[GOAL] OA2020 Mainland China Signatory Libraries responded to Plan S Guidance on Implementation

“The followings are the discussed response to Plan S Guidance on Implementation.

01 We are in broad support of Plan S and its goals to ensure immediate and complete open access to journal articles resulting from publicly funded research to the world. We applaud the effort of Plan S to provide strong incentives to make research open access. We support an international effort to achieve this goal worldwide as soon as possible.

02 We fully recognize that the need for forceful and accountable policies by public funders in research, education, and libraries, to facilitate open access against various entrenched interests or the inertia of the status quo. We urge all in research, education, publishing, platforms, repositories, and libraries to engage diligently in transformative efforts abreast with time to meet the challenges.

03 We support the Final Conference Statement of the 14th Berlin Conference on Open Access with its commitments. We urge all the publishers to work with the global research community to effect complete and immediate open access according to the Statement.

04 We support the principles and roadmaps of OA2020 Initiative which aims to transform a majority of today’s scholarly journals from subscription to OA publishing, while continues to support new forms of OA publishing. We believe the transition process can be realized within the framework of currently available resources. We see no legitimate reasons for, and will object to, any attempts to increase spending from the original subscribing institutions in the transformation.

05 We support that authors retain copyrights of their publications in open access publishing through journals or open access platforms.

06 We support that open access publications are made under open licenses. We support the use of the CC_BY license as the preferred one but recommend that other CC licenses also be allowed as compliant to Plan S.

07 We recognize the strong need for compliant requirements, agreed by the research communities, for open access journals and platforms. We agree that infrastructural instruments like DOAJ and OpenDOAR can be utilized to help identifying and signaling compliance, but we urge that cOAlition S and other funders recognize and support other appropriate mechanisms for the purpose and require any such instruments are put under international oversight by the global research community to ensure their no-for-profit nature, inclusiveness, objectiveness, integrity, and efficiency.

08 We commend the recognition by Plan S that there exist different models of financing and paying for Open Access publication. We support an inclusive range of immediate open access publishing approaches. We support the transparency and monitoring of open access publication costs and fees.

09 We urge that cOAlition S and other funders, through Plan S or other means, provide financial support for no-fee OA journals. The wide range of support approaches to no-fee OA journals should be encouraged to enhance the diversity of open access publishing and competiveness of publishing market, and to avoid the perverse effect of giving no-fee journals an incentive to start charging fees. While the support can start with general term statements, measures can be timely designed and tested to encourage quality, integrity, transparency and openness, and increasing host investment and other diverse and appropriate income.

10 We support that where article processing charges (APCs) apply, efforts are made to establish a fair and reasonable APC level, including equitable waiver policies, that reflects the costs involved in the quality assurance, editing, and publishing process and how that adds value to the publication. We hold it very important that any such effort should take into consideration of the diversity in the world to ensure applicability and affordability of any such measures across countries and disciplines.

11 We commend the support and requirements of Plan S for financing APCs for open access publication in subscription journals (‘hybrid Open Access’) only under transformative agreements. These agreements should be temporary and transitional, with a shift to full open access within a very few years.

12 We understand the purposes and the benefits of using ORCIDs in journal publications. Considering different paces of adopting ORCID in different regions and disciplines, we recommend that it is implemented as a preferred condition, at least in the short beginning years. We recommend the same treatment for using DOI.

13 We support the Plan S recommendation that “all publications and also other research outputs deposited in open repositories.” We recommend that Plan S make full acknowledge and use of the full range of capabilities of open repositories to support open access, long-term preservation, research management, and re-use.

14 We encourage that Plan S takes the transformative green OA mechanism as one of venues to implement open access, as long as the embargo period of com

The University of Manchester response to the implementation of Plan S

“We are pleased to note the cOAlition’s support for the San Francisco Declaration on Research Assessment (DORA), to which the University was one of the first signatories, which aligns with UoM’s commitment to responsible metrics. A significant proportion of UoM research is subject to existing funder OA policies. The University Library has enabled Gold or Green OA for more than 3000 papers annually since 2016 and we achieve high levels of funder compliance (currently over 90% for the UK REF OA policy). Since 2012 we have supported publisher experimentation with OA models and contributed to the development of the UK-Scholarly Communication Licence (UK-SCL). This experience, together with responses from a University-wide consultation on the implementation of Plan S, informs our comments and concerns detailed below. The ‘Supporting Document’ section includes further consultation responses from UoM researchers….”

HDS – Press Release – Harvard Divinity School Faculty Votes for Open Access Policy

“The faculty of Harvard Divinity School (HDS) voted, in a meeting on November 15, to allow Harvard University to make electronic versions of their current scholarly articles available to the public. With the vote for open access, the Divinity School faculty joined five other Harvard schools in a commitment to disseminate faculty research and scholarship as widely as possible.”

