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An open-access mandate is a policy adopted by a
research Research is " creative and systematic work undertaken to increase the stock of knowledge". It involves the collection, organization and analysis of evidence to increase understanding of a topic, characterized by a particular attentiveness ...
institution, research funder, or government which requires or recommends researchers—usually university faculty or research staff and/or research grant recipients—to make their published,
peer-reviewed Peer review is the evaluation of work by one or more people with similar competencies as the producers of the work ( peers). It functions as a form of self-regulation by qualified members of a profession within the relevant field. Peer revie ...
journal articles and conference papers
open access Open access (OA) is a set of principles and a range of practices through which research outputs are distributed online, free of access charges or other barriers. With open access strictly defined (according to the 2001 definition), or libre o ...
(1) by
self-archiving Self-archiving is the act of (the author's) depositing a free copy of an electronic document online in order to provide open access to it. The term usually refers to the self-archiving of peer-reviewed research journal and conference articles, a ...
their final, peer-reviewed drafts in a freely accessible
institutional repository An institutional repository is an archive for collecting, preserving, and disseminating digital copies of the intellectual output of an institution, particularly a research institution. Academics also utilize their IRs for archiving published work ...
or
disciplinary repository A disciplinary repository (or subject repository) is an online archive containing works or data associated with these works of scholars in a particular subject area. Disciplinary repositories can accept work from scholars from any institution. A ...
("Green OA") or (2) by publishing them in an open-access journal ("Gold OA") or both.


Characteristics

Among the universities that have adopted open-access mandates for faculty are
Harvard University Harvard University is a private Ivy League research university in Cambridge, Massachusetts. Founded in 1636 as Harvard College and named for its first benefactor, the Puritan clergyman John Harvard, it is the oldest institution of highe ...
,
Massachusetts Institute of Technology The Massachusetts Institute of Technology (MIT) is a Private university, private Land-grant university, land-grant research university in Cambridge, Massachusetts. Established in 1861, MIT has played a key role in the development of modern t ...
, University College London,
Queensland University of Technology Queensland University of Technology (QUT) is a public research university located in the urban coastal city of Brisbane, Queensland, Australia. QUT is located on two campuses in the Brisbane area viz. Gardens Point and Kelvin Grove. The unive ...
,
University of Minho The University of Minho (''Universidade do Minho'') is a public university in Portugal, divided into the following campuses: * Largo do Paço (rectorate), in Braga * Campus of Gualtar, in Braga * Convento dos Congregados, in Braga * Campus of Az ...
(Portugal),
University of Liège The University of Liège (french: Université de Liège), or ULiège, is a major public university of the French Community of Belgium based in Liège, Wallonia, Belgium. Its official language is French. As of 2020, ULiège is ranked in the 301� ...
and
ETH Zürich (colloquially) , former_name = eidgenössische polytechnische Schule , image = ETHZ.JPG , image_size = , established = , type = Public , budget = CHF 1.896 billion (2021) , rector = Günther Dissertori , president = Joël Mesot , a ...
. Among the funding organizations that have adopted open-access mandates for grant recipients are
National Institutes of Health The National Institutes of Health, commonly referred to as NIH (with each letter pronounced individually), is the primary agency of the United States government responsible for biomedical and public health research. It was founded in the late ...
(with the
NIH Public Access Policy The NIH Public Access Policy is an open access mandate, drafted in 2004 and mandated in 2008,National Institutes of Health"Request for Information: NIH Public Access Policy" available at https://publicaccess.nih.gov/comments.htm. ("NIH implemented ...
),
Research Councils UK Research Councils UK, sometimes known as RCUK, was a non-departmental public body which coordinated science policy in the United Kingdom from 2002 to 2018. It was an umbrella organisation that coordinated the seven separate research councils t ...
,
National Fund for Scientific Research The National Fund for Scientific Research (NFSR) (Dutch: ''Nationaal Fonds voor Wetenschappelijk Onderzoek'' (NFWO), French: ''Fonds National de la Recherche Scientifique'' (FNRS)) was once a government institution in Belgium for supporting scien ...
,
Wellcome Trust The Wellcome Trust is a charitable foundation focused on health research based in London, in the United Kingdom. It was established in 1936 with legacies from the pharmaceutical magnate Henry Wellcome (founder of one of the predecessors of Glax ...
and
European Research Council The European Research Council (ERC) is a public body for funding of scientific and technological research conducted within the European Union (EU). Established by the European Commission in 2007, the ERC is composed of an independent Scientific ...
. For a full index of institutional and funder open-access mandates adopted to date, see the Registry of Open Access Mandatory Archiving Policies (ROARMAP). Open-access mandates can be classified in many ways: by the type of mandating organization (employing institution or research funder), by the locus (institutional or institution-external) and timing of deposit itself (immediate, delayed), by the time (immediate, delayed) at which the deposit is made open access, and by whether or not there is a default copyright-retention contract (and whether it can be waived). Mandate types can also be compared for strength and effectiveness (in terms of the annual volume, proportion and timing of deposits, relative to total annual article output, as well as the time that access to the deposit is set as open access. Mandates are classified and ranked by some of these properties in MELIBEA.


