example, theSHERPA thatprovides information RoMEOservice on 83 Network International for theAvailability ofScientific Publications: http:// 82 Development International Research Center: http://www.idrc.ca/EN/Pages/ 81 for Agency Dev Norwegian 80 Swedish http://www.sida. Development International Cooperation Agency: 79 78 http://www.clacso.edu.ar foundations andresearch institutions:http://plato.stanford.edu/ andsustainedby inthecommunity donationsfromup to date by experts ofPhilosophy,Encyclopaedia anOpenAccess resource compiled andkept andtheStanfordhttp://arxiv.org/help/support/arxiv_busplan_Apr2011 http://www.connotea.org/tag/oa.repositories?start=10 http://www.sherpa.ac.uk/romeo/ over alongperiodby theUK’s JointInformation Systems Committee (JISC): topublisher policieswithrespect self-archiving inrepositories, funded www.inasp.info/ default.aspx en/ se/English/ 5.2.2 85 andthismay beoneway forward. 82 79 ). ), Norway (NORAD ), Norway 83 Repository services services Repository orcommunity-developed elopment Cooperation: http://www.norad.no/ 80 ), Canada(IDRC 78 , whichhasbeen 84 model. 81 ) and 31 Section 5. Business models 32 Section 5. Business models introduced sofar, including:schemeswhere institutions in thisapproach. have Anumberofvariants been small publishers, larger oneshave found somepurchase publisher to publisherandthoughnotsuitablefor very from an institutionalmembershipscheme. vary Details Some OpenAccess publishershave alsointroduced unclear. –ofsuchinitiatives are sustainability long-term asyet access thisfund. outcomesThe long-term –thatis, the onhowauthorsmay Each institutionhasitsownpolicy institutions have alsoestablishedafundto pay APCs costs atthegrant-holder’s discretion research grants moneymay beallocated to publishing payment othercases, ofAPCs. fundershave In saidthat explicitly committed to providing fundsspecifically for the established for thispurpose. Someresearch fundershave research grant orfrom aninstitutionalfundspecifically Where acharge islevied, itispaidusuallyfrom theauthor’s 8 For http://eprints.nottingham. example, theUniversity ofNottingham,UK: 88 Central, BioMed alarge OpenAccess publisher, maintainsalistof 87 Various studieshave shown that53%(http://www.alpsp.org/ngen_public/ 86 Access are journals asfollows. publishers. ofbusinessmodelforThe maintypes Open to switch to anOpenAccess modelthanlarge commercial imperative to maximiseshareholder valuefinditiseasier publishersthatdonothaveand society astrong of doingbusinessthatissustainable, sosmallerpublishers The lower thecostbase, theeasieritisto develop away ofbusinessmodels. Open Access useavariety journals the minority anAPC,though,remain thatlevy in Journals countries). so asamatter ofroutine for authorsfrom developing will waive thisincaseofgenuinehardship andsomedo funders (thoughmost ispaidbyauthors, theirinstitutionsorresearch(APC) of thepublishingprocess. charge This article-processing achargeMany OpenAccess levy atthe journals ‘front end’ ac.uk/UniversityOpenAccessPublicationFund.pdf biomedcentral.com/info/about/apcfaq#grants mechanism for allowing payment ofAPCsfrom fundergrants: http://www. OpenAccessfoundations publishing by thatsupport having some http://www.earlham.edu/~peters/fos/newsletter/11-02-07.htm#list. Access publishersmakenoAPCfee journalspublishedby learned society ca.php) ofOpenAccess journalscharge nofees, andthat83%ofOpen sennoma.net/main/archives/2007/12/if_it_wont_sink_in_maybe_we_ and67%(http://www.article.asp?id=200&did=47&aid=270&st=&oaid=-1) 5.2.3 86 . 5.2.3.2 5.2.3.1 Open Access journals bona fide schemes membership Institutional Article-processing charges Article-processing OpenAccess journals 87 . Anumberof 88 . Medical Journal revenue streamhelped byanadvertising isthe itsresearchthat makes content OpenAccess online solution.Anexampleofaprestigious journal be apartial can costs,operation withsubstantialoverhead advertising an revenue sufficientadvertising to support to attract cannothope although thegreat ofjournals majority OpenAccess, salescanhelpto and support Advertising expenses(suchascommunicationscosts). overheads canhelpto defray any5.2.3.3), advertising unavoidable one(section thebasicbusinessmodelisacommunity If Access journals, conference proceedings andbooks source, technology for easy-to-use publishingOpen student) numbersattheinstitution flatrate annualpaymentsperiod; basedon researcher (or publishedinthepreceding inarrears for articles intervals schemes where institutionsare invoiced atregular year; that theirauthorswillpublishintheforthcoming pay alumpsuminadvanceto cover thecostofarticles 3 This titleearnsincome (itisaprimevehicle from for sellingadvertising 93 For example, theSciELO OpenAccess (Scientific journalcollection 92 For example, thePublic Project’s Knowledge opensource suite: software 91 For example, SciELO: www.scielo.br http://www. andBiolineInternational: 90 See, for example, theschemesoffered BioMed by http://www.Central 89 subsidised bystate fundsthatcover research regional andnationalresearch are journals largely Public where sponsorshipisseeninLatinAmerica, by community electronic publishing platforms electronic by community publishing ventures many ofthistype, ofthemspurred in print. There isahugenumberofnewOpenAccess in additiontheyare sometimessoldonsubscription They are publishedonlinefor free (OpenAccess) and who provide editing, peerreview andproductionservices. by researchers efforts the academy asaresult ofvoluntary aremodel underwhichjournals produced entirely within Relatively commonfor inthehumanities, journals thisisa Message/4634.html Message/4634.html any authororreader charges: https://mx2.arl.org/Lists/SPARC-OAForum/ and therevenue enablesitto offer its research content free onlinewithout intheUKmedicalarena) andsubscriptionstojob advertisements libraries American andCaribbean Center Information. onHealthSciences Council and ofScientific Technological Development (CNPq) andthe Latin oftheStatefor ofSaoPaolo Research Support (FAPESP), theNational Onlinewww.scielo.br) by Library the FoundationElectronic issupported launchdate 2011)http://pkp.sfu.ca/omp September (expected http://pkp.sfu.ca/?q=ocs and, indevelopment, JournalSystemsOpen bioline.org.br/ Corporation http://www.hindawi.com/memberships/ biomedcentral.com/info/about/membership Publishing andHindawi 5.2.3.4 5.2.3.3 93 . http://pkp.sfu.ca/?q=ojs, advertising orsponsorship advertising by Journals supported Community publishing 89 . Open ConferenceOpen Systems Open MonographOpen Press 92 . 90 British oropen 91 .

sales, allrise submissionsandimpact hasseen adopting thisOpenAccess model, Medknow aroundlibraries for theworld thehard copyversion. Since are freely are accessibleonlineandsubscriptions soldto successfully.adopted thismodelvery Allthecontents MedKnow, aMumbai-basedmedicalpublisher, has front endofthepublishingprocess. atthe charge (APC) anarticle-processing need to levy income covers costs,this subscription have journals no version. bysalesoftheprint model whollyorpartly Where theirOpenAccess publishing support Some journals relation to theirresearch programmes. to research in information andthecostisdisproportionate intensive countries, for example, stillneedto buyaccess on communication:research institutionsinlessresearch- intensiveness (ofinstitutionsornations) andexpenditure there isnotadirectrelationship research between entitiesarecases thesetwo thesame, thoughingeneral research course, ratherthantheconsumers. insome Of bytheproducerscosts willneedto borne bedirectly of 95 See case study on Medknow: http://www.openoasis.org/index. casestudyonMedknow: See 95 The Wellcome Trust, for example, provides moneyto cover OpenAccess 94 (and occasionallyexplicit oftheresearch process,part withtheconcomitanttacit that thecommunicationofresearch shouldbeconsidered byresearchacknowledgment institutionsandfunders over thecommunicationprocess. There isincreasing communication andresearchers agreater take control occurinscholarly asshifts grow inimportance toseem unclearatthisstage, themodelislikely ofthismodelmay Although thesustainability heat, lightandtelecoms services. publishing ventures 5.2.3.3)byproviding space, (section community universities informally often support pressa university orbythelibrary. As well asthese, costs, OpenAccess publishingoperationsby journal eventhey are ifitisbysubventing supporting, overhead formally publishingwherever subsidisejournal Institutions specific field. There isjustoneexample ofsuchamodel coordinated fashionto provide OpenAccess for that ina isalsopossiblefor to act aspecificcommunity It php?option=com_content&view=article&id=553&Itemid=378 php?option=com_content&view=article&id=553&Itemid=378 policy/spotlight-issues/Open-access/Guides/wtx036803.htm fees: http://www.wellcome.ac.uk/about-us/journal article-processing 5.2.3.6 5.2.3.5 5.2.3.7 Hard copy sales Institutional subsidy Institutional models Collaborative purchasing 94 ) acknowledgment thatthe ) acknowledgment 95 . institutions Open Access book production there isopensource now available specifically software for progressed over recent years. To cite examples, just two book productioninanOpenAccess environment has development ofnewtechnologies andplatforms for article-processing fee as article-processing happen andpublishersbenefitfrom theOpen Access Access butinmostcasesthisdoesnot optionrises asrevenue prices their subscription from theOpen itup. somecases,wish to take publishersreduce In to say theyoffer authorsa route to Open Access ifthey journals. Publishers listthisoptioninorder to beable subscription-based Open Access withinotherwise processing charges are individualarticles paidto make ‘Hybrid’ OpenAccess isthesituationwhere article- Physics) for OpenAccessConsortium Publishing inParticle in theplanningatmoment,SCOAP3 (Sponsoring 0 For example, Press: Open Monograph http://pkp.sfu.ca/omp 100 referred Sometimes to as ‘librishers’, having takenon a publishingrole. see 99 98 http://tillje.wordpress.com/2009/12/14/policies-of-oa-journal-funds-about- Wellcome Trust callsfor greater onjournalOpenAccess transparency 97 96 http://scoap3.org/ presses, libraries book publishing. have Initiatives comefrom university find viableandsustainablemodels for Open Access Increasingly, outto are experiments beingcarried fields anddisciplines, however, would seemlow. approach potential potentiallyto viable. scaleto other Its small numberoflarge research centres, this whichmakes andismainlyconcentrated ina small numberofjournals physics bya isadiscretevery High-energy fieldserved Access. isnowpreparingThe project exercise. itstendering theentirefor Open contents ofthosejournals making physics inreturn inhigh-energy the publishersofjournals with nationalresearch sumsto funders, willpay certain research societiesthat,together andscholarly laboratories initiative hasbrought ofinstitutions, together acollection dipping’. commonlyreferredengage inthispractice, to as ‘double small publishers enables them to take advantageofa small publishersenablesthemto take publishing platform for presses university and other Adema 2010)inthebibliography. andSchmidt hybrid-oa/ releases/2009/WTX057058.htm publishing costs: http://www.wellcome.ac.uk/News/Media-office/Press- 5.2.4 5.2.5 96 initiative in high-energy physics. initiative inhigh-energy The SCOAP3 98 canbeloatheto pay APCsto publisherswho 99 andeven commercial publishers. The ‘Hybrid’ OpenAccess Open Access books extra income. Funders 100 ; andanewcooperative 97 and 33 Section 5. Business models 34 Section 5. Business models 102 .See Adema 2010):reference .See andSchmidt listed infull inthebibliography. 102 Developed andoffered by OAPEN: http://project.oapen.org/ 101 work them to concentrate oncommissioningandeditorial inreturn for afee,full setofpublishingservices leaving for usebymultiplepublishers, sothatthesecostscan tool) hasbeendeveloped and marketing (i.e. the delivery case acollaborative publishingplatform anddigital library cost ofabook’s at leastone productionandediting. In the remaindering costs. Salesofthehard copysupport andthere are (warehousing) noinventory and necessary means thatfixed-length runsare print nolonger (POD)technology print-on-demand sales.print Modern their booksOpenAccess revenue onlineandearn from employed it,too. Publishers thedigital version make of least oneexampleofacommercial publisherthathas pressesUniversity tend to usethismodelandthere isat This isthemodelmostcommonlyinuseatmoment. reasons orto message. increase thereach ofaparticular thepublicationfor philanthropicwishes to support sponsorship for theoccasionalvolume where asponsor Though rare, itmay sometimesbepossibleto find costs ofdissemination. some ofthe islarge enoughtosociety beableto support societiesmay inthisway alsowork Some scholarly ifthe brand oftheinstitution. greater confidenceasinvestment inthe reputation and academic publishingandcannowbeviewed witheven level, in butsubvention hastraditionallyplayed apart not beacashreturn to atany theuniversity meaningful manymajor role casesthere inmaximisingthat.In may as valuableto ascashandapress auniversity canplay a forthan bystriving profit andprestigeby returning rather ofimpact valueinterms theoverall missionoftheparent institution to support thattheroleuniversities ofthepress to is acknowledge to theinstitutionindoingthis. The trend nowisfor of research outputs(books)even thoughthere isacost parent institutionrecognises thevalueofdissemination pressesThis isamodelusedbysomeuniversity whose The mainbusinessmodelsare listed below. development and activity inthisarea development andactivity 101 as their core activities. In all, astheircore there activities.In isagreat dealof 5.2.5.3 5.2.5.2 5.2.5.1 Hard copy sales Sponsorship Subsidy per se. Reputational capitalis 102 . websites: inthesecasesthemodelisstillinstitutional. Research groups may postdatasetsontheirresearch bytheinstitution. are supported institutional repository, sotheircurationandpreservation commonly, dataare deposited andstored inthegeneral few institutionshave moved sofar. inthisdirection More though thisisarelatively newdevelopment andonlya may establishdedicated datarepositories,Institutions Bioinformatics Institute). runbytheEuropean (suchasthedataservices supported UK Research Councils’ datacentres) orare community- National Centre for andthe Biotechnology Information operated bythe public bodies(suchasthedataservices Data thebusinessmodelisonebasedonsponsorshipby Where thereOpen isorganised infrastructureto support 5.3 publisher be shared, for cuttingoverheads eachparticipating 103 http://www.oapen.org/home have asocietalbenefit. lower operationalcostsin research institutions, andwould would gainsand becheaperoverall dueto efficiency an OpenAccess literature, whatever thebusinessmodel, These economicstudieshave allindicated thatmovingto traditional andnewforms communication. ofscholarly 5 years thathave examinedthecostsandbenefitsof outoverA numberofstudieshave thepast beencarried 5.4 book publisher over the next twelve months.book publisherover thenext from asales-basedbookpublisherto anOpenAccess This modelwillbeusedbythe World Bankasitmoves buyers for optingto pay theywant. extra whichever extras datasets, teaching aids, with translationsandsoforth, be extensivehyper-linking, additionalgraphics, linked levels –plusvarious ofaddedvalue.text Examplescould sothattherebe deconstructed isabasicproduct–the business models. For example, thenotionofabookcan Books offer scope for otherinnovativeand pricing Open data System costs 103 . 5.2.5.4 Other possiblemodels Other 104 See 104 See Houghton The Netherlands, andtheUS The studieswere donefor Denmark, Australia, theUK, 0 For example, benefit/cost theUKstudydemonstrated ratiofrom aforty-fold 105 knowledge ofinstitutionalrepositories tothe network disseminate through OpenAccess publishingorthrough journal using economic savings were shownto beachievable, whether be savings to bemade. pumped into thedisseminationsystem: indeed, there will butwillnotrequireknowledge, more moneyto be not onlybemore effective for communicatingscientific ▶ ▶ ▶ Access pointsonbusinessmodelsfor Open Summary 25 timesthecost. research publishedby themainFederal agencieswould bebetween 4and ‘green’ OpenAccess andfor theUSbenefit from Open Access to all (2009) andCEPA (2011).Full references inthebibliography.

