Optimizing OA archiving mandates

Stevan Harnad, Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How?  A technical report for the University of Southampton Department of Electronics and Computer Science, self-archived October 13, 2006.

Abstract:   With the adoption of Open Access Self-Archiving Mandates worldwide so near, this is the opportune time to think of optimizing how they are formulated. Seemingly small parametric or verbal variants can make a vast difference to their success, speed, and completeness of coverage:
--What to mandate: The primary target content is the author's final, peer-reviewed draft ("postprint") of all journal articles accepted for publication.
--Why to mandate self-archiving: The purpose of mandating OA self-archiving is to maximize research usage and impact by maximizing user access to research findings.
--Where to self-archive: The optimal locus for self-archiving is the author's own OAI-compliant Institutional Repository (IR). (It is highly inadvisable to mandate direct deposit in a Central Repository (CR) -- whether discipline-based, funder-based, multidisciplinary or national. The right way to get OA content into CRs is to harvest it from the IRs (via the OAI protocol).)
--When to self-archive: The author's final, peer-reviewed draft (postprint) should be deposited in the author's IR immediately upon acceptance for publication. (The deposit must be immediate; any allowable delay or embargo should apply only to the access-setting, i.e., whether access to the deposited article is immediately set to Open Access or provisionally set to Closed Access, in which only the author can access the deposited text.)
--How to self-archive: Depositing a postprint in an author's IR and keying in its metadata (author, title, journal, date, etc.) takes less than 10 minutes per paper. Deposit analyses comparing mandated and unmandated self-archiving rates have shown that mandates (and only mandates) work, with self-archiving approaching 100% of annual institutional research output within a few years. Without a mandate, IR content just hovers for years at the spontaneous 15% self-archiving rate.