Open Access policies in Europe and in the USA

Iryna Kuchma eIFL Open Access program manager, eIFL.net

Jan Andrzej NikischPoznańska Fundacja Bibliotek Naukowych

Presented at the Second International Conference on Open Access

Torun, Poland, January 14, 2010

eIFL.net

not for profit organisation that enables access to knowledge through libraries in developing and transition

countries

47 countries in Eastern Europe, Middle East and Central Asia, South-East Asia and Africa

eIFL Open Access (OA) Program:

adoption of OA policies and sustainability of open repositories

DriversKnowledge economy

E-science, E-research, Virtual Learning Environment

Accountability and Assessment

Freedom of information

(based on Open Access Policies: An Overview by DOpen Access Policies: An Overview by David Prosser,SPARC Europe Director:

http://www.eifl.net/cps/sections/services/eifl-oa/training/2009-nepal/10-david-prosser)

Lisbon Agenda

In March 2000, the EU Heads of States and Governments

agreed their aim to make the EU ‘the most competitive and dynamic knowledge-driven economy by

2010’.

(from Open Access Policies: An Overview by DOpen Access Policies: An Overview by David Prosser, SPARC Europe: http://www.eifl.net/cps/sections/services/eifl-oa/training/2009-nepal/10-david-prosser)

Lisbon Agenda 2

One of the key strategic means of achieving this goal was identified as

‘preparing the transition to a knowledge-based economy and society by better policies for the information society

and R&D…’ and specifically increasing investment in R&D to 3% of GDP.

(from Open Access Policies: An Overview by DOpen Access Policies: An Overview by David Prosser, SPARC Europe: http://www.eifl.net/cps/sections/services/eifl-oa/training/2009-nepal/10-david-prosser)

Lisbon Agenda 3

In a post-industrial economy there is increasing acknowledgement

of the relationship between:

Investment in R&DAccess to knowledgeTechnology transfer

Wealth creation

(from Open Access Policies: An Overview by DOpen Access Policies: An Overview by David Prosser, SPARC Europe: http://www.eifl.net/cps/sections/services/eifl-oa/training/2009-nepal/10-david-prosser)

European Commission

EC pilot, August 2008: OA to results

from approximately 20% of projects from the 7th Research Framework Programme (FP7) –

in health, energy, environment, social sciences and information and communication technologies.

European Commission 2

Grantees required to:deposit peer reviewed research articles

or final manuscripts resulting from their FP7 projects

into an on-line repository, with either six or twelve month embargo

(depending on subject area).

European Commission 2009

In a report on e-science infrastructure,EC promised "reinforce [its] catalytic investment

under FP7 in scientific data infrastructure, to support accessibility...policies”.

European Research Area Conference 2009, Brussels, October 21-23, 2009

"to come up with recommendations for policies on Open Access

that the Commission can take forward”.

ERCIn December 2007

the European Research Council (ERC) issued Guidelines for Open Access

and the ERC Scientific Council has established the following interim position on OA:

All peer-reviewed publications from ERC-funded research projects

be deposited on publication into an appropriate research repository where available and subsequently made

Open Access within 6 months of publication.

(from Open Access Policies: An Overview by DOpen Access Policies: An Overview by David Prosser, SPARC Europe:http://www.eifl.net/cps/sections/services/eifl-oa/training/2009-nepal/10-david-prosser)

OpenAIRE Three-year EU-funded OpenAIRE project

(Open Access Infrastructure for Research in Europe) launched on December 1, 2009.

38 partners covering almost all 27 European Union member states and one associated state (Norway).

Will deliver an electronic infrastructure and supporting mechanisms for the identification,

deposition, access and monitoring of FP7

and ERC funded article.

EUROHORCs

All the major public funding agencies in 24 European countries

are members of European Heads of Research Councils (EUROHORCs)In May 2008 the General Assembly of EUROHORCs agreed

to recommend a minimal standard regarding Open Access to its Member Organisations.

The proposed minimal standard is an intermediate step towards a system in which free access to all scientific information is guaranteed without jeopardizing the system of peer review,

quality control and long-term preservation.

(from Open Access Policies: An Overview by DOpen Access Policies: An Overview by David Prosser, SPARC Europe: http://www.eifl.net/cps/sections/services/eifl-oa/training/2009-nepal/10-david-prosser)

EUROHORCs 2

It encourages its members to reduce embargo time

to not more than six months and later to zero.All MOs of EUROHORCs

should sign the Berlin Declaration on Open Access (2003); all scientists, either funded by or doing research for MOs,

should be informed about the already existing mechanisms for Open Access and strongly advised

to make use of them.

(from Open Access Policies: An Overview by DOpen Access Policies: An Overview by David Prosser, SPARC Europe: http://www.eifl.net/cps/sections/services/eifl-oa/training/2009-nepal/10-david-prosser)

Berlin Declaration

‘Our mission of disseminating knowledge is only half complete if the information is not made widely and readily

available to society.’

Signatories should promote Open Access byencouraging researchers/grant recipients

to publish in Open Access.

