Open Access Policy: Numbers, Analysis, Effectiveness

« The PASTEUR4OA project is focused on Open Access policy developments and is undertaking a number of activities relating to policy, including mapping policies and policy-related activities, and engaging with policymakers and providing them with information about the general policy picture and what makes a policy effective.
Work Package 3 involved a set of tasks as follows:
  • Describe and enumerate the policy picture in Europe and around the world
  • Rebuild ROARMAP, the registry of OA policies, including the development of a new, detailed classification scheme that describes policy elements
  • Collect data on the levels of Open Access material in institutional repositories around the world
  • Measure policy outcomes and analyse what elements of a policy contribute to its effectiveness
The project sought out policies that exist but had not been registered in ROARMAP, and added more than 250 new entries to the database. The total number of policies globally is now 663 (March 2015), 60% of them from Europe. Of these, approximately two-thirds are institutional policies and about 10% are funder policies. Over half are mandatory, requiring some action rather than simply requesting it and over 60% of these mandatory policies are European.
ROARMAP, the policy registry, has been rebuilt with a new classification scheme for policies that records far more detail about them than before and permits much more extensive search functionality than previously. The scheme includes criteria for deposit and licensing conditions, rights holding, embargo lengths and ‘Gold’ Open Access publishing options.Links to policy documents are provided. Repository managers at policy institutions were contacted to check that we had the correct details for their policy and where necessary corrections were made. As it stands, at the end of this period of concentrated and meticulous work, ROARMAP reflects an accurate and detailed picture of the Open Access policy situation around the world.
The project also examined policy effectiveness. Three main exercises were undertaken. First, deposit rates were measured for articles in the repositories of both mandated and non-mandated institutions, and compared to the total number of articles published from these institutions. The material was identified as Metadata-Only, Full-Text, Open Access and Restricted Access. Open Access and Restricted Access are subsets of Full-Text and together comprise the whole of that category. Restricted Access means full-text articles that are showing only their metadata, with the text itselfclosed off, and are usually in this state for a period of embargo.
Across all institutions, more than three-quarters of published articles are not deposited at all, 8% are Metadata-Only, 3% Restricted Access and 12% Open Access. The rates vary by discipline. Deposit of Open Access material was over four times as high (14%) for institutions with a mandatory policy than for those without (3%). The top 20 institutions (all mandated) in terms of amount of repository content are listed. The top five are the University of Liège (Belgium), Instituto Politecnico de Bragança (Portugal), the National Institute of Oceanography (India), University of Pretoria (South Africa) and the University of Minho (Portugal).

Second, the time lag between publication and deposit of articles (deposit latency, which may be negative if the article is deposited before publication) was measured. Open Access items tend to be deposited later than Restricted Access ones, and latency periods tend to be longer in mandated institutions than in non-mandated ones (though deposits themselves are four times higher), probably because authors who deposit voluntarily are self-motivated and will do it early.
Third, we examined the deposit rate in relation to different policy criteria:
  • Positive correlations were found between Open Access and Restricted Access deposit rates and the following policy criteria: Must deposit, Cannot waive deposit, Link to research evaluation, Cannot waive rights retention, Must make item Open Access
  • Negative correlation was found with Cannot waive Open Access
  • Significant correlation was found between Open Access deposit rate and Must deposit and Cannot waive deposit
Fourth, we examined the correlation between deposit latency (specifically, the latency of deposit within the first year after publication) and different policy criteria. There is positive correlation between early deposit and Mandate age, Cannot waive rights retention and deposit immediately. We found significant correlation between early Open Access deposits and the age of the mandate: that is, the longer a mandatory policy has been in place, the more effective it can become.
As the numbers stand at the moment (March 2015), there are not yet enough OA policies to test whether other policy conditions would further contribute to mandate effectiveness. The current findings, however, already suggest that it would be useful for future mandates to adopt these conditions so as to maximise the growth of OA.
This analysis provides a list of criteria around which we recommend policies should align:
  • Must deposit (i.e. deposit is mandatory)
  • Deposit cannot be waived
  • Link deposit with research evaluation »

URL : http://microblogging.infodocs.eu/wp-content/uploads/2015/04/PASTEUR4OA3.pdf

Related URL : http://pasteur4oa.eu/sites/pasteur4oa/files/deliverables/PASTEUR4OA%20Work%20Package%203%20Report%20final%2010%20March%202015.pdf

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Open Access: Ein Lackmustest (Open Access: A Litmus Test)

