Open Access 101

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Open Access 101
Anna Daniel
Open Access Week, October 2014
Image: gulia.forsythe https://flic.kr/p/egx8fA CC BY-NC-SA 2.0

Agenda
• Rationale for OA
• Definitions
• Open licences
• Green, gold and hybrid open access publishing models
• Journal articles: how to determine what you can make
openly available
• Summary of key points

Why go OA?
Image modified from: Kingsley, D and Brown, S. 2013 Benefits of Open Access http://media-cache-ec0.pinimg.com/736x/c2/56/4a/c2564a4ab3b1f1bba268add77b0624b0.jpg CC BY
= ARC measures of research performance
ARC, NHMRC etc. Some
funders overseas penalise
grantees who do not open
access to results.
Use of OER in courses complies
with Federal requirements for
HECs funded students
$
Reputation effect of
being published in
prestigious OA journals
with prestigious editors.
Attracts prestigious
people to you!
Because a third of Australia’s
universities are doing it!
Increased peer review and feedback,
transparency and accountability =
stronger research credibility
Researchers in any country can reuse your work,
anytime with attribution to you

Open access policies
ANU, Bond, Charles Sturt, Deakin,
Edith Cowan, James Cook,
Macquarie, QUT,
Newcastle, Queensland, South
Australia, Wollongong and Victoria
Universities
CAUL Statement on Open
Scholarship
Federal State Universities OA Policies
Declaration of Open Government 2010
Open Government Partnership Action
Plan 2014
Publishing Public Sector Information
(Finance) 2011
Coalition’s Plan for e-Government
2013
Australian Chief Scientist, ARC, NHMRC
Government data – ‘an extraordinary national asset at our fingertips’ – should be
published as a routine government function, and open access should be the default
position’. Malcolm Turnbull 2014.1
…aka openness is now unavoidable
1. Keynote speech to the AIIA ‘Navigating Analytics Summit’: www.minister.communications.gov.au/malcolm_turnbull/speeches/aiia_speech_navigating_analytics_summit2
ACT: Open Data Policy; Open
Government in the ACT
NSW: Open Government; Open
Data Policy
Qld: Qld Universities Open Data
Strategy
SA: Open Data Declaration
Vic: DataVic Access Policy

There are three elements of openness:
1. Accessible – available online to anyone, anywhere, anytime at zero cost
2. Technical – in a format that allows downloads and reuse
3. Legal – with a license that protects copyright and gives permission to
anyone to reuse it
1. Definitions from AOASG and SHERPA RoMEO <http://www.sherpa.ac.uk/guidance/authors.html#whatoa>
What is open access (OA)?
Open access is making research results freely available to anyone with an internet connection

Open Educational Resources (OER)
Educational resources that are openly licenced for reuse by anyone, anywhere,
anytime. Any resource can be made open: creative and scholarly works, research
data and code, educational resources, and some corporate data.
Open Access Repositories
Open Access repositories can hold digital versions of published works (articles,
media, books, code etc.) and make them freely available. Most universities have
open access repositories, and there’s 2,700+ open access repositories worldwide
with over 64 million works1.
Open Access Journals
A way of providing Open Access is to publish in an Open Access Journal. These
journals are available $free$ to anyone, anywhere, anytime. About 65% are free
to publish in2, but others require payment to publish (to be discussed) There’s
10,000+ peer reviewed OA journals worldwide containing 1,734,051 articles3.
There’s 120+ Australian OA journals.
1. http://www.opendoar.org/find.php 2. July 2013 in http://aoasg.org.au/open-access-journals-in-australia/ 3. http://doaj.org/ icons from thenounproject.com

What open access isn’t
Does not exclude peer review
OA works are not poor quality or
2nd rate
OA is not a convoluted,
complicated and confusing
process
OA does not increase plagiarism
Banksy Follow your dreams’ image: Chris Devers ‘https://www.flickr.com/photos/cdevers/4602805654/ CC BY-NC-ND

