1. SIX THINGS TO KNOW ABOUT THE UC OPEN ACCESS POLICY Christopher Kelty, Associate Professor Institute for Society and Genetics, Dept. of Anthropology, Dept. of Information Studies Immediate Past Chair, University Committee on Library and Scholarly Communication (UCOLASC)

2. 0. IT’S NEW. Passed the Academic Senate on July24 th, 2013. Two years of review and revision. Largest University to pass such a policy (175+ others). Continuing review and revision over the next year.

3. WHAT IS OPEN ACCESS? In 2002, the Budapest Open Access Initiative defined open access as: ”the world-wide electronic distribution of the peer-reviewed journal literature, completely free and unrestricted access to it by all scientists, scholars, teachers, students, and other curious minds."

4. WHO BENEFITS FROM OPEN ACCESS? Scholars in universities increase visibility, usage, and impact of research Retain rights to use and reuse research publications, including derivatives Industry, business, arts and scholarship beyond the university Gain access to cutting edge research and new ideas Fuels innovation, discovery, creativity and progress Stimulates and guides public discourse and debate The people of California (and the world) Get a return on their investment and taxes when research is freely available Promotes knowledge and free expression as a public good Libraries, K-12, educators generally Gain access to the latest research Creates a basis for better learning and teaching everywhere Publishers Reduced transactions costs in managing complex subscriptions Doing the right thing with scholarly research

5. WHO HAS ACCESS NOW? Scholars in (rich) universities increase visibility, usage, and impact of research Retain rights to use and reuse research publications, including derivatives Industry, business, arts and scholarship beyond the university Gain access to cutting edge research and new ideas Fuels innovation, discovery, creativity and progress Stimulates and guides public discourse and debate The people of California (and the world) Get a return on their investment and taxes when research is freely available Promotes knowledge and free expression as a public good Libraries, K-12, educators generally Gain access to the latest research Creates a basis for better learning and teaching everywhere Publishers Reduced transactions costs in managing complex subscriptions Doing the right thing with scholarly research

6. What’s wrong with the current system of publishing? The Scholarly publishing industry is concentrating, and subscription costs are out of control. Meanwhile, the largest for-profit publishers have profit margins between 30-40%. Library revenues have been dropping for decades, and faculty are losing access to content as subscriptions are canceled. Faculty provide all of the content and most of the labor: authorship, peer review, editorship, advisory board service, copyediting, even typesetting in some cases Publishers seek greater control over content and its uses. They exert pressure on university libraries through complex negotiations. Digital content remains expensive to produce, but is getting cheaper to distribute. Open Access is not the solution to the crisis of scholarly publication, but is a necessary component of any future system. July 20126

7. What’s wrong with the current system of publishing? The Scholarly publishing industry is concentrating, and subscription costs are out of control. Meanwhile, the largest for-profit publishers have profit margins between 30-40%. Percent Increase in Cost for the Average Health Sciences Journal versus the CPI July 20127

8. What’s wrong with the current system of publishing? The Scholarly publishing industry is concentrating, and subscription costs are out of control. The largest for- profit publishers have profit margins between 30-40%. ProfitsRevenues Profit Margin Elsevier$1.14B$3.12B36% Wiley$106M$253M42% Springer$467M$1.4B34% Informa$74M$230M32% Apple24% Google27% 2010/2011 P ROFITS, F OUR L ARGEST C OMMERCIAL P UBLISHERS July 20128

9. What’s wrong with the current system of publishing? Library revenues have been dropping for decades, and faculty are losing access to content as subscriptions are canceled. Cancellations 9 database contracts cancelled since 2008. 600 journals (7.5%) cancelled in 2010-2011, including one entire contract. More journal cancellations in 2013. July 20129

10. What’s wrong with the current system of publishing? Faculty provide all of the content and most of the labor: authorship, peer review, editorship, advisory board service, copyediting, even typesetting in some cases. Examples: UC authorship contribution to Elsevier journals UC authors: 2.2% of all Elsevier articles UC authors’ estimated contribution to Elsevier revenue: $31M UC authors’ estimated contribution to Elsevier profit: $9.8M UC authors: 12% of all published articles in Nature UC authors’ estimated contribution to Nature revenue: $5M UC authors’ estimated contribution to Nature profit: $700K July 201210

11. What’s wrong with the current system of publishing? Publishers seek greater control over content and its uses. They exert pressure on university libraries through complex negotiations. Total $38,743,006 CDL $6,261,137 16% 10 Campuses $32,481,869 84% UCLA (e.g.) 4,804,959 12% of total Systemwide Subscription Expenditures Negotiated in 2011 July 201211

12. What’s wrong with the current system of publishing? Digital content remains expensive to produce (the cost that scholars and universities bear) but is getting cheaper to distribute (the cost publishers have traditionally borne). There is no free lunch: publishing has costs, and someone has to bear them– but it shouldn’t be the public that has already paid for research. Open Access is not the solution to the crisis of scholarly publication, but is a necessary component of any future system. July 201212

