Open Access Policy Guide: Opting Out

This post is the first in the “Open Access Policy Guide” series. This series will address components of the IU Bloomington Open Access Policy and its implementation. We have written other posts about passing the policy, leveraging the license (Part I & Part II), and resources to support it.

What is Opting Out?

The IU Bloomington Open Access Policy is an opt-out policy. This means that if faculty do not wish to make a version of their published article openly available, they must opt out of the policy. When a faculty member opts out of the policy, a waiver letter signed by the Vice Provost for Faculty and Academic Affairs is generated. This letter waives the university’s license for your article.

The Scholarly Communication Department is working to make it as easy as possible to opt out of the policy and generate a waiver letter. Are you a faculty member who needs to opt out of published articles? There are two methods you can use to opt out.

Method One

In IU’s annual reporting system – Digital Measures Activity Insight – faculty will see a new option in the Publications/Scholarship of Discovery category. This option is “Opt out of the open access policy for this article (IUPUI & IUB only).” To opt out of the policy for an article, simply click this box. A waiver letter will be generated and emailed to you.

Opting out in DMAI

Method Two

This is the best opt-out method if you need a waiver letter instantly and prefer not to wait for us to email you one. In IUScholarWorks Open (our repository extension to support the policy which will be launched shortly), complete the ‘Opt-out’ submission form. Enter your name, article title, and journal name (ISSN and DOI are recommended but optional). Select submit, and a waiver letter will be automatically generated for download. You will also receive an email with the waiver letter as an attachment. If you opt out using this method, you are not required to check the box in method one – we will track your waivers and ensure that it applies when you complete your annual report.

Opting out in IUScholarWorks Open

Frequently Asked Opt Out Questions

Do I need to opt out for every article I have ever published?

No. The policy only applies to articles published after it was passed on February 21, 2017.

What if I forget to opt out for an article but realize later that I need a waiver?

The policy states that you are able to change the archival status of an article at your discretion. Please contact us to make this change and generate a waiver letter.

What if I co-author a paper with another IU Bloomington faculty member and one of us opts out in DMAI but the other does not?

In the event that there are multiple IUB faculty members who have co-authored an article and one opts out in DMAI, we will honor the request of the faculty member who opts out. Or, as the Head of our Copyright Program puts it, “While the creator of a joint work can license a work separately, their license cannot override another co-author’s denial of a license.”

I want to opt out for all of my articles, how do I do that?

According to the policy, “Upon express direction by the Faculty member, the Office of the Vice Provost for Faculty and Academic Affairs, or his or her designate will waive application of the policy for a particular article.” This means that faculty members must opt out for each article published after February 21, 2017. The fastest way to achieve this is by clicking the opt out button for each article when you are completing your annual report.

My publisher says that I need to apply an embargo (make an article unavailable for a predetermined amount of time) – does this mean I need to opt out? How do I make it available when the embargo has elapsed?

You do not need to opt out for an article that requires an embargo period before it can be made openly available. The IUScholarWorks Open repository will restrict the article and automatically release it after the designated amount of time has passed.

I have more questions – where can I find help?

We have an FAQ for the policy available on our website that provides helpful answers to a range of policy questions. We are also available by email at iusw @ indiana . edu and will soon be announcing drop-in sessions to answer questions about the policy.

How to Create a Data Management Plan

Grant proposal season is upon us. Increasingly, writing a grant proposal also means writing a data management plan that details how data will be managed, preserved, and shared after a funded project ends. The Scholarly Communication Department offers a Data Management Planning service and works directly with PIs, grant writers, and administrators to create plans that align with funder requirements.

Why are data management plans required?

In February of 2013, the White House Office of Science and Technology Policy released a memo entitled “Increasing Access to the Results of Federally Funded Scientific Research.” This memo mandated that all federal agencies with over $100 million in annual conduct of research and development expenditures develop a plan for public access to research output. Data management plans, previously required only in some circumstances by some federal agencies, became widespread. By October 2016, all federal agencies meeting these criteria had implemented public access policies. These public access policies hinge on the precept that research funded by taxpayer dollars should be made available to the public, industry, and research community.

Why can’t I preserve data with my funding agency?