Institutional and funder mandates

Universities can adopt open-access mandates for their faculty. All such mandates make allowances for special cases. Tenured faculty cannot be required to publish; nor can they be required to make their publications open access. However, mandates can take the form of administrative procedures, such as designating repository deposit as the official means of submitting publications for institutional research performance review, or for research grant applications or renewal. Many European university mandates have taken the form of administrative requirements, whereas many U.S. university mandates have taken the form of a unanimous or near-unanimous self-imposed faculty consensus consisting of a default rights-retention contract (together with a waiver option for individual special cases). Research funders such as government funding agencies or private foundations can adopt open-access mandates as contractual conditions for receiving funding. New open-access mandates are often announced during the annual
Open Access Week Open Access Week is an annual scholarly communication event focusing on open access and related topics. It takes place globally during the last full week of October in a multitude of locations both on- and offline. Typical activities include ta ...
, that takes place globally during the last full week of October. For example, the
Royal Society The Royal Society, formally The Royal Society of London for Improving Natural Knowledge, is a learned society and the United Kingdom's national academy of sciences. The society fulfils a number of roles: promoting science and its benefits, re ...
chose Open Access Week 2011 to announce the release of the digitized backfiles of their archives, dating from 1665 to 1941.


Principal kinds of open-access mandates

"Mandate" can mean either "authorize" or "oblige". Both senses are important in inducing researchers to provide OA. Open-access advocate Peter Suber has remarked that "'mandate' is not a good word..." for open-access policies, "...but neither is any other English word." Other ways to describe a mandate include "shifting the default publishing practice to open access" in the case of university faculty or "putting an open-access condition" on grant recipients. Mandates are stronger than policies which either request or encourage open access, because they require that authors provide open access. Some mandates allow the author to opt out if they give reasons for doing so. *''Encouragement policies'' - These are not requirements but merely recommendations to provide open access. *''Loophole mandates'' - These require authors to provide open access if and when their publishers allow it. Mandates may include the following clauses: *''Mandates with a limited-embargo clause'' - These require authors to provide open access either immediately or, at the latest, after a maximal permissible embargo period (which may vary from 6 months to 12 months or more). *''Mandates with an immediate-deposit clause'' - These require authors to deposit their refereed final drafts in their
institutional repository An institutional repository is an archive for collecting, preserving, and disseminating digital copies of the intellectual output of an institution, particularly a research institution. Academics also utilize their IRs for archiving published work ...
immediately upon publication (or upon acceptance for publication) whether or not their publishing contracts allow making the deposit open access immediately: If the publisher embargoes open access, access to the deposit can be left as ''closed access'' during any permissible embargo period. (For closed-access deposits repositories have a request-a-copy Button with which users can request and authors can provide a single copy with one click each during the embargo.) *''Mandates with a rights-retention clause'' - These policies typically extend to the parent institution a non-exclusive license to exercise any and all copyrights in the article. Copyright remains with the author until they transfer copyright to a publisher, at which point the non-exclusive license survives. In so doing, authors are free to publish wherever they prefer, while granting the institution the right to post a version of the article on the open web via an institutional repository. The benefit of the rights-retention clause is that neither the author, nor the institution, need negotiate open access with the publisher; the policy itself allows open access to the article. Upon acceptance or publication, the author or their representative deposits the article into their institutional repository. Waivers are generally available in cases where authors do not desire open access for a given article. Examples include Europe's
Plan S Plan S is an initiative for open-access science publishing launched in 2018 by "cOAlition S", a consortium of national research agencies and funders from twelve European countries. The plan requires scientists and researchers who benefit from s ...
and policies of Harvard University and the
Wellcome Trust The Wellcome Trust is a charitable foundation focused on health research based in London, in the United Kingdom. It was established in 1936 with legacies from the pharmaceutical magnate Henry Wellcome (founder of one of the predecessors of Glax ...
.


