Funders, universities, and research institutions have been striving to make research freely accessible to the public for over two decades. Their efforts have been driven by several factors: peer pressure, institutional goals and objectives, compliance requirements—and a sense of moral obligation to share knowledge.
A 2018 study estimated that approximately 28% of scholarly articles were open access in the corpus it assessed. The share depends on publication year, dataset, and the type of access; the study is useful historical context, not a current estimate.
This guide is designed to provide you an overview of how Open Access works, giving you a solid grasp of what is involved and the benefits that can be reaped. We also highlight some of the most common questions surrounding Open Access publishing, helping you make more well-informed choices.
What is Open Access?
Open Access (OA) means scholarly research is available online to read without requiring a subscription or payment to access the article.
However, free to read does not always mean free to reuse. The rights to copy, adapt, distribute, or otherwise reuse an article depend on its license, copyright agreement, and the version of the manuscript that is available.
Open Access can apply to journal articles, books, datasets, theses, and other forms of scholarly output. The specific conditions for access and reuse vary between publications.
The benefits of Open Access
Open Access can make research available to a much wider audience, including researchers, students, educators, policymakers, and members of the public who may not have access to subscription-based journals.
Some common characteristics of Open Access research include:
- Readers can access the work without paying a subscription fee.
- Research can reach audiences beyond institutions with journal subscriptions.
- Depending on the license, readers may be permitted to reuse, distribute, or adapt the work.
- Researchers can share their work through journals, repositories, or other permitted channels.
Open Access does not guarantee that an article will receive more citations, downloads, or attention. Its primary benefit is removing or reducing barriers to accessing the research.
What is Open Access publishing?
Open Access publishing caught on in the early 2000s. Three major declarations came during this time — Berlin, Budapest, and Bethesda. These declarations proposed that scholarly publications should be free to read and reproduce for all concerned, with appropriate citations. The proposals outlined that Open Access publishing should focus on unrestricted distribution, interoperability, and long-term archiving of scholarly literature.
Presently, you have academic journals that are fully Open Access and some that work on a hybrid model. While fully Open Access journals publish scientific literature with liberal copyrights, hybrid journals offer a combination of both restricted and Open Access publishing.
What are Open Access journals?
Open Access journals are scientific journals that have limited financial, legal, or technical barriers to access. The publishers won't charge readers anything to read the journal or individual research articles in most cases. Anyone can freely access — read, download, copy, distribute, print, search for the information within, or use papers for educational purposes — as far as it fulfills the prescribed legal conditions.
Open Access journals like MDPI levy authors a certain sum, otherwise known as the Article Processing Charge, to support themselves. These charges are often paid for by the authors' institutes or research funding bodies. Such journals are mostly Gold Open Access.
Why does Open Access publishing matter?
Copyright and reuse rights depend on the publication agreement and license. Authors may retain rights to share an accepted manuscript or publish an open version, subject to their agreement and funder policy.
This is why the Open Access movement has gained prominence over the last two decades. By shattering the access barriers associated with research sharing, the campaign hopes to:
The mechanics of Open Access publishing
Copyright regulations mean it is not always possible to make the published version freely accessible. But the good news is that you can still make other versions of the manuscript widely available.
Let's review the different manuscript versions and the various Open Access publishing models in existence.
The publishing process can be confusing. There are different manuscript versions that are used — pre-print, post-print, and published — which can be used to classify a research paper based on its current state in the publication process.
1. Preprint
It is the original version of the manuscript submitted to the publisher. While it is common for authors to share the document with peers for validation and minor edits, it wouldn't have gone through formal peer-review, editing, or formatting.
2. Post-print
The version of the manuscript has gone through a formal peer-review process, and the author has made revisions based on the feedback received. It is otherwise called Accepted Author Manuscript (AMM).
3. Published
This is the post-processed version of the manuscript that is professionally edited and typeset by the publisher.
Types of Open Access
There are several commonly used Open Access models. They differ mainly in where the article is made available, who pays publication costs, and what reuse rights readers receive.
1. Gold Open Access
With Gold Open Access, the final published article is made immediately available to readers without a subscription.
Some Gold OA journals charge an Article Processing Charge (APC), although APCs are not universal. The cost may be covered by the author, institution, funder, or another source.
2. Green Open Access
Green Open Access involves depositing a permitted version of the manuscript in a repository, such as an institutional repository or subject-specific repository.
The version that can be deposited, and when it can become publicly available, depends on the publisher's policy. Some publishers impose an embargo before an accepted manuscript can be made publicly accessible.
3. Diamond Open Access
Diamond Open Access, sometimes called Platinum Open Access, makes research freely available to readers without charging authors publication fees.
These journals are often supported by universities, scholarly societies, institutions, governments, grants, or other organizations.
4. Delayed Open Access
With Delayed Open Access, an article initially remains behind a paywall and becomes freely available after a specified embargo period.
The length of the embargo varies by publisher and journal.
5. Hybrid Open Access
A hybrid journal operates primarily under a subscription model but allows authors to make individual articles Open Access, usually by paying an APC.
Paying an APC does not automatically mean the author receives full copyright ownership. Copyright and reuse rights depend on the publishing agreement and license.
6. Bronze Open Access
Bronze Open Access generally describes articles that are free to read on a publisher's website but do not have a clearly identifiable open license permitting reuse.
Because the licensing terms can be unclear or restrictive, being freely accessible does not necessarily mean the article can be freely redistributed or adapted.
7. Gratis and Libre Open Access
The terms gratis and libre are sometimes used to distinguish different levels of Open Access.
- Gratis Open Access means the work is free to read.
- Libre Open Access means the work is free to read and carries additional reuse rights through an open license.
The distinction is important because removing a paywall does not necessarily remove copyright restrictions.
Creative Commons Licenses
Creative Commons (CC) licenses provide standardized ways for creators to communicate how others can reuse their work.
Different CC licenses allow different types of reuse. The main licenses include:
- CC BY: Allows reuse and adaptation as long as the creator is credited.
- CC BY-SA: Allows reuse and adaptation with attribution, but adaptations must be distributed under the same license.
- CC BY-ND: Allows redistribution with attribution but does not permit derivatives or adaptations.
- CC BY-NC: Allows reuse and adaptation for non-commercial purposes with attribution.
- CC BY-NC-SA: Allows non-commercial reuse and adaptation with attribution, provided adaptations use the same license.
- CC BY-NC-ND: Allows people to share the work with attribution for non-commercial purposes, but does not permit adaptations.
Always check the specific license attached to an article before reproducing, adapting, or redistributing it.
What is Open Access archiving?
Open Access archiving is a way to preserve and make your research accessible to everyone. While some publishers allow you to archive the published version of your article, others only let you archive the preprint version of your academic research article.
The potential impact of archiving your Open Access journal articles:
Types of archives
There are three options for archiving your Open Access publications:
1. Dark Archive
A dark archive is a digital preservation system that is not intended for ordinary public access. It acts as a backup or preservation copy of scholarly content.
Examples include preservation services such as CLOCKSS, LOCKSS, and Portico.
2. Light Archive
A light archive makes scholarly content publicly accessible. These can include subject repositories and institutional repositories that provide access to research outputs.
Examples include repositories operated by universities and disciplinary communities.
3. Dim Archive
A dim archive sits between fully restricted and openly accessible preservation. Access to some content may be limited while other material is publicly available.
The terminology and classification of repository types can vary, so researchers should check how a particular repository defines its access and preservation policies.
What is Plan S?
For a specific grant, check the current funder implementation roadmap and the award terms before choosing a journal or repository route.
Plan S applies to research funded by participating cOAlition S organizations, subject to each funder’s implementation. Its supported routes include qualifying open journals or platforms and immediate access to an accepted manuscript or version of record in a repository under the applicable open license.
What is an Open Access Mandate and should you have one?
An Open Access mandate refers to a policy adopted by a funder, institution, or the government which necessitates researchers to make their research articles public. This can be done via two routes: Green Open Access or Gold Open Access.
Mandates can come from:
- Research funders
- Universities and research institutions
- Governments
- Other organizations that support or commission research
Depending on the policy, researchers may be able to comply through Gold Open Access, Green Open Access, or another approved route.
The exact requirements vary. Some policies specify which version of an article must be deposited, how quickly it must become available, which license should be applied, and whether researchers can request an exception or waiver.
Universities including Harvard, MIT, ETH Zurich, the University of Liège, and University College London have implemented Open Access policies, although their requirements and approaches differ.
![Article Process Charges paid for Open Access Publishing [2021]](https://payload.internal.scispace.com/api/media/file/images-2022-02-image-38.png?prefix=media)
Why Are University Open Access Policies Difficult to Implement?
Creating an Open Access policy is one thing; getting researchers to follow it consistently can be more difficult.
Institutions may need to manage manuscript deposits, copyright and licensing questions, metadata, repository infrastructure, compliance monitoring, staff resources, and publication costs.
Researchers may also be uncertain about which version of their manuscript they can legally share or may have limited time to complete repository deposits.
Challenges Involved in Implementing Open Access Mandates
Common challenges include:
- Managing repository deposits and metadata
- Determining which manuscript versions can be shared
- Understanding publisher copyright and licensing conditions
- Tracking compliance with institutional and funder policies
- Covering APCs and other publishing costs
- Maintaining repository infrastructure and staff support
- Ensuring deposited research is discoverable and properly indexed
A clear institutional workflow can reduce some of this administrative burden, particularly when researchers have straightforward guidance on where and how to deposit their work.
What Is the Role of Repositories in Open Access Publishing?
An Open Access institutional repository can preserve and share permitted versions of a university’s work. Open availability can help disseminating knowledge, although its effect on citations and downloads varies by field.
Repositories can support Open Access in several ways.
1. Offers greater control
An institution can manage how its repository is organized, including the metadata, content types, branding, and access settings.
This gives the institution a way to preserve and showcase its research output independently of individual publisher websites.
2. Acts as a centralized platform
A repository can bring together an institution's research papers, theses, dissertations, datasets, reports, and other scholarly outputs.
Content can be organized by author, department, publication type, subject, keywords, or other metadata, making it easier for users to discover relevant research.
3. Makes it easier to meet Open Access requirements
Institutional repositories can provide one route for meeting funder or institutional requirements to deposit research.
However, researchers still need to check the applicable policy and publisher terms to determine which version can be deposited and when it can be made publicly available.
4. Provides access to research that may otherwise be behind a paywall
When publisher policies permit repository sharing, researchers can make an eligible manuscript version available even when the final version remains behind a subscription paywall.
Repositories can also help institutions track embargo periods and manage access conditions.
Open Access Advocacy in Your Institution
Now that you have a fundamental understanding of Open Access publishing, the next question is how do you promote it in your institution to get greater 'buy-in' for the Open Access movement from all the stakeholders: deans, librarians, researchers, and students to the local community?
Here are some ways institutions can encourage participation:
1. Reach out to the local community
Universities can work with schools, educational organizations, libraries, museums, and community groups to make appropriate research and educational resources more accessible.
2. Recognize repository contributors
Institutions can recognize researchers who consistently deposit their work or contribute to the repository. Recognition can help increase awareness and participation.
3. Set up an Open Access publishing fund
APCs can be a barrier for researchers who want to publish in fee-based Open Access journals. Institutions can consider creating funds or agreements that help eligible researchers cover publication costs.
4. Make copyright guidance easier to access
Researchers may hesitate to deposit their work because they are unsure which version they can legally share.
Clear copyright guidance and repository workflows can help researchers understand what they can deposit and under which conditions.
5. Join Open Access advocacy organizations
Institutions can participate in organizations and networks that support Open Access and scholarly communication. These groups can provide policy resources, research, training, and opportunities to collaborate with other institutions.
6. Make Open Access part of campus activities
Libraries and scholarly communication teams can introduce Open Access through workshops, courses, research training, and other campus activities.
Institutions can promote newly deposited research through newsletters, email alerts, websites, and social media. Short summaries can help readers understand why a new publication may be relevant to them.
8. Encourage faculty participation
Researchers with established reputations can help demonstrate how repository deposits and Open Access publishing fit into normal research workflows. Their participation can also help raise awareness among colleagues and students.
Wrapping up
Hopefully, the guide has helped you gain a fundamental understanding of Open Access publishing and principles. Now, it is time for you to start incorporating and implementing the various practices and strategies and work towards building a world where access to scientific knowledge is democratized.
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