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These slides were made by Tim Brody, Chawki Hajjem and Stevan Harnad (Southampton University & Université du Québec à Montréal). Thanks also to Alma Swan,

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Presentation on theme: "These slides were made by Tim Brody, Chawki Hajjem and Stevan Harnad (Southampton University & Université du Québec à Montréal). Thanks also to Alma Swan,"— Presentation transcript:

1 These slides were made by Tim Brody, Chawki Hajjem and Stevan Harnad (Southampton University & Université du Québec à Montréal). Thanks also to Alma Swan, Arthur Sale, and Michael Kurtz from whose slides we have poached. Permission is granted to anyone to use them to promote open access and self- archiving as long as their source is acknowledged.


3 Open Access: What? Free, Immediate Permanent Full-Text On-Line Access

4 Open Access: To What? ESSENTIAL: to all 2.5 million annual research articles published in all 24,000 peer- reviewed journals (or 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 authors choice to self-archive can only be encouraged, not required in all cases): 9. Data 10. Unrefereed Preprints

5 Open Access: Why? To maximise: research visibility research usage research uptake research impact research progress By maximising: research access

6 Online or Invisible? (Lawrence 2001) average of 336% more citations to online articles compared to offline articles published in the same venue

7 Lawrence (2001) findings for computer science conference papers. More OA every year for all citation levels; higher with higher citation levels

8 Citation impact for articles in the same journal and year are consistently higher for articles that have been self-archived by their authors. (Below is a comparison for Astronomy articles that are and are not in ArXiv.)

9 Astrophysics General Physics HEP/Nuclear Physics Chemical Physics

10 Social Sciences Biological Sciences The citation impact advantage is found in all fields analyzed so far, including articles (self-archived in any kind of open-access website or archive) in social sciences (above right) biological sciences (below right) and all fields of Physics (self-archived in ArXiv, below). Note that the percentage of published articles that have been self-archived (green bars) varies from about 10-20%from field to field and that the size of the open-access citation impact advantage (red bars) varies from about 25% to over 300%, but it is always positive. Signal detection analysis of the hit/miss rate of the algorithm that searched for full-text OA papers on the web: d = 2.45 (sensitivity) b =.52 (bias)

11 By discipline: total articles (OA+NOA), gray curve; percentage OA: (OA/(OA+NOA)) articles, black bars; percentage OA citation advantage: ((OA-NOA)/NOA) citations, white bars, averaged across 1992-2003 and ranked by total articles. All disciplines show an OA citation advantage

12 By country: total articles (gray curve), percent OA articles (black bars), and percent OA citation advantage (white bars); averaged across all disciplines and years 1992-2003; ranked by total articles.

13 By year: total articles (gray curve), percent OA articles (black bars), and percent OA citation advantage (white bars): 1992-2003, averaged across all disciplines. No yearly trend is apparent in the size of the OA citation advantage, but %OA is growing from year to year

14 Figure 3a: The yearly percentage (OAc) of the articles with c citations (c = 0, 1 2-3, 4-7, 8-15, 16+) that are OA (1992-2003). This graph should really be read backwards, as citations increase cumulatively as an article gets older (younger articles have fewer citations). Reading backwards, for articles with no citations (c=0), the percentage OAc decreases each year from 2003-1992, at first rapidly, then more slowly. For articles with one and more citations (c>0), OAc first increases rapidly from 2003 till about 1998, then decreases slowly 1998-1992. Notice that the rank order becomes inverted around midway (c. 1998), the percentages increasing from c=0 to c=16+ for the oldest articles (1992) and the reverse for the youngest articles (2003). The pattern is almost identical for NOA articles too (see NOAc inset), so this is the relationship between citation ranges and time for all articles, not a specific OA effect. The OA effect only becomes apparent when we look at OAc/NOAc (Figure 3b) Figure 3b: The yearly ratio OA c /NOA c between the percentage of articles with c citations (c = 0, 1 2-3, 4-7, 8-15, 16 + ) that are OA and NOA (all disciplines). This ratio is increasing with time (as well as with higher citation counts, c), showing that the effect first reported for computer science conference papers by Lawrence (2001) occurs for all disciplines.

15 OA c /NOA c ratio (across all disciplines and years increases as citation count (c) increases (r =.98, N=6, p<.005). Percentage of articles is relatively higher among NOA articles with Citations = 0; it becomes higher among OA articles with citations = 1 or more. The more cited an article, the more likely that it is OA.

