Open Access: let

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Open Access lets KISS and make up An
introduction to OA for institutional repositories
Steve Hitchcock School of ECS, IAM Group,
Southampton University Presented at Open Access
Institutional Repositories (IRs) Leadership,
Direction and Launch Tuesday January 25, 2005, at
New College, Southampton University
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Some UK leaders in OA for IRs

• House of Commons Science and Technology
  Committee, see Scientific Publications Free for
  all? http//www.publications.parliament.uk/pa/cm20
  0304/cmselect/cmsctech/399/39902.htm
• JISC new Digital Repositories Programme (call
  in February 2005, Sheila Anderson speaks here
  tomorrow), and ongoing FAIR programme
• Research Councils UK (Stephane Goldstein speaks
  tomorrow)
• SHERPA multi-institution OA IRs project (Bill
  Hubbard speaks tomorrow)
• Open Access Team for Scotland OATS declaration
  (Derek Law speaks tomorrow) http//scurl.ac.uk/WG/
  OATS/declaration.htm
• The Wellcome Trust (Robert Terry speaks
  tomorrow)
• Southampton University, Eprints.org and the
  TARDis project (more on these today)

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Top-level support for open access international
policies

• Budapest Open Access Initiative (BOAI), 2002
• US Sabo Bill ("Public Access to Science"), 2003
• Berlin Declaration, 2003
• OECD Declaration on Access to Research Data from
  Public Funding, 2003
• The Wellcome Trust Statement, 2003
• See National Policies on Open Access Provision
  for University Research Output an international
  meeting
• http//opcit.eprints.org/feb19prog.html

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An alternative titleOpen Access lets Keep It
Simple, Stupid

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What is Open Access?

• Open Access is defined as
• Immediate
• Permanent
• Free
• online access

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Focus your IR

• What content do you want to attract?
• In a university setting, an IR may provide a
  place for faculty work, student theses and
  dissertations, e-journals, datasets and so on.
  Whatever the particular focus of the university
  IR, to be successful it must be filled with
  scholarly work of enduring value that is searched
  and cited.
• From Foster and Gibbons, Understanding Faculty
  to Improve Content Recruitment for Institutional
  Repositories. D-Lib Magazine, January 2005
• http//www.dlib.org/dlib/january05/foster/01foster
  .html
• What about eprints author self-archived copies
  of peer-reviewed published journal papers?
• Peter Suber, Open Access Overview Focusing on
  open access to peer-reviewed research articles
  and their preprints http//www.earlham.edu/peters
  /fos/overview.htm

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Which repository software? Eprints

• There are various working packages, see OSI Guide
  to Institutional Repository Software
• http//www.soros.org/openaccess/software/
• "The Eprints software has the largest -- and
  most broadly distributed -- installed base of any
  of the repository software systems described
  here"
• The primary target of GNU EPrints software are
  the estimated 2.5M papers published annually in
  the 24k peer reviewed journals

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OA provision NOT publishing

• In the context of scholarly research papers by
  publishing we mean in a peer-reviewed journal,
  rather than the more general dictionary
  definition to make generally known, to issue
  copies.
• On the Web, publishing using the term
  generally - is easy but in scholarly publishing
  terms this amounts to little more than
  self-publishing or vanity publishing, and is to
  be avoided.
• Eprints in your repository should be destined
  for peer-reviewed publication (preprints) and
  copies of journal published papers (postprints)
• Eprints in your repository are a supplement to
  the journal versions
• An institutional repository provides access to
  published papers

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NOT publishing

• Do not refer to the activity of your repository
  as publishing
• Do not attempt to set up publishing and
  peer-review services as part of your archives
  (unless you are a specialised case with a clear
  business model and plan to compete with other
  real publishers)
• Light moderation is likely to be sufficient
  especially if your repository is focussed on
  postprints

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Note from a sponsor! 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,
• please take it elsewhere,
• and test it,
• and then let us all know how it comes out
• Meanwhile,
• please let us free peer-reviewed research
• such as it is!

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Unified dual open-access-provision policy
endorsed by the Budapest Open Access Initiative

• BOAI-2 ("gold") Publish your article in a
  suitable open-access journal whenever one exists
• BOAI-1 ("green") Otherwise, publish your
  article in a suitable toll-access journal and
  also self-archive it
• The Green and Gold routes to Open Access

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RoMEO Directory of Publishers http//www.sherpa.ac
.uk/romeo.phphttp//romeo.eprints.orgProportion
of journals formally giving their green light to
author/institution self-archiving is already 92
and continues to grow
Current Journal Tally 92 Green! FULL-GREEN
Postprint 65 PALE-GREEN Preprint 28 GRAY
neither yet 8 Publishers to date
107 Journals processed so far
8919 http//romeo.eprints.org/stats.php
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So now we have an archive with a clear and
focussed agenda. Next we need some content. Its
time to approach authors
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What authors want

• Green indicates understanding while red indicates
  misunderstanding, lack of understanding, or
  disinterest
• Again from Foster and Gibbons, Understanding
  Faculty to Improve Content Recruitment for
  Institutional Repositories. D-Lib Magazine,
  January 2005

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What authors really want impact

