Mandates and Metrics:   How Open Repositories Enable Universities toManage, Measure and Maximise their Research Assets    ...
Collaborators:•   Brody, Tim (U. Southampton, Eprints)•   Carr, Les (U. Southampton, EPrints)•   Gargouri, Yassine (U. Qué...
What Is Open Access:?           o       Free,           o       Immediate           o       Permanent           o       Fu...
Open Access to What?ESSENTIAL:                                  OPTIONAL:                                            (beca...
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    universit...
OA maximises:        research’s:                             visibility        usage        uptake        applications    ...
Open Access: How?By mandating Green OA Self-Archiving                OA Metrics motivate OA Mandates           And OA Mand...
COMPETITIVE ADVANTAGE: The earlier you mandate Green OA, the sooner (and bigger) your universitys   competitive advantage:...
Contributors to the OA Advantage              EA + QA + UA + (CA) + (QB)•   EA: Early Advantage: Self-archiving preprints ...
PREVIEW of following slides:OA: How? Universities and funders mandate Green OA self-  archivingDeposit Where? In universit...
1. About 25,000 peer-reviewed   journals are published   worldwide, in all disciplines and   all languageshttp://www.ulric...
2. They publish about 2.5 million articles per year        Slides for Promoting OA Mandates and Metrics
3. Most universities and  research institutions can only  afford to subscribe to a fraction  of those journals.http://fish...
4. That means that all those  articles are accessible to only a  fraction of their potential users.         Slides for Pro...
5. That means that research is  having only a fraction of its  potential usage and impact.         Slides for Promoting OA...
6. That means that research is  achieving only a fraction of its  potential productivity and  progress.         Slides for...
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 fr...
8. Research that is freely  accessible on the web has  25% - 250% greater research  impact.        Slides for Promoting OA...
“Online or Invisible?” (Lawrence 2001)“average of 336% more citations to online articles compared to offline   articles pu...
Lawrence (2001) findings for computer science conferencepapers. More OA every year for all citation levels; higher withhig...
Slides for Promoting OA Mandates and Metrics
9. If 100% of research articles were  freely accessible (OA), then the  usage, impact, productivity and  progress of resea...
10. There are two ways to make research Open Access.        Slides for Promoting OA Mandates and Metrics
11. The Golden way is for publishers to convert all their journals into Open Access journals.         Slides for Promoting...
12. The Green way is for researchers to deposit all their published journal articles in their own institutions Open Access...
Impact cycle               begins:                Researchers write               Research is             pre-refereeing  ...
Impact cycle               begins:                Researchers write               Research is             pre-refereeing  ...
Impact cycle              Researchers write               begins:                    pre-refereeing               Research...
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.       Slides for Promoting OA Mandates and Metrics
15. Green Open Access depends only on the research community.        Slides for Promoting OA Mandates and Metrics
16. The research community cannot require the publishing community to convert to Gold Open Access.        Slides for Promo...
17. But the research community can itself convert to Green Open Access.        Slides for Promoting OA Mandates and Metrics
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.or...
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 necessarycondition, not a sufficientcondition, for providing 100% Op...
There are many repositories  but few deposits  because deposit mandates  are still few:                  15% of annual    ...
22. Only about 15% of institutional research output is being self- archived spontaneously today.        Slides for Promoti...
23. It is helpful to provide incentives to  self-archive, such as, download  statistics, publicity, help from  librarians ...
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    Slides for Promoting OA Ma...
The world’s c. 15,000 research universities and institutions produce  all research output, in all disciplines, funded and ...
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.        Slide...
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 reportthat they would comply with a self-archiving mandate from t...
28. Arthur Sale’s comparisons of the self-  archiving percentage of institutions withRepositories only (R -I -M)       Rep...
University of Tasmania +Repository-Incentive -Mandate  Green line: total annual outputRed line: proportion self-archived  ...
University of Queensland+Repository +Incentive-Mandate Green line: total annual outputRed line: proportion self-archived  ...
Queensland University of Technology+Repository +Incentive +Mandate  Green line: total annual outputRed line: proportion se...