16 Open Access: Why? To maximise: research visibility research usage research uptake research impact research progress By maximising: research access

17 Diamond, Jr., A. M. (1986) What is a Citation Worth? Journal of Human Resources 21:200. marginal dollar value of one citation in 1986: $50-$1300 (US), depending on field and number of citations. (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.) Updating by about 170% for inflation from 1986-2005: $85.65-$2226.89

18 Research Councils UK (RCUK) spend £3.5 billion pounds annually. UK produces at least 130,000 research journal articles per year (ISI) yielding 130,000 articles x 5.6 = 761,600 citations Self-archiving increases citation impact 50%-250%, so far only 15% of researchers are self-archiving spontaneously. multiply by UKs 85% not-yet-self-archived output as a proportion of the RCUKs yearly £3.5bn research expenditure 50% x 85% x £ = £1.5bn worth of loss in potential research impact (323,680 potential citations lost)


20 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)

21 Changing Citation Behaviour The peak latency between a paper being deposited and then cited has reduced over the lifetime of This means that papers are being read and cited sooner, both as preprints and as postprints.

22 PercentOfpapers 0 5 10 15 20 25 30…. (years) Citation lag for Citation lag for self-archived (blue: 97-99) vs. articles. vs. non-self-archived (green: 97-99; 85-87) articles. Self-archived articles are cited sooner. DATA: Michael Kurtz





27 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...

28 Usage Impact (downloads) is correlated with Citation Impact (Physics ArXiv: hep, astro, cond, quantum; math, comp) downloads from first 6 months after publication predict citations 2 years after publicattion (Quartiles Q1 (lo) - Q4 (hi)) All r=.27, n=219328 Q1 (lo) r=.26, n=54832 Q2 r=.18, n=54832 Q3 r=.28, n=54832 Q4 (hi) r=.34, n=54832 hep r=.33, n=74020 Q1 (lo) r=.23, n=18505 Q2 r=.23, n=18505 Q3 r=.30, n=18505 Q4 (hi) r=.50, n=18505 (correlation is highest for high- citation papers/authors) Most papers are not cited at all Average UK downloads per paper: 10 (UK site only: 18 mirror sites in all)

29 Open Access: How? Deposit all institutional research article output In institutional OAI-compliant repositories

30 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 articles Authors Researchers can access the Post-Print if their university has a subscription to the Journal 12-18 Months New impact cycles: New research builds on existing research

31 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 articles Authors Pre-Print is self- archived in Universitys Eprint Archive Post-Print is self- archived in Universitys Eprint Archive 12-18 Months New impact cycles: Self-archived research impact is greater (and faster) because access is maximized (and accelerated)

32 Open Access: How Not: Archives without an institutional self-archiving policy (near empty, in some cases for several years)

33 Open Access: How: Two archives with an institutional self-archiving policy Southampton Department of Electronic and Computer Science (since 2002) and Southampton University (since 2004)

34 For at least 10 years now, keystrokes have been the only barrier to 100% Open Access Hence what is now needed is an institutional keystroke policy.

35 Do you think self-archiving influences citation impact ? YES (59%) Dont Know (36%) NO (5%) What percentage of your articles have you made Open Access? How many articles do you publish yearly? UQàM Survey Is an official UQàM self-archiving policy necessary? YES (75%) No (25%)








43 Key Perspectives Ltd




47 Example 4 (Soton-ECS): +1: Incentives (visible impact statistics for authors) +3: Mandate Annual research deposit growth relative to annual research output matched University of Southampton Department of Electronics and Computer Science

48 CERN Self-archiving as percentage of annual output

49 Country 1 United States (154) 2 United Kingdom (65) 3 Germany (53) 4 Canada (31) 5 Brazil (30) 6 France (26) 7 Italy (20) 8 Austrailia (19) 9 Netherlands (18) 9 Sweden (14) 10 India (13) Archive Type * Research Institutional or Departmental (259) * Research Cross-Institution (69) * e-Theses (60) * e-Journal/Publication (48) * Database (11) * Demonstration (26) * Other (76) Software Archives Records Mean EPrints 195 104090 609 DSpace 116 148855 1959 ETD-db 21 257197 15129 OPUS 19 4984 277 Bepress 16 (37) 35330 3212 BMC OpenRepository (?) CDSWare 8 99984 19997 ARNO 4 168766 42192 DoKS 3 2027 676 HAL 3 45263 15088 Fedora 1 118 118 EDOC 1 37488 37488 MyCoRe 1 1721 1721 Other 162 2463438 22193 Institutional Archives Registry: 388 Archives, most near empty! * Ireland (2) * Norway (2) * Russia (2) * Greece (2) * Turkey (1) * Argentina (1) * Israel (1) * Slovenia (1) * Croatia (1) * Namibia (1) * Peru (1) * Taiwan (1) * Pakistan (1) * New Zealand (1) * Costa Rica * Spain (9) * Belgium (9) * Japan (6) * Denmark (6) * China (5) * Mexico (5) * Finland (4) (11) * Switzerland (4) * Portugal (4) * Hungary (4) * Portugal (4) * South Africa (4) * Chile (3) * Austria (3) * Colombia (3) * Singapore (2)

