Leveraging the License: Part II

From 2015 to 2017, I served as co-chair of the Bloomington Faculty Council (BFC) Library Committee. The committee worked for two years to pass, by a unanimous vote of the BFC, the IU Bloomington Open Access Policy.

During my time as co-chair, I spoke with dozens of faculty members, including department chairs and administrators, about the policy. In addition to touting the benefits of Open Access, such as more exposure and potential impact for the scholarship of faculty authors achieved by means of free access and long-term preservation, I routinely described the Open Access as ‘symbolic’ and ‘heuristic’.

By symbolic, I wanted to suggest that adoption of the policy would add the moral authority of another large public research university, such as Indiana University – Bloomington, to the list of U.S. colleges and universities who have adopted such policies.

By heuristic, I meant to express my view that the policy would – and now does – provide an impetus for faculty to think about how they might like to be able to reuse their work in other ways that could be professionally beneficial to them, besides simply transferring their copyright to a journal publisher in return for publication of their scholarly articles. Such uses could include freely distributing their publications through their own professional website, via social media, by means of an institutional or discipline-specific Open Access repository, or simply making them available to students in their classes. The IUB Open Access Policy fosters this goal by providing an institutional mechanism for retaining at least some of a faculty member’s copyrights in their scholarly work.

The policy is not a mandate. Faculty are not required to make their work Open Access. Under the policy, each IUB faculty member grants for themselves, at their discretion, the non-exclusive license articulated by the policy, which permits the university to make their scholarly “articles freely and widely available in an open access repository, provided that the articles are not sold, and appropriate attribution is given to authors.” Because authors can only license their work to the university in keeping with the Open Access policy if they retain enough of their rights to do so, the prior license granted in the policy provides leverage for a faculty member to use when negotiating publishing agreements with journal publishers. This is why Open Access policies, like IUB’s, which are modeled on Harvard University’s policy, are also often referred to as rights-retention policies.

While many publishers now have self-archiving policies that are consistent with the requirements of institutional and government-mandated Open Access polices (see http://www.sherpa.ac.uk/romeo/index.php), it might still be necessary to negotiate with publishers to achieve those ends. If you choose to negotiate your copyright with your publisher, the following suggested statement can be used to begin the discussion:

“Journal acknowledges that Author retains the right to provide a copy of the final manuscript, upon acceptance for Journal publication or thereafter, for compliance with the Indiana University Open Access Policy and for public archiving in IUScholarWorks as soon as possible after publication by Journal.”

This language can be added to amend a journal publishing agreement. Alternatively, IU provides a suitable form of addendum used in copyright negotiations at Big 10 Academic Alliance (formerly CIC) institutions. SPARC, the Scholarly Publishing and Academic Resources Coalition, also offers an author addendum with supporting documentation. Whether you use one of these addenda or not, the license to IUB will have force, unless you complete the opt out process. For information about opting out or obtaining a waiver letter, visit https://openscholarship.indiana.edu/.

A faculty author could have legitimate reasons to elect to opt out of the Open Access policy. One of the most prevalent reasons is the inclusion of third-party intellectual property quoted or included in a scholarly article under license from a copyright owner. Some common examples include an image or a musical excerpt. Licensing such content can be prohibitively expensive if the article is to be published in an Open Access repository. And while it is possible to deposit a faculty author’s final edited version of a scholarly article without any third-party content that exceeds fair use or is covered by a licensing agreement, an author might legitimately be concerned that the value of their article would be undermined by doing so. If an author cannot secure a license to make third-party intellectual property included in their work available with their article in an Open Access repository, they should opt out of the policy when reporting their work in their annual review on DMAI.

For help with author addenda or other intellectual property issues related to the IUB Open Access policy, please refer to the policy FAQ, or email nazapant@indiana.edu.

 

Leveraging the License: Part I

The Scholarly Communication Department attended several orientations and events for new faculty over the last few weeks. During these events, I have had the privilege of chatting informally with a faculty members about IU Bloomington’s new Open Access Policy. Faculty have a lot of questions about how the policy works, what kinds of scholarship the policy applies to, and author processing charges (or APCs).

The question that has been most difficult to explain quickly and effectively in these informal conversations has been about how faculty can “leverage” or utilize the license established by the Open Access policy when negotiating with potential publishers. This post will explain in more detail what “leveraging the license” means and clarify when in the publishing process faculty should attempt to negotiate. This post on leveraging the OA policy license is part one of a two-part series. The second post will explore the OA policy license in more detail, particularly when it concerns utilizing third-party content.

