The document outlines the current landscape and compliance challenges of open access (OA) publishing globally, detailing various policies adopted by funders and institutions across regions such as Asia Pacific, Africa, Europe, and North America. It highlights the mixed approaches to OA, emphasizing both gold and green models, and discusses the role of publishers like Elsevier in facilitating OA compliance through various options for authors. Additionally, it touches on the importance of collaboration between publishers, funders, and authors to enhance OA accessibility and compliance tracking.

1. | 1Open Access
The coming cost
of OA
compliance, and
how we can
reduce it
Alicia Wise
4 February 2016

2. | 2Open Access
Global approach to open access
Asia Pacific
• China: CAS & NSF; gold or green open
access, deposit within 12 months
• ARC & NHMRC in Australia have 12
month self-archive mandate, as does
A*Star in Singapore
• Other funders considering policy
Africa
• Developing repositories
• Publishers enabling philanthropic access
• New open access journals to support
local research needs
• Some institutions have open access
mandates, but no policies from any
funders or Governments
Europe
• Focused on a mix of gold & green open access
• UK funder mandates focused on gold (Research
Councils UK & Wellcome Trust)
• Green open access mandates in Italy & Spain
• All EU members formulating open access policies at
North America and Canada
• US Federal Agencies formulating policies following OSTP memo
e.g.
• NIH: gold or green; deposit to PMC within 12 months
• DOE: green (or gold); public access within 12 months via
PAGES and CHORUS
• NSF: gold or green; public access within 12 months
• CHORUS working with DOD, DOE, NSF, etc.
• Canada active in OA discussions and looking at gold and green
• Tri-Agency policy: gold or 12 month deposit mandate
• Gates Foundation: gold open access
Latin America
• Focus on green open access
• Argentina: MINCYT introduced 6
month deposit mandate
• Brazil: Government formulating
green open access policy
• Mexico: OA legislation passed to
support repository development

3. | 3Open Access
EU open access developments: mixed approach
National policy: Each member state to develop own approach and report annually.
Compliance rates depend on:
• Implementation of policy (consulting with stakeholders such as
institutions & publishers)
• Willingness to provide additional funds for APC’s and/or
consideration over length of embargo periods
• Tracking and enforcement of policy
• Researcher education and awareness
Green open access focus
Gold open access focus
Mixed open access focus
Immediate gold OA or green within 6 months (12
months for social sciences)
1st funder to begin enforcement by withholding
grant money due to non OA policy compliance
• Denied 63 grants in 2013
• Compliance is currently at 69%, up from
55% in 2012 (56% in Elsevier journals)
Examples:

4. | 4Open Access
4
Elsevier geographical breakdown of gold open access publishing
23% US & Canada
(+1% in 2014)
16% Rest of world
1% Unknown
16% Asia
(+6% in 2014)
49% Western Europe
(-3% in 2014)

5. | 5Open Access
450+
Open access journals
Elsevier and open access
• Actively engage
• Support both gold and green OA
• Test and learn
• Developing systems and technology to implement OA
• Working with funders, institutions and authors
• Offer choice
• Respect the academic freedom of authors
• Offer various ways for authors to comply with funder and
institutional policies
• Maintain focus on quality
Green open accessGold open access
• All journals offer authors an option to self
archive
• Share link service provides 50 days free
access to recently published research
• Pilot partner in the CHORUS initiative
• Open archives in 103 journals, including all
Cell Press titles after 12 months.
1625+
Hybrid journals
All journals
Offer green OA options
• Launching new open access journals and
all established journal offer an OA option
• Choice of either a commercial (CC BY) or
non-commercial (CC-BY-NC-ND) user
license.
• Article publishing charges (APCs) range
from $500- $5000 (US Dollars)

6. | 6Open Access

7. | 7Open Access
Scholarly collaboration networks (SCNs).
• Relatively new players in the scholarly
communication chain
• Lots to choose from!
• Enable researchers to share information, participate
in discussions and collaborate.
• Can facilitate sharing of either full text and/or links
What are they?
Some are already working with publishers!

8. | 8Open Access
Example– MyScienceWork
www.MyScienceWork.com, a Scientific Social Network is using our APIs to let their users
search, view, and even annotate and share ScienceDirect content on their website.
2. Green check mark
indicates the user is entitled
to view the full text
Using Article Entitlements
API
3. First page preview from
ScienceDirect API
(not counted as full-text
download),
using the Article Retrieval
API
1. Search results based
on indexed XML/
structured meta data
from the SD Search
API
3. User can read and
annotate ScienceDirect
embedded articles on
Mysciencework.com
Using the Article
Retrieval API

9. | 9Open Access
• STM Taskforce developed formed of both
publishers and SCNs.
• Resulted in issuing “Principles for article sharing
on Scholarly Collaboration Networks”.
• Key highlights
- “Sharing should be allowed within academic
groups”
- “Measure the amount and type of sharing using
standards such as COUNTER”
- “Publisher policies on academic group sharing and
public posting of journal articles should be clear and
easily discoverable”
Seamless sharing
• Fragmented metrics
• Preserving the scholarly
record
• Incorrect sharing
• No standard reporting
There are some issues…
Getting the basic rules of sharing right

10. | 10Open Access
CHORUS – a partnership between funders and publishers

11. | 11Open Access
• Author submits, names
funding source
• Publisher creates
metadata; sends via
CrossRef and open APIs
Identification
• Publisher makes full text
available to index
• Agency portals
• Common search engines
• CHORUS search
Discovery • Version of record for
subscribers and gold OA
articles
• Accepted manuscript
for guests after embargo
period
Access at
publisher
• CHORUS dashboard
provides reports and
services to funding
agencies
Compliance
• Preservation partners:
Portico, CLOCKSS
Preservation
How does CHORUS work?

12. | 12Open Access
• Coverage
• Metadata, abstracts, and full text for
indexing
• Over 30,000 articles by UF authors from
1949 forward
• Links to ScienceDirect for access
Collaborating through linking:
Elsevier APIs for Institutional Repositories
Elsevier provides APIs:
1. Content Identification API;
• Retrieve Metadata, abstracts and full text
• From Jan 2016 it will include article
embargo end dates
2. Entitlements API
• Direct users to best available version
3. Article retrieval API
• Display full text articles on local IR pages
via links
Why link?
• Cost effective
• Maximizing research impact for articles
• Delivering the best available
• Displaying the article in context
• Assuring the reliability and trustworthiness of content
•
Implemented on
SobekCM Platform