50 Registry of Institutional Open Access Provision Policies Universities and research institutions who officially commit themselves to implementing the Berlin Declaration by adopting a systematic institutional self-archiving policy for their own peer-reviewed research output are invited to describe their policy in this Registry so that other institutions can follow their example. Self-archive unto others as ye would have them self-archive unto you… Institution OA Archive(s) OA Policy *AUSTRALIA: Queensland Univ. Technology, Brisbane Policy FRANCE: CNRS Policy FRANCE: INRIA Policy Policy FRANCE: Institut Jean Nicod, CNRS Policy FRANCE: Institut Nat. de la Rech. Agronomique Policy GERMANY: Universitaet Hamburg Policy GERMANY: Institute for Science Networking Oldenburg Policy GERMANY:Bielefeld University Policy Policy GERMANY: University of Bremen Policy Policy *MULTINATIONAL: CERN Policy *SWITZERLAND: University of Zurich PolicyPolicy *UK: Southampton Univ. Electronics/Computer Science Policy *PORTUGAL: Universidade do Minho, Portugal Policyhttps://repositorium.sdum.uminho.ptPolicy UK University of Southampton Policy US: University of Kansas Policy Policy USCase Western Reserve University Policy

51 The Southampton Bureaucratic Keystroke Policy: The keystrokes for depositing the metadata and full text of all Southampton research article output need to be performed (not necessarily by you) For institutional record-keeping and performance evaluation purposes Otherwise your research productivity is invisible to the university (and RAE) bureaucracy

52 Southampton Bureaucratic Keystroke Policy: The Nth (OA) Keystroke The metadata and full-text need merely be deposited, for the bureaucratic functions (for record-keeping and performance evaluation purposes) The Nth (OA) Keystroke is strongly encouraged (for both preprints and postprints) but it is up to you.

53 Current Journal Tally: 92% of journals have already given their official green light to self archiving FULL-GREEN = Postprint 79% PALE-GREEN = Preprint 13% GRAY = neither yet 8% Publishers to date: 110 Journals processed so far: 8950

54 Quo usque tandem patientia nostra…? How long will we go on letting our cumulative daily/monthly/yearly research- impact losses grow, now that the online medium has at last made this all preventable?

55 GoldGreen The two open-access strategies: Gold and Green Open-Access Publishing (OApub) (BOAI-2) 1.Create or Convert 23,000 open-access journals (1000 exist currently) 2.Find funding support for open-access publication costs ($500-$1500+) 3.Persuade the authors of the annual 2,500,000 articles to publish in new open-access journals instead of the existing toll-access journals Open-Access Self-Archiving (OAarch) (BOAI-1) 1.Persuade the authors of the annual 2,500,000 articles they publish in the existing toll-access journals to also self-archive them in their institutional open-access archives.

56 Dual Open-Access Strategy GREEN (95%): Publish your article in the toll-access journal of your choice (currently 23,500, >95%) GOLD (5%): Publish your article in an open-access journal if/when a suitable one exists (currently 1500, <5%) and deposit all your articles -- GREEN and GOLD -- in your own institutional repository

57 This Report recommends that all UK higher education institutions establish institutional repositories on which their published output can be stored and from which it can be read, free of charge, online. It also recommends that Research Councils and other Government Funders mandate their funded researchers to deposit a copy of all of their articles in this way. [The Report also recommends funding to encourage further experimentation with the author pays OA journal publishing model.] UK House of Commons Science and Technology Committee Recommendation to Mandate Institutional Self-Archiving The Committee… recommends NIH develop a policy… requiring that a complete electronic copy of any manuscript reporting work supported by NIH grants.. be provided to PMC upon acceptance… for publication… [and made] freely and continuously available six months after publication, or immediately [if]… publication costs are paid with NIH grant funds. US House of Representatives Appropriations Committee Recommendation that the NIH should mandate self-archiving (since passed by both House and Senate, then weakened by NIH to encourage rather than require, and within 12 months rather than 6; publication-charge rider dropped; delay/embargo period up to author; encouraged to self-archive as soon as possible) than 6; publication-charge rider dropped; delay/embargo period up to author; encouraged to self-archive as soon as possible) [underlining and color added to flag important and problematic portions]