Sale, Arthur (2006) Researchers and institutional repositories, inJacobs, Neil, Eds. Open Access: Key Strategic, Technical...
29. Worldwide, a total of 60 Green OA self-archiving mandates have already been adopted and 11 more proposed so far:   ROA...
etc…
30. Several other important proposals to mandate Green OA self-archiving are under consideration in the USA, Europe, and e...
Unanimously Adopted by EUA,Jan 25 2008791 universitiesin 46 countriesAll European Universities should create institutional...
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.         Slides...
34. Research performance metrics in turn provide incentives for motivating and rewarding self- archiving.        Slides fo...
35. Open Access will generate many rich new metrics that can be used to assess research impact:        Slides for Promotin...
Sample of candidate                  OA-era metrics:•   Citations (C)•   CiteRank (like Google)•   Co-citations           ...
36. These metrics can be validated in the UK Research Assessment Exercise (RAE), discipline by discipline, through multipl...
UK’s RAE 2008 wasa parallel panel/metric exercise, making it possible to develop a rich spectrum of candidate metrics and ...
RAE 2001Rankings forPsychology
Research Assessment, Research Funding, and Citation Impact         “Correlation between RAE ratings and           mean dep...
What is a Citation Worth?Diamond, Jr. , A. M. (1986) Journal of Human Resources 21:200http://www.garfield.library.upenn.ed...
Early Access Advantage: OA is accelerating theresearch access/usage/citation cycle. OA articles       are being cited soon...
Time-Course and cycle of Citations (red)             and Usage (hits, green)Witten, Edward (1998) String Theory and Noncom...
Data from arXiv    Downloads (“hits”)   in the first 6   months correlate   with citations 2   years later   Most articles...
37. The mandate should be to • deposit all articles • in the Institutional Repository • immediately upon acceptance  for p...
38. The optimal Green OA mandate is to require immediate depositandimmediate Open Access.                    Which Green O...
39. But if there is any delay or opposition to an Immediate- Deposit/Immediate-OA mandate, then the compromiseImmediate-De...
40. The authors final, peer-reviewed  draft must be deposited immediately  upon acceptance for publication. But access to ...
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 acc...
42. For the articles in the 37% of journals  that have an embargo policy, the free  EPrints institutional Repository-creat...
The ID/OA mandate applies (with no exceptions or delays) to thedeposit of the author’s final, peer-reviewed draft (“postpr...
How the EPrints                                                   Button works:Almost-Instant, Almost-OA, STEP I:First, su...
Almost-Instant, Almost-OA, STEP II:The eprint requester then presses theButton, (1 requester keystroke) which immediately ...
Slides for Promoting OA Mandates and Metrics
Almost-Instant, Almost-OA, STEP III:The author instantly receives the following email, to which he canreply with one click...
From: DemoPrints XXX@ecs.soton.ac.ukDate: July 28, 2007 12:51:43 AM EDT (CA)To: XXX@ecs.soton.ac.ukSubject: Request for "O...
The author has already done the N keystrokes needed to depositthe document in his IR in the first place, immediately upona...
The free EPrints University Repository Softwaregenerates rich (and potentially even richer)usage metrics.It can be used fo...
Slides for Promoting OA Mandates and Metrics
Some EPrints downloadmetrics for top deposits bySouthampton author TimBerners-Lee.                              Slides for...
These Local EPrints University Repository Usagemetrics are complemented by CITEBASE, whichprovides global Citation, Downlo...
Slides for Promoting OA Mandates and Metrics
Slides for Promoting OA Mandates and Metrics
Sample citation and download growth with time. (Downloads only start in2005 because that is when this paper was deposited....
SUMMARY:OA: How? Universities and funders mandate Green OA self-  archivingDeposit Where? In universities own Institutiona...
Open Access: How?Universities adopt the ID/OA mandate:         Immediate Deposit                 +          Optional Acces...
Open Access: Why?1.To maximise the uptake, usage, applications and impact of   the research output of your university2. To...
Sample of candidate                  OA-era metrics:•   Citations (C)•   CiteRank (like Google)•   Co-citations           ...
