What is the fundamental definition of an open-access mandate?

An open-access mandate is a policy established by a research institution, a research funder, or a government. This policy requires or recommends that researchers make their published, peer-reviewed journal articles and conference papers available as open access. This is typically achieved through two main methods: self-archiving the final peer-reviewed drafts in a freely accessible institutional or disciplinary repository (known as Green OA), or publishing the work in an open-access journal (known as Gold OA), or sometimes both.

Which types of organizations commonly adopt open-access mandates?

Open-access mandates are adopted by various entities within the research ecosystem. These include research institutions, such as universities and their faculties; research funders, like government agencies and private foundations; and governments themselves.

Can you name some prominent universities that have implemented open-access mandates for their faculty?

Several leading universities have adopted open-access mandates for their faculty. Notable examples include Harvard University, Massachusetts Institute of Technology (MIT), University College London (UCL), Queensland University of Technology, the University of Minho in Portugal, the University of Liège, and ETH Zurich.

Which major funding organizations have established open-access mandates for their grant recipients?

Significant funding organizations that have implemented open-access mandates for researchers receiving their grants include the National Institutes of Health (NIH) in the United States, Research Councils UK (RCUK), the National Fund for Scientific Research, the Wellcome Trust, and the European Research Council (ERC).

Where can one find a comprehensive list of institutional and funder open-access mandates?

The Registry of Open Access Mandatory Archiving Policies, commonly known as ROARMAP, provides a searchable index of institutional, funder, and governmental open-access mandates adopted worldwide.

How can open-access mandates be classified based on the mandating organization?

Open-access mandates can be classified by the type of organization that issues them. This includes mandates from employing institutions, such as universities, and mandates from research funders, like government agencies or foundations.

What are the different classifications of open-access mandates related to the deposit and access timing?

Mandates can be classified based on the locus and timing of the deposit of research outputs, as well as the timing at which the deposited material becomes openly accessible. This includes whether the deposit is immediate or delayed, and whether access to the deposit is immediate or delayed, potentially involving embargo periods.

What is a 'rights-retention clause' in the context of open-access mandates?

A rights-retention clause is a type of provision in an open-access mandate that grants the parent institution a non-exclusive license to exercise copyright over an author's article. This ensures the institution can make the article openly available via a repository, even if the author transfers copyright to a publisher, thereby simplifying the process of making research open access.

What are the benefits of a rights-retention clause for authors and institutions?

The primary benefit of a rights-retention clause is that it allows authors to publish in their preferred journals while simultaneously granting their institution the right to make the article openly accessible through a repository. This mechanism bypasses the need for individual negotiations with publishers to secure open access.

Which notable initiatives or organizations utilize rights-retention clauses in their open-access policies?

Examples of mandates that incorporate rights-retention clauses include Europe's Plan S, and the policies of Harvard University and the Wellcome Trust.

How do university mandates for faculty differ between the U.S. and Europe, according to the text?

The text suggests that many European university mandates have been implemented as administrative requirements. In contrast, many U.S. university mandates have often arisen from a faculty consensus, frequently taking the form of a default rights-retention contract with an option for individual waivers.

What is the role of Open Access Week in relation to open-access mandates?

Open Access Week, an annual global event held in the last full week of October, is often the time when new open-access mandates are announced by various institutions and organizations.

What does the term 'mandate' signify in the context of open-access policies?

In the context of open-access policies, the term 'mandate' can mean either to 'authorize' or to 'oblige'. Both senses are considered important in encouraging researchers to provide open access to their work. However, the term itself has been noted by experts like Peter Suber as potentially imprecise, with 'shifting the default publishing practice to open access' or 'putting an open-access condition' on grant recipients being alternative descriptions.

How do open-access mandates differ from open-access policies that merely encourage or request OA?

Open-access mandates are considered stronger than policies that merely request or encourage open access because mandates impose a requirement on authors to provide open access. Some mandates do allow authors to opt out under specific circumstances or with justification.

What is a 'loophole mandate' in the context of open-access policies?

A loophole mandate is a type of open-access requirement that obliges authors to provide open access only if and when their publishers permit it. This means the mandate's effectiveness is contingent on publisher policies.

What is an 'immediate-deposit clause' within an open-access mandate?

An immediate-deposit clause requires authors to deposit their final, peer-reviewed drafts into their institutional repository immediately upon publication or acceptance. Even if the publisher imposes an embargo on open access, the deposit itself is made promptly, and access can be restricted during the embargo period.

How can users request a copy of a closed-access deposit during an embargo period?

For deposits that are closed access due to publisher embargoes, repository software often includes a 'request-a-copy' button. When a user clicks this button, it automatically sends an email to the author, allowing them to provide a single copy of the work to the requester with a single click.

What is the primary requirement of the Canadian Institutes of Health Research (CIHR) open-access policy?

The CIHR Policy on Access to Research Outputs, adopted in September 2007, requires researchers to make their published articles available either by publishing in open-access journals or by depositing their manuscripts in an online repository, such as PubMed Central Canada or an institutional repository.

What is the Tri-Agency Open Access Policy on Publications in Canada, and when is it effective?

The Tri-Agency Open Access Policy on Publications, announced on February 27, 2015, applies to peer-reviewed journal publications resulting from research funded by Canadian federal agencies (CIHR, NSERC, and SSHRC). It mandates that these publications must be made freely available within 12 months of publication, either through open-access journals or by depositing in a repository. The policy is effective for grants awarded from May 1, 2015, onwards.

What is the open access policy of the International Development Research Centre (IDRC) in Canada?

The IDRC adopted a new open access policy on May 1, 2015, which requires books and journal articles resulting from IDRC funding to be made freely available within 12 months of publication. This can be achieved by publishing in open-access venues or by uploading to an open-access repository. The policy applies to proposals received on or after July 20, 2015.

What was the significance of the US Federal Research Public Access Act (FRPAA) proposed in 2006?

The FRPAA, proposed in May 2006, aimed to improve the NIH Public Access Policy by making open access mandatory for federally funded research publications. It also proposed extending self-archiving requirements to a broader range of major US-funded research and allowed deposits in authors' own institutional repositories, not just central ones.

What are the key requirements of the National Institutes of Health (NIH) Public Access Policy implemented in April 2008?

The NIH Public Access Policy, effective in April 2008, mandates that all articles resulting from NIH funding must be submitted to PubMed Central upon acceptance for publication. This ensures self-archiving in PubMed Central, regardless of whether the author also uses their institutional repository.

How did the NIH begin enforcing its Public Access Policy?

In 2012, the NIH announced it would enforce its Public Access Policy by withholding or blocking the renewal of grant funds for authors who failed to comply with the policy's requirements.

What was the 2013 White House directive concerning federally funded research?

In February 2013, the White House issued a directive requiring federal agencies with annual research and development expenditures exceeding $100 million to develop plans within six months. These plans were to ensure that peer-reviewed publications arising directly from federal funding become publicly accessible for searching, retrieval, and analysis.

What significant guidance was issued by the US Office of Science and Technology Policy (OSTP) in August 2022?

In August 2022, the US Office of Science and Technology Policy issued guidance directing that all federally funded research in the USA must be made freely available without delay. This move marked the first country to implement such a comprehensive policy, aiming to end the long-standing 'Serials crisis' for US contributions.

What was the European Commission's initial recommendation regarding open access in 2006?

In April 2006, the European Commission recommended that research funding agencies establish a European policy mandating that articles resulting from EC-funded research be made available in open-access archives after a specified time period. This recommendation has since been updated and strengthened.

How has the European Commission integrated open access into its research programs like Horizon 2020?

The European Commission has made the global shift towards open access to publicly funded research results a core strategy for improving knowledge circulation and innovation. This is exemplified by the general principle for open access to scientific publications within the Horizon 2020 program and a pilot program for research data.

What change did EURAB propose to improve upon the European Commission's initial open-access recommendations?

EURAB revised the mandate to require that all articles be deposited immediately upon acceptance for publication. While the embargo period for making the deposit openly accessible might still apply, the immediate deposit ensures the work is archived promptly, and a 'Request a Copy' button can facilitate immediate access for individual users during the embargo.

What is the reported effectiveness of open-access mandates on self-archiving rates?

Studies indicate that open-access mandates can significantly increase self-archiving rates. For institutions with the oldest mandates, the percentage of Green Open Access self-archiving was found to triple compared to institutions without such mandates, based on data from 2002-2009.

Approximately how many universities and research funders had adopted open-access mandates by May 2015?

By May 2015, over 550 universities and research institutions, along with more than 140 research funders worldwide, had adopted open-access mandates.

What are some of the key conditions identified as most effective in generating successful mandate compliance?

Recent studies suggest that the three most effective conditions for mandate success are: 1) requiring immediate deposit of research outputs, 2) linking deposit requirements to performance evaluations, and 3) allowing authors to opt out of the open-access requirement itself, but not the deposit requirement.

What are the stated goals for research universities when implementing open-access policies?

Research universities implement open-access policies for several key reasons: to increase the global impact of the institution's research contributions, to provide unified institutional support for faculty engaging with publishers to broaden access, and to foster scholarly interactions with a wider diversity of readers beyond those who can afford subscriptions or attend conferences.

What is the 'Open Access Spectrum' and the 'HowOpenIsIt? Guide' developed by SPARC?

SPARC, the Scholarly Publishing and Academic Resources Coalition, developed the 'Open Access Spectrum' and the 'HowOpenIsIt? Guide' to promote a more nuanced understanding of openness in research communications. The guide, available for download, helps assess the degree of openness in research outputs.

What was the open-access policy adopted by the California Institute of Technology (Caltech) Faculty Board in June 2013?

The Caltech Faculty Board adopted an institution-wide Open Access Policy in June 2013, effective January 1, 2014. This policy requires all Caltech faculty to grant Caltech a non-exclusive right to disseminate their scholarly papers through the university's online repository, CaltechAUTHORS, or the authors' own websites. The aim was to encourage wider distribution and simplify copyright issues, preventing publisher takedown notices.

What actions did Duke University take in 2010 regarding open access?

In March 2010, Duke University's Academic Council supported a new data repository, DukeSpace, with a policy for open access to scholarly writings, allowing faculty to opt out. Additionally, Duke joined the Compact for Open-Access Publishing Equity (COPE) and established a fund to assist faculty with author fees for publishing in open-access journals.

What is the core provision of Harvard University's Faculty of Arts and Sciences Open Access Policy, approved in 2008?

Harvard University's Faculty of Arts and Sciences Open Access Policy, approved in February 2008, grants the university a non-exclusive, irrevocable license to make the faculty member's scholarly articles available and to exercise the copyright in them. This policy has since been adopted by several other schools within Harvard, with articles deposited in the DASH repository.

When did the Massachusetts Institute of Technology (MIT) Faculty adopt their open-access policy, and what does it cover?

The MIT Faculty adopted an open-access policy via unanimous vote on March 18, 2009. This policy applies to all scholarly articles written by faculty members while they are affiliated with the faculty, with exceptions for articles completed before the policy's adoption or those with pre-existing incompatible licensing agreements.

What was the outcome of the study committee's recommendation at Princeton University regarding open access?

Following a study initiated in 2010, an ad-hoc committee at Princeton University recommended changes to faculty rules in March 2011 to enable a blanket policy for open access to faculty scholarship. The faculty subsequently approved an open-access policy on September 19, 2011, which was last revised in January 2012.

What was the initial open-access action taken by Stanford University's Graduate School of Education (GSE)?

In June 2008, the Stanford University Graduate School of Education (GSE) became the first school at Stanford to adopt an open-access policy. Faculty granted the university a non-exclusive, irrevocable license to make their scholarly articles publicly accessible, provided they were properly attributed and not sold for profit. Their work is housed in the GSE Open Archive.

What challenges arose following the University of California's (UC) adoption of its Open Access Policy in 2013?

Following the UC's adoption of its Open Access Policy in July 2013, some confusion led to instances where faculty posted journal articles whose copyright was already held by publishers. This resulted in notices from publishers like Elsevier and the American Society for Civil Engineers (ASCE) requesting the removal of these articles, although the UC Open Access Policy protected faculty who correctly uploaded articles to the UC eScholarship repository.

What is the core principle of the University of Colorado Boulder's Open Access Policy adopted in 2014?

The University of Colorado Boulder's Open Access Policy, adopted in 2014, grants The Regents of the University of Colorado a non-exclusive, irrevocable, worldwide license to exercise copyright rights for the purpose of disseminating scholarly work. This ensures proper attribution and prevents commercial use, while faculty retain full ownership. Authors are expected to inform publishers about this pre-existing license.

What made the University of Kansas (KU) notable in its adoption of an open-access policy?

The University of Kansas became the first U.S. public university to implement an open-access policy when its Faculty Senate approved the policy on April 30, 2009. This policy, supported by Chancellor Robert Hemenway, required faculty articles to be submitted to the KU ScholarWorks digital repository unless a waiver was obtained.

What is the purpose of the 'RequestCopy' button found in some institutional repository software?

The 'RequestCopy' button, available in repository software like DSPACE and EPrints, is designed for situations where an article is under publisher embargo and not yet openly accessible. It allows users to easily request a single copy of the deposited work directly from the author via email.

How does the Open Access Button relate to the 'RequestCopy' functionality?

The Open Access Button is a related concept that assists users in finding or requesting research papers that may not be readily available in institutional repositories or through open access channels.

What is the role of Peter Suber in the open-access movement, as referenced in the text?

Peter Suber is cited as an open-access advocate and author of the book 'Open access'. He has provided commentary on the terminology used for open-access policies, such as the word 'mandate', and co-authored guides on best practices for university open-access policies.

What is the 'Open Access Spectrum' and the 'HowOpenIsIt? Guide'?

The 'Open Access Spectrum' and the 'HowOpenIsIt? Guide' are resources developed by SPARC (Scholarly Publishing and Academic Resources Coalition). They aim to provide a more sophisticated framework for discussing and evaluating the concept of openness in research communications.

What is the purpose of SHERPA/JULIET?

SHERPA/JULIET is a service that specifically lists and provides information on the open-access policies of research funders worldwide.

According to surveys mentioned in the text, how do researchers generally feel about self-archiving when mandated?

Surveys conducted by Alma Swan indicated that the vast majority of researchers expressed willingness to self-archive their work if their institutions or funders mandated it, suggesting that mandates are a key factor in encouraging this practice.

What is the function of ROARMAP in tracking open-access policies?

ROARMAP, the Registry of Open Access Repository Mandates and Policies, serves as a global index for institutional, funder, and governmental open-access mandates. It allows users to search and compare these policies.

What types of content can be deposited in the CU Scholar repository at the University of Colorado Boulder?

The CU Scholar repository at the University of Colorado Boulder accepts a wide range of contributions from the university community. This includes working papers, technical reports, published scholarly research articles, completed manuscripts, digital art or multimedia, conference papers and proceedings, theses and dissertations, undergraduate honors theses, journals published on campus, faculty course-related output of scholarly interest, and data sets.

Open-access Mandate Wiki: Open Access Mandates: Charting the Course for Scholarly Dissemination

Dive in with Flashcard Learning!

When you are ready...
🎮 Play the Wiki2Web Clarity Challenge Game🎮

What is an Open-Access Mandate?

Policy Framework

An open-access mandate is a policy enacted by research institutions, funding bodies, or governments. It requires or recommends researchers to make their peer-reviewed journal articles and conference papers accessible via open access. This is typically achieved through two primary methods: "Green OA" (self-archiving in repositories) or "Gold OA" (publishing in open-access journals), or a combination of both.

Green vs. Gold OA

Green OA involves depositing the final peer-reviewed manuscript into a freely accessible institutional or disciplinary repository. Gold OA refers to publishing the article directly in an open-access journal. Mandates often specify requirements for deposit timing, repository choice, and sometimes publisher agreements.

Legal and Ethical Underpinnings

These policies aim to broaden the reach and impact of research, ensuring that publicly funded work is accessible to the public. They often include provisions for copyright retention by the author, allowing institutions to exercise rights for dissemination while authors retain ownership.

Key Characteristics

Mandating Bodies

Mandates can originate from various entities:

Employing Institutions: Universities and research centers requiring faculty and staff to deposit their publications.
Research Funders: Government agencies and private foundations making open access a condition of grant funding.

Deposit and Access Timing

Policies vary regarding when deposits must occur and when access becomes open:

Immediate Deposit: Authors must deposit their work upon acceptance or publication.
Delayed Access: Access may be restricted for a publisher-defined embargo period (e.g., 6-12 months).

Strength and Flexibility

Mandates differ in strength, from mere recommendations to strict obligations. Some include opt-out clauses for authors, allowing exceptions based on specific circumstances or publisher agreements. Rights-retention clauses are a key feature, empowering institutions to ensure open access.

Global Instances

Canadian Agencies

Canada's federal funding agencies, including CIHR, NSERC, and SSHRC, have implemented mandates requiring publications arising from their funding to be made available within 12 months of publication, either through open access journals or repositories.

United States Initiatives

The U.S. government, notably through the NIH Public Access Policy (effective 2008) and a 2013 White House directive, mandates federal agencies with significant R&D expenditures to ensure public accessibility of federally funded research publications, often within 12 months.

European Efforts

The European Commission has consistently promoted open access, recommending mandates for EC-funded research. Initiatives like Horizon 2020 and the OpenAIRE project support open access to publications and data, reflecting a strong commitment to knowledge circulation.

Policy Nuances

Types of Mandates

Mandates can be categorized by their approach:

Encouragement Policies: Recommendations rather than strict requirements.
Loophole Mandates: Allow deposit only if publishers permit.
Limited-Embargo Mandates: Permit a grace period before open access.
Rights-Retention Mandates: Authors grant institutions a license to ensure open access, often surviving publisher agreements.

Locus and Timing

Policies specify where deposits should occur (institutional vs. external repositories) and when they must be made open (immediately or after an embargo). Immediate deposit, even if access is delayed, is a common strategy to ensure compliance.

Measuring Impact

Increased Visibility

Studies indicate that open-access mandates significantly increase the rate of "Green OA" self-archiving. Research suggests that mandates can triple self-archiving rates compared to institutions without such policies, leading to broader dissemination and potentially higher citation impact.

Researcher Compliance

Surveys consistently show that researchers are willing to comply with mandates. When institutions or funders require self-archiving, compliance rates rise substantially, demonstrating the effectiveness of clear policy directives.

Tracking Mandates

Registries and Databases

Several resources track the growing landscape of open-access mandates:

ROARMAP (Registry of Open Access Mandatory Archiving Policies): A comprehensive database of institutional, funder, and governmental mandates.
SHERPA/JULIET: Focuses specifically on funder mandates.
OpenDOAR: A directory of open-access repositories.

Growth Trends

As of recent data, hundreds of universities and research funders worldwide have adopted open-access mandates. This trend reflects a global movement towards making research outputs more accessible and impactful.

University Policies

US Institutions

Prominent U.S. universities like Harvard, MIT, Stanford, UC Berkeley, and Princeton have implemented faculty-driven open-access policies. These typically involve granting the university a non-exclusive license to disseminate scholarly work via institutional repositories, often with opt-out provisions.

UK and Europe

Institutions such as University College London (UCL) in the UK, and universities in Portugal and Switzerland (e.g., University of Minho, ETH Zurich), have also adopted mandates, aligning with broader European initiatives for open science and research accessibility.

Related Concepts

Core Ideas

Understanding open-access mandates involves familiarity with related concepts such as:

Self-archiving: The practice of depositing research outputs in repositories.
Article Processing Charges (APCs): Fees often associated with Gold OA publishing.
Predatory Publishing: Unscrupulous journals that exploit the OA model.
Creative Commons Licenses: Tools for managing copyright and permissions for open content.

Broader Movements

Open-access mandates are part of larger movements promoting openness in scholarly communication and research, including:

Open Science: Encompassing open access, open data, and open methodology.
Access to Knowledge (A2K): A broader movement advocating for equitable access to information and culture.

