Two Year Anniversary of the Open Access Policy

This post was written by Scholarly Communication department student assistant Allison Nolan.

In February 2017, the Bloomington Faculty Council passed an Open Access policy. The policy provides a mechanism for making faculty-authored articles published after 2017 open access (unless faculty opt out of the policy for a particular article). Beyond making content open access, the policy asks faculty to reflect on how they would like their work to be used in perpetuity. IU Bloomington’s was the 56th faculty council in the world to unanimously pass an open access policy, joining Harvard, Duke, Princeton, Stanford, MIT and others.

In conjunction with the policy, the Scholarly Communication department launched a new institutional repository, IUScholarWorks Open, to accommodate articles made openly available as a result of the policy. IUSW Open acts as a seamless service point for faculty to deposit articles, opt out of the policy, or view their colleagues’ open access work. Over the last two years, the Scholarly Communication department has aligned the IU faculty annual reporting system, where most faculty already enter information about their research and creative activity, with the OA Policy. Department staff processed IUB faculty-authored scholarly articles across all disciplines while also encouraging faculty to submit their work to the repository directly through targeted outreach.

In the two years since the policy was instituted, over 500 items have been deposited to IUSW Open, all by various IU faculty authors and collaborators. SC department staff have been able to share the final versions (sometimes called the version of record) of over 200 articles and link over 150 open access versions of articles from authors across IUB. In addition to checking publisher policies for faculty-authored articles, Scholarly Communication staff consulted with individual faculty to share a version of their article open access.  

In addition to highlighting the quantity of articles made openly available, it’s important to showcase the range of scholarship faculty published and subsequently was made available. These highlights are obviously only a small subset of the articles made openly available but they illustrate that the diversity of topics represented within the repository is evident and mirrors the intellectual diversity of the IUB faculty. For example, Kylie Peppler’s “Advancing Arts Education in a Digital Age” discusses how instructors can utilize digital tools in order to help students become content creators, rather than simply rejecting technology as something that distracts from or changes the nature of content creation. Angela T. Maitner and others’ “The impact of culture and identity on emotional reactions to insults”  explores the ways in which people from different ethnic backgrounds react to insults related to an aspect of their cultural or religious identity, specifically in relationship to cultures that are rooted in concepts of honor and dignity. Kelly M. Moench and Cara L. Wellman examined the manner and speed of dendrite rebuilding in mice, particularly females, after periods of prolonged, chronic stress. The goal of the experiment was to determine the impact of stress on both male and female brains and it was concluded that the long-term effects of continued stress, rather than acute stress, were more likely to lead to detrimental outcomes in women. Each of these articles pose questions that are relevant to advancing their respective fields, and the interdisciplinary nature of IUScholarWorks Open allows all of these research outputs to exist in the same space.

In the last two years, IUB’s open access policy has helped to highlight faculty research and create critical discussions surrounding open access and the opportunities that it provides for academic scholarship. As an example, an Open Access Article Publishing Fund was recently established by the IU Libraries and the Office of the Vice Provost for Research to subsidize the cost of publishing gold open access. IUScholarWorks Open will inevitably grow as time goes on and faculty work continues to be processed. We hope that knowledge of the policy and IUSW Open, and ongoing educational efforts as to what exactly it means to make academic work open access, will increase faculty engagement on this important issue.

IU South Bend Passes Open Access Policy

This blog post was authored by Craig Finlay, Scholarly Communications Librarian at IU South Bend.

We are very pleased to announce that on Friday, January 18, 2019, the Indiana University South Bend Faculty Senate unanimously approved an Open Access policy, making us the third IU campus to do so.  We join IU Bloomington and IUPUI in working to promote OA and in so doing increase the accessibility, reach and impact of our faculty scholarship.

The policy itself can be found here.  While based on the Harvard Policy, our policy differs in that it contains no language requiring faculty to provide copies of their research.  The small size of our campus and the comparatively smaller research output (Compared to large universities like IUB and IUPUI) affords us the luxury of relieving faculty of that requirement.  The Office of Research – Academic Affairs produces an annual publication list gleaned from the faculty annual reports (now Digital Measures). The number of publications makes it feasible for us to grab them ourselves and check for copyright permissibility.  This could be an important point to remember for smaller universities looking to pass an OA policy.  Often faculty objections to a policy stem from resentment over requirements of self-deposit.

