Pappalardo, Kylie M. and Fitzgerald, Anne M. and Fitzgerald, Brian F. and Kiel- Chisholm, Scott D. and O'Brien, Damien and Auston, Anthony (2007) A Guide to Developing Open Access Through Your Digital Repository. Copyright 2007 Kylie Pappalardo and Anne Fitzgerald A Guide to Developing Open Access Through Your Digital Repository Kylie Pappalardo and Dr Anne Fitzgerald With the assistance of Professor Brian Fitzgerald, Scott Kiel-Chisholm, Damien O’Brien and Anthony Austin DEST funded Open Access to Knowledge Law Project OAK Law Project A Systemic Infrastructure Initiative (SII) funded project and part of the Commonwealth Government’s Backing Australia’s Ability – An Innovation Action Plan for the Future Also available online at http://www.oaklaw.qut.edu.au/node/32 September 2007 This work is licensed under an Australian Creative Commons Attribution-NonCommercial- ShareAlike 2.5 License <http://creativecommons.org/licenses/by-nc-sa/2.5/au> For information: Professor Brian Fitzgerald Project Leader The OAK Law Project Queensland University of Technology GPO Box 2434 Brisbane Queensland 4001 The authors would like to extend their sincere gratitude to the following people for their valuable contribution in preparing this guide for publication: Libby Austen (cover design), Tanya Butkovsky, Annette Rawson and the team at QUT Printing Services. This work is licensed under an Australian Creative Commons Attribution Non- Commercial ShareAlike 2.5 Licence. To view a copy of this licence, visit http://creativecommons.org/licences/by-nc-sa/2.5/au or send a letter to Creative Commons Australia, c/-Law faculty, Queensland University of Technology, GPO Box 2434, Brisbane, Qld 4001, Australia. ISBN 978-0-9802988-4-0 Printed by QUT Printing Services, Brisbane, Australia. Preface This Guide has been undertaken as an initiative of the DEST funded Open Access to Knowledge (OAK) Law Project. It aims to assist academic institutions in developing open access policies and legal and management frameworks for the effective development and operation of digital repository infrastructure. The Guide implements the recommendations of the OAK Law Project Report No. 1: Creating a Legal Framework for Copyright Management of Open Access Within the Australian Academic and Research Sector. In particular, the Guide examines issues relating to the international open access movement and the implementation of open access policies for digital repositories, the operation of copyright law and copyright licensing of material deposited into digital repositories and the relationships - both legal and otherwise - between authors, publishers, repositories and end-users. I am thankful to Ms Kylie Pappalardo and Dr Anne Fitzgerald for developing this Guide and to the team of people (Messrs Kiel-Chisholm, Austin and O’Brien) who have worked on this project at various times over the last 6 months. I would also like to acknowledge the valuable support of QUT DVC Professor Tom Cochrane, DEST Director of Education, Innovation and Infrastructure Policy Ms Margot Bell and DEST Assistant Director of Education, Innovation and Infrastructure Policy Ms Clare McLaughlin, Queensland Government Senior Lawyer Mr Neale Hooper and Ms Wilma Mossink of SURFfoundation. In an era where research accessibility is critical to innovation I am confident that this Guide will assist and stimulate the further development of the vital infrastructure needed to make Australian research more accessible. Brian Fitzgerald Professor of Intellectual Property and Innovation (QUT) <www.ip.qut.edu.au> Project Leader for OAK Law Project <www.oaklaw.qut.edu.au> and Legal Framework for e-Research Project <www.e-research.law.qut.edu.au> July 2007 Contents 1.0 Introduction .................................................................................................................. 1 1.1 What is open access?................................................................................................ 1 1.2 What are digital repositories?................................................................................. 11 1.3 Open access policies for digital repositories.......................................................... 18 1.4 Using this guide ..................................................................................................... 21 2.0 Depositors................................................................................................................... 22 3.0 Material ...................................................................................................................... 24 3.1 Deposit requirements ............................................................................................. 26 3.2 Metadata................................................................................................................. 29 3.3 Conditions about material quality .......................................................................... 32 3.4 Other conditions..................................................................................................... 34 Overview: the content deposit process................................................................................ 35 4.0 Repository – Depositor Relationship.......................................................................... 36 4.1 Copyright issues..................................................................................................... 36 4.1.1 Pre-prints and post-prints: clarifying the issues ............................................ 39 4.1.2 Copyright and conference papers .................................................................. 41 4.1.3 Moral rights................................................................................................... 42 4.2 Repository Deposit Licences.................................................................................. 43 4.2.1 Power to enter into a Repository Deposit Licence ........................................ 47 5.0 End-Users ................................................................................................................... 51 5.1 Access to the repository ......................................................................................... 51 5.2 Scope of rights to use............................................................................................. 53 5.2.1 Repository – End-User Relationship............................................................. 54 5.2.2 Author – End-User Relationship ................................................................... 54 6.0 Technical Considerations........................................................................................... 56 6.1 Software ................................................................................................................. 56 6.2 Costs....................................................................................................................... 56 6.3 Uploading material................................................................................................. 57 6.4 Organising material................................................................................................ 57 6.5 Managing the repository ........................................................................................ 58 6.6 Ongoing considerations.......................................................................................... 58 7.0 Advocacy.................................................................................................................... 60 8.0 Conclusion..................................................................................................................65 Final checklist for developing open access through your digital repository ........................... 67 Glossary................................................................................................................................... 69 Abbreviations .......................................................................................................................... 73 Appendix One: Summaries of Open Access Policies of Australian Universities.................... 75 Appendix Two: Repository Deposit Licences: A Guide; OAK Law Sample Repository Deposit Licence for Publications; Accompanying Notes to the OAK Law Sample Repository Deposit Licence; SURFfoundation Licence to Deposit in a Digital Repository ..................... 93 1.0 Introduction 1.1 What is open access? Open access defined The advent of the internet and digital technologies has enabled information to be accessed and disseminated far more easily than ever before. Technological developments have swept away a whole range of restrictions that in earlier times impeded or prevented open access to knowledge, such as geographical barriers, time restrictions, delays in distribution of physical materials and barriers that limited the range of sources accessible by any one individual. Improved access to information benefits researchers by enabling them to study their field more broadly, reducing the amount of duplicative research, and assisting in the production of better informed - and therefore better quality - research.1 For these reasons, the open access movement aims to promote the dissemination of knowledge broadly and freely across the internet in a timely fashion.2 Open access principles The open access movement as we know it today began in the first half of the 1990s. Its origins are associated not with the publication of overarching statements of principles