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Alma Swan
Key Perspectives Ltd
Truro, UK
3rd Open Access Conference, University of Minho, Braga, Portugal, 15-16 December 2008
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More funders with policies More universities with policies Significantly, more governments
willing to acknowledge OA and sign up to the principles
Key Perspectives Ltd
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Policies MandatesCurrent Proposed
Institutional 27 26 2Departmental 2 4Multi-institutional 4Funder 7 30 5
Totals 36 60 11
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(Australian data courtesy of Arthur Sale) Key Perspectives Ltd
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(Australian data courtesy of Arthur Sale) Key Perspectives Ltd
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Data courtesy of Arthur Sale Key Perspectives Ltd
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Minho University, Braga, Portugal
Repository established 2003 Mandate introduced 2005
when self-archiving rate dropped off
Mandate backed by financial incentives paid to departments
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Mandate introduced
(Data courtesy of Eloy Rodrigues)Key Perspectives Ltd
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1. Require publication in OA journals2. Request (and encourage) OA via an IR (except where
publishers do not allow)3. Require OA via an IR (except where publishers do not
allow)4. Require OA via an IR and require authors to avoid non-
allowing publishers5. Require OA via an IR and permit opt-outs where
publishers do not allow6. Require deposit in the IR, no opt-out, but only make
items OA if author or institution can get permission7. Require deposit in the IR (no opt-out) but allow an opt-
out on OA
Adapted from Peter Suber’s list, SPARC OA Newsletter, April 2008 Key Perspectives Ltd
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Type Require or request
Features Examples
1 Require Publish in OA journals Australian Productivity Commission
2 Request OA via IR (except where publishers do not allow)
Athabasca Univ, Swedish Univ Agric Sciences
3 Require OA via IR (except where publishers do not allow)
ESRC, CIHR
4 Require OA via IR and require authors to avoid non-allowing publishers
Wellcome Trust, MRC, NIH
5 Require OA via IR, permitting opt-outs Harvard FAS, U.California draft policy
6 Require Deposit in IR (no opt-outs) but OA only with publisher permission
EURAB, IRCSET
7 Require Deposit in IR but allow opt-out on OA U.Liege, ISS (Roma)
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Key Perspectives Ltd
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Led by the Wellcome Trust Especially strong in the health sciences (NIH,
CIHR, MRC, BBSRC…) > 90% of UK biomedical research is now
covered by a funder mandate % US biomedical research covered by NIH? Recent big ones:
European Research Council European Commission (20% of FP7 funded
research) France: Agence Nationale de Recherche
(Humanities & Social Sciences)Key Perspectives Ltd
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Key Perspectives Ltd
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Key Perspectives Ltd
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“The mission of our University is the creation, dissemination and curation of knowledge.”
Key Perspectives Ltd
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Starting to grow Mostly mandatory The simplicity of the immediate deposit / later
OA formula means more are adopting this Where have the mandates been happening? UK, Australia, Finland, France, Spain, Brazil,
India …. US: Harvard and Stanford: significant because
these are REAL ‘bottom-up’ policies
Key Perspectives Ltd
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Continue the effort to persuade: At government level
Key Perspectives Ltd
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Russia India Botswana South Africa Brazil
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“The arguments for stepping out first on open access are the same as the arguments for stepping out first on emissions trading – the more willing we are to show leadership on this, we more chance we have of persuading other countries to reciprocate.”
Kim Carr Minister for Industry, Innovation, Science and Research,
Australia
Key Perspectives Ltd
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Continue the efforts to persuade: At government level (e.g. Brazil) At funder level (e.g. research councils, national
funding agencies) At institutional level
Key Perspectives Ltd
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Group of universities that wish to further Open Access and improve scholarly communication
Share the original university core values of dissemination and maximising the public good
Chair: Professor Bernard Rentier, rector of the University of Liège
Open to all institutions who subscribe to its values and aims
No longer just Europe (we need a new name!) Membership is at senior management level Contact: Alma Swan
Key Perspectives Ltd
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www.keyperspectives.co.uk
www.keyperspectives.com
Key Perspectives Ltd