agenda New businessmodelsare beingdeveloped the to service ‘open’ found forscientific communication These newbusinessmodelswillnotrequire more moneyto be Access journals, books, repositories, anddata services repository New businessmodelsare beingdeveloped andtriedforOpen 105 . The move to OpenAccess willtherefore et al (2006a), (2006b), (2009a), (2009b), Knowledge Exchange(2006a), (2006b),(2009a),(2009b),Knowledge 104 . In allcases, substantial . In 35 Section 5. Business models 36 Section 6. Copyright and licensing A Many publishingagreements, however, imposesevere publication isprecisely what theauthorseeksto achieve. and to publishthework, istheright bundle ofrights transfercopyright agreement (CTA). inthis Included bundle havea journal transferred a (whichisactually copyright Traditionally, however, to scientistssubmittinganarticle research establishments, for example. the casewhere researchers are employed byGovernment ownership underconditionsofemployment. This may be those circumstances where theauthor’s employer claims orbookresides withtheauthorexcept normally forarticle inajournal property The ownershipoftheintellectual 6.1 it. taken to ensure that copyright willnotimpede Open Access istheaim,rightsteps mustbe ’fair dealing’ exceptions to copyright law, soif Access cannotbemadeunderany ‘fair use’ or is notpossiblefor that work. Provision ofOpen copyright owner doesnotconsent, OpenAccess consents, thenOpenAccess canhappen:ifthe the copyright owner. thecopyright If owner because accessibility dependsentirely upon Copyright ofOpenAccess isat theheart jurisdiction. a scholarlynature. to each Details are particular of thework to bereproduced inotherworks of for thepurposeofpri allows awritten work, for example, to becopied special needsofthescholarlycommunity. This ‘fair dealing’ ofawork, to take account ofthe SECTION 6.SECTION of rights) to thepublisherbysigning ofrights) thepublisher’s makes specialpermissionfor ‘fair use’ or there isgenerallyjurisdiction aclausethat lthough copyright law varies by 6.1.1 Copyright andOpenAccess scholarship ofworks of Ownership vate study, and Copyright andLicensing Copyright for parts author andthishadincreased to almost7%by2008 not to require any form agreement ofwritten withthe 2005,3%ofpublisherswereand to 53%in2008.In found transfer from theauthorfrom 83%in2003,to 61%in2005 a drop inthenumber ofpublishersrequiring copyright indicated thatthere hadbeen this direction.A2008survey inthework. rights There seemsto beageneraltrend in therestneed to withoutacquiring publishthework ofthe Publishers canusesuchdevicesto acquire they therights and for theauthorto retain therest ofthebundlerights. this isfor thepublisherto have aLicence To Publish (LTP) chosen to publish. The mostcommonway ofachieving channels aswell asthrough inwhichtheyhave thejournal ofdisseminationthroughthey wantinterms alternative can beretained byscientists, allowingthemto dowhat published withoutsigning over possiblefor scientiststo have isperfectly theirwork It teaching andresearch. can even affect theauthor’s somecasesthese In ontheuseofwork. restrictions 107 See Morris (2009)Journalauthors’ Morris See rights:perception andreality http:// 107 Cox, JandCox, Publishing L(2008)Scholarly Practice; Third 2008: survey 106 agreement muchmore isoften liberalthantheybelieve signed apublisherCTA, are frequently wrong, andthe allowed to even do to having disseminate theirarticle, The perceptions ofscientistsinrespectwhattheyare allow self-archiving ofpreprints third albeit usuallywithanembargo andafurther period allow self-archivingAlmost 60%ofjournals ofpostprints, put inplaceto protect theirsalesrevenue. addition, In many allowself-archiving anembargo onlyafter period, provide any accessthemselves to and theirown work Nonetheless, somepublishersdonotallowauthorsto largely erroneous. OpenAccessbelief thatpublisherssystematicallyis thwart 108 http://www.sherpa.ac.uk/romeo/statistics.php?la=en www.publishingresearch.net/documents/JournalAuthorsRights.pdf asp?aid=24781 Shoreham-by-Sea, ALPSP. http://www.alpsp.org/ngen_public/article. Academic journalpublishers’ inonlinepublishing. policiesandpractices 6.1.2 Making work OpenAccessMaking own 108 all use of his/her work in useofhis/herwork . Sothecommonly-held rights. Some rights rights. Somerights 106 . 107 . publishers that ‘maintain reasonable businesspractices’ altogether orto rights useonly property intellectual at Berkeley, are to encouraging retain actively faculty universities, ofCaliforniaIndividual suchastheUniversity 1 University ofCalifornia Statement ofPrinciples onScholarly 111 The SURF/JISCCopyright Toolbox, developed by theSURFFoundation in 110 These two organisations have between themdeveloped theScholar’s 109 description. brief permission. These are different two situationsandwarrant themselves orbyanagentfor theauthorwithauthor’s to doso. canberetainedThe right eitherbytheauthors Open Access withoutany problem isto retain theright The simplestapproach canbemade thatwork to ensuring beginlevels to ofthepractice grow. theirstanceonself-archivingof publishersshifting as their positionmay change. There have already been cases Science Commons Two widely-usedauthoraddendaare thosefrom SPARC/ ofwork. the authortoo muchiftheoutputisanothertype butmay restrict article, if theauthorispublishingajournal commercial purposes, for example, whichmay well work theauthorto for usethework addenda restrict non- case. Many the author(orinstitution)ineachparticular so careto chooseanaddendumthatsuits mustbetaken considerably,a publisherfor publication.Addenda vary to thattheauthorwillretainrights passinganarticle after can appendto apublisher’s CTA andwhichstate the addenda’, specificpiecesoflegal wording thatauthors are rights retained. that thenecessary These are ‘author are tools available to helptheauthoramendCTA so The term ‘negotiation’ doesnotimplyhaggling:there this point. openlyavailablework bynegotiatingwiththepublisher at can, however, their retain theyneedto make therights from thatpointonisbygrace ofthepublisher. Authors usually moves into thepublisher’s hands. OpenAccess CTA rights property andthewholebundleofintellectual bythepublishertopublication authorsare sign asked a As noted above, atthetimeapaperisaccepted for recommendations-reports/statement_of_principles_for_web.pdf Publishing(2005): http://senate.britain.dnsalias.net/sites/default/files/ authors/ agreement inthelicence: http://copyrighttoolbox.surf.nl/copyrighttoolbox/ used ifanauthororpublisherwishesto amendthestandard publishing of theirown work. The Toolkit alsoprovides samplewordings thatcanbe This enablesthemto retain abundleofrightsfor themselves over theuse thatauthorscanassign to publishers. incorporates alicence-to-publish UK, the NetherlandsandJointInformation Systems inthe Committee (JISC) sparc/author/index.shtml plus abrochureprojects/publishing/scae/ aboutrightshttp://www.arl.org/ including SPARC’s own Author Addendum: http://sciencecommons.org/ Copyright Addendum Engine whichincludesanumberofaddenda, 6.1.2.1 109 andfrom SURF/JISC Rights retentionRights by theauthor 110 . 111 . the Committee forCooperation’ Institutional 12 research universities produced an ‘addendum from for of itsresearchers in2006and2007aconsortium aswell.use thework MITdeveloped anauthoraddendum provision for to theinstitutionitselfto holdsomerights agreements,of institutionally-developed there isusually agreements for authorsto offer In thecase to publishers. Sometimes, institutionsmay develop theirown 112 http://www.lib.umn.edu/scholcom/CICAuthorsRights.pdf so. Harvard University,so. Harvard themostprominent example, was Universities, too, canusethisformula, andsomeare doing void. subsequent agreement withapublisherandrenders it employee, asaconditionofemployment,predates any are usually establishments, over results rights produced byemployees As stated above, research inthecaseofGovernment conditions imposedbytheNIH from NIH-fundedresearch,publish articles even underthe this positionandthere are nownopublishersthatwillnot however,aftermath, isthatthesepublishershave retracted undersuchconditions.not publishNIH-fundedwork The publishers didindeedinitiallyannouncethattheywould OpenAccess,exclusive future to some make articles right similar), whichstipulates thatauthorsmustretain thenon- (the the caseofNIHpolicy Wellcome Trust is policy is notoffered asanoptionupfront bythepublisher. In though theauthorneedsto specifically request this:it though many do, includingsomeofthelargest publishers, Publishers are notobligedto acceptauthoraddenda, component institutions, andtheU. T. System”. authors,“the thecitizens of Texas, state the government, for thebenefitof intheirarticles must managecopyright managementguidelinesthatitsresearcherscopyright of The University Texas, for example, declares inits research outputsfrom fallingunderpublisherownership. mainstream anduniversities seekto protect future areon copyright increasing asOpenAccess becomes own Amendmentto Publication Agreement the sameyear ofCalifornia theUniversity produced its universities orresearch institutions addenda oragreements have beendrawn upbyindividual 115 Of publishers surveyed: list maintained by the Open Access Directory: listmaintainedby publishers surveyed: the OpenAccess Of Directory: 115 The OpenAccess maintains a listofaddenda:http://oad.simmons. Directory 114 113 http://osc.universityofcalifornia.edu/manage/model-amendment.pdf authors http://oad.simmons.edu/oadwiki/Publisher_policies_on_NIH-funded_ edu/oadwiki/Author_addenda

held bytheemployer. This agreement withthe 6.1.2.2 employer retentionRights by the 115 . 114 . Institutional policies . Institutional 113 112 . Other . Other and 37 Section 6. Copyright and licensing 38 Section 6. Copyright and licensing 117 QUT Intellectual Property Policy: http://www.mopp.qut.edu.au/D/D_03_01. Policy: Property QUTIntellectual 117 116 http://osc.hul.harvard.edu/policies separate database?Canthey usepassagesfrom to thetext dataandaddthem to anexisting, numerical Can theytake agraph ortableandputitinanotherdocument? extract it isnotclearto userswhattheymightdowithit:can Moreover, nolicenceinformation atall carries ifanarticle have somuch promise. thenewusesthat doesnot permit Access andcertainly 1.3) definitionsoftrueOpen seesection Bethesda, Berlin: however, doesnotconform to the ‘BBB’ (Budapest, is available for anyone to read, free ofcharge. This alone, orbooksection article ofajournal simply thatthefulltext The mostfundamentalconditionfor OpenAccess is 6.2 for purposes non-commercial articles nonexclusive, irrevocableto theirscholarly distribute right of faculties. Faculties voted to grant a theuniversity given byunanimousvotes ofmeetings thisright ataseries Policy Brisbane, Australia, Property haswording initsIntellectual For example, of QueenslandUniversity Technology in universities haveOther establishedsuchrights, too. work undertheseconditions:thatistheirchoice.work publisher rights. Publishers may optnotto publishthe the balancethatisstrivenfor and authorrights between refuse to undersuchconditions:thatis publishthework to atliberty course, thepublisherisperfectly position. Of place to enableOpenAccess, whatever thepublisher’s managementisin rights ensures thatthenecessary in advanceofany withpublishers, later arrangement Such agreements withauthors, madebytheemployer jsp#D_03_01.05.mdoc date. nolaterthan12monthsafterthepublicationrepository] commercial purposes)viaQUTePrints [theuniversity to disseminateaversion ofthework online(fornon- right tousethatwork forteaching, forresearch and retainingUniversity aperpetual, irrevocable, non-exclusive in scholarlyworks authored by staffissubjecttothe specifiesthatanyassignmentof University copyright Policy,Under thetermsofQUTIntellectualProperty the 117 6.2.1 Licensing asfollows: content isimportant Why licensing OpenAccess 116 . Broadly, thesewere: laid outtheconditionsfor 1.3). OpenAccess (seeSection and BethesdaStatement onOpenAccess Publishing The BudapestOpenAccess Declaration Initiative, Berlin encourages use. the work, instilling confidenceintheuserabouthowtheymightuse whatusersmay dowithitand, orbookclarifies by article despitepractice, theadvantagesitbrings. Licensingan Formal licensingisnotyet ubiquitous inOpenAccess thetechnology exemptmake from law UKcopyright theUKGovernmenthassignalledwriting itsintent to to enablethem.Atthetimeof in many jurisdictions become more widespread. Legal changeswillbeneeded astheuseofthesetechnologieswill grow inimportance creation.approaches to knowledge This secondmatter andforuse thematerial text-mining anddata-mining to understandhowtheycan both for individualsseeking ways withimpunity. inparticular material This isimportant andreassuresre-use would-be usersthattheycanusethe Proper, appropriate licensingsetsouttheconditionsfor on the Web? illustrate anargument indigital teaching placed materials 118 See theUKGovernment’s See http://www. announcement ofaplanaction 118 ◾ ◾ ◾ The Budapest Initiative states: The BudapestInitiative is proper accreditation ofthesource. The publisher may completely freeand soforth ofcharge. The onlycondition miningtechnologies,text blogs, clippedinto otherarticles, by search engines, excerpted crawled by andextracted, data, graphics andsupplements, to, may belinked crawled andbooks, including This meansthatOpenAccess articles yet, only Japan makes thispermissible. yet, onlyJapanmakes

ways without permission ways withoutpermission invarious mayThat thepublishedmaterial bere-used That theliterature isavailable immediately barriers orprice subscription That thepeer-reviewed literature is available without the righttobeproperly andcited.” acknowledged to give authorscontrol over oftheirwork and theintegrity and theonlyrole forcopyright inthisdomain,shouldbe onlyconstraint onreproduction“The anddistribution, g/11-1199-government-response-to-hargreaves-review response infull:http://www.bis.gov.uk/assets/biscore/innovation/docs/ Hargreaves (2011)(fullreference inbibliography) andtheGovernment’s carriedoutfor theUKGovernmentreview property ofintellectual by bis.gov.uk/news/topstories/2011/Aug/reforming-ip inresponse to arecent 6.2.2 Licensing principles 118 . As 119 The Directory ofOpenAccess The Directory Journalslists1535(22%ofthetotal 119 attachedto it). withaclearsetofpermissions own work individual authorswhomay alsowishto disseminate their This canbeachallenging taskfor somepublishers(or Access musttherefore word theirlicencesaccordingly. Authors andpublisherswhowishto enabletrueOpen practice. accreditation inalignment ofscholarly withthenorms book content, thepublisherisalmostalways cited inthe articles. withjournal With OpenAccesscase, particularly ofthataccreditation, thoughthisisnotalways the be part allowing fairuse/fairdealingonly and reserved) conditions (allrights traditional copyright Access donotoffer journals this, instead publishingunder Although libre OpenAccess istheideal, even mostOpen commercial useonly),oraformal licenceofsomekind. some modification for specificuse provision (e.g. non- may have astandard statement oronewith copyright nolicenceinformation atall. Others many items carry licences; seebelow). This isnotobligatory, however, so each item deposited (includingCreative Commons licenceto attachto depositor aparticular to select provision usuallymakes for software a Repository For content, there picture. repository isavariable used to besteffect isprovided onthe Creative Commons The explanationoftheselicencesandhowtheycanbe to ensure thatthere purpose. isasuitablelicencefor every Creative Commons of licences hasdesigned acollection tools andsoon. new information, crawled bytext-mining anddata-mining abstracted, ‘mashed up’ to withothermaterial produce Open Access) sense:thatis, theycanbereproduced, arepublished intheirjournals reusable inthewidest (libre licences to ensure thatthecontent ofthearticles Some OpenAccess publishersuseCreative Commons of licencesfrom whichauthorsorpublisherscanchoose. The Creative Commons organisation hasdeveloped aset org/doaj?func=sealedJournals&uiLanguage=en Europe ofApproval Seal (whichrequires a CC-BY licence): http://www.doaj. org/?func=licensedJournals. 763journals(11%ofthetotal) have theSPARC ofCreative6873) usingsomekind Commons licence: http://www.doaj. 6.2.3 6.2.3.2 6.2.3.1 6.2.3.3 Licensing practice Open Access journals Repositories Creative Commons licensing 119 . website 120 http://creativecommons.org/ ◾ ◾ ◾ a custom oneare: The advantagesofusingaCreative Commons licenceover and Share Alike. licences are NoCommercial, Attribution, NoDerivatives licence for thesepossibilities, too. ofCC terms The key derivatives to bemade, there isaCreative Commons commercialforms suchasnotpermitting ofre-use, Where publishersandauthorsmay some wishto restrict inany way. there-use restrict butdoesnot isre-used whenthework acknowledged atool thatrequires‘CC-BY’), thecreator to ofthework be Commons ‘Attribution’ licence(commonly referred to as for thepublisherto useinthisinstanceistheCreative insomeway,material themostappropriate licence who may develop newproducts to sellbyreusing the as freely reusable aspossible, includingbyotherparties Where theirwork publishersandauthorswishto make publishers andcreators to use.

effort indrawing upacustomeffort licence will suitthepublisher’s requirements, saving timeand aready-made licencethat There isalmost certainly gather and work upon gather andwork readable licence, whichcontent theyare to permitted tasks: thesetools canrecognise, bythemachine- outautomated andtext-mining tools carry harvesters simplifying processes where applicationssuchas metadata, The licenceshave machine-readable the licence willimmediatelya work understandtheconditionsof commonly used, sothatapotential of reader orre-user Creative Commons licencesare easilyunderstood and 120 . The site hasalicencegenerator tool for 39 Section 6. Copyright and licensing 40 Section 6. Copyright and licensing ▶ ▶ ▶ ▶ ▶ ▶ ▶ ▶ ▶ Summary pointsoncopyright Summary

