Open Access Publishing

||ETH-Bibliothek
vmitet Career Event, 18th October 2017
18.10.2017Barbara Hirschmann 1
Open Access Publishing
Options, Policies, Best Practices

||ETH-Bibliothek
1. Introduction to Open Access
2. How does is work?
 Green Road
 Gold Road
3. Policy framework
4. ETH Zurich’s Research Collection
Agenda

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1. Introduction

||ETH-Bibliothek 18.10.2017Barbara Hirschmann 4
What is Open Access?
«Open access […] literature is digital, online, free of charge,
and free of most copyright and licensing restrictions.»
(Peter Suber, 2012)
without costs for the readeraccessible
possibility to reuse
• Download
• Copy
• Distribute
• Print
• Textmining
• …

Conventional publication cycle
Author
(as producer)
Publisher
Bookseller
/ library
supplier
Library
Author
(as recipient)

Conventional publication cycle
Author
(as producer)
Publisher
Bookseller
/ library
supplier
Library
Author
(as recipient)
Peer Review
Layout &
Copy-editing
Distribution
Selection &
Acquistion
Delivery
Paid by
taxpayer
Paid by
taxpayer

Journal price increases compared to Consumer Price Index
Annual US journal price increases compared to Consumer Price Index (CPI).
Source: Tillery, Kody (2013). 2012 Study of Subscription Prices for Scholarly Society Journals. Allen Press,
Inc. Retrieved on 18 March 2016 from: http://allenpress.com/system/files/pdfs/library/2012_AP_JPS.pdf.

Publisher profit margins
Company Profit margin
Elsevier 39%
Springer 34%
Wiley 42%
Company Profit margin
Microsoft 20%
Google 17%
McDonalds 19%
“Publishing obscure academic journals is that rare thing in the media
industry: a license to print money.” (The Economist, 14 April 2012)

||ETH-Bibliothek
 Increased visibility, fast access
 Authors retain copyright
 Greater research efficiency
through early discussion of
results
 Promotes international and
inter-disciplinary cooperation
 Publicly-funded research
results should be publicly
available
 …
 A solution for the «serials
crisis»?
Why Open Access?
How would you rate a complete
transformation of academic publishing
towards an OA-based model?
ETHZ open
access
survey 2017

||ETH-Bibliothek
2. How does it work?

Self-archiving (Green Road)
Author
(as producer)
Publisher
Bookseller
/ library
supplier
Library
Author
(as recipient)
Peer Review
Layout &
Copy-editing
Distribution
Selection &
Acquistion
Delivery
Publication in
Repository

Self-archiving (Green Road)
Institutional
Repository
Disciplinary
Repository
OpenDOAR
(Directory of Open Access Repositories)
Academic
Networking Site
Multidisciplinary
Repository • Commercial start-up
• No copyright
clarification at upload
• Currently brought to
court by Elsevier &
ACM due to massive
copyright
infringements
• Not-for-profit
• All uploads checked
against publishers’
copyright regulations

Self-archiving: copyright issues
 Subscription publishers usually require authors to transfer copyright or grant
them an exclusive license to publish their work
 But: They also usually allow some sort of self-archiving
 after a certain period of time (embargo)
 if you do not upload the publisher’s PDF but a manuscript version of the paper
(no publisher layout & logo)
 Where to look up the regulations?
 SHERPA/RoMEO Database: http://www.sherpa.ac.uk/romeo
 Publisher/journal website
 Copyright transfer agreement

Which format?
• Usually Postprint
(= author’s manuscript
after peer review)
When?
• Possible embargos
between 2 and 36
months
Where?
• Author’s website
• Institutional repository
• Disciplinary repository

||ETH-Bibliothek
 What is an OA journal?
 Quality Control (Peer Review)
 Different funding mechanisms
 Article Processing Charges
 Institutional, society, library funding
 Author retains Copyright (standard licence: CC-BY)
Open access journals (Gold Road)

||ETH-Bibliothek
 Is the journal indexed in DOAJ (Directory of Open Access Journals)?
How to assess the quality of OA journals

DOAJ: Tick / Seal
Journals that were accepted in to DOAJ
after March 2014 when DOAJ launched
its new criteria for journals to be
accepted in to DOAJ. The new criteria
require a higher level of compliance to
best practices and publishing standards.
Journals that do not have The Tick are in
the process of reapplying under the new
criteria.
Journals that achieve a high level of
openness, adhere to Best Practice and
high publishing standards.

||ETH-Bibliothek
 Did someone leave a review on QOAM (Quality Open Access Market)?
 Is the publisher a member of OASPA (the Open Access Scholarly Publishers
Association) or COPE (the Committee on Publication Ethics)?
 Have a look at the journal’s website:
 Does the journal conduct a peer review process?
 Are acknowledged scientists among the authors and editorial board members?
 More tips: http://thinkchecksubmit.org
How to assess the quality of OA journals

OA journals: How much does it cost?
Journal APC Impact factor 2016
€ 735
-
€ 1’560 3.786
€ 2’460 9.797
€ 3’700 13.092

