Picarra, M. (2015, Dec.). Monitoring compliance with Open Access policies. PASTEUR4OA. Full Text

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.

Comment: The paper discusses ORCIDs, DOIs, FundRef, the unique identifiers which, when included in publications, will facilitate the process of monitoring compliance.  It also notes that the RIOXX metadata application profile has been developed and can be implemented in a DSpace repository to ensure that the right metadata is recorded by institutional repositories, that consistent tracking of OA publications is maintained and, ultimately, that systematic information can be collected to report on policy compliance (see p. 7).

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