58 The author/institutional self-archived version is a supplement to -- not a substitute for -- the publishers official version 1.Link the self-archived author/institution supplement to the publishers official website 1.Pool and credit download counts for the self-archived supplement with downloads counts for the official published version 2.(All citation counts of course accrue to the official published version)

59 Declaration of Institutional Commitment to implementing the Berlin Declaration on open-access provision Our institution hereby commits itself to adopting and implementing an official institutional policy of providing open access to our own peer-reviewed research output -- i.e., toll-free, full-text online access, for all would-be users webwide -- in accordance with the Budapest Open Access Initiative and the Berlin Declaration UNIFIED OPEN-ACCESS PROVISION POLICY: (OAJ) Researchers publish their research in an open-access journal if a suitable one exists otherwise (OAA) Researchers publish their research in a suitable toll-access journal and also self-archive it in their own research institution's open-access research archive. To sign: A JISC survey (Swan & Brown 2004) "asked authors to say how they would feel if their employer or funding body required them to deposit copies of their published articles in one or more… repositories. The vast majority... said they would do so willingly.

60 Four reasons for research impact (shared by researcher and institution but not by researcher and discipline) 1. 1.Contributions to Knowledge 2. 2.Employment, Salary, Promotion, Tenure, Prizes 3. 3.Research Funding, Resourcing 4. 4.Institutional Overheads, Prestige (attracting teachers, students, researchers, industrial collaboration)

61 Only the 5th is relevant here Dont conflate the different forms of institutional archiving: Only the 5th is relevant here 1.Institutional digital collection management 2.Institutional digital preservation 3.Institutional digital courseware 4.Institutional digital publishing 5.Institutional self-archiving of refereed research output

62 Would-be peer review reformers, please remember: The pressing problem is to free peer-reviewed research access and impact from tolls: not from peer review! If you have a peer-review reform hypothesis,If you have a peer-review reform hypothesis, please take it elsewhere,please take it elsewhere, and test it,and test it, and then let us all know how it comes out…and then let us all know how it comes out… Meanwhile, please let us free peer-reviewed research such as it is!

63 Some old and new scientometric (publish or perish) indices of research impact Peer-review quality-level and citation-counts of the journal in which the article appears citation-counts for the article citation-counts for the researcher co-citations, co-text, semantic web (cited with whom/what else?) CiteRank/PageRank, hub/authority analysis citation-counts for the preprint usage-measures (webmetrics: downloads, co- downloads) time-course analyses, early predictors, etc. etc.

64 BOAI Self-Archiving FAQ "I-worry-about..." 32 FAQs (sub-grouped thematically) I. 10. CopyrightCopyright 32. Poisoned ApplePoisoned Apple II. 7. Peer reviewPeer review 5. CertificationCertification 6. Evaluationvaluation 22. Tenure/PromotionTenure/Promotion 13. CensorshipCensorship III. 29. Sitting PrettySitting Pretty 4. Navigation (info-glut)Navigation (info-glut) IV. 1. PreservationPreservation 2. AuthenticationAuthentication 3. CorruptionCorruption 23. Version controlVersion control 25. Mark-upMark-up 26. ClassificationClassification 16. GraphicsGraphics 15. ReadabilityReadability 21. SerendipitySerendipity 18. Libraries'/Librarians' futureLibraries'/Librarians' future V. 19. Learned Societies' futureLearned Societies' future VI. 17. Publishers' futurePublishers' future 9. DownsizingDownsizing 8. Paying the piperPaying the piper 14. CapitalismCapitalism 24. NapsterNapster 31. Waiting for GoldWaiting for Gold VII. 20. University conspiracyUniversity conspiracy 30. Rechanneling toll-savingsRechanneling toll-savings 28. AffordabilityAffordability VIII. 12. PriorityPriority 27. SecrecySecrecy IX. 11. PlagiarismPlagiarism

65 Research Impact I.measures the size of a research contribution to further research (publish or perish) II.generates further research funding III.contributes to the research productivity and financial support of the researchers institution IV.advances the researchers career V.promotes research progress