All open licences are not the same
BY = Attribution
Credit the author
NC = NonCommercial use
Seek permission for commercial use
SA = Sharealike
Any reuse must apply same ‘SA’
open licence
ND = No Derivatives
No remixing of the work. Seek
permission to remix it
Text, images, code, multimedia Software
GNU GPL
General Public Licence
or BSD 3-Clause Software Licence
Berkeley Software Distribution
Data
CC0 = Public Domain Dedication
or Public Domain Mark*
Or CC BY in Australia
* not licences

deposit an open access copy of the
published work in a repository
or
publish in a journal that is available
at zero cost to the public
1. http://www.opendoar.org/find.php 2. http://aoasg.org.au/open-access-journals-in-australia/ 3. http://doaj.org/ icons from thenounproject.com
How to open access

1. http://www.opendoar.org/find.php 2. http://aoasg.org.au/open-access-journals-in-australia/ 3. http://doaj.org/ icons from thenounproject.com
GREEN
GOLD
How to open access
deposit an open access copy of the
published work in a repository
or
publish in a journal that is available
at zero cost to the public

Green open access
1. Publish ‘anywhere’* through traditional process (peer
review etc.)
2. and deposit a version of the published paper in an open
institutional repository (or in a repository openly).
* can publish anywhere, paywalled or open access journal. If publishing in a free open
access journal, simply link to the published version in your repository entry.

Green open access
Modified from: Callan, P. & Brown, S. QUT 2014 http://aoasg.org.au/what-is-open-access/ CC BY 4.0
Public funded
research
results are
written up
Manuscript sent
to subscription
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. Retain
licence to deposit
in open archive
Published articles
behind
$paywalls$ in
Australian legal
jurisdiction
Embargo….. Author deposits a
version of the
paper in an open
access repository
Public access to
the version in the
repository, linked
by Google Scholar
………………

Gold open access
Image: modified from Callan, P. & Brown, S. QUT 2014 http://aoasg.org.au/what-is-open-access/ CC BY 4.0
Public funded
research
results are
written up
Manuscript sent
to Open Access
journals for
peer review
Manuscript
accepted for
publication

Gold open access
Image modified from: Callan, P. & Brown, S. QUT 2014 http://aoasg.org.au/what-is-open-access/ CC BY 4.0
Public funded
research
results are
written up
Manuscript sent
to Open Access
journals for
peer review
Manuscript
accepted for
publication

Gold open access
Public funded
research
results are
written up
Manuscript sent
to Open Access
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. May
retain rights

Gold open access
Public funded
research
results are
written up
Manuscript sent
to Open Access
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. May
retain rights
Author
$pays$
APC

What’s an APC?
Article processing charge, or
upfront payment for costs of
publication incl.:
editorial (manuscript handling),
technical support (journal
platform and manuscript handling
systems); production (copy editing
(although this may be provided for
free by peers?), formatting,
marking up and indexing;
marketing; profit; customer
service (permissions management,
responding to reader questions);
and may also carry the cost of print infrastructure, paywalls,
authentication systems, bespoke complex licence creation
costs, litigation, PR and lobbying, world travel, expensive
dinners …
Image: Superior Ace Printing Press by sanickles https://www.flickr.com/photos/9137715@N05/2047070491/ CC BY-NC-ND

In 2013, 35% of open access journals were gold
open access. 65% of open access journals
require no APC, they’re free to publish in
Source: http://aoasg.org.au/open-access-journals-in-australia/

Gold open access
Image: modified from: Callan, P. & Brown, S. QUT 2014 http://aoasg.org.au/what-is-open-access/ CC BY 4.0 1. http://aoasg.org.au/open-access-journals-in-australia/
Public funded
research
results are
written up
Manuscript sent
to Open Access
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. May
retain rights
Author
$pays$
APC
Public reuse Openly licenced

Hybrid (type of gold) open access
Image modified from : Callan, P. & Brown, S. QUT 2014 http://aoasg.org.au/cost-of-hybrid/ CC BY 4.0
Public funded
research
results are
written up
Manuscript sent
to subscription
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. Rarely
retain rights

