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Cassidy Sugimoto - Open Access Mandates: Compliance by funders
- 1. OPEN ACCESS MANDATES: COMPLIANCE BY FUNDERS Cassidy R. Sugimoto Vincent Larivière csugimot@nsf.gov vincent.lariviere@umontreal.ca @csugimoto @lariviev
- 2. Brazil: paving the way for OA 2005: several declarations of support OA 2007: bill presented to parliament proposing national policy for mandatory OA 2016: 97% of Brazilian journals are OA 2018: highest number of OA journals one-third of Brazilian articles immediately available free to read
- 3. Why OA as a success metric? (Ashton University Library Services)
- 4. Funding driven initiatives
- 5. Routes to open access Non-subscription Subscription APC / subsidy Self-archiving Gold OA Green OA Toll access
- 6. OA miners
- 7. Unpaywall (Apr. 2018: 95M)
- 8. Unpaywall analysis (Piwowar et al., 2018)
- 9. Rise in mandates (ROARMAP, 2018)
- 10. Effect of mandates (Gargouri et al., 2012) 0% 10% 20% 30% 40% 50% 60% 70% 80% 2002 2003 2004 2005 2006 2007 2008 2009 Mandated Institutions PercentageofOA 2002 2003 2004 2005 2006 2007 2008 2009 Non-Mandated Institutions
- 11. Mandating open access Higher flexibility Greater heterogeneity Higher restrictions Use of embargos Evaluate faculty (e.g., University of Liège) Withhold funding (e.g., NIH) DESCRIPTION LEVERS
- 12. Characteristics of mandates Required Embargo Repository Dark/Ope n Copyright Opt-out
- 13. Sample of funder mandates
- 14. Policy effective dates
- 15. Calculating compliance Document object identifier (DOI) % COMPLIANCE
- 16. Number of funded papers Funder 2009 2010 2011 2012 2013 2014 2015 2016 2017 2009-2017 NSF 29,420 35,850 39,647 41,753 43,630 39,566 45,351 44,527 42,417 362,161 NIH 35,624 41,212 44,881 44,844 44,355 37,585 40,932 38,559 38,013 366,005 NSERC 9,037 10,527 11,693 12,250 12,422 11,203 13,229 12,927 12,868 106,156 EPSRC 4,577 5,512 5,966 6,304 6,623 5,824 7,163 7,682 8,231 57,882 CIHR 4,552 5,256 5,743 5,995 6,043 4,923 6,185 5,870 5,514 50,081 ERC 160 392 775 1,465 2,353 2,978 4,495 5,047 5,000 22,665 MRC 2,429 3,132 3,372 3,646 3,898 3,300 4,054 4,183 3,988 32,002 Wellcome trust 2,393 2,918 3,069 3,257 3,531 2,980 3,650 3,766 3,591 29,155 Gates 453 785 987 1,116 1,354 1,223 1,846 1,927 1,952 11,643 ESRC 336 452 566 631 713 634 1,544 1,764 1,683 8,323 SSHRC 194 269 284 355 337 349 1,318 1,375 1,415 5,896
- 17. Share of OA by funder 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2010 2011 2012 2013 2014 2015 2016 2017 %ofOApapers Publication year United States Gates NIH NSF Others US 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2010 2011 2012 2013 2014 2015 2016 2017 %ofOApapers Publication year Canada CIHR NSERC Others Can SSHRC 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2010 2011 2012 2013 2014 2015 2016 2017 %ofOApapers Publication year United Kingdom Wellcome trust MRC EPSRC ESRC Others UK 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2010 2011 2012 2013 2014 2015 2016 2017 %ofOApapers Publication year EU ERC Other EU papers
- 18. Gold v. Green: N. America 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 SSHRC Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 NSERC Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 CIHR Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 NIH Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 NSF Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 Gates Green Only Green and Gold Green Only Green and Gold Gold Only
- 19. Effect of international partners 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% NSERC CIHR SSHRC EPSRC Wellcome trust BBSRC NSF ESRC NIH MRC National corresponding author Foreign corresponding author
- 20. Gold v. Green: UK/Europe Effect of Finch Report (2012)? 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 ESRC Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 EPSRC Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 ERC Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 Wellcome Trust Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 MRC Green Only Green and Gold 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 2009 2011 2013 2015 2017 BBSRC Green Only Green and Gold Green Only Green and Gold Gold Only
- 21. APCs and gold OA options Springer: $2,093 Elsevier: $2,249 SciELO: $500
- 22. Cultures of compliance Funder Biomedical Research Clinical Medicine Health Mathematics Earthand Space Psychology Physics Biology Professional Fields Social Sciences Chemistry Engineering and AllDisciplines Wellcome trust 92% 84% 87% 96% 71% 80% 73% 88% 93% 74% 73% 79% 87% NIH 93% 86% 79% 87% 73% 75% 84% 76% 74% 59% 81% 71% 87% MRC 88% 75% 79% 87% 62% 62% 47% 83% 77% 73% 59% 50% 79% Gates 89% 81% 83% 95% 50% 47% 51% 57% 28% 44% 52% 46% 79% BBSRC 83% 71% 77% 90% 57% 44% 58% 68% 92% 52% 49% 52% 74% ESRC 92% 76% 72% 70% 66% 60% 69% 60% 59% 63% 60% 56% 69% ERC 80% 64% 59% 75% 82% 50% 75% 66% 46% 46% 36% 46% 67% CIHR 71% 51% 52% 73% 43% 22% 36% 57% 47% 26% 25% 22% 56% EPSRC 76% 64% 70% 78% 59% 54% 60% 68% 58% 62% 39% 49% 55% NSF 76% 70% 52% 69% 54% 34% 48% 46% 35% 26% 24% 23% 47% NSERC 57% 38% 42% 55% 31% 18% 40% 28% 14% 8% 10% 12% 30% SSHRC 78% 35% 25% 40% 33% 17% 27% 36% 14% 16% 0% 17% 23% All funded papers 85% 79% 73% 67% 57% 56% 56% 51% 42% 39% 35% 29% 66%
- 23. Recommendations 2 3 1 Embargos Infrastructure Culture 4 APCs
- 24. Cassidy R. Sugimoto Vincent Larivière csugimot@nsf.gov vincent.lariviere@umontreal.ca @csugimoto @lariviev Questions?