Locus of deposit

Most institutional open-access mandates require that authors
self archive Self-archiving is the act of (the author's) depositing a free copy of an electronic document online in order to provide open access to it. The term usually refers to the self-archiving of peer-reviewed research journal and conference articles, as ...
their papers in their own
institutional repository An institutional repository is an archive for collecting, preserving, and disseminating digital copies of the intellectual output of an institution, particularly a research institution. Academics also utilize their IRs for archiving published work ...
. Some funder mandates specify institutional deposit, some specify institution-external deposit, and some allow either.


Timing of deposit

Mandates may require deposit immediately upon publication (or acceptance for publication) or after an allowable embargo.


Timing of opening access to deposit

Mandates may require opening access to the deposit immediately upon publication (or acceptance for publication) or after an allowable embargo.


Instances


Canadian funding agencies

The
Canadian Institutes of Health Research The Canadian Institutes of Health Research (CIHR; french: Instituts de recherche en santé du Canada; IRSC) is a federal agency responsible for funding health and medical research in Canada. Comprising 13 institutes, it is the successor to the M ...
(CIHR) proposed a mandate in 2006 and adopted it in September 2007, becoming the first North American public research funder to do so. The CIHR Policy on Access to Research Outputs provides two options to researchers: publication in open access journals, and making their manuscripts available in an online central ( PubMed Central Canada is recommended) or institutional repository. In October 2013, the two other Canadian federal funding agencies, the National Science and Engineering Council (NSERC) and the Social Science and Humanities Research Council (SSHRC) jointly proposed the same mandate as CIHR's, and launched a two-month consultation on what will become the Tri-Agency Open Access Policy. On 27 February 2015 a Tri-Agency Open Access Policy on Publications was announced. Peer-reviewed journal publications arising from Agency-supported research must be made freely available within 12 months of publication, whether by depositing in an online repository or by publishing in a journal that offers immediate or delayed open access. The policy is effective for grants awarded from 1 May 2015 onward. On 1 May 2015 the International Development Research Centre adopted a new open access policy. Books and journal articles must be made freely available within 12 months of publication, whether by publishing open access and using open access journals, or by uploading to an open access repository. The policy is effective for proposals received on or after 20 July 2015.


