Overall Rating Gold
Overall Score 82.07
Liaison Corey Hawkey
Submission Date March 1, 2018
Executive Letter Download

STARS v2.1

Arizona State University
AC-11: Open Access to Research

Status Score Responsible Party
Complete 2.00 / 2.00 Corey Hawkey
Assistant Director
University Sustainability Practices
"---" indicates that no data was submitted for this field

How many of the institution’s research-producing divisions are covered by a published open access policy that ensures that versions of future scholarly articles by faculty and staff are deposited in a designated open access repository? (All, Some or None):
All

Which of the following best describes the open access policy? (Mandatory or Voluntary):
Voluntary (strictly opt-in)

Does the institution provide financial incentives to support faculty members with article processing and other open access publication charges?:
Yes

A brief description of the open access policy, including the date adopted, any incentives or supports provided, and the repository(ies) used:

NOTE: for most faculty, the policy is voluntary, but there is a mandatory component for researchers who accept funding from a sponsor with an open or public access requirement.

Approved March 27, 2017 by the University Senate: “Faculty members are encouraged to grant a non-exclusive, irrevocable, worldwide, royalty-free license to Scholarly Works to Arizona State University to exercise any and all rights under copyright as are necessary to achieve the goals of open access, dissemination, and preservation and to authorize others to do the same, provided that this license is solely for educational and non-commercial purposes. When granting this license, Faculty members will provide, at no cost to the university, a copy of those Scholarly Works to the university so that the university may exercise its rights given by this license and comply with its obligations to sponsors or other third parties. This expressly includes the right for the university to deposit Scholarly Works in any university or third party repository.
However, upon accepting or receiving an external grant or contract which includes a public or open access policy, each Faculty member automatically grants to Arizona State University the license as defined in section one to any Scholarly Works resulting from that grant or contract.”
ASU Library provides the following memberships as incentive:
• PeerJ: provides ASU authors with a basic lifetime membership to PeerJ and PeerJ Computer Science upon acceptance of a submitted paper.
• Proceedings of the National Academy of Sciences of the United States of America (PNAS): grants corresponding authors from ASU a discounted open access fee of $1000.
• MDPI: Our relationship with MDPI provides a 10% discount on article processing charges for ASU affiliated authors. Additionally, MDPI facilitates co-posting ASU-authored in the institutional repository.
• The Electrochemical Society (ECS Plus): provides ASU authors with unlimited Open Access Article Credits - allowing them to publish their articles with a CC-BY or CC-BY-NC-ND license for free.
ASU’s University Senate Research and Creative Activities Committee is currently investigating and providing recommendations regarding institutional support for article processing charges. (See https://usenate.asu.edu/sites/default/files/agenda-minutes/minutes_sm3_10-30-2017.pdf)

Additionally, ASU Library has a scholarly communication librarian, Anali Perry, who is responsible for promoting open access, developing a sustainable strategy for implementing and encouraging cooperation with the open access policy, and consulting with appropriate leadership bodies at ASU regarding institutional open access best practices.

The financial incentives include: full coverage of open access publication charges for PeerJ and the journals of the Electrochemical Society, and discounted publication charges for the Proceedings of the National Academy of Sciences of the United States of America, and the publisher MDPI.


A copy of the institution's open access policy:
The institution's open access policy:

The Faculty members of Arizona State University are committed to disseminating the fruits of its research and scholarship as widely as possible. In keeping with that commitment, the Faculty adopts the following policy.

1. Faculty members are encouraged to grant a non-exclusive, irrevocable, worldwide, royalty-free license to Scholarly Works to Arizona State University to exercise any and all rights under copyright as are necessary to achieve the goals of open access, dissemination, and preservation and to authorize others to do the same, provided that this license is solely for educational and non-commercial purposes. When granting this license, Faculty members will provide, at no cost to the university, a copy of those Scholarly Works to the university so that the university may exercise its rights given by this license and comply with its obligations to sponsors or other third parties. This expressly includes the right for the university to deposit Scholarly Works in any university or third party repository.
2. However, upon accepting or receiving an external grant or contract which includes a public or open access policy, each Faculty member automatically grants to Arizona State University the license as defined in section one to any Scholarly Works resulting from that grant or contract.
3. Under this policy, the author retains copyright ownership, unless that author chooses to transfer rights to other parties, such as a publisher. Arizona State University retains only the limited rights outlined in section one.
4. The policy applies to all Scholarly Works authored or co- authored while the person is a member of the Faculty. Not included in this policy are any articles completed before the adoption of this policy and any articles for which the Faculty member entered into an incompatible licensing or assignment agreement before the adoption of this policy, nor any Scholarly Work that is not related to Arizona State University.
5. The Office of the Provost will be responsible for interpreting this policy, resolving disputes concerning its interpretation and application, and recommending changes to the Faculty as needed.
6. The University Senate will review the policy no less frequently than every three years and a report will be made available to the Faculty.


The website URL where the open access repository is available:
Estimated percentage of scholarly articles published annually by the institution’s faculty and staff that are deposited in a designated open access repository (0-100):
5

A brief description of how the institution’s library(ies) support open access to research:

Dedicated library personnel providing consultation services and assistance for issues related to open access and publication agreements, various institutional memberships that support Open Access initiatives, develop and maintain the ASU Digital Repository, promoting open access awareness and content, facilitating easy and efficient ingest of ASU scholarship.


The website URL where information about the programs or initiatives is available:
Additional documentation to support the submission:
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Anali Perry, Scholarly Communication Librarian
Anali.perry@asu.edu, 480-727-6301

University Senate 2016-2017 Open Access Policy Task Force: https://usenate.asu.edu/committees/open-access-task-force

ASU Library Open Access-specific Resources:
• Scholarly Communication: http://libguides.asu.edu/scholcomm/home

The information presented here is self-reported. While AASHE staff review portions of all STARS reports and institutions are welcome to seek additional forms of review, the data in STARS reports are not verified by AASHE. If you believe any of this information is erroneous or inconsistent with credit criteria, please review the process for inquiring about the information reported by an institution and complete the Data Inquiry Form.