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Increasing access to and preserving institutional research assets: an

Open Access approachIna Smith

Presented during the Annual DATAD Conference, 24-26 August 2016, AAU & Lupane State

University, Bulawayo, Zimbabwe

Agenda

• Setting the scene: Open Access (OA)• Demonstrating support for OA

• Strategy• Berlin Declaration• Statement• Policy

• Approaches to OA• Open Access Journals (Gold)• Open Access Institutional Repositories

(Green)

Open Access (OA) defined (policy)

All content is freely available without charge to the user or his/her institution. Users are allowed to read, download,

copy, distribute, print, search, or link to the full texts of the research items, or use them for any other lawful purpose,

without asking prior permission from the institution, copyright owner, publisher or the author. This is in accordance with the BOAI

definition of Open Access.

Who needs OA?

• Scientists/scholars not affiliated with institutions

• Students in (high/secondary) schools• Physicians• Health care workers/practitioners• Patient groups• And MANY MANY more!

Why OA?• (State) funded research should be available

to all• More exposure• More citations• More review / control post-publication• Better quality science• More efficiency - less double studies• Everybody can participate in knowledge creation• More use of innovation potential, entrepreneurs• And more …

Why OA?

Jack Andraka- Tapping into the hidden innovator: an open access story

How Open Access Empowered a 16-Year-Old to Make Cancer Breakthrough

http://thefreethoughtproject.com/cdc-scientist-admits-destroyed-data-showed-vaccines-caused-autism-children/#cZz6lzEjivPoTZ80.99

Why OA?

Gomez is a Colombian graduate student who shared an academic paper without permission online and received a criminal copyright complaint from the author.

If convicted, Gomez faces a 4-8 year prison sentence and a significant monetary fine.

“Tesla Motors was created to accelerate the advent of sustainable transport. If we clear a

path to the creation of compelling electric vehicles, but then lay intellectual property

landmines behind us to inhibit others, we are acting in a manner contrary to that goal. Tesla will not initiate patent lawsuits against anyone who, in

good faith, wants to use our technology.” – Elon Musk, CEO

Date Downloads

Nov 2013 984

May 2014 1 534

Oct 2015 2 289

Aug 2016 2 486

http://www.topuniversities.com/qs-world-university-rankings

In a statement released by Linda Jarvis, Chief Financial Officer at Wits, her office explains the increase:“Some of the key reasons are:The rand-dollar exchange rate has fallen by approximately 22%, which has resulted in a substantial increase in the amount of money that we pay for all library books, journals, electronic resources research equipment that are procured in dollars and euros.”

http://connect.citizen.co.za/25760/why-is-wits-raising-its-fees/

SA Subscription Costs• SA Univ. research output 2000-2013 increased by

250%• R24 bill. spent on research & development 2000-

2013 (50%+ from tax payer)• SA HEIs paid R470 million to national and

international publishers for subscription fees to academic journals in 2014

• Double-dipping: Article Processing Charges & Subscription

• Top South African university + R30 mill. for 2016

Publisher profits published in 2013

Publisher profits published in 2014

https://www.techdirt.com/articles/20151117/09383132839/elsevier-says-downloading-content-mining-licensed-copies-research-papers-could-be-considered-stealing.shtml

http://chronicle.com/article/What-a-Mass-Exodus-at-a/234066

How to demonstrate support?• Institutional strategy• Sign the Berlin Declaration• Issue a statement• Implement a policy

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Strategy• Long term plan of action to achieve a

specific goal• Align library strategy with overall

institutional strategy• Actions, Key Performance Indicators (KPIs)• Example strategic objective:

To increase the visibility, accessibility and impact of Zimbabwean research output

About the Berlin Declaration• Berlin Declaration on Open Access to

Knowledge in the Sciences and Humanities

• Announcement of support in terms of Open Access

• 565 signatories • SA: 17; Africa: 46• Africa: http://tinyurl.com/zjezaza • All: https://openaccess.mpg.de/319790/Signatories

About the Berlin Declaration• Top-level institutional representative

email Max Planck Society - email:open-access@mpdl.mpg.de

• http://openaccess.mpg.de/Berlin-Declaration

OA defined by Berlin Declaration• “We define open access as a comprehensive source of human knowledge and cultural heritage that has been approved by the scientific community.”