German Abstract: « Open Access ist ein interessanter Policy Bereich, nicht nur weil er die Produktionsbedingungen der öffentlichen Forschung selbst betrifft, sondern auch weil er möglicherweise einer verbreiteten Beobachtung in der Urheberrechtsforschung widerspricht. Bestimmend für die allgemeine Erzählung des Urheberrechts ist die Expansionsannahme. Demnach ist die Entwicklung der Ausschlussrechte durch eine kontinuierliche und lineare Expansion gekennzeichnet. Open Access Initiativen mobilisieren dagegen für eine Umkehrung dieses Trends. Sie zielen auf akademische Standards, die einen erlaubnisfreien Zugang zu und eine Nachnutzung von öffentlich finanzierten Forschungsergebnissen verbindlich festlegen.
Dieser Artikel gibt einen breiten Überblick über die verschiedenen Ursprünge, die Operationalisierungs- und Institutionalisierungsformen von Open Access. Er beginnt mit einem kurzen Abriss über die Entstehung und Formierung des Marktes für akademische Zeitschriften, dem bis heute mächtigsten Gegner der Open Access Bewegung; und er schließt mit einer exemplarischen Darstellung der neueren Policies in Großbritannien, im Hinblick auf Open Access derzeit eines der interessantesten Länder. Die Britische Politikentwicklung zeigt zunächst, dass der Teufel tatsächlich in den Implementationsdetails steckt. Dies betrifft nicht nur die Durchsetzung von Open Access Standards, sondern auch die Allokation von Rechten. Darüber hinaus lässt sich von diesem Beispiel lernen, wie wichtig die politische Akteurskonstellation für die Ausgestaltung von Open Access Regeln ist, und damit zugleich für die künftige Bedeutung von Ausschlussrechten in der Zirkulation von öffentlicher Forschung. »

English Abstract: « Open Access is an interesting policy domain, not only because it concerns the modes of production of academic knowledge, but also because it may contradict a common observation of copyright research. While the great copyright narrative assumes that intellectual property rights expand in a continuous and linear fashion, Open Access policies strive to achieve the opposite; to wit, academic standards, which allow a permission-free access and a re-use of publicly funded research results.
This article aims to provide a broad overview of the diverse origins, the operationalization and institutionalization of Open Access policies. It starts with the emergence and formation of the market for academic journals, the most powerful counterpart of the Open Access movement, and it concludes with recent Open Access policies in the UK, one of the most interesting countries in this context because it illustrates that the devil is in the implementation details. The example of the UK not only offers lessons on how Open Access standards can be enforced but, more importantly so, on the political constellations that determine the future fate of Open Access, including that of the role of property rights for the circulation of academic knowledge. »

URL : http://ssrn.com/abstract=2515844

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The implementation of the European Commission recommendation on open access to scientific information: comparison of national policies

« Two years after the publication of the European Commission recommendation on open access to scientific information, the critical threshold of accessibility to fifty percent of papers has been crossed. However, this figure is an average and the implementation of the EC recommendation varies from one country to another. The topical issue now is to observe the different steps of implementation and to wonder about the reaseons of such a disparity. In order to suggest many elements of the response, this research compares the different levels of implementation in the EU28. »

URL : http://archivesic.ccsd.cnrs.fr/sic_01111211

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L’impact de l’Open Access sur la recherche et développement au Maghreb

« Cet article vise à réactiver le débat autour des enjeux de l’Open Access, pour la recherche et le développement au Maghreb. Nous nous pencherons pour ce faire sur le cadre socio-économique – et le statut technologique dont il est tributaire, avant de revenir sur l’état de l’art de l’édition scientifique maghrébine en nous focalisant sur le comportement des acteurs en jeu, ainsi que sur les modalités d’accès à l’I. S. T. elle-même. Dans un second temps, nous analyserons les bénéfices théoriques de l’Open Access, puis, nous nous emploierons à établir un certain nombre de recommandations nécessaires au franc succès du mouvement dans le cas particulier des pays maghrébins. »

URL : http://icoa2014.sciencesconf.org/38083

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Les réalités sur l’accès à l’information scientifique numérique dans les bibliothèques des universités du Sénégal : l’exemple de l’université Cheikh Anta Diop de Dakar (UCAD)

« L’article analyse la situation des bibliothèques de l’Université Cheikh Anta Diop (UCAD) de Dakar. L’enquête menée auprès de dix (10) bibliothèques de l’UCAD a permis d’analyser l’offre d’IST numérique. Le constat est une très faible présence malgré les efforts des autorités et des bibliothécaires. Avec le développement des TIC, il est indispensable de se focaliser sur les opportunités offertes pour mener une réflexion visant à trouver des solutions pérennes pour les bibliothèques. »

