0
Integrating Universities' Thesis and
Research Deposit Mandates:
Institutional Repositories, Deposit Mandates,
and Research...
Collaborators:
• Brody, Tim (U. Southampton, Eprints)
• Carr, Les (U. Southampton, EPrints)
• Gargouri, Yassine (U. Québec...
What Is Open Access:?
o Free,
o Immediate
o Permanent
o Full-Text
o On-Line
o Access
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Open Access to What?
ESSENTIAL:
to all 2.5 million annual
research articles
published in all 25,000
peer-reviewed journals...
What About Theses and
Dissertations?
ETD Pittsburgh
• Exception-free author give-aways?
(Most, but not all. Some want to
b...
There are two ways to provide OA:
Green OA Self-Archiving: Authors self-archive the
articles they publish in the 25,000 pe...
Open Access: Why?
1. To maximise the uptake, usage, applications
and impact of the research output of your
university
1. T...
OA maximises: research’s:
visibility
usage
uptake
applications
impact
productivity
progress
funding
manageability
assessab...
• Metrics: Metrics of research usage and impact quantify,
evaluate, navigate, propagate and reward the fruits of OA self-
...
COMPETITIVE ADVANTAGE: The earlier you mandate Green OA, the sooner (and bigger) your
university's competitive advantage: ...
• EA: Early Advantage: Self-archiving preprints before
publication hastens and increases citations (higher-quality
article...
PREVIEW of following slides:
OA: How? Universities and funders mandate Green OA self-
archiving
Deposit Where? In universi...
1. About 25,000 peer-reviewed
journals are published
worldwide, in all disciplines and
all languages
http://www.ulrichsweb...
2. They publish about 2.5
million articles per year
ETD Pittsburgh
3. Most universities and
research institutions can only
afford to subscribe to a fraction
of those journals.
http://fisher...
4. That means that all those
articles are accessible to only a
fraction of their potential users.
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5. That means that research is
having only a fraction of its
potential usage and impact.
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6. That means that research is
achieving only a fraction of its
potential productivity and
progress.
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7. In the paper era there was no
way to remedy this, but in the
web era there is a way:
"Open Access" (OA)
provides free w...
8. Research that is freely
accessible on the web has
25% - 250% greater research
impact.
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“Online or Invisible?” (Lawrence 2001)
“average of 336% more citations to online articles compared to offline
articles pub...
Lawrence (2001) findings for computer science conference
papers. More OA every year for all citation levels; higher with
h...
ETD Pittsburgh
9. If 100% of research articles were
freely accessible (OA), then the
usage, impact, productivity and
progress of research...
10. There are two ways to make
research Open Access.
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11. The Golden way is for
publishers to convert all their
journals and books into Open
Access journals and books.
ETD Pitt...
12. The Green way is for
researchers to deposit all their
published journal articles – as
well as their theses -- in their...
Refereed “Post-Print”
Accepted, Certified, Published
by Journal
Impact cycle
begins:
Research is
done
Researchers write
pr...
Refereed “Post-Print”
Accepted, Certified, Published
by Journal
Impact cycle
begins:
Research is
done
Researchers write
pr...
New impact cycles:
New research builds on
existing research
Researchers can access the
Post-Print if their university
has ...
13. But only about 15% of the
annual 2.5 million research
articles are being made freely
accessible on the WWW
spontaneous...
14. Gold Open Access depends on
the publishing community.
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15. Green Open Access depends
only on the research community.
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16. The research community
cannot require the publishing
community to convert to Gold
Open Access.
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17. But the research community
can itself convert to Green Open
Access.
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18. Southampton created the free
EPrints software to allow all
universities to create their own
institutional repositories...
19. EPrints repositories are all
compliant with the OAI Protocol
for metadata harvesting.
http://www.openarchives.org/
ETD...
20. This means that all those
distributed repositories are
interoperable:
Their metadata can be harvested
and jointly sear...
21. But creating institutional
repositories is only a necessary
condition, not a sufficient
condition, for providing 100%
...
There are many repositories
but few deposits
because deposit mandates
are still few:
0
100
200
300
400
500
600
700
Jun-
04...
22. Only about 15% of institutional
research output is being self-
archived spontaneously today.
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23. It is helpful to provide incentives to
self-archive, such as, download
statistics, publicity, help from
librarians in ...
24. The only effective way to
guarantee 100% self-archiving
is for universities and research
funders to make the self-
arc...
A Successful Repository: Why?
Deposit Growth since 2003
U. Southampton ECS Repository
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The world’s c. 15,000 research universities and institutions produce
all research output, in all disciplines, funded and u...
ROARMAP now also records ETD mandates
Please register yours!
http://www.eprints.org/openaccess/policysignup/
ETD Pittsburgh
25. Universities and research
funders already mandate
publishing itself, as a condition
of employment and funding
("publis...
26. A self-archiving mandate is
just a natural extension of the
existing publishing mandate, for
the web era.
ETD Pittsbur...
27. International surveys of
researchers in all disciplines
have already found that 95% of
researchers would comply with a...
Across all countries and disciplines, 95% of researchers report
that they would comply with a self-archiving mandate from
...
28. Arthur Sale’s comparisons of the self-
archiving percentage of institutions with
Repositories only (R -I -M)
Repositor...
Data courtesy of Arthur Sale
0
100
200
300
400
500
600
700
Jun-
04
Jul-
04
A
ug-
04
S
ep-
04
Oct-
04
N
ov-
04
D
ec-
04
Jan...
University of Queensland
+Repository +Incentive -Mandate
Green line: total annual output
Red line: proportion self-archive...
Queensland University of Technology
+Repository +Incentive +Mandate
Green line: total annual output
Red line: proportion s...
Sale, Arthur (2006) Researchers and institutional repositories, in
Jacobs, Neil, Eds. Open Access: Key Strategic, Technica...
29. Worldwide, a total of 84 Green OA
self-archiving mandates have already
been adopted and 14 more proposed
so far:
ROARM...
etc…
Growth Rate of OA Mandates
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16 ETD
deposit
mandates
already
in Australia
alone
30. Several other important proposals
to mandate Green OA self-archiving
are under consideration in the USA,
Europe, and e...
All European Universities should create institutional
repositories and should mandate that all research
publications must ...
