1. 2014/09/26, National Institute of Informatics, Japan
The 2nd SPARC Japan Seminar 2014 "Institutional Open Access Policy : toward the development of Japanese models"
Current Status of Open Access Policy
Shinji Mine (Mie University)
mine@human.mie-u.ac.jp, @openaccessjapan
2. Outline
1. OA policy in scholarly communication
2. Current Status of OA policy
1. ROARMAP and Sherpa/Juliet
2. University OA policy
3. Government and Funder’s OA policy
3. Summary
3. OA Policy:7 benefits (SPARC Europe 2014)
1. Systematic contribution to the greater worldwide
visibility
2. Increase institution’s ranking position
3. Faster innovative and economic growth
4. Stimulate new research partnerships and project
collaborations, research income
5. Increase value of institution’s knowledge
6. Increase the social impact and reputation of institution
7. Demonstrate institutional commitment to OA and Open
Science
7 institutional benefits to implementing an Open Access policy. http://sparceurope.org/wp-content/uploads/2014/08/SPARCEurope-7OABenefits4ResearchOrgs.pdf
4. Open Access Policy
• Policy
• a course of principle and procedure adopted or
proposed by a organization, or individual to solve
problems
• Goal, Target, Procedure
• “Open Access” Policy
• a course of principle and procedure adopted or
proposed by a organization, or individual to solve
Open Access-related problems
5. Stakeholders in OA policy
• Researcher
• University
• Library
• Government • Funder
• Learned Society/Commercial Publisher
• Public/Taxpayer
6. Library
Univ
Researcher
Commercial
Publisher
Learned
Society
Journals
Reviewer
Editorial
Board
Author Reader
Production
Editing
Basic Model of Scholarly Communication
Based on: Kurata, K, Scholarly Communication and Open Access(Gakujutsu-joho-ryutsuu to Open Access) .Keiso Shobo, 2007. p.71, Fig3.5
Gov.
Funder
Provision
Archiving
Public
Taxpayer
7. Source: ROARMAP: Registry of Open Access Repositories Mandatory Archiving Policies. http://roarmap.eprints.org/
8. 120
90
60
30
0
Funder
Thesis
Institutional
*Institutional+multi-institutional+department
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Institutional
Thesis
Funder
0
Europe North America Asia Oceania South America Africa
5
8
28
4
1
6
10
34
33
42
70
43
43
153
0 50 100 150 200 250 300
Source: ROARMAP: Registry of Open Access Repositories Mandatory Archiving Policies. http://roarmap.eprints.org/view/type/
9. Africa
South America
Asia Oceania
North America
Europe
Europe
120
90
60
30
North America
Asia Oceania
South America
Africa
153
70
34
10
0
Institutional Thesis Funder
1
4
42
43
6
5
28
33
43
8
0 50 100 150 200 250
0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
source: ROARMAP: Registry of Open Access Repositories Mandatory Archiving Policies. http://roarmap.eprints.org/view/type/
10. Funders by Country Funders by Publication Archiving Policy
Others
17%
2%
4%
4%
4%
4%
6%
9%
UK
51%
22%
13%
65%
Canada
Australia
Sweden
Ireland
Denmark
International
USA
Funders by Data Archiving Policy Funders by OA Publishing Policy
45%
22%
33%
24%
64% 12%
Required
Required
Required
Encouraged
Encouraged
Encouraged
No Policy
No Policy
No Policy
Source: http://www.sherpa.ac.uk/juliet/stats.php?la=en&mode=simple
11. 26% 32%
52%
1%6%
9%
7%
33%
34%
Publishers’ Self-archiving Policy (RoMEO)
RoMEO Statistics Statistics for the 1681 publishers in the RoMEO database.
http://www.sherpa.ac.uk/romeo/statistics.php?la=en&fIDnum=|&mode=simple
Postprint
Publishers’ Self-archiving Policy (SCPJ)
Society Copyright Policies in Japan. http://scpj.tulips.tsukuba.ac.jp/info/stat
Not
Supported
Preprint Pre/Postprint
Postprint
Not
Supported
Pre/Postprint
No policy
Preprint
12. Commercial Publishers
Societies
All
Allowed Not Permitted No formal support
0 25 50 75 100
Commercial Publishers
Societies
All
Immediately 6-12 month 18-24 month Not permitted
0 25 50 75 100
Commercial Publishers
Societies
All
Immediately 6-12 month 18-24 month Not permitted
0 25 50 75 100
Preprint
Accepted
manuscript
Publisher
version
Laakso M. Green open access policies of scholarly journal publishers: a study of what, when, and where self-archiving is allowed. Scientometrics. 2014, 99(2), p.475–494.
