The implications of the new UK Open Access policies on the ownership of copyright in academic publishing

The issue of who owns the copyright in works produced by academics during employment is not new. The practice is that academics, as authors – copyright creators, are routinely assigning the copyright for free to academic publishers in order to have their works published even though the production of such works might be said to be in the course of employment and therefore the copyright belonging to the employer (the university). A literature review will show only one side of the coin where – unsurprisingly – intellectual property (IP) scholars agree that they own the copyright in the works published during employment.

The other side of the coin is not usually discovered because employers are not IP experts and are not in the business of writing academic articles. However, the general belief of the management is that the universities own the copyright as employers. More recently, UK universities have to comply with new Open Access policies which basically requires that publicly-funded research should be freely accessible. The Gold Open Access model is preferred by many academic publishers whose business model relies on academics (actually their funders) paying article processing charges (APCs) while the Green Open Access model is preferred by the universities as being virtually free of any charges.

But since most of the research is publicly-funded, suddenly the issue of who owns the copyright in works produced by academics during employment becomes a very stringent one, not to mention expensive. This paper will discuss the problem of copyright ownership in academia and how the new Open Access policies might affect it. While it is possible to discuss copyright without mentioning Open Access, it would be quite difficult to discuss Open Access without mentioning copyright. A possible solution will be proposed and discussed in order to help universities comply with the new policies by using their preferred Green Open Access route.

URL : The implications of the new UK Open Access policies on the ownership of copyright in academic publishing

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Institutional policy implementation at University of Minho, Portugal

This case study describes the implementation process of the Open Access institutional policy at the University of Minho (UMinho), Portugal. Starting with a brief introduction about the institution, in terms of its academic community and research, the document then provides a detailed description of the steps taken to implement the UMinho’s institutional repository (the IR) and the Open Access policy. We highlight the main goals which oriented the implementation of the repository, the devised communication plan, the value-added services created for authors, and finally, the engagement within the international community in these areas.

Regarding the Open Access policy, we present a brief summary of the main points of the self-archiving policy, approved late 2004, and also point out the main additions to the policy when it was upgraded in 2011.
This case study also provides some figures and tables about the results of the various monitoring processes carried out by the University of Minho Documentation Services to follow-up and measure policy compliance.
In summary, since the beginning of 2004 with the IR implementation, several initiatives have been taking place with the purpose of increasing the number of deposited documents. The Open Access policy adoption was, definitely, the main success factor amongst all the other initiatives and efforts.

URL : Institutional policy implementation at University of Minho, Portugal

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Open Access and Discovery Tools: How do Primo Libraries Manage Green Open Access Collections?

The Open Access (OA) movement gains more and more momentum with an increasing number of institutions and funders adopting OA mandates for publicly funded research. Consequently, an increasing amount of research output becomes freely available, either from institutional, multi-institutional or thematic repositories or from traditional or newly established journals.

Currently, there are more than 2,700 Open Access repositories (Green Open Access) of all kinds listed on OpenDOAR. Scholarly OA repositories contain lots of treasures including rare or otherwise unpublished materials and articles that scholars self-archive, often as part of their institution’s mandate. But it can be hard to discover this material unless users know exactly where to look.

Since the very beginning, libraries have played a major role in supporting the OA movement. Next to all services they can provide to support the deposit of research output in the repositories, they can make Open Access materials widely discoverable by their patrons through general search engines (Google, Bing…), specialized search engines (like Google Scholar) and library discovery tools, thus expanding their collection to include materials that they would not necessarily pay for.

In this paper, we intend to focus on two aspects regarding Open Access and Primo discovery tool.

