Europe has the most open access policies and mandates in the world, with over 350 of each. The Horizon 2020 program in the EU mandates open access for peer-reviewed publications while allowing funding for open access journal fees. It recommends that EU member states develop consistent open access policies and coordinate reporting and stakeholder discussions at the national and EU levels to further align open access conditions across countries. Challenges in developing open access policies at the national level include a lack of awareness, understanding and engagement among policymakers as well as some resistance to the concept of openness.

1. Alignment with the H2020 policy
Open Access policies: the global and European contexts
2 December 2014

2. H2020 and Open Access
» Mandatory for peer-reviewed publications
» ‘Green’ OA mandate (repositories)
› Publish as normal in subscription-based journals
› Place author’s copy in OA repository
» ‘Gold’ OA: Permits payments from grants for OA journal publication
» Mute on monographs
» Definite on data, announcing an open data pilot for H2020
02-Dec-2014 Open Access policies: the global and European context 2

3. Current global picture: Open Access policies
Region Policies
Europe 356
North America 146
Central & South America 35
Africa 11
Asia 65
Oceania 38
Total 651
02-Dec-2014 Open Access policies: the global and European context 3
Data: ROARMAP (Registry of Open Access Policies and Mandates) http://roarmap.eprints.org/

4. Open Access policies worldwide
Europe
North America
Central & South
America
Africa
Asia
Oceania
Open Access policies
02-Dec-2014 Open Access policies: the global and European context 4

5. Policy formulation
» Even mandates can fail to deliver!
» Essential elements:
› Mandatory
› Deposit immediately (at acceptance for publication)
› Deposit required, but OA itself may come later
› Connect deposit with research assessment

6. Current global picture: Open Access mandates
Region Mandates
Europe 203
North America 70
Central & South America 17
Africa 6
Asia 32
Oceania 18
Total 346
02-Dec-2014 Open Access policies: the global and European context 6

7. Open Access mandates worldwide
Europe
North America
Central & South
America
Africa
Asia
Oceania
Open Access mandates
02-Dec-2014 Open Access policies: the global and European context 7

8. Current global picture: ‘Green’ Open Access:
Time of deposit
When deposit is required Number %
Acceptance date 52 15
Publication date 64 13
By the end of a defined, permitted embargo period 33 9
When the publisher permits 5 5
Not mentioned 143 41
Other 38 11
02-Dec-2014 Open Access policies: the global and European context 8

9. Current global picture: ‘Green’ Open Access:
Time of deposit
0 10 20 30 40 50
Acceptance date
Publication date
Defined embargo
When publisher permits
Not specified
Other
%
02-Dec-2014 Open Access policies: the global and European context 9

10. Current global picture: ‘Green’ Open Access:
Time of deposit by policymaker type (%)
0 20 40 60
Acceptance date
Publication date
Defined embargo
When publisher permits
Not mentioned
Other
All
Funder
Institutional
%
02-Dec-2014 Open Access policies: the global and European context 10

11. Deposit time: % of all mandates by policymaker type
0 20 40 60
Acceptance date
Publication date
Defined embargo
When publisher permits
Not mentioned
Other
All
Funder
Institutional
%
02-Dec-2014 Open Access policies: the global and European context 11

12. Deposit time: % of all mandates by policymaker type
0 20 40 60
Acceptance date
Publication date
Defined embargo
When publisher permits
Not mentioned
Other
All
Funder
Institutional
02-Dec-2014 Open Access policies: the global and European context 12
%

13. Current global picture (mandates): time of deposit
When deposit is required All
mandates
(%)
European
mandates
(%)
Acceptance date 15 16
Publication date 18 9
By the end of a defined, permitted embargo period 9 11
When the publisher permits 5 6
Not mentioned 41 48
Other 11 9
02-Dec-2014 Open Access policies: the global and European context 13

14. Deposit time: % of all mandates by policymaker type
0 20 40 60
Acceptance date
Publication date
Defined embargo
When publisher permits
Not mentioned
Other
All
Europe
%
02-Dec-2014 Open Access policies: the global and European context 14

15. Current global picture (mandates):
Link to research evaluation and assessment
Region Number of policies linked
to research assessment
% of total policies linked
to research assessment
Europe 5 36
North America 4 29
Central and
South America
0 0
Africa 0 0
Asia 5 36
Oceania 0 0
All 14 100%
02-Dec-2014 Open Access policies: the global and European context 15

16. Current global picture: ‘Gold’ Open Access
02-Dec-2014 Open Access policies: the global and European context 16
» No requirements for ‘Gold’ Open Access
» Three funder policies emphasise or prefer it:
› RCUK
› Swedish Research Council Vetenskapredet
› NWO (Nederlandse Organisatie voor Wetenschappelijk
Onderzoek )

17. ‘Gold’ Open Access: policy provisions
Gold Open Access conditions % all % European
‘Gold’ OpenAccess costs allowable from grant 3.3 3.9
Funder provides additional funds for ‘Gold” OA costs 2.7 4.8
Institution has a ‘Gold’ OpenAccess fund 9.6 8.1
02-Dec-2014 Open Access policies: the global and European context 17

18. ‘Gold’ Open Access: policy provisions
0 5 10 15 20
Costs payable from
grant
Additional funding for
'Gold' OA costs
Intitution has 'Gold' OA
fund
All
Europe
%
02-Dec-2014 Open Access policies: the global and European context 18

19. H2020 and Open Access
» Mandatory for peer-reviewed publications
» ‘Green’ OA mandate (repositories)
› Publish as normal in subscription-based journals
› Place author’s copy in OA repository
» ‘Gold’ OA: Permits payments from grants for OA journal publication
» Mute on monographs
» Definite on data, announcing an open data pilot for H2020
02-Dec-2014 Open Access policies: the global and European context 19

20. Recommendation to MS
» Member States develop policies on OA
» Consistency between H2020 policy and those of MS
» Coordination of MS at EU level
» Reporting at MS and EU level
» Multi-stakeholder dialogue to be established
02-Dec-2014 Open Access policies: the global and European context 20

21. Recommendation to MS
» Member States develop policies on OA
» Consistency between H2020 policy and those of MS
» Coordination of MS at EU level
» Reporting at MS and EU level
» Multi-stakeholder dialogue to be established
02-Dec-2014 Open Access policies: the global and European context 21

22. Policy alignment
» Irons out dissonances for researchers working in interdisciplinary
areas or on international teams
» Supports EU harmonisation agenda for ERA (research conditions,
researcher mobility, etc)
» Key issue in changing author practices and norms
» Allows generic infrastructural services to be established in support
of policy
02-Dec-2014 Open Access policies: the global and European context 22

23. Recommendation to MS
» Member States develop policies on OA
» Consistency between H2020 policy and those of MS
» Coordination of MS at EU level
» Reporting at MS and EU level
» Multi-stakeholder dialogue to be established
02-Dec-2014 Open Access policies: the global and European context 23

24. Policy development: challenges at national level
» Lack of awareness and understanding (and therefore engagement) by
national policymakers
» Resistance to the concept of openness
02-Dec-2014 Open Access policies: the global and European context 24

25. 02-Dec-2014 Open Access policies: the global and European context 25
Contact…
Alma Swan
almaswan3@gmail.com
www.sparceurope.org

26. Creative Commons License
This work is licensed under
Attribution 4.0 International License
http://creativecommons.org/licenses/by/4.0/