13. University OA policy
• Pioneers
• Soton(2003), QUT(2003), Minho(2004)
• Two major models
• Liège model
• No deposit No Tenure & Promotion
• eg. appointments, promotions and budget allocations decisions
• Harvard model
• Faculties’ work:OA as the default
• Faculty grants permission university
14. Immediate
Deposit
No Waiver
Retention of Rights Deposit
if/ when
publisher
permits
Author →
University
University
e.g Liege Harvard QUT Soton
Mandates Y Y Y Y
Immediate
deposit
Y Usually Usually N
Embargo
Y(Fulltext)
immediate OA for
metadata
Usually
←
Usually
←
Y
Deposit if/ when
publisher permits
Right
Retention
Optional Y Y N
Waiver N Y Y N
Source: Policy Guidelines FOR THE DEVELOPMENT AND PROMOTION OF OPEN ACCESS.
15. Gargouri Y, Hajjem C, Lariviere V, Gingras Y, et al. (2010) Self-Selected or Mandated, Open Access Increases Citation Impact for Higher Quality Research. PLoS ONE 5(10): e13636.
1200!
1000!
800!
600!
400!
200!
0!
100%!
80%!
60%!
40%!
20%!
0%!
2004D
2012!
2004!
2005!
2006!
2007!
2008!
2009!
2010!
2011!
2012!
Public!Access! Restricted!Access! Not!Deposited! ISI!ArTcle!Count!
Percentage!of!ArTcles!
ISI!arTcles!in!2004D2012!
3a#
70! Public!60!
50!
40!
30!
20!
10!
Access!Delay! Restricted!Access!Delay!
Average!Delay!(months)!
1600!
1400!
1200!
1000!
800!
600!
400!
200!
0!
100%!
90%!
80%!
70%!
60%!
50%!
40%!
30%!
20%!
10%!
0%!
Public!Access! Restricted!Access!! Metadata!Only! Not!Deposited! ISI!ArTcle!Count!
Figure 4. Comparing Deposit Rates. Percent Public Access deposits (PA),
Restricted Access deposits (RA), Metadata Only and Not Deposited for the
universities of Liège, Minho, Surrey (Mandated) and Lancaster (Non-Mandated)
as well as the averages for 26 Mandated and 73 Non-Mandated UK repositories
that were analyzed for publication year 2012
!Percentage!of!ArTcles!
ISI!ArTcles!in!2012!
Gargouri Y, Lariviere V, Harnad, S. Ten-year Analysis of University of Minho Green OA Self-Archiving Mandate. Rodrigues, Eloy, Swan, Alma and Baptista, Ana Alice (eds.) Ten-year
Anniversary of University of Minho RepositoriUM. http://eprints.soton.ac.uk/358882/
16. Government & Funder’s policy
• Pioneers
• WT,ERC,NIH,HHMI
• Hot topics
• UK:Finch Report / HEFCE REF2020
• Green OA→Gold OA
• OA as Pre-requisite for Research Assessment
• USA:OSTP,FASTR,FIRST
• OSTP
• Fed agency w/ over $100M in annual conduct of research and
development expenditures must develop a plan for public access
• CHORUS & SHARE
17. UK・RCUK policy USA・Consolidated Appropriations Act, HR 3547
A warenss of the Policy
and Green Open Access
Choose either Gold or Green Open Access for their funded research;
choosing Gold, they must sign a Creative Commons Attribution (CC BY) licence
when publishing their article;
choosing Green, they must deposit their article in a repository within a
maximum of 12 months (STM) or 24 months (SSH) from publication;
They should also disclose the location of underlying research data.
summary of the policy has been created by Taylor & Francis for this purpose of
survey. For complete and up to date information please follow the links below to
the funder’s website. Please note that not all OA policies for United Kingdom are
here.