Encouraging the holders of cultural heritage to support Open Access by providing their resources

on the Internet.

http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html

Berlin Declaration 2

‘Open access contributions must satisfy two conditions: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 (community standards, will continue to provide the

mechanism for enforcement of proper attribution and responsible use of the published work, as they

do now), as well as the right to make small numbers of printed copies for their personal use.

http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html

Berlin Declaration 3

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 … in

… on-line repository using suitable technical standards

(such as the Open Archive definitions) that is supported and maintained 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.

http://www.zim.mpg.de/openaccess-berlin/berlindeclaration.html

Berlin Declaration 4

Developing means to evaluate Open Access contributions

and on-line-journals in order to maintain the standards

of quality assurance and good scientific practice;

advocating that Open Access publication be recognized in promotion and tenure evaluation.

Funder mandates

The Welcome Trust in the UK was the first funder to mandate Open Access.

The U.S. National Institutes of Health (NIH), implemented a policy requiring

that its grant recipients make articles resulting from NIH funding publicly available within

twelve months of publication in a peer-reviewed journal.

FRPAA

The largest proposed mandatethe Federal Research Public Access Act (FRPAA) in the US

Senate.

The bill would mandate OA at all the major US federal funding agencies endorsed by 85 presidents and provosts of

US universities, 41 Nobel laureates, seven major US library associations, six major US student organizations, a number of

NGOs and even received support from business-oriented groups.

OSTPPresident Obama's call for public comments

on ways to extend OA policies across the federal government.

The White House Office of Science and Technology Policy (OSTP) is collecting comments, so far overwhelmingly in favour of a government-wide green OA mandate with a short embargo

period.

At the end of the comment period (January 21, 2010), the OSTP will formulate a policy which the President could implement

by executive order.

Funder mandates 2009

Five Canadian funding agencies adopted OA mandates:

the Michael Smith Foundation for Health Research, the Canadian Breast Cancer Research Alliance, the Fonds de la recherche en sante du Quebec,

the Canadian Health Services Research Foundation and the Canadian Cancer Society.

Funder mandates 2009

The UK Engineering & Physical Sciences Research Council

was the seventh of the seven Research Councils UK

to adopt an OA mandate.

Funder mandates 2009

OA mandates were also adopted by the Chinese Academy of Sciences,

Hungarian Scientific Research Fund, the Norwegian Research Council,

Swedish Research Council, the Spanish principality of Asturias…

Governments

Since January 2007 Ukraine has a law: mandate for Open Access

to publicly funded research.

And a new Lithuanian law on science requires public on-line access for publicly-funded research.

University associationsEuropean University Association:

“Universities should develop institutional policies and strategies that foster the availability

of their quality-controlled research results for the broadest possible range of users, maximising their visibility, accessibility

and scientific impact.

The basic approach …should be the creation of an institutional repository or participation in a shared

repository…

http://www.eua.be/fileadmin/user_upload/files/Policy_Positions/Recommendations_Open_Access_adopted_by_the_EUA_Council_on_26th_of_Marc

h_2008_final.pdf

Finland

In October 2009, 26 of Finland's Universities of Applied Sciences

adopted a joint OA mandate.

The largest number of institutions adopting a common OA policy in the history of OA!!!

University presses

Ten US and Canadian university presses called for OA to publicly-funded research.

The statement was organised by 2009 SPARC Innovator Mike Rossner, Executive Director of Rockefeller University Press.

OA policy options

Open Access policy options for funding agencies and universities.

Request or require?If you're serious about achieving Open Access

for the research you fund, you must require it.

(Based on The SPARC Open Access Newsletter, issue #130 and The SPARC Open Access Newsletter, issue #127,

by Peter Suber: http://www.earlham.edu/~peters/fos/newsletter/02-02-09.htm and http://www.earlham.edu/~peters/fos/newsletter/11-02-08.htm)

Green or gold?

Recommendation: If you decide

to request and encourage Open Access, rather than a mandate it,

then you can encourage submission to an Open Access journal

and encourage deposit in an Open Access repository as well, especially when researchers publish in a toll access journal.

Green or gold? 2Recommendation: But if you decide

to mandate Open Access, then you should require deposit in an Open Access repository,

and not require submission to an Open Access journal,

even if you also encourage submission to an Open Access journal.

Deposit what?

Recommendation: Require the deposit of

the final version of the author's peer-reviewed manuscript, not the published version.

Require the deposit of data generated by the funded research project.

In medicine and the social sciences, where privacy is an issue, Open Access data should be anonymised.

A peer-reviewed manuscript in an Open Access repository should include

a citation and link to the published edition.

Deposit what? 2

Recommendation: Allow the deposit of unrefereed preprints, previous journal articles, conference presentations (slides, text, audio, video),

book manuscripts, book metadata (especially when the author cannot or will not deposit the full-text), and the contents of journals edited or published on campus.

The university itself could consider other categories as well, such as open courseware, administrative records, and digitization

projects from the library, theses and dissertations.

Scope of policy?

Recommendation: For simplicity and enforceability,

follow the example of most funding agencies: apply your Open Access policy

to research you fund "in whole or in part”.

What embargo?

Recommendation: 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?

Recommendation:Exempt private notes and records not intended for publication.

Exempt classified research. Either exempt patentable discoveries or allow an embargo long

enough for the researcher to apply for a patent. (This could be a special embargo not allowed to other research).

And unless you fund research, which often results in royalty-producing books, exempt royalty-producing books.

Thank you!Questions?

Iryna Kuchmairyna.kuchma@eifl.net; www.eifl.net

The presentation is licensed with Creative Commons Attribution 3.0 License.