This presentation was given at the Library Research Forum at La Trobe University, Melbourne, on 25 October 2013. Issues covered include what is green open access, what is gold open access, the scene in the UK, Europe, US and Australia. What are funding bodies doing to encourage open access? What is La Trobe University doing?

1. Green v Gold Open access publishing
Simon Huggard
Digital Infrastructure Manager
Open Access Week
Library Research Forum
25 October 2013
latrobe.edu.au
CRICOS Provider 00115M

2. Outline
• Definitions
• Global issues
• The situation in Australia
• Predatory/bogus publishers
• Questions/Issues
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3. Definitions – Green open access
http://www.sherpa.ac.uk/romeoinfo.html
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4. Definitions – Gold open access
http://www.sherpa.ac.uk/romeoinfo.html
Paid Open Access
Some publishers are now offering … enhanced visibility of the final article
through … free-to-view archiving.
Typically this involves a substantial additional fee.
In some cases, the option simply consists of making the published version
freely available from the publisher's own server, without any other rights or
permissions being granted. In others, material is still placed under an
embargo.
Neither of these facilities can be counted as real "open access".
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5. Publisher definitions – Wiley1
(1) Self-archiving (Green Open Access)
This is the option of an author self-archiving the Manuscript version after a 12 month
embargo period from publication in a repository.
(2) Pay to publish (Hybrid Open Access)
Wiley’s “pay to publish” (OnlineOpen option) - means that an article from a subscription
journal becomes Open Access by a payment of a publication fee (currently $3000 per
article).
(3) Wiley’s Open Access Journals (Gold Open Access)
These incur Article Processing Charges to pay for the article to be published. They are
then freely available online via the Open Access journal site (along with ALL articles in
that journal).
1. http://olabout.wiley.com/WileyCDA/Section/id-406074.html (viewed 17 Oct 2013)
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6. http://aoasg.org.au/resources/faq-about-open-access/
FAQ about open access
What is ‘green’ open access?
Researchers can deposit a version of their published work into a subject-based repository
or an institutional repository. This is referred to as ‘green’ open access publishing.
Every university in Australia has a repository for this purpose.
What is ‘gold’ open access?
Alternatively researchers can publish in an open access journal, where the publisher of a
scholarly journal provides free online access to the full content of the journal.
Business models for this form of OA vary. In some cases, the publisher charges the
author’s institution or funding body an article processing charge (APC). All Public
Library of Science (PLoS) Journals use this model. This is referred to as ‘gold’ open
access.
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7. Finch report - UK
June 2012. Report commissioned by UK government (chaired by Dame Janet Finch)
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a clear policy direction should be set towards support for publication in open access
or hybrid journals, funded by APCs [article processing charges] … as the main vehicle
for the publication of research
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proposes spending £60 million a year to make all publicly-funded research free to
access
10 Sept 2013 - UK Business, Innovation and Skills Committee report:
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Gold open access is a desirable ultimate goal, focusing on it during the transition to a
fully open access world is a mistake
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reconsider their preference for Gold open access during the five year transition
period, and give due regard to the evidence of the vital role that Green open access
and repositories have to play as the UK moves towards full open access
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reinstate and strengthen the immediate deposit mandate in its original policy and
improve the monitoring and enforcement of mandated deposit
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8. Finch Report - UK
SCONUL * Sept 2013 Briefing on mandatory open access policies
• Most UK institutions are working on raising awareness of OA
requirements
• Most have published OA policies
• Of 8 case studies (in this report), only 1 preferred green OA
• Many are actively promoting the green route in line with RCUK
policy.
• Library or IT hold the Gold OA funds
• funds are allocated on a first come-first served basis
* The Society of College, National and University Libraries (SCONUL) represents all university libraries in the UK and
Ireland
http://www.sconul.ac.uk/page/briefing-on-mandatory-openaccesspolicies
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9. Europe & US
European Commission –
Horizon 2020 research funding programmes:
both the ‘Green’ and ‘Gold’ models are considered valid approaches to achieve open
access
Supports the shift of payment from subscribers to authors (Gold open access).