31. It is crucial that both funders
and universities mandate Green
OA self-archiving worldwide, as
not all research is fun...
32. Researchers are already
rewarded not just in proportion
to how many articles they
publish, but how many times
their ar...
33. It is accordingly a natural step
to link the self-archiving
mandate to research
performance assessment.
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34. Research performance metrics
in turn provide incentives for
motivating and rewarding self-
archiving.
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35. Open Access will generate
many rich new metrics that can
be used to assess research
impact:
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Sample of candidate
OA-era metrics:
• Citations (C)
• CiteRank (like Google)
• Co-citations
• Downloads (D)
• C/D Correlat...
36. These metrics can be validated
in the UK Research Assessment
Exercise (RAE), discipline by
discipline, through multipl...
UK’s RAE 2008 was a parallel panel/metric
exercise, making it possible to develop a rich
spectrum of candidate metrics and...
RAE 2001
Rankings for
Psychology
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Research Assessment, Research
Funding, and Citation Impact
“Correlation between RAE ratings and
mean departmental citation...
What is a Citation Worth?
Diamond, Jr. , A. M. (1986) Journal of Human Resources 21:200
http://www.garfield.library.upenn....
Early Access Advantage: OA is accelerating the
research access/usage/citation cycle. OA articles
are being cited sooner an...
Time-Course and cycle of Citations (red)
and Usage (hits, green)
Witten, Edward (1998) String Theory and Noncommutative Ge...
Earlier download metrics correlated with later citation metrics
Brody, T., Harnad, S. and Carr, L. (2006) Earlier Web Usag...
37. The mandate should be to
• deposit all articles (and theses)
• in the Institutional Repository
• immediately upon acce...
38. The optimal Green OA mandate
is to require immediate deposit
and immediate Open Access.
Which Green OA Mandate Is Opti...
39. But if there is any delay or
opposition to an Immediate-
Deposit/Immediate-OA mandate,
then the compromise
Immediate-D...
40. The author's final, accepted draft
must be deposited immediately upon
acceptance for publication.
But access to it can...
41. The majority of journals (63%)
already endorse immediate
Green Open Access Self-
Archiving
ROMEO/EPRINTS (Directory of...
What About Copyright?
Mandate ID/OA: Immediate Deposit, Optional Access:
All articles must be deposited immediately upon a...
42. For the articles in the 37% of journals that
have an embargo policy, the free EPrints
institutional Repository-creatin...
The ID/OA mandate applies (with no exceptions or delays) to the
deposit of the author’s final, peer-reviewed draft (“postp...
How the EPrints Button works:
Almost-Instant, Almost-OA, STEP I:
First, suppose a potential user anywhere on the web sees ...
ETD Pittsburgh
Almost-Instant, Almost-OA, STEP II:
The eprint requester then presses the
Button, (1 requester keystroke) which immediatel...
ETD Pittsburgh
The author instantly receives the following email, to which he can
reply with one click either to accept or to reject the ...
From: DemoPrints XXX@ecs.soton.ac.uk
Date: July 28, 2007 12:51:43 AM EDT (CA)To: XXX@ecs.soton.ac.uk
Subject: Request for ...
The author has already done the N keystrokes needed to deposit
the document in his IR in the first place, immediately upon...
The free EPrints University Repository Software
generates rich (and potentially even richer)
usage metrics. It can be used...
ETD Pittsburgh
ETD Pittsburgh
Some EPrints download
metrics for top deposits by
Southampton author Tim
Berners-Lee.
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These Local EPrints University Repository Usage
metrics are complemented by CITEBASE, which
provides global Citation, Down...
ETD Pittsburgh
ETD Pittsburgh
ETD Pittsburgh
ETD Pittsburgh
Sample citation and download growth with time. (Downloads only start in
2005 because that is when this paper was deposited...
SUMMARY:
OA: How? Universities and funders mandate Green OA self-
archiving
Deposit Where? In universities' own Institutio...
Open Access: How?
Universities adopt the ID/OA mandate:
Immediate Deposit
+
Optional Access
+
ETD Pittsburgh
Open Access: Why?
1. To maximise the uptake, usage, applications and impact
of the research output of your university
2. T...
Sample of candidate
OA-era metrics:
• Citations (C)
• CiteRank (like Google)
• Co-citations
• Downloads (D)
• C/D Correlat...
Worldwide, a total of 84 Green OA self-
archiving mandates have already
been adopted and 14 more proposed
so far:
ROARMAP ...
Growth Rate of OA Mandates
ETD Pittsburgh
What About Theses and
Dissertations?
ETD Pittsburgh
• Exception-free author give-aways?
(Most, but not all. Some want to
b...
If 100% of research articles were
freely accessible (OA), then the
usage, impact, productivity and
progress of research wo...
The only effective way to
guarantee 100% self-archiving
is for universities and research
funders to make the self-
archivi...
Researchers are already rewarded
not just in proportion to how
many articles they publish, but
how many times their articl...
The world’s c. 15,000 research universities and institutions produce
all research output, in all disciplines, funded and u...
16 ETD
deposit
mandates
already
in Australia
alone
ROARMAP now also records ETD mandates
Please register yours!
http://www.eprints.org/openaccess/policysignup/
ETD Pittsburgh
Author’s URLs (UQAM & Southampton):
http://www.crsc.uqam.ca/
http://users.ecs.soton.ac.uk/harnad/
BIBLIOGRAPHY ON OA IMACT...
1995: Universal FTP Archives for Esoteric Science and Scholarship: A Subversive Proposal In:
Scholarly Journals at the Cro...
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Integrating Universities' ETD-Deposit and Research-Deposit Mandates, Repositories and Metrics

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A growing number of universities are beginning to require the digital deposit of their thesis and dissertation output in their institutional repositories. At the same time, a growing number of universities as well as research funders are beginning to mandate that all refereed research must be deposited too. This makes for a timely synergy between the practices of the younger and older generation of researchers as the Open Access era unfolds. It also maximizes the uptake, usage and impact of university research input at all stages, as well as providing rich and powerful new metrics to monitor and reward research productivity and impact. It is important to integrate universities' ETD and research output repositories, mandates and metrics as well as to provide the mechanism for those deposits that may need to be made Closed Access rather than Open Access: Repositories need to implement the "email eprint request" Button for all Closed Access Deposits. Any would-be user webwide, having reached the metadata of a Closed Access Deposit can, with one click, request an eprint for research purposes; the author instantly receives an automatic email and can then, again with one click, authorize the automatic emailing of one copy to the user by the repository software. This feature is important for fulfilling immediate research usage needs during any journal-article embargo period, and it also gives the authors of dissertations they hope to publish as books a way to control who has access to the dissertation. Digital dissertations will also benefit from the reference-linking and book-citation metrics that will be provided by harvesters of the distributed institutional repository metadata (which will also include the metadata and reference lists of all university book output). Dissertation downloads as well as eprint-requests will also provide useful new research impact metrics.

