Open access policies: An overview Iryna Kuchma Open Access Programme Manager Attribution 3.0 Unported

OA policy Universities & research funding agencies have been implementing OA policies since Institutional OA policy may be voluntary (e.g. requesting that researchers make their work OA in the institutional repository) or mandatory (e.g. requiring that researchers make their work OA in the institutional repository). Mandatory policies do result in a high level of self-archiving which in turn provides a university with the increased visibility and impact.

unique users daily 99% articles have been downloaded at least once 25% of users from univrsity domains; 40% general public; 17% companies, governmental organizations

“Heidi Williams (MIT) has shown, in her study of the competition between Celera Corporation and the Human Genome Project (HGP) to decode the human genome, that providing increased public access to research results--as practiced by the HGP--not only resulted in more follow on research but in faster commercialization of the research through new products and services. (The 30% gains in follow-on research and commercialization attributed to the openness of the HGP process persists even today.) More follow-on research and faster commercialization increases economic growth and creates new jobs.” TESTIMONY OF ELLIOT E. MAXWELL BEFORE THE SUBCOMMITTEE ON INVESTIGATIONS AND OVERSIGHT OF THE COMMITTEE ON SCIENCE, SPACE AND TECHNOLOGY THE UNITED STATES HOUSE OF REPRESENTATIVES MARCH 29, 2012

World Bank OA Policy Requires that manuscripts published through the Bank, be both free to access online through the Bank’s Open Knowledge Repository and free of restrictions on their use (libre OA) from the time of deposition of the content. These manuscripts shall be published under the CC BY license

World Bank OA Policy (2) Requires that manuscripts published through external publishers be free to access online (be published under the CC BY-NC-ND license unless the publisher accepts that the manuscript be published under the more liberal CC BY license), through the Bank’s Open Knowledge Repository, preferably without delay. If an external publisher requires an embargo period, the Bank will respect the requirement, but every effort should be made to limit the duration of the embargo (ideally, no more than 18 months)

“Open access to research is a must for the competitiveness of Europe” Neelie Kroes, the EU Commissioner for Digital Agenda

OA in the European Union Chapter of the Digital Agenda for Europe – Driving ICT innovation by exploiting the single market – refers to effectively managed knowledge transfer activities & states that publicly funded research should be widely disseminated through Open Access publication of scientific data & papers

OA in the European Union (2) Europe 2020 Flagship Initiative Innovation Union: the Commission will promote open access to the results of publicly funded research; & it will aim to make open access to publications the general principle for projects funded by the EU research Framework Programmes

OA in the European Union (3) Since August 2008 the European Commission (EC) is conducting a pilot initiative on OA to peer reviewed research articles in its Seventh Research Framework Programme (FP7). The EC requires grant recipients in 7 areas to "deposit peer reviewed research articles or final manuscripts resulting from their FP7 projects into an online repository & make their best efforts to ensure OA to these articles".

UN High Commissioner for Human Rights Consultation on the right to enjoy benefits of scientific progress & its applications The rights of scientists & collaborative work

Open access policy options Request or require? If you are serious about achieving OA for the research you fund, you must require it. (Peter Suber’s Open access policy options for funding agencies and universities

Green or gold? If you decide to request & encourage OA, rather than a mandate it, then you can encourage submission to an OA journal & encourage deposit in an OA repository as well, especially when researchers publish in a toll access journal.

Green or gold? (2) But if you decide to mandate OA, then you should require deposit in an OA repository & not require submission to an OA journal, even if it also encourages submission to an OA journal.

Deposit what? The final version of the author's peer- reviewed manuscript Data A citation and link to the published edition

Deposit what? (2) Allow the deposit of unrefereed preprints, previous journal articles, conference presentations, book manuscripts, the journals edited or published on campus, open courseware, administrative records, digitization projects from the library, theses & dissertations

Scope of policy For simplicity & enforceability, follow the example of most funding agencies: apply your OA policy to research you fund "in whole or in part"

What embargo? No more than six months. Any embargo is a compromise with the public interest; even when they are justified compromises, the shorter they are, the better.