68 Central/Discipline-Based Self-Archiving vs Distributed Institutional/Departmental Self-Archiving All OAI-compliant Archives (Central and Institutional) are interoperable and functionally equivalent Researchers and their institutions (but not researchers and their disciplines) share a common stake in their research impact A self-archiving mandate will propagate quickly and naturally across departments and institutions if archiving is institutional, not if archiving is central Institutions can monitor compliance, measure impact, and share the distributed archiving cost Institutional archive contents can be automatically harvested into central archives (metadata alone, or full-texts too) UK JISC report recommends distributed self-archiving and harvesting rather than central archiving 92% of journals have given green light to author self-archiving but many are reluctant to endorse 3rd-party archiving (which could sanction to free-loading rival re-publishers)

69 Even the fastest-growing archive, the Physics ArXiv, is still only growing linearly (since 1991): At that rate, it would still take a decade before we reach the first year that all physics papers for that year are openly accessible (Ebs Hilf estimates 2050!)

70 Harnad, S. (1990) Scholarly Skywriting and the Prepublication Continuum of Scientific Inquiry. Psychological Science 1: 342 - 343 (reprinted in Current Contents 45: 9-13, November 11 1991). Harnad, S. (1994) A Subversive Proposal. In: Ann Okerson & James O'Donnell (Eds.) Scholarly Journals at the Crossroads: A Subversive Proposal for Electronic Publishing. Washington, DC., Association of Research Libraries, June 1995. Harnad, S. (2001) For Whom the Gate Tolls? How and Why to Free the Refereed Research Literature Online Through Author/Institution Self-Archiving, Now. Harnad, S., Carr, L., Brody, T. & Oppenheim, C. (2003) Mandated online RAE CVs Linked to University Eprint Archives: Improving the UK Research Assessment Exercise whilst making it cheaper and easier. Ariadne 35 harnad/ /harnad/ / Harnad, S. (2003) Electronic Preprints and Postprints. Encyclopedia of Library and Information Science Marcel Dekker, Inc. Harnad, S. (2003) Online Archives for Peer-Reviewed Journal Publications. International Encyclopedia of Library and Information Science. John Feather & Paul Sturges (eds). Routledge.










80 Canada is losing about $640 million dollars worth of potential return on its public investment in research every year. The Canadian Research Councils spend about $1.5 billion dollars yearly, which generate about 50,000 research journal articles. But it is not the number of articles published that reflects the return on Canadas research investment: A piece of research, if it is worth funding and doing at all, must not only be published, but used, applied and built-upon by other researchers. This is called research impact and a measure of it is the number of times an article is cited by other articles (citation impact). The online-age practice of self-archiving has been shown to increase citation impact by a dramatic 50-250%, but so far only 15% of researchers are doing it. 50-250%

81 We will now apply only the most conservative ends of these estimates (50% citation increase from self-archiving at $100 per citation) to Canadas current annual journal article output (and only for the approximately 50,000 Canadian articles a year indexed by the Institute for Scientific Information, which covers only the top 8000 of the world's 24,000 journals). If we multiply by the 85% of Canadas annual journal article output that is not yet self-archived (42, 500 articles), this translates into an annual loss of $2, 125, 000 in revenue to Canadian researchers for not having done (or delegated) the few extra keystrokes per article it would have taken to self-archive their final drafts. keystrokes But this impact loss translates into a far bigger one for the Canadian public, if we reckon it as the loss of potential returns on its research investment. As a proportion of Canadaa yearly $1.5bn research expenditure (yielding 50,000 articles x 5.9 = 295,000 citations), our conservative estimate would be 50% x 85% x $ = about $640 million dollars worth of loss in potential research impact (125,375 potential citations lost). And that is without even considering the wider loss in revenue from the loss of potential practical applications and usage of Canadian research findings in Canada and worldwide, nor the still more general loss to the progress of human inquiry.

82 The solution is obvious, and it is the one the RCUK is proposing: to extend researchs existing universal 'publish or perish' requirement to 'publish and also self-archive your final draft on your institutional website'. Over 90% of journals already endorse author self-archiving. A recent UK international survey has found that 95% of authors would self- archive – but only if their research funders or their institutions required them to do it (just as they already require them to publish or perish). The actual experience of the f institutions that have already adopted such a requirement (CERN, U Southampton, U. Minho, U Zurich, Queensland U. Tech) -- has shown that over 90% of authors will comply. The time for Canada to close its own 50%-250% research impact gap is already well overdue. Canada should immediately follow the UK model, adopting the web-age extension of "publish or perish" policy to "publish and self-archive on the web. " This tiny and very natural evolutionary step will not only be of enormous benefit to Canadas researchers, its institutions, its funders, and its funders' funders (i.e., the tax-payers), but it will also be to the collective advantage of worldwide research progress and productivity itself.

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