Open Access (OA)                Free/Open Software (fs)                    Open Data (od)           Creative Commons Licen...
Author’s URLs (UQAM & Southampton):http://www.crsc.uqam.ca/http://users.ecs.soton.ac.uk/harnad/BIBLIOGRAPHY ON OA IMACT AD...
1995:Universal FTP Archives for Esoteric Science and Scholarship: A Subversive Proposal In:Scholarly Journals at the Cross...
Stevan Harnad: Slides for promoting open access mandates and metrics
Stevan Harnad: Slides for promoting open access mandates and metrics
Stevan Harnad: Slides for promoting open access mandates and metrics
Stevan Harnad: Slides for promoting open access mandates and metrics
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  • Repositories (from ROAR http://roar.eprints.org/) and Mandates (from ROARMAP http://www.eprints.org/openaccess/policysignup/).
  • The fundamental Give-Away/Non-Give-Away Distinction underlying OA: http://openaccess.eprints.org/index.php?/archives/497-guid.html
  • Stevan Harnad: Slides for promoting open access mandates and metrics

    1. 1. Mandates and Metrics: How Open Repositories Enable Universities toManage, Measure and Maximise their Research Assets Stevan Harnad Canada Research Chair in Cognitive Sciences, Université du Québec à Montréal & Department of Electronics and Computer Science, University of Southampton Slides for Promoting OA Mandates and Metrics
    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)• Larivière,François (U. Québec à Montréal)• Oppenheim, Charles (U. Loughborough)• Sale, Arthur (U. Tasmania)• Swan, Alma (U. Southampton, EPrints, Key Perspectives)
    3. 3. What Is Open Access:? o Free, o Immediate o Permanent o Full-Text o On-Line o Access Slides for Promoting OA Mandates and Metrics
    4. 4. Open Access to What?ESSENTIAL: OPTIONAL: (because these are not all author give- to all 2.5 million annual aways, written only for usage and impact): research articles 1. Books 2. Textbooks 3. Magazine articles published in all 25,000 4. Newspaper articles peer-reviewed journals 5. Music (and peer-reviewed 6. Video conferences) 7. Software 8. “Knowledge” in all scholarly and (or because author’s choice to self-archive can scientific disciplines, only be encouraged, not required in all cases): worldwide 9. Data 10. Unrefereed Preprints Slides for Promoting OA Mandates and Metrics
    5. 5. There are two ways to provide OA:Green OA Self-Archiving: Authors self-archive the articles they publish in the 25,000 peer-reviewed journalsGold 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.) Slides for Promoting OA Mandates and Metrics
    6. 6. 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 ofSlides for Promoting OA Mandates and Metrics your university
    7. 7. OA maximises: research’s: visibility usage uptake applications impact productivity progress funding manageability assessabilityby maximising research’s: accessibility Slides for Promoting OA Mandates and Metrics
    8. 8. Open Access: How?By mandating Green OA Self-Archiving OA Metrics motivate OA Mandates And OA Mandates maximize OA Metrics• 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/ Slides for Promoting OA Mandates and Metrics
    9. 9. COMPETITIVE ADVANTAGE: The earlier you mandate Green OA, the sooner (and bigger) your universitys competitive advantage: U. Southampton School of Electronics and Computer Science was the first in the world to adopt an OA self-archiving mandate.