Only a minor part of the Open Access ofthe Open literature aminorpart Only isformallylicensed at present: thisisthecaseeven Access forOpen journal Licensing scientific becauseitmakesworks isgoodpractice clear to theuserwhat canbedonewiththe work and by that canen publication A premeditated retention ofsufficient rights Opento enable Access isthe actionpreferable rather thanseekingpermis courseof Authors andothercopyright holders(employers andfunders)canretain therights theyneedto make thework Access Open about theirwork solongastheauthorsignsover thethemright to publishthework The normisto signthewholebundleofrights over to thejournalpublisher, to dothisinmostcas thoughitisnotnecessary Copyright isabundleofrights AccessOpen requires thecopyright holder’s consent an appropriate Creative Commons licence legalamendments to to copyright enabletext-mining anddata-mining inmostjurisdictions Otherwise, for law willbenecessary are machine-readable Creative Commons licensing becausethesystem isbestpractice iswell-understood, provides asuite oflicences that cover all content es: publisherscango needs, andthelicences sion post- courage use material without S Open Access its development where thepoliciesapply. their By increased awareness inOpenAccess andaccelerated research funders, institutionsandotherorganisations has development bysignificantThere isnodoubtthatpolicy 7.1 and international levels. Strategies are pursuedat institutional, national for OpenData. Open Access willneedto alsoembrace strategies building strategies into thefuture to support increasing alignmentUNESCO willfindthat literature andresearch data. Becauseofthis around theneedsto openupboththeresearch broader now, andinfrastructural development is for are bothissues, similarly activities advocacy development isproceeding alongthesamelines progress indistinguishable. practically Policy the desired outcomes interms ofscientific and OpenData, since the aims are soalike and arguments for OpenAccess to theliterature is,It however, becoming harder to separate the effective programme. advocacy need argument onitsown anddoesnotnecessarily Access to scientificinformation doeswork asan it shouldberemembered that thecase for Open strongbuild avery caseinsomecircumstances, Open Source Software). While doingthiscan agenda (suchasopenEducational Resources or arguments for otherelementsofthe ‘open’ aligning thearguments for OpenAccess with at many levels andinsomecaseshave involved development. Allthree have types beenpursued SECTION 7.SECTION to bealliedto anothercauseto create an advocacy-based andinfrastructure three maincategories –policy-oriented, trategies to promote OpenAccess fallinto Policy-focused strategies Strategies to Promote Ukraine, there isalreadyUkraine, alaw Brazil, Argentina, Germany andPoland, for the example. In law thatwouldcopyright assistthemove to openness, in on theprovision ofOpenAccess itselforonchangesto There iscurrently legislation beingconsidered, either changes inlegislation have beeninvolved. an openscientificliteratureIn somecases, (anddata). increasingly inviting andlistening to thearguments for bodiesareGovernments andotherpublicsector Open Access. other influentialorganisations on oftheneed for apolicy persuading research institutions, research fundersand Open Access have therefore focused on theiractivities Many individuals, groups andorganisations promoting asexamplesfor others. andto serve action ofOpenAccess,objectives to engenderinterest and to promote existence, policiesserve the aimsand very 122 A full list of existing mandatory policiesonOpenAccess Afulllistofexistingmandatory canbefound at 122 121 http://www.eprints.org/openaccess/policysignup/fullinfo. implementations Just afew examplesofsignificant policy 8.1). specifically aboutOpen Access (seesection the recent NationalLaw ofScienceinSpainhasasection developments, informationof thecountry’s society and ◾ ◾ ◾ Institutional-level mandatory policies mandatory Institutional-level Open Access are:

Institute of Institute Technology, in2006 Rourkela attheNational Indian institutionalpolicy The first of University Technology in2004 atQueensland The firstpan-institutionalpolicy in2002 Southampton, UK, of Electronics&Computer Science, of University attheSchool The firstinstitutionally-basedpolicy http://roarmap.eprints.org/ Archiving ofOpenAccess Policiesthe Registry Mandatory (ROARMAP): Rada%29 php?inst=The%20Parliament%20of%20Ukraine%20%28Verhovna%20 122 thathave hastened andpromoted 121 , passed in 2007 as part , passedin2007aspart 41 Section 7. Strategies to promote Open Access 42 Section 7. Strategies to promote Open Access different policy types is discussed in section 8. types isdiscussedinsection different policy considerably.compliance levels vary The effectiveness of in atleastonehigh-profile case(theNIH). that know We (but notall)andhasresulted instrengthening ofpolicy bodies bysomepolicymaking isundertaken with policy of compliance 1.3).Monitoring Open Access (seesection engender andhowwell theyalign withthedefinitionsof assessed bytheamountofOpenAccess content they successofOpenAccessThe long-term policieswillbe International-level mandatory policies mandatory International-level policies mandatory National-level ◾ ◾ ◾ ◾ ◾ ◾ commitment from institutions). signatures (whichalsocollects Declaration of the Berlin tool an influentialadvocacy for Open Access alongside and foundations that committo itsaimsandremains up science. canbesigned byinstitutions The Initiative around anduseto promote theideasaboutopening andsetofaimsthatadvocatesdescription couldcoalesce BOAI provided inafew, clear, unambiguousparagraphs a Foundations:called OpenSociety 7.4),the seesection (now Institute conceptualisation bytheOpenSociety foradvocacy therest ofthedecade. Funded inits Published in2002,itsetthedirectionfor Open Access The BOAI wasanearly, initiative. formal advocacy funders andresearch managers. thecasetoof OpenAccess, policymakers, andmaking main things–creating anevidencebasefor thebenefits Strategies have basedonadvocacy focused ontwo 7.2

the 7 20%ofresearch covering outunder The policy carried in 2009 tropics, Semi-Arid inHyderabad, India) headquartered ICRISAT Crops (international research for Institute the fromThe multi-institutional, policy international The Wellcome Trust policy, adopted in2005 ofHealth(NIH)in2007 Institutes adopted bytheUS’sThe OpenAccess policy National Research Councils 2005and2011 between The OpenAccess policiesadopted bytheseven UK 2008and2011 between University policiesadopted atHarvard The eightfaculty-specific Advocacy-based strategies th Framework Programme oftheEuropean Union scientists oftoday. The student ‘Free Culture’ movement of thefuture. root Culture intheyoung changeistaking ways ofcommunicatingscienceandare thescientists of openness, are opento thedevelopment ofbetter increasingly, studentswhoare receptive to thenotion targets researchersAdvocacy are policymakers, and, scientists butfor otherconstituencies, 4). too (seeSection the valueofaccessto scientificinformation notjust for benefits ofOpen Access hasbeen growing, demonstrating national orregional boundaries. The evidencebasefor the remit,some withaninternational someoperatingwithin to promote OpenAccess have 7.4), emerged (seesection activity.advocacy Organisations specificallyestablished Since 2002,there hasbeenincreasing in intensity 125 http://www.openaccessweek.org/ 124 http://www.righttoresearch.org/ 123 http://freeculture.org/ inbasicallythesameway). described This isnotallthat metadata(to ensurerepository allOpenAccess is material oftechnical standardswas mentionedinthecontext for interoperability. 2.1theissueofinteroperability section In infrastructure isinplaceto enableglobalaccessandtrue Open Access canonlybefullyachieved iftheright 7.3 and the Right and theRight To Research Coalition 2010, OpenAccess Week year theevent lasted aweek andhasdonesoever since. In ofSciencewassosuccessfulthatthenext Public Library world. The launchofOpenAccess Day in2008bythe place ontheground, takes locallyacrossthough. It the isnotlimitedAdvocacy to dedicated organisations, These organisations, andothers, are 7.4. listed insection ofopenscholarship, andpractices principles isonesuch. organisation managerspromoting ofuniversity the management: EnablingOpenScholarship, aninternational itself,community includingfrom theranksofsenior There are thathave alsoactors from arisen theresearch for Information LIBER, andEIFL(Electronic Libraries). at many levels. The European network, research library organisationeffective that haseffected advocacy change is ahighly (and itsEuropean andJapanesecounterparts) Open Access advocacy, aswould beexpected. SPARC hasastrong voice community in The research library withrespectto openingupscience.student activism in 90 countries andthemovementin 90countries isgrowing even bigger. Infrastructural approaches Infrastructural 125 involved thousandsofevents 124 are examplesof 123

◾ ◾ ◾ 130 http://www.eifl.net/ 129 http://www.libereurope.eu 128 http://www.nii.ac.jp/sparc/en/ 127 http://www.sparceurope.org/ 126 http://www.arl.org/sparc/ organisationsInternational library community withUNESCO.collaboration andpartnership forhave remits distinct andeachpresents anopportunity of themostprominent actors. These organisations all comprehensive list,butitpresentsofsome aselection in promoting OpenAccess. This isbynomeansa There are many organisations, large andsmall, engaged 7.4 data. These are areas where future willbefocused. work some challenging problems accessto research concerning amongstothers, aswell as management andpreservation another, assessment,andidentity impact usagereporting, information to from across onerepository thenetwork there remain interoperability issuesaround transfer of Access. The essentialcomponentsare inplace, but solutions for outstandingproblems andpromote Open set andupholdtechnical standards, develop technical organisations that plussupporting collections journal a Web-based ofrepositories andOpenAccess network What hasbeenachieved sofaristheestablishmentof get thefullfoundations inplace. needed, however, remains andmuchwork to bedoneto ◾ ◾

EIFL (Electronic Information for Information EIFL (Electronic Libraries) Libraries) Recherche -Association ofEuropean Research LIBER (LiguedesBibliothèquesEuropéennes de Coalition) SPARC Publishing (Scholarly andAcademic Resources in more than45developing andtransitioncountries organisation incollaborationwithlibraries thatworks for Information (Electronic aninternational Libraries): initiatives whilepursuingtheirownagendas organisations collaboratively alsowork onmany independentlyofSPARCof activities butthethree the US. This, SPARC like Japan,operates aprogramme SPARC Japan SPARC Europe Libraries intheUS Libraries promoting OpenAccess Organisations engagedin 129 126 : establishedbytheAssociation ofResearch 128 127 : The European equivalentofSPARC in 130 : EIFL research community International organisations thathave arisenfrom the their work. around thatpromote theworld of OpenAccess aspart organisations manyThere nationallibrary are alsovery 137 http://www.surffoundation.nl/en/Pages/default.aspx 136 http://www.jisc.ac.uk/openaccess 135 http://www.cis-india.org/ 134 http://okfn.org/ 133 http://www.ibict.br/ LatinAmericanFederated Scientific Network ofInstitutional 132 131 http://coar-repositories.org/ Infrastructure organisations ◾ ◾ ◾ ◾ ◾ ◾ ◾ ◾

institution managers open scholarshipto highereducationandresearch 2009 to of promote andpractices theprinciples Enabling OpenScholarship(EOS):establishedin based, reach butwithaninternational UK 2004 to ofallkinds. promote openknowledge FoundationOpen Knowledge (OKF):establishedin Tecnologia) Brasileiro emCiênciae (Instituto deInformação IBICT Documentation Repositories,Scientific RedCLARA FederatedLatin American ofInstitutional Network research promote IT-based innovationinhighereducationand organisation for Netherlands. to SURFfundswork SURF Foundation, theICT The Netherlands: research infrastructure development andevidence-based programmeJISC sponsorsawide-ranging ofcovering UK’s organisation for highereducation,the nationalICT Systems Committee), Information UK: The JISC (Joint emphasis onSouth-Southdialoguesandexchanges theCIS’sAlthough basedinIndia, missionhasan onsociety,of theInternet includingOpenAccess. onissuesrelatingin 2008,theCISworks to theeffect Centre &Society, for Internet Bangalore: established managers launchedin2009 membershiporganisationa worldwide for repository COAR (Confederation ofOpenAccess Repositories): development. sustainable community for education,learning, researchknowledge and Asiain Africa, andEurope andenablesaccessto php?option=com_content&view=article&id=533&Itemid=504&lang=es Documentation Repositories, R 137 136

133 ed CLARA:http://www.redclara.net/index. 131 134 132 135 43 Section 7. Strategies to promote Open Access 44 Section 7. Strategies to promote Open Access ◾ Funding organisations suppor ◾ ◾ ◾ ◾ ◾ 143 http://www.oaspa.org/ 142 http://ec.europa.eu/research/science-society/index.cfm?fuseaction=public. 141 http://www.dfg.de/en/index.jsp 140 http://www.fecyt.es/fecyt/home.do 139 http://www.soros.org/ 138 http://drf.lib.hokudai.ac.jp/drf/index.php?Digital%20Repository%20 Publisher associations

support ofOpenAccess support in internationally work development andadvocacy Foundations):OSF (OpenSociety fundsresearch, developments to helpOpenAccess body, scienceandtechnology, supporting including Tecnología): Spanishnationalresearch funding (Fundación EspañolaparalaCienciay FECYT Access infrastructural developmentsAccess andadvocacy infrastructural national fundingbodyfor Open research. Supports Forschungsgemeinschaft):DFG (Deutsche German Open Access infrastructure and policy development Open Access infrastructure andpolicy development across theEuropean Unionandsupports European Commission: fundsresearch and developments around repositories inJapan of Japaneseuniversities thatspecificallysupports Digital Federation, Repositories Japan:acoalition Association) OASPA (OpenAccess Publishers Scholarly topic&id=1294&lang=1 Federation%20%28in%20English%29 Access andbookpublishers journals 143 : amembershiporganisation ofOpen 139 ting Open ting Open

Access 140 138

141 142 ▶ ▶ ▶ ▶ Summary points Summary

partner partner national andlocallevels withwhomUNESCO could work and There are many pursuingthesestrategies actors oninternational, All three now increasingly embrace Data Open too and allare on-going All three approaches have bornefruit, theyare interdependent, andinfrastructure, andinadvocacy policy Strategies Access forOpen have basesinthedevelopment of P effective. even whereis necessary isat advocacy itsmost ensure a good policy outcomeensure agoodpolicy Open Access 144 See guidelinesinthePortuguese RCAAPOA See Policy Toolkit: http://projecto. 144 onOpenAccess andthiswasratified included asection wasreleased 2009inSpainthat inearly science policy law on in2007. Adraft wasintheUkraine national policy atnationallevel.some development ofpolicy The first As well asinstitutionalandfunderpolicies, there hasbeen (NIH) intheUS. followed ofHealth bytheNationalInstitutes 2005, quickly in biomedical research adopted itspolicy worldwide. It first wasthe Wellcome Trust, a London-based funder of introducing policiesover thepast5years orso. The just oneSchool. Research funders, too, have been sinceitaffected policy Southampton, a sub-institutional These are institutional policies–or, inthecaseof inBraga,Portugal. ofMinho University Technology, Brisbane, in2004and, later inthatyear, atthe of thewholeinstitutionatQueenslandUniversity covering the School’s wasfollowed repository. byasimilarpolicy It authors’ final version oftheir peer-reviewed in articles) (the authors inthatSchoolto placetheirpostprints in2002. ofSouthampton,University UK, This required by theSchoolofElectronics&Computer Scienceatthe to have any oneadopted real effect wasthemandatory declaration ofapproval for theconcept,firstpolicy that involved encouraging OpenAccess orissuinga approaches While there policy hadbeenvarious 8.1 SECTION 8.SECTION startdown&id=336 startdown&id=336 rcaap.pt/index.php/lang-pt/consultar-recursos-de-apoio/remository?func= structured processstructured isthebestway to to theprogress ofOpenAccess anda development isofcriticalimportanceolicy policies Development andgrowth of 144 Policy Framework for . Policy support on 12 May 2011 on 12May 4 Ley delaCiencia(government press release inSpanish):http://bit.ly/nfeiAC. 145 institutes andresearch fundersacross that theworld nonetheless many thousandsofuniversities, research Welcome thoughthegrowth inpolicesis, there are 8.2 Argentina policies over thelastdecade Figure OpenAccess 7showsthegrowth ofmandatory been introduced insomeinstitutions(82policies). andmaster’s doctoral policies covering theseshave also in research-based institutions(31policies).Mandatory facultiesorschools policies) andindividualdepartments, (52 policies),universities andresearch institutes (132 Open Access policiesinforce from research funders there At thetimeofwriting are intotal 297mandatory 4 http://roarmap.eprints.org/ (accessed August 2011) 148 Archiving Policies ofOpenAccess Mandatory The Registry Repository 147 146 http://www.unlp.edu.ar/uploads/docs/con_sup_junio_2011anteproyecto_ Figure 7:Growth policiesonOpenAccess ofmandatory (data for (ROARMAP) growth: monitors policy http://roarmap.eprints.org/ de_ley_de_repositorios.pdf For atranslationoftherelevan 8.2.1 Policy issues years 2006onwards shown by year-quarter) 146 , Poland andBrazilatthepresent time. 145 Voluntary or mandatory Voluntary ormandatory . Laws are alsounderdevelopment in Source: ROARMAP t Article into English:http://bit.ly/l4wmVQ t Article 147 . 148