OA journals: institutional funding
 ETH Library covers APCs if
 Corresponding author is affiliated with ETH Zurich
 Article is published in a fully OA journal of one of the following publishers:

||ETH-Bibliothek
 Not financed by ETH Zurich nor most research funders!
 For example:
 Spinger OpenChoice
 Wiley Online Open
 IEEE Hybrid Journals
 …
Subscription journals with OA option («Hybrid journals»)
Subscription fees
Publication fees (APCs)
«Double Dipping»

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3. Policy framework

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 Adopted by swissuniversities General Assembly in January 2017
 Goal: all publicly funded publications must be freely accessible by 2024
 Action items:
 Adopting and aligning OA policies
 Negotiations with publishers
 Coordinating and pooling resources
 Alternative forms of publishing
 Communicating and raising awareness
 Supportive regulatory framework
 National monitoring
Open Access in Switzerland: National Strategy
Take-away for individual
researchers:
 Action items mostly directed at
Swiss institutions
 Institutions and research funders
come up with or update their own
policies
 Researchers have to comply with
institutional/funder policies

||ETH-Bibliothek
 2006 ETH Zurich signs Berlin Declaration on Open Access to Scientific
Knowledge
 2008 ETH Zurich adopts Open Access policy
 Requires staff to post electronic copies of research papers to ETH institutional
repository
 Encourages staff to publish in open access journals
 Mandates that all doctoral theses must be deposited in ETH institutional
repository
 2013 ETH Zurich adopts “no-waiver policy” for doctoral theses
Open Access at ETH Zurich I

||ETH-Bibliothek
 2015 ETH Zurich signs LERU statement for the 2016 Dutch EU
Presidency (“Christmas is Over”)
 2017 Online survey among scientific staff at ETH Zurich
 2018 New open access policy to be adopted
Open Access at ETH Zurich II

Open Access in EC-funded projects
Regulation
OA mandatory for • Peer-reviewed publications
Requirement • Deposit paper in repository
Max. embargo period
• STM: 6 months
• HSS: 12 months
Funding for OA articles
• APCs for OA journals can be
claimed as project expenses
• FP7 post-grant Open Access
funding available
How to comply (3 options):
• Publish in OA journal
• Publish in subscription journal
with max. 6 months embargo
with longer embargo, and pay
for immediate (hybrid) OA
In all 3 cases:
• Deposit paper in the Research
Collection
• Inlude the Grant ID in the
metadata form

Open Access in SNSF-funded projects
Regulation
OA mandatory for
• Journal articles
• Book publications
Requirement • Deposit paper in repository
Max. embargo
period
• Articles: 6 months
• Books: 24 months
Funding for OA
articles
• APCs of up to CHF 3’000 can be claimed
as project costs
• No hybrid journals
Funding for OA
books
• Yes, via project budget or independent
publication grant
How to comply (3 options):
• Publish in OA journal
with max. 6 months embargo
with longer embargo, and pay
for immediate (hybrid) OA
In all 3 cases:
• Deposit paper in the Research
Collection
• Inlude the Grant ID in the
metadata form

||ETH-Bibliothek
• APC without upper limit
• Funding of Gold OA Publications independent of project duration
• Systematic Monitoring of OA Compliance
• Sanctions for Non-Compliance
• …
New SNSF policy to be announced within the next months

||ETH-Bibliothek
• Open Access publishing is developing steadily, but slowly
• The financial aspects of Gold Open Access are not solved
• Can financial savings be achieved? Who will finance additional costs during the “transition
period”?
• Green Open Access probably not to become a standard if it does not come
with strong enforcement mechanisms
• The current academic reward system is a major barrier for change in the
scholarly publication system
Challenges

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4. Research Collection

||ETH-Bibliothek
 Publication directory /
university bibliography
 Open access repository
 Research data repository
Research Collection: «3 in 1»
www.research-collection.ethz.ch

Publication directory / university bibliography
Websites (AEM)
Annual Academic
Achievements

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 Publish original works (e.g. reports, presentations, theses…)
 Self-archive scientific papers (Green OA)
Open access repository
Publisher version Open access version

||ETH-Bibliothek
• Publish, share or archive your research
data
• As supplementary material
or stand-alone publication
• All file formats allowed
• Retention periods:
10 years / 15 years / indefinite
Research data repository

Automatic & manual ingest
Manual input
form
Web of Science /
Scopus: daily
automatic updates
Input form
DOI query
Batch import:
BibTex / RIS
New item in Research Collection

Upload fulltexts / add organisational code / suggest edit

Access rights for full texts / data files
Open access Embargoed ETHZ users Selected users Closed access
Publications  
Research data     

Citable DOIs & DOI preview option

Citation counts / Altmetrics / Download statistics

Linking
between
publications
and
datasets

Step-by-step instructions

||ETH-Bibliothek
 Copyright questions re. OA publishing
 Advise re. SNF and EU open access
and open data requirements
 APC funding for OA journals
 Data management and digital curation
 ORCID at ETH Zurich
 …
The ETH Library’s E-Publishing & Digital Curation services
Research Collection
www.research-collection.ethz.ch
Open Access at ETH Zurich
www.library.ethz.ch/open-access
Digital Curation at ETH Zurich
www.library.ethz.ch./digital-curation

||ETH-Bibliothek
Contact
Barbara Hirschmann
E-Publishing Product Manager
barbara.hirschmann@library.ethz.ch
Tel. 044 632 06 90
Thank you! – Questions?

Open Access Publishing

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