    10. 10. Contributors to the OA Advantage EA + QA + UA + (CA) + (QB)• 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) Slides for Promoting OA Mandates and Metrics
    11. 11. PREVIEW of following slides:OA: How? Universities and funders mandate Green OA self- archivingDeposit 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% OADeposit What? Authors final, revised, peer-reviewed draft ("postprint")Deposit When? Immediately upon acceptance for publication Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How? http://openaccess.eprints.org/index.php?/archives/136-guid.html Slides for Promoting OA Mandates and Metrics
    12. 12. 1. About 25,000 peer-reviewed journals are published worldwide, in all disciplines and all languageshttp://www.ulrichsweb.com/ulrichsweb/ Slides for Promoting OA Mandates and Metrics
    13. 13. 2. They publish about 2.5 million articles per year Slides for Promoting OA Mandates and Metrics
    14. 14. 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 Slides for Promoting OA Mandates and Metrics
    15. 15. 4. That means that all those articles are accessible to only a fraction of their potential users. Slides for Promoting OA Mandates and Metrics
    16. 16. 5. That means that research is having only a fraction of its potential usage and impact. Slides for Promoting OA Mandates and Metrics
    17. 17. 6. That means that research is achieving only a fraction of its potential productivity and progress. Slides for Promoting OA Mandates and Metrics
    18. 18. 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 Slides for Promoting OA Mandates and Metrics
    19. 19. 8. Research that is freely accessible on the web has 25% - 250% greater research impact. Slides for Promoting OA Mandates and Metrics
    20. 20. “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 papers impact Nature 411 (6837): 521.http://www.neci.nec.com/~lawrence/papers/online-nature01/ Slides for Promoting OA Mandates and Metrics
    21. 21. Lawrence (2001) findings for computer science conferencepapers. More OA every year for all citation levels; higher withhigher citation levels Slides for Promoting OA Mandates and Metrics
    22. 22. Slides for Promoting OA Mandates and Metrics
    23. 23. 9. If 100% of research articles were freely accessible (OA), then the usage, impact, productivity and progress of research would be maximised. Slides for Promoting OA Mandates and Metrics
    24. 24. 10. There are two ways to make research Open Access. Slides for Promoting OA Mandates and Metrics
    25. 25. 11. The Golden way is for publishers to convert all their journals into Open Access journals. Slides for Promoting OA Mandates and Metrics
    26. 26. 12. The Green way is for researchers to deposit all their published journal articles in their own institutions Open Access Repository.Here is how Green OA self- archiving works: Slides for Promoting OA Mandates and Metrics
    27. 27. Impact cycle begins: Researchers write Research is pre-refereeing done “Pre-Print”12-18 Months Submitted to Journal Pre-Print reviewed by Peer Experts – “Peer- Review” Pre-Print revised by article’s Authors Refereed “Post-Print” Accepted, Certified, Published by Journal Researchers can access the Post-Print if their university New impact has a subscription to the cycles:New research Journal builds on existing research Slides for Promoting OA Mandates and Metrics
    28. 28. Impact cycle begins: Researchers write Research is pre-refereeing done “Pre-Print”12-18 Months Submitted to Journal This limited subscription-based Pre-Print reviewed by Peer Experts – “Peer- access can be Review” Pre-Print revised by supplemented by self- article’s Authors archiving the Postprint Refereed “Post-Print” in the author’s own Accepted, Certified, Published by Journal institutional repository as follows: Researchers can access the Post-Print if their university New impact has a subscription to the cycles:New research Journal builds on existing research Slides for Promoting OA Mandates and Metrics
    29. 29. Impact cycle Researchers write begins: pre-refereeing Research is done “Pre-Print”12-18 Months Submitted to Journal Pre-Print reviewed by Peer Post-Print Experts – “Peer-Review” is self-archived in University’s Pre-Print revised by Eprint Archive article’s Authors Refereed “Post-Print” Accepted, Certified, Published by Journal More impact cycles: Researchers can access the Post-Print if their university has a subscription to the Journal New impact cycles: New research builds on existing research
    30. 30. 13. But only about 15% of the annual 2.5 million research articles are being made freely accessible on the WWW spontaneously today. Slides for Promoting OA Mandates and Metrics
    31. 31. 14. Gold Open Access depends on the publishing community. Slides for Promoting OA Mandates and Metrics