United States funding agencies

In May 2006, the US Federal Research Public Access Act (FRPAA) was proposed toward improving the NIH Public Access Policy. Besides points about making open access mandatory, to which the NIH complied in 2008, it argues to extend self-archiving to the full spectrum of major US-funded research. In addition, the FRPAA would no longer stipulate that the self-archiving must be central; the deposit can now be in the author's own institutional repository (IR). The new U.S.
National Institutes of Health The National Institutes of Health, commonly referred to as NIH (with each letter pronounced individually), is the primary agency of the United States government responsible for biomedical and public health research. It was founded in the late ...
's Public Access Policy took effect in April 2008 and states that "all articles arising from NIH funds must be submitted to PubMed Central upon acceptance for publication". It stipulates self-archiving in PubMed Central regardless of the use of the author's own
institutional repository An institutional repository is an archive for collecting, preserving, and disseminating digital copies of the intellectual output of an institution, particularly a research institution. Academics also utilize their IRs for archiving published work ...
. In 2012, the NIH announced it would enforce its Public Access Policy by blocking the renewal of grant funds to authors who don't follow the policy. In February 2013, the Fair Access to Science and Technology Research bill was introduced into both houses of Congress. It was described as a "strengthened version of FRPAA". Also in 2013, the White House issued a directive requiring federal agencies "with over $100 million in annual conduct of research and development expenditures" to develop, within the next 6 months, a plan to make the peer-reviewed publications directly arising from Federal funding "publicly accessible to search, retrieve, and analyze". As a result,
open-access repositories Self-archiving is the act of (the author's) depositing a free copy of an electronic document online in order to provide open access to it. The term usually refers to the self-archiving of peer-reviewed research journal and conference articles, a ...
and multi-annual open access strategies have been developed by federal institutions like the Department of Agriculture and the Department of Energy. DOE also hosts OSTI.gov, a repository with over 3 million records for federal works of which over 700,000 have full text as of 2019. In 2019, the
GAO Gao , or Gawgaw/Kawkaw, is a city in Mali and the capital of the Gao Region. The city is located on the River Niger, east-southeast of Timbuktu on the left bank at the junction with the Tilemsi valley. For much of its history Gao was an impo ...
issued a report on the implementation of the 2013 directive, with 37 recommendations to 16 agencies. On August 25, 2022 US Office of Science and Technology Policy under Biden's administration issued guidance to make all federally funded research in the USA (the first country to do so) freely available without delay, thus ending over 50 years of
Serials crisis The term serials crisis has become a common shorthand to describe the chronic subscription cost increases of many serial publications such as scholarly journals. The prices of these institutional or library subscriptions have been rising much fa ...
albeit only for the US contributions.


European funding agencies

In April 2006, the
European Commission The European Commission (EC) is the executive of the European Union (EU). It operates as a cabinet government, with 27 members of the Commission (informally known as "Commissioners") headed by a President. It includes an administrative body ...
recommended: "EC Recommendation A1: "Research funding agencies... should tablish a European policy mandating published articles arising from EC-funded research to be available after a given time period in open access archives..." This recommendation has since been updated and strengthened by the European Research Advisory Board (EURAB). The project OpenAIRE (Open Access Infrastructure for Research in Europe) has since been launched. The global shift towards open access to the results of publicly funded research (publications and data) has been a core strategy in the European Commission to improve knowledge circulation and thus innovation. It is illustrated in particular by the general principle for open access to scientific publications in Horizon 2020 and the pilot for research data. In 2012, via a Recommendation, the European Commission encouraged all EU Member States to put publicly funded research results in the public sphere in order to strengthen science and the knowledge-based economy. In 2017 it emerged that the European Commission are looking to create its own open access publishing platform for papers that emerge from the Horizon 2020 programme. The platform is likely to be similar to the one used by
Wellcome Trust The Wellcome Trust is a charitable foundation focused on health research based in London, in the United Kingdom. It was established in 1936 with legacies from the pharmaceutical magnate Henry Wellcome (founder of one of the predecessors of Glax ...
for Wellcome Open Research and Gates Foundation's Gates Open Research. {{anchor, Eprint buttonTo somewhat improve on the European Commission's (and FRPAA's) allowable embargo of up to six months, EURAB has revised the mandate: all articles must be deposited ''immediately upon acceptance for publication''; the allowable delay for complying with publisher embargoes applies only to the time when access to the deposit must be made open access rather than to the time when it must be deposited. Immediate deposit is required so that individual users can then request an immediate individual copy of any deposited eprint during the embargo period by clicking on a "RequestCopy" Button provided by the
Institutional Repository An institutional repository is an archive for collecting, preserving, and disseminating digital copies of the intellectual output of an institution, particularly a research institution. Academics also utilize their IRs for archiving published work ...
software (e.g., DSPACE, EPrints). The Button automatically sends an email message to the author requesting an individual eprint; the author can comply with one click and the software immediately emails the eprint to the requestor. This is not open access, but may cover some immediate research needs during any embargo. A related idea was later put forth as the
Open Access Button The Open Access Button is a browser bookmarklet which registers when people hit a paywall to an academic article and cannot access it. It is supported by Medsin UK and the Right to Research Coalition. A prototype was built at a BMJ Hack Weeke ...
for papers that have not been deposited in an
Institutional Repository An institutional repository is an archive for collecting, preserving, and disseminating digital copies of the intellectual output of an institution, particularly a research institution. Academics also utilize their IRs for archiving published work ...
.