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  • These are the most likely components of the OA citation advantage
  • Lawrence’s study using articles in computer science, comparing articles from the same venue (mostly refereed conference proceedings, which is the main form of publication in computer science) and showing that the ones that were self-archived had 300% more citations than the ones in the same venue that were not self-archived.
  • The correlation between OA and citation level, for computer science
  • To maximise research access, supplement the existing system:
    Do as before, but also:
    Self-archive the preprint in your university’s Eprint Archive, so every would-be user can access it.
    Self-archive the postprint in your university’s Eprint Archive, so every would-be user can access it.
    Research access is maximized and so research impact is maximized.
  • Repositories (from ROAR http://roar.eprints.org/) and Mandates (from ROARMAP http://www.eprints.org/openaccess/policysignup/).
  • These are just some of the candidate metrics that can be included in the muptiple correlation to see how much each contributes to predicting the parallel panel rankings.
  • The panel rankings are highly correlated with citation counts.
    The exercise is based on submitting many performance indicators, and there is long, time-consuming assessment.
    But the rank order can already predicted (with a correlation of 0.9) by simply counting the total citations.
    This is true even though citation counts are not submitted.
    Yet they could have replaced the whole RAE exercise, and much less cost in time and effort for all.
    This illustrates the importance of citation impact for research funding.
  • This is an old estimate for the marginal value of an extra citation to a researcher (in the US). The figure is an aggregated estimate of revenues from salary and funding.
  • Tim Brody’s finding that self-archived papers are getting cited earlier and earlier.
  • Data from citebase, which counts citations as well as downloads in the Physics Arxiv: The cycle of access and impact is illustrated: Self-archiving a paper generates downloads, which generate citations, which generates ,more downloads.
  • Multiple regression analysis. Here four metrics are tested against citation counts as the criterion.
  • This is how Institutional Repositories make it possible to display research usage and impact metrics for their researc output.
  • These are some of the metrics and statistics that an Institutional Repository (Southampton Eprints) can provide.
  • Sample statistics: Download counts for author Harnad in ECS Southampton Institutional repository
  • Citebase, a scientometric search engine that can rank content by a variety of metrics.
  • Sample metrics on which content can be measured and ranked by citebase.
  • Ranking on citations per paper
  • Ranking on hits (downloads) per paper
  • Graph of citations and downloads across time
  • These are just some of the candidate metrics that can be included in the muptiple correlation to see how much each contributes to predicting the parallel panel rankings.
  • References
  • Transcript of "Integrating Universities' ETD-Deposit and Research-Deposit Mandates, Repositories and Metrics"

    1. 1. Integrating Universities' Thesis and Research Deposit Mandates: Institutional Repositories, Deposit Mandates, and Research Impact Metrics Stevan Harnad Canada Research Chair in Cognitive Sciences, Université du Québec à Montréal & Department of Electronics and Computer Science, University of Southampton ETD Pittsburgh
    2. 2. Collaborators: • Brody, Tim (U. Southampton, Eprints) • Carr, Les (U. Southampton, EPrints) • Gargouri, Yassine (U. Québec à Montréal) • Gingras, Yves (U. Québec à Montréal) • Gutteridge, Chris (U. Southampton, Eprints) • Hajjem, Chawki (U. Québec à Montréal) • Harnad, Stevan (U. Québec à Montréal, U. Southampton, EPrints) • Hitchcock, Steve (U. Southampton, EPrints) • Jeffery, Keith (STFC, EuroCris, Cerif) • Oppenheim, Charles (U. Loughborough) • Sale, Arthur (U. Tasmania) • Swan, Alma (U. Southampton, EPrints, Key Perspectives) • Vallières, François (U. Québec à Montréal) ETD Pittsurgh
    3. 3. What Is Open Access:? o Free, o Immediate o Permanent o Full-Text o On-Line o Access ETD Pittsburgh
    4. 4. Open Access to What? ESSENTIAL: to all 2.5 million annual research articles published in all 25,000 peer-reviewed journals (and peer-reviewed conferences) in all scholarly and scientific disciplines, worldwide OPTIONAL: (because these are not all author give-aways, written only for usage and impact): 1. Books 2. Textbooks 3. Magazine articles 4. Newspaper articles 5. Music 6. Video 7. Software 8. “Knowledge” (or because author’s choice to self-archive can only be encouraged, not required in all cases): 9. Data 10. Unrefereed Preprints ETD Pittsburgh
    5. 5. What About Theses and Dissertations? ETD Pittsburgh • Exception-free author give-aways? (Most, but not all. Some want to become a book. Some contain copyrighted material by someone other than the author.)