United Kingdom Research Councils UK Policy
Introduction
Policy type: Gold and Green Open Access
What do funded
researchers have to do?
x Choose either Gold or Green Open Access for their funded research;
x If choosing Gold, they must sign a Creative Commons Attribution (CC BY) licence
when publishing their article;
x If choosing Green, they must deposit their article in a repository within a
Are you aware of this Policy?
[n = 882]
maximum of 12 months (STM) or 24 months (SSH) from publication;
x They should also disclose the location of underlying research data.
Further information: This summary of the policy has been created by Taylor & Francis for this purpose of
http://www.rcuk.ac.uk/research/openaccess/
z Yes 62% z No 38%
https://beta.congress.gov/bill/113th-congress/house-bill/3547
[n = 771]
5 – I fully understand the policy 4 3 2 1 – I do not understand United States Consolidated Appropriations Act, 2014
Introduction
Policy type: Green Open Access
Publishing work under this Policy
What do funded
researchers have to do?
Awarenss of the Act
Publishing work under this Act
United States Consolidated Appropriations Act, 2014
Introduction
Policy type: Green Open Access
What do funded
They should ensure free public online access to a machine-readable version of either
researchers have to do?
the Author’s Accepted Manuscript version or the final published article within 12
months of publication.
Annex A: United States September 2014 Further information: This summary of the policy has been created by Taylor & Francis for this purpose of
z Yes 14% z No 53% z Unsure 32%
this survey. For complete and up to date information please follow the links below to
visit the funder’s website. Please note that not all OA policies for United Kingdom are
listed here.
http://www.rcuk.ac.uk/research/openaccess/
Publishing work under this Policy
How well do you understand this Policy?
http://www.rcuk.ac.uk/research/openaccess/
Have you published work under
this Policy previously? [n = 873]
They should ensure free public online access to a machine-readable version of either
the Author’s Accepted Manuscript version or the final published article within 12
months of publication.
this survey. For complete and up to date information please follow the links below to
visit the funder’s website. Please note that not all OA policies for United States are
listed here. See section 527 of this bill:
https://beta.congress.gov/bill/113th-congress/house-bill/3547
Will you publish work under this
Policy in the future? [n = 872]
Are you aware of this Act?
Have you published work under
Will you publish Further information: [n = 2,394]
This summary of the policy has this been Act created previously? by Taylor [n & = Francis 2,409]
for this purpose Act of
in the future? z Yes 32% z No 68%
z Yes 39% z No How well do you understand this Act?
z Yes 42% z No 3% z Unsure 55%
Awarenss of the Act
Publishing work under this Policy
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Will you publish work under this
Policy in the future? [n = 872]
Are you aware of this Act?
Have you published work under
this Policy previously? [n = 873]
z Yes 42% z No 3% z Unsure 55%
z Yes 14% z No 53% z Unsure 32%
Will you publish work under this
Policy in the future? [n = 872]
z Yes 42% z No 3% z Unsure 55%
2014 Open Access Author Survey
0% 10% 20% 30% 40% 50% 60% 70% 80% All US authors
[n = 2396]
Authors already
aware of the Act
23%
Annex B: United Kingdom September 2014 8
9%
13%
21%
30%
30%
37%
17%
16%
A warenss of the Policy
All UK authors
[n = 837 ]
Authors already
aware of the policy
Have you published work under
this Policy previously? [n = 873]
Are you aware of this Policy?
[n = 539 ]
[n = 2,394]
5 – I fully understand the policy 4 3 2 1 – I do not understand the policy
z Yes 32% z No 68%
this survey. For complete and up to date information please follow the links below to
visit the funder’s website. Please note that not all OA policies for United States are
listed here. See section 527 of this bill:
https://beta.congress.gov/bill/113th-congress/house-bill/3547
Publishing work under this Act
11%
18%
Have you published work under
this Act previously? [n = 2,409]
z Yes 16% z No 40% z Unsure 44%
z Yes 16% z No 40% z Unsure 44%
20%
32%
30%
Will you publish work under this
Act in the future? [n = 2,408]
z Yes 39% z No 4% z Unsure 57%
How well do you understand this Act?
z Yes 14% z No 53% z Unsure 32%
z Yes 62% z No 38%
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
2014 Open Access Author Survey
17%
36%
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
11%
18%
20%
32%
30%
17%
36%
22%
12%
23%
20% 30% 40% 50% 60% 70% 80% 90% 100%
All US authors
[n = 2396]
Authors already
aware of the Act
[n = 771]
5 – I fully understand the policy 4 3 2 1 – I do not understand the policy
[n = 882]
How well do you understand this Policy?
