open access publishing - vmitet.ethz.ch · after march 2014 when doaj launched its new criteria for...

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vmitet Career Event, 18th October 2017

18.10.2017Barbara Hirschmann 1

Open Access PublishingOptions, Policies, Best Practices

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1. Introduction to Open Access

2. How does is work? Green Road Gold Road

3. Policy framework

4. ETH Zurich’s Research Collection

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Agenda

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1. Introduction

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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• …

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Conventional publication cycle

Author(as producer)

Publisher

Bookseller/ librarysupplier

Library

Author(as recipient)

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Conventional publication cycle

Author(as producer)

Publisher

Bookseller/ librarysupplier

Library

Author(as recipient)

Peer Review

Layout & Copy-editing

Distribution

Selection & Acquistion

Delivery

Paid bytaxpayer

Paid bytaxpayer

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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.

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Publisher profit margins

Company Profit marginElsevier 39%Springer 34%Wiley 42%

Company Profit marginMicrosoft 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)

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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»?

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Why Open Access?

How would you rate a completetransformation of academic publishingtowards an OA-based model?

ETHZ open accesssurvey 2017

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2. How does it work?

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Self-archiving (Green Road)

Author(as producer)

Publisher

Bookseller/ librarysupplier

Library

Author(as recipient)

Peer Review

Layout & Copy-editing

Distribution

Selection & Acquistion

Delivery

Publication in Repository

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Self-archiving (Green Road)

InstitutionalRepository

DisciplinaryRepository

OpenDOAR(Directory of Open Access Repositories)

Academic Networking Site

MultidisciplinaryRepository • Commercial start-up

• No copyrightclarification at upload

• Currently brought tocourt by Elsevier & ACM due to massive copyrightinfringements

• Not-for-profit

• All uploads checkedagainst publishers’ copyright regulations

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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

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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

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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)

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Open access journals (Gold Road)

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Is the journal indexed in DOAJ (Directory of Open Access Journals)?

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How to assess the quality of OA journals

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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.

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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

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How to assess the quality of OA journals

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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

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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:

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Not financed by ETH Zurich nor most research funders!

For example: Spinger OpenChoice Wiley Online Open IEEE Hybrid Journals …

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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

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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 ownpolicies

Researchers have to comply withinstitutional/funder policies

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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

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Open Access at ETH Zurich I

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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

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Open Access at ETH Zurich II

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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• Publish in subscription journal

with longer embargo, and payfor immediate (hybrid) OA

In all 3 cases:• Deposit paper in the Research

Collection• Inlude the Grant ID in the

metadata form

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Open Access in SNSF-funded projects

Regulation

OA mandatory for • Journal articles• Book publications

Requirement • Deposit paper in repository

Max. embargoperiod

• Articles: 6 months• Books: 24 months

Funding for OA articles

• APCs of up to CHF 3’000 can be claimedas project costs

• No hybrid journals

Funding for OA books

• Yes, via project budget or independentpublication grant

How to comply (3 options):• Publish in OA journal• Publish in subscription journal

with max. 6 months embargo• Publish in subscription journal

with longer embargo, and payfor immediate (hybrid) OA

In all 3 cases:• Deposit paper in the Research

Collection• Inlude the Grant ID in the

metadata form

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• APC without upper limit• Funding of Gold OA Publications independent of project duration• Systematic Monitoring of OA Compliance• Sanctions for Non-Compliance• …

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New SNSF policy to be announced within the next months

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• 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

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Challenges

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4. Research Collection

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Publication directory /university bibliography

Open access repository

Research data repository

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Research Collection: «3 in 1»

www.research-collection.ethz.ch

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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)

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Open access repository

Publisher version Open access version

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• Publish, share or archive your researchdata

• As supplementary materialor stand-alone publication

• All file formats allowed

• Retention periods:10 years / 15 years / indefinite

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Research data repository

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Automatic & manual ingest

Manual inputform

Web of Science / Scopus: daily

automatic updates

Input form

DOI query

Batch import: BibTex / RIS

New item in Research Collection

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Upload fulltexts / add organisational code / suggest edit

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Access rights for full texts / data files

Open access Embargoed ETHZ users Selected users Closed access

Publications

Research data

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Citable DOIs & DOI preview option

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Citation counts / Altmetrics / Download statistics

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Linking betweenpublicationsanddatasets

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Step-by-step instructions

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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 …

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The ETH Library’s E-Publishing & Digital Curation services

Research Collectionwww.research-collection.ethz.ch

Open Access at ETH Zurichwww.library.ethz.ch/open-access

Digital Curation at ETH Zurichwww.library.ethz.ch./digital-curation

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ContactBarbara HirschmannE-Publishing Product Managerbarbara.hirschmann@library.ethz.chTel. 044 632 06 90

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Thank you! – Questions?