Tuesday, October 14. 2014
Estimating Open Access Mandate Effectiveness: I. The MELIBEA Score
Philippe Vincent-Lamarre, Jade Boivin, Yassine Gargouri, Vincent Lariviere, Stevan Harnad
ABSTRACT: MELIBEA is a Spanish database that uses a composite formula with eight weighted conditions to estimate the effectiveness of Open Access mandates (registered in ROARMAP). We analyzed 68 mandated institutions for publication years 2011-2013 to determine how well the MELIBEA score and its individual conditions predict what percentage of published articles indexed by Web of Knowledge is deposited in each institution's OA repository, and when. We found a small but significant positive correlation (0.18) between MELIBEA score and deposit percentage. We also found that for three of the eight MELIBEA conditions (deposit timing, internal use, and opt-outs), one value of each was strongly associated with deposit percentage or deposit latency (immediate deposit required, deposit required for performance evaluation, unconditional opt-out allowed for the OA requirement but no opt-out for deposit requirement). When we updated the initial values and weights of the MELIBEA formula for mandate effectiveness to reflect the empirical association we had found, the score's predictive power doubled (.36). There are not yet enough OA mandates to test further mandate conditions that might contribute to mandate effectiveness, but these findings already suggest that it would be useful for future mandates to adopt these three conditions so as to maximize their effectiveness, and thereby the growth of OA.
Sunday, September 28. 2014
Here they are:
Cornée, Nathalie and Madjarevic, Natalia (2014) The London School of Economics and Political Science 2013/2014 RCUK open access compliance report. The London School of Economics and Political Science, Library, London, UK.Seventy-three (73) OA articles, at about £1,000 a shot via Gold -- vs. fifty (50) at no cost via Green!Abstract: In September 2014, the London School of Economics and Political Science (LSE) reported to Research Councils UK on the School’s compliance with the recently introduced RCUK Policy on Open Access (OA). This reports provides detail around the article processing charges (APC) data and RCUK Call for Evidence report. Background In April 2013, the revised RCUK Policy on Open Access came into effect. The policy requires journal articles or conference proceedings arising from research funded wholly or partially by a RCUK grant should be made freely available online (or “Open Access”). There are two main routes to make papers open access: a) the Green route, which is the LSE preferred route, when the full text of papers are deposited into an institutional repository such as LSE Research Online. To select this route, embargo periods must be no longer than the 12 months permitted by RCUK (no charge applies); b) the Gold route, which provides immediate, unrestricted access to the final version of the paper via the publisher's website, often using a Creative Commons Attribution (CC BY) licence - it may involve payment of an APC to the publisher. In 2013, we received the RCUK OA block grant for 2013/14 of £62,862. We set up the LSE Institutional Publication Fund using this grant and this was managed by the Library, allowing eligible RCUK-funded researchers to apply for APC funds. Additionally, the School was awarded a pump-prime funding allocation from the Economic and Social Research Council (ESRC) for open access, which was also added to the fund. Of the 141 papers we identified as RCUK-funded for Year 1, 50 papers are open access via the Green route and 73 via the Gold, resulting in an 87% compliance rate.
That RCUK £62,862 could have funded 4 doctoral research students or 2 postdoctoral researchers. Instead, it is paying publishers even more than they are already being paid for subscriptions (and for hybrid Gold publishers it's even double-paying them).
For 73 articles!
And 73 articles that could have been provided for free via Green -- if instead of dangling scarce money in front of authors RCUK had simply insisted on immediate deposit, irrespective of embargo length.
One can only hope that the spot-on and timely new HEFCE policy of requiring immediate deposit, now, in order to be eligible for REF2020, will stanch this gratuitous, obdurate Finch/RCUK profligacy.
And that the EU's similar policy will help reinforce it.
Meanwhile there's nothing stopping institutions from being more sensible, by requiring immediate deposit and using the RCUK windfall to better purpose (till it is sensibly redirected to research).