In early 2013, Ex Libris Group started to add institutional repositories to Primo Central Index (PCI), their mega-aggregation of hundreds of millions of scholarly e-resources (journal articles, e-books, reviews, dissertations, legal documents, reports…). After two years, it may be interesting to take stock of the current situation of PCI regarding Open Access repositories. This paper will analyze their progressive integration into PCI, the numbers of references, the resource types, the countries of origin…

On basis of a survey to carry out among the Primo community, the paper will also focus on how libraries using Primo discovery tool integrate Green Open Access contents in their catalog. Two major ways are possible for them. Firstly, they can directly harvest, index and manage any repository ‒their own or any from another institution‒ in their Primo and display those free contents next to the more traditional library collections. Secondly, if they are Primo Central Index subscribers, they can quickly and easily activate any, if not all, of the Open Access repositories contained PCI, making thus the contents of those directly discoverable to their end users.

This paper shows what way is preferred by libraries, if they harvest or not their own repository (even if it is included in PCI) and suggests efforts that Ex Libris could take to improve the visibility and discoverability of OA materials included in the “Institutional Repositories” section of PCI.


Study on Perspectives Regarding Deposit on Open Access Repositories in the Context of Public Universities in the Central-Eastern Region of Argentina

« This article presents the results of a survey and qualitative study of needs and practices of open access scholarly works dissemination.The survey and study focused on different issues related to usability, navigation, and accessibility of institutional repositories, which have guided the design of an experimental prototype in the context of a regional project that joins three universities in Argentina. In such academic practices, the teaching community offers various types of production and simultaneous application areas for digital objects. Thus, there is a technological requirement to enable users to carry out their self-archiving process of different objects, in a user-friendly way, allowing them to upload these objects in various collections. A prototype was implemented and tested in order to obtain an initial assessment of the proposed model. »

URL : Study on Perspectives Regarding Deposit on Open Access Repositories in the Context of Public Universities in the Central-Eastern Region of Argentina

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It Takes More than a Mandate: Factors that Contribute to Increased Rates of Article Deposit to an Institutional Repository


Many institutions have open access (OA) policies that require faculty members to deposit their articles in an institutional repository (IR). A clear motivation is that a policy will result in increased self-archiving. The purpose of this longitudinal study is to compare the impact of a campus-wide OA policy and mediated solicitation of author manuscripts, using quantitative analysis to determine the rate of article deposits over time.


Metadata for faculty articles published by authors at Oregon State University between 2011 and 2014 was produced by integrating citation metadata from a bibliographic database and the IR. Author names, affiliations, and other metadata were parsed and matched to compare rates of deposit for three separate time periods relating to different OA promotional strategies.

RESULTS Direct solicitation of author manuscripts is more successful in facilitating OA than an OA policy—by number of articles deposited as well as the number of unique authors participating. Author affiliation and research areas also have an impact on faculty participation in OA.

DISCUSSION Outreach to colleges and departments has had a positive effect on rate of deposit for those communities of scholars. Additionally, disciplinary practice may have more influence on its members’ participation in OA.

CONCLUSION Until more federal policies require open access to articles funded by grants, or institutional policies are in place that require article deposit for promotion and tenure, policies will only be as effective as the library mediated processes that are put in place to identify and solicit articles from faculty. »

URL : It Takes More than a Mandate: Factors that Contribute to Increased Rates of Article Deposit to an Institutional Repository


