Basic aspects of Open Access

Basic aspects of Open Access
Pascal-Nicolas Becker | University Library of TU Berlin | DWZ Round Table OA | Cairo, 22.07.2015
If not indicated otherwise content is licensed under CC BY 4.0
Creative Commons Attribution 4.0 International | https://creativecommons.org/licenses/by/4.0

Agenda
1. The Idea of Open Access
 Scholarly communication and electronic publishing
 Open Access declarations
2. Open Access Basics
 Green Road & Golden Road
3. Access to Open Access publications
Basic aspects of Open Access | Pascal-Nicolas Becker | DWZ Roundtable OA | Cairo, 22.07.2015
Slide 2

The Idea of Open Access
Slide 3

Standing on the shoulders of giants
“Bernard of Chartres used to compare us to [puny] dwarfs
perched on the shoulders of giants. He pointed out that we
see more and farther than our predecessors, not because
we have keener vision or greater height, but because we are
lifted up and borne aloft on their gigantic stature.”
John of Salisbury: Metalogicon 3,4,46-50
“If I have seen further, it is by standing on the shoulders of
giants.”
Isaac Newton
(both quotes from https://en.wikipedia.org/wiki/Standing_on_the_shoulders_of_giants)
Slide 4
Library of Congress, Rosenwald 4, Bl. 5r, http://commons.wikimedia.org/wiki/File:Library_of_Congress,_Rosenwald_4,_Bl._5r.jpg

Research Data Lifecycle
Slide 5

xxx.lanl.org / ArXiv.org
Source: Paul Ginsparg, First Steps Towards Electronic Research Communication. In: Computer in Physics, Vol. 8, No. 4, 1994, pp. 390-396.
Image with kind permission of Paul Ginsparg.
“In my own community of high-energy
theoretical physics, the rapid acceptance of
electronic communication of research
information was facilitated by a pre-existing
‘preprint culture’, in which the irrelevance of
refereed journals to ongoing research has
long been recognized.
[…] technological advances – combined with
a remarkable lack of initiative on the part of
conventional journals in response to the
electronic revolution – rendered the
development of e-print archives ‘an accident
waiting to happen.’”
Paul Ginsparg 1994
Slide 6

Digital Repositories
Source: The Directory of Open Access Repositories,
http://www.opendoar.org, retrieved June 06, 2014.
Repositories are systems to safely store
and publish digital objects and their
descriptive metadata.
Not in the meaning of software repositories.
Examples:
• Digital archives
• Institutional repositories (OA preprints &
postprints, theses, grey literature, …)
• Digital image libraries
• Research data repositories
• …
More than 2500 Open Access repositories
worldwide.
Slide 7

Open Access Declarations
Budapest Open
Access
Initiative:
Budapest
Declaration
Feb 2002
Bethesda
Statement on
Open Access
Publishing
June 2003
Berlin
Declaration on
Open Access to
Knowledge in
the Sciences
and Humanities
Oct 2003
Slide 9

Budapest Open Access Initiative
“By ‘open access’ to this literature, we mean its free availability on the public internet,
permitting any users to read, download, copy, distribute, print, search, or link to the full
texts of these articles, crawl them for indexing, pass them as data to software, or use
them for any other lawful purpose, without financial, legal, or technical barriers other than
those inseparable from gaining access to the internet itself. The only constraint on
reproduction and distribution, and the only role for copyright in this domain, should be to
give authors control over the integrity of their work and the right to be properly
acknowledged and cited.”
http://www.budapestopenaccessinitiative.org/read
Slide 10

Bethesda Statement on Open Access Publishing
1. The author(s) and copyright holder(s) grant(s) to all users a free, irrevocable,
worldwide, perpetual right of access to, and a license to copy, use, distribute, transmit
and display the work publicly and to make and distribute derivative works, in any
digital medium for any responsible purpose, subject to proper attribution of
authorship[2], as well as the right to make small numbers of printed copies for their
personal use.
2. A complete version of the work and all supplemental materials, including a copy of the
permission as stated above, in a suitable standard electronic format is deposited
immediately upon initial publication in at least one online repository that is supported
by an academic institution, scholarly society, government agency, or other well-
established organization that seeks to enable open access, unrestricted distribution,
interoperability, and long-term archiving (for the biomedical sciences, PubMed Central
is such a repository).
http://legacy.earlham.edu/~peters/fos/bethesda.htm
Slide 11