    6. 6. There are two ways to provide OA: Green OA Self-Archiving: Authors self-archive the articles they publish in the 25,000 peer-reviewed journals Gold OA Publishing: authors publish in one of the c. 3000 OA journals (some still recovering costs through institutional subscriptions, others through author/institutional publication charges) http://www.doaj.org/ NB: This presentation is exclusively about providing Green OA, through university policy reform (by mandating Green OA Self-Archiving). It is not about Gold OA Publishing, which is in the hands of the publishing community, not the university community. (Green OA may or may not eventually lead to Gold OA, but it will lead with certainty to OA.) ETD Pittsburgh
    7. 7. Open Access: Why? 1. To maximise the uptake, usage, applications and impact of the research output of your university 1. To measure and reward the uptake, usage, applications and impact of the research output of your university (research metrics) 1. To collect, manage and showcase a permanent record of the research output and impact of your university ETD Pittsburgh
    8. 8. OA maximises: research’s: visibility usage uptake applications impact productivity progress funding manageability assessability by maximising research’s: accessibility ETD Pittsburgh
    9. 9. • Metrics: Metrics of research usage and impact quantify, evaluate, navigate, propagate and reward the fruits of OA self- archiving, motivating Green OA Mandates. • Mandates: Incentivized by the Metrics, Green OA self-archiving Mandates, adopted by all universities and research funding agencies, will provide OA to 100% of research output, maximizing research usage and impact, productivity and progress. Brody et al (2007) Incentivizing the Open Access Research Web: Publication-, Data-Archiving and Scientometrics. CTWatch Quarterly 3(3). http://eprints.ecs.soton.ac.uk/14418/ Open Access: How? By mandating Green OA Self-Archiving OA Metrics motivate OA Mandates And OA Mandates maximize OA Metrics ETD Pittsburgh
    10. 10. COMPETITIVE ADVANTAGE: The earlier you mandate Green OA, the sooner (and bigger) your university's competitive advantage: U. Southampton School of Electronics and Computer Science was the first in the world to adopt an OA self-archiving mandate. ETD Pittsburgh
    11. 11. • EA: Early Advantage: Self-archiving preprints before publication hastens and increases citations (higher-quality articles benefit more: top 20% of articles receive 80% of citations) • QA: Quality Advantage: Self-archiving postprints immediately upon publication hastens and increases citations (higher-quality articles benefit more) • UA: Usage Advantage: Self-archiving increases downloads (higher-quality articles benefit more) • (CA: Competitive Advantage): OA/non-OA advantage (CA disappears at 100%OA, but very important today!) • (QB: Quality Bias): Higher-quality articles are self-selectively self-archived more (QB disappears at 100%OA) Contributors to the OA Advantage EA + QA + UA + (CA) + (QB) ETD Pittsburgh
    12. 12. PREVIEW of following slides: OA: How? Universities and funders mandate Green OA self- archiving Deposit Where? In universities' own Institutional Repositories (IRs) Deposit How? A few minutes of keystrokes per paper is all that stands between the world research community and 100% OA Deposit What? Author's final, accepted, peer-reviewed draft of articles and final accepted drafts of theses Deposit When? Immediately upon acceptance Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How? http://openaccess.eprints.org/index.php?/archives/136-guid.html ETD Pittsburgh
    13. 13. 1. About 25,000 peer-reviewed journals are published worldwide, in all disciplines and all languages http://www.ulrichsweb.com/ulrichsweb/ ETD Pittsburgh
    14. 14. 2. They publish about 2.5 million articles per year ETD Pittsburgh
    15. 15. 3. Most universities and research institutions can only afford to subscribe to a fraction of those journals. http://fisher.lib.virginia.edu/cgi-local/arlbin/arl.cgi?task=setupstats ETD Pittsburgh
    16. 16. 4. That means that all those articles are accessible to only a fraction of their potential users. ETD Pittsburgh
    17. 17. 5. That means that research is having only a fraction of its potential usage and impact. ETD Pittsburgh
    18. 18. 6. That means that research is achieving only a fraction of its potential productivity and progress. ETD Pittsburgh
    19. 19. 7. In the paper era there was no way to remedy this, but in the web era there is a way: "Open Access" (OA) provides free webwide access to research journal articles ETD Pittsburgh
    20. 20. 8. Research that is freely accessible on the web has 25% - 250% greater research impact. ETD Pittsburgh
    21. 21. “Online or Invisible?” (Lawrence 2001) “average of 336% more citations to online articles compared to offline articles published in the same venue” Lawrence, S. (2001) Free online availability substantially increases a paper's impact Nature 411 (6837): 521. http://www.neci.nec.com/~lawrence/papers/online-nature01/ ETD Pittsburgh
    22. 22. Lawrence (2001) findings for computer science conference papers. More OA every year for all citation levels; higher with higher citation levels ETD Pittsburgh
    23. 23. ETD Pittsburgh
    24. 24. 9. If 100% of research articles were freely accessible (OA), then the usage, impact, productivity and progress of research would be maximized. The same is true of scientific and scholarly theses and dissertations. ETD Pittsburgh
    25. 25. 10. There are two ways to make research Open Access. ETD Pittsburgh
    26. 26. 11. The Golden way is for publishers to convert all their journals and books into Open Access journals and books. ETD Pittsburgh
    27. 27. 12. The Green way is for researchers to deposit all their published journal articles – as well as their theses -- in their own institution's Open Access Repository. Here is how Green OA self-archiving works for articles (for theses just substitute, in place of peer review, review by supervisor and thesis committee) ETD Pittsburgh
    28. 28. Refereed “Post-Print” Accepted, Certified, Published by Journal Impact cycle begins: Research is done Researchers write pre-refereeing “Pre-Print” Submitted to Journal Pre-Print reviewed by Peer Experts – “Peer- Review” Pre-Print revised by article’s Authors Researchers can access the Post-Print if their university has a subscription to the Journal 12-18Months New impact cycles: New research builds on existing research ETD Pittsburgh
    29. 29. Refereed “Post-Print” Accepted, Certified, Published by Journal Impact cycle begins: Research is done Researchers write pre-refereeing “Pre-Print” Submitted to Journal Pre-Print reviewed by Peer Experts – “Peer- Review” Pre-Print revised by article’s Authors Researchers can access the Post-Print if their university has a subscription to the Journal 12-18Months New impact cycles: New research builds on existing research This limited subscription-based access can be supplemented by self- archiving the Postprint in the author’s own institutional repository as follows: ETD Pittsburgh
