Model Self-Archiving Policies for Research Funders

From: Stevan Harnad <>
Date: Mon, 2 Jan 2006 04:29:57 +0000

Two model self-archiving policies for public (and private) research
funders have been added as links to the sign-up page of the Institutional
Self-Archiving Policy Registry:

The recommended policy model is the Stronger Version:

The Weaker Version is only intended in cases where there is delay
in getting the Stronger Version adopted:

The policy models were drafted collaboratively by Alma Swan, Arthur Sale,
Subbiah Arunachalam, Peter Suber and Stevan Harnad by modifying the
Wellcome Trust Self-Archiving Policy
to eliminate the 6-month embargo and the central archiving requirement.

I append the Stronger Version below. The two items in which the Weaker
Version differs are *(2) and **(g).

    The Optimal National Open Access Policy

The following optimal wording for a National Policy on Open Access for
[country-name] is recommended:

The [country-name] Government expects the authors of papers reporting
publicly-funded research to maximise the accessibility, usage and
applications of their findings. To this end:

As a condition for research funding, the [country-name] Government:

(1) requires electronic copies of any research papers that have been
accepted for publication in a peer-reviewed journal, and are supported
in whole or in part by Government funding, to be deposited into an
institutional digital repository immediately upon acceptance for
publication. This requirement will apply to all grants awarded after
[date-1] and, from [date-2], to all grants regardless of award date;

*(2) encourages Government Grant Holders to retain ownership of the
copyright of published papers where possible;

(3) encourages Government Grant Holders to publish in a suitable Open
Access Journal where one exists; the Government will cover the
publication costs, if any.


(a) What are the benefits to researchers of Open Access?

As authors, researchers benefit because their research papers are given
a much wider dissemination and can be read without restriction by anyone
with Internet access. This increases the impact of their research.
Indeed, evidence is accumulating to show that open access articles are
cited 25-250% more than non-open access articles from the same journal
and year [footnote 1]. As readers, researchers benefit because they will
increasingly be able to access and use the full text of all the research
published in their area, not just the research available to them via the
subscriptions their institution can afford.

(b) What are the benefits to [country-name]?

First, [country-name's] research will be more accessible to global
researchers, hence better known and more widely used and cited. The
prestige of high-profile [country-name] researchers will increase; even
lesser-known researchers will gain more exposure and impact. Second, all
[country-name] research will be open to all [country-name] entrepreneurs
and the general public with Internet access. This will be beneficial
both commercially and culturally. Third, access, usage and citation data
on this research will increasingly become available and analysable to
help shape researchers', institutions' and nations' strategies and

(c) What should be deposited when I have a paper ready for publication?

The final manuscript of the author's research paper should be deposited.
This is the author's own final draft, as accepted for journal
publication, including all modifications resulting from the peer-review
process. (In addition, depositing pre-peer-review preprint drafts is
welcome, if the author desires early priority and peer feedback, but
this is of course not a requirement. In some cases publishers may permit
their own published version, either in SGML/XML or PDF, to be deposited
as well; this too is welcome, but not a requirement.)

(d) When should papers be deposited?

An electronic version of the author's final manuscript resulting from
research supported, in whole or in part, by Government funding must be
deposited immediately upon acceptance for publication.

(e) Will authors still be able to publish in a journal of their choice?

Authors will of course still decide in which journal they choose to
publish their research papers. They will merely have to ensure that a
copy of the final, peer-reviewed paper is deposited in their
institutional repository immediately upon acceptance for publication.

(f) How can I find out whether my journal has a policy compliant with
depositing my manuscript in my institutional repository?

You should consult the individual journal's policy which is given at: or at

**(g) How do I ensure contractual compliance?

Authors' contractual obligations for receiving Government funding to
conduct their research pre-date any contractual agreement with the
journal in which the resulting research is published (apart from the
brief transitional period when this new policy is first announced).
Hence authors can ensure in advance that any later contractual agreement
for publishing their research complies with the author's earlier
contractual agreement for funding their research, informing the journal
that they are under an existing obligation to deposit in an open access
repository. The Government's Grant Conditions are mandatory and binding
on institutions, grant holders, and all others supported by a grant.

(h) What is an open access journal?

An open access journal makes articles it publishes freely accessible
online [footnote 2]. Some open access journals also cover their costs
by charging the author's institution or funder for publication. The
Government will cover such open access publication costs where needed.

(i) What kind of papers should I deposit?

The policy applies to peer-reviewed, original (primary) research
publications and reviews that have been supported, in whole or in part,
by Government funding. The policy does not apply to book chapters,
editorials, or book reviews.

(j) Do I need to deposit my paper if the journal publishing my research
already provides immediate open access to my articles?

Deposit is not required but is still recommended even if a manuscript
has been accepted by an open access journal. Your institution will still
wish to have your work deposited in its repository to enable it to
maintain a compete record of institutional research output.


1. Ten-Year Cross-Disciplinary Comparison of the Growth of Open Access and
How it Increases Research Citation Impact. IEEE Data Engineering
Bulletin, Vol. 28 No. 4, December 2005

2. Directory of Open Access Journals


Weaker Version:

*(2) encourages Government Grant Holders to set access to their
deposited papers to Open Access immediately upon deposit and to retain
ownership of the copyright of published papers where possible;

**(g) (removed)
Received on Mon Jan 02 2006 - 04:33:02 GMT

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