Effectiveness

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).Poynder, Richard (2011)
Open Access By Numbers
''Open and Shut'' 19 June 2011
Respective totals are derived from the
Thomson Reuters Thomson Reuters Corporation ( ) is a Canadian multinational media conglomerate. The company was founded in Toronto, Ontario, Canada, where it is headquartered at the Bay Adelaide Centre. Thomson Reuters was created by the Thomson Corpo ...
Web of Science.


Tracking mandates

As of May 2015, open-access mandates have been adopted by over 550 universities and research institutions, and over 140 research funders worldwide. Examples of universities which have open-access mandates are
Harvard University Harvard University is a private Ivy League research university in Cambridge, Massachusetts. Founded in 1636 as Harvard College and named for its first benefactor, the Puritan clergyman John Harvard, it is the oldest institution of highe ...
and MIT in the United States, University College London in the UK and
ETH Zürich (colloquially) , former_name = eidgenössische polytechnische Schule , image = ETHZ.JPG , image_size = , established = , type = Public , budget = CHF 1.896 billion (2021) , rector = Günther Dissertori , president = Joël Mesot , a ...
in Europe. Funders which require open access when their funding recipients publish include the
NIH The National Institutes of Health, commonly referred to as NIH (with each letter pronounced individually), is the primary agency of the United States government responsible for biomedical and public health research. It was founded in the late 1 ...
in the US and RCUK and ERC in the EU. Mandate policy models and guidance have been provided by the
Open Society Institute Open Society Foundations (OSF), formerly the Open Society Institute, is a grantmaking network founded and chaired by business magnate George Soros. Open Society Foundations financially supports civil society groups around the world, with a st ...
's EPrints Handbook, EOS, OASIS and Open Access Archivangelism.
ROARMAP The Registry of Open Access Repositories (ROAR) is a searchable international database indexing the creation, location and growth of open access institutional repositories and their contents. ROAR was created by EPrints at University of Southampt ...
, the searchable Registry of Open Access Repository Mandates and Policies at the University of Southampton indexes the world's institutional, funder and governmental OA mandates (and the Open Access Scholarly Information Sourcebook (OASIS){{cite web, title=Institutional Policies, url=http://www.openoasis.org/index.php?option=com_content&view=article&id=144&Itemid=338, publisher=Open Access Scholarly Information Sourcebook, access-date=11 January 2012, archive-url=https://web.archive.org/web/20180205072319/http://www.openoasis.org/index.php?option=com_content&view=article&id=144&Itemid=338, archive-date=5 February 2018, url-status=dead as well as EnablingOpenScholarship (EOS){{cite web, title=Open Access policies for universities and research institutions, url=http://www.openscholarship.org/jcms/c_6226/open-access-policies-for-universities-and-research-institutions?hlText=policie, publisher=EnablingOpenScholarship, access-date=11 January 2012, archive-url=https://web.archive.org/web/20130921210746/http://www.openscholarship.org/jcms/c_6226/open-access-policies-for-universities-and-research-institutions?hlText=policie, archive-date=21 September 2013, url-status=dead graph the quarterly outcome). SHERPA/JULIET is a SHERPA service which lists funder mandates only. 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. Both mandated and unmandated institutional and disciplinary repositories worldwide are indexed by SHERPA's ''
OpenDOAR OpenDOAR: Directory of Open Access Repositories is a UK-based website that lists open access repositories (including academic ones). It is searchable by locale, content, and other measures. The service does not require complete repository detail ...
'' and their rate of growth is monitored and displayed by the University of Southampton's Registry of Open Access Repositories (''ROAR''). Recent studies have tested which mandate conditions are most effective in generating deposit. The three most important conditions identified were: (1) immediate deposit required, (2) deposit required for performance evaluation, and (3) unconditional opt-out allowed for the OA requirement but no opt-out allowed for the deposit requirement.