23%
Taylor & Francis Open Access Survey Open Access Mandates. http://www.tandfonline.com/page/openaccess/opensurvey/2014
2014 Open Access Author Survey
Annex B: United Kingdom September 2014 8
9%
13%
21%
30%
30%
37%
17%
16%
All UK authors
[n = 837 ]
Authors already
aware of the policy
[n = 539 ]
5 – I fully understand the policy 4 3 2 1 – I do not understand the policy
2014 Open Access Author Survey
17%
22%
Annex A: United States September 2014 8
Awarenss of the Act
Are you aware of this Act?
[n = 2,394]
z Yes 32% z No 68%
Publishing work under this Act
Have you published work under
this Act previously? [n = 2,409]
z Yes 16% z No 40% z Unsure 44%
Will you publish work under this
Act in the future? [n = 2,408]
z Yes 39% z No 4% z Unsure 57%
How well do you understand this Act?
11%
18%
20%
32%
30%
36%
12%
All US authors
[n = 2396]
Authors already
aware of the Act
[n = 771]
5 – I fully understand the policy 4 3 2 1 – I do not understand the policy
Policy?
Research Councils UK Policy
21%
30%
30%
37%
17%
16%
policy 4 3 2 1 – I do not understand the policy
19. Japanese OA policy
• Thesis
• Okayama U.(2011, Mandate)
• MEXT(2013, Mandate)
• University
• Hokkaido U.(2008, Strongly Recommended)
• JAIST(2008,articles in Faculty DB, Deposit in principles)
• Okayama U.(2011, Intramural Research, Mandates)
• Nitech(2012, Articles, Deposit in principles)
• Funder
• JST(2013, Funded articles, Recommended)
20.
21. Form Mandate / Recommendation
Content Journal Article/Proceedings/Monograph/Data/Metadata
Locus IR / Subject Repository / Shared Repository
Version Publisher’s PDF/Author Final Manuscript / Preprint
Embargo Immediate deposit/Embargo/Embargo+Dark Deposit
Waiver Y / N
Right
Retention University / Author(Faculty)
Compliance Y / N
Sanction Y / N
Gold OA Y / N
22. Current status of OA policy
• Region
• Europe & North America take the lead
• The rest of world: few funder policy
• Japanese learned societies: lagging behind major pub/soc
• Content
• Journal articles+Research data
• Type
• Green OA + Gold OA
• Monitoring & Sanction
• Only a few funders(&institutions)
23. Summary
•“OA policy implementation is a tough job”(Armbruster 2011)
• Institution-specific culture & politics
• requiring years of dedicated effort
• Hita-hita and/or Mandate?
• Failure of Policy
• Implementation (U of Maryland),Post-implementation(NIH)
• Sharing experiences (Good Practice, Bad Practice)
• Monitoring compliance
• Possibility after implementing OA policy
• Difficulty in capturing the total number and OA rate of
research results in a institution
Armbruster C. Open access policy implementation: first results compared. Learned Publishing. 2011, 24(4), p.311–324.
24. Summary
• Art & Science in OA policy implementation
• Empirical/heuristic knowledge for implementing policy
• Knowledge needed in the process and decision making
• To make it happen
• Objective evidence, Leadership, Assessment (Suber 2012)
• Policy, Advocacy, Infrastructure
• Policy’s goal, target, procedure
•“Implementing policy is only open up the possibility”
(Armbruster 2011)
Suber, P. Open Access. MIT Press. 2012, 242p.
Armbruster C. Open access policy implementation: first results compared. Learned Publishing. 2011, 24(4), p.311–324.