45 Section 8. Policy framework for Open Access 46 Section 8. Policy framework for Open Access 150 In surveys, over In 80%ofauthorssay theywould bewillingto cooperate 150 Studiesby Sale(2006)andGargouri 149 beinginplace of years ofthepolicy repositories, averaging 60%oftotal acouple outputafter institutions succeedinaccumulatingcontent intheir policiesat institutional orfunderpolicies. Mandatory have real effect policiesmustbemandatory, whether Evidence hasunequivocally demonstrated thatto (research works total scholarly outputs). repositories remain obstinately lowataround 20-30%of forand withoutpoliciesdepositlevels (self-deposit) have notyet – implemented anOpenAccess policy be mandated inthisway to act Evidence showsthatresearchers are quite happyto self-archiving. policiescompared to thelevelmandatory ofvoluntary the levels ofOpenAccess ininstitutionalrepositories with 50% andrising. at thebeginning of2008.Compliance isnowwell over took effect andthenewpolicy mandatory thepolicy make following year). The USCongress thenordered NIHto low (below5%inthefirst year and not muchbetter the grant-holders, thecompliancerate remained stubbornly widelyandinforming despite publicisingthepolicy 2005but, inMay policy The NIHintroduced avoluntary manifestation ofthis. members vote to approve amandate for OpenAccess, isa in policiesbasedonthe model’,‘Harvard where faculty Technology policies, compared andCERN)withmandatory withthe (universities of Minho andSouthampton,QueenslandUniversity of (universities ofMinho

Figure 8:Percentage ofthetotalinstitutionaljournalarticle Percentage of Open Access outputs madeOpenAccess by self-archiving inrepositories reservations. See Swan See reservations. &Brown (2005);fullreference in the bibliography 14%saying theywould dosowithsome with amandate andafurther show this:fullreferences inthebibliography. 100% 10% 20% 30% 40% 50% 60% 70% 80% 90% 0% level ofself-archiving atnon-mandated institutions

Minho 2002 (source: Gargouri etal, 2010)

CERN at four institutions 2003 Queensland et al 150 2004 Southampton (2010)have produced datato . The recent growth 149 . Figure 8shows

4 institutions 2005

Non Mandated 2006 been carried outto providebeen carried tools thatenable theauthor technicalincidents ofthistype, development has work one from theirresearch funder. response to In increasing –onefrom theirinstitutionand policy one mandatory Some scientistsmay findthemselves undermore than isavaluabletool.terms, therepository scholarship forresearch thatinstitution.In management from aninstitution,forming record apermanent ofdigital andmadeOpenAccess atanappropriaterepository time. Access. toThey require bedeposited ina articles policieshave afocusAll mandatory on ‘green’ Open payofftoll-access journal. from anotherwise consider requiring asa OpenAccess for sucharticles fundersthatallowthismightnow journals: subscription for decadesto pay colourcharges orpagecharges to shouldbenoted thatgrant moneyhasbeenused It thepayment ofAPCsfromfunds butpermit grant money. Open Access rathermore journals; donotallocate new funds specifically fees to pay for for article-processing few universities) alsoprovideSome funders(andavery Access ifthere journal isasuitableone. include encouragementto scientiststo publishinanOpen on policy ‘gold’ OpenAccess to date, thoughmany do journals. to publishinparticular There isnomandatory ‘gold’ OpenAccess: thatwould meancompellingscientists would problematical beextremely to for insiston apolicy repositories) canbemandated byinstitutionsorfunders, it approach for eachtype. While ‘green’ OpenAccess (using and ‘gold’, OpenAccess, butthere isadifference of cancover eitheronly A policy ‘green’, orboth ‘green’ in terms of collecting together ofcollecting in terms staff,of therepository ithasinstitutionalbenefits, too, enable themto benefitfrom theadviceandassistance forinstitutional repository deposit.Notonlydoesthis policiesnaturallyobligeauthorsto usethe Institutional for deposit. willbethemostappropriate place institutional repository where there isnotapopularcentralrepository, the than theirinstitutionalrepository. otherdisciplines, In rather inthecentralarXivrepository deposit theirarticles physics,loci. In for example, scientistsmay prefer to the disciplinestheyfundthere may beachoiceofdeposit deposited in ‘a suitablerepository’, thatin acknowledging mustbe Many funderpoliciesstipulate only thatarticles 8.2.2 8.2.3 Types ofOpenAccess Locus ofdeposit all theresearch outputs 5 The conclusion ofastudyontheoptimaltechnical andorganisational 152 For example, SWORD(Simple deposit): Web Offering repository Service 151 other repositories onceandfor ittoto becopiedinto depositanarticle collected through implementation of a mandatory policy. throughcollected implementationofamandatory research programmes andcanensure is thatthematerial stewarding capitalresulting theintellectual from their have astrongInstitutions interest and incollecting that theversion thatmustbedeposited is thepostprint policiesgenerallyspecify With articles, respectto journal the literature given away for free byscientists. 1.4, booksrepresent adifferent of caseastheyare notpart include theseinthemandate since, asdiscussedinsection Access (chapters) to butdonot booksandbooksections Many policiesspecificallymentionandencourageOpen most policiesdeveloped sofarare thesis-specific. inLatinAmerica, somecase,outputs. andinparticular In (masters whichare, anddoctoral) ofcourse, peer-reviewed As well asthesethings, many policiescover theses have’ for OpenAccess. category those casesfallinto the ‘nice to have’ ratherthan ‘must literaturejournal remains themainpublicationroute: peer-reviewed andpublishedsomeofthetime, butthe other disciplines conferenceIn proceedings may alsobe disciplines, notablyengineering andcomputer sciences. publicationroute for some because thatistheprimary also encompasspeer-reviewed conference proceedings Many policies articles. policiescover journal Most practice. limited to peer-reviewed material, amatter ofgood and mostrepositories thatenablessearching usesoftware The target for OpenAccess isthepeer-reviewed literature content repositories ofdistributed from thatnetwork therequired to becreatedcollections byharvesting locus for depositandfor centralised, subject-specific ofinstitutionalrepositories tonetwork betheprimary the greatest amountofOpenAccess content, isfor a needs ofallstakeholders,andhasthepotential to collect onethataccommodates the The optimumarrangement, compliance withpoliciesandenhanceOpenAccess. author. These schemessimplifylife for authors, encourage ofthe funder mandates to theinstitutionalrepository deposited there asaresultto sendacopyofarticles of full reference inthebibliography. toinfrastructure deliver OpenAccess onanationalscale(Swan http://swordapp.org/ 8.2.4 8.2.4.1 151 Content types . UKPMC isdeveloping themeans Literature et al , 2005): 152 . cover theissueofpublisherembargoes. may mentionthis. then thepolicy willalso The policy OpenAccess,will bepublishedisto allowpreprint-only inwhichthearticle ofthejournal thepolicy been made. If placeandanyreview required hastaken changeshave – thatis, theauthor’s oncepeer- final version ofthearticle 5 See, for example, theCentre for GlobalDevelopment’s newdatapolicy: 153 software levels, ofrepository themostcommontypes To accommodate this, and hencemaximisedeposit final submission to thejournal. iswhenitreadyan authorto deposittheirpostprint for months have publication. passedafter The naturaltimefor to forgetauthors are almostcertain aboutdepositing once The problem withallowingembargoes, however, isthat policy’. language suchas ‘in accordance withthepublisher’s of embargo allowed andnotsimplyleave itasvague shouldspecifythelength any6 months. event, In policy science funderpoliciesthemaximumembargo allowed is inaconsiderablenumberof the maximumpermissible: a12-monthembargo policiesmake and mostmandatory notinthepublicinterest,the community, andcertainly anything longerthanthatisconsidered unreasonable by science, publisherembargoes are 6-12months: normally with totheirpublisher.position ofdifficulty respect In embargoespermit sothatauthorsare notplacedina thisand OpenAccessMost policieswillacknowledge Access. This isaresult ofpublishers’ fears offallingsales. embargo beforecan be madeOpen period anarticle notall–stipulate an Many publishers–butcertainly niche players aswell aslarge research funders thesepoliciesareoften beingimplemented bysmaller, Research dataare increasingly covered bypoliciesand follow. development now, development will OpenDatapolicy Access to theliterature. Where there isOpenAccess policy asdevelopingis notasstraightforward policesfor Open Open Datapoliciesistherefore aspecialisedissuethat be released for otherreasons. andwording Developing andspecialcaseswhere datacannot issues ofprivacy exceptional into account becausepoliciesmusttake policies thatcover thetext-based literature. Dataare policies are notusually, however, thesame(OpenAccess) transparency-policy.php http://blogs.cgdev.org/globaldevelopment/2011/08/cgds-new-data-code- 8.2.5 8.2.4.2 Embargoes Data 153 . These 47 Section 8. Policy framework for Open Access 48 Section 8. Policy framework for Open Access 5 The exceptions are theUKPMC funders(8UKmedicalcharitiesandthe 154 holder. ofthecopyright the permission 6,OpenAccessAs isdependentupon discussedinsection distinction policiesgenerallyavoid this Existing mandatory grow from themomentofdeposit,despite theembargo. thearticle’sarrangement, canbegin to usageandimpact providing asinglecopyfor study. private Through this be user. This isallowableunder ‘fair use’: theauthoris for acopyto beemailedtoauthor asking thewould- automatically sendsanemailmessageto thedepositing hasa The software ‘request acopy’ button that down thelinefrom publication. researchers remembering to depositsixortwelve months onethatwould result thatrelied from upon partial apolicy record oftheresearch outputsoftheinstitution,not Also, andimportantly, theinstitutionhasacomplete even isnotopento them. thoughthefull-text the article, itispossibleforperiod usersto discover theexistence of engines (e.g. theembargo GoogleScholar),soduring displayed. The metadataare indexed by Web search and sopublisherscannotprevent themfrom being from are thetimeofdeposit.Metadata notcopyrightable metadata(thetitle, authors, etc)that thearticle are open There issomethingmore to this, ensures too: thesoftware OpenAccess. thearticle automatically makes software. Attheendofthatembargo period, thesoftware chooses theembargo lengthfrom alistprovided bythe and atthetimeofsubmissionto thejournal postprint theauthordeposits offer anembargo facility: this can be expected tothis canbeexpected continue. upwards, to andasmore OpenAccess convert journals Creative is Commons liberalre-use licensingto permit too farahead. The trend for OpenAccess to use journals an issuefor future policy, thoughthatfuture willnotbe is ofchoicebecausepublisherresistance.journals It difficult forauthors topublishin itvery as itwould make a step too faratpresent, despite itspromise for science, Access journals. charge for publishinginOpen ofan article-processing the wholeorpart ResearchMedical Council), whichrequire libre Open Access where theypay 8.2.7 8.2.6 154 . Requiring libre. Requiring OpenAccess isconsidered Gratis andlibre OpenAccess Permissions 155 http://www.mopp.qut.edu.au/D/D_03_01.jsp#D_03_01.05.mdoc Intellectual Property Policy Property Intellectual Technology, whichhasthefollowing wording inits An exampleoftheformer of isQueenslandUniversity bytheauthors.those rights as aconditionofemployment,ortheycanbegranted caneithersecure rightsthemselves sufficient Institutions needto findwaysAccess, withthat. to work policymakers Where authorsretain right toenableOpen sufficient ▶ ▶ ▶ ▶ ▶ Assignment ofscholarlyworksAssignment Ownership ofcopyright Ownership ▶ ▶