The 2013 OSTP memo was an unfunded mandate. This contributed to a landscape of distributed solutions provided by many stakeholders in academic research. Commercial publishers, universities, non profits, and government data centers all worked to support researchers working to comply with new data sharing guidelines. In some cases, individual directorates/divisions will provide or endorse a data repository, for example the Arctic Data Center for NSF-funded science on the Arctic, or GenBank, the NIH genetic sequence database. In other cases, researchers are expected to use their discretion in selecting an appropriate data sharing solution.

Where do I find data management plan requirements?

Indiana University is a member of the DMPTool, a tool that walks users through creating, reviewing, and sharing a data management plan.

screenshot of DMPTool
https://dmptool.org/

The tool has pre-fabricated templates for each directorate/division across funding organizations. To browse requirements for a specific funder, navigate to the DMP Requirements section and search for or select a funder from the list provided. To create a data management plan using one of these templates, log in to the tool using IU credentials and select the relevant funder from the list provided.

How do I choose a repository for my data?

This question is best answered on a case-by-case basis, but there are general guidelines that researchers can use to make the best choice. If in doubt, get in touch.

  1. If a repository is mandated by a funding organization, researchers must use this repository for sharing data
  2. If there is a widely-used disciplinary repository in your domain, consider choosing that repository. If you aren’t sure, check author guidelines for the top three journals in your field. Do they all recommend the same repository for sharing data? Alternately, take a look at www.re3data.org/ to see a registry of disciplinary repositories.
  3. If you have no appropriate disciplinary repository, would rather not pay fees to deposit data, or prefer to keep your data with your institution, consider Indiana University’s institutional repository IUScholarWorks. It is completely free, operated by the Libraries, and designed to support funder requirements.
  4. If none of the above solutions are appropriate for your data and you need unique or specific features, look for an established, well-supported, open repository like Zenodo (Integrates with Github!) or Harvard’s Dataverse (APIs! Maps geospatial files!)

I want to use IUScholarWorks to preserve and share my data. What do I say in my plan?

https://scholarworks.iu.edu/

Language for data management plans will differ depending on the project and the funder. However, many researchers have found the following statement to be a useful starting point in describing IUScholarWorks:

To increase access to the published research that has been funded, the researchers will deposit peer-reviewed or pre-print manuscripts (with linked supporting data where possible) in the IU ScholarWorks institutional repository. A DOI will be created for the data and used in all publications to facilitate discovery.
These data will be preserved according to the current digital preservation standards in place for content within the IU’s institutional repository infrastructure.  This includes a duplicate copy within the IU Scholarly Data Archive (SDA) and eventual deposit into the Digital Preservation Network preservation platform.
The combination of these systems provides mirroring, redundancy, media migration, access control, file integrity validation, embargoes, and other security-based services that ensure the data are appropriately archived for the life of the project and beyond.

I have a lot of data – can I still put it in IUScholarWorks?

Yes. In almost all cases, we are able to to provide free data archiving to IU-affiliated researchers through our partnership with the UITS Scholarly Data Archive. Large datasets live in the Scholarly Data Archive and are made accessible through IUScholarWorks by way of a persistent URL. Here is an example of a weather dataset published in IUScholarWorks.

Pro tip: You can drop off your dataset in the departmental staging area and send us an email with contextual information – we’ll do the heavy lifting and make sure it gets into IUScholarWorks.

Who can help me with my data management plan?

We can. Contact iuswdata@indiana.edu for assistance creating or implementing a data management plan. The Scholarly Communication Department can help to connect PIs with free campus-supported services to preserve and share data.

New Resource to Support Open Scholarship

The Scholarly Communication Department recently launched a new Open Scholarship website. The site serves as a central hub for researchers interested in open access, open data, and/or open publishing. The site is particularly useful for finding information about how faculty can comply with the recently-approved IUB Open Access Policy. The Open Access Policy will provide a mechanism for faculty to assert their rights as authors, enabling them to share their scholarship more widely and increasing readership and engagement of IU-faculty work.

The launch of our open scholarship site begs the question, “what is open scholarship?” More pointedly, what qualifies as “scholarship” and how “open” does that output need to be? We think that our site presents a definite answer. We believe that the term scholarship should be inclusive of all of the ways that scholars communicate: through journal articles and books but also through sharing their research data, making visible their learning objects and teaching materials, and even creating new and innovative publications to fill a distinct gap in a body of literature. The new site illustrates that we as the Scholarly Communication Department support scholarship in all of its modes and formats, formal and informal.

