Monitoring Compliance with Open Access policies

In the last few years, academic communities have seen an increase in the number of Open Access (OA) policies being adopted at the institutional and funder levels. In parallel to policy implementation, institutions and funders have also been engaged in developing mechanisms to monitor academics and researchers compliance with the existing OA policies. This study highlights a few of the cases where compliance is being effectively monitored by institutions and funders. In the first section, Open Access is briefly overviewed and the rationale for monitoring OA policy compliance is explained. The second section looks at best practices in monitoring policy compliance with OA policies by funders and institutions. The case studies reflect on compliance with the UK Funding Councils and the USA National Institutes of Health OA policies. The third section makes recommendations on what processes and procedures universities and funders should adopt to monitor compliance with their OA policies. The final section recapitulates some of the key ideas related to monitoring policy compliance.

Open Access in the UK Briefing on the UK Open Access Case Study

Open Access (OA) policies have been adopted at the national, institutional and funder levels in the UK and various infrastructural support mechanisms are available to facilitate open access. In July 2012, following an independent study on ‘Accessibility, sustainability, excellence: how to expand access to research publications’ the UK Government announced its OA policy. The Government’s policy determines that ‘support for publication in open access or hybrid journals, funded by Article Processing Charges (APCs), [i]s the main vehicle for the publication of research’. At the same time that the UK Government announced its OA policy, the UK’s major research funder, the Research Councils UK (RCUK), revised its OA policy announcing its ‘preference for immediate [Gold] Open Access with the maximum opportunity for re-use’. In March 2014, the UK Funding Councils announced their OA policy for the post-2014 Research Evaluation Framework (REF). The policy requires the deposit of peer-reviewed article and conference proceedings in repositories (Green OA) and is applicable from 1 April 2016. By and large, two distinct OA routes are being promoted by the UK Government and RCUK (Gold OA) and the Funding Councils (Green OA). This scenario requires that continued efforts are made to ensure that advice and support are provided to universities, academic libraries and researchers on the distinct OA policies and on policy compliance. The UK research institutions have been adopting OA policies from as early as 2003 and there currently are 85 institutional OA policies. Despite distinct OA policies having been adopted by policymakers, national research funders and research institutions, the UK’s movement towards OA has been a result of stakeholders coordinated efforts and is considered to be a case of good practice.