    32. 32. 15. Green Open Access depends only on the research community. Slides for Promoting OA Mandates and Metrics
    33. 33. 16. The research community cannot require the publishing community to convert to Gold Open Access. Slides for Promoting OA Mandates and Metrics
    34. 34. 17. But the research community can itself convert to Green Open Access. Slides for Promoting OA Mandates and Metrics
    35. 35. 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/ Slides for Promoting OA Mandates and Metrics
    36. 36. 19. EPrints repositories are all compliant with the OAI Protocol for metadata harvesting. http://www.openarchives.org/ Slides for Promoting OA Mandates and Metrics
    37. 37. 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. Slides for Promoting OA Mandates and Metrics
    38. 38. 21. But creating institutional repositories is only a necessarycondition, not a sufficientcondition, for providing 100% Open Access: Slides for Promoting OA Mandates and Metrics
    39. 39. There are many repositories but few deposits because deposit mandates are still few: 15% of annual 2.5 million articles Slides for Promoting OA Mandates and Metrics
    40. 40. 22. Only about 15% of institutional research output is being self- archived spontaneously today. Slides for Promoting OA Mandates and Metrics
    41. 41. 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 Slides for Promoting OA Mandates and Metrics
    42. 42. 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 an administrative requirement: a mandate Slides for Promoting OA Mandates and Metrics
    43. 43. A Successful Repository: Why? Deposit Growth since 2003 U. Southampton ECS Repository Slides for Promoting OA Mandates and Metrics
    44. 44. 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 Mandate: University of Southampton School of Electronics and Computer Science (UK 2003)• World’s first University-Wide Green OA Mandate: Queensland University of Technology (Australia Feb 2004)• Europe’s First Green OA Mandate: University of Minho (Portugal Dec 2004) Slides for Promoting OA Mandates and Metrics
    45. 45. 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. Slides for Promoting OA Mandates and Metrics
    46. 46. 26. A self-archiving mandate is just a natural extension of the existing publishing mandate, for the web era. Slides for Promoting OA Mandates and Metrics
    47. 47. 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/ Slides for Promoting OA Mandates and Metrics
    48. 48. Across all countries and disciplines, 95% of researchers reportthat they would comply with a self-archiving mandate from theirfunders and/or employers, and over 80% report that they woulddo so willingly. -- But only 15% self-archive spontaneously, if itnot mandated. Slides for Promoting OA Mandates and Metrics
    49. 49. 28. Arthur Sale’s comparisons of the self- archiving percentage of institutions withRepositories 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. Slides for Promoting OA Mandates and Metrics
    50. 50. University of Tasmania +Repository-Incentive -Mandate Green line: total annual outputRed line: proportion self-archived Data courtesy of Arthur Sale Slides for Promoting OA Mandates and Metrics
    51. 51. University of Queensland+Repository +Incentive-Mandate Green line: total annual outputRed line: proportion self-archived Data courtesy of Arthur Sale
    52. 52. Queensland University of Technology+Repository +Incentive +Mandate Green line: total annual outputRed line: proportion self-archived Data courtesy of Arthur Sale Slides for Promoting OA Mandates and Metrics
    53. 53. Sale, Arthur (2006) Researchers and institutional repositories, inJacobs, Neil, Eds. Open Access: Key Strategic, Technical and EconomicAspects Chandos Publishing (Oxford) Limited. http://eprints.utas.edu.au/257/Sale, A. The Impact of Mandatory Policies on ETD Acquisition. D-Lib MagazineApril 2006, 12(4). http://dx.doi.org/10.1045/april2006-saleSale, A. Comparison of content policies for institutional repositories inAustralia. First Monday, 11(4), April 2006.http://firstmonday.org/issues/issue11_4/sale/index.htmlSale, A. The acquisition of open access research articles. FirstMonday, 11(9), October 2006.http://www.firstmonday.org/issues/issue11_10/sale/index.htmlSale, A. (2007) The Patchwork Mandate D-Lib Magazine 13 1/2January/February http://www.dlib.org/dlib/january07/sale/01sale.html Slides for Promoting OA Mandates and Metrics
    54. 54. 29. Worldwide, a total of 60 Green OA self-archiving mandates have already been adopted and 11 more proposed so far: ROARMAP (Registry of OA Repository Mandates): http://www.eprints.org/openaccess/policysignup/ Slides for Promoting OA Mandates and Metrics
    55. 55. etc…