Similarly, while open is a core value and essential principle of our work, we recognize that there is an entire spectrum of openness. The Scholarly Publishing and Academic Resources Coalition (SPARC) and the Public Library of Science (PLoS) recently collaboratively authored a “How Open Is It?” spectrum, which helps illustrate this point.

They break open down to reader rights, reuse rights, copyrights, author posting rights, automatic posting, and machine readability. For each, they note the spectrum of open to closed that can exist, which illustrates just how complex and contextual open is. For example, there might be an “open” article that is accessible to readers, but the author wasn’t able to retain all rights to the article and it isn’t in a format that is machine readable. Or, alternatively, an author might retain their copyright and make their work their open but only with strict and limited reuse permissions. The Scholarly Communication Department’s goal is to support all manifestations of openness, regardless of where researchers fall on this spectrum.

Our new website showcases the many services and resources our department offers to facilitate open scholarship. In addition to managing IUScholarWorks and providing faculty a space to make their work open, we provide one-on-one consultations to researchers interested in a variety of topics including advocating for their author rights, evaluating their impact, crafting a data management plan, or starting or making open a journal. We work collaboratively with other library and campus units, including the Indiana University Press, Digital Collections Services, and UITS, to assist researchers with digital scholarship, publishing ventures, and data storage. We look forward to continuing to enhance and develop our suite of services to better support the IU research community.

We’re interested in your feedback! Please send questions and comments about the new Open Scholarship website to iusw@indiana.edu

The Scholarly Communication Department would like to thank the Discovery and User Experience Department, specifically Matt Fitzwater and Courtney McDonald, for their assistance and expertise throughout the development of this site.

Introducing Office of Scholarly Publishing Journals

IUScholarWorks journalsThe way Open Access journals publishing is done on campus is about to become even more rewarding—and exciting. Select OA journals based at Indiana University will have the option of benefitting from enhanced publishing services through the Office of Scholarly Publishing (OSP). The OSP was established by Indiana University Provost Lauren Robel in 2012 as a single-service campus publishing resource that draws upon the expertise and capabilities of IU Libraries and IU Press. Since 2009, the IU Libraries have facilitated the publishing of open access journals with the IUScholarWorks journals service. Among other services, the Libraries have provided technical support, performed platform maintenance and upgrades, and migrated content into the Public Knowledge Project’s Open Journal Systems platform at no charge.

Now, through the Office of Scholarly Publishing, those services can expand, still at no charge, for those campus OA journals whose operations are consistent with professionally-published scholarly journals. Drawing upon IU Press expertise in production, copyediting, indexing, and marketing, the OA journals selected will have the option of receiving an array of expanded publishing services. These include worldwide promotion alongside IU Press scholarly journals; copyediting, design, and layout; indexing; print-on-demand and fulfillment; e-reader editions; and additional revenue through print and online advertising sales. Representatives from IU Libraries and IU Press have begun meeting with journal editors to determine how the expanded services of the Office of Scholarly Publishing would be able to help support their particular areas of need.

This expanded-service journals program is the first phase of the rollout of the Office of Scholarly Publishing’s comprehensive suite of publishing services for the IU community. In the coming months, those services will continue to grow, including the development of new websites from IU Press and the OSP that will contain robust, interactive author interfaces as well as a host of vital information and publishing options for campus authors and editors.

For more information, contact:

Nicholas Homenda, interim Scholarly Communication Librarian

Michael Regoli, Director of Electronic and Journals Publishing, IU Press

Scholarly Communication Consultation Schedule for Spring 2016

This spring staff members from the Scholarly Communication department will once again be holding consultation sessions in the Scholars’ Commons. Naz will hold consultation hours once a week for issues related to copyright and intellectual property. And once per month, Shayna and Richard will be available to answer questions about using the IUScholarWorks institutional repository and the Open Journal System. Our hours for the Spring semester are as follows:

Copyright Information Services
Presented by Naz Pantaloni​
Friday, 10:00 am – 12:00 pm in room 157R

Open Access Publishing
Presented by Shayna Pekala & Richard Higgins
Second Thursday of each month, 2:00 pm – 3:00pm in room 157R
Jan 14, Feb 11, Mar 10, Apr 14

The Scholars Commons is located on the first floor of the East Tower at the Herman B Wells Library. These are drop-in hours, so no appointment is necessary.

