Digital formats and open

access: embracing

openness in Latin America

Congresso Internacional SIBi USP 30 anos

open

open access

Budapest Open Access Initiative 2002

“By "open access" to this [peer-reviewed journal] 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.”

Bethesda Statement on

Open Access Publishing

2003

An Open Access Publication is one that meets

the following two conditions:

• 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

(…)

• 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

(…)

Berlin Declaration on Open Access to Knowledge in the

Sciences and Humanities 2003

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 (…)

• 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 using suitable technical

standards (…)

Open Access as an answer to a

balance of interests between

authors, researchers, scholars,

faculty members, librarians’

concern between preservation and

usability, etc.

what can be done

financial barriers

legal barriers

technical barriers

publishing policies for

academic, scientific and

technical journals

Publishing policies (“Instructions for authors”, “Submission terms”, etc.)

1) Technical requirements - content: format, customs, etc.

- form: technological requirements

2) Legal requirements - copyright

- data protection & privacy

3) Other valuable information

Legal requirements

Two stages • Article submission: authors

• Publishing and distribution: users of

all kinds

why?

(very brief/broad explanation)

copyright / direitos autorais

• Exclusive, temporary rights for the exploitation of an intellectual work in the artistic or literary fields

• Born automatically with the creation of the work • No need for register or notices for protection • Exclusive as long as they are not transferred

• Only the author (at first) may publish, copy, distribute,

translate, transform their work, or s/he may: • give permission to others to use the work, • “sell” or transfer those rights (author ≠ rightsholder)

copyright / direitos autorais

• In scientific/academic/technical journals (such as those in SciELO) there is a two-sided copyright problem – between authors and publishing institutions – between the publishing institutions and the

public

Why?

as an author:

If I send my article to a journal:

• do I lose my copyright?

• can I publish a pre-print and/or a post-print

version online?

• can I republish or update my work?

• can I publish elsewhere?

• can I allow or publish a translation

afterwards?

A: depends on publishing policies

Can I copy the article, scan it, upload it, edit

it, translate it, print it, include it in a course

pack, distribute copies, etc.?

• A1: at first, NO*

• A2: *depends on the law (exceptions & limitations)

• A3: depends on the terms of use

as a user:

2008-2009

2010

2010: Latin America

292 journals

14 countries in Latina America and the

Caribbean

publishing

(global)

publishing

(LatAm)

Latin American journals

• If we consider only online journals, universities account for

almost 70% of the regional product. In other words, Latin

American universities play a most important role in the

dissemination of technical and scientific knowledge in the

region.

• Of those, over 70% are online*

• Full text

• Free of payment

• In general, OA technical standards

* Public Knowledge Project, 2010

Research

Legal Research

Legal terms for academic journals

• regionally (LatAm/Caribbean)

• online journals

• Indexes and repositories

• SciELO

• RedAlyc

• Latindex

Journals per country

Sample

Periodicity

• Semiannual: 36%

• Quarterly: 26,4%

• 4 months: 21,2%

Origin and antiquity

< 10

años

10 – 19

años

20 – 29

años

30 – 39

años 40 – 59

años

60 o más

años TOTAL

Universidad 26 62 35 19 18 15 175

Soc. Científica 2 12 17 12 9 12 64

Otros 9 15 9 5 10 5 53

TOTAL 37 89 61 36 37 32 292

Basic information

Formats

Submission policies

Submission policies (©)

32,9% lacks policies regarding

copyright

Hypothesis: Inertia works on

submission policies for several

academic journals

Submission policies

• 43,8%: by submission, qualification and/or

publishing, authors… • transfer their intellectual property over their article to

the publishing institution, the publication itself (?) or the

editor (??), or

• grant an exclusive license (with no limitations) over the

article.

Submission policies

• 17,1% (50): limited effect license: right to publish in

print and make available online, other rights kept by

authors

• 3,8% (11): temporary license: exclusive first

publication, or embargo

- afterwards, authors may use the work for their own

purposes (academia, research, etc.), make available

online, translate or republish

Translated articles?