Policies adopted by research universities

The information which follows relates more closely to open access policies/mandates covering open publishing of research outputs than to OER specifically. An open-access policy enacted by the Faculty of a research university can empower them in choosing how to distribute their own scholarly work. If a faculty member wishes to grant exclusive rights to a publisher, they would first need to request a waiver from their faculty governance body. Some reasons to implement this kind of policy institution-wide are to: # increase the overall impact of an institution's research contributions to the global knowledge economy, # individual faculty receive their institution's full support in a unified action to work with publishers to simplify procedures and broaden access to their scholarly work (allowing for greater possibilities for citations of their work - important for hiring, tenure and promotion decisions), # take advantage of scholarly interactions with a greater diversity of readers, not just those who can afford to purchase the information from a vendor or attend an academic conference. This kind of blanket policy provides support to those whose research is not part of a project that requires open access to the research done. For example, since th
February 2013 directive
from th
United States Office of Science and Technology Policy
U.S. federal agencies have been developing their own policies on making research freely available within a year of publication. SPARC, th
Scholarly Publishing and Academic Resources Coalition
led the collaborative and open effort to create an "Open Access Spectrum" that demonstrates a more sophisticated approach is needed in discussions about the concept of openness in research communications. Th
"HowOpenIsIt? Guide
(as well as an FAQ document and slide deck) is available for download on the SPARC website. Another useful guide has been developed by members of the Harvard Office for Scholarly Communication, the Harvard Open Access Project, and the Berkman Center for Internet and Society. This online guide,
Good practices for university open-access policies
is built on a wiki and is designed to evolve over time, according to the co-authors: Emily Kilcer, Stuart Shieber and Peter Suber.


United States


California Institute of Technology

On June 10, 2013, the Faculty Board of the
California Institute of Technology The California Institute of Technology (branded as Caltech or CIT)The university itself only spells its short form as "Caltech"; the institution considers other spellings such a"Cal Tech" and "CalTech" incorrect. The institute is also occasional ...
(Caltech) created an institution-wide Open Access Policy. The ruling stated that as of January 1, 2014, all Caltech faculty must agree to grant nonexclusive rights to Caltech to disseminate their scholarly papers either via the authors' own sites or to Caltech AUTHORS, the online repository. The goal is to encourage wider distribution of their work and to simplify the copyright process when posting research on faculty or institutional Web sites. The initiative was put in place to prevent publishers of those journals from threatening legal action or issuing takedown notices to authors who have posted their content on their own sites or t
CaltechAUTHORS
an online repository for research papers authored by Caltech faculty and other researchers at Caltech.


Duke University

On March 21, 2010, the
Duke University Duke University is a private research university in Durham, North Carolina. Founded by Methodists and Quakers in the present-day city of Trinity in 1838, the school moved to Durham in 1892. In 1924, tobacco and electric power industrialist Jame ...
Academic Council voted to support the University Library's new data repository
DukeSpace
with a blanket policy to provide open access to their scholarly writings. The policy allows for faculty members to opt out at any time, and it is regularly reviewed to determine its effectiveness. Duke also in 2010 joined th
Compact for Open-Access Publishing Equity
(COPE) and established a fund to help Duke faculty members to cover any
author fees An article processing charge (APC), also known as a publication fee, is a fee which is sometimes charged to authors. Most commonly, it is involved in making a work available as open access (OA), in either a full OA journal or in a hybrid journal. ...
required to publish in open access journals.