XML Publishing in OJS

Journal publishers are increasingly using XML to improve the discoverability and long-term accessibility of their content. At IUB Libraries, the Digital Collection Services and Scholarly Communication departments have helped two open access journals, Indiana Magazine of History and The Medieval Review, establish and maintain XML workflows. Recently, we migrated one of these journals (and are in the process of migrating the other) to our Open Journal Systems (OJS) platform and have been using the XML galley plugin to streamline the XML publishing process. My colleague Nick Homenda and I presented on these efforts last week as part of the Digital Library Brown Bag Series. A recording of the presentation is available here: http://hdl.handle.net/2022/19773.

If you edit an open access journal at IUB and are interested in integrating XML into your workflows, please contact us – we’d love to work with you!

IUScholarWorks Journals: More than Just a Hosting Service

The IUScholarWorks journal service helps you, the prospective journal editor, publish your journal in open access. While IUScholarWorks does not identify as the publisher of any of the journals we support, we do so much more than simply host your content. Here are some of the services we provide:

  • Indexing – We’ll make sure your journal articles show up in Google and Google Scholar.
  • ISSN registration – We’ll apply for an International Standard Serial Number (ISSN) to uniquely identify your journal.
  • DOI registration – As a member of the DOI registration agency, CrossRef, we will help you assign and register Digital Object Identifiers (DOIs) to uniquely identify your articles.
  • Editorial workflow management – We’ll train you how to use Open Journal Systems (OJS) software to effectively manage your editorial workflows.
  • Cataloging – We’ll create a record for your journal in IUCAT and WorldCat.
  • Content preservation – We are committed to maintaining the content of your journal in perpetuity, even if ownership of the journal moves outside of IU. All of our journals are archived with CLOCKSS.
  • Copyright & Licensing – We will work with you to draft your journal’s copyright policy and can advise on how to license outside content for reuse in your journal.
  • Multimedia content support – Want to include audio or video content alongside your journal articles? We’ll help you use the Avalon Media System to make this possible.
  • Usage statistics –We’ll provide annual reports on article views for your journal.

As you can see, IUScholarWorks strives to go above and beyond simply providing a home for your journal on our server. If you are thinking about starting a new journal, or are interested in migrating your current journal to an open access publishing platform, please contact us at iusw@indiana.edu.

IUScholarWorks Journals Now Minting DOIs

An example of an article with a DOI in the Journal of the Scholarship of Teaching and Learning.
An example of an article with a DOI in the Journal of the Scholarship of Teaching and Learning.

IUScholarWorks is pleased to announce that we are now offering the ability to mint DOIs for IUScholarWorks journal content in partnership with CrossRef.

A DOI, or Digital Object Identifier, is a string of characters that uniquely identifies an online item and serves as a stable, permanent URL. This functionality makes it easier for online content to be discovered, used, and cited.

As part of IUScholarWorks’s agreement with CrossRef, journals that use this service are required to check for and include existing DOIs for all article citations. Therefore, we encourage journals with back content to issue DOIs only for prospective content (if your needs extend beyond this, please contact us).

Within OJS, the DOI plugin allows journal managers to configure the journal’s DOI settings, and the CrossRef XML Export plugin enables them to export metadata for deposit into the CrossRef database. Additionally, editors have the ability to add DOIs to article PDFs prior to publication.

To start issuing DOIs for your IUScholarWorks journal, please contact us at iusw@indiana.edu. Detailed instructions are also available on the IUScholarWorks wiki.

Social media metrics for IUScholarWorks content now available

An example altmetric.com report for content hosted on IUScholarWorks
An example report of altmetrics related to Jason Baird Jackson’s “Anthropology of/in Circulation: The Future of Open Access and Scholarly Societies,” uploaded to IUScholarWorks

For those who want to track metrics for the broader impact of the scholarship they’ve uploaded to the IUScholarWorks repository, we are pleased to announce that altmetrics badges and reports (powered by Altmetric.com) are now available, in addition to usage statistics.

