Mandates and Metrics:
How Open Repositories Enable Universities to
Manage, Measure and Maximise their Research Assets
Stevan Harnad
Canada Research Chair in Cognitive Sciences,
Université du Québec ą Montréal
Department of Electronics and Computer Science,
University of Southampton

Brody, Tim (U. Southampton, Eprints)
Carr, Les (U. Southampton, EPrints)
Gingras, Yves (U. Québec/Montréal)
Hajjem, Chawki (U. Québec/Montréal)
Hitchcock, Steve (U. Southampton, EPrints)
Sale, Arthur (U. Tasmania)
Swan, Alma (U. Southampton, EPrints, Key Perspectives)

What  Is Open Access:?

Open Access to What?
to all 2.5 million annual research articles
published in all 25,000 peer-reviewed  journals in all scholarly and scientific disciplines, worldwide

"There are two ways to..."
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)
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.)

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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).

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.

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)

"PREVIEW of following slides:"
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, revised, peer-reviewed draft ("postprint")
Deposit When? Immediately upon acceptance for publication
Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How?

"About 25,000 peer-reviewed..."
About 25,000 peer-reviewed journals are published worldwide, in all disciplines and all languages

2. They publish about 2.5 million articles per year

3. Most universities and research institutions can only afford to subscribe to a fraction of those journals.

4. That means that all those articles are accessible to only a fraction of their potential users.

5. That means that research is having only a fraction of its potential usage and impact.

6. That means that research is achieving only a fraction of its potential productivity and progress.

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 (immediately and permanently)

8. Research that is freely accessible on the web has         25% - 250% greater research impact.

“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.

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9. If 100% of research articles were freely accessible (OA), then the usage, impact, productivity and progress of research would be maximised.

10. There are two ways to make research Open Access.

11. The Golden way is for publishers to convert all their journals into Open Access journals.

12. The Green way is for researchers to deposit all their published journal articles in their own institution's Open Access Repository.
Here is how Green OA self-archiving works:

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13. But only about 15% of the annual 2.5 million research articles are being made freely accessible on the WWW spontaneously today.

14. Gold Open Access depends on the publishing community.

15. Green Open Access depends only on the research community.

16. The research community cannot require the publishing community to convert to Gold Open Access.

17. But the research community can itself convert to Green Open Access.

18. Southampton created the free EPrints software to  allow all universities to create their own institutional repositories very cheaply and easily.

19. EPrints repositories are all compliant with the OAI Protocol for metadata harvesting.

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.

21. But creating institutional repositories is only a necessary condition, not a sufficient condition, for providing 100% Open Access:

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22. Only about 15% of institutional research output is being self-archived spontaneously today.

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%.

24. The only successful 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

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.

26. A self-archiving mandate is just a natural extension of the existing publishing mandatet, for the web era.

27. International surveys of researchers in all disciplines have already found that  95% of researchers would comply with a self-archiving mandate:

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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.

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University of Queensland
 +Repository +Incentive -Mandate
 Green line: total annual output
 Red line:  proportion self-archived
Queensland University of Technology
 +Repository +Incentive +Mandate
 Green line: total annual output
 Red line:  proportion self-archived
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29. Worldwide, a total of 35 Green OA self-archiving mandates have already been adopted and 8 more proposed so far:
adopted: 21 funder mandates, 11 institutional mandates, 3 departmental mandates,
proposed: 1 institutional mandate, 2 proposed multi-institutional mandates.

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30. Several other important proposals to mandate Green OA self-archiving are under consideration in the USA, Europe, and elsewhere
(The US has just adopted the NIH Green OA self-archiving mandate ).

31. It is crucial that both funders and universities mandate Green OA self-archiving, as not all research is funded.

32. Researchers are already rewarded not just in proportion to how many articles they publish, but how many times their articles are cited.

33. It is accordingly a natural step to link the self-archiving mandate to research performance assessment.

34. Research performance metrics in turn provide incentives for motivating and rewarding self-archiving.

35. Open Access will generate many rich new metrics that can be used to assess research impact:

Some Potential Metrics
Citations (C)
Downloads (D)
C/D Correlations
Hub/Authority index
Book citation index

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:

"UK’s RAE 2008 will be..."
UK’s RAE 2008 will be 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.

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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)

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Early Access Advantage: OA is accelerating the research access/usage/citation cycle. OA articles are being cited sooner and sooner
(Data from Physics Arxiv)
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
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37. The mandate should be to
deposit all articles
in the Institutional Repository
immediately upon acceptance for publication.

38. The optimal Green OA mandate is to require immediate deposit and immediate Open Access.

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:

40. The author's 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).

41. The majority of journals (62%) already endorse immediate Green Open Access Self-Archiving.

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42. For the articles in the 38% 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.

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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, peer-reviewed draft ("postprint")
Deposit When? Immediately upon acceptance for publication
Optimizing OA Self-Archiving Mandates: What? Where? When? Why? How?

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Sample of candidate
OA-era metrics:
Citations (C)
Downloads (D)
C/D Correlations
Hub/Authority index
Book citation index

"Author’s URLs (UQAM &..."
Author’s URLs (UQAM & Southampton):
BOAI Self-Archiving FAQ:
CITEBASE (scientometric engine):
ROAR (Registry of OA Repositories):
ROARMAP (Registry of OA Repository Mandates):
ROMEO/EPRINTS (Directory of Journal Policies on author OA Self-Archiving):

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