Tuesday, August 5. 2014
DOE: The Importance of Requiring Institutional Repository Deposit Immediately Upon Acceptance for Publication
A peer-reviewed journal article is either accessible to all of its potential users or it is not accessible to all of its potential users (but only to those at subscribing institutions).
Open Access (OA) is intended to make articles accessible (online) to all their potential users, not just to subscribers, sothat all potential users can read, use, apply and build upon the findings, not just subscribers.
OA comes in two forms:
Gratis OA means an article is accessible online to all its potential users.
Libre OA means an article is accessible online to all its potential users and all users also have certain re-use rights, such as text-mining by machine, and re-publication.
For individual researchers and for the general public the most important and urgent form of OA is Gratis OA.
The reason Gratis OA is so important is that otherwise the research is inaccessible except to subscribers: OA maximizes research uptake, usage, applications, impact and progress.
The reason Gratis OA is so urgent is that lost research access means lost research impact and progress. The downloads and citations of papers made OA later never catch up with those of papers made OA immediately:
Gentil-Beccot, A., Mele, S., & Brooks, T. C. (2010). Citing and reading behaviours in high-energy physics: Scientometrics, 84(2), 345-355.
The date when a peer-reviewed paper is ready to be made OA is the date when the final, peer-reviewed draft is accepted for pubication.
Sometimes there can be delays of months between the date of acceptance and the date of publication of the pubisher’s version of record (VOR).
And some (a minority) of publishers have imposed embargoes of up to 12 months from the date of publication before authors can make their articles OA.
The delay from acceptance to publication, and the delay from publication till the end of any OA embargo all add up tp lost research access, uptake, usage, applications and progress.
DOE and OSTI have been directed by OSTP to adopt a policy that ensures that OA is provided to federally funded research — by 12 months after the date of publication at the very latest.
This is not a mandate to adopt a policy that ensures that OA is provided "at the very latest possible date."
Yet that is what DOE has done — no doubt under the influence of the publishing industry lobby.
The interests of research and researchers -- and hence of the public that funds the research -- are that the research should be made OA as soon as possible.
The interests of (some of) the publishing industry are that it should be made OA as late as possible.
The DOE has adopted a policy that serves the interests of the publishing industry rather than those of research, researchers and the tax-paying public.
This is why DOE policy has been so warmly welcomed by the Association of American Publishers (AAP) as well as CHORUS (a publisher consortium expressly created to try to keep access-provision and the timing of compliance with open access mandates under the control of publishers rather than fundees and their institutions).
The simplest remedy for this is not necessarily that the permissible OA embargo length needs to be reduced (though that would be extremely welcome and beneficial too!).
Even within the constraints of a permissible OA embargo of 12 months at the very latest, there is a simple way to make the DOE policy much more powerful and effective, guaranteeing much more and earlier access.
All that has to be done is to make immediate deposit of the author’s final, peer-reviewed draft, in the author’s institutional repository, mandatory immediately upon acceptance.
Not just the metadata: the full final draft.
If the author wishes to comply with a publisher OA embargo, the deposit need not be made OA immediately.
Institutional repositories have an automated copy-request Button with which a user can request a single copy for research purposes, and the author can comply with the request, with just one click each.
This is not OA, but it is almost-OA, and it is all that is needed to maximize research access, usage and progress during any permissible OA embargo.
And besides maximizing access during any permissible OA embargo, requiring immediate institutional deposit also mobilizes institutions to monitor and ensure timely compliance with the funding agency’s requirement.
The metadata for the deposit can be exported from each institutional repository to the DOE PAGES portal immediately, and then the portal, too (like google and google scholar), can immediately begin referring users back to the Button at the institution so the author can provide almost-OA with a single click until the end of any embargo.
There is no need whatsoever to wait either for the publisher’s VOR, or for the end of the publisher’s embargo, or for Libre OA re-use rights: those can come when they come.
But immediate institutional deposit needs to be mandated immediately.
Otherwise the DOE is needlessly squandering months and months of potential research uptake, usage and progress for federally funded research.
