OA policy developments

OA POLICY DEVELOPMENTS

Alma Swan

Key Perspectives Ltd

Truro, UK

3rd Open Access Conference, University of Minho, Braga, Portugal, 15-16 December 2008

2008: A good news year on OA policies

More funders with policies More universities with policies Significantly, more governments

willing to acknowledge OA and sign up to the principles


Open Access policies

Policies MandatesCurrent Proposed

Institutional 27 26 2Departmental 2 4Multi-institutional 4Funder 7 30 5Totals 36 60 11


Jun-

04

Jul-0

4

Aug-0

4

Sep-0

4

Oct-04

Nov-0

4

Dec-0

4

Jan-

05

Feb-

05

Mar

-05

Apr-0

5

May

-05

Jun-

050

100

200

300

400

500

600

700

University of Tasmania

Actual doc-uments

DEST publica-tions

(Australian data courtesy of Arthur Sale) Key Perspectives Ltd

03/0

2/20

04

03/0

4/20

04

03/0

6/20

04

03/0

8/20

04

03/1

0/20

04

03/1

2/20

04

03/0

2/20

05

03/0

4/20

05

03/0

6/20

05

03/0

8/20

05

03/1

0/20

05

0500

1000150020002500300035004000

University of Queensland

Documents

DEST

(Australian data courtesy of Arthur Sale) Key Perspectives Ltd

24/0

5/20

04

07/0

6/20

04

21/0

6/20

04

05/0

7/20

04

19/0

7/20

04

02/0

8/20

04

16/0

8/20

04

30/0

8/20

04

13/0

9/20

04

27/0

9/20

04

11/1

0/20

04

25/1

0/20

04

08/1

1/20

04

22/1

1/20

04

06/1

2/20

04

20/1

2/20

04

03/0

1/20

05

17/0

1/20

05

31/0

1/20

05

14/0

2/20

05

28/0

2/20

05

14/0

3/20

05

28/0

3/20

05

11/0

4/20

05

25/0

4/20

05

09/0

5/20

05

23/0

5/20

05

06/0

6/20

05

20/0

6/20

05

04/0

7/20

05

18/0

7/20

05

01/0

8/20

05

15/0

8/20

05

29/0

8/20

05

12/0

9/20

05

26/0

9/20

05

10/1

0/20

05

0

200

400

600

800

1000

1200

1400

1600

1800

Queensland University of Tech-nology

Data courtesy of Arthur Sale Key Perspectives Ltd

Case study: Minho University

Minho University, Braga, Portugal

Repository established 2003 Mandate introduced 2005

when self-archiving rate dropped off

Mandate backed by financial incentives paid to departments


Minho University repository

0

500

1000

1500

2000

2500

3000

3500

4000

4500

Dec-04

Dec-05

Jun-06

Mandate introduced

(Data courtesy of Eloy Rodrigues)Key Perspectives Ltd

What can policies say?*1. Require publication in OA journals

2. Request (and encourage) OA via an IR (except where publishers do not allow)

3. Require OA via an IR (except where publishers do not allow)

4. Require OA via an IR and require authors to avoid non-allowing publishers

5. Require OA via an IR and permit opt-outs where publishers do not allow

6. Require deposit in the IR, no opt-out, but only make items OA if author or institution can get permission

7. Require deposit in the IR (no opt-out) but allow an opt-out on OAAdapted from Peter Suber’s list,

SPARC OA Newsletter, April 2008 Key Perspectives Ltd

ExamplesType Require or

requestFeatures Examples

1 Require Publish in OA journals Australian Productivity Commission

2 Request OA via IR (except where publishers do not allow)

Athabasca Univ, Swedish Univ Agric Sciences

3 Require OA via IR (except where publishers do not allow)

ESRC, CIHR

4 Require OA via IR and require authors to avoid non-allowing publishers

Wellcome Trust, MRC, NIH

5 Require OA via IR, permitting opt-outs Harvard FAS, U.California draft policy

6 Require Deposit in IR (no opt-outs) but OA only with publisher permission

EURAB, IRCSET

7 Require Deposit in IR but allow opt-out on OA U.Liege, ISS (Roma)


Publisher permissions (by journal)


The funders Led by the Wellcome Trust Especially strong in the health sciences (NIH,

CIHR, MRC, BBSRC…) > 90% of UK biomedical research is now

covered by a funder mandate % US biomedical research covered by NIH? Recent big ones:

European Research Council European Commission (20% of FP7 funded research) France: Agence Nationale de Recherche (Humanities

& Social Sciences)


The universities


Daniel Coit Gilman First President, Johns Hopkins University


University of EdinburghStrategic Plan 2008-12

“The mission of our University is the creation, dissemination and curation of knowledge.”


University policies

Starting to grow Mostly mandatory The simplicity of the immediate deposit / later

OA formula means more are adopting this Where have the mandates been happening? UK, Australia, Finland, France, Spain, Brazil,

India …. US: Harvard and Stanford: significant because

these are REAL ‘bottom-up’ policies


What should we do next?

Continue the effort to persuade: At government level


(New) Governments that have explicitly acknowledged OA in 2008

Russia India Botswana South Africa Brazil


Australia’s lead

“The arguments for stepping out first on open access are the same as the arguments for stepping out first on emissions trading – the more willing we are to show leadership on this, we more chance we have of persuading other countries to reciprocate.”

Kim Carr Minister for Industry, Innovation, Science and Research, Australia


What should we do next?

Continue the efforts to persuade: At government level (e.g. Brazil) At funder level (e.g. research councils, national

funding agencies) At institutional level


EurOpenScholar Group of universities that wish to further Open

Access and improve scholarly communication Share the original university core values of

dissemination and maximising the public good Chair: Professor Bernard Rentier, rector of the

University of Liège Open to all institutions who subscribe to its

values and aims No longer just Europe (we need a new name!) Membership is at senior management level Contact: Alma Swan


Até amanhã!¡hasta mañana!

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www.keyperspectives.co.uk

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OA policy developments

Documents

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