Public funded
research
results are
written up
Manuscript sent
to subscription
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. Rarely
retain rights

Public funded
research
results are
written up
Manuscript sent
to subscription
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. Rarely
retain rights
Author
$pays$
APC

Public funded
research
results are
written up
Manuscript sent
to subscription
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. Rarely
retain rights
Author
$pays$
APC
Public reuse Openly licenced

General differences at a glance
Traditional Green Gold Hybrid
Copyright ownership Journal Author/Uni Depends Depends
Peer Review Yes Yes Yes Yes
Findability Paywalled Open Open Unclear
Reuse Paywalled Anyone,
anywhere,
anytime
Anyone,
anywhere,
anytime
Anyone, anywhere, anytime
(but perhaps not marked as
such, it’s complex)
Embargo No Potentially No Unclear
Google Scholar? ? Yes Yes ?
Financial Cost $0 $0 $$ $$$ + $$$
Public benefit Slow, low Highest High Not as high (muddy)

Progress check
Image excerpt from: gulia.forsythe ‘Occupy OpenEd11’ https://www.flickr.com/photos/gforsythe/6283629230/ CC BY-NC-SA

Type SHERPA RoMEO into your search engine

SHERPA RoMEO search
<http://www.sherpa.ac.uk/romeo/>

SHERPA RoMEO search result
<http://www.sherpa.ac.uk/romeo/>

Article versions
Published version 1 Postprint Preprint
1. used under s40 of Copyright Act 1968

Article versions
Published version (Publisher PDF)
The version ‘as published’ in the journal (sometimes called the ‘publisher’s PDF’). This version generally includes
value added by the publisher, such as hyperlinked references, typesetting (into columns) and pagination. Only a
small proportion of all publishers will allow this version to be made open access, even after an embargo.
Postprint (Accepted version)
The final version of an academic article or other publication - after it has been peer-reviewed and revised into its
final form by the author. As a general term this covers both the author's final version and the version as
published, with formatting and copy-editing changes in place. It has the SAME content as the published version.
Preprint (Submitted version)
In the context of Open Access, a preprint is a draft of an academic article or other publication before it has been
submitted for peer-review or other quality assurance procedure as part of the publication process. Preprints
cover initial and successive drafts of articles, working papers or draft conference papers.
Sources: SHERPA RoMEO and AOASG

Article versions
Published version (Publisher PDF)
The version ‘as published’ in the journal (sometimes called the ‘publisher’s PDF’). This version generally includes
value added by the publisher, such as hyperlinked references, typesetting (into columns) and pagination. Only a
small proportion of all publishers will allow this version to be made open access, even after an embargo.
Postprint (Accepted version)
The final version of an academic article or other publication - after it has been peer-reviewed and revised into its
final form by the author. As a general term this covers both the author's final version and the version as
published, with formatting and copy-editing changes in place. It has the SAME content as the published
version.
Preprint (Submitted version)
In the context of Open Access, a preprint is a draft of an academic article or other publication before it has been
submitted for peer-review or other quality assurance procedure as part of the publication process. Preprints
cover initial and successive drafts of articles, working papers or draft conference papers.
Sources: SHERPA RoMEO and AOASG

Q: What’s the difference between the Accepted
version and Publisher version?

Q: What’s the difference between the Accepted
version and Publisher version?
A:
• Accepted version is the postprint
• Postprint is formatted simply and this enables easier reuse
• Content is exactly the same as published version
• Published version has publisher formatting
• Different DOIs
• Published version may be what citation metrics measure

Q: A publisher says they allow preprints to be archived, but
SHERPA RoMEO claim they allow postprints, why is the SHERPA
RoMEO entry wrong?
Source: SHERPA RoMEO FAQs <http://www.sherpa.ac.uk/romeo/faq.php>