Over the past few years I pounded the pavement visiting department meetings and giving presentations aimed at highlighting traffic to publications already placed into our IU ScholarWorks community. I generally did not spend much time talking about the altruistic aspects of OA, having found that this approach is greeted more with polite affirmation than anything else.  More effective is convincing faculty that OA publishing will drive attention and citations to their publications.

This strategy was strongly influenced by a pair of talks by Jere Odell, Scholarly Communication Librarian at IUPUI, at the Michiana Scholarly Communication Librarianship Conference at IU South Bend in 2014 and 2016. Jere was also a continual source of advice and wisdom in my journey, the value of which I cannot overstate.

While it may seem tempting to focus heavily on the potential of OA to reach underserved communities, the fact is self-interest seems to grab people’s attention much more readily. Given limited presentation times at departmental meetings, time is of the essence.  After some time demonstrating usage statistics and talking about the potential citation boost, I started pitching the OA policy itself.

First, I approached faculty allies who had already taken initiative to contact me regarding depositing their scholarship, hoping to get them to help spread the message.  I also sought and received endorsements from the Office of Research, the Library Affairs Committee and the head of the newly-established Center for Excellence in Research and Scholarship (CERES). I repeatedly emphasized the unique aspect of our proposed policy, that it would require no extra work on the part of faculty.  It was the LAC that brought the policy before the senate, which, being from a committee, meant the policy was already seconded when it was announced.

Ultimately, the policy passed unanimously.  Given seven minutes to explain the policy to the senate, I discussed the traffic to existing publications in the IR and the fact that our policy asked nothing of faculty save consent of deposit. I owe a great debt to the colleagues, campus departments and faculty allies who aided in getting our policy passed.  If I had to give one bit of advice to a librarian at a small campus such as IU South Bend trying pass a policy while balancing myriad other job responsibilities it would be to identify and cultivate such sources of support and advice.  There’s no point in trying to do it alone.

Our Year in Review

Last December, the Scholarly Communication Department carved time out of our annual retreat to reflect on our successes from 2017 and our goals for the coming year.

Greatest Accomplishments of 2017

Scholarly Communication Major Goals for 2018

  • Complete our implementation of the Open Access Policy to ensure that every IUB faculty member is able to effortlessly make open versions of their journal articles available. You can learn more about our implementation here.
  • Upgrade all the journals we host to the newest version of our publishing software, enabling more streamlined editorial processes and improved user interfaces.
  • Improve and expand website content to better meet user needs – including the development of video tutorials to demonstrate use of our services.
  • Work in collaboration with the OVPR to provide support for researchers publishing in Gold Open Access journals, which often charge article processing fees to authors.
  • Provide more robust support for campus’ data publishing needs
  • Continue to publish weekly blog posts and expand our engagement with the IU research community on social media platforms – starting in 2018 we are tweeting from @iulibraries
  • In partnership with UITS and the eText program, raise awareness about how course material costs affect students and encourage the adoption of affordable course materials

Frequently Asked Questions About the IUB Open Access Implementation

This FAQ is supplemental to the official Open Access Policy FAQ, available here

What do I need to do to comply with the IUB Open Access Policy?

  • Publish in an open access journal OR
  • Agree to archive an open access version of the article OR
  • Opt out of the policy

What kinds of publications are subject to the policy?

The policy only applies to scholarly journal articles authored by IU Bloomington faculty, published after February 21st, 2017.

I read that I can comply while completing my annual report. How can I do this?

Some faculty might not be able to publish in an OA journal. If that’s the case, you simply need to fill out your DMAI (annual report) as you would every year. We will check to see which version(s) you can create open access and then follow up with you to deposit that version. If you choose, you may opt out in the reporting system by selecting the opt out box for your article.

What will happen in the reporting system if I DO NOT opt out?

The Libraries will run a report in the reporting system that generates a dataset with citation information for articles subject to the open access policy. If a faculty member has not opted out, we will check the publisher’s self archiving policy. If the publishing agreement allows, we will deposit a PDF of the article in IUSW Open and send the faculty member a confirmation email. If the publishing agreement requires another version of the article or does not allow self archiving, we will be in touch by email with next steps.