HDS – Press Release – Harvard Divinity School Faculty Votes for Open Access Policy

“The faculty of Harvard Divinity School (HDS) voted, in a meeting on November 15, to allow Harvard University to make electronic versions of their current scholarly articles available to the public. With the vote for open access, the Divinity School faculty joined five other Harvard schools in a commitment to disseminate faculty research and scholarship as widely as possible.”

UKSCL Community Response to Plan S | UKSCL

“As written, the guidance appears to require publishers to undertake/facilitate the work of repository deposit and the repository criteria appear to have been drawn up with this in mind.

However, we envisage a scenario, particularly in the early years of Plan S implementation, whereby our community’s Model Institutional Open Access Policy,incorporating rights retention and Plan S compliant licensing and embargo periods, will be needed in addition to publisher negotiations for transformative publisher deals, particularly in the event that those deals proving to be unaffordable.

That being the case, author self-archiving will most likely be the means by which Author Accepted Manuscripts (AAM) will be deposited and made available through repositories. To this end, it would be helpful if the current repository infrastructure were also considered as a valid and valuable mechanism to meet Plan S aims.

With the above in mind, we support the COAR response[4] to the Plan S repository requirement statement.

To set this in context: at UKSCL community institutions we have already experienced strong publisher pushback on proposals to roll out adoption of the UKSCL Model Institutional Open Access Policy. Rather than contributing to the perpetuation of the status quo for subscribed content, it is our belief that widespread adoption of our Model Institutional Open Access Policy which meets Plan S requirements will provide a further legal lever to encourage publishers to develop their own affordable and transformative routes towards achieving Plan S aims and to demonstrate the value that they otherwise add to the scholarly communications process beyond the availability of the AAM text in a repository.

The Policy, based on the “Harvard model OA policy”[5], enables the automatic retention of rights by the institution, rights which individual academics at that institution can choose to exercise in full or in part.

The work undertaken in the UK has achieved a policy which works in the context of UK Copyright legislation. It’s development has been supported by expert IP legal advice.

The work was originally prompted as a result of the “policy stack”[6] situation in the UK: multiple funder OA policies with differing compliance criteria coupled with multiple publisher policies, some of which varied according to the funding received by the authoring academics. However, we also believe that the Model Institutional Open Access Policy has a potentially significant role to play in the realisation of cOAlition S aims of “making full and open access a reality”.[7]

The UKSCL Model Institutional Policy is fundamentally about rights retention and early release of the findings about research – all called for in Plan S. Despite the differing copyright regimes in the USA and the UK, we have been able to draw up a policy which works legally within UK copyright legislation.

It is important to understand how the UKSCL Model Institutional Open Access Policy works in practice as there are three components:

  • Where an institution has adopted the UK-SCL as its model OA policy, rights retention on behalf of the academic come into existence at the point the Author Accepted Manuscript (AAM) comes into existence. Those rights are then transferred back to the academic. This step is essential – those steps that follow could then be made optional, particularly in the early days of Plan S funder policies.
    • Licence choice on deposit: the current default UK-SCL licence is CC BY-NC in line with the minimum requirements for the current RCUK policy. It is our intention to align the licence with cOAlition S funder policies once those are clarified. However, particularly in the early days of want we envisage to be a new set of cOAlition S-aligned policies, institutions could choose to allow the academic to select a more restrictive licence on deposit. The academic will still, themselves, have the right at a future date to re-release the output on the more liberal licence retained on their behalf should they so wish.
    • AAM availability through the repository: the UKSCL default is zero months after publication (earlier if publishers allow). Institutions could also allow academics to request a longer embargo, up to the maximum allowed by their research funders for those academics not funded by a funder with shorter embargo periods….”

ARL Comments on Plan S Open Access Implementation Guidelines | Association of Research Libraries® | ARL®

In particular ARL:

  • Supports the acknowledged role of open repositories as mechanisms for achieving immediate open access to scholarship, and endorses the February 6, 2019, response to Plan S implementation guidelines from the Confederation of Open Access Repositories (COAR). COAR both articulated the challenges of the open repository community in meeting the high technical requirements of Plan S as written, and offered minimum viable requirements necessary to achieve the vision of Plan S.
  • Shares the cOAlition S acknowledgement of a diversity of models for OA journals, in particular non-APC-based outlets. ARL has concerns about the technical requirements in the implementation guidelines for non-APC-based OA journals. ARL urges cOAlition S not to classify long-term good actors in scholarly communication as non-compliant with Plan S based on their inability to meet stringent technical requirements currently out of reach for the majority of these journals. Rather, cOAlition S could consider lengthening timelines to meet requirements, and/or, as ARL member libraries Harvard and MIT suggested in their public comments, provide funding for these journals to become compliant.
  • Welcomes cOAlition S establishment of a “fair and reasonable APC level,” and encourages maximum transparency in the accounting of that level so that publishers of all sizes can fairly compete, and so that the rubric may become an accepted standard among all stakeholders. This rubric should include waivers or provisions for scholars who are unable to pay APCs in the absence of external or institutional funding. To be successful, Plan S must ensure equitable, barrier-free access.
  • Supports author retention of copyrights and ability to issue open licenses. Scalable mechanisms for asserting copyright retention remain a challenge for research institutions, and we look forward to ongoing conversation with cOAlition S to find solutions that work for the scholarly community and in support of greater openness.
  • Looks forward—as a partner in the research ecosystem—to the findings of Wellcome, UK Research and Innovation, and Association of Learned and Professional Society Publishers (ALPSP) on Plan S–compliant business models for scholarly and learned societies. ARL commits to working with the learned society community to find a path forward for open, equitable, scholarly publishing.
  • Affirms that research libraries are critical stakeholders within scholarly publishing, particularly within their own institutions. ARL, along with our international research library partner associations in Australia (Council of Australian University Librarians), Canada (Canadian Association of Research Libraries), Europe (Association of European Research Libraries), and the United Kingdom (Research Libraries UK), would welcome ongoing communication and engagement with cOAlition S on these implementation guidelines to ensure the success of the Plan S vision….”

“Copyright and the Harvard Open Access Mandate” by Eric Priest

Abstract: 

Open access proponents argue that scholars are far more likely to make their articles freely available online if they are required to do so by their university or funding institution. Therefore, if the open access movement is to achieve anything close to its goal of seeing all scholarly articles freely available online, mandates will likely play a significant role. In 2008, the Harvard University Faculty of Arts and Sciences adopted a policy that purports not only to require scholars to deposit their works in open access repositories, but also to grant the university nonexclusive copyright licenses to archive and publicly distribute all faculty-produced scholarly articles. A number of other American universities have since adopted similar policies. The principal aim of this Article is to analyze the legal effect of these Harvard-style open access “permission” mandates.

By invoking copyright law terminology in permission mandates, schools might intend that they have the legal effect of transferring nonexclusive rights to the school, thereby clarifying and fortifying the school’s rights to reproduce and publicly disseminate faculty works. However, the legal effect of these mandates is uncertain for several reasons. First, it is unsettled whether scholars or their university employers are the authors and initial owners of scholarly articles under U.S. copyright law’s work-made-for-hire rules, which vest authorship and copyright ownership in the employer for works created by employees within the scope of employment. Second, the mandates are broad university policies that purport to grant the university nonexclusive copyright licenses in every scholarly article unless a faculty member affirmatively opts out on a per-article basis. Are the policies specific enough to provide the essential terms of the grant? Furthermore, can the mere adoption of a school policy, without some additional affirmative act by the author, effectuate such a grant without unduly encroaching upon the author’s autonomy interests? Lastly, even if the policies effectuate nonexclusive license grants, will the licenses survive after the author transfers copyright ownership to a journal publisher as per common practice? Section 205(e) of the Copyright Act provides that a prior nonexclusive license evidenced in a writing signed by the right holder prevails over a subsequent conflicting transfer of copyright ownership, so the answer appears to turn on whether permission mandates satisfy the requirements of § 205(e).

This Article argues that permission mandates can create legally enforceable, durable nonexclusive licenses. First, it argues that although there are important justifications, including academic freedom concerns, for recognizing the controversial “teacher exception” to the work for hire rules for scholarly articles, such an exception may be unnecessary because a strong argument also exists that much scholarship is produced outside the scope of employment for work for hire purposes. Second, it argues that permission mandates provide sufficient evidence of the grantor’s intent and the rights granted to create effective nonexclusive licenses. Third, permission mandates satisfy the requirements of § 205(e) and establish the license’s priority over the subsequent transfer of copyright ownership largely because they fulfill the underlying purposes of § 205(e) by providing sufficient evidence and notice of the license to potential copyright transferees (typically academic publishers). In reaching these conclusions, this Article emphasizes that Courts should consider the uniformity costs (social costs resulting from applying uniform rules and granting uniform entitlements across diverse conditions) that arise from applying to scholarly articles copyright rules developed to address proprietary models of information production. Applying the relevant copyright rules in a manner sensitive to the nonmarket nature of scholarly production is the most effective way to reduce these social costs, and reinforces the conclusion that mandate licenses are enforceable.