    56. 56. 30. Several other important proposals to mandate Green OA self-archiving are under consideration in the USA, Europe, and elsewhereAmong the 30 university mandates worldwide so far, Europe has the Southampton, Liège and other institutional mandates; the US has the Harvard (FAS and Law) and Stanford (FE) mandates. Among the 30 research funder mandates worldwide so far, Europe has the RCUK, ERC and other mandates; the US has the NIH mandate. ROARMAP (Registry of OA Repository Mandates): http://www.eprints.org/openaccess/policysignup/ Slides for Promoting OA Mandates and Metrics
    57. 57. Unanimously Adopted by EUA,Jan 25 2008791 universitiesin 46 countriesAll European Universities should create institutionalrepositories and should mandate that all researchpublications must be deposited in them immediately uponpublication (and made Open Access as soon as possiblethereafter) as already mandated by RCUK, ERC, and NIH, andas recommended by EURAB.In addition, the EUA recommends that these (funder) self-archiving mandates should also be extended to all researchresults arising from EU research programme/project funding. Slides for Promoting OA Mandates and Metrics
    58. 58. 31. It is crucial that both funders and universities mandate Green OA self-archiving worldwide, as not all research is funded. Slides for Promoting OA Mandates and Metrics
    59. 59. 32. Researchers are already rewarded not just in proportion to how many articles they publish, but how many times their articles are cited. Slides for Promoting OA Mandates and Metrics
    60. 60. 33. It is accordingly a natural step to link the self-archiving mandate to research performance assessment. Slides for Promoting OA Mandates and Metrics
    61. 61. 34. Research performance metrics in turn provide incentives for motivating and rewarding self- archiving. Slides for Promoting OA Mandates and Metrics
    62. 62. 35. Open Access will generate many rich new metrics that can be used to assess research impact: Slides for Promoting OA Mandates and Metrics
    63. 63. Sample of candidate OA-era metrics:• Citations (C)• CiteRank (like Google)• Co-citations • h-index (and variants)• Downloads (D) • Co-authorships• C/D Correlations • Publication counts• Hub/Authority index • Number of publishing• Chronometrics: years Latency/Longevity • Semiometrics (latent• Endogamy/Exogamy semantic indexing, text overlap, etc.)• Book citation index • Research funding• Links • Students• Tags • Prizes• Commentaries• Journal Impact Factor Slides for Promoting OA Mandates and Metrics
    64. 64. 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: Slides for Promoting OA Mandates and Metrics
    65. 65. UK’s RAE 2008 wasa 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 andInformetrics 11(1) : 27-33, Madrid, Spain. Torres-Salinas, D. and Moed, H. F., Eds.http://eprints.ecs.soton.ac.uk/13804/ Slides for Promoting OA Mandates and Metrics
    66. 66. RAE 2001Rankings forPsychology
    67. 67. 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 Slides for Promoting OA Mandates and Metrics
    68. 68. What is a Citation Worth?Diamond, Jr. , A. M. (1986) Journal of Human Resources 21:200http://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) Slides for Promoting OA Mandates and Metrics
    69. 69. Early Access Advantage: OA is accelerating theresearch access/usage/citation cycle. OA articles are being cited sooner and sooner (Data from Physics Arxiv)
    70. 70. 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... Slides for Promoting OA Mandates and Metrics
    71. 71. Data from arXiv Downloads (“hits”) in the first 6 months correlate with citations 2 years later Most articles are not cited at allEarlier download metrics correlated with later citation metricsBrody, 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/
    72. 72. 37. The mandate should be to • deposit all articles • in the Institutional Repository • immediately upon acceptance for publication Slides for Promoting OA Mandates and Metrics
    73. 73. 38. The optimal Green OA mandate is to require immediate depositandimmediate Open Access. Which Green OA Mandate Is Optimal? http://openaccess.eprints.org/index.php?/archives/494-guid.htmlThe 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 Slides for Promoting OA Mandates and Metrics
    74. 74. 39. But if there is any delay or opposition to an Immediate- Deposit/Immediate-OA mandate, then the compromiseImmediate-Deposit/Delayed-Open-Access (ID/OA) mandate should be adopted: Slides for Promoting OA Mandates and Metrics
    75. 75. 40. The authors final, peer-reviewed 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). Slides for Promoting OA Mandates and Metrics
    76. 76. 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/ Slides for Promoting OA Mandates and Metrics
