Implementing Policies

Careful implementation of policies will create a more successful open access framework across an institution.

Introduction

The implementation of Open Access should be led from the top but be supported at all levels across the institution. A Publications Policy is a key element of this, clearly identifying the institution’s commitment to Open Access. The work and necessary resources to implement a policy should not be underestimated and this work does not end when the policy is written and approved, it must be enacted.

Implementing an Open Access Publications Policy

The Publications Policy section provides background and details about Open Access Policies while this section focuses on effective implementation.

The Portugese RCAAP Open Access Policies Kit [1] identifies 4 key stages for the effective implementation of an Open Access Policy:

• Analysis and planning
• Definition and approval
• Promotion
• Implementation

There is a 5th stage that is the effective monitoring and management of the policy after implementation. Chris Armbuster notes in a review of 9 case studies that implementing a policy will take “considerable energy” [2].

Case Study: University of Minho, Portugal

The University of Minho introduced its mandate in November 2004, this was implemented with an innovative “financial supplement” approach research centre/departments to encourage deposit. In its first year, the repository grew to 2900 documents by November 2005 from a baseline of 600 [3].

Core policy elements

An Open Access Policy for an institution should include a number of core elements.

• Institutional support for Open Access
• Copyright and the institutional position on embargoes
• Scope and content of material covered
• Role of the repository
• Demonstration of public good

Setting up an Open Access Repository

The set-up and implementation of an Open Access Repository is well documented and resources such as those from the Repository Support Project [4] provide guidance on the selection of software, set-up of workflows, use of metadata and a planning checklist.

Embedding the Open Access Repository

The repository can only deliver the maximum Open Access impact when it is embedded into the business and activities of the institution. The repository is not a static entity but a dynamic set of services which can draw together different  university functions to deliver an enhanced set of academic services in a flexible structure that supports research dissemination, use, and reputation.

This must be done across a range of areas and address technology, relationships and policies. Work to embed these activities at the University of Glasgow is listed as case study in Key Resources.

Open Access: Looking to the Future and the Open Agenda

As Open Access policies, repositories and relationships with publishers and funding bodies continue to evolve this work will inform and shape the wider Open Agenda.

The Open Agenda includes Open Access but also Open Data, Open Standards and Open Scholarship. It’s a transformative agenda which can help ensure Universities play a leading role in the knowledge economy. It supports innovation, collaboration and sharing to stimulate knowledge transfer and enable research to have the maximum impact.

The University of Glasgow aims to transfer as much Intellectual Property into commercial use as it can, to the benefit of our partners, the community and the economy [5].

The groundbreaking initiative is an example of how an instution can align with the Open agenda and build on the implementation of open access.

Further Information

• Key resources for implementing policies

References

1 RCAAP Open Access Policies Kit
2 Armbuster, C (2010) Implementing Open Access: Policy Case Studies
3 Ferreira, M., Rodrigues, E., Baptista, A. A. and Saraiva, R (2008) Carrots and Sticks: Some Ideas on How to Create a Successful Institutional Repository, D-Lib Magazine, 14, 1
4 Repository Support Project: Start
5 Glasgow pioneers free Intellectual Property for industry