• “In order to realize the vision of a global and accessible representation of knowledge, the future Web has to be sustainable, interactive, and transparent. Content and software tools must be openly accessible and compatible.”

http://openaccess.mpg.de/Berlin-Declaration

Berlin Declaration (1)“The author(s) and right holder(s) of such contributions grant(s) to all users a free, irrevocable, worldwide, 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 …”

Berlin Declaration (2)

“A complete version of the work and all supplemental materials, including a copy of the permission as stated above, in an appropriate standard electronic format is deposited (and thus published) in at least one online repository using suitable technical standards …”

Open Access Statement

• Clear expression of requirements – recommendations in terms of Open Access

• Policy statement – formal document outlining the ways in which an institution intends to support Open Access, manage research output and act in specific circumstances

• Publicly make funders, researchers aware of intent, view

Example Open Access Statements• IFLA Statement on Open Access

http://www.ifla.org/files/assets/hq/news/documents/ifla-statement-on-open-access.pdf

• Statement on Open Access to research publications from the National Research Foundation (NRF)-funded researchhttp://www.nrf.ac.za/media-room/news/statement-open-access-research-publications-national-research-foundation-nrf-funded

Strong vs Weak

What is a “policy”?

“A definite course or method of action selected (by governments, institutions, groups, individuals) from among alternatives and in light of given conditions to guide and determine present and future decisions.”“A high-level overall plan embracing the general goals and acceptable procedures especially of a governmental body.”(Merriam-Webster Online Dictionary)

What is a “policy”? (cont.)Fox and Meyer (1995: 107) define policy as “authoritative statements made by legitimate public institutions about the way in which they propose to deal with policy problems”. Anderson (1997:9), as based on the work of political scientist Carl J. Friedrich, defines policy as “a proposed course of action of a person, group, or government within a given environment providing obstacles and opportunities which the policy was proposed to utilize and overcome in an effort to reach a goal or realize an objective”.

What is a “policy”? (cont.)

• Open Access Policy Advisory Group – involve research community

• Revisit policy from time to time (annually)

• Ratified by highest governing body• National: Parliament (government)• Institutional: Council/Board

Policy = Principles + Objectives + Decisions

Policy = Decision-making framework to achieve a desired outcome, in the interest of a specific community

Policy = Response to the changing world we find ourselves in

Policy needs to be aligned

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Policy = Followed by procedures, guidelines, processes, planning

Policy = Strategic & long term; Planning = operational within specific timeframes

Policies change, needs to be revisited, adapted in line with change

Policy can be enforced

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Human rights and OA• Principle: Right to access information

(Constitution)• UN General Assembly adopted Resolution 59(I),

stating, “Freedom of information is a fundamental human right and ... the touchstone of all the freedoms to which the United Nations is consecrated.”

• Problem: High subscription costs & research funded with tax payer’s money

• Objective: Policy to open up access to information funded with tax payer’s money

Stages of Policy Process (John W Kingdon)

Problem Identification

Policy Formulation

Policy Adoption

Policy Implement

ation

Policy Evaluation

Policy Advisory CommitteeTerms of Reference

Policy implementations promoting OASource: http://unesdoc.unesco.org/images/0021/002158/215863e.pdf

Harvard UniversitySource: https://osc.hul.harvard.edu/policies/

Policy implementations promoting OASource: http://unesdoc.unesco.org/images/0021/002158/215863e.pdf

National Health Institute OA Policy

Policy implementations promoting OASource: http://unesdoc.unesco.org/images/0021/002158/215863e.pdf

Wellcome Trust OA Policy

Bill & Melinda Gates Foundation

Open Access policies resource

http://roarmap.eprints.org

Status of Open Access policies

http://roarmap.eprints.org/dataviz.html

Policies on Open Access in Africa

Open Access policy effectiveness

Open Access policy guidelines

Elements of an effective Open Access policy (1)• https://goo.gl/QxkD5Q• Mandatory policy/not mandatory

• Articles must be deposited in IR at time of acceptance for publication in journal – manage embargoes

• Version: final peer-reviewed version, with final corrections(post-print, galley, author’s version, publishers version)