QUT’s openaccess digitalrepository. communicate that work onlinefornon-commercial purposesvia research andcommercialisation purposesandto reproduce and in favour ofQUTto allow QUTto usethat work forteaching, irrevocable, worldwide, royalty-free, non-exclusive licence of that work. The to aperpetual, assignment issubject QUT assignstheright to publishscholarly works to thecreator(s) whichwould prevent suchanassignment,party QUTeffecting Provided that QUTdoesnothave contractual obligations to athird academic andprofessional staff. employment. QUT’s ownership ofcopyright appliesto both the work iscreated by staffmembersinthe course oftheir above, QUTasanemployer istheowner ofcopyright where In accordance withgeneral law 3.1.4 principlesnoted insection (Cwth). the right to publishawork asreferred to intheCopyright 1968 Act The “right to publish” 3.1.5means scholarlyworks inthissection contemplated 3.1.5. by this section record thelicence infavour ofQUTto usescholarlyworks as If required, astaffmemberwillsigndocuments to more fully a scholarlywork andQUT’s non-exclusive licence to that work. member’s ownership oftheright ofpublication ofthecopyright in If required, QUTwillsigndocuments to more fullyrecord thestaff referred 3.1.5. to inthissection tonon-exclusive thetermssubject licence ofthepre-existing to publish thescholarlywork entered into by thecreator willbe Any subsequent publication agreement orassignment oftheright the manuscriptviadigitalrepository. publisher)onthepublicationof publication of by thethird party publisher-requested embargoes of12months or less(from date post-peer review manuscriptversion. QUTwillagree to third party maythe digitalrepository bethepublishedversion orthefinal The version ofthescholarlywork that QUT can make available via 8.2.7.1 Authors ascopyright holders 155 : 5 For example, theUK’s Research Economic & Social Council’s states policy 157 156 http://osc.hul.harvard.edu/policies to reach acceptablecompliancelevels.usually necessary programmeone. is Agoodadvocacy to backupapolicy another, isimplemented iscertainly the policy strong, inthis, isonefactor The wording buttheway ofthepolicy Compliance levels dovary, policies. even for mandatory purpose for any non-commercial articles theirscholarly distribute to anonexclusive, theUniversity irrevocableto right where researchers insixfacultieshave voted to grant position, University An exampleofthelatter istheHarvard part of the balance of rights andchoices. ofthebalancerights part not to underthoseconditions, publishwork andthatis dependent onpublisherpermissions. Publishers may opt routine, sothattheprovision ofOpenAccess isnotatall isfor rightspractice tobe sufficient retained, asamatter of are transferred to thepublisherasamatter ofroutine. Best becauserights dependsonpublisherpermission policy development atthemoment, mostcasesofpolicy In weak one. agreement withpublishers. compromises thisbydeferring to publisherinterests immediately they are positionthat publishable. Apolicy is thatscientific results are placedinthepublicarena shouldbeconsidered.different parties Thepublicinterest wording apolicy. Above all, thebalanceofinterests ofthe thesethingsinto accountwhen shouldtake Policymakers stance onembargo length. Publishersthe postprint. areto changetheir alsounlikely self-archivingchange position,whenasked,to permit of of affairs It isunusual for many authors.for apublisher to thisisforjournals thepreprint state only, anunsatisfactory some form ofself-archiving, of thoughinaround one-third of more thanhalfofjournals, thepublisherdoesallow offer asstandardIn thecase to besuccessful. isunlikely from permission publishersfor moreSeeking thanthey Open Access mustbesoughtfrom thepublisher. publisher CTA work to make 6),permission (seesection thecasewhensigningas ismostoften astandard Where theauthorhastransferred to thepublisher, allrights is permitted by publishers’ licensing orcopyright arrangements’. that itrequires itsgrant-holders to maketheirwork OpenAccess ‘where this 8.2.8 156 . trumpsanyThis right other, subsequent 8.2.7.2 Compliance Publishers ascopyright holders 157 isa complied withthepolicy Wellcome’s letter asksgrant-holders why theyhave not reminding themoftheirobligationsunderthepolicy. NIH, for example, have sentoutletters to grant-holders has beensomesuccess. Boththe Wellcome Trust and the Where fundershave to increase tried compliancethere matching itagainstaccumulationofOpenAccess content. labour-intensive, manualsearching oftheliterature and that result from theirfundinghasbeenlargely through to thefunder.final project report thepublications Tracking sothatarecordperiod ofthemdoesnotappearinthe publications follow theendofproject-funding after published from research theyhave funded. Often, know difficultprecisely whathasbeen forthemto Funders finditeven more ofachallengeasitis very isachallenge. policy compliancewithanOpenAccessand somonitoring ofuniversities donothavethe vastmajority suchasystem, deposited hasto intherepository. besaid, however, It that whetherallitems publishedarea methodfor also tracking items published. Where thisisthecase, theinstitutionhas Many CRISalsorecordforth. thebibliographic detailsof groups, equipmentpurchased, collaborations, andso System) thatrecordsInformation grant awards, research Some universities have aCRIS(Current Research repository’s content is. gives onlyanapproximation ofhowcomplete the against whatisrecorded by literature indexingservices content 100% oftheliterature, the repository sochecking a simpletask. thatcovers There isnoindexingservice more easilythanfunderscan,thoughitmay stillnotbe canmonitor compliancewiththeirpolicies Institutions 159 http://publicaccess.nih.gov/citation_methods.htm the See Wellcome Trust OpenAccess compliance audit2009:http:// 158 the software the right metadatafieldsthatcancapture theright the software with fundersto understandtheirneedsandto build into developers are software alsobeginning toRepository work submission numberisobtained. does, indeed, to PMC submitthemanuscript sothata grant applications reference ornew inproject reports whentheycite articles submission use thePubMed manuscript Central (PMC) programmes. The NIH nowrequires itsgrant-holders to for better oftheoutcomes monitoring oftheirfunding There are moves nowbylarge fundersto develop systems their responsibilities andinterests inthisprocess. the grant-holders’ institutions, thereby reminding themof WTX052748.htm WTX052748.htm www.wellcome.ac.uk/About-us/Publications/Grantholders-newsletter/ 159 . This ensures thatthegrant-holder 158 . These fundersalsowrote to 49 Section 8. Policy framework for Open Access 50 Section 8. Policy framework for Open Access 6 This hasworked well attheUniversity ofLiègeinBelgium, inpractice where 162 RuizBravo: Director forResearch, NIHDeputy Norka Extramural ‘Other 161 Anexampleofareward system for depositingisthatoperated atthe 160 enhances itsreputation andthatoftheindividual placed onhowopeninguptheinstitution’s outputs statisticsto awardingand impact prizes. Emphasisis usage institution butrangesfrom publicisingrepository programme. Precise from institutionto detailsvary in therepository, there isastrong, sustainedadvocacy ofpercentageterms oftheiroutputsthatcanbefound institutionsin In allthebest-performing really effect. take Policies, however to well worded, support needadvocacy ofcarrotmixture isusuallyencouragedbya Compliance withapolicy in helpingthemassessthesethings. will increasingly seethevalueofanOpenAccess literature across theworld, anduniversitiesimportance andfunders on research investment are issuesthatare growing in outcomes ofpublicspendingandto demonstrate return become more widespread. Beingableto accountfor the days to ofdevelopment,the early grow butis likely and information ongrants andawards. This isanarea thatisin and tenure applications self-archiving to promotionsanctions, includinglinking Research institutionmanagershave adifferent setof ‘suspending funds’ beingoneoption withitsgrantees,the NIHthatitmay becomestricter step, butthere have beenstrong hintsinthepastfrom grant-holder failsto comply. Sofar, nonehave this taken funding, orsuspendcurrentrefuse funding, further ifa Research fundershave anumberofoptions. They could rewards fail. and whenadvocacy sanctions may considerexerting of theapplicant. promotion ortenure to seethepublication record hewillusetherepository the rector’s makes clearthatwhenapplicationsare madeto himfor policy science.319.5861.266 funds’. in Quoted inanarticle program director callwithareminder, to –suspending themostextreme possible ways offorcing scofflawsto complyrange from having a Message/2807.html incentivise theirresearchers: https://mx2.arl.org/Lists/SPARC-OAForum/ item for to deposited, every thusincentivisingdepartments departments University ofMinho, Portugal, where cashpayments are madeto 8.2.10 8.2.9 160 Advocacy Sanctions [this article istoll-access]. [this article and stick approaches: policymakers andstickapproaches: policymakers 162 Science . , 18 January 2008,266 , 18January 161 . DOI:10.1126/ funding to pay for them. to theuseofgrant pay APCsorpermit of thepolicy-holder ‘gold’ OpenAccess where there isawillingness onthepart Finally, aspecificstatement about somepoliciesmake to thejournal. and thepublisherwillrequire to beassigned fullcopyright journal where theauthorwishesto publish inaparticular retention policy, andaccommodates thoseinstances need this. Usuallythisoptionoperates alongsidearights- to request awaiver andprovide thereason why they will notcomplyfor somereason, theyare invited formally Some policiesprovide awaiver facility. authorscannotor If promoted behaviour andbenefitsisalways stronglyscientists: linking 6 For thathave arangeofeffective activities been proven advocacy inuse, 163 are shownin Table 1. however, have andthese anumberofmainvariants arisen large. practice, In isvery total numberofpermutations onalltheseparameters sothe possible for policiesto vary course, ofpolicies. itis inatypology Of summarised issuescovered above canbe inthesections The policy 8.3 guide-for-librarians guide-for-librarians openscholarship.org/jcms/c_7152/making-the-case-for-open-access- see EnablingOpenScholarship’s briefingpaper for librarians:http://www. 8.2.12 8.2.11 A typology ofpolicies A typology 163 . ‘Gold’ OpenAccess Waivers made available for thispurpose). mayexample, merely thepolicy encourage authorsto publishinOpenAccess may wishto describeas journalsorthepolicymaker Note 2:Any ofthesepolicies may includementionof ‘gold’ OpenAccess wishesauthorsto dointhatr andwhatthe policymaker Note 1:any ofthesepoliciesmay require libre OpenAccess, thoughsofaralmost allhave onlyrequired gratis OpenAccess. Table 1: Typology ofOpenAccess policies:mainvariants inuse Type 1:Immediate deposit, nowaiver oImmaterial No Type 5: Voluntary e oYes, whatever No Yes Type 4:Depositif/whenpublisherpermits Yes, butspecified No Yes Type period 3:Depositwithinacertain Usually. Embargo Usually Yes maker(b) Policy alreadyholdssufficientrights Usually. Embargo Usually Yes (a) Authorsassignsufficientrights topolicymaker Type 2:Rights-retention Yes, onopening Yes Yes Mandatory

Immediate deposit requires the publisher by thepolicy Type 1 handled asin Type 1 handled asin from deposit metadata open of thefull-text:

Embargo permitted No Yes This type of policy accommodates This ofpolicy allpublisher type Yes No accommodates, This ofpolicy type to adegree, publisher No Optional applieswhere already thepolicymaker This ofpolicy type Yes Yes applieswhere does thepolicymaker This ofpolicy type Yes Yes applieswhere does thepolicymaker This ofpolicy type No Optional Retention of rights

Waiver permitted requirements, includingembargoes ofany length coverage sciences, and12months ifithasabroader disciplinary appliesonlyto thenaturalis usually6months ifthepolicy maximum lengthoftheembargo period. this Inpractice requirements foranembargo, butitspecifiesthe that thecase has therights to thework produced orisprepared to make prevents publication inthejournalofchoice usually granted theoptionof awaiver where thepolicy rights to make the work Access. Open The creators are prepared to acquire from thecreators ofthework sufficient not already have therights to thework produced butis and request acopy from theauthor would-be userscandiscover theexistence ofthearticle metadata to bevisiblefrom thetimeofdepositsothat foranembargo period.the policy requiresThe policy the permissions mustberespected, entailing provision in author orwiththepublisher. Inthelatter case, publisher rights where theyalready reside –that is, eitherwiththe the work covered by thepolicy. leavesThe policy the not already, anddoesnotwishto, acquire therights to oe Example Notes Athabasca University University ofSouthampton Wellcome Trust University of Queensland Technology Faculty &Sciences ofArts UniversityHarvard University ofLiege http://osc.hul.harvard.edu/hfaspolicy Li%C3%A8ge php?inst=Universit%C3%A9%20de%20 openaccess/policysignup/fullinfo. http://www.eprints.org/ policy/research/openaccess.htm http://www2.athabascau.ca/secretariat/ eprints/policies/oapolicy.html http://www.soton.ac.uk/library/research/ WTD002766.htm Policy/Policy-and-position-statements/ http://www.wellcome.ac.uk/About-us/ jsp#F_01_03.02.mdoc http://www.mopp.qut.edu.au/F/F_01_03.

egard (for pecific fund

51 Section 8. Policy framework for Open Access 52 Section 8. Policy framework for Open Access ▶ ▶ ▶ ▶ ▶ ▶ ▶ ▶ ▶ ▶ ▶ Summary points on policy bestpractice pointsonpolicy Summary

require depositat thetimeofpublication withthefull-textofitem remaining intherepository, butclosed, until theen Embargoes: covering research data outputs Content typescovered: policies may central alsodothis, ormay repository insomecasesspecify aparticular Deposit locus: choose policiesshouldonly Access routesOpen covered: accumulatetype highlevels ofmaterial. Evidence alsoshows that researchers are happy to bemandated onthisissue type: Policy stated inthepolicy ‘ Waivers: should ensure that theseare identified, understood andappropriate onesimplemented fail to whereproduce otherefforts thedesi apolicy: to support Sanctions known, understood, andappropriate onesimplemented apolicy: to support Advocacy compliance canbeimproved and, by advocacy effective where necessary, sanctions Compliance withpolicies: acknowledge thisby accommodating a ‘loophole’ forpublishersto exploit a Licence To Publish. Where copyright ishandedto thepublisher, Access Open willalways dependuponpublisherpermissionand Access canbeachieved withoutproblem, sufficient rights toenablethat shouldbe retained bytheauthororemployer andpublish Permissions: Gold’ Access: Open where a policy is mandatory authorsmay ismandatory notalways where apolicy beableto comply. Awaiver insuchpoliciesto accommo clauseisnecessary policiesmay request andencourage provision Access, ofOpen ortheymay require it. Evidence shows that onlythelatter, mand Policies shouldspecifythemaximumembargo lengthpermitted andinscience thisshouldbe6months at most:policiesshould Open Access Open dependsonthepermissionofcopyright holder, makingitvulnerable to publisherinterests. To ensure that Op

deposit may berequired eitherininstitutionalorcentral repositories. Institutionalpoliciesnaturally specifytheformer:f where afunderorinstitutionhasspecific commitment with to payingrespect ‘gold’ fees, thisshouldbe article-processing allpoliciescover policiesshouldalsoencourage Access Open journalarticles: forbooks:funderpolices are increasingly encourage compliance is given: according levelsthat apolicy vary to andtheongoingsupport thestrength ofthepolicy policiescanrequire ‘green’ Access Open by self-archiving butto preserve authors’ freedom to publishwhere they there are should ensure Access policymakers provenofanOpen theseare policy: insupport practices advocacy both institutions and funders have sanctions that can be used in support of an Open Access policy: policymakers Access policymakers ofanOpen bothinstitutionsandfundershave that policy: canbeusedinsupport sanctions ‘gold’ Access Open through publication Access inOpen journals d oftheembargo period policies must ers assigned red outcome under date this atory, en Guidelines case. there are somedifferences varies whereforeach policy institutional policy-makers. similar,The setsare very but Guidelines are setoutbelowfor research fundersandfor andpolicy-making. advocacy needed inthree areas –infrastructure development, towork bedoneto raisethislevel. Continuing is work reached 30%ofthewholeliterature there isconsiderable journals, butasthis OpenAccess hasnotyet corpus content accumulatinginrepositories andOpenAccess Some successhasbeenachieved, withOpenAccess Open EducationalResources andOpenInnovation. target for opennessinscience),OpenScience, a primary becoming includedalongsidetheresearch literature as allied conceptssuchasOpenData(whichisincreasingly ‘gold’ OpenAccess. There are alsoagreed definitionsof researchmaking findingsopenlyaccessible– ‘green’ and gratis andlibre OpenAccess routes andthetwo to concept ofOpenAccess itself, between thedistinctions are formal andexplainthe definitionsinplace to describe have alreadyway-markers beenreached andpassed. There practical,strategic andpoliticalgoals. Critical particular inthefield–and establishedactors between focused on – muchofitcoordinated through collaborative efforts There promoteto effort isaworldwide Open Access strategiesright andpolicies. knowledge isachievablewith the database ofscientific interoperable, available permanently open,re-usable, all constituenciesthatcouldbenefitfrom it.Aglobal, optimise thedisseminationofscientificinformation to presented bythe opportunity World Wide Web to The casefor isbuiltaround OpenAccess the policy 9.1 SECTION 9.SECTION The context The context Summary Policy Summary the publicwillderive. reason andthebenefitsthatscientists for thepolicy this, fundersmay wishto considerthefollowing issues: and implementanOpenAccess policy.preparing for In Research fundersare therefore encouragedto develop on publicinvestment inscienceisthereby maximised. communities, aswell astheinterested public. The return the education,professional, andbusiness practitioner it to reach allconstituenciesthatcanbenefit,including the visibility, ofresearch, usageandimpact andenables and usedbyallwhocanbenefit.Open Access increases of theirfundingare disseminated aswidelypossible public moneytheywillwishto ensure thattheresults respect to OpenAccess. Where fundersare disbursing with Research fundersplay acrucialrole inpolicymaking 9.2 books are not ‘give-away’ literature articles asjournal a specialcasebecauseofthe issue ofroyalty payments: research that theseare monographs butacknowledge and theses). They alsoaddressofincluding thedesirability peer-reviewed articles, conference proceedings (journal the target content for OpenAccess literature isthejournal The accepted plainthat definitionsofOpen Access make should therefore hand, are effective, right support.given the Thepolicy policies, ontheother Open Access corpus. Mandatory OpenAccesswork gatherrelatively littlecontent for the Policies thatencourageor request their scientiststo make 9.2.2 9.2.1 other research funders Guidelines for governments and require content target Scope ofthepolicy: Form ofpolicy that scientistscomply, statingthe 53 Section 9. Summary policy guidelines 54 Section 9. Summary policy guidelines deposit is specified as the local repository intheauthor’sdeposit isspecifiedasthelocal repository is bestfor the growthIt ofOpenAccess, however, if leave thelocusfor depositinthis case to theauthor. disciplines thisisthecase):funders sometimeswishto physics andbiomedical direct deposits(inthehigh-energy thataccepts there repository may beacentralsubject thatmay betargetown repository location.Otherwise, in thecaseof ‘green’ OpenAccess. thefunder hasits If Policies are to shouldspecifywhere bedeposited articles publishanarticle. them whentheynext these journals, andencourageauthorsto consideroneof asasourceJournals ofinformation abouttherangeof ofOpenAccess shouldpointto theDirectory publish. It remove thescientist’s inwhichto choiceofjournals but only Access journals. canandshould The policy – ‘green’, through repositories, and ‘gold’, through Open Policies routes shouldexplainthe two to OpenAccess (CC-BY,academic purposes or ‘attribution’ licence). an explanationofthemostappropriate licencefor most similar) licensingprocedures shouldbeprovided, with required. GuidanceontheuseofCreative Commons (or the libre definitionis to beencouragedthoughnot wording.in policy The provision that satisfies ofmaterial future acknowledgement ofresearch, andassuchdeserve The reasons for libre for OpenAccess the are important wherever possible.alongside theirarticles and That said, canalsomention anOpenAccess policy are andthetwo betterOpen Access notconflated. policy mustcover more complexissuesthanan data policy funders nowhave OpenDatapoliciesinplace, buta but isbestcovered document.Many byaseparate policy Research data policy. mandatory and isencouraged,of thoughitcannotbethesubject access to themonograph literature isequallyimportant target literaturethe journal butthat isthemainpolicy are. Policies shouldfollow thismodel, specifyingthat encourage 9.2.5 9.2.4 9.2.3 encourage can scientists to make theirdatashareable scientiststo make How to comply withthepolicy libre OpenAccess gratis or ofthepolicy: Scope Locus ofdeposit be the subject of a mandatory policy, ofamandatory bethesubject ‘gold’, would sinceto dootherwise require ‘green’ is to be. ofthedepositprocess, howlongtheembargo part period automate thisprocess oncetheauthorhasindicated, as can software mostcases,end ofthatperiod.repository In willbeopenlyavailable atthe to ensure thatthearticle isto beaccommodatedperiod theauthor isrequired immediately itisready for anembargo publication.If shouldrequireThe policy thedepositofanarticle his/her funder. finds underobligationsfrom bothhis/herinstitutionand solution thatstreamlines thesituationwhere anauthor duplicated inotherrepositories,and have theirarticle a Technologies existthatenableanauthorto depositlocally institutions to establishrepositories for thispurpose. that naturallystipulates localdeposit,andencourages many ofwhichare implementingtheirownlocalpolicy thisway,institution. In thefunderworks retained byitselfortheauthorsothatOpen Access can for thefunderto requirenecessary are thatsome rights thiscase, itwillbeusually embargo (6months).In periods though mostfunderpoliciescurrently doallowshort accommodate anembargo, thisshouldbemadeclear, made openlyavailable. thefunderdoesnotwishto If many insiston anembargo before is period thearticle self-archiving (the ‘green’ route via repositories), though allow ofjournals should alsoexplainthatthemajority these to beableto disseminate asrequired. thework It andthatitispossibleto retainof rights sufficientof Funder isabundle policiesshould explainthatcopyright this). permit under ‘double dipping’ conditions, many fundersdonot are (becausemosthybrid journals journals published to usethesefundstoit ispermissible pay APCsfor ‘hybrid’ explained. There shouldalsobeastatement onwhether available andhowto accessthesefundsshouldbe funds available for OpenAccess publishingtheamounts andifthefunderispreparedpurpose additional to make state to whetheritispermitted usegrant fundsfor this fees for article-processing ‘gold’ shouldclearly journals. It Funders apositiononthepayment of shouldtake 9.2.7 9.2.6 9.2.8 (APCs) charges Article-processing Time ofdeposit Copyright with institutions, ◾ ◾ brought to bearonnon-compliers. mightbe compliance,monitoring andwhatsanctions policy. Funders thattheywillbe shouldalsostate clearly prepared the to putthesesystems inplaceto support grant-holders, willbenecessary. Funders shouldbe recalcitrant andgeneralorspecific to particular periodic and ofadvocacy interms support ‘reminders’, either be expected. Evidencesuggests, however, thatadditional willbemandatory, complianceshould Since thepolicy authors shouldpublishelsewhere. where thepublisher’s requires policy alongerembargo, clearthat embargo.of thepermitted shouldalsomake It Open Access. state thelength shouldclearly The policy publicationbeforecan bemade after period anarticle Funders embargo may decideto accommodate ashort circumstance: inthis be clearonwhichoptionthefunderistaking be effected immediately atpublication. should Thepolicy material maymaterial beused. human andmachineusertheconditionsunderwhich for thusclarifying both Commons licenceto eachwork, forBest practice self-archiving isto assign aCreative the policy. clearto publisherswhatoptionstheyhavemake under optionally offer thepublisher. Finally, should thepolicy to, asuitable may alternatively provide,The policy orpointauthors position isfor inwhichtheywishto publish. thejournal sothattheycancheckwhatthe lists publisherpermissions shouldpointauthorsto theSHERPAIt that RoMEOservice

