[目的/意义]通过对国外机构知识库存缴机制与政策的调查分析，希望为我国机构知识库在内容存缴机制和政策保障方面提供借鉴。[方法/过程]首先，从存缴内容、存缴方式及流程、组织保障3方面对国外机构知识库的存缴机制进行研究，其次，从资助机构和科研机构存缴政策两方面对国外机构知识库存缴政策进行详细的分析。[结果/结论]通过对国外机构知识库存缴机制与政策的分析，发现国外机构知识库存缴内容和来源多种多样，中介存缴、OAI-PMH开放获取收割方式是必然趋势；在存缴政策方面，资助机构和科研机构实施的强制性存缴政策对资源的存缴起着决定性作用，尤其是在国家不同层面制定政策来促进资源的存缴；在科研机构层面政策的制定上，辅助以激励政策，与科研管理系统相关联进行科研评价也是促进资源存缴与开放的一种新的政策模式。
[Purpose/significance] Through the investigation and analysis of the deposit mechanism and policies of the foreign institutional repositories, we hope to provide reference for our institutional repositories in content deposit mechanism and policy guarantee. [Method/process] First of all, this paper studies the deposit mechanism of foreign institutional repositories from three aspects:deposit contents,deposit methods and processes, and organizational security. Secondly, we analysis in detail the deposit policy of foreign institutional repositories from two aspects:the funding agencies and research organizations. [Result/conclusion] Through the analysis of the deposit mechanism and policies of the foreign institutional repositories, it is found that the content and source of the foreign institutional repositories are varied, and the intermediary deposit and OAI-PMH open access harvest are inevitable trends; in terms of deposit policy, the mandatory deposit policies implemented by funding agencies and research organizations play a decisive role in the deposit of resources, especially setting policies at different levels of the country to promote the deposit of resources; setting policies at the level of research organizations assisted with incentive policy and associated with research management system to evaluate research is a new policy model to promote the deposit and open access of publication.
[1] SPEC kit 292 institutional repositories[EB/OL].[2017-08-15].https://works.bepress.com/jill_emery/24/.
[2] COVEY D T.Recruiting content for the institutional repository:the barriers exceed the benefits[J]. Journal of digital information, 2011, 12(3):1-18.
[3] Motivating and impeding factors affecting faculty contribution to institutional repositories[EB/OL].[2017-08-15].https://journals.tdl.org/jodi/index.php/jodi/article/view/193/177.
[4] SALO D. Innkeeper at the roach motel[J]. Library trends, 2008, 57(2):98-123.
[5] GARGOURI Y, LARIVIE V, GINGRAS Y, et al. Testing the finch hypothesis on green OA mandate ineffectiveness[EB/OL].[2017-08-16]. https://arxiv.org/vc/arxiv/papers/1210/1210.8174v1.pdf.
[6] Economic implications of alternative scholarly publishing models:exploring the costs and benefits. JISC EI-ASPM Project. A report to the Joint Information Systems Committee (JISC)[EB/OL].[2017-08-15]. https://www.researchgate.net/publication/48352211_Economic_implications_of_alternative_scholarly_publishing_models_exploring_the_costs_and_benefits_JISC_EI-ASPM_Project_A_report_to_the_Joint_Information_Systems_Committee_JISC.
[7] BJÖRK B C, LAAKSO M, WELLING P, et al. Anatomy of green open access[J]. Journal of the American Society for Information Science and Technology, 2014, 65(2):237-250.
[8] BORREGO Á.Institutional repositories versus researchgate:the depositing habits of spanish researchers[J]. Learned publishing, 2017, 30(3):185-192.
[8] 肖希明, 唐义. 国内外学术机构知识库的调查与分析[J]. 图书馆论坛, 2010, 30(6):41-45.
[10] 陈美华, 刘文云, 刘昊,等. 国内外机构知识库建设研究[J]. 情报理论与实践, 2015, 38(9):55-59, 63.
[11] 顾立平. 开放获取资源的发展研究[J]. 信息资源管理学报, 2014(1):46-55.
[12] How to fill your institutional repository:or, practical lessons I lerned by doing[EB/OL].[2017-04-06]. http://digitalcommons.unl.edu/cgi/viewcontent.cgi?article=1041&context=library_talks.
[13] Welcome to ROARMAP[EB/OL].[2017-08-16]. http://roarmap.eprints.org/.