Our new Open Scholarship website includes a detailed FAQ that answers common questions faculty have about the OA policy. One of the questions listed is, “Will I have to negotiate my copyright transfer with my journal publishers?” Our answer is no. The policy maintains faculty agency and empowers them to make the best decision for their research. Faculty can always embargo their article to comply with their selected journal’s policies or opt out of the OA policy for a specific article.

However, we note that in many cases, it is in the faculty member’s best interest to negotiate. Moreover, the license that IUB OA Policy establishes can support faculty efforts to retain their copyright. Under the question about negotiating copyright transfers we state, “The policy operates automatically to give IUScholarWorks a license in any scholarly articles faculty members complete after its adoption… communicate this policy to your publisher and add to any copyright license (or assignment for scholarly articles) an addendum stating that the agreement is subject to this prior license. That way, you will avoid agreeing to give the publisher rights that are inconsistent with the prior license to IUScholarWorks that permits open-access distribution.”

What does this mean in practice? How do you begin to start a conversation with a publisher that has a restrictive publishing agreement? When should you mention the IUB OA Policy and subsequent license? We have created a flowchart to answer these questions:

Open access policy workflow

Flowchart created by Jamie Wittenberg

After your manuscript is complete, you should identify a journal that offers the readership and audience that you are most interested in. If this is an open access journal, once your article is accepted and published you have complied with the OA policy! If this is a closed journal, you will need to determine if your publishing agreement allows self-archiving (or posting an open version of your article in a repository). The Scholarly Communication department is always happy to help faculty review their publishing agreements. If the publishing agreement allows you to share a version of your work, preferably the publisher’s final version (after peer review with typesetting), then you will submit that version to the institutional repository. Archiving the author’s final manuscript will nevertheless meet the OA policy’s requirement. If the journal does not allow self-archiving, it’s time to consider negotiating.

Negotiating with a publisher is both personal and contextual. Your decision to negotiate may be impacted by your level of comfort, goals, co-authors, and the importance of the publication venue. Is this the only venue that makes sense for your article? Does this journal have impressive metrics or important readership? Or are there other publication venues that might accept the article? Is it non-negotiable to you that others have access to your article, regardless of library affiliation or socio-economic status? Asking these questions can help you decide if publisher negotiation is in your best interest. In general, many publishers are familiar with open access policies so starting a conversation about the publishing agreement is not harmful and can help clarify how or if you should continue to negotiate.

After you have reviewed the publishing agreement and you’ve decided that you would like to negotiate, you can contact our Copyright Program Librarian and lawyer, Naz Pantaloni, for guidance. In addition to having expertise in copyright, Naz has worked with several scholars to retain their author rights and is familiar with strategies for negotiating with publishers. Naz will either assist you with preparing an addendum to present to the journal or help you construct a response that includes information about the IUB Open Access policy. One addendum template that Naz might help you utilize comes from the Big 10 Academic Alliance (formerly CIC). An example of a response to a publisher in order to start the negotiation process is found on our Open Scholarship Q&A:

“[Journal] acknowledges that [Author] retains the right to provide a copy of the final manuscript, upon acceptance for [Journal] publication or thereafter, for compliance with the Indiana University Open Access Policy and for public archiving in IUScholarWorks as soon as possible after publication by [Journal].”

If you cannot come to an understanding with your publisher and need to sign over the exclusive rights to your work, you must complete the opt out process.

In a previous post, I wrote about the spectrum of openness that exists and the Scholarly Communication Department’s goal of supporting all manifestations of open. It is worth stating that the IUB Open Access policy is about making content open and available to readers everywhere. But it is also true the OA policy is about author rights. When authors retain their rights, including the right to reproduce, distribute, display, and make derivative works of their scholarship, they retain the life of their work. I have consulted with many faculty members (and graduate students) that need to interlibrary loan their own work because they don’t have access to it. I’ve worked with numerous faculty that wish they would have retained at least some of their rights so that they could make their work available to their students or share it more broadly. In addition to resources like our copyright program and publishing resources, the OA policy provides a mechanism for faculty to find their seat at the negotiation table. I’m excited for what this means for the research profile of IU Bloomington.

New website and new interim ScholComm librarian

The Scholarly Communication department and the IUScholarWorks staff are pleased to announce that our new, completely redesigned website is live and available to the public. The URL hasn’t changed (scholarworks.iu.edu), but we’ve added new convenient ways to contact us, submit material to IUScholarWorks, and find answers about our services.

We are also pleased to welcome Nicholas Homenda to the department. Nick, who is Digital Initiatives Librarian in the Digital Collections Services Department, will also serve as Interim Scholarly Communications Librarian. Nick is a welcome and familiar contributor to scholarly communication initiatives in the Libraries.

