Category Archives: Open Access

Declaration on open access for LIS authors

The idea for the Declaration on open access for LIS authors originally came from reading the article Librarian, Heal Thyself: A Scholarly Communication Analysis of LIS Journals (23 April) by Micah Vandegrift and Chealsye Bowley. The article raised the fact that LIS authors need to do more to support open access. There have been numerous declarations and petitions on open access which have done much to help define what it is and what steps people can take to make it a reality. A similar declaration specifically for academics and practitioners in the library and information professions will help to demonstrate our commitment to the principles of open access.

Open access is the practice of making academic research freely available for anyone to read and re-use. It means that rather than the results of research, such as journal articles, being locked away behind a paywall and only accessible to those who can afford it, anyone with access to the internet has the same opportunity to make use of the work. Open access does not solve all of the problems regarding information inequality but it is an important step towards doing so. It is a necessary but not sufficient condition for creating a more egalitarian and participatory academic culture, and it allows the fruits of publicly-funded research to be made available to the public.

In order to create the text of the declaration in support of these ideals, a Google doc was created which was open to anyone to contribute to. Over the next few weeks a number of people did just that, helping to transform the original idea into something more complete, coherent, and better written. This collaborative writing process was a working example of what can happen when you open up your ideas to the world and allow a conversation to develop around them.

Some interesting discussions arose in the comments, particularly around the issue of how strong to make the statement. A more hardline approach may be closer to the spirit which inspired it, but on the other hand a more cautious statement might have wider acceptance and attract more signatures. The final text hopefully found a good balance between these views, although this does leave the action points a bit more open to interpretation.

The second wave of enthusiasm for the declaration arose out of Radical Librarians Collective event in London on 10 May. A number of people pledged their support for the idea, some important amendments were made to the text, and Informed kindly agreed to host the declaration.

So now the final text of the Declaration on open access for LIS authors has been published and is open for signatures. If you are a librarian, student, LIS academic, or otherwise involved in research in this area, and you agree with the principles embodied in the declaration, then please add your name to make your voice heard.

The final text of the Declaration on open access for LIS authors was drafted by Stuart Lawson, Micah Vandegrift, Edgar Crook, and Charles Oppenheim; it incorporated recommended changes from Penny Andrews, Lauren Collister, and Kevin Sanders. Thanks to everyone involved (and any anonymous contributors) for their comments, amendments, drafting, and editing.

This post was partly self-plagiarised from my original CC-BY blog post about the idea.

By Stuart Lawson

HEFCE’s new open-access policy for post-2014 outputs

The following post was published yesterday by Mike Taylor on his blog. It is reproduced here in full, courtesy of the CC BY license.

This morning sees the publication of the new Policy for open access in the post-2014 Research Excellence Framework from HEFCE, the Higher Education Funding Council for England. It sets out in details HEFCE’s requirement that papers must be open-access to be eligible for the next (post-2014) Research Excellence Framework (REF).

Here is the core of it, quoted direct from the Executive Summary:

The policy states that, to be eligible for submission to the post-2014 REF, authors’ final peer-reviewed manuscripts must have been deposited in an institutional or subject repository on acceptance for publication. Deposited material should be discoverable, and free to read and download, for anyone with an internet connection […]  The policy applies to research outputs accepted for publication after 1 April 2016, but we would strongly urge institutions to implement it now.

There are lots of ifs, buts and maybes, but overall this is excellent news, and solid confirmation that the UK really is committed to an open-access transition. Before we go into those caveats, let’s take a moment to applaud the real, significant progress that this policy represents. For the first time ever, universities’ funding levels, and so individual academics’ careers, will be directly tied to the openness of their output. Congratulations to HEFCE!

Also commendable: the actual policy document is very carefully written, and includes details such as “Outputs whose text is encoded only as a scanned image do not meet the requirement that the text be searchable electronically.” It’s evident that a lot of careful thought has gone into this.

Now for those caveats:

The policy will not apply to monographs, book chapters, other long-form publications, working papers, creative or practice-based research outputs, or data.

This is a shame, but understandable, especially in the case of books. I would have hoped that chapters within edited volumes would have been included. Butthe main document notes that “Where a higher education institution (HEI) can demonstrate that it has taken steps towards enabling open access for outputs outside the scope of this definition, credit will be given in the research environment component of the post-2014 REF.”

