The influence of journal publisher characteristics on open access policy trends

Authors : Elizabeth Gadd, Jenny Fry, Claire Creaser

Examines SHERPA/RoMEO publisher open access (OA) policy information for 100 publishers over a 13 year period (2004–2016) to consider whether their size, type or country (UK or US) affected the development of their OA policy over time.

A publisher’s RoMEO colour code, whether they offered a Gold OA option, and the mean number of restrictions as to when, how and where papers may be self-archived, were all mapped. Kruskal–Wallis tests were run to assess whether the differences between their 2004 and 2016 positions were statistically significant.

Finds that the growth of Green and Gold OA policy approaches has not been evenly distributed amongst publishers with some significant differences amongst publishers of different size, types and country (UK and US).

Large commercial publishers are more likely to be allocated a RoMEO colour code, but at the same time place a high volume of restrictions as to where and how authors might self-archive. Small publishers are less likely to have a RoMEO green colour code, but the volume of restrictions they place on self-archiving are minimal.

University presses appear not to be engaging with either OA agenda to any considerable degree. UK and US publishers’ OA policies appear to be influenced by the national OA policy environment which, considering the global nature of the scholarly journals market, was more pronounced than might have been anticipated.

URL : The influence of journal publisher characteristics on open access policy trends


UK University policy approaches towards the copyright ownership of scholarly works and the future of open access

Author : Elizabeth Gadd


Considers how the open access policy environment has developed since the RoMEO (Rights Metadata for Open Archiving) Project’s call in 2003 for universities and academics to assert joint copyright ownership of scholarly works. Investigates whether UK universities are moving towards joint copyright ownership.


Analyses 81 UK university copyright policies are analysed to understand what proportion make a claim over i) IP ownership of all outputs; ii) the copyright in scholarly works; iii) re-using scholarly works in specific ways; iv) approaches to moral rights. Results are cross-tabulated by policy age and mission group.


Universities have not asserted their interest in scholarly works through joint ownership, leaving research funders and publishers to set open access policy. Finds an increased proportion of universities assert a generic claim to all IP (87%) relative to earlier studies.

74% of policies relinquished rights in scholarly works in favour of academic staff. 20% of policies share ownership of scholarly works through licensing. 28% of policies assert the right to reuse scholarly works in some way.

32% of policies seek to protect moral rights. Policies that ‘share’ ownership of scholarly works are more recent. The UK Scholarly Communication Licence (UK-SCL) should have an impact on this area.

The reliance on individual academics to enforce a copyright policy or not to opt out of the UK-SCL could be problematic. Concludes that open access may still be best served by joint ownership of scholarly works.


This the first large-scale analysis of UK university policy positions towards scholarly works. Discovers for the first time a move towards ‘shared’ ownership of scholarly works in copyright policies.



What does ‘green’ open access mean? Tracking twelve years of changes to journal publisher selfarchiving policies

Authors : Elizabeth Gadd, Denise Troll Covey

Traces the 12-year self-archiving policy journey of the original 107 publishers listed on the SHERPA/RoMEO Publisher Policy Database in 2004, through to 2015. Maps the RoMEO colour codes (‘green’, ‘blue’, ‘yellow’ and ‘white’) and related restrictions and conditions over time.

Finds that while the volume of publishers allowing some form of self-archiving (pre-print, post-print or both) has increased by 12% over the 12 years, the volume of restrictions around how, where and when self-archiving may take place has increased 119%, 190% and 1000% respectively.

A significant positive correlation was found between the increase in self-archiving restrictions and the introduction of Gold paid open access options. Suggests that by conveying only the version of a paper that authors may self-archive, the RoMEO colour codes do not address all the key elements of the Bethesda Definition of Open Access.

Compares the number of RoMEO ‘green’ publishers over time with those meeting the definition for ‘redefined green’ (allowing embargo-free deposit of the post-print in an institutional repository). Finds that RoMEO ‘green’ increased by 8% and ‘redefined green’ decreased by 35% over the 12 years.

Concludes that the RoMEO colour codes no longer convey a commitment to green open access as originally intended. Calls for open access advocates, funders, institutions and authors to redefine what ‘green’ means to better reflect a publisher’s commitment to self-archiving.