收稿日期: 2016-07-06
修回日期: 2016-09-07
网络出版日期: 2016-09-20
Research on the Mandatory OA Policy with Incentive Measures
Received date: 2016-07-06
Revised date: 2016-09-07
Online published: 2016-09-20
[目的/意义] 随着国际组织、国家和科研及基金资助机构对开放获取（OA）运动的支持力度进一步加强，开放获取政策不仅在数量上不断增加，其强制力度也在加深，促进了全球科研交流的发展。总结梳理强制性且带有激励措施的OA政策的实践进展，可为我国相关政策主体制定与改进相应的OA政策提供借鉴和参考。[方法/过程] 首先通过文献调研及网站调研强制性且带有激励措施的OA政策的制定现状，分别概括基金资助机构与科研机构的此类政策所包含的激励措施的特点；其次，以科研机构为例，利用机构WOS论文在机构指定的存储库中的存储情况来反映机构OA政策的执行效果，对比分析此类政策与未制定激励措施的强制性OA政策、鼓励性OA政策实施效果的差异。[结果/结论] 目前制定强制性且带有激励措施的OA政策的机构较少，基金资助机构主要采取削减项目资助资金或取消受资助者再次申请基金资格的惩罚性措施来督促科研人员遵守其OA政策，科研机构则将科研人员遵守OA政策的情况与其绩效评估相挂钩，借以激励机构成员实现研究产出的开放获取；实证分析发现强制性且带有激励措施的OA政策相比于另外两类OA政策执行力度更强、实施效果更好。
张燕 , 刘筱敏 . 强制性且带有激励措施的OA政策调研及实例分析[J]. 图书情报工作, 2016 , 60(18) : 89 -100 . DOI: 10.13266/j.issn.0252-3116.2016.18.011
[Purpose/significance] With international organizations, countries, funding agencies and research institutions improving their support for open access, the number of open access policy has been increasing, and its enforcement has been heightened, which promotes the development of global research communication. Analyzing the mandatory OA policy which owns incentive measures is of significant value to make and improve the OA policy in China. [Method/process] By analyzing the mandatory OA policy with incentive measures which registered on MELIBE and ROARMAP system, this paper gets the present situation of the development of such policies. And then it chooses the top 50 universities in the UK as an example to analyze their WOS paper storage rates in the assigned IR which is on behalf of the compliance rate of OA policy. [Result/conclusion] Funding agencies mostly use the punitive measures of cutting money for the project or cancelling the grantees' qualification of applying the fund again to urge researchers to comply with its policy, and scientific research institutions link researchers' performance of self-archiving with agencies' performance evaluation to inspire researchers to let their research results being open access. This kind of policy shows better implemented effects.
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