Harvard University

On February 12, 2008, the Faculty of Arts and Sciences of
Harvard University Harvard University is a private Ivy League research university in Cambridge, Massachusetts. Founded in 1636 as Harvard College and named for its first benefactor, the Puritan clergyman John Harvard, it is the oldest institution of highe ...
approved thei
Open Access Policy
granting to the President and Fellows of Harvard to "make available his or her scholarly articles and to exercise the copyright in those articles ... in a nonexclusive, irrevocable, paid-up, worldwide license..." Since then, several other schools within the University now participate in the Open Access Policies supported by the Office for Scholarly Communication: the Graduate School of Design, the School of Education, the Business School, the Law School, the Kennedy School of Government, the Divinity School, and the School of Public Health. The University's open-access repository is calle
DASH
(Digital Access to Scholarship at Harvard) which is where the faculty upload their scholarly articles for access by all.


Massachusetts Institute of Technology

Adopted by a unanimous vote on March 18, 2009, the
Massachusetts Institute of Technology The Massachusetts Institute of Technology (MIT) is a Private university, private Land-grant university, land-grant research university in Cambridge, Massachusetts. Established in 1861, MIT has played a key role in the development of modern t ...
(MIT) Faculty adopted an open access policy. The policy applies to "all scholarly articles written while the person is a member of the Faculty except for any articles completed before the adoption of this policy and any articles for which the Faculty member entered into an incompatible licensing or assignment agreement before the adoption of this policy." The MIT online repository is calle
DSpace@MIT
and it was designed to work seamlessly with Google Scholar. The Faculty revised and updated the policy in 2010 to take into consideration the various issues associated with the MIT librarians' discussions with publishers.


Princeton University

In 2010 the Dean of the Faculty of
Princeton University Princeton University is a private research university in Princeton, New Jersey. Founded in 1746 in Elizabeth as the College of New Jersey, Princeton is the fourth-oldest institution of higher education in the United States and one of the ...
appointed an ad-hoc committee of faculty and the University Librarian to study the question of open access to faculty publications - and in March 2011, the committee recommended several changes to the Faculty rules to allow for a blanket policy for open access to Princeton faculty scholarship. The faculty approved an open access policy on September 19, 2011, which was last revised in January 2012.


Stanford University

On June 26, 2008, the
Stanford University Stanford University, officially Leland Stanford Junior University, is a private research university in Stanford, California. The campus occupies , among the largest in the United States, and enrolls over 17,000 students. Stanford is conside ...
Graduate School of Education (GSE) were the first in that school to grant permission to the University to make their scholarly articles publicly accessible and to exercise the copyright in a "nonexclusive, irrevocable, worldwide license ... provided that the articles are properly attributed to the authors not sold for a profit." Th
GSE Open Archive
houses and makes publicly available the GSE authors' working papers as well as published articles. Between May 21-24th, 2013, the Stanford GSE doctoral students voted in favor of a motion to enact an Open Access policy. At this time, however, despite the strong case made by Professors John Willinsky and Juan Pablo Alperin, no other Stanford academic units have stepped forward.


University of California

On July 24, 2013, the Academic Senate of the University of California (UC) approved the UC Open Access Policy for all 8,000 plus faculty at their ten campuses. Some confusion at the local campuses led to online postings of journal articles whose copyright was already owned by publishers. For example, in December 2013, the academic publishing compan
Elsevier
sent several UC faculty notices to take down certain journal articles posted openly on their campus webpages, e.g., on the department websites or faculty profiles. The UC Open Access Policy protected those faculty who had correctly uploaded their articles to the U
eScholarship
repository. In another case of misunderstanding by the faculty about open access, in March 2014 the University received a
Digital Millennium Copyright Act The Digital Millennium Copyright Act (DMCA) is a 1998 United States copyright law that implements two 1996 treaties of the World Intellectual Property Organization (WIPO). It criminalizes production and dissemination of technology, devices, or s ...
(DMCA) takedown notice for nine articles owned by the American Society for Civil Engineers (ASCE). The UC faculty authors had uploaded to eScholarship the publisher-formatted articles between 2004 and 2008, before the UC Open Access Policy had been enacted and in violation of the publisher's agreement with the authors when they gave their copyrights to the ASCE.