Please harmonize the DOE OA policy with the corresponding EU OA policy, as well as the HEFCE OA policy in the UK, the FRS OA policy in Belgium, and a growing number of institutional OA policies the world over.
Monday, June 30. 2014
Richard Poynder: "If you were composing the Subversive Proposal today how different would it be? Would it be different? If so, would you care to rephrase it to fit today’s environment? In other words, how would the Subversive Proposal look if written for a 2014 audience (in less than 500 words)?"SH: Knowing now, in 2014, that researchers won’t do it of their own accord, I would have addressed the proposal instead to their institutions and funders, and in less than 200 words:And this is how I should have written the original Proposal in 1994:"To maximize the access, uptake, usage, progress, productivity, applications and impact of your publicly funded research output, mandate (require) that the refereed, revised, accepted final draft of all articles must be deposited in the author’s institutional repository immediately upon acceptance for publication as a condition for research evaluation and funding. If you allow a publisher embargo on making the deposit OA (freely accessible to all online), implement the automated almost-OA Button (and don’t let the embargo exceed 6-12 months at most). This is called “Gratis Green OA.” Do not pay for Gold OA journal publication fees (“Fool’s Gold”) until global Green OA has made subscriptions unsustainable; then you can pay for Fair-Gold out of your subscription cancellation savings. Fair-Gold will also be Libre OA (with re-use rights such as data-mining, re-mixing and re-publishing). Ignore publishers’ lobbying to the effect that Green OA will destroy peer-reviewed journal publishing: it will re-vitalize it and save the research community a lot of money while maximizing the access, uptake, usage, progress, productivity, applications and impact of their research."FREE ONLINE ACCESS TO REFEREED RESEARCH: A SUBVERSIVE PROPOSAL
Wednesday, June 18. 2014
Important Addendum and Correction from Eloy Rodrigues (June 19):
The two Chinese OA Mandates (NSFC and CAS) came fast (2014), but the possibility of complying with them is coming slowly (no repository till 2016).
In addition, articles need not be deposited until 12 months after publication.
In most fields, especially the fast-moving sciences, the benefits of Open Access (maximised uptake, usage, impact and progress) are biggest and most important within the first year of publication. That is the growth tip of research. Access losses in the first year are never fully caught up in later years. The iron needs to be struck when it is hot.
There are two very simple steps that China can take to minimise the needless loss of research uptake, usage and impact because of lost time:
(1) China should set up the repositories immediately, using the available free softwares such as EPrints and DSpace. It requires only a server and a few hours worth of set-up time and the repository is ready for deposits. There is no reason whatsoever to wait two years. It would also be sensible to have distributed local repositories — at universities and research institutions — rather than just one central one. Each institution can easily set up its own repository. All repositories are interoperable and if and when desired, their contents can be automatically exported to or harvested by central repositories.
(2) Although an OA embargo of 12 months is allowed, China should mandate that deposit itself must be immediate (immediately upon acceptance for publication). Access to the deposit can be set as closed access instead of OA during the embargo if desired, but EPrints and DSpace repositories have the “Request-Copy” Button for closed-access deposits so that individual users can request and authors can provide an individual copy for research purposes with one click each. The repository automatically emails the copy if the author clicks Yes.
Saturday, May 31. 2014
DSpace follows (not quite "leads"!) EPrints in providing access (not quite "Open Access"!) to research during publisher OA embargo periods (via the facilitated Request-Copy Button):
Just in time, I hope, to help shape the implementation of the US Public Access Policy by ensuring that mandatory deposit is (1) immediate (not waiting to deposit only after the allowable OA embargoes of publishers have elapsed) and (2) institutional (not institution-external).
Institutions can then (a) monitor and ensure compliance with the US Public Access Policy and (b) implement the institutional repository's facilitated Request-Copy Button which allows the author to provide an individual copy to an individual requestor with a single click on a case by case basis during the publisher's OA embargo period.