Submission of previously published articles originally

in a different language:

• allowed: 12,3%

• rejected: 17,2%

• no mention: 70,5%

Parallel submission

• Allowed: 7,9%

• Explicitly rejected: 65,4%

• no mention: 26,7%

Terms of use

Terms of use

• Three main models:

• Legally established conditions (all rights

reserved)

• Custom licensing: terms of use as

determined by each journal/repository

• Standard license

Terms of use

custom terms/licensing

creative commons

• Journals with Creative Commons:

• 9: BY

• 2: BY-NC y BY-NC-ND

• 1 de c/u de las otras

• Full repositories with Creative Commons:

• RedALyC

• SciELO

Conflict: RedALyC and SciELO use Creative

Commons, yet not all journals do as well

• inefficient implementation

• license is for repository

• journals may have their own terms

• all rights reserved

• published elsewhere without a license

• published elsewhere in DRM-protected files

creative commons

Results and conclusions • concentration in universities • periodicity between semiannual and

quarterly • mostly in Spanish, followed by English and

portuguese • good possibilities for access • formats: html, pdf, xml

• general publishing policies: • mostly satisfactory levels of information • not precise information regarding parallel

submissions or publication for translations • mostly in need of adaptation and updating • lack of clarity regarding copyright for articles

Results and conclusions

• terms of use • insufficient information on institutional

websites • in general: default legal framework (all rights

reserved) • growing licensing in adequate fashion to

journals’ aspirations and OA criteria

Results and conclusions

• Repositories: preference for Creative

Commons BY-NC-ND license

• derivative works?

• translation?

• Insufficient address of legal difficulties in the

region: regulated contracts, orphan works,

international reach of copyrighted works,

confusing rules and terms

Results and conclusions

opportunity

Good practice

encourage

For authors

1. Publish in OA journals

• DOAJ

• deposit post-print in OA repository

2. Pay attention to information before submitting

• copyright transferral or licensing to publisher

• terms of use for published works

• formats

3. Respect the terms: republishing, parallel submission, etc.

4. Ensure legal use of images, photos, graphs,, etc.

5. Negotiate

www.sherpa.ac.uk/romeo

For publishers:

• Ensure quality standards are met para indización:

• Periodicity: defined, declared, complied

• Originality: unpublished works*

• Content: 40% to 75% from research or studies.

• ISSN

• Editorial board: experts and scholars from outside

• Identity: objective, themes, intended audience

• Article presentation: abstracts, keywords, citation and

bibliography standards

• Peer-review system: declared and described in detail

• Ensure visibility

• Ulrich’s International Periodicals Directory

• thematic indexes per knowledge area

• Google Scholar, DOAJ

• open access, at the very least, for metadata

• Identify articles: include “bibliography tag” on each article’s

first page, including:

• journal

• numbering

• date

• also in individual pages

For publishers

• Publishing platforms: journal management systems to:

1) publish journal contents online and 2) control the whole

editorial process from submission to publishing.

– Prefer those compatible with OAI-PMH protocol, such as

OJS

• Adopt DOI (Digital Object Identifier): numeric code that

identifies an item unequivocally

For publishers

• Ensure clear submission instructions for authors

• explicit, uniform

• flexible

• coherent with repository uses

• detailing the rights needed from the author

• detailing the reach of those authorisations

• detailing how it will operate (i.e., when will license or

transfer happen)

• ensure data protection for author’s identity

• comply with deposit and register

• added to Project SHERPA

• Author’s Addendum model

• allow authors to keep copyright

– allow archive for preprints and postprints

For publishers

• Ensure clear terms of use for users and librarians

• coherent with repositories’ conditions

• coherent in all formats

• favorable to access and redistribution

• easy to find

• updated

For publishers

www.revistasabiertas.com

www.revistasabiertas.com Documents (pdf) - Informe: Políticas Editoriales de Publicaciones

Académicas en Línea en Latinoamérica (Alberto Cerda, JC Lara)

- Guía de Buenas Prácticas para Revistas Académicas de Acceso Abierto (Alejandra Rojas, Sandra Rivera)

- Guía Legal para Editores - Chile (ONG Derechos Digitales)

- Guía Legal para Editores – Colombia (Carolina Botero)

www.revistasabiertas.com Graphic guides: indexing standards

www.revistasabiertas.com Graphic guides: good practice guide to publish OA

journals

opportunity

open access mandate proposal

for publicly funded research data and literature

(coming 2012)

more information:

www.revistasabiertas.com

J. Carlos Lara G. | ONG Derechos Digitales

juancarlos@derechosdigitales.org

Twitter: @derechosdigital

Based on previous works by the author and

Francisco Vera Hott (2009)

Claudio Ruiz Gallardo (2009)

Carolina Botero Cabrera (2011)

Alberto Cerda Silva (2011)