Open access mandate
An open access mandate is a policy (adopted by a research institution, research funder, or government) that requires researchers (e.g. university faculty or research grant recipients) to make their published, peer-reviewed journal and conference papers open access (OA) by self-archiving their final, peer-reviewed drafts in a freely accessible central or institutional repository. Open access materials are freely accessible to potential users online. ROARMAP, the searchable Registry of Open Access Repository Mandatory Archiving Policies at the University of Southampton indexes the world's institutional, funder and governmental OA mandates (and the Open Access Scholarly Information Sourcebook (OASIS) as well as EnablingOpenScholarship (EOS) graph the quarterly outcome). SHERPA/JULIET is a SHERPA service which lists funder mandates only.
The term 'mandate' is applied rather loosely, as a mandate typically does not need a contract or agreement of those subject to it, yet contractual requirements of e.g. grant and employment agreements, only insofar as they relate to open access, are included in this particular description of a 'mandate' by its advocates.
In international cross-disciplinary surveys conducted by Swan (2005), the vast majority of researchers respond that they would self archive willingly if their institutions or funders mandated it. Outcome studies by Sale (2006) have confirmed these survey results. The growth rate of both mandated and unmandated institutional repositories worldwide is tracked by the University of Southampton's Registry of Open Access Repositories (ROAR).
Open access self-archiving has been mandated by over 150 universities (and parts of universities) worldwide (for example, in the US, Harvard University and MIT, and in the EU, University College London and ETH Zürich) as well as more than 50 research funders (including NIH in the US and RCUK and ERC in the EU). Mandate policy models and guidance have been provided by the Open Society Institute's EPrints Handbook, EOS, OASIS and Open Access Archivangelism.
Effect of mandates
For the four institutions with the oldest self-archiving mandates, the averaged percentage of green open access self-archiving has been compared to the percentage for control articles from other institutions published in the same journals (for years 2002–2009, measured in 2011). Open access mandates triple the percent Green OA (see figure below). Respective totals are derived from the Thomson Reuters Web of Science.
- Harnad, Stevan; Brody, T., Vallieres, F., Carr, L., Hitchcock, S., Gingras, Y., Oppenheim, C., Stamerjohanns, H., Hilf, E. (2004). "The Access/Impact Problem and the Green and Gold Roads to Open Access". Serials Review 30 (4): 310–314. doi:10.1016/j.serrev.2004.09.013. Archived from the original on 11 January 2012.
- Pinfield, Stephen (2005). "A mandate to self archive? The role of open access institutional repositories". Serials (UK Serials Group) 18 (1): 30–34.
- Swan, Alma; Needham, Paul, Probets, Steve, Muir, Adrienne, Oppenheim, Charles, O'Brien, Ann, Hardy, Rachel, Rowland, Fytton, Brown, Sheridan (2005). "Developing a model for e-prints and open access journal content in UK further and higher education". Learned Publishing 18 (1): 25–40. doi:10.1087/0953151052801479.
- "Institutional Policies". Open Access Scholarly Information Sourcebook. Retrieved 11 January 2012.
- "Open Access policies for universities and research institutions". EnablingOpenScholarship. Retrieved 11 January 2012.
- "About JULIET - Research funders' open access policies". SHERPA/JULIET. Retrieved 10 July 2013.
- Swan, Alma; Brown, Sheridan (2005). "Open access self-archiving: An Introduction". JISC, HEFCE.
- Sale, AHJ (2006). "The acquisition of open access research articles". First Monday 11 (10).
- "OA Self-Archiving Policy: Harvard University: Faculty of Arts and Sciences". eprints.org. Retrieved 11 January 2012.
- "MIT Faculty Open-Access Policy". ROARMAP. Retrieved 11 January 2012.
- "OA Self-Archiving Policy: University College London (UCL)". eprints.org. Retrieved 11 January 2012.
- "OA Self-Archiving Policy: ETH Zürich". eprints.org. Retrieved 11 January 2012.
- "OA Self-Archiving Policy: European Research Council (ERC)". eprints.org. Retrieved 11 January 2012.
- [dead link]
- "Which Green OA Mandate Is Optimal?". Open Access Archivangelism. 7 December 2008. Retrieved 11 January 2012.
- Poynder, Richard (2011). Open Access By Numbers Open and Shut June 19, 2011
- Open Access Overview by Peter Suber
- Registry of Open Access Repositories (ROAR)
- Good practices for university open-access policies, by Stuart Shieber and Peter Suber.