Chris Armbruster

Crossref

SSRN Electronic Journal

Implementing Open Access: Policy Case Studies

National Science Library,Chinese Academy of Sciences

Implementing Open AccessPolicy case studiesPresented at Berlin8 @ Beijing, 26 October 2010Chris ArmbrusterFull working paper available at http://ssrn.com/author=43478201.11.2010 Seite 1Implementation is about... Solutions, data, experience, evidence, evaluation... Policy implementation Business implementation Changes in framework: technology & law Changes in ecology: attitudes & behaviour of readers and authors=> Second generation open access?01.11.2010 Seite 2Policy case studies Theoretical sampling (break new ground, show variety, define methodological standard) Expert interviews (professional experience, actual story, importance of institutional factors) Qualitative content analysis (structuration of text, categories of meaning, summary of issues) Internal and external validation (internal approval and comment; external recognition)01.11.2010 Seite 3List of cases1. Refining green open access policy: Queensland University of Technology (September 2003)2. Refining policy to foster deposit: University of Zurich (July 2005)3. National platform, open collection, decentralized policy: the HAL platform (June-October 2006)4. Maximising a funder’s impact: The Wellcome Trust (October 2006)5. Implementing open access as a digital infrastructure: UK PMC (January 2007)6. Learning from global research infrastructure: SCOAP3 (April 2007)7. Linking public access to open data: Howard Hughes Medical Institute (January 2008)8. Open access to all publications, internationally: Austrian Science Fund (FWF, March 2008)9. One policy, sixty publication strategies: Fraunhofer-Gesellschaft (July 2008)10. Open Access complements the Research Information System: The University of Pretoria (May 2009)01.11.2010 Seite 4First generation Open Access The idea (according to BBB): Internet, new infrastructures, new uses New stakeholders in publishing Digital repositories Research funders Research institutions  Key policy players: written policy, preferably open access mandate Centrality of the author: publish, deposit, (re-)use etc.01.11.2010 Seite 5Queensland University of Technology24k records,of which 13kOA full-textHigh usagecorrelates withincreasedcitations01.11.2010 Seite 6University of Zurich Policy of May 2008 stipulated three essential elements: The university requires its researchers to deposit a copy of theirpublications in ZORA with open access unless legal obstaclesprevent this; The university encourages its researchers to publish in open access journals whenever possible and contributes towards article processing charges; The annual reports of the university will be based on ZORA, and only publications registered in ZORA will be included. In practice, this refers to metadata only and does not depend on full text deposit.2009 as reference year:  About 8000 records, of which 60% have a full-text attached;  Actual open access rate 42%; five out of six items directly available on ZORA, the rest by a link;  Some items permanently inaccessible due to copyright restrictions. 01.11.2010 Seite 7The HAL platform  (Open access percentage for INRIA publications)2007 2008 2009Paublications in annual report 4977 5153 5868Items logged in repository 2964 3329 3423Full text deposit or link 1820 2023 2154Open Access percentage 36,6% 39,3% 36,7%01.11.2010 Seite 8The Wellcome Trust and Howard Hughes Medical InstituteHHMI Wellcome TrustElsevier journalsCharged $1500Author manuscript version – after peer review –deposited by Elsevier in PMCPaper available in PMC/UKPMC six months after publicationNo re-use licenceCharged $3000Final version of paper deposited in PMC by ElsevierPaper available in UKPMC/PMC at time of publicationFull re-use licenceCell Press (imprint of Elsevier)Charged $1000Author manuscript version – after peer review –deposited by Elsevier in PMCPaper available in PMC/UKPMC six months after publicationNo re-use licenceCharged $5000Final version of paper deposited in PMC by ElsevierPaper available in UKPMC/PMC at time of publicationFull re-use licence01.11.2010 Seite 9UK PMC and its fundersFor the Medical Research Council, UKPMC is an essential element of itspolicy because It makes MRC funded research outputsmore visible, also as a collection ofoutputs (and in due course a completecollection of primary publications); Nationally, it brings all the relevantdisciplinary research funders to thetable, facilitating collaboration, which, inturn, makes any investment in UK PMCmore efficient; The repository provides a distinctinterface and added value to the MRCand its community of intramuralresearchers and grantholders, forexample, through the mining and re-useof research results01.11.2010 Seite 10SCOAP3 Overall, by September 2010, SCOAP3 has collected pledgesamounting to more than 70% of its yearly budget envelope acrossEurope and North America, in the Middle East and Australia. Thechallenge that remains is to extend SCOAP3 beyond these regions.The necessary contributions from Japan (7.1%), China (5.6%),Russia (3.4%), India (2.7%) and Brazil (2.7%) are missing so far.While SCOAP3 is confident that support in these countries willmaterialize, the project is equally adamant that SCOAP3 will onlymove ahead if pledges from these outstanding countries have beenmade (amounting to 21,5% of the budget). The message is that openaccess will happen globally, or it risks failing. International consensuson open access and its principles must be translated into action thatis backed by financial commitment. In all countries thosestakeholders with decision-making capacity are eventually to face upto their responsibility that if they can make a pledge, they must do so,or else the SCOAP3 opportunity might be lost.01.11.2010 Seite 11Austrian Science Fund (FWF)With the aim of aiding system change, the FWF stipulates thata) Open access publishing charges may covered from FWF grants (2009:350 publication charges for a total of €400k);b) Additional support for publication charges may be requested up to three years after the end of any project;c) Monographs, proceedings and collections are also covered by the policy (up to €6k for immediate OA, €4k for delayed OA; 2010: 30-40 books at €150k);d) In the life sciences the preferred solution is for all papers to be made available through UK PMC, whether published in open access, deposited by publishers or self-archived (several hundred articles ingested in 2010);e) Research data is also to be made available via repositories within two years after the end of any project.01.11.2010 Seite 12I have to stop here today ... and you have seen only a limited sample of data, evidenceand insights from some case studie (& not all case studieswere presented, e.g. Fraunhofer, Pretoria) - but the fullversion of the working paper with all available infomation maybe downloaded for free... Armbruster, Chris,  Implementing Open Access: Policy Case Studies. Available at SSRN: http://ssrn.com/abstract=1685855 Or go to the author page at http://ssrn.com/author=43478201.11.2010 Seite 13Some preliminary conclusions  Tough job: legitimate authority, sufficient resources & right timing lead up to 40% OA, in exceptional cases significantly beyond 50% Urgent need for research on implementation: data, experience, evaluation, e.g. Publishing and deposit policies and their embedded expectations as to what authors are supposed to do; Variations of author deposit, such as self-, assisted, mediated or third party deposit: Relevant and reliable measurement of the degree of open access achieved and its benefits for authors; Overlap and interaction between funders and institutions when asking authors to provide open access; Collection policies and usage rights for the corpus, particularly in considering authors as users. Important to re-think OA as real time input for digital infrastructures that support research, teaching and learning.

http://ir.las.ac.cn/bitstream/12502/3177/1/Chris%20Armbruster_Implementing%20Open%20Access%20Policy%20Case%20Studies.pdf

Implementing Open Access: Policy Case Studies

Abstract

Similar works

Full text

Available Versions

Crossref

National Science Library,Chinese Academy of Sciences