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Background
\n\nIn October 2020, UK Research and Innovation (UKRI) commissioned OAPEN to carry out a gap analysis of technical infrastructure for open access monographs, edited works and book chapters. This report presents the results of the gap analysis. It aims to inform UKRI on infrastructure requirements for OA monographs as part of its considerations for introducing an OA policy for monographs. The report describes high-level workflows and the following stakeholders: author; publisher; (research) institution; funder. The report uses a granular classification of the technical infrastructure supporting OA books and chapters.
\n\nThe scope of the report is to identify infrastructure that either handles open access books exclusively, to a large extent, and/or is key infrastructure for OA books. The focus of this project is on shared technical infrastructure to support OA book publishing for all stakeholders, including all types of publishers and business models.
\n\nUse cases, workflow and infrastructure
\n\nThe report describes use cases and workflows as a form of information transfer: for sharing both research results and metadata. The following use cases are identified in the report: publish research findings (author); build and manage academic profile; publish research findings (publisher); run repository/library; manage research (institution); manage research (funder); promote open access.
\n\nThe infrastructure is classified into the following areas: publication infrastructure, quality assurance, compliance checking, hosting and delivery, discovery, preservation, monitoring and measuring impact, open access engagement; and advocacy.
\n\nThe infrastructure is used by all stakeholders to perform interconnected tasks. The infrastructure connections consist of metadata about objects such as the manuscript or the research grant. By focusing on the tasks shared by different stakeholders, overlapping interests are revealed. This helps identify gaps in the existing infrastructure.
\n\nGap analysis and recommendations
\n\nThe identified gaps occur in most infrastructure areas. There is perceived lack of transparency in monograph publishing, particularly in quality assurance. There should be more attention for best practice in OA book publishing. Authors need to be better supported and have the option to publish their research outputs open access, and funders and institutions need to improve infrastructure to support compliance with policies and monitor research outputs. There are shortcomings in the use of metadata and standards for OA books that limit interoperability and discovery, affecting the wider ecosystem around OA books.
\n\nThe recommendations are to a large extent relevant for the broader stakeholder community and can be considered in the wider context of policy development and measures to improve the infrastructure for OA books.
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\r\n\r\nThe OAPEN Foundation is a not-for-profit ('Stichting') organisation based in the Netherlands, with its registered office at the National Library in The Hague. OAPEN promotes and supports the transition to open access for academic books by providing open infrastructure services to stakeholders in scholarly communication. We work with publishers to build a quality-controlled collection of open access books and provide services for publishers, libraries, and research funders in the areas of hosting, deposit, quality assurance, dissemination, and digital preservation.
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