• To maximise research progress and their rewards
• by maximizing (and accelerating) research impact
• Impact has typically been based on citation
  measures of journals. Now we can measure the
  impact of individual Web papers and of their
  authors
• It has been shown that articles freely available
  online (open access) are more highly cited, i.e.
  open access increases impact
• The effect of open access and downloads ('hits')
  on citation impact a bibliography of studies
  http//opcit.eprints.org/oacitation-biblio.html
• The easiest and fastest way for authors to make
  papers freely available, and thereby maximise
  their impact, is by self-archiving them in
  institutional archives

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Citebase, a new interface to the scholarly
literature

• Citebase (http//citebase.eprints.org/) was
  originally produced as part of the Open Citation
  Project (http//opcit.eprints.org/). It is now a
  featured service of arXiv

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Web citation and impact services

• Citebase http//citebase.eprints.org/ FREE
• Citeseer http//citeseer.ist.psu.edu/ FREE
• Elsevier Scopus http//www.scopus.com/
• Google Scholar http//scholar.google.com/ FREE
• ISI Web of Science http//www.isinet.com/products
  /citation/wos/
• Forthcoming ISI Web Citation Index
• For an up-to-date list see
• http//opcit.eprints.org/oacitation-biblio.html

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Our efforts to attract authors are paying off and
we have content. But we are a big institution
producing a lot of papers and we need to fill the
archive faster with a larger, more comprehensive
and representative selection of current papers.
We need top-level support
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What institutions should do

• Universities Adopt a university-wide policy of
  making all university research output open access
  (via either the gold or green strategy). Sign the
  Declaration of Institutional Commitment to
  implementing the Berlin Declaration on
  open-access provision http//www.eprints.org/signu
  p/sign.php
• Schools and departments Adopt and promote a
  departmental policy encouraging all authors to
  self-archive
• University libraries Provide digital library
  support for research self-archiving and
  open-access repository-maintenance.
• Promotion committees Require a standardized
  online CV from all candidates, with refereed
  publications all linked to their full-texts in
  the open-access journal archives and/or
  open-access institutional repositories
• Research Funders Mandate open access for all
  funded research (via either the gold or green
  strategy). Assess research and researcher impact
  online (from the online CVs).

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What Heads of Schools should do

• Heads of Schools should lead these initiatives
• Adopt and promote a departmental policy
  encouraging all authors to self-archive
• To accelerate filling of the archive
• Use the archive to produce departmental
  publication lists, manage Research Assessment
  Exercises (RAEs), etc. Authors realise that to be
  included their records must be complete and
  up-to-date
• When allied to exercises such as these, authors
  can see a purpose in submitting and it starts to
  become routine.
• See OSI EPrints Handbook 3. Managing an EPrints
  Service http//software.eprints.org/handbook/

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Example institutional policy ECS Southampton

• Extracts, see full policy http//www.ecs.soton.ac.
  uk/lac/archpol.html (still to be officially
  ratified)
• It is our policy to maximise the visibility,
  usage and impact of our research output by
  maximising online access to it for all would-be
  users and researchers worldwide.
• We have accordingly adopted the policy that all
  research output is to be self-archived in the
  departmental EPrint Archive (eprints.ecs.soton.ac.
  uk). This archive forms the official record of
  the Department's research publications all
  publication lists required for administration or
  promotion will be generated from this source.

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The institutions shared interests with authors
research impact

• Measures the size of a research contribution to
  further research (publish or perish)
• Generates further research funding
• Contributes to the research productivity and
  financial support of the researchers institution
• Advances the researchers career
• Promotes research progress
• Note the direct connection between open access,
  impact, research assessment and funding

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Funder and institutional policies how will
authors react?39 of authors self-archive 69
would self-archive willingly if required Swan
Brown (2004)
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House of Commons Science and Technology Committee
Recommendation to Mandate Institutional
Self-Archiving
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. From Scientific Publications Free for
all? http//www.publications.parliament.uk/pa/cm2
00304/cmselect/cmsctech/399/39902.htm
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So IRs are about improving access and impact to
published papers. What comes next?

• Link content with research results e-science
• Link IAs with research assessment
• The digital research continuum

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eBank UK Dissemination of research data via
Eprints

• eCrystallographyDataReport shown to a user
  (partial view) via the adapted Eprints archive
  interface

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Experience at ECS Southampton an RAE dry run

• At ECS Southampton we did a Research Assessment
  Exercise as a dry run and it was almost painless
  (Hint the pain came earlier!) Filling the
  archive so it is complete is the key.
• The Eprints.org developer created a Web form for
  author input of honour data and a link to the
  authors list of publications with add,
  remove buttons to select best publications for
  the RAE list.
• Authors appreciated the ease of completing the
  exercise, e.g. four clicks to select four RAE
  publications.
• This highlights the additional benefits of a
  managed departmental archive one-time data input
  for multiple purposes (avoids multiple keying for
  different databases for different applications).

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The digital research continuum

• Funding Research Data REPOSITORY
  Publication Discovery Access Citation
  Impact Assessment Funding
• In the digital world we can at last connect up
  all these processes. The repository is your data
  store, the glue between the different
  requirements
• It will all be a digital continuum instead of
  the fragmented, burdensome and excessively
  time-consuming system we have now

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Summary

• Focus the scope of your IR
• IRs are for providing access to published papers
• Never refer to the role of the IR as publishing
• Open access improves author impact
• Produce an institutional policy for filling your
  repository
• Plan for the connectedness of your IR with other
  services, in the future e-science and research
  assessment
• Think of the IR as a highly interactive space