Next disappointment:

The policy allows repositories to respect embargo periods set by publications. Where a publication specifies an embargo period, authors can comply with the policy by making a ‘closed’ deposit on acceptance. Closed deposits must be discoverable to anyone with an Internet connection before the full text becomes available for read and download (which will occur after the embargo period has elapsed). Closed deposits will be admissible to the REF.

I would of course have wanted all embargo periods to be eliminated, or at the very least capped at six months as in the old, pre-watering-down, RCUK policy. But that was too much to hope for in the political environment that publishers have somehow managed to create.

More positively, it’s a good sop that deposit must be made on acceptance — not when the embargo expires, or even on publication, but on acceptance. These “closed deposits” are like a formal promise of openness, with an automated implementation. We don’t have good experimental data on this, but it seems likely that this approach will result in much better compliance rates than just telling authors “you have to come back six to 24 months after publication and make a deposit”.

Third disappointment:

There are a number of exceptions to the various requirements that will be automatically allowed by the policy. These exceptions cover circumstances where deposit was not possible, or where open access to deposited material could not be achieved within the policy requirements. These exceptions will allow institutions to achieve near-total compliance, but the post-2014 REF will also include a mechanism for considering any other exceptional cases where an output could not otherwise meet the requirements.

The exceptions encourage weasel-wordage, of course, and some of the specific exceptions listed in Appendix C are particularly weak: “Author was unable to secure the use of a repository”, “Publication is print-only (no electronic version)”, and the lamentable “Publication does not offer a compliant green or gold option”, which really means “HEFCE authors should not be using this publication”.

But when you read into the details, this approach with specific exceptions is actually rather better than the alternative that had been on the table: a percentage-based target, where some specific proportion of REF submissions would need to be open access. Instead of saying “80% of submissions must be open access” (or some other percentage), HEFCE is saying that it wants them all to be open access except where a specific excuse is given. I’d like them to be much less accommodating with what excuses they’ll accept, but the important thing here is that they have set the default to open.

Now for the most regrettable part of the policy:

While we do  not request that outputs are made available under any particular licence, we advise that outputs licensed under a Creative Commons Attribution Non-Commercial Non-Derivative (CC BY-NC-ND) licence would meet this requirement.

I won’t rehearse again all the reasons that Non-Commercial and No-Derivatives clauses are poison, I’ll just note that works published under this licence are not open access according to the original definition of that term, which allows us to “use [OA works] for any other lawful purpose, without financial, legal, or technical barriers”.

Yet even here, the general tenor of the policy is positive. While it accepts NC-ND, the policy adds that “where an HEI can demonstrate that outputs are presented in a form that allows re-use of the work, including via text-mining, credit will be given in the research environment component of the post-2014 REF”.

One last observation: HEFCE should be commended on having provided an excellent, detailed explanation of feedback they received to their consultations. As always, reading such documents can be frustrating because they necessarily contain some views very different from mine; but it’s useful to see the range of opinions laid out so explicitly.

No open-access policy document I’ve ever seen has been perfect, and this one is no exception. But overall, the HEFCE open-access policy is a significant and welcome step forward, and carries the promise of further positive moves in the future.

The politics of open access

Could opening up publicly funded research result in free R&D for private companies?
(Image c/o Julian Fraser on Flickr.)

Open access to research literature has grown rapidly over the last few years. We are now at a stage where a significant proportion of published research – 50% of journal articles published in 2011 according to one study (Archambault et al. 2013) – is available free to view online. This week is Open Access Week and hundreds of events are taking place around the world. Those of us who have been championing the cause of open access feel like great progress is being made. Perhaps not as fast as we’d like, but we do seem to be moving towards a world where open access is the default. The potential benefits of a culture in which the entire world’s knowledge is available to anyone on the planet with the means to access the internet1 are many, varied, and hard to calculate. But the ideal is one which I, for one, certainly think is worth striving for.

However, there is something that’s been concerning me. Many research funders are beginning to mandate open access for research that they fund (e.g. RCUK (Research Councils UK) [pdf], HEFCE (Higher Education Funding Council for England), and the Wellcome Trust). In other words, if you want to get money from of these bodies in order to fund your research, then the results of the research must be published open access. This is great from an open access advocate’s perspective because it will lead to a much higher percentage of research output being freely available. The current UK government, notably Minister for Universities and Science David Willetts, has been a driving force behind these open access mandates in the UK. The working group whose report (Finch Group 2012) contained recommendations which informed the RCUK and HEFCE policies was convened by the government.