[14] MIT authors' opt-in open access license[EB/OL].[2017-06-17].http://libraries.mit.edu/scholarly/mit-open-access/opt-in-oa-license.
[15] Ranking web of repositories[EB/OL].[2017-05-07]. http://repositories.webometrics.info/en/world.
[16] Top institutionals ranking web of repositories[EB/OL].[2017-05-07]. http://repositories.webometrics.info/en/top_Inst.
[17] About Juliet-Research Funders' open access policies[EB/OL].[2017-05-08]. http://www.sherpa.ac.uk/juliet/index.php?la=en&mode=simple&page=about.
[18] Kyoto University library network:depositing your article[EB/OL].[2017-05-08]. http://www.kulib.kyoto-u.ac.jp/content0/13090?lang=en.
[19] 西班牙、法国开放存取的实践与成果[EB/OL].[2017-05-09]. http://www.zhixing123.cn/shijian/51632.html.
[20] HAL-Inria[EB/OL].[2017-05-10].https://hal.inria.fr/.
[21] UQ eSpace[EB/OL].[2017-05-11].http://espace.library.uq.edu.au/.
[22] UCL Discovery[EB/OL].[2017-05-12]. http://discovery.ucl.ac.uk/.
[23] UCL Discovery:UCL Discovery Plus[EB/OL].[2017-05-14]. http://discovery.ucl.ac.uk/plus/.
[24] TSpace repository:about tspace[EB/OL].[2017-05-16]. https://tspace.library.utoronto.ca/about/collectionpolicies.jsp#content_guidelines.
[25] Canadian Association of Research Libraries adoptive repositories[EB/OL].[2017-05-16]. http://www.carl-abrc.ca/advancing-research/institutional-repositories/adoptive-repositories/.
[26] ERA[EB/OL].[2017-04-06]. https://era.library.ualberta.ca/.
[27] PRISM:university of calgary digital repository[EB/OL].[2017-05-16]. http://dspace.ucalgary.ca/.
[28] PubMan online help[EB/OL].[2017-05-21]. http://pubman.mpdl.mpg.de/pubman/faces/help/eSciDoc_help_en.jsp.
[29] Pure[EB/OL].[2017-05-21]. http://www.southampton.ac.uk/research/researcher-support/pure.page.
[30] Apollo-University of Cambridge repository[EB/OL].[2017-05-26]. https://www.repository.cam.ac.uk/.
[31] Deposit in the Oxford University research archive (ORA)[EB/OL].[2017-05-26]. https://ora.ox.ac.uk/information/deposit.
[32] Symplectic elements deposit pilot[EB/OL].[2017-05-27]. http://osc.cam.ac.uk/open-research/symplectic-elements-deposit-pilot.
[33] About ucldiscovery[EB/OL].[2017-05-27]. http://discovery.ucl.ac.uk/about.html.
[34] Collection development policy, digital commons institutional repositor[EB/OL].[2017-05-29]. http://digitalcommons.unl.edu/librarycolldev/67/.
[35] The NASA astrophysics data system:architecture[EB/OL].[2017-05-29].http://aas.aanda.org/articles/aas/pdf/2000/07/ds1784.pdf.
[36] Electronic publishing at heiDOK[EB/OL].[2017-05-29].http://archiv.ub.uni-heidelberg.de/volltextserver/help/ext_howto.html.
[37] Lirias[EB/OL].[2017-05-29]. https://lirias.kuleuven.be/.
[38] Public knowledge project[EB/OL].[2017-05-29].https://pkp.sfu.ca/?q=ojs.
[39] Submitting a publication[EB/OL].[2017-05-29].https://iww.inria.fr/hal/aide/spip.php%3Frubrique30&lang=en.html.
[40] Import publications[EB/OL].[2017-05-29].https://iww.inria.fr/hal/aide/spip.php%3Frubrique74&lang=en.html.
[41] About DSpace@MIT:policies[EB/OL].[2017-06-01]. http://libguides.mit.edu/c.php?g=176372&p=1158986.
[42] Deep blue roles and responsibilities[EB/OL].[2017-05-29].https://deepblue.lib.umich.edu/static/about/deepblueroles.html.
[43] OA policy contacts office of scholarly communication[EB/OL].[2017-05-29].http://osc.universityofcalifornia.edu/open-access-policy/oa-contacts/.
[44] SHERPA/JULIET-list of all research funders[EB/OL].[2017-05-29]. http://www.sherpa.ac.uk/juliet/index.php?la=en&mode=simple&page=browse.
[45] SHERPA/JULIET-research excellence framework[EB/OL].[2017-05-29]. http://www.sherpa.ac.uk/juliet/index.php?fPersistentID=1060&la=en&mode=simple.
[46] SHERPA/JULIET-Canadian foundation for healthcare improvement[EB/OL].[2017-06-03].http://www.sherpa.ac.uk/juliet/index.php?fPersistentID=285&la=en&mode=simple.
[47] SHERPA/JULIET-formas[EB/OL].[2017-06-03]. http://www.sherpa.ac.uk/juliet/index.php?fPersistentID=452&la=en&mode=simple.
[48] SHERPA/JULIET-forskningsrådet för hälsa, arbetsliv och välfärd[EB/OL].[2017-06-03]. http://www.sherpa.ac.uk/juliet/index.php?fPersistentID=455&la=en&mode=simple.
[49] SHERPA/JULIET-bundesministerium für bildung und forschung[EB/OL].[2017-06-03]. http://www.sherpa.ac.uk/juliet/index.php?fPersistentID=1127&la=en&mode=simple.
[50] RCUK training grant guide-research councils UK[EB/OL].[2017-06-03].http://www.rcuk.ac.uk/publications/researchers/rcuk-training-grant-guide/.
[51] 学位規則の一部を改正する省令の施行について:文部科学省[EB/OL].[2017-06-03].http://www.mext.go.jp/a_menu/koutou/daigakuin/detail/1331790.htm.
[52] オープンアクセスに関する JST の方針[EB/OL].[2017-06-03].http://www.jst.go.jp/pr/intro/pdf/policy_openaccess.pdf.
[53] Open access monograph and book chapter deposit form[EB/OL].[2017-06-03].https://oadeposit.wellcome.ac.uk/oa/.
[54] ARC open access policy[EB/OL].[2017-06-03].http://www.arc.gov.au/arc-open-access-policy.
[55] Boletin ofical del estado[EB/OL].[2017-06-07].http://www.boe.es/boe/dias/2011/06/02/pdfs/BOE-A-2011-9617.pdf.
[56] Legal framework-uab barcelona[EB/OL].[2017-06-17].http://www.uab.cat/web/research/open-access-uab/about/legal-framework-1345692532447.html.
[57] Financing open access publications[EB/OL].[2017-06-17].http://uba.uva.nl/en/services/citing-and-publishing/open-access/financing-open-access-publications.html#anker-netherlands-organisation-for-scientific-research-nwo-.
[58] Policy history[EB/OL].[2017-06-17].http://osc.universityofcalifornia.edu/open-access-policy/policy-history/.
[59] New open access policy[EB/OL].[2017-06-17].http://www.library.illinois.edu/news/openaccesspolicy.html.
[60] University of Illinois urbana-champaign senate senates executivecommittee(final; action)[EB/OL].[2017-06-19].http://www.senate.illinois.edu/sc1512.pdf.
[61] OA policies[EB/OL].[2017-06-20].http://guides.lib.vt.edu/oa/policies.
[62] University of Pennsylvania faculty open-access statement of principles for scholarly articles[EB/OL].[2017-06-20].http://www.upenn.edu/almanac/volumes/v58/n03/openaccess.html.
[63] University of Southampton calendar 2015/16[EB/OL].[2017-06-20].http://www.calendar.soton.ac.uk/sectionIV/open-access.html.
[64] Oxford University research archive[EB/OL].[2017-06-20].https://ora.ox.ac.uk/https://ora.ox.ac.uk/.
[65] 刘思峰, 杨英杰. 英国高校科研评估的卓越框架及其借鉴价值[J].中国高校科技, 2015(12):7-10.
[66] 中国科学院机构知识库网格(CAS IR GRID)[EB/OL].[2017-06-20].http://www.irgrid.ac.cn/search-filter?field=dc.type_filter&gobackurl=.
[67] 西安交通大学机构知识库[EB/OL].[2017-06-20].http://www.ir.xjtu.edu.cn/jspui/community.
[68] 国家自然科学基金委员会关于受资助项目科研论文实行开放获取的政策声明[EB/OL].[2017-08-16]. http://www.nsfc.gov.cn/publish/portal0/tab38/info44471.htm.
[69] Policies & legislation office of scholarly communication[EB/OL].[2017-06-20].http://osc.universityofcalifornia.edu/scholarly-publishing/policies-legislation/.