    30. 30. New impact cycles: New research builds on existing research Researchers can access the Post-Print if their university has a subscription to the Journal Refereed “Post-Print” Accepted, Certified, Published by Journal Impact cycle begins: Research is done Researchers write pre-refereeing “Pre-Print” Submitted to Journal Pre-Print reviewed by Peer Experts – “Peer-Review” Pre-Print revised by article’s Authors Post-Print is self-archived in University’s Eprint Archive 12-18Months More impact cycles: ETD Pittsburgh
    31. 31. 13. But only about 15% of the annual 2.5 million research articles are being made freely accessible on the WWW spontaneously today. ETD Pittsburgh
    32. 32. 14. Gold Open Access depends on the publishing community. ETD Pittsburgh
    33. 33. 15. Green Open Access depends only on the research community. ETD Pittsburgh
    34. 34. 16. The research community cannot require the publishing community to convert to Gold Open Access. ETD Pittsburgh
    35. 35. 17. But the research community can itself convert to Green Open Access. ETD Pittsburgh
    36. 36. 18. Southampton created the free EPrints software to allow all universities to create their own institutional repositories very cheaply and easily. http://www.eprints.org/ ETD Pittsburgh
    37. 37. 19. EPrints repositories are all compliant with the OAI Protocol for metadata harvesting. http://www.openarchives.org/ ETD Pittsburgh
    38. 38. 20. This means that all those distributed repositories are interoperable: Their metadata can be harvested and jointly searched as if their contents were all in one central repository. ETD Pittsburgh
    39. 39. 21. But creating institutional repositories is only a necessary condition, not a sufficient condition, for providing 100% Open Access: ETD Pittsburgh
    40. 40. There are many repositories but few deposits because deposit mandates are still few: 0 100 200 300 400 500 600 700 Jun- 04 Jul- 04 A ug- 04 S ep- 04 Oct- 04 N ov- 04 D ec- 04 Jan- 05 F eb- 05 M ar- 05 Apr- 05 M ay- 05 Jun- 05 Actual documents DEST publication s 15% of annual 2.5 million articles ETD Pittsburgh
    41. 41. 22. Only about 15% of institutional research output is being self- archived spontaneously today. ETD Pittsburgh
    42. 42. 23. It is helpful to provide incentives to self-archive, such as, download statistics, publicity, help from librarians in depositing, or even small financial incentives. But Arthur Sale’s studies have shown that incentives are not sufficient, and can only increase self- archiving to about 30%. http://eprints.utas.edu.au/view/authors/Sale,_AHJ.html ETD Pittsburgh
    43. 43. 24. The only effective way to guarantee 100% self-archiving is for universities and research funders to make the self- archiving of published research articles and accepted theses an administrative requirement: a mandate ETD Pittsburgh
    44. 44. A Successful Repository: Why? Deposit Growth since 2003 U. Southampton ECS Repository ETD Pittsburgh
    45. 45. The world’s c. 15,000 research universities and institutions produce all research output, in all disciplines, funded and unfunded • World’s first Green OA article Mandate: University of Southampton School of Electronics and Computer Science (UK 2003) • World’s first University-Wide Green OA article Mandate: Queensland University of Technology (Australia Feb 2004) • Europe’s First Green OA article Mandate: University of Minho (Portugal Dec 2004) • World’s first Green ETD Mandate? ETD Pittsburgh
    46. 46. ROARMAP now also records ETD mandates Please register yours! http://www.eprints.org/openaccess/policysignup/ ETD Pittsburgh
    47. 47. 25. Universities and research funders already mandate publishing itself, as a condition of employment and funding ("publish or perish"), in order to maximise research usage and impact in the paper era. ETD Pittsburgh
    48. 48. 26. A self-archiving mandate is just a natural extension of the existing publishing mandate, for the web era. ETD Pittsburgh
    49. 49. 27. International surveys of researchers in all disciplines have already found that 95% of researchers would comply with a self-archiving mandate: http://eprints.ecs.soton.ac.uk/10999/ ETD Pittsburgh
    50. 50. Across all countries and disciplines, 95% of researchers report that they would comply with a self-archiving mandate from their funders and/or employers, and over 80% report that they would do so willingly. -- But only 15% self-archive spontaneously, if it not mandated. ETD Pittsburgh
    51. 51. 28. Arthur Sale’s comparisons of the self- archiving percentage of institutions with Repositories only (R -I -M) Repositories plus Incentives (R +I -M) Repositories plus Incentives plus a self-archiving Mandate (R+I+M) show that Repositories and Incentives alone are insufficient: Only with Mandates are they successful in attaining 100% self- archiving. ETD Pittsburgh
    52. 52. Data courtesy of Arthur Sale 0 100 200 300 400 500 600 700 Jun- 04 Jul- 04 A ug- 04 S ep- 04 Oct- 04 N ov- 04 D ec- 04 Jan- 05 F eb- 05 M ar- 05 Apr- 05 M ay- 05 Jun- 05 Actual documents DEST publication s University of Tasmania +Repository -Incentive -Mandate Green line: total annual output Red line: proportion self-archived ETD Pittsburgh
    53. 53. University of Queensland +Repository +Incentive -Mandate Green line: total annual output Red line: proportion self-archived 0 500 1000 1500 2000 2500 3000 3500 4000 03/02/200403/03/200403/04/200403/05/200403/06/200403/07/200403/08/200403/09/200403/10/200403/11/200403/12/200403/01/200503/02/200503/03/200503/04/200503/05/200503/06/200503/07/200503/08/200503/09/200503/10/2005 Documents Total documents DEST documents Data courtesy of Arthur Sale ETD Pittsburgh
    54. 54. Queensland University of Technology +Repository +Incentive +Mandate Green line: total annual output Red line: proportion self-archived Data courtesy of Arthur Sale 0 200 400 600 800 1000 1200 1400 1600 1800 24/05/200424/06/200424/07/200424/08/200424/09/200424/10/200424/11/200424/12/200424/01/200524/02/200524/03/200524/04/200524/05/200524/06/200524/07/200524/08/200524/09/2005 Documents Documents DEST- reportable ETD Pittsburgh
    55. 55. Sale, Arthur (2006) Researchers and institutional repositories, in Jacobs, Neil, Eds. Open Access: Key Strategic, Technical and Economic Aspects Chandos Publishing (Oxford) Limited. http://eprints.utas.edu.au/257/ Sale, A. The Impact of Mandatory Policies on ETD Acquisition. D-Lib Magazine April 2006, 12(4). http://dx.doi.org/10.1045/april2006-sale Sale, A. Comparison of content policies for institutional repositories in Australia. First Monday, 11(4), April 2006. http://firstmonday.org/issues/issue11_4/sale/index.html Sale, A. The acquisition of open access research articles. First Monday, 11(9), October 2006. http://www.firstmonday.org/issues/issue11_10/sale/index.html Sale, A. (2007) The Patchwork Mandate D-Lib Magazine 13 1/2 January/February http://www.dlib.org/dlib/january07/sale/01sale.htmlETD Pittsburgh
    56. 56. 29. Worldwide, a total of 84 Green OA self-archiving mandates have already been adopted and 14 more proposed so far: ROARMAP (Registry of OA Repository Mandates): http://www.eprints.org/openaccess/policysignup/ ETD Pittsburgh
    57. 57. etc…
    58. 58. Growth Rate of OA Mandates ETD Pittsburgh