the work OpenAccessthe work author to assign rights tothefunder sufficient tomake The funder, asaconditionoffunding, requires the Open Access author to the retain rights work tomake sufficient The funder, asaconditionoffunding, requires the 9.2.10 9.2.9 Licence To Publish Embargo period Compliance andsanctions whichtheauthormight the publicwillderive. reason andthebenefitsthatscientists for thepolicy issues: institutional managersmay wishto considerthefollowing implement anOpenAccess policy.preparing for In this, are thereforeInstitutions encouragedto develop and of thatvalue. them,andOpenAccess ispart to thepublicthatsupports are increasingly beingrequired to demonstrate theirvalue it benefitfromandimpact. Public universities thisvisibility public. Boththeinstitutionandindividualscientistsin and businesscommunities, aswell astheinterested benefit, includingtheeducation,professional, practitioner research, andenablesitto reach allconstituenciesthatcan Access increases thevisibility, of usageandimpact both onthemoralargument andself-interest. Open The casefor OpenAccess atinstitutionallevel isfounded 9.3 but a data policy mustcover more complexissuesthanan but adatapolicy universities currently have OpenDatapoliciesinplace, but isbestcovered document. Afew by aseparate policy Research data policy. mandatory and isencouraged,of thoughitcannotbethesubject access to themonograph literature isequallyimportant target literaturethe journal butthat isthemainpolicy are. Policies shouldfollow thismodel, specifyingthat books are not ‘give-away’ literature articles asjournal a specialcasebecauseoftheissueroyalty payments: research thattheseare monographs butacknowledge theses). They alsoaddress ofincluding thedesirability peer-reviewed articles, conference papersand (journal reviewed literature thatisgiven away for free byauthors that thetarget content for OpenAccess isthepeer- The accepted plain definitionsofOpen Access make should therefore hand, are effective, right support.given the Thepolicy policies, ontheother Open Access corpus. Mandatory OpenAccesswork gatherrelatively littlecontent for the Policies thatencourageor request their scientiststo make 9.3.1 9.3.2 policy-makers Guidelines for Institutional can require Form ofpolicy content target Scope ofthepolicy: be the subject of a mandatory policy, ofamandatory bethesubject

that scientistscomply, statingthe 55 Section 9. Summary policy guidelines 56 Section 9. Summary policy guidelines is to be. ofthedepositprocess, howlongtheembargo part period automate thisprocess oncetheauthorhasindicated, as can software mostcases,end ofthatperiod. repository In willbeopenly available atthe to ensure thatthearticle isto beaccommodatedperiod theauthorisrequired immediately itisready for anembargo publication.If shouldrequireThe policy thedepositofanarticle his/her funder. finds underobligationsfrom bothhis/herinstitutionand a solutionthatstreamlines thesituationwhere anauthor ordesirbale, duplicated inotherrepositories ifnecessary enable anauthorto depositlocallyandhave theirarticle in theinstitutionalrepository. Technologies existthat Policies are to bedeposited shouldspecifythat articles publishanarticle. them whentheynext these journals, andencourageauthorsto consideroneof asasourceJournals ofinformation abouttherangeof ofOpenAccess shouldpointto theDirectory publish. It remove thescientist’s inwhichto choiceofjournals but only Access journals. canandshould The policy – ‘green’, through repositories, and ‘gold’, through Open Policies routes shouldexplainthe two to OpenAccess (CC-BY,academic purposes or ‘attribution’ licence). an explanationofthemostappropriate licencefor most similar) licensingprocedures shouldbeprovided, with required. GuidanceontheuseofCreative Commons (or the libre definitionis to beencouraged thoughnot wording.in policy The provision thatsatisfies ofmaterial future acknowledgement ofresearch, andassuchdeserve The reasons for libre for OpenAccess the are important wherever possible.alongside theirarticles and That said, canalsomention anOpenAccess policy are andthetwo betterOpen Access notconflated. policy encourage 9.3.6 9.3.5 9.3.4 9.3.3 encourage scientists to make theirdatashareable scientiststo make How to comply withthepolicy libre OpenAccess gratis or ofthepolicy: Scope Time ofdeposit Locus ofdeposit ‘gold’, would sinceto dootherwise require ‘green’ the funder is taking inthiscircumstance: the funderistaking at publication. shouldbeclearonwhichoption The policy author sothatOpenAccess canbeeffected immediately to require are thatsomerights retained byitselforthe for theinstitution thiscase, itwillbeusuallynecessary In accommodate anembargo, thisshouldbemadeclear. made openlyavailable. theinstitution doesnotwishto If many insistonanembargo beforeis period thearticle self-archiving (the ‘green’ route viarepositories), though allow ofjournals shouldalsoexplainthatthemajority It of theseto beableto disseminate asrequired. thework andthatitispossibleto retainbundle ofrights sufficient isa policiesshouldexplainthatcopyright Institutional this). institutions donotpermit are publishedunder ‘double dipping’ conditions, many APCs for ‘hybrid’ (becausemosthybrid journals journals to usethesefundstoon whetheritispermissible pay to accessthesefunds. There shouldalsobeastatement and,this purpose ifso, theamountsavailable andhow state whethertheinstitutionhasafundforshould clearly fees for payment ofarticle-processing ‘gold’ journals. It apositiononthe managersshouldtake Institutional ◾ ◾ material maymaterial beused. human andmachineusertheconditionsunderwhich for thusclarifying both Commons licenceto eachwork, forBest practice self-archiving isto assign aCreative publishers whatoptionstheyhave underthepolicy. offer thepublisher. Finally, clear to shouldmake thepolicy suitable may alternatively provide,The policy orpointauthors to, a position isfor inwhichtheywishto publish. thejournal sothattheycancheckwhatthe lists publisherpermissions shouldpointauthorsto theSHERPAIt that RoMEOservice

to make the work OpenAccess thework to make the authorto assign rights totheinstitution sufficient The institution,asaconditionofemployment,requires Open Access the authorto the retain rights work tomake sufficient The institution,asaconditionofemployment,requires 9.3.8 9.3.7 Licence To Publish Copyright (APCs) charges Article-processing thattheauthormightoptionally promotion. into accountinconsiderationoftheirchancestenure or encouraging authorsto istaken depositsothattheirwork to research assessmentandmonitoring, thereby to doso. therepository What theycanconsiderislinking specific threats ofsanctions, nor feel theyare inaposition necessary. managersmay University notwishto make andothermeasures willbe ofadvocacy interms support be expected. Evidencesuggests, however, thatadditional willbemandatory, complianceshould Since thepolicy authors shouldpublishelsewhere. where thepublisher’s requires policy alongerembargo, clearthat embargo.of thepermitted shouldalsomake It Open Access. state thelength shouldclearly The policy publicationbeforecanbemade after period anarticle embargo may decideto accommodateInstitutions ashort 9.3.10 9.3.9 Compliance andsanctions Embargo period 57 Section 9. Summary policy guidelines SELECTED BIBLIOGRAPHY AND REFERENCES

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59 GLOSSARY OF KEY TERMS AND ABBREVIATIONS

‘BBB’ definition of Open Access: The amalgam of the ‘Green’ Open Access: Open Access achieved by three most important formal attempts to define Open depositing items (journal articles, peer-reviewed Access, at meetings in Budapest (see BOAI), Bethesda and conference papers and theses) in an open Access Berlin. repository, a process known as ‘self-archiving’.

Big Deal: A subscription to a package of multiple journals Harvesting: The collecting of objects or information from one publisher. Usually purchased by libraries for a from one or more remote sites into another site. Used, multi-year period. for example, in relation to the collection of articles from institutional repositories into a central database. BOAI: Budapest Open Access Initiative. This is the first formal definition of Open Access, developed at an Open ‘Hybrid’ Open Access: Open Access on a single-article Society Institute (now Open Society Foundations)-funded basis in an otherwise subscription-based journal. Authors meeting in Budapest, Hungary in December 2001 and can pay to make their own article Open Access while published on 14 February 2002. the rest of the journal remains toll-access. Offered by publishers that wish to maintain their subscription-based Creative Commons: A non-profit organisation that business but still offer an Open Access option, and may be develops, supports, and stewards legal and technical seen as a transition mechanism towards full Open Access infrastructure to enable sharing of digital outputs, at some time in the future. including by the development of a suite of licensing products. Metadata: The information that describes an object. In scholarly communication terms the object could be an Data mining; Computational process whereby text or article, book, dataset, etc. The metadata (or bibliographic datasets are crawled by software that recognises entities, data) describe the authorship, provenance, publication relationships and actions and can put these together in location, date of publication, object type and so forth. new ways to create new knowledge. OAI-PMH: Open Archives Initiative Protocol for Metadata Double-dipping: The practice where a publisher offers Harvesting. A technical standard for metadata for Open ‘gold’ open Access in an otherwise subscription-based Access repositories and Open Access journals. Adherence journal, without a commitment to reduce subscription to this standard ensures interoperability. charges in line with the new revenue stream. The author pays an article-processing fee and the publisher makes Open Access journal: A journal that makes its contents that article Open Access: the rest of the issue is only freely available online immediately at the time of available to subscribers. Some publishers do reduce their publication and on a permanent basis. subscription rates as revenue from APCs increases but Open Data: In the scholarly communication context, most do not, and therefore ‘double-dip’ into research Open Data are datasets produced by research that are community funds. made openly available. Some conditions on their use Eprint: An electronic version of a journal article or book may apply depending on the need for privacy or similar chapter. restrictions.

‘Gold’ Open Access: Open Access achieved by Postprint: A journal article (or book chapter or book) that publishing articles in Open Access journals. has been peer-reviewed and revised appropriately as a

60 result of peer review, but is still in the format created by the author (i.e. not the publisher’s formatted form).

Preprint: A journal article (or book chapter or book) that has not yet been peer-reviewed.

Repository: A database of digital research outputs. May be institutionally-based or be a service to a particular disciplinary, geographical or other type of community.

Self-archiving: The process of depositing a digital research article or other digital research output into an Open Access repository.

Text mining: Computational process whereby texts are crawled by software that recognises entities, relationships and actions and can put these together in new ways to create new knowledge.

61 APPENDIX 1. Example policies

A1.1 Funder policies ◾ will provide grantholders with additional funding, through their institutions, to cover open access charges, where Some examples of funder policies follow here. appropriate, in order to meet the Trust’s requirements

A1.1.1 The Wellcome Trust164 ◾ encourages - and where it pays an open access fee, requires - authors and publishers to license research [This is an example of a Type 3 policy] papers such that they may be freely copied and re-used (for example for text and data-mining purposes), provided Open access policy that such uses are fully attributed Position statement in support of open and ◾ affirms the principle that it is the intrinsic merit of the unrestricted access to published research work, and not the title of the journal in which an author’s The mission of the Wellcome Trust is to support the brightest work is published, that should be considered in making minds in biomedical research and the medical humanities. funding decisions.

The main output of this research is new ideas and knowledge, Specific details of how authors are required to comply with which the Trust expects its researchers to publish in high- this policy can be found in the authors’ FAQs. Information for quality, peer-reviewed journals. publishers can be found in the publishers’ guide. This policy will be kept under review. The Wellcome Trust believes that maximising the distribution of these papers - by providing free, online access - is the most A1.1.2 The National Institutes of Health effective way of ensuring that the research we fund can be (USA)165 accessed, read and built upon. In turn, this will foster a richer research culture. [This is an example of a Type 3 policy]

The Wellcome Trust therefore supports unrestricted access to The Director of the National Institutes of Health shall require the published output of research as a fundamental part of that all investigators funded by the NIH submit or have its charitable mission and a public benefit to be encouraged submitted for them to the National Library of Medicine’s wherever possible. PubMed Central an electronic version of their final, peer- reviewed manuscripts upon acceptance for publication, to Specifically, the Wellcome Trust: be made publicly available no later than 12 months after ◾ expects authors of research papers to maximise the the official date of publication: Provided, That the NIH shall opportunities to make their results available for free implement the public access policy in a manner consistent with copyright law. ◾ requires electronic copies of any research papers that have been accepted for publication in a peer-reviewed journal, Specifics and are supported in whole or in part by Wellcome Trust 1. The NIH Public Access Policy applies to all peer- funding, to be made available through PubMed Central reviewed articles that arise, in whole or in part, from (PMC) and UK PubMed Central (UKPMC) as soon as direct costs funded by NIH, or from NIH staff, that are possible and in any event within six months of the journal accepted for publication on or after April 7, 2008. publisher’s official date of final publication 2. Institutions and investigators are responsible for ensuring that any publishing or copyright agreements

164 http://www.wellcome.ac.uk/About-us/Policy/Policy-and-position- statements/WTD002766.htm 165 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html

62 concerning submitted articles fully comply with this THE FOLLOWING IS APPLICABLE TO IRCSET FUNDED Policy. RESEARCHERS

3. PubMed Central (PMC) is the NIH digital archive of The IRCSET policy is adopted on the following key full-text, peer-reviewed journal articles. Its content principles: is publicly accessible and integrated with other The intellectual effectiveness and progress of the widespread databases (see: http://www.pubmedcentral.nih.gov/). research community may be continually enhanced where 4. The final, peer-reviewed manuscript includes all the community has access and recourse to as wide a range of graphics and supplemental materials that are shared knowledge and findings as possible. This is particularly associated with the article. the case in the realm of publicly funded research where there is a need to ensure the advancement of scientific research 5. Beginning May 25, 2008, anyone submitting an and innovation in the interests of society and the economy, application, proposal or progress report to the NIH without unnecessary duplication of research effort. must include the PMC or NIH Manuscript Submission reference number when citing applicable articles 1. This publication policy confirms the freedom of that arise from their NIH funded research. This policy researchers to publish first wherever they feel is the most includes applications submitted to the NIH for the May appropriate. 25, 2008 due date and subsequent due dates. 2. The effect of the policy is intended to increase the visibility Compliance of, and improve access to, the research funded by IRCSET and the State, where such research is intended to be Compliance with this Policy is a statutory requirement and published by the researcher(s) concerned. a term and condition of the grant award and cooperative agreement, in accordance with the NIH Grants Policy 3. The policy is based on recognised best practice. It is in Statement. For contracts, NIH includes this requirement in keeping with the recommendations of the European all R&D solicitations and awards under Section H, Special Research Advisory Board (EURAB) Policy in relation Contract Requirements, in accordance with the Uniform to scientific publication. It is also in keeping with the Contract Format. combined OECD Ministers’ Declaration entrusting the OECD to work towards commonly agreed Principles A1.1.3 The Irish Research Council for and Guidelines on Access to Research Data from Public Science, Engineering & Technology Funding. (IRCSET)166 Conditions to which IRCSET funded Award Recipients [This is an example of a Type 1 policy] should adhere:

THE IRISH RESEARCH COUNCIL FOR SCIENCE, 1 All researchers must lodge their publications resulting in ENGINEERING & TECHNOLOGY whole or in part from IRCSET-funded research in an open access repository as soon as is practical, but within six STATEMENT OF POLICY RELATING TO: THE OPEN calendar months at the latest. ACCESS REPOSITORY OF PUBLISHED RESEARCH PAPERS 2. The repository should ideally be a local institutional repository to which the appropriate rights must be The Irish Research Council for Science, Engineering & granted to replicate to other repositories. Technology (IRCSET) has established and will promote the following policy relating to the placement of research 3. Authors should deposit post-prints (or publisher’s version publications in Open Access Repositories. if permitted) plus metadata of articles accepted for publication in peer-reviewed journals and international Where a research publication arises in whole or in part conference proceedings; from IRCSET funded research (i.e. where one or other of the researchers concerned receives IRCSET funds in support of 4. Deposit should be made upon acceptance by the journal/ their endeavours), the following policy will be adhered to with conference. Repositories should release the metadata effect from 1st May 2008. immediately, with access restrictions to full text article to be applied as required. Open access should be available as soon as practicable after the author-requested embargo, or six month, whichever comes first; 166 http://www.ircset.ie/Default.aspx?tabid=102

63 5. Suitable repositories should make provision for long- In case of doubt, access will remain closed to avoid any term preservation of, and free public access to, published conflict with publisher agreement conditions research findings. 4. For closed access deposits, the institutional repository 6. IRCSET may augment or amend the above requirements http://orbi.ulg.ac.be/ will have an EMAIL EPRINT wherever necessary to ensure best practice in Open Access. REQUEST BUTTON which allows the author to fulfill individual eprint requests169. How does Open Access work? November 26, 2008 (message from Rector to faculty): An Open Access Repository is a storage and retrieval system where published research findings and papers would be The increase in international visibility of the ULg stored and made available for full, open and free access by the [Universitée Liège] and its researchers, mainly through research community and the general public. their publications, as well as the support for the worldwide development of an open and free access to scientific A number of Irish universities currently provide open access works (Open Access) are two essential objectives at the repositories of their own and a consortium of Irish universities heart of my action, as you probably know. is engaged in the development of a national open access repository system, i.e., connecting the repositories of each At my request, the Institutional Repository “ORBi” (Open participating institution for fuller public accessibility. Repository & Bibliography) has been set up at the ULg by the Libraries Network to meet these objectives. In an Open Access Repository system, the usual copyright and fair practice considerations are not waived and publication [i] The experimental encoding phase based on on Open Access does not preclude prior publication in a volunteerism being now successfully completed, we recognised research journal or commercial publication. can step forward and enter the “production phase” this Wednesday November 26th, 2008. I take this Making scholarly publications available on “Open Access” opportunity to thank all the professors and researchers allows them to be freely accessed by anyone in the world who have already filed in ORBi hundreds of their using an internet connection. The potential readership of references, 70% of them with the full text. Thanks to Open Access material is far greater than that for publications their patience, ORBi’s fine tuning could be achieved. where the full-text is restricted to subscribers only. Open Access repositories are also designed to expose the details of their From today onward, it is incumbent upon each ULg contents to specialised web search engines. member to feed ORBi with his/her own references. In this respect, the Administrative Board of the University has decided to make it mandatory for all ULg members: A1.2 Institutional policies – to deposit the bibliographic references of ALL their A1.2.1 The University of Liège (Belgium)167 publications since 2002;

[This is an example of a Type 1 policy] – to deposit the full text of ALL their articles published in periodicals since 2002. [By the rector, Professor Bernard Rentier] Access to these full texts will only be granted with the The policy is mandatory: the Immediate-Deposit/Optional- author’s consent and according to the rules applicable to Access (ID/OA) mandate168 author’s rights and copyrights. The University is indeed very keen on respecting the rights of all stakeholders. 1. All publications must be deposited. [ii] For future publications, deposit in ORBi will be 2. Wherever publisher agreement conditions are fulfilled, mandatory as soon as the article is accepted by the the author will authorize setting access to the deposit editor. as open access [iii] I wish to remind you that, as announced a year 3. By default, access to a deposit will be closed access, ago in March 2007, starting October 1st, 2009, only except where open access has been authorised. those references introduced in ORBi will be taken into consideration as the official list of publications accompanying any curriculum vitae for all evaluation 167 http://orbi.ulg.ac.be/files/extrait_moniteur_CA.pdf 168 http://openaccess.eprints.org/index.php?/archives/71-guid.html 169 http://openaccess.eprints.org/index.php?/archives/274-guid.html

64 procedures ‘in house’ (designations, promotions, grant mandate and should first be submitted as described in (1). applications, etc.). Information on funders’ policies is available at http://www. sherpa.ac.uk/juliet/. Information seminars have been planned during the next months to allow every one of you to make the tool Access to the full text of articles will be subject to your own thing. Help is also accessible online, such as the publisher permissions. Access will not be provided if simplified user’s guide (also available as a leaflet) and the permission is in doubt or not available. In such cases, Depositor’s Guide. an abstract will be made available for external internet searches to achieve maximum research visibility. Access The development of ORBi offers multiple advantages not to the full text will be suppressed for a period if such an only to the Institution, but also to the researchers and their embargo is prescribed by the publisher or funder. teams, such as: The Open Scholarship Office will take responsibility for – a considerable speeding up of the dissemination and Adhering to archiving policies of publishers and research visibility of the scientific works (as soon as publication funders, and managing the system’s embargo facility to approval is granted; delay public visibility to meet their requirements. – a considerable increase in visibility for the published The University of Pretoria strongly recommends works through referencing in the main search engines that transfer of copyright be avoided. Researchers are (Google Scholar, OAI meta-engines, etc.); encouraged to negotiate copyright terms with publishers – centralised and perennial conservation of publications when the publisher does not allow archiving, reuse and allowing multiple exploitation possibilities (integration sharing. This can be done by adding the official UP author in personal web pages, in institutional web pages, addendum to a publishing contract. export of reference lists towards other applications and The University of Pretoria encourages its authors to to funding organisations such as the Belgian National publish their research articles in open access journals that Fund for Scientific Research); - etc. are accredited. I hope that, despite the time you are going to devote to this somewhat tedious task, you will soon realise the A1.2.3 Harvard University (USA)171 benefits of this institutional policy. [This is an example of a Type 2a policy]

A1.2.2 University of Pretoria (South [by Professor Stuart Shieber, Office of Scholarly Africa)170 Communication]

[This is an example of a Type 1 policy] The following is a model open-access policy in the Harvard style — with a freely waivable rights-retaining To assist the University of Pretoria in providing open access license and a deposit requirement. This language is based to scholarly articles resulting from research done at the on and informed by the policies voted by several Harvard University, supported by public funding, staff and students faculties, as well as MIT, Stanford University School of are required to: Education, Duke University, and others. I have added some – submit peer-reviewed postprints + the metadata of annotations explaining why the wording is chosen as it is. their articles to UPSpace, the University’s institutional Further information explaining the motivation for and repository, AND -- give the University permission implementation of the Harvard open-access policies is to make the content freely available and to take available at the web site of Harvard’s Office for Scholarly necessary steps to preserve files in perpetuity. Communication (http://osc.hul.harvard.edu/). Inquiries Postprints are to be submitted immediately upon about the policy and this model language can be made to acceptance for publication. [email protected]. The University of Pretoria requires its researchers to This document will be updated over time as further comply with the policies of research funders such as the refinements are made to the policy. This is revision 1.7 of Wellcome Trust with regard to open access archiving. April 17, 2010, 00:57:25. Postprints of these articles are not excluded from the UP

171 Written by Stuart Shieber. Original document at http://osc.hul.harvard.edu/ 170 http://roarmap.eprints.org/137/ sites/default/files/model-policy-annotated_0.pdf

65 1 The Faculty of is committed to 22 policy, resolving disputes concerning its interpretation disseminating the fruits of its and application, and rec-

2 research and scholarship as widely as possible. In 23 ommending changes to the Faculty from time to time. keeping with that commitment, The policy will be reviewed

3 the Faculty adopts the following policy: Each Faculty 24 after three years and a report presented to the Faculty. member grants to permission to make available his or her line 1, disseminating the fruits of its research and scholarly articles and to exercise scholarship as widely as possible: The intention of the 5 the copyright in those articles. More specifically, each policy is to promote the broadest possible access to the Faculty member grants to university’s research. The preamble emphasizes that the issue is access, not finances. 6 a nonexclusive, irrevocable, worldwide license to exercise any line 3, grants: The wording here is crucial. The policy causes the grant of the license directly. An alternative 7 and all rights under copyright relating to each of his or wording, such as “each faculty member shall grant”, places her scholarly articles, in any a requirement on faculty members, but does not actually 8 medium, provided that the articles are not sold for a cause the grant itself. profit, and to authorize others line 4, scholarly articles: The scope of the policy is 9 to do the same. The policy applies to all scholarly scholarly articles. What constitutes a scholarly article is articles authored or co-authored purposefully left vague. Clearly falling within the scope of the term are (using terms from the Budapest Open 10 while the person is a member of the Faculty except for Access Initiative) articles that describe the fruits of scholars’ any articles completed research and that they give to the world for the sake of inquiry and knowledge without expectation of payment. 11 before the adoption of this policy and any articles for Such articles are typically presented in peer-reviewed which the Faculty member scholarly journals and conference proceedings. Clearly 12 entered into an incompatible licensing or assignment falling outside of the scope are a wide variety of other agreement before the adop- scholarly writings such as books and commissioned articles, as well as popular writings, fiction and poetry, 13 tion of this policy. The Provost or Provost’s designate and pedagogical materials (lecture notes, lecture videos, will waive application of the case studies). Often, faculty express concern that the term 14 license for a particular article or delay access for a is not (and cannot be) precisely defined. The concern is specified period of time upon typically about whether one or another particular case falls within the scope of the term or not. However, the exact 15 express direction by a Faculty member. delineation of every case is neither possible nor necessary. In particular, if the concern is that a particular article 16 Each Faculty member will provide an electronic copy inappropriately falls within the purview of the policy, a of the author ’s final waiver can always be obtained. 17 version of each article no later than the date of its line 5, grants: Again, not “shall grant”. publication at no charge to the line 6, exercise any and all rights under copyright: The 18 appropriate representative of the Provost’s Office in an license is quite broad, for two reasons. First, the breadth appropriate format (such allows flexibility in using the articles. Since new uses of 19 as PDF) specified by the Provost’s Office. scholarly articles are always being invented — text mining uses being a prime example — retaining a broad set of 20 The Provost’s Office may make the article available to rights maximizes the flexibility in using the materials. the public in an open- Second, a broad set of rights allows the university to grant 21 access repository. The Office of the Provost will be back to an author these rights providing an alternative responsible for interpreting this method for acquiring them rather than requesting them

66 from a publisher. Even though the university is being policy within a university, with oversight by a Dean, some allowed to exercise a broad set of rights, it is not required occurrences of “Provost” may be replaced by “Dean” where to exercise them. Universities are free to set up policies appropriate, as was done in the Harvard policies. about which rights it will use and how, for instance, in line 13, will waive: Not “may waive”. The waiver is at the making blanket agreements with publishers. For example, sole discretion of the author. This broad waiver policy is a university may agree to certain restrictions on its important for the palatibility of the policy. It is perhaps the behavior in return for a publisher ’s acknowledgement of most important aspect of this approach to open-access the prior license and agreement not to require addenda or policies. The ability to waive the license means that the waivers. Harvard has provided a model agreement of this policy is not a mandate for rights retention, but merely a type as well: http://osc.hul.harvard.edu/docs/model- pub- change in the default rights retention from opt-in to opt- agreement- 090430.pdf . out. Many of the concerns that faculty have about such line 8, not sold for a profit: This term may be preferable policies are assuaged by this broad waiver. These include to the vaguer term “noncommercial”. The intention is to concerns about academic freedom, unintended effects on allow uses that involve recouping of direct costs, such junior faculty, principled libertarian objections, freedom as use in coursepacks for which photocopying costs are to accommodate publisher policies, and the like. Some recovered. Given that open access availability allows may think that the policy would be “stronger ” without seamless distribution using a medium with essentially the broad waiver provision, for instance, if waivers were zero marginal cost, even this level of commercial activity vetted on some basis or other. In fact, regardless of what may not be needed. Indeed, Harvard has stipulated in restrictions are made on waivers (including eliminating agreements with publishers that it will refrain even from them entirely) there is always a de facto possibility of cost-recouping sales: “When Harvard displays or distributes a waiver by virtue of individual faculty member action the Article, Harvard will not charge for it and will not sell demanding an exception to the policy. It is far better to advertising on the same page without permission of build a safety valve into the policy, and offer the solution Publisher. Even charges that merely recoup reproduction in advance, than to offer the same solution only under the or other costs, and involve no profit, will be forbidden.” pressure of a morale-draining confrontation in which one Allowing cost recovery does provide an additional set of or more piqued faculty members demand an exception to rights that can be negotiated in this way. Alternatively, the a putatively exceptionless policy. policy can eschew all sales if deemed preferable, in which line 14, license: The waiver applies to the license, not case, the phrase “for a profit” can be dropped. the policy as a whole. The distinction is not crucial in a line 8, authorize others: The transferability provision pragmatic sense, as it is generally the license that leads to allows the university to authorize others to make use of waiver requests, not the deposit aspect of the policy, and the articles. For instance, researchers can be authorized to in any case, an author has a de facto waiver possibility for use the articles for data mining. Importantly, the original the deposit aspect by merely refraining from making a authors themselves can be authorized to make use of their manuscript available. Nonetheless, if it is possible to use articles, for instance, to legally distribute their articles from this more limited formulation, it is preferable in reinforcing their own web sites (as they often do illicitly now), to use the idea that all articles should be deposited, whether or them for their classes, to develop derivative works, and the not a waiver is granted and whether or not they can be like. distributed. line 9, do the same: This ordering of phraseology, line 14, delay access: Duke University pioneered the introduced in the MIT policy, makes clear that incorporation of an author-directed embargo period for thetransferability provision applies both to the retained particular articles as a way of adhering to publisher wishes rights and the noncommercial limitation. without requiring a full waiver. This allows the full range of rights to be taken advantage of after the embargo period line 10, articles completed before the adoption: ends, rather than having to fall back on what the publisher Application of the license retroactively is problematic, may happen to allow. Since this is still an opt-out option, it and in any case suspect. This clause makes clear that the does not materially weaken the policy. An explicit mention license applies only prospectively. of embargoes in this way may appeal to faculty members line 13, Provost: The model language is envisioned as an acknowledgement of the prevalence of embargoes as a university policy, where the university academic in journals they are familiar with. arrangements are overseen by a Provost. For a school-wide

67 line 15, express: An author must direct that a waiver The policy will apply to all scholarly articles authored be granted in a concrete way, but the term “express” is or co-authored while the person is a member of the preferred to “written” in allowing, e.g., use of a web form for University except for any articles completed before the directing a waiver. adoption of this policy and any articles for which the Faculty member entered into an incompatible licensing or line 15, direction: This term replaced an earlier term assignment agreement before the adoption of this policy. “request” so as to make clear that the request cannot be denied. The Vice Chancellor or the Vice Chancellor’s designate will waive application of the policy to a particular article line 16, author ’s final version: The author ’s final version— upon written request by a Faculty member explaining the version after the article has gone through peer review the need. Each Faculty member will provide an electronic and the revisions responsive thereto and any further copy of the final version of the article at no charge to copyediting in which the author has participated—is the the appropriate representative of the Vice Chancellor’s appropriate version to request for distribution. Authors Office in an appropriate format (such as PDF) specified may legitimately not want to provide versions earlier than by the Vice Chancellor’s Office no later than the date of the final version, and insofar as there are additional rights its publication. The Vice Chancellor’s Office may make the in the publisher ’s definitive version beyond the author ’s article available to the public in an open-access repository. final version, that version would not fall within the license The Office of the Director of research will be responsible that the author grants. for interpreting this policy, resolving disputes concerning line 17, no later than the date of its publication: its interpretation and application, and recommending The distribution of articles pursuant to this policy is changes to the University from time to time. The policy not intended to preempt journal publication but to will be reviewed after three years and a report presented supplement it. This also makes the policy consistent with to the Academic Council. the small set of journals that still follow the Ingelfinger rule. An alternative is to require submission at the A1.2.5 Queensland University of time of acceptance for publication, with a statement Technology (Australia)173 that distribution can be postponed until the date of [This is an example of a Type 2b policy] publication. Material which represents the total publicly available line 23, reviewed: Specifying a review makes clear that research and scholarly output of the University is to be there will be a clear opportunity for adjusting the policy in located in the QUT ePrints institutional repository, subject light of any problems that may arise. to the exclusions noted below. In this way it contributes to a growing international corpus of refereed and other 172 A1.2.4 Strathmore University (Kenya) research literature available on open access, a process [This is an example of a Type 2a policy] occurring in universities worldwide.

