Presented at Open Access and the Evolving Scholarly Communication Environment workshop, July 10 2012, Makerere University, Uganda

1. Open access policies:
An overview
Iryna Kuchma
Open Access Programme Manager
Open Access and the Evolving Scholarly Communication
Environment workshop, July 10 2012, Makerere University
www.eifl.net Attribution 3.0 Unported

2. OA policy
Universities & research funding agencies have been
implementing OA policies since 2004.
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.

7. 500 000 unique users daily
99% articles have been downloaded
at least once
25% of users from univrsity domains;
40% general public; 17% companies,
governmental organizations

8. “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

9. 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

10. 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)

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

12. OA in the European
Union
Chapter 2.5.2 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

13. 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

14. 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".

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

18. 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
http://bit.ly/1Tp1KV)

19. 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.

20. 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.

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

22. 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

23. 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"

24. 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.

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

26. 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.

27. 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.

28. 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

29. 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.

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

32. 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.

33. 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.

34. 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.

35. 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.

36. 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)

39. 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;

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

44. 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

45. 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

46. 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.

47. 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.

48. Thank you! Questions?
iryna.kuchma@eifl.net