    59. 59. 16 ETD deposit mandates already in Australia alone
    60. 60. 30. Several other important proposals to mandate Green OA self-archiving are under consideration in the USA, Europe, and elsewhere Among the 47 university mandates worldwide so far, Europe has the Southampton, UCL, Liège, CERN, ETH Zurich, and other institutional mandates; the US has the 3 (!) Harvard (FAS, Law, Kennedy School), M.I.T and Stanford (FE) mandates. Among the 36 research funder mandates worldwide so far, Europe has the RCUK, ERC and other mandates; the US has the NIH mandate. ETD Pittsburgh ROARMAP (Registry of OA Repository Mandates): http://www.eprints.org/openaccess/policysignup/
    61. 61. All European Universities should create institutional repositories and should mandate that all research publications must be deposited in them immediately upon publication (and made Open Access as soon as possible thereafter) as already mandated by RCUK, ERC, and NIH, and as recommended by EURAB. In addition, the EUA recommends that these (funder) self- archiving mandates should also be extended to all research results arising from EU research programme/project funding. Unanimously Adopted by EUA, Jan 25 2008 791 universities in 46 countries ETD Pittsburgh
    62. 62. 31. It is crucial that both funders and universities mandate Green OA self-archiving worldwide, as not all research is funded. ETD Pittsburgh
    63. 63. 32. Researchers are already rewarded not just in proportion to how many articles they publish, but how many times their articles are cited. Much the same is true of the authors of theses and dissertations who are aiming for academic or research careers. ETD Pittsburgh
    64. 64. 33. It is accordingly a natural step to link the self-archiving mandate to research performance assessment. ETD Pittsburgh
    65. 65. 34. Research performance metrics in turn provide incentives for motivating and rewarding self- archiving. ETD Pittsburgh
    66. 66. 35. Open Access will generate many rich new metrics that can be used to assess research impact: ETD Pittsburgh
    67. 67. Sample of candidate OA-era metrics: • Citations (C) • CiteRank (like Google) • Co-citations • Downloads (D) • C/D Correlations • Hub/Authority index • Chronometrics: Latency/Longevity • Endogamy/Exogamy • Book citation index • Links • Tags • Commentaries • Journal Impact Factor • h-index (and variants) • Co-authorships • Publication counts • Number of publishing years • Semiometrics (latent semantic indexing, text overlap, etc.) • Research funding • Students • Prizes ETD Pittsburgh
    68. 68. 36. These metrics can be validated in the UK Research Assessment Exercise (RAE), discipline by discipline, through multiple regression analysis: The metrics can be weighted by their ability to predict the rankings given by the evaluation by human peer panels: ETD Pittsburgh
    69. 69. UK’s RAE 2008 was a parallel panel/metric exercise, making it possible to develop a rich spectrum of candidate metrics and to validate each metric against the panel rankings, discipline by discipline, through multiple regression analysis, determining and calibrating the (“beta”) weights on each metric. Harnad, S. (2007) Open Access Scientometrics and the UK Research Assessment Exercise. Proceedings of 11th Annual Meeting of the International Society for Scientometrics and Informetrics 11(1) : 27-33, Madrid, Spain. Torres-Salinas, D. and Moed, H. F., Eds. http://eprints.ecs.soton.ac.uk/13804/ ETD Pittsburgh
    70. 70. RAE 2001 Rankings for Psychology ETD Pittsburgh
    71. 71. Research Assessment, Research Funding, and Citation Impact “Correlation between RAE ratings and mean departmental citations +0.91 (1996) +0.86 (2001) (Psychology)” “RAE and citation counting measure broadly the same thing” “Citation counting is both more cost- effective and more transparent” (Eysenck & Smith 2002) http://psyserver.pc.rhbnc.ac.uk/citations.pdf ETD Pittsburgh
    72. 72. What is a Citation Worth? Diamond, Jr. , A. M. (1986) Journal of Human Resources 21:200 http://www.garfield.library.upenn.edu/essays/v11p354y1988.pdf marginal dollar value of one citation in 1986: $50 - $1300 (depending on field and number of citations) updating by about 170% for inflation from 1986-2005: $85.65 - $2226.89 (an increase from 0 to 1 citation is worth more than an increase from 30 to 31; most articles are in citation range 0-5) ETD Pittsburgh
    73. 73. Early Access Advantage: OA is accelerating the research access/usage/citation cycle. OA articles are being cited sooner and sooner (Data from Physics Arxiv) ETD Pittsburgh
    74. 74. Time-Course and cycle of Citations (red) and Usage (hits, green) Witten, Edward (1998) String Theory and Noncommutative Geometry Adv. Theor. Math. Phys. 2 : 253 1. Preprint or Postprint appears.. 2. It is downloaded (and sometimes read). 3. Next, citations may follow (for more important papers)… 4. This generates more downloads… 5.. More citations... ETD Pittsburgh
    75. 75. Earlier download metrics correlated with later citation metrics Brody, T., Harnad, S. and Carr, L. (2006) Earlier Web Usage Statistics as Predictors of Later Citation Impact. Journal of the American Association for Information Science and Technology (JASIST) 57(8): 1060-1072. http://eprints.ecs.soton.ac.uk/10713/ Data from arXiv Downloads (“hits”) in the first 6 months correlate with citations 2 years later Most articles are not cited at all ETD Pittsburgh
    76. 76. 37. The mandate should be to • deposit all articles (and theses) • in the Institutional Repository • immediately upon acceptance ETD Pittsburgh
    77. 77. 38. The optimal Green OA mandate is to require immediate deposit and immediate Open Access. Which Green OA Mandate Is Optimal? http://openaccess.eprints.org/index.php?/archives/494-guid.html The Immediate-Deposit/Optional-Access (ID/OA) Mandate: Rationale and Model http://openaccess.eprints.org/index.php?/archives/71-guid.html Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How? http://openaccess.eprints.org/index.php?/archives/136-guid.html Deposit Institutionally, Harvest Centrally http://openaccess.eprints.org/index.php?/archives/341-guid.html ETD Pittsburgh
    78. 78. 39. But if there is any delay or opposition to an Immediate- Deposit/Immediate-OA mandate, then the compromise Immediate-Deposit/Delayed-Open-Access (ID/OA) mandate should be adopted: ETD Pittsburgh
    79. 79. 40. The author's final, accepted draft must be deposited immediately upon acceptance for publication. But access to it can be set as either Open Access or Closed Access (for a limited period, preferably no more than 6 months). ETD Pittsburgh
    80. 80. 41. The majority of journals (63%) already endorse immediate Green Open Access Self- Archiving ROMEO/EPRINTS (Directory of Journal Policies on author OA Self- Archiving): http://romeo.eprints.org/ ETD Pittsburgh
    81. 81. What About Copyright? Mandate ID/OA: Immediate Deposit, Optional Access: All articles must be deposited immediately upon acceptance for publication. Publishers have no say over institution-internal record-keeping. Embargoed articles can be made Closed Access instead of Open Access. 63% of journals are Green (already endorse immediate OA) ROMEO/EPRINTS (Directory of Journal Policies on author OA Self-Archiving): http://romeo.eprints.org/ ETD Pittsburgh