Berlin Declaration on Open Access to Knowledge in the
Sciences and Humanities
For the first time ever, the Internet now offers the chance to constitute a global and interactive
representation of human knowledge, including cultural heritage and the guarantee of worldwide
access. […]
1. Open access contributions must satisfy two conditions: The author(s) and right holder(s) of such
contributions grant(s) to all users a free, irrevocable, worldwide, right of access to, and a license to
copy, use, distribute, transmit and display the work publicly and to make and distribute derivative
works, in any digital medium for any responsible purpose, subject to proper attribution of
authorship […] as well as the right to make small numbers of printed copies for their personal use.
2. A complete version of the work and all supplemental materials, including a copy of the permission
as stated above, in an appropriate standard electronic format is deposited (and thus published) in
at least one online repository […] that is supported and maintained by an academic institution,
scholarly society, government agency, or other well-established organization that seeks to enable
open access, unrestricted distribution, inter operability, and long-term archiving.
http://openaccess.mpg.de/Berliner-Erklaerung
Slide 12

What is Open Access all about?
 Open Access is a publishing model
 It does not completely change the scholarly communication, it just lowers barriers
 OA is not per se indicator on quality
 Just like in closed access world:
publishers and editors have to ensure quality
 Open Access is the idea of free and accessible human knowledge
 Free in the sense of no charge
 Free in the sense of free licenses
 Free in the sense of no technical barriers (as far as possible)
Slide 13

Benefits of Open Access
Increased
visibility and
citation
advantage
Free access
to publicly
financed
research
results
Authors
retain
exploitation
rights
Good
findability by
search
engines &
other
indexing
services
Promote
international
and inter-
disciplinary
cooperation
Promote
research
efficiency by
rapid
discussion
of research
results
Improved
supply of
information
& response
to serials
crisis
Slide 14

Open Access Basics
Slide 15

Copyright protection (within Germany)
• Author = creator of a work
• Only natural persons (creators) can claim full copyright
• vs. rights holder: natural or legal person
WHO
• Protection of original works
• Ideas, concepts etc. are not protectable
• Work = intellectually created by a natural person (§ 2 UrhG)
WHAT
• Protected by law
• No further registration necessary (in contrast to patents, trademarks, logos
etc.)
• Copyright term: 70 years after the creator‘s death
HOW
Slide 16

Transfer of rights
• Rights of use can be transfered (§ 31 UrhG)
• … for each type of use individually
• … limited in time (e.g. timespan of 5 years)
• … geographically limited (e.g. distribution within Europe)
• … as exclusive or non-exclusive right
Exploitation
rights
• Rights holder can use the work exclusively
• Even creator has to obtain rights for further use(s)Exclusive
• Rights holder can use the work
• Creator can transfer non-exclusive rights to different
(natural or legal) persons
Non-
exclusive
Slide 17

CC in a nutshell
 Non-profit organization
 Founded in 2001 in USA
 Version 1.0 of licenses released in 2002
 Licenses developed in the US
 Intended for international use
 License modules evolved over the years
 Latest version is 4.0 of 2013
 Main idea: make licensing easy
 Simple way to transfer rights
 Only CC-BY complies with demands to re-use Open Access works!
Slide 18

Two ways of Open Access
Green Road
 In addition to traditional closed access
publication
 Deposit on
 Institutional repository
 Disciplinary repository
 Usually no transfer of further rights to
public (restricted re-use)
 Dependant on rights holder‘s policy
 Embargo?
 Version?
Golden Road
 Publishing with „Open Access
publishers“
 Access to peer reviews version
 Immediately
 Online
 Worldwide
 Free of cost
 Transfer of rights to public
 Copy
 Share
 Distribute
 Derivate
Slide 19

Green and Golden Roads towards Open Access
Slide 20
Graphic: Anton Katzer

Insitutional repositories, ...
https://opus4.kobv.de/opus4-tuberlin https://depositonce.tu-berlin.de/
Slide 21
... cross-institutional and/or disciplinary repository
And many more:
 Directory of Open Access Repositories (OpenDOAR) http://www.opendoar.org
 Registry of Open Access Repositories (ROAR) http://roar.eprints.org/
 Registry of Research Data Repositories (re3data) http://re3data.org/

