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1、These slides were made by Tim Brody and Stevan Harnad (Southampton University)Permission is granted to use them to promote open access and self-archiving as long as their source is acknowledged.,The Research-Impact Cycle,Open access to research output maximizes research access maximizing (and accele

2、rating) research impact(hence also research productivity and research progress and their rewards),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

3、 “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,Researchers can access the Post-Print if their university has a subscription to th

4、e 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,12-18 Months,Research Impact,measur

5、es the size of a research contribution to further research (“publish or perish”)generates further research fundingcontributes to the research productivity and financial support of the researchers institutionadvances the researchers careerpromotes research progress,“Online or Invisible?” (Lawrence 20

6、01),“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:/ Assessment, Research Funding, and Citation Impact,“Correlation between R

7、AE 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,The objective of open-ac

8、cess (and the motivation that will induce researchers to provide it) is:,not to quarrel with, ruin or replace journals (at all) _nor is it to solve the budgetary problems of libraries (and yet)nor is it to provide access to teachers - students - the general public (and yet)nor is it to provide acces

9、s to the Developing World (and yet),The objective of open-access is:,to maximize research impact by maximizing research access,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 appearscita

10、tion-counts for the articlecitation-counts for the researcherco-citations, co-text, “semantic web” (cited with whom/what else?)citation-counts for the preprint usage-measures (“hits,” webmetrics)time-course analyses, early predictors, etc. etc.,Time-Course of Citations (red) and Usage (hits, green)

11、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. Eventually citations may follow (for more important papers). 4. This generates more downloads, etc.,Usage Impact is correlate

12、d with Citation Impact (Physics ArXiv: hep, astro, cond, quantum; math, comp) http:/citebase.eprints.org/analysis/correlation.php,(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=54832hep r=.33, n=74020 Q1 (lo) r=.23, n=1850

13、5 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),The Golden Road to Open Access: Reciprocity (i) Researchers share a common

14、stake with their own Institutions (not their Disciplines) in maximizing their joint research impact (ii) Institutions share a reciprocal stake in access to one anothers (give-away) research output,“Self-archive unto others as ye would have them self-archive unto you.”,http:/www.ecs.soton.ac.uk/harna

15、d/Temp/unto-others.doc,http:/www.ecs.soton.ac.uk/harnad/Temp/self-archiving.ppt,TOMAXIMIZE IMPACT,MAXIMIZE ACCESS,Universities: Adopt a policy mandating open access for all university research output: Extend existing “Publish or Perish” policies to “Publish with Maximal Impact” Sample policy guideli

16、nes:,http:/www.ecs.soton.ac.uk/lac/archpol.html,2. Departments: Adopt a departmental policy mandating Open Access for All Research Output Create (and Fill): OAI-compliant Eprint Archives,http:/software.eprints.org/,3. University Libraries: Provide digital library support for university research self

17、-archiving and archive-maintenance (and if/when university toll-cancellation savings begin to grow, prepare to redirect 1/3 of annual windfall savings to cover open-access journal peer-review service-costs for university research output),http:/www.eprints.org/self-faq/#libraries-do,4. Universities a

18、nd Research Institutions: Mandate open access for all research output. Adopt a standardized online-CV with harvestable performance indicators and links to open-access full-texts (template and demo below),http:/paracite.eprints.org/cgi-bin/rae_front.cgi,5. Research Funders: Mandate open access for al

19、l research output. See proposal for a UK national policy of open access for all refereed research output for research assessment,http:/www.ecs.soton.ac.uk/harnad/Temp/Ariadne-RAE.doc,as a model or the rest of the world,Tools for (a) creating OAI-compliant university eprint archives (b) parsing and f

20、inding cited references on the web, (c) reference-linking eprint archives, (d) doing scientometric analyses of research impact, (e) creating OAI-compliant open-access journals,http:/software.eprints.org http:/paracite.eprints.org/http:/opcit.eprints.org/evaluation/Citebase-evaluation/evaluation-repo

21、rt.htmlhttp:/citebase.eprints.org/help/http:/psycprints.ecs.soton.ac.uk/,RoMEO Project (Loughborough): Rights MEtadata for Open archiving,http:/www.lboro.ac.uk/departments/ls/disresearch/romeo,Proportion of journals already formally endorsing author/institution self-archiving (already 55%) continues

22、 to grow:,What is needed for open access now:,Universities: Adopt a university-wide policy of making all university research output open access (via either the gold or green strategy)Departments: Create and fill departmental OAI-compliant open-access archivesUniversity Libraries: Provide digital lib

23、rary support for research self-archiving and open-access archive-maintenance. Redirect 1/3 of any eventual toll-savings to cover open-access journal peer-review service chargesPromotion Committees: Require a standardized online CV from all candidates, with refereed publications all linked to their f

24、ull-texts in the open-access journal archives and/or departmental open-access archivesResearch Funders: Mandate open access for all funded research (via either the gold or green strategy). Fund (fixed, fair) open-access journal peer-review service charges. Assess research and researcher impact onlin

25、e (from the online CVs). Publishers: Become either open-access or green.,OAIster, a cross-archive search engine, now covers over 250 OAI Archives (about half of them Eprints.org Archives) indexing over 3 million items (but not all research papers, and not all full-texts). Below are data for just the

26、 full-text research papers with 1990-2003 creation dates. http:/oaister.umdl.umich.edu/o/oaister/,The optimal open-access strategy today: open-access publishing (5%) http:/www.doaj.org/ plus open-access self-archiving (95%):,Open access is possible today for 5% of articles by publishing them in open

