Jisc Collections: projects

Schema for Open Access Policies Mafalda Picarra Overview OA policy landscape Rationale for developing a policy schema An overview of the schema How to complete the schema Preliminary findings Initial conclusions Next steps 2 OA policy landscape OA policy landscape is complex: institutions, funders, publishers Policies are often expressed in different terms and conditions Authors find challenges

complying with multiple policies Academic support staff find challenges providing advice, monitoring, and reporting on compliance 73 219 9 556 Funder & funder and research organisation Multiple research organisations University or research institution Sub-unit of research organisation Data source: SHERPA/Juliet and ROARMAP 3 schema Harmonised policies can simplify compliance workflows

Funders and institutions can express their policies in a consistent and structured way Authors can more easily access information that is documented in a systematic way and receive clear guidance Services can improve the quality and reliability of their data (e.g. SHERPA/Juliet) Services can more easily mesh policy requirements with permissions (e.g. Sherpa FACT, Sherpa REF) 4 An overview of the schema Five sections: Organisation: details of the organisation issuing the policy Policy: general parametric

information Repository requirements: requirements for depositing items and for making the deposited items OA OA publishing requirements: requirements for publishing in OA form Other: further information 5 An overview of the schema Organisation: details of the organisation issuing the policy 6 An overview of the schema Policy: general parametric information 7

An overview of the schema Repository requirements: requirements for depositing items 8 An overview of the schema Repository requirements: requirements for making the deposited items OA 9 An overview of the schema OA publishing requirements: requirements for publishing in OA form 10 How to complete the schema Field: usually a question for the organisation to answer

Contents: information to be provided by the organisation Mandatory or Optional: whether the field must be filled in or if it may be left empty Guidelines: further information to help the organisation provide the contents 11 Preliminary findings Schema completed by: 38 organisations 32 institutions 5 funders 1 institution and funder

10 countries 27 x UK 2 x Belgium 1 x Austria, Australia, Germany, Spain, Figure 1: Completed schemas by country Sweden, Switzerland, Portugal, USA 12 Preliminary findings: similarities Major similarities between OA policies requirements: Deposit in a repository (97%) Deposit is required (87%) Items covered include journal articles and conference proceedings (92%)

Version of deposit is the author's manuscript post-peer-review (76%) Deposit in institutional repository (79%) Making the deposited item OA (68%) Policy does not specify that item is to be published OA through a publisher (84%) The organisation funds any OA publication costs (63%) 13 similarities Deposit in a repository 97% of OA policies make reference to depositing items in a repository 2.63% Yes No

97.37% 14 similarities Depositing is required or recommended 13.16% 87% of OA policies require the deposit of items Required Recommended 86.84% 15 similarities Items the policy covers

92% of OA policies cover both journal 8.10% articles and conference proceedings Journal Article Journal Article & Conference Proceeding 91.90% 16 similarities Version of item to be deposited 7.89% 76% of OA policies require the author's manuscript post-peer-review as the items version to be deposited

5.26% 7.89% Author's manuscript post-peerreview Author's manuscript pre-peerreview, post-peer-review, published version, other Other Published version No answer 2.63% 76.32% 17 similarities Where to deposit 79% of OA policies require the deposit 2.63%2.63% 5.26%

of items in institutional repositories Institutional repository 7.89% Funder repository 2.63% Subject repository National repository Any repository Other Institutional repository, Funder repository, Other 78.95% Not specified 18 similarities Making the deposited item OA 68% of OA policies require making the

2.63% deposited items OA 28.95% Required Recommended Not specified 68.42% 19 similarities Item published OA through a publisher 2.63% 84% of OA policies do not specify if 13.16%

items have to be published OA through a publisher who makes it openly available immediately upon publication Yes No No answer 84.21% 20 similarities Organisation funds any OA publication costs 13.16% 63% of organisations fund OA publication costs (e.g. block grants, allowances in project budgets, dedicated institutional funds, or other methods)

7.89% Yes No Not specified No answer 15.79% 63.16% 21 differences Major differences between OA policies requirements:

Exemptions to deposit Depositing item is required for research evaluation When to deposit item When to make deposited item OA Embargo length to make the deposited item OA Exemptions to make the deposited item OA Licence for making item OA Licence for OA publishing 22 differences Are exemptions to deposit allowed? 2.63% 13.16% Significant variation between responses: 42% OA policies conditionally allow

deposit exemptions 42.11% 23.68% 24% OA policies do not specify deposit exemptions Yes unconditionally Yes conditionally No Not specified No answer 13% of OA policies do not allow deposit exemptions 18.42% 23 differences Depositing item is required for

research evaluation Variation between responses: - 21.05% 42% OA policies require deposit as part of research evaluation - 37% OA policies do not require deposit as part of research evaluation - 21% OA policies do not specify deposit as part of research evaluation 42.11% Yes No Not specified

36.84% 24 differences When to deposit 13.16% Significant variation between 23.68% As early as possible responses: Immediately upon (or within x months of) date of publication 37% OA policies require deposit dates

Immediately15.79% upon (or within 3 months of) date of publication that vary between immediately upon or up to x months from acceptance date 24% OA policies do not specify the Immediately upon (or within 12 months of) date of publication 5.26% deposit date Immediately2.63% upon (or within x months of) date 2.63% of acceptance