13. How can we achieve Open Access? Federal Legislation o The NIH Public Access Act, passed in 2006, in effect since 2008. Most medical and health sciences campuses are predominantly OA already. o In Congress now: The Federal Research Public Access Act (FRPAA) would expand OA requirements to all Federal Agencies. Open Access Journals o Designed from the start to be open access: PLoS, eLife, Open Humanities Press, HAU: A Journal of Ethnographic Theory; Michigan Law Review, Duke Law Review, Texas Law Review, Molecular Systems Biology (from Nature Publishing Group), Frontiers in Cellular Neuroscience, Nucleic Acids Research, Bryn Mawr Classical Review, Postmodern Culture Many different funding models, and a range of quality—just as in traditional publication. Open Access options from existing publishers o Springer Open Pilot with UC and Max Planck– a success, but cancelled by Springer. Springer Open Pilot o SCOAP3-consortium to pay for open access to high energy physics research. SCOAP3-consortium o Sage Open, Nature Communications, Cell Reports. Institutional Policies like the one we are proposing o 141 Institutions have already passed such policies. July 201213

14. 1. MADE BY FACULTY, FOR FACULTY. Designed to promote open access, but respect academic freedom. Open access = more readers, more citations, more engagement. OA policies work by changing the default. From weak individual negotiation to strong collective power. Strength and weakness of the policy = opt out/waiver.

15. 2. IT’S GREEN NOT GOLD. Green policies reserve rights (under copyright law) to make a version of any publication available in a public repository. Gold OA means new business models that make open access publishing more sustainable (hopefully). UC OA policy does not require that anyone pay to publish or publish in an OA journal. Advantage? Reserves strong, flexible rights without committing to any particular business model.

16. 3. IT STARTED NOV. 1 ST UCLA and UCI will be the ‘pilot’ universities (but anyone at any UC can officially start depositing). UCSF has already started. In 2013-14, the California Digital Library will provide: - a streamlined deposit system (Nov. 1) - a prototype ‘harvesting’ tool (Summer 2014) - stats and data about the process (throughout)

17. 4. THERE ARE LOTS OF WAYS TO DO IT. eScholarship is the official system-wide repository of the UC system indexed by Google, CrossRef and other databases can house supplementary materials, data, etc. Any other recognized OA repository will satisfy the policy PubMed, ArXiv, other University repositories, etc. Consistent with the NIH Public Access policy If you choose to publish in an OA journal, that also satisfies the policy PLoS journals, BioMed journals, Open Humanities Press, Cultural Anthropology, Duke Law Review, Nucleic Acids Research, Bryn Mawr Classical Review, etc. “Hybrid” gold OA not necessary. Choose full OA journals instead.

18. 5. INDIVIDUALS CONTROL THEIR PUBLICATIONS. You can deposit your article anytime after it is accepted for publication (‘by the date of publication’). You can determine whether to make it available immediately or after an embargo period (6 months, 12 months etc) You can determine the license rights that apply Commercial or Non-commercial uses? Derivative works? “Share Alike” (license applies to all subsequent users) You can decide which version to upload (up to a point...) Some publishers allow final typeset versions, some do not (see http://www.sherpa.ac.uk/romeo/)

19. 6. LIBRARIANS ARE ON THE FRONT LINES Main Open Access Portal via CDL http://osc.universityofcalifornia.edu/openaccesspolicy/ CDL Implementation Project https://wiki.library.ucsf.edu/display/OAPI UCLA Library http://www.library.ucla.edu/service/open-access-policy http://guides.library.ucla.edu/openaccess

20. What do Open Access Policies do? ”An Open Access Publication is one that meets the following two conditions: 1.The author(s) and copyright holder(s) grant(s) to all users a free, irrevocable, worldwide, perpetual right of access to, and a license to copy, use, distribute, transmit and display the work publicly and to make and distribute derivative works, in any digital medium for any responsible purpose, subject to proper attribution of authorship, as well as the right to make small numbers of printed copies for their personal use. 2.A complete version of the work and all supplemental materials, including a copy of the permission as stated above, in a suitable standard electronic format is deposited immediately upon initial publication in at least one online repository that is supported by an academic institution, scholarly society, government agency, or other well-established organization that seeks to enable open access, unrestricted distribution, interoperability, and long-term archiving (PubMed Central is such a repository).” From the 2003 Bethesda Statement on Open Access Publishing July 201220

21. The Proposed UC Open Access Policy 1.Preamble 2.License Grant 3.Scope 4.Waiver/Opt-out clause 5.Deposit Obligation 6.Review and Oversight July 201221

22. Implementing OA 1.eScholarship 2.Addenda and Letters to publishers 3.Waiver/Opt-out 4.Deposit 5.Harvesting 6.Reporting July 201222

23. FEEDBACK The Senate, UCOP and CDL need feedback on both advantages and problems. Is it great for you? Does it suck? Can you help make it better somehow? ckelty@ucla.edu