27、 access journals, and for at Least 55% (but probably closer to 95%) of the rest by self-archiving them.,The optimal dual strategy is hence to publish your article in an open-access journalif a suitable one exists and otherwise: (2) publish your article in a toll-access journaland also self-archive i

28、t in your institutional open-access eprint archive.,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 made it all preventable?,336% higher impact,.91 correlation with UK research ranking a

29、nd funding,The two open-access strategies: Gold and Green,Open-Access Publishing (OApub) (BOAI-2) Create or Convert 23,000 open-access journals (1000 exist currently) Find funding support for open-access publication costs ($500-$1500+) Persuade the authors of the annual 2,500,000 articles to publish

30、 in new open-access journals instead of the existing toll-access journals,Open-Access Self-Archiving (OAarch) (BOAI-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.,Dual op

31、en-access strategy,Gold: Publish your articles in an open-access journal whenever a suitable one exists today (currently 1000, 95%) and self-archive them in your institutional open-access eprint archives.,To Maximize Research Impact:,Research Funders: Mandate open access for all funded research (by

32、a specified date) via the gold or green strategies Fund open-access journal chargesResearch Institutions: Mandate open access for all research output via the gold or green strategies Libraries redirect 1/3 of any eventual toll-cancellation savings toward funding open-access journal charges,Outcomes:

33、Authors must either find an open-access (gold) journal or a green journal to publish in.2. White publishers will turn green.3. Eventually green publishers might turn gold, but in the meanwhile:4. Open-access itself increases to 100%.5. Eventually toll-cancellation savings might increase to 100%6. If

34、 so, then 1/3 of the growing institutional windfall toll-cancellation savings can pay for all institutional gold journal publication charges (peer review),Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities http:/www.zim.mpg.de/openaccess-berlin/berlindeclaration.html,The p

35、ertinent passages: “Open access means:“1. free. online, full-text access“2. A complete version of the open-access work. is deposited. in at least one online repository. to enable open access, unrestricted distribution, OAI interoperability, and long-term archiving.“We intend to. encourage our resear

36、chers/grant recipients topublish their work according to the principles of. open access.”,The BOAI Self-Archiving FAQ (BOAI-1),http:/www.eprints.org/self-faq/http:/www.soros.org/openaccess/,(Part 2),Institutional OAI Archive Growth,How OAI Archives for institutional research output have been growing

37、 and how to accelerate their growth(Data collected and analysed by Tim Brody, doctoral candidate, Electronics and Computer Science, Southampton University),Growth in number of papers openly accessible in OAI Archives (nearly 1,700,000 records, but not all are full-text),Growth in number of OAI Archi

38、ves (now 200+ Archives, but the average number of papers per Archive (9000) needs to grow faster!),The Eprints.org subset of OAI Archives (about 1/2 of all current OAI Archives, 100/200, c.27,000 papers) illustrating the growth in institutions self-archived research output: drop in average size when

39、 new institutional archives began to be created,New Eprints.org Archives per month (minus 3 pre-OAI legacy Eprints.org Archives),Growth of papers in Eprints.org Archives (excluding the 3 biggest Archives) 8000+ papers to date,Growth in number of Eprints.org Archives (c. 100) (again, average number o

40、f papers per Archive c. 250 needs to grow faster!),Growth in number of full-text papers (5000+) in institutional archives (23+) (faster filling needed!),Growth in no. of institutional full-text archives (23+) and mean no. of papers (225) (faster filling needed!),Universities (and their research fund

41、ers) need to adopt a systematic policy to self-archive all their refereed research output,Where the work needs to be done to accelerate growth per Archive: These curves must become convex upward: Institutional self-archiving policies are needed,Even the fastest-growing archive, the Physics ArXiv, is

42、 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!),Three reasons for research impact (shared by researcher and institution but not by researcher an

43、d discipline),Contributions to Knowledge Employment, Salary, Promotion, Tenure, Prizes Research Funding, Resourcing Institutional Overheads, Prestige (attracting teachers, students, researchers, industrial collaboration),Dont conflate the different forms of institutional archiving: Only the 5th is r

44、elevant here,Institutional digital collection managementInstitutional digital preservationInstitutional digital coursewareInstitutional digital publishingInstitutional self-archiving of refereed research output,Would-be peer review reformers, please remember:,The pressing problem is to free peer-rev

45、iewed research access and impact from tolls: not from peer review!If you have a peer-review reform hypothesis, please take it elsewhere, and test it, and then let us know how it comes outMeanwhile, please let us free peer-reviewed research such as it is!,Universal Access Through Affordable Licensing

46、?,Open access through author/institution self-archiving is a parallel self-help measure for researchers, to prevent further impact-loss now. Open access is a supplement to toll-access, but not necessarily a substitute for it.One possible outcome is that the toll access and open access versions will

47、peacefully co-exist in perpetuity, with all researchers using the toll-access versions of the research their own institutions can afford and the open-access versions of the rest. The more affordable the toll-access licenses, the less researchers will need to use the open-access versions.Even if the

48、growth of the open-access versions is destined eventually to reduce the demand for the toll-access versions, that is a long way off, because self-archiving proceeds gradually and anarchically, and journals cannot be cancelled while only random parts of their contents are openly accessible. If and wh

49、en open accessibility does reduce the demand for the toll-access versions, this will at the same time be creating windfall savings for institutions on their periodical budgets - savings which will then be available to institutions to pay for peer-review service provision up-front to those journals that are ready to convert to becoming open-access journals.,