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Thursday, September 28, 2006

Crafting an OA mandate

Stevan Harnad, Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How? Open Access Archivangelism, September 27, 2006.

Summary:  With the adoption of Open Access Self-Archiving Mandates worldwide so near, this is the opportune time to think of optimizing how they are formulated. Seemingly small parametric or verbal variants can make a vast difference to their success, speed, and completeness of coverage:
     What to mandate: The primary target content is the author's final, peer-reviewed draft ("postprint") of all journal articles accepted for publication.
     Why to mandate self-archiving: The purpose of mandating OA self-archiving is to maximize research usage and impact by maximizing user access to research findings.
     Where to self-archive: The optimal locus for self-archiving is the author's own OAI-compliant Institutional Repository (IR). (It is highly inadvisable to mandate direct deposit in a Central Repository (CR) -- whether discipline-based, funder-based, multidisciplinary or national. The right way to get OA content into CRs is to harvest it from the IRs (via the OAI protocol).)
     When to self-archive: The author's final, peer-reviewed draft (postprint) should be deposited in the author's IR immediately upon acceptance for publication. (The deposit must be immediate; any allowable delay or embargo should apply only to the access-setting, i.e., whether access to the deposited article is immediately set to Open Access or provisionally set to Closed Access, in which only the author can access the deposited text.)
     How to self-archive: Depositing a postprint in an author's IR and keying in its metadata (author, title, journal, date, etc.) takes less than 10 minutes per paper. Deposit analyses comparing mandated and unmandated self-archiving rates have shown that mandates (and only mandates) work, with self-archiving approaching 100% of annual institutional research output within a few years. Without a mandate, IR content just hovers for years at the spontaneous 15% self-archiving rate.

Comment.  Any funder or university considering an OA mandate would do well to follow this advice.  For my own recommendations, see my August 2006 article, Ten lessons from the funding agency open access policies.