Integrating Universities' ETD-Deposit and Research-Deposit Mandates, Repositories and Metrics

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

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)
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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
(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
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What About Theses and
Dissertations?
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• 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.)

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

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
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OA maximises: research’s:
visibility
usage
uptake
applications
impact
productivity
progress
funding
manageability
assessability
by maximising research’s:
accessibility
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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). 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
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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.
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• 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)
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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
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1. About 25,000 peer-reviewed
journals are published
worldwide, in all disciplines and
all languages
http://www.ulrichsweb.com/ulrichsweb/
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2. They publish about 2.5
million articles per year
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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
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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 webwide access
to research journal articles
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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 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/
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Lawrence (2001) findings for computer science conference
papers. More OA every year for all citation levels; higher with
higher citation levels
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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
maximized.
The same is true of scientific and
scholarly theses and
dissertations.
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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.
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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)
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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
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Refereed “Post-Print”
Accepted, Certified, Published
by Journal
Impact cycle
begins:
Research is
done
Researchers write
pre-refereeing
“Pre-Print”
Pre-Print reviewed by
Peer Experts – “Peer-
Review”
article’s Authors
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:
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New impact cycles:
New research builds on
existing research
Journal
Refereed “Post-Print” Accepted,
Certified, Published by Journal
Impact cycle
begins:
Research is done
Researchers write
pre-refereeing
“Pre-Print”
Pre-Print reviewed by Peer
Experts – “Peer-Review”
article’s Authors
Post-Print
is self-archived
in University’s
Eprint Archive
12-18Months
More impact
cycles:
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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.
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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 very
cheaply and easily.
http://www.eprints.org/
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19. EPrints repositories are all
compliant with the OAI Protocol
for metadata harvesting.
http://www.openarchives.org/
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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.
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21. But creating institutional
repositories is only a necessary
condition, not a sufficient
condition, for providing 100%
Open Access:
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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
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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 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
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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
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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 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?
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ROARMAP now also records ETD mandates
Please register yours!
http://www.eprints.org/openaccess/policysignup/
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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.
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26. A self-archiving mandate is
just a natural extension of the
existing publishing mandate, for
the web era.
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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/
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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

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

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
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University of Queensland
+Repository +Incentive -Mandate
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
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Queensland University of Technology
+Repository +Incentive +Mandate
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

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

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):
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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 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.
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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
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31. It is crucial that both funders
and universities mandate Green
OA self-archiving worldwide, as
not all research is funded.
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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.
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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 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
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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:
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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.
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RAE 2001
Rankings for
Psychology
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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)
http://psyserver.pc.rhbnc.ac.uk/citations.pdf
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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)
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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)
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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...
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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.
Data from arXiv
Downloads (“hits”)
in the first 6
months correlate
with citations 2
years later
Most articles are
not cited at all
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37. The mandate should be to
• deposit all articles (and theses)
• in the Institutional Repository
• immediately upon acceptance
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38. The optimal Green OA mandate
is to require immediate deposit
and immediate Open Access.
Which Green OA Mandate Is Optimal?
The Immediate-Deposit/Optional-Access (ID/OA) Mandate: Rationale and Model
Deposit Institutionally, Harvest Centrally
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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

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).
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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

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

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.
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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:
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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:
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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):
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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:
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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

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.
ETD Pittsburgh

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)

Some EPrints download
metrics for top deposits by
Southampton author Tim
Berners-Lee.
ETD Pittsburgh

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

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

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
ETD Pittsburgh

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. 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

Worldwide, a total of 84 Green OA self-
archiving mandates have already
been adopted and 14 more proposed
so far:
ETD Pittsburgh

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

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

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

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/
ROMEO/EPRINTS (Directory of Journal Policies on author OA
Self-Archiving): http://romeo.eprints.org/
ETD Pittsburgh

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
Keystroke Economy: A Study of the Time and Effort Involved in Self-Archiving. Carr & Harnad
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
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/

Integrating Universities' ETD-Deposit and Research-Deposit Mandates, Repositories and Metrics

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