Shayna Pekala, who contributed to some of our most successful digital initiatives as a student and Visiting Scholarly Communication Librarian over the past several years, is heading  to Washington, DC to become the Discovery Librarian at Georgetown University. Shayna was largely responsible for the planning and implementation of our new website, which went live during her very last week with us.

 

Spring 2016 Copyright & Publishing Workshops Are Here!

We are thrilled to announce our lineup of Copyright & Publishing workshops for Spring 2016. Join the Scholarly Communication team and our colleagues in the Libraries, the IU Press, and the Office of the Vice Provost for Undergraduate Education to learn about copyright for visual artists, creating a research poster, scholarly metrics, and more!

Schedule of copyright and publishing workshops

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.

Workshop recap: Should I embargo my dissertation?

Last week, The IU Scholars’ Commons sponsored a workshop on the hotly contested topic of whether or not soon-to-be PhD’s should embargo their dissertations. Attendees learned the many ways that this seemingly minor decision may have significant implications for their academic careers. The workshop brought together panelists representing a variety of stakeholder groups to share their viewpoints, which are summarized below.

Dissertation Panel
Celestina introduces the panelists for the workshop, “Should I embargo my dissertation?”

Introduction

At Indiana University, graduate students are required to submit their dissertations to ProQuest, a commercial database provider, where they have a choice of two publishing options: Traditional or Open Access. With the Traditional Publishing option, only those with access to ProQuest through a library subscription or who purchase an individual copy of the dissertation will be able to view the full text. With the Open Access Publishing option, anyone with an internet connection will be able to read the entire dissertation. To avoid the $95 fee for Open Access Publishing in ProQuest, students can submit their dissertations to IUScholarWorks, a free service provided by the IU Libraries.* In addition to choosing between Traditional and Open Access Publishing, students may also select an embargo length of up to two years (or more, with special permission from the Graduate School). Placing an embargo on a dissertation means that no one in the world will be able to able to view its contents for the specified length of time. So, to embargo or not to embargo?

*Submitting to IUScholarWorks alone does not fulfill the requirements for graduation; the dissertation must also be submitted to ProQuest. Students who wish to make their dissertation Open Access are advised to select the Traditional Publishing option in ProQuest and then submit to IUScholarWorks. Learn how at https://scholarworks.iu.edu/deposit.

Reasons to embargo

  • Your dissertation contains patentable intellectual property for which you have not yet received a certificate.
    • While you automatically own the copyright to your dissertation upon its creation, copyright only protects the fixed expression of your work as a whole, NOT any of the ideas or facts presented within it.
  • You want to avoid getting “scooped.”
  • Your dissertation contains sensitive data.
  • Your dissertation contains work that is still in copyright that belongs to a third-party who has not given permission to redistribute it and your use in the dissertation is not a fair use.
  • A publisher is interested in turning your dissertation into a book and has expressly told you they will not do so if the dissertation is available online. Read more about future publication concerns.

Reasons not to embargo

  • The more accessible your dissertation is, the more likely it is to be cited.
  • Making your dissertation accessible allows it to be scrutinized by others in the field, promoting collegiality.
  • You don’t want to be plagiarized.
    • If you’re worried about copyright infringement and/or plagiarism, then you should get your idea out there as soon as possible so that it’s publicly documented and accessible. That way, you have proof that the idea originated from you and that the alleged infringer had access to your work. While copyright protection is automatic, people who are concerned about copyright infringement can also register a copyright in it with the U.S. Copyright Office. ProQuest will do this for you for an additional fee of $55, or you can do it yourself for $35 at http://copyright.gov/eco/. Registration provides statutory damages and attorneys’ fees in the event of infringement.
  • Having dissertations available helps teach future scholars about the process of scholarship.
  • You do not intend to pursue a tenure-track position.

A note about future publication

Many students and their advisors have unfounded fears that publishers will not publish a book that is based on a dissertation, yet there are no facts to support this. When a dissertation goes through the publication process, at least 50% of the information changes in some shape or form. Dee Mortensen, Senior Sponsoring Editor at the IU Press, compares the relationship between a dissertation and a book to that of a chrysalis and a butterfly. Furthermore, Ellen McKay, Associate Professor of English, relates that faculty are now expected to be able to statistically describe the difference between their dissertation and book, and less than a 50% difference is considered an insufficiently edited work. Because of the substantial alteration involved in the transformation of book to dissertation, there is no commercial disadvantage in having the original dissertation available. The study “Do Open Access Electronic Theses and Dissertations Diminish Publishing Opportunities in the Social Sciences and Humanities?” supports this claim, finding that most publishers (93% of university presses) do not consider an ETD a prior publication that would completely disqualify the revised version from publication.