Respects the rights of publishers to place embargoes on self-archiving in repositories
US government –
Feb 2013 memorandum from the U.S. Government's Office of Science and Technology
Policy requiring public access to federally funded data.
Federal agencies with more than $100M in R&D expenditures [must] develop plans to
make … federally funded research freely available to the public within one year of
publication.
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10. Australia
Recent Mandates
NHMRC revised policy on the dissemination of research findings
NHMRC therefore requires that any publications arising from an NHMRC supported
research project must be deposited into an open access institutional repository
within a twelve month period from the date of publication. [2012]
ARC open access policy
The overarching aim of ARC’s Policy is to ensure that the findings of publicly funded
research are made available to the wider public as soon as possible. Both the
research community and the public gain from knowledge derived from ARC funded
research, and both wish to derive maximum benefit from these outputs. [2013]
http://www.nhmrc.gov.au/grants/policy/dissemination-research-findings
http://www.arc.gov.au/applicants/open_access.htm
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11. Australia
Warwick Anderson, CEO, NHMRC – 18 Sep 2013 :
we at the National Health and Medical Research Council (NHMRC) mandate that all
publications from research we’ve funded be openly accessible. We and … the
Australian Research Council, are flexible on how it’s done, as long as the paper is
made available.
Researchers may opt for “green” self archiving … or “gold” access.
The open access movement is having a significant impact too on how we measure the
impact of scientific research
The NHMRC moved away from using journal impact factors in 2008
focusing more on the quality of a few papers, rather than just counting the total number
of publications and being overly influenced by the reputation of the journal, can help
ameliorate the publish-more-and-more syndrome
Source: The Conversation: 18 Sep 2013: Quality not quantity: measuring the impact of published research. Warwick Anderson.
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12. Issues
• Do authors retain copyright over their published material?
• How many author manuscript versions are in our repository?
• How do we compare nationally?
• What works elsewhere?
• How serious are we about providing open access publications?
• Is there a positive correlation between open access and
citations?
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13. Empirical evidence
Many articles state that downloads are higher for OA articles than in subscription
databases
More downloads = more readers?
More readers = more citations?
Behind the data / Dr Henk Moed Research Trends Issue 28 , May 2012
Gargouri, Y, Harnad, S. et al. Self-selected or mandated, open access increases citation
impact for higher quality research. PLoS ONE, 5 (10): 13636, 2010.
David, P., et al. (2008). Open access publishing, article downloads and citations.. BMJ,
337
Swan, A. (2010) The Open Access citation advantage: Studies and results to date
ECS EPrints, 17 Feb 2010, 343-345.
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14. La Trobe University
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15. Empirical evidence
UK wide survey of academics spotlights researchers' reliance on open access
A major survey of UK Academics released on 29 May 2013 examines the attitudes of
researchers and practitioners working within higher education. It sheds light on
their behaviours, including their reliance on digital technologies, the Internet and
open access.
The survey, funded and guided by JISC and RLUK received 3,498 responses. Overarching
themes are an increasing reliance on the Internet for their research and publishing
activities and the strong role that openness is playing in their work. Key findings
include:
- Access limitations, - Use of open resources, - Following one's peers, - Emergence of epublications
URL: http://www.jisc.ac.uk/news/stories/2013/05/jisc-rluk-ithaka-survey.aspx
JISC, May 2013, UK Survey of Academics 2012
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16. Empirical evidence
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17. Green open access in La Trobe’s Research Online repository
• Authors can upload their manuscript version (or email us)
• The Repository staff will:
• Check copyright
• Check publisher site and what is allowed (for La Trobe)
• Link to the publisher version
• Make any alternate versions available (if you have provided
them)
• Self-deposit form: http://latrobe.edu.au/researchonline
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Email us: repository@latrobe.edu.au
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