University of Colorado Boulder

In 2014 the Faculty Assembly of the University of Colorado Boulder approved the CU Boulde
Open Access Policy
"in order to allow for broad dissemination of their research." They granted to The Regents of the University of Colorado "a nonexclusive, irrevocable, worldwide license to exercise any and all rights under copyright relating to their scholarly work, as long as the works are properly attributed to the authors and not used for commercial purposes"—and that the individual faculty would retain full ownership of the material. Authors at UC Boulder are expected to inform publishers about the University's policy and that they "have granted a pre-existing License." The digital repository
CU Scholar
is maintained by the University Libraries and functions under

derived from the Open Access Policy. Contributions from the CU Boulder community can include working papers and 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 primarily of scholarly interest, and data sets. The Chancellor's Executive Committee recently approved the new policy, following the lead of the Council of Deans and the Office of the Provost and Executive Vice Chancellor.


University of Kansas

In 2005 the University of Kansas (KU) create
KU ScholarWorks
a digital repository for scholarly work created by KU faculty and staff. Faculty Senate President Lisa Wolf-Wendel, professor of education leadership and policy studies, approved a new policy,
Open Access Policy for University of Kansas Scholarship
on April 30, 2009, in order to provide the broadest possible access to the journal literature authored by KU faculty." In June 2009, under a faculty-initiated policy approved by Chancellor Robert Hemenway, KU became the first U.S. public university to implement an open access policy. Unless a KU author sought a waiver, all articles must be submitted t
KU ScholarWorks

Processes to Implement the KU Open Access Policy
were endorsed by the Faculty Senate in February 2010. Theses and dissertations at the University of Kansas are also openly available, however in 2010 KU Graduate Studies established a policy that a student may request permission to embargo its publication for six months, one year or two years. Graduates earning the KU Master of Fine Arts in Creative Writing or PhD in English (Literature and Creative Writing track) may request a permanent embargo.{{cite web, title=Graduate Studies Policy: Embargo Policy for Theses and Dissertations, url=http://policy.ku.edu/graduate-studies/embargo-policy, access-date=19 July 2014, website=KU Policy Library, publisher=The University of Kansas


See also

*
NIH Public Access Policy The NIH Public Access Policy is an open access mandate, drafted in 2004 and mandated in 2008,National Institutes of Health"Request for Information: NIH Public Access Policy" available at https://publicaccess.nih.gov/comments.htm. ("NIH implemented ...
*
ROARMAP The Registry of Open Access Repositories (ROAR) is a searchable international database indexing the creation, location and growth of open access institutional repositories and their contents. ROAR was created by EPrints at University of Southampt ...
* SHERPA/Juliet


References

{{Reflist, 30em


Sources

*{{cite book, last=Suber , first=Peter , title=Open access , url=http://cyber.law.harvard.edu/hoap/Open_Access_%28the_book%29 , year=2012 , publisher=
MIT Press The MIT Press is a university press affiliated with the Massachusetts Institute of Technology (MIT) in Cambridge, Massachusetts (United States). It was established in 1962. History The MIT Press traces its origins back to 1926 when MIT publis ...
, location=Cambridge, Mass. , isbn=9780262517638 , edition=The MIT Press Essential Knowledge Series , author-link=Peter Suber , access-date=2016-01-26 ** See especiall
Chapter 4, Policies
an
Section 4.2, Digression on the word "Mandate"


External links

{{Scholia, topic

{{Webarchive, url=https://web.archive.org/web/20070519103647/http://www.earlham.edu/~peters/fos/overview.htm , date=19 May 2007 by Peter Suber
Registry of Open Access Repositories Mandatory Archiving Policies (ROARMAP)Good practices for university open-access policies
by Stuart Shieber and Peter Suber. {{Open access navbox {{DEFAULTSORT:Open access mandate Open access (publishing) Policy