What exceptions? Private notes, records not intended for publication, classified research Patentable discoveries Royalty-producing books

Legal basis: Two options 1. Seek permission from publishers, and only distribute OA copies when succeed in obtaining it. 2. Ask faculty to retain the right to provide OA on the university's terms (and grant the university non-exclusive permission to provide that OA), even if faculty transfer all their other rights to publishers.

Legal basis To help faculty who may not understand copyright law, or who do not want to negotiate with publishers, the university should adopt an author addendum which allows the author to retain the rights needed to implement the university policy.

Harvard approach Self-imposition by faculty of an open-access policy according to which faculty grant a license to the university to distribute scholarly articles and commit to providing copies of manuscript articles for such distribution

Harvard approach (2) In order to guarantee the freedom of faculty authors to choose the rights situation for their articles, the license is waivable at the sole discretion of the author, so faculty retain control over whether the university is granted this license. But the policy has the effect that by default, the university holds a license to articles, which can therefore be distributed from a repository.

Harvard-style OA policies in Kenya Strathmore University Jomo Kenyatta University of Agriculture and Technology

Immediate Deposit with immediate OA Requires authors to deposit their articles upon acceptance for publication, once the final corrections have been made, and to make their articles openly available immediately through the repository. However, because some journals do not permit immediate OA, this type of policy has the disadvantage that it restricts the choice of journals in which an author can publish.

Later deposit after the embargo period Requires authors to deposit their articles after publication, at the end of the publisher's embargo period. The advantage is that this complies with the publisher requirements but the disadvantage is that it delays OA and runs the risk that the author forgets to deposit the article so long after publication.

Immediate deposit with optional access Requires immediate deposit, but if the article is submitted to a journal with an embargo, then the policy permits access to be open only at the end of the embargo period. The advantage is that the policy complies with publisher embargoes but at the same time ensures that all the required research outputs are compiled in the repository at the earliest opportunity that is, when the article has been accepted for publication and is in its final form.

Best practices & lessons learnt Draft an open access policy based on the models set by others: roarmap.eprints.org; Implementation should be part of the policy; Collaborations are important.

Best practices When universities need to see a list of a faculty member's recent journal publications (e.g. for promotion, tenure, or post-tenure review), they should either draw up the list from the institutional repository or request the list in digital form with live links to OA copies in the institutional repository (Katholieke Universiteit Leuven, Labortoire de Psychologie et Neurosciences Cognitives (at the University of Paris - Descartes), Charles Sturt University, and the National Research Council Canada)

Berlin Declaration on OA to Knowledge in the Sciences & Humanities To encourage researchers to make their materials available in OA; To develop means and ways to evaluate OA contributions to maintain the standards of quality assurance and good scientific practice; To advocate that OA publications be recognised in promotion and tenure evaluation;

Berlin Declaration signatories in Uganda Makerere University (2011); Mbarara University of Science and Technology (2012).

UP Open Scholarship Programme 1. Theses and dissertations are available online and OA based on a policy of mandatory submission 2. Research and conference papers are available online and OA and researchers actively contribute based on a policy of mandatory submission 3. Researchers and students actively use OA material

UP Open Scholarship Programme (2) 4. Researchers publish in available OA journals and the institution has policy and financial support in place for that 5. Researchers actively manage the copyright of their publications, inter alia with addenda to their contracts or using Creative Commons contracts, and the necessary policy exists 6. Publications from the institution's press/publishing house are available in OA based on policy

UP Open Scholarship Programme (3) 7. The institution publishes its own online OA journals OR provides infrastructure and support for members of its community who are involved with society publishing 8. Dissemination forms part of its publication strategies.

Open licenses International Livestock Research Institute (ILRI) adopted a proposal for the institute to use an ‘open’ license for its published outputs. The aim is to encourage maximum uptake and re- use of ILRI’s research. Under this proposal, ILRI retains copyright over each output. It also explicitly encourages wide non-commercial re-use of each output, subject to full attribution of ILRI and the author(s), and use of an equally open license for any derivative output.

Thank you! Questions?