URL : http://icoa2014.sciencesconf.org/37928

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Le libre accès et la recherche scientifique dans les universités marocaines

« Au Maroc, le mouvement des archives Ouvertes est à ses premiers balbutiements. Les Universités sont sensées être les premières à tenter cette expérience vu que ce sont principalement elles qui produisent de l’information scientifique dans ses diverses formes. Cette communication vise à présenter l’expérience de l’Université Abdelmalek Essaâdi en matière de mise en place d’une politique institutionnelle de libre accès de la recherche. Elle s’est principalement penchée sur la prédisposition des différents acteurs à s’intégrer dans ce projet afin de d’accroître la visibilité et  l’accessibilité de la recherche scientifique marocaine. »

URL : http://icoa2014.sciencesconf.org/37930

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Politique (s) du libre accès en Algérie : état des lieux et perspectives

« Le mouvement du libre accès a accomplit en un court laps de temps des progrès et des avancées très significatifs. Il a pour origine et a coïncidé avec l’extraordinaire développement d’Internet au début des années 90.Ce mouvement dont l’origine se situe dans les pays développés n’en est pas moins une aubaine pour les pays en développement pour ce qu’ils leur offre comme facilité d’accès à l’information de par Internet. Malgré cette manne, ces pays souffrent d’un retard aussi bien structurel qu’organisationnel ne leur permettant pas de tirer le maximum de bénéfice. L’Algerie classée comme pays a revenu intermédiaire ne semble pas pleinement profiter ni être consciente des bienfaits du libre accès. A coté d’une connectivité Internet loin d’être performante en termes de bande passante et en fiabilité, les programmes ne sont pas très nombreux et ne semblent pas bénéficier de tous les moyens qu’ils devraient attirer ni être gérés de la manière la meilleure. D’un autre coté, le concept lui-même n’est pas très bien assimilé par ceux la même qui sont supposés en être les bénéficiaires. De plus, malgré les moyens mis à la disposition des institutions, les statistiques concernant les deux pans du libre accès (journaux électroniques et archives ouvertes) ne sont pas encourageants et ne reflètent pas les moyens aussi bien matériels qu’humains dont dispose le pays. Des institutions clés comme le CERIST et le Ministère de l’Enseignement Supérieur et de la Recherche Scientifique doivent travailler en coordination afin de canaliser les efforts et profiter des programmes internationaux visant à insérer les pays en voie de développement dans le mouvement du libre accès. »

URL : http://icoa2014.sciencesconf.org/36289

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Counting the costs of Open Access : The estimated cost to UK research organisations of achieving compliance with open access mandates in 2013/14

« Research Councils UK (RCUK) and the Higher Education Funding Councils are the two most significant providers of public funding for research in the UK. Both have recently introduced new requirements for UK research organisations to make their published outputs openly accessible. Research Consulting was commissioned by London Higher and SPARC Europe to undertake this study of the costs to research organisations of implementing these requirements. »

URL : Counting the costs of Open Access

Alternative URL : http://www.researchconsulting.co.uk/wp-content/uploads/2014/11/Research-Consulting-Counting-the-Costs-of-OA-Final.pdf

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Open Access in Hungary

« Hungarian OA landscape, policies, challenges are reviewed. There are a few mandates, and a few declarations or policy documents which have relevance for Open Access. The role of the Hungarian Scientific Bibliography Database (MTMT) is discussed – as it can be used for monitoring OA mandate compliance. From infrastructural point of view, the OA status is considered fairly good, from the policy side much further efforts are needed, though the mandate of the Academy of Sciences is elaborate and seems to be effective. For research data the OA situation is dire in the country. For small countries, like Hungary, the significance of EU-level coordination in shaping OA policies is enormous. »

URL: Open Access in Hungary

Alternative URL : http://www.pasteur4oa.eu/sites/pasteur4oa/files/resource/Hungary%20Case%20Study.pdf

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Education, Research and Open Access in Norway

« Norway is a small country with a quite centralised research infrastructure. Building good services for Open Access infrastructure is simplified by having one major research funder, one national CRIS and one key provider of repository services. Politically the Government has expressed in a White paper its commitment to making Norwegian research results openly available. Despite Norwegian research institutions focus on Open Access, institutional policies tend to be vage and based on good intentions. The need for alignment and policy reinforsment is therefor evident, and the PASTEUR4OA project provides a great opportunity for this. »

URL : Education, Research and Open Access in Norway

Alternative URL : http://www.pasteur4oa.eu/sites/pasteur4oa/files/resource/Norway%20Case%20Study.pdf

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