Q: A publisher says they allow preprints to be archived, but
SHERPA RoMEO claim they allow postprints, why is the SHERPA
RoMEO entry wrong?
A: Publishers may use the term preprint to define all forms of the article
prior to print publication. SHERPA follows an academic practice of defining
preprints as a draft of an academic article or other publication before it has
been submitted for peer-review or other quality assurance procedure as
part of the publication process. Preprints cover initial and successive drafts.
Note again that SHERPA RoMEO focusses only on journals.
Source: SHERPA RoMEO FAQs <http://www.sherpa.ac.uk/romeo/faq.php>

Questions on the different versions?
Published version 1 Postprint Preprint
1. used under s40 of Copyright Act 1968

1. Simply put a version of your research outputs in an open access repository
2. Try to retain copyright when you sign publishing agreements, and minimise
embargoes – difficult but necessary
3. Consider using OA journals/OER in your research and teaching – it simplifies
the process if your work because they have fewer use restrictions
4. Familiarise yourself with the CC licences
5. Include introductions to open access in inductions and orientations
1. Don’t get distracted – many problems of OA are problems of publishing in
general and not specific to OA
2. Avoid confusing open access licences: if you don’t understand it, don’t sign it
3. Don’t overthink it – done well it’s a simple process.
How to go OA - tips

Information and support
AOASG – www.aoasg.org.au and the email list
Creative Commons licences: http://creativecommons.org/licenses/ / Uni Copyright Officer
SHERPA http://www.sherpa.ac.uk/ includes:
RoMEO - Publisher's copyright & archiving policies
JULIET - Research funders archiving mandates and guidelines
DOAR: Directory of Open Access Repositories
Open access journals: http://doaj.org/
Open access books: http://www.doabooks.org/
Open academic works: http://www.opendoar.org/search.php or Google Scholar
OER Commons: https://www.oercommons.org/
OER Consortium: http://oerconsortium.org/

Upcoming AOASG webinars
Funder OA policies & requirements: Wed 22 Oct 12:30pm AEDT
Understanding publisher agreements: Wed 22 OCT 2:30pm AEDT
The changing publishing landscape: Thurs 23 Oct 12:30pm AEDT
Register at http://aoasg.org.au/aoasg-webinars-2014/

AOASG member institutions
• Australian National University
• Charles Sturt University
• Curtin University
• Griffith University
• Macquarie University
• University of Newcastle
• Queensland University of Technology
• University of Western Australia
• Victoria University
The Patron of the AOASG is Emeritus Professor Tom Cochrane, Faculty of Law at QUT.
aoasg.org.au

Questions?
Image: TimothyJ https://flic.kr/p/6gYcL CC BY 2.0

Following slides are parked and will be
removed before the presentation

The publishing landscape in +10 years?
Aidan Byrne - CEO ARC believes the dominant future structure will be green.
University
University
University
PublisherGreen
Gold
(incl. vanity
pubs)
Green
Crowd sourced works
THE WEB
Byrne, A. 2013. Opening Address, Open Access and Research Conference, QUT, Brisbane, 30 October

PLOS fee types
http://www.plos.org/publications/publication-fees/open-access-funds/

Traditional publishing
Public funded
research
results are
written up
Manuscript sent
to subscription
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. Lose
their copyright
Libraries
$purchase$ or
public $pays$
$Readers$ may
only read or
print article – no
text mining etc.……………….
Articles
behind
$paywalls$ in
Australian legal
jurisdiction

Traditional publishing
……………….
Public funded
research
results are
written up
Manuscript sent
to subscription
journals for
peer review
Manuscript
accepted for
publication
Authors sign
publishing
contract. Lose
their copyright
Libraries
$purchase$ or
public $pays$
$Readers$ may
only read or
print article – no
text mining etc.……………….
Articles
behind
$paywalls$ in
Australian legal
jurisdiction

OA Publishing models
GREEN
GOLD
Fully OA Journal + link from
institutional repository
Hybrid OA option+ link from
institutional repository
Traditional subscription publisher + full
version in institutional repository
$0 cost Open Access Journal + link
from institutional repository

Open Access 101

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