Strathmore University is committed to disseminating the The following materials must be included in QUT ePrints fruits of its research and scholarship as widely as possible. ◾ refereed research articles and conference papers In keeping with that commitment, the University adopts (author’s accepted manuscript) at the post-peer review the following policy: Each University member grants to stage the Vice Chancellor and Academic council of Strathmore University permission to make available his or her scholarly ◾ digital theses submitted by research higher degree articles and to exercise the copyright in those articles. candidates via the Research Students Centre (see More specifically, each Faculty member grants to the Vice F/1.10 Library treatment of theses). Chancellor and Academic council of Strathmore University The following materials may be included in QUT ePrints a nonexclusive, irrevocable, worldwide license to exercise any and all rights under copyright relating to each of his ◾ refereed research articles and conference papers or her scholarly articles, in any medium, and to authorize (authors’ submitted manuscript) with corrigenda others to do the same, provided that the articles are not added following peer review if necessary sold for a profit. ◾ books and book chapters

172 http://roarmap.eprints.org/344/ 173 http://www.mopp.qut.edu.au/F/F_01_03.jsp#F_01_03.02.mdoc

68 ◾ un-refereed research literature, conference 1. “pre-print” pre-refereed drafts of articles where this will contributions, chapters in proceedings (the accepted not limit future publication opportunities draft) 2. post publication updates and corrections ◾ creative works with a research component 3. research data-sets on which the articles are based ◾ descriptions of research data and datasets. 4. conference and workshop papers Materials to be commercialised, or which contain 5. books, book chapters, monographs, reports and confidential material, or where the promulgation would working papers infringe a legal commitment by the University and/or the author, will not be included in QUT ePrints. Materials 6. image, video and audio representations of creative will be organised in QUT ePrints according to the same works categories used for the reporting of research to DIISR (see Office of Research website ). 2.2 Open access to research and external compliance

QUT’s preference is to make materials available at the time It is a requirement to make the post-prints of journal and of publication. Requests for embargos of more than twelve conference articles open access where this is permitted months must be referred to the Deputy Vice-Chancellor by the publisher. In all cases repository staff will work with (Technology, Information and Learning Support). authors and depositors to ensure that the requirements of publishers, funding councils and commercial sponsors are A1.2.6 University of Southampton met. If an embargo period is needed the output can be (United Kingdom)174 stored in the repository and set for public release on the appropriate date. [This is an example of a Type 4 policy] 2.3 Use of research outputs for research 1. Position statement assessment

1. The University of Southampton requires that all The deposited records and outputs may be used for: of its staff deposit bibliographic information for ◾ all research outputs in the Eprints Soton research internal review of research performance and to assist in repository, so there is a comprehensive institutional appraisals and promotions within the University record of research activity. ◾ modelling profiles and submitting information 2. The University requires that post-prints of journal for external review e.g. the Research Excellence and conference articles are deposited, and made Framework open access where this is permitted by the Any additional contextual information stored will be publisher, to maximise the visibility and impact of subject to appropriate levels of restricted access. research.

2. Policy A1.2.7 Hong Kong Polytechnic University (China)175 2.1 Deposit of research outputs [This is an example of a Type 4 policy] Staff are required to deposit the bibliographic metadata of all forms of published output in the Eprints Soton Starting from September 2010, PolyU adopts the following research repository. Policy in Support of Open Access to Published Research:

Staff are required to deposit the final, refereed, corrected, PolyU academic and researchers are required to deposit accepted drafts (post-prints) of all peer-reviewed journal electronic copies of their peer-reviewed journal articles articles and peer-reviewed conference articles. and conference proceedings (author’s final accepted manuscript) in the PolyU Institutional Repository for open Staff areencouraged to deposit, subject to any publishers’ access, as of the date of paper publication. Full text of restrictions, the following forms of research output: other research outputs should also be deposited where appropriate.

174 http://www.soton.ac.uk/library/research/eprints/policies/oapolicy.html 175 http://www.polyu.edu.hk/ro/newRO415.html

69 PolyU authors will provide to the University Library copies of their work and the University Library will determine publisher agreements permit deposit in institutional repositories for public access. PolyU IR staff will check publishers’ copyright agreements to ensure that the deposits are permitted.

70 APPENDIX 2. Model policies for institutions, funders and governments

his section provides model policy (3) requires that the full-text be exposed no later than 6 T wordings that can be adapted and used months after publication of the research paper by institutions, funders and national (4) encourages authors to retain ownership of the governments. There are two variants, following copyright of published papers where possible the typology in section 8. The first is Type 1 (immediate deposit with no waiver) and the FAQs other is Type 2 (rights-retention with a waiver). What are the benefits to researchers of Open Access?

A2.1 Type 1: immediate deposit, no waiver As authors, researchers benefit because their research (“Liège-style” policy) papers are given a much wider dissemination and can be read without restriction by anyone with Internet This type of policy applies where the policy-maker access. This increases the impact of their research. Indeed, does not already, and does not wish to, acquire the evidence is accumulating to show that Open Access rights to the work covered by the policy. The policy articles are cited 25-250% more than non-open access leaves the rights where they already reside – that is, articles from the same journal and year. As readers, either with the author or with the publisher. In the researchers benefit because they will increasingly be able latter case, publisher permissions must be respected, to access and use the full text of all the research published entailing provision in the policy for an embargo in their area, not just the research available to them via the period. The policy requires the metadata to be visible subscriptions their institution can afford. from the time of deposit so that would-be users can discover the existence of the article and request a copy What are the benefits to [institution/funder/nation]? from the author. First, [name’s] research will be more accessible to global [Institution/funder/government] expects the authors of researchers, hence better known and more widely used papers reporting publicly-funded research to maximise and cited. The prestige of high-profile [name] researchers the accessibility, usage and applications of their findings. will increase; even lesser-known researchers will gain To this end: more exposure and impact. Second, all [name] research will be open to all [name] entrepreneurs and the general [Institution/funder/government] public with Internet access. This will be beneficial both commercially and culturally. Third, access, usage and (1) requires electronic copies of any research papers that citation data on this research will increasingly become have been accepted for publication in a peer-reviewed available and analysable to help shape researchers’, journal, and are supported in whole or in part by public institutions’ and nations’ strategies and policies. funding, to be deposited into the [institutional/central] digital repository immediately upon acceptance for What should be deposited when I have a paper publication. ready for publication?

(2) requires that the metadata (title, authors, institutional The final manuscript of the author’s research paper affiliation, name of journal that has accepted the should be deposited. This is the author’s own final paper) be exposed from the time of deposition of the draft, as accepted for journal publication, including all research paper modifications resulting from the peer-review process. In addition, depositing pre-peer-review preprint drafts

71 is welcome, if the author desires early priority and peer medium, [provided that the articles are not sold for a profit,] feedback, but this is of course not a requirement. In some and to authorise others to do the same. The [institution/ cases publishers may permit their own published version, funder/government] may make the article available to the either in SGML/XML or PDF, to be deposited as well; this public in an Open Access repository. too is welcome, but not a requirement. The [institution/funder/other entity] or [institution/funder/ When should papers be deposited? other entity] ’s designate will waive application of the licence for a particular article or delay access for a specified An electronic version of the author’s final manuscript period of time upon express direction by an author. Each resulting from research supported, in whole or in part, author will provide an electronic copy of the author ’s by public [or funder name] funding must be deposited final version of each article no later than the date of its immediately upon acceptance for publication. publication at no charge to the appropriate representative Will authors still be able to publish in a journal of of the [institution/funder/other entity] in an appropriate their choice? format specified by the[institution/funder/other entity].

Authors will of course still decide in which journal they FAQs choose to publish their research papers. They will merely What are the benefits to researchers of Open Access? have to ensure that a copy of the final, peer-reviewed paper is deposited in their institutional repository As authors, researchers benefit because their research immediately upon acceptance for publication. papers are given a much wider dissemination and can be read without restriction by anyone with Internet Does the policy apply to all articles? access. This increases the impact of their research. The policy applies to all scholarly articles authored or co- Indeed, evidence is accumulating to show that Open authored while the person is a [member of the Faculty/ Access articles are cited 25-250% more than non-open grant-holder] except for any articles completed before access articles from the same journal and year. As readers, the adoption of this policy and any articles for which the researchers benefit because they will increasingly be able Faculty member entered into an incompatible licensing or to access and use the full text of all the research published assignment agreement before the adoption of this policy. in their area, not just the research available to them via the subscriptions their institution can afford.

A2.2 Type 2: rights-retention policies What are the benefits to [institution/funder/nation]? First, [name’s] research will be more accessible to global A2.2.1 Type 2(a): Voluntary provision of researchers, hence better known and more widely used rights to the institution / funder/ and cited. The prestige of high-profile [name] researchers government by the author, with will increase; even lesser-known researchers will gain waiver (‘Harvard-style’ policy) more exposure and impact. Second, all [name] research This type of policy applies where the policymaker does will be open to all [name] entrepreneurs and the general not already have the rights to the work produced but public with Internet access. This will be beneficial both is prepared to acquire from the creators of the work commercially and culturally. Third, access, usage and sufficient rights to make the work Open Access. citation data on this research will increasingly become available and analysable to help shape researchers’, [Institution/funder/government] expects the authors of institutions’ and nations’ strategies and policies. papers reporting publicly-funded research to maximise the accessibility, usage and applications of their findings. What should be provided when I have a paper ready To this end: for publication?

Each author grants to [institution/funder/other entity] The final manuscript of the author’s research paper permission to make available his or her scholarly articles should be provided. This is the author’s own final and to exercise the copyright in those articles. More draft, as accepted for journal publication, including all specifically, each author grants to [institution/funder/ modifications resulting from the peer-review process. government] a nonexclusive, irrevocable, worldwide In addition, depositing pre-peer-review preprint drafts licence to exercise any and all rights under copyright is welcome, if the author desires early priority and peer relating to each of his or her scholarly articles, in any feedback, but this is of course not a requirement. In some

72 cases publishers may permit their own published version, [institution/funder/government] is the owner of copyright either in SGML/XML or PDF, to be provided as well; this too where the work is created by [staff members/grant-holders] is welcome, but not a requirement. in the course of their [employment/research].

When should papers be provided? [institution/funder/government] assigns the right to publish scholarly works to the creator(s) of that work. An electronic version of the author’s final manuscript The assignment is subject to a perpetual, irrevocable, resulting from research supported, in whole or in part, worldwide, royalty-free, non-exclusive licence in favour by public [or funder name] funding must be deposited of [institution/funder/government] to allow to use that immediately upon acceptance for publication. work for teaching and research [and commercialisation] Will authors still be able to publish in a journal of purposes and to reproduce and communicate that work their choice? online for non-commercial purposes via [institution/funder/ government]’s open access digital repository. Authors will of course still decide in which journal they choose to publish their research papers. They will merely The version of the scholarly work that [institution/funder/ have to ensure that a copy of the final, peer-reviewed government] can make available via the digital repository paper is deposited in their institutional repository may be the published version (if the publisher agrees) or immediately upon acceptance for publication. the final post-peer review manuscript version. [institution/ funder/government] will agree to third party publisher- Does the policy apply to all articles? requested embargoes of 6 months or less (from date of publication by the third party publisher) on the The policy applies to all scholarly articles authored or co- publication of the manuscript via the digital repository. authored while the person is a [member of the Faculty/ grant-holder] except for any articles completed before Any subsequent publication agreement or assignment the adoption of this policy and any articles for which the of the right to publish the scholarly work entered into by Faculty member entered into an incompatible licensing or the creator will be subject to the terms of the pre-existing assignment agreement before the adoption of this policy. non-exclusive licence referred to here.

Why do we need non-exclusive rights to your article? If required, [institution/funder/government] will sign documents to more fully record the author’s ownership The rights to your article rest with you until you assign of the right of publication of the copyright in a scholarly any or all of them to another party. Under the terms of the work and [institution/funder/other entity]’s non-exclusive policy you vest in this institution those rights necessary licence to that work. to make the article available on your behalf through the repository. Until you vest those rights in the institution, the FAQs institution cannot act in this way. The institution requires only sufficient right to make your work publicly-available: What are the benefits to researchers of Open Access? the rest of the rights remain with you to do with them As authors, researchers benefit because their research what you wish, including signing over to a publisher papers are given a much wider dissemination and can the right to publish the work and sell it on your behalf. be read without restriction by anyone with Internet Under this agreement, you are assigning to the institution access. This increases the impact of their research. Indeed, permission to disseminate your work for you, before you evidence is accumulating to show that Open Access sign over any rights to third parties. articles are cited 25-250% more than non-open access articles from the same journal and year. As readers, A2.2.2 Type 2(b): Retention of rights by researchers benefit because they will increasingly be able the institution/funder/government to access and use the full text of all the research published (‘QUT-style’ policy) in their area, not just the research available to them via the This type of policy applies where the policymaker subscriptions their institution can afford. already has the rights to the work produced or is What are the benefits to [institution/funder/nation]? prepared to make that the case. First, [name’s] research will be more accessible to global [Institution/funder/government] expects the authors of researchers, hence better known and more widely used papers reporting publicly-funded research to maximise and cited. The prestige of high-profile [name] researchers the accessibility, usage and applications of their findings. will increase; even lesser-known researchers will gain

73 more exposure and impact. Second, all [name] research the rest of the rights remain with you to do with them will be open to all [name] entrepreneurs and the general what you wish, including signing over to a publisher public with Internet access. This will be beneficial both the right to publish the work and sell it on your behalf. commercially and culturally. Third, access, usage and Under this agreement, you are assigning to the institution citation data on this research will increasingly become permission to disseminate your work for you, before you available and analysable to help shape researchers’, sign over any rights to third parties. institutions’ and nations’ strategies and policies.

What should be provided when I have a paper ready for publication?

The final manuscript of the author’s research paper should be provided. This is the author’s own final draft, as accepted for journal publication, including all modifications resulting from the peer-review process. In addition, depositing pre-peer-review preprint drafts is welcome, if the author desires early priority and peer feedback, but this is of course not a requirement. In some cases publishers may permit their own published version, either in SGML/XML or PDF, to be provided as well; this too is welcome, but not a requirement.

When should papers be provided?

An electronic version of the author’s final manuscript resulting from research supported, in whole or in part, by public [or funder name] funding must be deposited immediately upon acceptance for publication.

Will authors still be able to publish in a journal of their choice?

Authors will of course still decide in which journal they choose to publish their research papers. They will merely have to ensure that a copy of the final, peer-reviewed paper is deposited in their institutional repository immediately upon acceptance for publication.

Does the policy apply to all articles?

The policy applies to all scholarly articles authored or co- authored while the person is a [member of the Faculty/ grant-holder] except for any articles completed before the adoption of this policy and any articles for which the Faculty member entered into an incompatible licensing or assignment agreement before the adoption of this policy.

Why do we need non-exclusive rights to your article?

The rights to your article rest with you until you assign any or all of them to another party. Under the terms of the policy you vest in this institution those rights necessary to make the article available on your behalf through the repository. Until you vest those rights in the institution, the institution cannot act in this way. The institution requires only sufficient right to make your work publicly-available:

74 POLICY GUIDELINES FOR THE DEVELOPMENT AND PROMOTION OF OPEN ACCESS

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The publication helped me to think about Open Access to scientific information    and research. Comments:

j 75 2. How do you plan to use this publication? Check all that apply.

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Please return filled in form to: Director Knowledge Societies Division Communication and Information Sector UNESCO 1 rue Miollis 75732 Paris cedex 15 France

76 j Communication and Information Sector

United Nations Cultural Organization

“Through Open Access, researchers and students from around the world gain increased access to knowledge, publications receive greater visibility and readership, and the potential impact of research is heightened. Increased access to, and sharing of knowledge leads to opportunities for equitable economic and social development, intercultural dialogue, and has the potential to spark innovation. The UNESCO Open Access strategy approved by the Executive Board in its 187th session and further adopted by the 36th General Conference identified up-stream policy advice to Member States in the field of Open Access as the core priority area amongst others.”

Jānis Kārkliņš, Assistant Director-General for Communication and Information, UNESCO

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