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This study investigates the determinants for the uptake of institutional and subject repository Open Access (OA) in the university landscape of Germany and considers three factors: the disciplinary profile of universities, their OA infrastructures and services and large transformative agreements. The uptake of OA as well as the determinants are measured by combining several data sources (incl. Web of Science, Unpaywall, an authority file of standardised German affiliation information, the ISSN-Gold-OA 4.0 list, and lists of publications covered by transformative agreements). For universities OA infrastructures and services, a structured data collection was created by harvesting different sources of information and by manual online search. To determine the explanatory power of the different factors, a series of regression analyses was performed for different periods and for both institutional as well as subject repository OA. As a result of the regression analyses, the most determining factor for the explanation of differences in the uptake of both repository OA-types turned out to be the disciplinary profile, whereas all variables that capture local infrastructural support and services for OA turned out to be non-significant. The outcome of the regression analyses is contextualised by an interview study conducted with 20 OA officers of German universities. The contextualisation provides hints that the original function of institutional repositories, offering a channel for secondary publishing is vanishing, while a new function of aggregation of metadata and full texts is becoming of increasing importance., Comment: 26 pages, 7 tables. arXiv admin note: text overlap with arXiv:2209.12505

This study investigates the determinants for the uptake of Full and Hybrid Open Access (OA) in the university landscape of Germany. It adapts the governance equaliser as a heuristic for this purpose and distinguishes between three factors: The disciplinary profile (academic self-governance), infrastructures and services of universities that aim to support OA (managerial self-governance) and large transformative agreements (part of state regulation). The uptake of OA, the influence of the disciplinary profile of universities and the influence of transformative agreements is measured by combining several data sources (incl. Web of Science, Unpaywall, an authority file of standardised German affiliation information, the ISSN-Gold-OA 4.0 list, and lists of publications covered by transformative agreements). For managerial self-governance, a structured data collection was created by harvesting different sources of information and by manual online search. To determine the explanatory power of the different factors, a series of regression analyses was performed for different periods and for both Full as well as Hybrid OA. As a result of the regression analyses, the most determining factor for the explanation of differences in the uptake of both OA-types turned out to be academic self-governance. For the year 2020, Hybrid OA transformative agreements have become a second relevant factor. However, all variables that reflect local infrastructural support and services for OA (managerial self-governance) turned out to be non-significant. To deepen the understanding of the adoption of OA on the level of institutions, the outcomes of the regression analyses are contextualised by an interview study conducted with 20 OA officers of German universities., Comment: 29 pages, 7 tables

The term Open Access not only describes a certain model of scholarly publishing -- namely in digital format freely accessible to readers -- but often also implies that free availability of research results is desirable, and hence has a normative character. Together with the large variety of presently used definitions of different Open Access types, this normativity hinders a systematic investigation of the development of open availability of scholarly literature. In this paper, we propose a non-normative definition of Open Access and its usage as a neutral, descriptive term in bibliometric studies and research on science. To this end, we first specify what normative figures are commonly associated with the term Open Access and then develop a neutral definition. We further identify distinguishing characteristics of openly accessible literature, called dimensions, and derive a classification scheme into Open Access categories based on these dimensions. Additionally, we present an operationalisation method to assign scientific publications to the respective categories in practice. Here, we describe useful data sources, which can be employed to gather the information needed for the classification of scholarly works according to the presented classification scheme., Comment: 16 pages, 4 tables