    82. 82. 42. For the articles in the 37% of journals that have an embargo policy, the free EPrints institutional Repository-creating software has an ”Eprint Request" Button: The user who reaches the metadata for a Closed Access article puts his email in a box and clicks. This sends an automatic email to the author, with a URL on which the author clicks to automatically email the eprint to the requester. ETD Pittsburgh
    83. 83. The ID/OA mandate applies (with no exceptions or delays) to the deposit of the author’s final, peer-reviewed draft (“postprint”). This must be deposited immediately upon acceptance for publication, but the deposit need not be made Open Access. Where access is embargoed (38%), the deposit can be made Closed Access. During the embargo period, the Institutional Repository’s Button provides Almost-Instant, Almost-OA, for just a few extra keystrokes, as follows: ETD Pittsburgh
    84. 84. How the EPrints Button works: Almost-Instant, Almost-OA, STEP I: First, suppose a potential user anywhere on the web sees the metadata (author, date, title, journal) for a document they need (from searching with Google or Google Scholar, or Citebase, or OAIster or any other search engine). If that document is not Open Access, but Closed Access, then the Institutional Repository link will reach the following page, showing the document’s metadata with the Button: ETD Pittsburgh
    85. 85. ETD Pittsburgh
    86. 86. Almost-Instant, Almost-OA, STEP II: The eprint requester then presses the Button, (1 requester keystroke) which immediately generates a box that allows the requester to cut/paste his email address into it and then click (3 requester keystrokes) (in addition, optionally, requesters may also identify themselves if they wish, and/or specify for the author why they need the eprint): ETD Pittsburgh
    87. 87. ETD Pittsburgh
    88. 88. The author instantly receives the following email, to which he can reply with one click either to accept or to reject the eprint request (1 author keystroke). (If the author accepts, one copy of the eprint is instantly emailed to the requester by the Institutional Repository software.) Almost-Instant, Almost-OA, STEP III: ETD Pittsburgh
    89. 89. From: DemoPrints XXX@ecs.soton.ac.uk Date: July 28, 2007 12:51:43 AM EDT (CA)To: XXX@ecs.soton.ac.uk Subject: Request for "Open Access Mandates and Metrics” The following item: Harnad, S (2007) Open Access Mandates and Metrics. Science Metrics, 50 (10): 500-510. has been requested from DemoPrints by: myemail@wherever.edu The following reason was given: "Please send me a copy for research purposes.” Please respond by clicking one of the following: Accept the request (eprint will be emailed automatically) Reject the request (request will be declined) (Please also consider removing the access restrictions so that your eprint is directly available to users without the need for these extra keystrokes.) DemoPrints http://demoprints3.eprints.org/ ETD Pittsburgh
    90. 90. The author has already done the N keystrokes needed to deposit the document in his IR in the first place, immediately upon acceptance for publication. For 62% of deposits, the author can immediately set access as Open Access, with the publisher’s blessing. For the 38% of deposits where access is embargoed by the publisher, the author does one extra keystroke per request -- considerably less that he did in paper reprint request days, when reprints had to be mailed and the turnaround time was weeks rather than minutes. With the ID/OA mandate universally adopted, the embargoes will soon become obsolete, under growing OA pressure worldwide. Carr & Harnad (2005) Keystroke Economy: A Study of the Time and Effort Involved in Self-Archiving. http://eprints.ecs.soton.ac.uk/10688/ ETD Pittsburgh
    91. 91. The free EPrints University Repository Software generates rich (and potentially even richer) usage metrics. It can be used for showcasing, navigating, comparing and assessing. Here is a sample of University Repository usage metrics for Southampton author Tim Berners-Lee: http://stats.eprints.ecs.soton.ac.uk/cgi-bin/irstats.cgi? ETD Pittsburgh IRSTATS (Institutional Repository Statistics)
    92. 92. ETD Pittsburgh
    93. 93. ETD Pittsburgh
    94. 94. Some EPrints download metrics for top deposits by Southampton author Tim Berners-Lee. ETD Pittsburgh
    95. 95. These Local EPrints University Repository Usage metrics are complemented by CITEBASE, which provides global Citation, Download, Citation, Co- citation, Hub/Authority and time-course metrics: http://stats.eprints.ecs.soton.ac.uk/cgi-bin/irstats.cgi? ETD Pittsburgh
    96. 96. ETD Pittsburgh
    97. 97. ETD Pittsburgh
    98. 98. ETD Pittsburgh
    99. 99. ETD Pittsburgh
    100. 100. Sample citation and download growth with time. (Downloads only start in 2005 because that is when this paper was deposited.) Early growth rate and late decay metrics for downloads and citations can also be derived. ETD Pittsburgh
    101. 101. SUMMARY: OA: How? Universities and funders mandate Green OA self- archiving Deposit Where? In universities' own Institutional Repositories (IRs) Deposit How? A few minutes of keystrokes per paper is all that stands between the world research community and 100% OA Deposit What? Author's final, revised, accepted draft of articles and theses Deposit When? Immediately upon acceptance Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How? http://openaccess.eprints.org/index.php?/archives/136-guid.html ETD Pittsburgh
    102. 102. Open Access: How? Universities adopt the ID/OA mandate: Immediate Deposit + Optional Access + ETD Pittsburgh
    103. 103. Open Access: Why? 1. To maximise the uptake, usage, applications and impact of the research output of your university 2. To measure and reward the uptake, usage, applications and impact of the research output of your university (research metrics) 3. To collect (and showcase and manage) a permanent record of the research output and impact of your university ETD Pittsburgh
    104. 104. Sample of candidate OA-era metrics: • Citations (C) • CiteRank (like Google) • Co-citations • Downloads (D) • C/D Correlations • Hub/Authority index • Chronometrics: Latency/Longevity • Endogamy/Exogamy • Book citation index • Links • Tags • Commentaries • Journal Impact Factor • h-index (and variants) • Co-authorships • Publication counts • Number of publishing years • Semiometrics (latent semantic indexing, text overlap, etc.) • Research funding • Students • Prizes ETD Pittsburgh
    105. 105. Worldwide, a total of 84 Green OA self- archiving mandates have already been adopted and 14 more proposed so far: ROARMAP (Registry of OA Repository Mandates): http://www.eprints.org/openaccess/policysignup/ ETD Pittsburgh
    106. 106. Growth Rate of OA Mandates ETD Pittsburgh
    107. 107. What About Theses and Dissertations? ETD Pittsburgh • Exception-free author give-aways? (Most, but not all. Some want to become a book. Some contain copyrighted material by someone other than the author.)