Open Access publishers
And many more
 Directory of Open Access Journals (DOAJ) http://doaj.org/
 Directory of Open Access Journals (DOAB) http://www.doabooks.org/
Slide 22

Business and publication models
 Publication types
 Journals, series, monographs, …
 Publishing models
 E-only, hybrid
 OA is not free of cost
 Business models e.g.
 Article processing charge (APC)
 Membership models
 Institutional sponsorship
 Subscription fees for hybrid model
Slide 23

Recommendations for authors
• Check out OA alternatives in your
discipline
• Ask library or program manager for help
• Be aware of the benefits OA gives you
Publish Open Access!
• Proper licensing (CC-BY)
• Professional publisherGo Gold OA!
• Read publishing contracts & negotiate
terms
• Retain rights to self-archive
• Keep post prints
Gold OA not possible?
Go Green OA!
Slide 24

Access to
Open Access publications
Slide 25

xxx.lanl.org / ArXiv.org
Source: Paul Ginsparg, First Steps Towards Electronic Research Communication. In: Computer in Physics, Vol. 8, No. 4, 1994, pp. 390-396.
“Although the WorldWideWeb still
represents only a small fraction of the
overall usage, this access mode is expected
to become dominant in the near future.”
Paul Ginsparg 1994
Slide 26

Internet = distributed network
Many Open Access platforms, many repositories, but:
 Open Access is a publishing model, not a complete change of scholarly communication
 Open Access Journals are still “journals”
 Managers of Open Access platforms want their content to be found
 The Internet is huge, but we have search engines and aggregator services
 Most library discovery systems may include a OA publications automatically
Slide 27

Search engine for academic
literature from Google
http://scholar.google.com
Search enginge for academic
literature from Microsoft
http://academic.research.microsoft.com
62,5m records
out of >3000 sources
http://www.base-search.net
30m records from >1500
organisations (run by OCLC)
http://oaister.worldcat.com
9900 Open Access Journals http://doaj.org
Registry of OA repositories
(actually >2500)
http://www.opendoar.org
Registry of Research Data
Repositories (>1000)
http://www.re3data.org
Services to find and use Open Access
Slide 28

Actual topics
 Find ways to support scholars in OA Publishing (e.g. APC funds)
 Open APC: Article Process Charge made transparent (http://github.com/OpenAPC/)
 Research Data: If we share publications, why don‘t we share the resources (data, software, …)
behind the publications? Why are we still missing recognition for „data publications“?
 Linked Data: Export repository contents to the Semantic Web. How can it be used elsewhere?
 And still: Convince authors of Open Access, create awareness, …
Slide 29

Services of TU Berlin
Slide 30
Provide advice regarding all questions of archiving and publication of
research data and scholarly publications.
Repository for Open Access publications and electronic PhD and habilitation
theses. Will be merged together with DepositOnce.
System to run Open Access journals.
University Press and Open Access Publisher. Produces digital and
hybrid publications, giving advice regarding Open Access and publications.
Repository for research data and publications. Will be merged together with
the „Digital Repository“ (see OPUS).

Additonal Credits
 I reused several slides from my colleague Michaela Voigt and her great presentation “Open
Access 101”, http://de.slideshare.net/UB_TU_Berlin/oaipodi20150615, also licensed under
Creative Commons Attribution 4.0 International
 Slide 8, “What Is the Problem?” graphic, content by Jill Cirasella / graphic design by Les LaRue,
http://www.leslarue.com/, licensed under a Creative Commons Attribution-ShareAlike 3.0
Unported License
Slide 31

Technische Universität Berlin
Universitätsbibliothek
Pascal-Nicolas Becker
p.becker@tu-berlin.de
Servicezentrum Forschungsdaten und -publikationen
http://www.szf.tu-berlin.de
Universitätsverlag der TU Berlin
http://www.verlag.tu-berlin.de
Repositories
DepositOnce: http://depositonce.tu-berlin.de
OPUS: http://opus4.kobv.de/opus4-tuberlin
Slide 32

Basic aspects of Open Access

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