Lastly, the Article considers whether the opt-out nature of permission mandates offends notions of authorial autonomy in copyright. It compares permission mandates with another high profile opt-out licensing regime: the proposed Google Books settlement agreement, which the court rejected partly because of authorial autonomy concerns. However, authorial autonomy is far less of a concern for scholarly articles than for the books at issue in the Google Books case, due to the nonmarket nature of scholarly article production coupled with academic community norms. Accordingly, it does not substantially interfere with authors’ autonomy interests to find that the opt-out structure of permission mandates creates valid nonexclusive licenses in universities.

What’s the IR doing in our Taylor & Francis Content License? | OAnarchy

“Fundamentally, content licenses between KU Libraries and a publisher are about providing access to licensed content to KU students, faculty, and staff. Fine. This IR section of the T&F content license isn’t about that; it’s about them determining how we can support our institutional authors who publish in T&F journals. Since our IR is an institutional service for our authors, I don’t see why a publisher should have any voice in determining how we provide that service so long as we’re operating within the law. If KU didn’t have an open access policy then the impact would be negligible in the short term (notwithstanding the above critiques of 13.2.3, 13.2.4, and 13.3). I say in the short term because it might limit the ability of an institutional library to support a future OA policy should their faculty ever adopt and seek to implement one. Given the sustained growth of OA policies, that seems likely if this section becomes standard. This section seems directly intended to undermine Harvard-style (rights retention) institutional open access policies and tie institutions to author agreements (that the institution doesn’t sign) by codifying rights granted in those agreements in an institutional agreement. Content licenses arguably have nothing to do with how we support our faculty authors, so this has no place in a content license, IMO. Of course, that’s being challenged in the UC read and publish proposal to Elsevier, and there are isolated incidents of elite institutional libraries getting better deals for their faculty authors through these agreements. I wouldn’t presume to limit that kind of experimentation. However, anecdotally, I’ve heard of several attempts to add language to content agreements that would advance author rights, by requiring the publisher to provide accepted manuscripts for all institutionally-authored articles published in their journals, for example, which were categorically rejected by the publisher representatives. Why then should we not categorically reject their attempts to play the other side of that card, even if they weren’t problematic as I’ve described? If the only institutions who are able to successfully achieve better deals for their authors via content agreements are elite, where does that leave the rest of us? For our part, we have struck this whole IR section from our draft agreement and are waiting on a T&F reaction….”

Berkman Klein Center Reaffirms Open Access Policy | Berkman Klein Center

“In 2018 we completed a review of our Open-Access Policy. Here we’ll share some background, what we found, and more about how research sharing shapes our work at the Berkman Klein Center for Internet & Society.

Open research practices have a long history at the Berkman Klein Center since our founding in 1998. In fact, our first freely accessible publication predates our founding by one year. Our Center has helped incubate a number of projects that share the vision of free and open access to information — from open data projects like LumenInternet Monitor, and Media Cloud, to open source software, to open licensing frameworks and learning resources.

In 2014, the Berkman Klein Center became the first research center at Harvard University to put these practices on paper at an institutional level through a unanimous vote to enact an Open-Access Policy, securing future access to the scholarship we produce. Founded on the widely adopted structure of the Harvard Model Open-Access Policy, our policy grants Harvard University the ability to share research produced by Center staff and faculty directors freely with the world, while supporting the flexibility for authors to opt out for the scholarship they create….

 

In Fall of 2018, our Board of Directors reaffirmed the Berkman Klein Center for Internet & Society Open-Access Policy to build on a history of institutional methodology and secure open access as a part of our future….”

The Rutgers open access policy goes into effect | Faculty reaction and implementation lessons learned | Library Management | Vol 40, No 1/2

Abstract:  Purpose

 

From laying the groundwork for the successful passage of a university-wide open access (OA) policy, through the development and planning that goes into a successful implementation, to “Day One” when the official university policy goes into effect, there is a long list of factors that affect faculty interest, participation and compliance. The paper aims to discuss this issue

Design/methodology/approach

 

The authors, Mullen and Otto, having detailed earlier aspects of the Rutgers University OA policy passage and implementation planning, analyze and share the specifics that followed the rollout of the policy and that continue to affect participation.

Findings

 

This case study presents some strategies and systems used to enhance author self-archiving in the newly minted Scholarly Open Access at Rutgers (SOAR) portal of the Rutgers institutional repository, including involvement of departmental liaison librarians, effective presentation of metrics and a focus on targeted communication with faculty.

Originality/value

 

Roadblocks encountered as faculty began to deposit their scholarship and lessons learned are a focus. Early reaction from faculty and graduate students (doctoral students and postdocs) to various aspects of the policy as well as the use of SOAR for depositing their work are included.