Teacher's Corner

Edit and Print this course in the Wiki2Web Teacher Studio

Edit and Print Materials from this study in the wiki2web studio

Click here to open the "Open-access Mandate" Wiki2Web Studio curriculum kit

Use the free Wiki2web Studio to generate printable flashcards, worksheets, exams, and export your materials as a web page or an interactive game.

True or False?

Test Your Knowledge!

Gamer's Corner

Are you ready for the Wiki2Web Clarity Challenge?

Learn about open-access_mandate while playing the wiki2web Clarity Challenge game.

Unlock the mystery image and prove your knowledge by earning trophies. This simple game is addictively fun and is a great way to learn!

Play now

Explore More Topics

Discover other topics to study!

desegregation busing

christianity in europe

winemaking

wonsan

teodoro fernandes sampaio

References

Registry of Open Access Mandatory Archiving Policies

Rentier, B., & Thirion, P. (2011). The LiÃ¨ge ORBi model: Mandatory policy without rights retention but linked to assessment processes.

CIHR Policy on Access to Research Outputs â CIHR. Cihr-irsc.gc.ca. Retrieved 2011-12-03.

announcement of the new Tri-Agency Open Access Policy

A full list of references for this article are available at the Open-access mandate Wikipedia page

Feedback & Support

To report an issue with this page, or to find out ways to support the mission, please click here.

Disclaimer

Important Notice

This content has been generated by an AI model and is intended for educational and informational purposes only. It is based on data extracted from Wikipedia and may not reflect the most current information or nuances of the topic.

This is not policy advice. The information provided herein should not be considered a substitute for consulting official policy documents or seeking expert advice from relevant institutions or legal professionals. Always refer to authoritative sources for policy interpretation and implementation.

The creators of this page are not responsible for any errors or omissions, or for any actions taken based on the information provided.

Open Access Mandates

💡 Dive in with Flashcard Learning! 💡

What is an Open-Access Mandate? 📜

🏛️ Policy Framework

🌳 Green vs. Gold OA

⚖️ Legal and Ethical Underpinnings

Key Characteristics ⚙️

🎯 Mandating Bodies

⏳ Deposit and Access Timing

🔑 Strength and Flexibility

Global Instances 🌍

🇨🇦 Canadian Agencies

🇺🇸 United States Initiatives

🇪🇺 European Efforts

Policy Nuances 🧐

📜 Types of Mandates

📍 Locus and Timing

Measuring Impact 📈

📊 Increased Visibility

🤝 Researcher Compliance

Tracking Mandates 🔍

🗺️ Registries and Databases

📈 Growth Trends

University Policies 🎓

🇺🇸 US Institutions

🇬🇧 UK and Europe

Related Concepts 🔗

💡 Core Ideas

🌐 Broader Movements

Teacher's Corner 🧑‍🏫

Edit and Print this course in the Wiki2Web Teacher Studio

True or False? 🤔

❓ Test Your Knowledge! ❓

Gamer's Corner 🎮

Are you ready for the Wiki2Web Clarity Challenge?

Explore More Topics

📜 Discover other topics to study!

References

📜 References

Feedback & Support 👍

To report an issue with this page, or to find out ways to support the mission, please click here.

Disclaimer ⚠️

📜 Important Notice

Dive in with Flashcard Learning!

What is an Open-Access Mandate?

Policy Framework

Green vs. Gold OA

Legal and Ethical Underpinnings

Key Characteristics

Mandating Bodies

Deposit and Access Timing

Strength and Flexibility

Global Instances

Canadian Agencies

United States Initiatives

European Efforts

Policy Nuances

Types of Mandates

Locus and Timing

Measuring Impact

Increased Visibility

Researcher Compliance

Tracking Mandates

Registries and Databases

Growth Trends

University Policies

US Institutions

UK and Europe

Related Concepts

Core Ideas

Broader Movements

Teacher's Corner

True or False?

Test Your Knowledge!

Gamer's Corner

Discover other topics to study!

References

Feedback & Support

Disclaimer

Important Notice