Open Access Policy: Numbers, Analysis, Effectiveness

« The PASTEUR4OA project is focused on Open Access policy developments and is undertaking a number of activities relating to policy, including mapping policies and policy-related activities, and engaging with policymakers and providing them with information about the general policy picture and what makes a policy effective.
Work Package 3 involved a set of tasks as follows:
  • Describe and enumerate the policy picture in Europe and around the world
  • Rebuild ROARMAP, the registry of OA policies, including the development of a new, detailed classification scheme that describes policy elements
  • Collect data on the levels of Open Access material in institutional repositories around the world
  • Measure policy outcomes and analyse what elements of a policy contribute to its effectiveness
The project sought out policies that exist but had not been registered in ROARMAP, and added more than 250 new entries to the database. The total number of policies globally is now 663 (March 2015), 60% of them from Europe. Of these, approximately two-thirds are institutional policies and about 10% are funder policies. Over half are mandatory, requiring some action rather than simply requesting it and over 60% of these mandatory policies are European.
ROARMAP, the policy registry, has been rebuilt with a new classification scheme for policies that records far more detail about them than before and permits much more extensive search functionality than previously. The scheme includes criteria for deposit and licensing conditions, rights holding, embargo lengths and ‘Gold’ Open Access publishing options.Links to policy documents are provided. Repository managers at policy institutions were contacted to check that we had the correct details for their policy and where necessary corrections were made. As it stands, at the end of this period of concentrated and meticulous work, ROARMAP reflects an accurate and detailed picture of the Open Access policy situation around the world.
The project also examined policy effectiveness. Three main exercises were undertaken. First, deposit rates were measured for articles in the repositories of both mandated and non-mandated institutions, and compared to the total number of articles published from these institutions. The material was identified as Metadata-Only, Full-Text, Open Access and Restricted Access. Open Access and Restricted Access are subsets of Full-Text and together comprise the whole of that category. Restricted Access means full-text articles that are showing only their metadata, with the text itselfclosed off, and are usually in this state for a period of embargo.
Across all institutions, more than three-quarters of published articles are not deposited at all, 8% are Metadata-Only, 3% Restricted Access and 12% Open Access. The rates vary by discipline. Deposit of Open Access material was over four times as high (14%) for institutions with a mandatory policy than for those without (3%). The top 20 institutions (all mandated) in terms of amount of repository content are listed. The top five are the University of Liège (Belgium), Instituto Politecnico de Bragança (Portugal), the National Institute of Oceanography (India), University of Pretoria (South Africa) and the University of Minho (Portugal).

Second, the time lag between publication and deposit of articles (deposit latency, which may be negative if the article is deposited before publication) was measured. Open Access items tend to be deposited later than Restricted Access ones, and latency periods tend to be longer in mandated institutions than in non-mandated ones (though deposits themselves are four times higher), probably because authors who deposit voluntarily are self-motivated and will do it early.
Third, we examined the deposit rate in relation to different policy criteria:
  • Positive correlations were found between Open Access and Restricted Access deposit rates and the following policy criteria: Must deposit, Cannot waive deposit, Link to research evaluation, Cannot waive rights retention, Must make item Open Access
  • Negative correlation was found with Cannot waive Open Access
  • Significant correlation was found between Open Access deposit rate and Must deposit and Cannot waive deposit
Fourth, we examined the correlation between deposit latency (specifically, the latency of deposit within the first year after publication) and different policy criteria. There is positive correlation between early deposit and Mandate age, Cannot waive rights retention and deposit immediately. We found significant correlation between early Open Access deposits and the age of the mandate: that is, the longer a mandatory policy has been in place, the more effective it can become.
As the numbers stand at the moment (March 2015), there are not yet enough OA policies to test whether other policy conditions would further contribute to mandate effectiveness. The current findings, however, already suggest that it would be useful for future mandates to adopt these conditions so as to maximise the growth of OA.
This analysis provides a list of criteria around which we recommend policies should align:
  • Must deposit (i.e. deposit is mandatory)
  • Deposit cannot be waived
  • Link deposit with research evaluation »


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Performance of Mandated Institutional Repositories

« More and more Institutional Repositories are developed to promote the Green Open Access of research output (especially peer-reviewed journal articles). Since 2001, some institutions became adopting mandate policies aiming to mandate self-archiving by authors affiliated to these institutions This study was conducted in April, 2014 based on institutional mandates indexed by ROARMAP (the Registry of Open Access Repositories’ Mandatory Archiving Policies). A robot was developed to harvest IRs and check the status of articles (Open Access, Restricted Access or Metadata Only) and to extract the deposit date of article full-texts in IR. This study aims to analyse the performance of mandated institutional repositories from all over the world, especially in terms of deposit rates and deposit latency (difference between date of deposit and date of publication). »