Image 1: Arrow with workflow of submitting work to the repository

What will happen in the reporting system if I DO opt out?

The Libraries will run a report in the reporting system that generates a dataset with citation information for articles subject to the open access policy. If a faculty member has opted out, we will generate a letter waiving the University’s license to the article. This article will be sent to the author by email.

What about my existing publishing agreements? How will I know if I need to opt out?

If you already know that you need to opt out for an article, you may do so while completing your annual report or using IUSW Open. Otherwise, we will do the rights checking for you and get in touch if you have an incompatible publishing agreement or if we cannot access your publishing agreement.

Do I need to manage all of my publishing contracts, waivers, and potential addenda myself?

Not by yourself. While we do recommend that faculty keep records of documents signed in the publishing process, the Libraries will keep track of the agreements we receive from faculty and publishers.

Can I apply a blanket opt out to all of my articles?

Blanket opt-outs are not possible. The BFC policy states that faculty must opt out for each article subject to the policy. If you wish to opt out for all of your articles, the easiest way to do so is to check the opt out box for the articles as you enter them in DMAI.

What if I make the wrong choice or need to opt out later?

The archival status of an article subject to the policy can be changed at any time and our systems accommodate this. Contact us at iusw@indiana.edu to make the change.

Who can I contact with questions?

You can contact us by email at iusw@indiana.edu or reach out to your liaison librarian. The openscholarship.indiana.edu website will connect you to open access guidance and instructions for depositing in IUSW Open. If you have further questions, the policy FAQ may also be helpful.

 

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.

 

Open Access policy adopted by IU Bloomington faculty

Image 1: Open Access Logo

The Bloomington Faculty Council unanimously approved an Open Access policy today that ensures that faculty scholarship will be accessible and available to the public for future generations. Open Access means that scholarly articles are regarded as the fruits of research that authors give to the world for the sake of inquiry and knowledge without expectation of payment. Adopting such a policy reduces barriers to research and learning by making research available on the public internet to be downloaded and shared freely, making it possible for scholarship to be more widely read and cited than literature that appears in closed-access, licensed journal databases. The policy can be found at IUB’s VPFAA site and an FAQ has been posted to our website.

The Scholarly Communication staff will be available to help authors deposit their work — usually the final version of an article that has gone through peer review — in IUScholarWorks or another repository for archival purposes. Indeed, as Nazareth Pantaloni, Copyright Librarian for the IU LIbraries, observed: “The Indiana University Libraries are delighted that the Bloomington Faculty Council has joined the over 300 U.S. colleges and universities who have decided to make their faculty’s scholarship more freely available under an Open Access policy. We look forward to working with them to accomplish that goal.” Faculty members may also contact us to opt-out of the policy, a process that will be incorporated into a one-click form once the policy is fully implemented.

The policy adopted today is only the latest step in an ongoing process at IU Bloomington. The BFC adopted one of the first Open Access policies in the country in March of 2004. That policy was actually a resolution in which the BFC decried the rising costs of academic journals and databases — at the time, 70% of a $9.2 million annual budget — and called on the IU Libraries to adopt several strategies in response, including, among other things, “to promote open scholarly communication.” That resolution served as an impetus for the Libraries’ development of IUScholarWorks. Today, IU ScholarWorks hosts nearly 30 Open Access journals, primarily in the humanities and social sciences, and serves as the repository for nearly 8,000 items deposited by IU Bloomington faculty, students, and staff, including data sets, conference proceedings, out-of-print books recovered by faculty from their original publishers, doctoral dissertations from the Jacobs School of Music, Patten Lectures, and a wide array of journal articles, research reports, other scholarly literature, and even creative works of authorship. Current developments include improvements in the repository’s ability to host multimedia content and data.

Open Access policies are intended, in part, to provide an institutional mechanism for faculty authors to assert the retention of at least the minimum rights necessary in order not only to cooperate with their institutional OA policy, but also be able to reuse their work in other ways that could be beneficial to them, such as distributing their work via their own professional website, through social media, or simply to students in their classes.

Resources are available for faculty who are interested in learning more about the impact and implementation of the policy. Please direct questions to iusw@indiana.edu.

Image: CC-BY. Flickr user Open Access Button