16% OA policies require deposit dates that vary between immediately upon or within x months from publication date Immediately upon (or within 3 months of) date of acceptance 36.84% Unspecified 25 differences When to make the deposited item OA Significant variation between As early as possible 26.32% 31.58% Immediately upon (or within x

months of) date of publication responses: 32% policies do not specify the date to Immediately upon (or within 12 months of) date of publication make items OA Immediately upon (or within 12/24 months of) date of publication 26% policies require items to be made OA as early as possible Immediately upon (or within x months of) date of acceptance 16% policies require items to be made OA either immediately upon or within x months from publication date

Other 15.79% 10.53% Unspecified 10.53% 2.63% 2.63% 26 differences Embargo length to make the deposited item OA 2.63% Relative variation between responses:

7.89% 2.63% 2.63% 71% unanswered questions 10% OA policies do not specify embargo 10.53% length 8% OA policies apply 12 months 2.63% embargoes 6/12 months 12 months 12/24 months 24 months Not specified Other No answer

71.05% 27 differences Exemptions to make the deposited items OA 2.63% 2.63% Significant variation between 15.79% responses: 53% OA policies conditionally allow exemptions to make items OA 24% OA policies do not specify exemptions to make items OA

52.63% 23.68% Yes unconditionally Yes conditionally No Not specified No answer Other 16% unanswered questions 2.63% 28 differences Licence for making item OA Significant variation between 18.42%

responses: 23.68% 55% OA policies do not specify the licence to make items OA 24% unanswered questions 18% OA policies require CC BY licence CC BY Not specified Other No answer 2.63% 55.26% 29 differences Licence for OA publishing

Significant variation between 15.79% responses: 53% unanswered questions 31% OA policies do not specify the licence for OA publishing 16% OA policies require CC BY licence CC BY Not specified No answer 52.63% 31.58% 30 section analysis

Cross-section analysis between OA policies requirements: Depositing item, making item OA and OA publishing Exemptions Eligibility in research performance evaluation When to deposit and make item OA Licences for making item OA and for OA publishing 31 section analysis Depositing item, making item OA and OA publishing OA policies are clearly expressed in the requirements to deposit and make items OA However, OA policies are not clear on OA publishing requirements, 53% do not specify this requirement and 21% do not provide information in this field Deposit item Make itemOA

OA publishing Required Recommended Not specified No answer 87% 13% 68% 29% 3% 3% 24% 53% 21% Table 1: Open Access: requirement or recommendation? 32 section analysis Exemptions OA policies are relatively consistent in terms of conditionally allowing exemptions to

deposit and to make items OA However, a relevant proportion of OA policies still do not specify or do not provide information on the exemptions to deposit and to make items OA Importantly, the significant majority of responses were not answered on the exemption to OA publishing (76%) and a relevant percentage do not specify (21%) this criteria Exemp. to deposit Exemp. to make OA Exemp. to OA publishing Yes uncond. Yes cond. No Not specified No answer Other 3% 42% 18% 24% 13% 3% 53% 3% 24% 16% 3% 3% 21% 76%

Table 2: Open Access: exemptions 33 section analysis Eligibility in research performance evaluation 42% and 24%, respectively, of OA policies specify that depositing or making items OA is a condition for eligibility in research performance evaluation However, a relevant percentage of OA policies do not specify or do not provide information on depositing/making item OA/ OA publishing as a condition for eligibility in research performance evaluation Importantly, a significant number of responses show that depositing/making item OA/ OA publishing is not a condition for eligibility in research performance evaluation Yes Deposit item Make item OA OA publishing No 42%

24% Not specified No answer 37% 21% 53% 18% 5% 65% 13% 21% Table 3: Open Access: eligibility in research performance evaluation 34 section analysis When to deposit and make item OA On deposit date, OA policies are relatively consistent in terms of requiring items to be deposited immediately or within x months after date of acceptance, however, they do not specify a value for x On date to make items OA, policies are also relatively consistent in requiring items to be made OA as early as possible

However, there is substantial diversity in responses provided with regards to the applicable deposit dates and dates to make items OA Importantly, a significant percentage of responses were not answered for these criteria As early as Immediatel Immediatel Immediatel Immediatel Immediatel Immediatel Unspecified Other possible y...or within y...or within y...or within y...or within y...or within y...or within xmonths 3months 12months 12/24 xmonths 3months date of date of date of months date of date of publication publication publication date of acceptance acceptance publication Deposit date 13% 16%

Date to make depositeditemOA 26% 16% 3% 3% 3% 37% 3% 11% 5% 24% 32% 11%

Table 4: Open Access: when to deposit and make OA 35 section analysis Licences A relative percentage of OA policies specify that CC BY is the licence type to be used when making items OA (18%) or for OA publishing (16%) The significant majority of OA policies, however, do not specify or do not provide information on the licence type that should be used to make items OA or for OA publishing CC BY Not specified Other No answer Licence to make item OA 18% 55% 3% 24% Licence for OA publishing 16% 32%

53% Table 5: Open Access: licences 36 Initial conclusions Initial results show similarities between OA policies in some requirements but there are also significant differences in the ways OA policies are expressed in other requirements, which could benefit researchers and academic support staff if they were expressed more clearly and consistently: Exemptions to a) deposit item, b) make item OA and c) publish OA A) deposit item, b) make item OA and c) publish OA as a criteria for eligibility in research performance evaluation Item deposit date Date for making item OA Embargo length Licences for a) making item OA and b) for OA publishing 37

Next steps Promoting the uptake of the schema by institutions and funders internationally Inviting institutions and funders to send us the completed forms Analysing results to observe level of similarities and differences between OA policies Promoting a move towards a more standardised system where institutional, funders and publishers OA policies can be expressed in a more harmonised way 38 Thank you! Mafalda Picarra PASTEUR4OA Project Officer [email protected] jisc.ac.uk 39

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