Altmetrics are  social media metrics related to any scholarly output–a journal article, a data set, a working paper, or even a slide deck presented at a conference. The Altmetric.com service currently reports altmetrics for any scholarly content that has a DOI, Handle, PubMed ID, or ArXiv ID.

How it works

On any item record in our repository to which an Altmetric.com badge has been added, you’ll see the badge appear in the bottom of the left-hand navigation bar, under the “Statistics” section. (See an example here.) Hovering over the badge with your cursor, you can see an abbreviated report of the social media attention that item has received, including tweets, scholarly blog posts, and social bookmarks on services like Mendeley. By clicking on the badge, you’ll be taken to a full report on Altmetric.com, which offers a drill-down view into your social media metrics and demographics of those who have tweeted about your work.

If you already have content on IUScholarWorks to which you want to add a badge, email your collection administrator or the IUScholarWorks team. For new content, you’ll be given the option to add a badge during the deposit process; pay careful attention when filling out information during your next deposit.

Badges are publicly displayed. There is not yet ‘depositor-only’ access to the altmetrics for your repository content. Depositors wishing to privately view altmetrics for their research on IUScholarWorks repository can subscribe to Altmetric.com’s paid service or sign up for a free ImpactStory account. (Full disclosure: I am a recent hire of ImpactStory.)

Not interested in altmetrics? That’s fine, too. Badges are by default hidden on all existing and new deposits. The service is opt-in by design.

Why we have implemented this service

In talking with regular users of our service, we’ve learned that faculty and graduate students are keen to track how their scholarship is being consumed and shared, within the Academy and beyond. This service will allow interested users to do so.

We believe that an altmetrics reporting service will help scholars to better understand the nuances of what it means to be “impactful” in an an increasingly networked research environment. Our service surfaces a greater variety of impact measures, and can help scholars understand and connect with new audiences.

On a final note, it is also important to bear in mind that relevant quantitative measures of impact differ from discipline to discipline, and that altmetrics as currently conceived (and reported by Altmetric.com) may not meet the needs of historians as well as they do for biologists. As the field matures, we expect to support and experiment with emerging services in our repository.

To learn more about Altmetric.com, visit their website. More information about our implementation of altmetrics and usage statistics in the IUScholarWorks repository can be found on our website.

Open Access Electronic Theses and Dissertations at IU

My name is Shayna Pekala and I am thrilled to have joined the Scholarly Communication Department this fall as the IUScholarWorks Assistant. I would like to use this post to highlight one of the IUScholarWorks services I have worked with extensively over the last month: open access publishing of electronic theses and dissertations (ETDs).

What is this service and why is it important?

The IUScholarWorks ETD service allows you to make the full text of your ETD available online for free. The main benefits of using this service can be summed up in two words: preservation and accessibility. If you publish your ETD with IUScholarWorks, we will preserve your work in perpetuity, even as technology changes. In addition, by making your ETD open access in our repository, your work will be exposed to major search engines, rendering it more discoverable. (Fun fact: there have been several studies conducted like this one that show open access articles are cited more frequently than non-open access articles.)

How does the service work?

All graduate students must submit their ETDs through ProQuest via the Graduate School website. These submissions are automatically ingested into a dark archive (one that can’t be accessed by any users) within the IUScholarWorks repository. IU requires that permission from the copyright holder be obtained before these ETDs can be made openly accessible. So, graduate students must give us permission to release their ETD by filling out this form. Once permission has been received, an IUScholarWorks staff member goes into the system, releases the ETD, and poof! the ETD becomes open access.

If I make my ETD open access, will I still be able to publish it later on as a monograph or in a journal?

There is a widely held assumption that the majority of publishers consider openly accessible ETDs to be prior publications, thus precluding them from future publication. However, a study published in July 2013, “Do Open Access Electronic Theses and Dissertations Diminish Publishing Opportunities in the Social Sciences and Humanities?”, found evidence to challenge this belief. The study reports that only 2.9% of journal publishers and 7.3% of university presses will not consider manuscripts derived from openly accessible ETDs under any circumstances. While the study concludes that submissions derived from ETDs are not considered prior publications by publishers, it is still advisable to check specific publisher policies if this is something you are considering.

What if I have more questions?

To learn more about open access publishing of ETDs at IU, check out our ETD webpage or email us at iuswetd@indiana.edu. You might also consult some of these resources: