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[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。
[PURPOSE / Significance] As international organizations, state and research and fund-raising agencies support the Open Access (OA) Campaign further, the open access policy has not only increased in number but also strengthened its coercion and promoted global The development of scientific exchange. Summarizing the practice progress of compulsory and incentive OA policies can provide reference and reference for the formulation and improvement of corresponding OA policies by the relevant policy bodies in our country. [Methods / Processes] Firstly, we summarize the characteristics of incentive policies contained in such policies of fund-funded institutions and scientific research institutions through the research on the compulsory and incentive policies of the OA system through literature research and website research. Secondly, Institutions, for example, the use of institutions WOS thesis storage in the designated repository to reflect the effectiveness of the implementation of the organization’s OA policy, comparative analysis of such policies and the lack of incentive measures compulsory OA policy, encouraging the implementation of the effect of OA policy difference. [Results / Conclusions] At present, there are fewer institutions that make compulsory and motivated OA policies. Funding agencies mainly take punitive measures such as reducing project-funded funds or disqualifying beneficiaries from applying for fund again to urge scientific researchers to comply with their OA policies and scientific research institutions will be scientific observers to comply with the OA policy and its performance appraisal linked to motivate institutional members to achieve the open access to research output; empirical analysis found that coercive incentives with OA compared with the other two Class OA policy implementation is stronger, the implementation effect is better.