    77. 77. What About Copyright?Mandate ID/OA: Immediate Deposit, Optional Access:All articles must be deposited immediately upon acceptance forpublication. Publishers have no say over institution-internalrecord-keeping.Embargoed articles canbe made Closed Accessinstead of Open Access.63% of journals are Green(already endorse immediate OA)ROMEO/EPRINTS (Directory of Journal Policies onauthor OA Self-Archiving):http://romeo.eprints.org/ Slides for Promoting OA Mandates and Metrics
    78. 78. 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. Slides for Promoting OA Mandates and Metrics
    79. 79. The ID/OA mandate applies (with no exceptions or delays) to thedeposit of the author’s final, peer-reviewed draft (“postprint”).This must be deposited immediately upon acceptance forpublication, but the deposit need not be made Open Access.Where access is embargoed (38%), the deposit can be madeClosed Access.During the embargo period, the Institutional Repository’sButton provides Almost-Instant, Almost-OA, for just a few extrakeystrokes, as follows: Slides for Promoting OA Mandates and Metrics
    80. 80. How the EPrints Button works:Almost-Instant, Almost-OA, STEP I:First, suppose a potential user anywhere on the web sees themetadata (author, date, title, journal) for a document they need(from searching with Google or Google Scholar, or Citebase, orOAIster or any other search engine).If that document is not Open Access, but Closed Access, then theInstitutional Repository link will reach the following page, showingthe document’s metadata with the Button: Slides for Promoting OA Mandates and Metrics
    81. 81. Almost-Instant, Almost-OA, STEP II:The eprint requester then presses theButton, (1 requester keystroke) which immediately generates abox that allows the requester to cut/paste his email address into itand then click (3 requester keystrokes)(in addition, optionally, requesters may also identify themselves ifthey wish, and/or specify for the author why they need the eprint): Slides for Promoting OA Mandates and Metrics
    82. 82. Slides for Promoting OA Mandates and Metrics
    83. 83. Almost-Instant, Almost-OA, STEP III:The author instantly receives the following email, to which he canreply 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 tothe requester by the Institutional Repository software.) Slides for Promoting OA Mandates and Metrics
    84. 84. From: DemoPrints XXX@ecs.soton.ac.ukDate: July 28, 2007 12:51:43 AM EDT (CA)To: XXX@ecs.soton.ac.ukSubject: Request for "Open Access Mandates and Metrics”The following item: Harnad, S (2007) Open Access Mandates and Metrics.ScienceMetrics, 50 (10): 500-510.has been requested from DemoPrints by: myemail@wherever.eduThe 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 directlyavailable to users without the need for these extra keystrokes.)DemoPrintshttp://demoprints3.eprints.org/ Slides for Promoting OA Mandates and Metrics
    85. 85. The author has already done the N keystrokes needed to depositthe document in his IR in the first place, immediately uponacceptance for publication.For 62% of deposits, the author can immediately set access asOpen Access, with the publisher’s blessing.For the 38% of deposits where access is embargoed by thepublisher, the author does one extra keystroke per request --considerably less that he did in paper reprint request days, whenreprints had to be mailed and the turnaround time was weeksrather than minutes.With the ID/OA mandate universally adopted, the embargoes willsoon 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/ Slides for Promoting OA Mandates and Metrics
    86. 86. The free EPrints University Repository Softwaregenerates rich (and potentially even richer)usage metrics.It can be used for showcasing,navigating, comparing and assessing.Here is a sample of University Repository usagemetrics for Southampton authorTim Berners-Lee:http://stats.eprints.ecs.soton.ac.uk/cgi-bin/irstats.cgi? Slides for Promoting OA Mandates and Metrics
    87. 87. Slides for Promoting OA Mandates and Metrics
    88. 88. Some EPrints downloadmetrics for top deposits bySouthampton author TimBerners-Lee. Slides for Promoting OA Mandates and Metrics
    89. 89. These Local EPrints University Repository Usagemetrics are complemented by CITEBASE, whichprovides global Citation, Download, Citation, Co-citation, Hub/Authority and time-course metrics:http://stats.eprints.ecs.soton.ac.uk/cgi-bin/irstats.cgi? Slides for Promoting OA Mandates and Metrics
    90. 90. Slides for Promoting OA Mandates and Metrics
    91. 91. Slides for Promoting OA Mandates and Metrics
    92. 92. Sample citation and download growth with time. (Downloads only start in2005 because that is when this paper was deposited.) Early growth rate andlate decay metrics for downloads and citations can also be derived.