    108. 108. If 100% of research articles were freely accessible (OA), then the usage, impact, productivity and progress of research would be maximized. The same is true of scientific and scholarly theses and dissertations. ETD Pittsburgh
    109. 109. The only effective way to guarantee 100% self-archiving is for universities and research funders to make the self- archiving of published research articles and accepted theses an administrative requirement: a mandate ETD Pittsburgh
    110. 110. Researchers are already rewarded not just in proportion to how many articles they publish, but how many times their articles are cited. Much the same is true of the authors of theses and dissertations who are aiming for academic or research careers. ETD Pittsburgh
    111. 111. The world’s c. 15,000 research universities and institutions produce all research output, in all disciplines, funded and unfunded • World’s first Green OA article Mandate: University of Southampton School of Electronics and Computer Science (UK 2003) • World’s first University-Wide Green OA article Mandate: Queensland University of Technology (Australia Feb 2004) • Europe’s First Green OA article Mandate: University of Minho (Portugal Dec 2004) • World’s first Green ETD Mandate? ETD Pittsburgh
    112. 112. 16 ETD deposit mandates already in Australia alone
    113. 113. ROARMAP now also records ETD mandates Please register yours! http://www.eprints.org/openaccess/policysignup/ ETD Pittsburgh
    114. 114. Author’s URLs (UQAM & Southampton): http://www.crsc.uqam.ca/ http://users.ecs.soton.ac.uk/harnad/ BIBLIOGRAPHY ON OA IMACT ADVANTAGE: http://opcit.eprints.org/oacitation-biblio.html BOAI Self-Archiving FAQ: http://www.eprints.org/self-faq/ CITEBASE (scientometric engine): http://citebase.eprints.org/ EPRINTS: http://www.eprints.org/ OA ARCHIVANGELISM: http://openaccess.eprints.org/ ROAR (Registry of OA Repositories): http://roar.eprints.org/ ROARMAP (Registry of OA Repository Mandates): http://www.eprints.org/openaccess/policysignup/ ROMEO/EPRINTS (Directory of Journal Policies on author OA Self-Archiving): http://romeo.eprints.org/ ETD Pittsburgh
    115. 115. 1995: Universal FTP Archives for Esoteric Science and Scholarship: A Subversive Proposal In: Scholarly Journals at the Crossroads. ARL. http://www.arl.org/scomm/subversive/toc.html 2001: Research access, impact and assessment THES 1487 http://cogprints.org/1683/ The Self-Archiving Initiative Nature 410 http://www.nature.com/nature/debates/e-access/Articles/harnad.html Measuring and Maximising UK Research Impact THES http://eprints.ecs.soton.ac.uk/7728/ Mandated online RAE CVs Linked to University Eprint Archives. Ariadne 35 http://www.ecs.soton.ac.uk/~harnad/Temp/Ariadne-RAE.htm 2004: Comparing the Impact of Open Access (OA) vs. Non-OA Articles in the Same Journals & Brody D-Lib http://www.dlib.org/dlib/june04/harnad/06harnad.html The Access/Impact Problem and the Green and Gold Roads to Open Access. et al Nature Web Focus. http://www.nature.com/nature/focus/accessdebate/21.html 2005: Journal publishing and author self-archiving: Peaceful Co-Existence Berners-Lee et al http://eprints.ecs.soton.ac.uk/11160/ Keystroke Economy: A Study of the Time and Effort Involved in Self-Archiving. Carr & Harnad http://eprints.ecs.soton.ac.uk/10688/ Ten-Year Cross-Disciplinary Comparison of the Growth of Open Access and Research Citation Impact. Hajjem et al IEEE Data Engineering Bulletin 28 http://eprints.ecs.soton.ac.uk/11688/ Making the case for web-based self-archiving Research Money 19 http://eprints.ecs.soton.ac.uk/11534/ 2006: Self-archiving should be mandatory 2006 Research Information http://eprints.ecs.soton.ac.uk/12738/ The Open Research Web: A Preview of the Optimal and the Inevitable Shadbolt et al in Open Access: Key Strategic, Technical and Economic Aspects http://eprints.ecs.soton.ac.uk/12453/ 2007: Open Access Scientometrics and the UK Research Assessment Exercise Proc 11th Ann Mtg Int Soc Scientometrics and Informetrics 11:27-33 http://eprints.ecs.soton.ac.uk/13804/ Time to Convert to Metrics Brody et al Research Fortnight 17 http://eprints.ecs.soton.ac.uk/14329/ Incentivizing the Open Access Research Web: Publication-, Data-Archiving and Scientometrics. Brody et al CTWatch Quarterly 3(3). http://eprints.ecs.soton.ac.uk/14418/
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