This is what causes me concern. This is the same government that has allowed public library funding to be cut drastically, raised tuition fees to absurd levels, and instigated many other policies which shift away from the idea of an inclusive participatory society and towards one in which private capital is the only driving force. So when this government’s agenda aligns perfectly with that of open access advocates, it feels somewhat jarring. I don’t have an answer to assuage this concern but I would like to take this opportunity to begin the search for an answer.

Here is a quote from David Willetts on the recommendations of the Finch Report:

“Removing paywalls that surround taxpayer funded research will have real economic and social benefits. It will allow academics and businesses to develop and commercialise their research more easily and herald a new era of academic discovery.

“This development will provide exciting new opportunities and keep the UK at the forefront of global research to drive innovation and growth.”

(Department for Business, Innovation & Skills 2012)

At first glance this doesn’t appear to be saying anything contrary to standard arguments for open access, but it does have a curious focus on business and profit generation. The academics who are in favour of open access mostly support it because they see access to research as a public good, and also for more self-interested reasons – if everyone can see your work, it can do wonders for your reputation (Swan 2010). If open access has an economic benefit as well then so much the better. To take the government’s stance at face value, it seems to have picked up on this economic aspect and decided to promote open access in order to encourage more rapid innovation and therefore potential more profit made off the back of it, while the social benefits of enhanced access to knowledge remain intact.

It is rarely sensible to take the government’s words only at face value. My knowledge of politics is not sophisticated enough to provide a detailed analysis here, but suffice to say political stances often have an unstated agenda behind them. For example, the rhetoric surrounding changes in the NHS at the moment may talk about benefits for patients, but there is clearly a neoliberal agenda of privatisation which is dominating decision-making. This makes it hard to stop at a shallow reading of comments such as the one from David Willetts quoted above. Could there be a neoliberal agenda behind support for open access which intends to exploit it for purposes antithetical to the ideals of open access supporters?

Could the government be trying to make publicly funded research open, in order for private companies to take this research and commercialise it and generate patents? In other words, state funded research becoming a free R&D department for corporations.

You may think, So what? If the goal of academics is to create an open environment to share the world’s knowledge, what’s the harm in some of this leading to profits for others? By their very nature, the open licenses such as the Creative Commons Attribution License which are recommended for open access publications allow for this possibility. Something to bear in mind here is the way that commercialism and profit generation have been becoming ingrained in higher education in the UK. If universities are required to generate more income from commercialising research results, to make up for reduced funding from central government, then they will be expected to compete with private companies in doing so.

This is where the neoliberal mind might see the advantage of open access. For example, if medical research undertaken at a publicly-funded institution must be published open access, whereas research undertaken by a pharmaceutical company does not, then private corporations are at a distinct advantage when it comes to generating money and patents.

None of this is meant to be interpreted to be a criticism of open access, I just think that it is important to understand the motivations behind the people and institutions that are driving it. I’m not suggesting that I have any answers, but I would like to see other supporters of open access to take a more critical stance when it comes to these issues. We need to keep being positive and highlighting the success stories of open access but not allow ourselves to be blind to political interests that may be at work.

Open access is a global issue and in this article I have been focusing on the situation in the UK. Perhaps an answer to my questions can be found by taking a more international perspective and examining government mandates and policies from countries with differing political environments. I’d be interested to hear from people with knowledge about this.

By Stuart Lawson

Thanks to Martin Eve for a conversation which helped me crystallise some of these ideas.


1. Of course, there is still a digital divide, and much research literature is only available in one language (often English). Making publications free to access is only a step towards a more equal arena for participation in the generation of knowledge.


Archambault et al. 2013. Proportion of Open Access Peer-Reviewed Papers at the European and World Levels—2004-2011. Available at: [Accessed: 17 October 2013].

Department for Business, Innovation & Skills. 2012. Government to open up publicly funded research. Available at: [Accessed: 17 October 2013].

Finch Group. 2012. Accessibility, sustainability, excellence: how to expand access to research publications. Report of the Working Group on Expanding Access to Published Research Findings. Available at: [Accessed: 11 May 2013].

Swan, Alma. 2010. The open access citation advantage: studies and results to date. Available at: [Accessed: 17 October 2013].