    93. 93. SUMMARY:OA: How? Universities and funders mandate Green OA self- archivingDeposit 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% OADeposit What? Authors final, revised, peer-reviewed draft ("postprint")Deposit When? Immediately upon acceptance for publication Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How? http://openaccess.eprints.org/index.php?/archives/136-guid.html Slides for Promoting OA Mandates and Metrics
    94. 94. Open Access: How?Universities adopt the ID/OA mandate: Immediate Deposit + Optional Access + Slides for Promoting OA Mandates and Metrics
    95. 95. Open Access: Why?1.To maximise the uptake, usage, applications and impact of the research output of your university2. 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 Slides for Promoting OA Mandates and Metrics
    96. 96. Sample of candidate OA-era metrics:• Citations (C)• CiteRank (like Google)• Co-citations • h-index (and variants)• Downloads (D) • Co-authorships• C/D Correlations • Publication counts• Hub/Authority index • Number of publishing• Chronometrics: years Latency/Longevity • Semiometrics (latent• Endogamy/Exogamy semantic indexing, text overlap, etc.)• Book citation index • Research funding• Links • Students• Tags • Prizes• Commentaries• Journal Impact Factor Slides for Promoting OA Mandates and Metrics
    97. 97. Open Access (OA) Free/Open Software (fs) Open Data (od) Creative Commons Licensing (cc) Wikipedia (wp) The Commonalities and Distinctions http://openaccess.eprints.org/index.php?/archives/497-guid.html(1) Exception-Free Creator Give-Away? OA wp(2) Peer-Revewed? OA(3) Published? OA(4) Publicly Funded? (OA) (od)(5) Copyright Barrier? (OA) (od)(6) Access to code? OA fs od cc wp(7) Modifying/Remixing/"re-using" code? fs od cc wp(8) Republishing Code? fs od cc wp Slides for Promoting OA Mandates and Metrics
    98. 98. 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.htmlBOAI 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/ Slides for Promoting OA Mandates and Metrics
    99. 99. 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 assessmentTHES 1487 http://cogprints.org/1683/The Self-Archiving InitiativeNature 410 http://www.nature.com/nature/debates/e-access/Articles/harnad.htmlMeasuring and Maximising UK Research ImpactTHEShttp://eprints.ecs.soton.ac.uk/7728/Mandated online RAE CVs Linked to University Eprint Archives. Ariadne 35http://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-Libhttp://www.dlib.org/dlib/june04/harnad/06harnad.htmlThe 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 etalhttp://eprints.ecs.soton.ac.uk/11160/Keystroke Economy: A Study of the Time and Effort Involved in Self-Archiving. Carr & Harnadhttp://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-archivingResearch Money 19 http://eprints.ecs.soton.ac.uk/11534/ 2006:Self-archiving should be mandatory 2006 ResearchInformationhttp://eprints.ecs.soton.ac.uk/12738/The Open Research Web: A Preview of the Optimal and the Inevitable Shadbolt et al in Open Access: KeyStrategic, Technical and Economic Aspectshttp://eprints.ecs.soton.ac.uk/12453/ 2007:Open Access Scientometrics and the UK Research Assessment ExerciseProc 11th Ann Mtg IntSoc 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 alCTWatch Quarterly 3(3). http://eprints.ecs.soton.ac.uk/14418/

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