Final thoughts

Deciding whether or not to embargo your dissertation is an extremely personal decision that should not be taken lightly. In the end, the question really comes down to what you want to do with your dissertation. Many of the reasons to embargo assume that the author intends to turn it into a book to fulfill the requirements of tenure and promotion. If this is not your intention, then by all means free your dissertation and let it be unembargoed. The topic of dissertation embargoes also brings into question whether the current system of tenure and promotion should place so much value on the book, when new technologies afford alternative possibilities that permit broader and more efficient knowledge dissemination.

A big thank you to all of the panelists: Judith Allen (Professor, Department of History), Ellen McKay (Associate Professor and Director of Graduate Studies, Department of English), Dee Mortensen (Senior Sponsoring Editor, IU Press) Nazareth Pantaloni (Copyright Librarian, IU Libraries), and Shayna Pekala (Open Access Publishing Manager, IU Libraries). Thank you also to Shelly-Gerber Sparks and Celestina Savonius-Wroth for their contributions to the event.

OA Week 2014 Wrap-Up

On October 20-24th, IU Bloomington celebrated Open Access Week 2014 with a series of workshops and events to increase the local research community’s understanding of open access. Moira Marsh and Dee Mortensen kicked off the week with a session on the “Road to Publishing for Students,” where they relayed the steps in the publishing process and shared tips on how to (and how not to) get published.

Tuesday’s events began with a student roundtable discussion on open access moderated by ILS professor Cassidy Sugimoto. The four student panelists shared their thoughts on a variety of issues in open access, including types of OA, quality control, activism, power dynamics of publishers, disciplinary differences, and more. In the afternoon, Nicholas Wyant, Theresa Quill, and Christina Sheley showcased three different tools for finding open access resources in the social sciences: SSRN, American Fact Finder, and Open Street Map.

Shayna Pekala led a workshop on Wednesday morning introducing Open Journal Systems (OJS) software as a tool for publishing your open access journal. Jen Laherty followed on Thursday afternoon with an informative workshop on how to write a data management plan for an NSF grant proposal (for those of you who missed it, a recording is available here). She also explained the various options for storing data at IU and where to go for help with managing your data.

Naz Pantaloni gears up for his presentation on journal publishing agreements.
Naz Pantaloni gears up for his presentation on journal publishing agreements.

Naz Pantaloni wrapped the week up with a session on negotiating journal publishing agreements. He talked about the basics of copyright, what rights are typically negotiable, and how authors can use an Author Addendum to maximize their rights.

Overall it was a successful week with ample learning opportunities for students and faculty alike. A big thank you to all of the presenters, the Scholars’ Commons, and the Libraries for making these events possible!

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.

When Can I Deposit What? Everything You Need to Know about Permissions and Versions When Submitting to the Repository

Every time you submit an item to the IUScholarWorks repository, you must accept the IUScholarWorks License. By accepting our non-exclusive license, you acknowledge that you either own the copyright to the work you are depositing, or you have been granted permission by the copyright holder to deposit it. If you are depositing material that has already been published, you will first need to find out if you hold the copyright.

When you publish an article in a journal, copyright is typically transferred to the publisher (this will be indicated in your original publishing agreement). If the publisher owns the copyright to your work, you will need to check whether they allow you to deposit it in the institutional repository. Fortunately, most publishers have developed explicit policies that speak to this, so you often won’t need to contact them directly. You can search for a publisher’s copyright policy on their website, or use the Sherpa/Romeo database.

When publishers do allow you to deposit your work in an institutional repository, they frequently impose restrictions, such as an embargo period and/or the type of version permitted.

Embargoes

Publisher embargo periods can range anywhere from 6 to 24 months (and sometimes longer). If a publisher requires you to embargo your work, you can still deposit it in the institutional repository now and designate the amount of time after which it can be made openly available.

Version types

There are three types of versions that a publisher may or may not allow you to submit to the institutional repository:

Pre-print – a draft of an article before peer review

Post-print – the final, peer-reviewed article submitted for publication

Publisher PDF – the final, peer-reviewed article in the publisher’s typesetting and formatting

It’s important to note that content-wise, the post-print and the publisher PDF versions are identical. Many more publishers allow authors to deposit the post-print version in the repository than they do the publisher PDF version.

If you are ever unsure about what work you can or can’t deposit, please contact the IUScholarWorks Team.