• Stipulating how OA should be provided:• When & where (IRs) research articles must be deposited • Publishing in OA journal

• Length of permitted embargo• Must become OA when embargo expires

Elements of an effective Open Access policy (2)• Whether waivers may be granted

• Depositing in IR cannot be waived – must be deposited at point specified by policy

• Conditions under which publication charges may be paid

• Sanctions when non-compliance• Deposit in IR linked with research

assessment/performance evaluation procedures• Specific requirements regarding licensing –

authors retain certain rights over their work• Cannot be waived

Guidelines to an effective Open Access policyhttp://cyber.law.harvard.edu/hoap/Good_practices_for_university_open-access_policies

Alma Swan – Policy Guidelines for the development and promotion of open accesshttp://unesdoc.unesco.org/images/0021/002158/215863e.pdf

Open Access Policy Templates• Harvard University examplehttps://osc.hul.harvard.edu/assets/files/model-policy-annotated_01_2013.pdf

• Columbia University Scholarly Communication Programme

http://scholcomm.columbia.edu/wp-content/uploads/2011/10/ColumbiaOAPolicyTemplate.doc

ActivityUse one of the template policy documents, and adapt for your institution.

https://goo.gl/QxkD5Q >> policies

• Open scholarly repositories• Open scholarly journals• Open scholarly monographs• Open scholarly science• Open scholarly conference proceedings

• Open data set repositories• Open Educational Resources (OERs)• Massive Open Online Courses (MOOCs)

Approaches to Open Access

Open Access Repositories (Green)

http://www.sherpa.ac.uk/romeo/index.php

Publisher Policies

http://www.sherpa.ac.uk/juliet/index.php

Funder Policies

Open Scholarly Repositories (Green)

https://repository.unam.edu.na/

Open Access Journals (Gold)

Centrally, publicly and internationally available community-curated database of high quality open access journal titles across all disciplines (scientific/scholarly)

doaj.org

Open Scholarly Journals (Gold)

Open Scholarly Journals (Gold)

Open Scholarly Monographs

Every part of the scientific method is nowadays becoming an open, collaborative, and participative process:• Transparency in experimental methodology,

observation, and collection of data• Public availability and reusability of scientific

data• Public accessibility and transparency of

scientific communication• Using web-based tools to facilitate scientific

collaboration

Open Science

Massive Open Online Courses (MOOCs)

Online self-paced courses for librarians

Open Educational Resources (OERs)

https://www.oercommons.org/

Intellectual Property Rights

• Exclusive rights to the creative work, commercial symbol, or invention which is covered by it – remains with owner/creator

• IP Policy at your institution• Permission obtained from rights holder• DC Element “Rights” – individual items

• Add “Rights”- document/ file together with item• Copyright/ Rights note for Collection/

Community

Copyright

• IP Policy for institution• Agreement between student/researcher

& institution• Work agreement between employee &

employer• Theses/Dissertations: Institution• Articles: rights reside with

author/institution – do not sign away to publisher

Author Rights• Educate researchers not sign IP/Copyright away• Researchers can add addendum to article

http://www.sparc.arl.org/resources/authors/addendum

• Three approaches to determine rights:– Publisher policy on SHERPA RoMEO – else;– Visit publishers’ web site– Contact publisher directly and obtain

permission/ negotiate – archive letter of consent on your IR

Consent letter to publisher

Licensing

License stored with each item – Submitter grants license

“By submitting this license, you (the owner of the rights) or on behalf of the owner of the rights, grants to the University of Pretoria the non-exclusive right to reproduce, translate (as defined below), and/or distribute your submission (including the abstract) worldwide in print and electronic format and in any medium, including but not limited to audio or video.”

Creative Commons Licenseshttps://creativecommons.org/licenses/

Limiting access in DSpaceAssign policies on community, collection, item or bitstream (file) level

Supporting web page for IR

ActivityExplore the Ranking Web of Repositorieshttp://repositories.webometrics.info/

• Visit a few high performing IRs • Which IRs from Africa are listed?• How do they compare?• Visit: http://

wiki.lib.sun.ac.za/index.php/SUNScholar/Ranking • DATAD Project: Monitor ranking of all

African IRs?

Thank you!Ina SmithSciELO Planning Manager, ASSAfina@assaf.org.za