(Both metadata and full-texts of institutional deposits can then be automatically exported to or harvested by any central repositories desired: disciplinary, national, or even funder-based.)
Saturday, May 24. 2014
To derive the full benefit of the Frontiers in Innovation, Research, Science, and Technology (FIRST) Act, it is now extremely important that all universities and research institutions implement the faciltated copy-request Button in their institutional repositories. (The repository software as well as the Button are free for all.)
The Button ensures that even during a publisher embargo on Open Access (OA) any researcher worldwide can immediately request and any author can immediately provide a single copy of any embargoed deposit for research purposes with just one extra click each — just as long as the author’s final, peer-reviewed draft has been deposited in the repository immediately upon acceptance for publication, rather than only after a publisher OA embargo period has elapsed.
This is not OA. It is only “Almost-OA.” But the copy-request Button ensures that the immediate-deposit does not lie fallow during any allowable OA embargo period. And that’s what research and researchers need most.
For DSpace Repositories: https://wiki.duraspace.org/display/DSPACE/RequestCopy
For EPrints Repositories : http://wiki.eprints.org/w/RequestEprint
Sale, A., Couture, M., Rodrigues, E., Carr, L. and Harnad, S. (2014) Open Access Mandates and the "Fair Dealing" Button. In: Coombe, RJ Wershler, D & Zellinger, M (Eds) Dynamic Fair Dealing. U Toronto Press
Saturday, May 17. 2014
Cambridge University has provided a very clear step-by-step statement of how to comply with the new HEFCE/REF OA Policy, as well as the RCUK OA policy, and they are implementing it immediately:
"This policy comes into force on 1 April 2016. Yet at the University we want to ensure this shift is managed sooner rather than later to ensure no research is omitted.”To derive the full benefit of the HEFCE/REF immediate-deposit policy it is important that all UK universities also implement the email copy-request Button:
For DSpace: https://wiki.duraspace.org/display/DSPACE/RequestCopy
For EPrints: http://wiki.eprints.org/w/RequestEprint
This ensures that researchers worldwide can immediately request (and authors can immediately provide, with one click each) a single copy of closed-access deposits for research purposes even during a publisher OA embargo period.
What makes the HEFCE/REF OA policy so important and powerful is that it ensures that all final drafts are deposited immediately, rather than only after a publisher OA embargo period has elapsed.
The Request-Copy Button in turn ensures that the immediate-deposit does not lie fallow for a year.
Sale, A., Couture, M., Rodrigues, E., Carr, L. and Harnad, S. (2014) Open Access Mandates and the "Fair Dealing" Button. In: Coombe, RJ Wershler, D & Zellinger, M (Eds) Dynamic Fair Dealing. U Toronto Press
Wednesday, May 14. 2014
Presentation: "How to Formulate Effective Policies to Open Access to Research Worldwide" Professor Stevan Harnad of Université du Québec à Montréal on a Conference "Opening Science to Meet Future Challenges", 11 March 2014, Warsaw.
Created by Dorota Jarosławska,
Monday, March 31. 2014
There are two essential components to an effective “Green” OA mandate (i.e., a mandate that generates as close to 100% compliance, as soon as possible):
(1) The mandate must uncouple the date of deposit from the date the deposit is made OA, requiring immediate deposit, with no exemptions or exceptions. How long an OA embargo it allows is a separate matter, but on no account must date of deposit be allowed to be contingent on publisher OA embargoes.This is exactly what the New HEFCE policy for open access in the post-2014 Research Excellence Framework has done.
(2) Eligibility for research assessment (and funding) must be made conditional on immediate-deposit (date-stamped by the journal acceptance letter). Again, this is in order to ensure that deposits are not made months or years after publication: no retrospective deposit.The deposit requirement for eligibility for research assessment and funding is not itself an OA requirement, it is merely a procedural requirement: For eligibility, papers must be deposited in the institutional repository immediately upon acceptance for publication. Late deposits are not eligible for consideration.
This engages each university (always extremely anxious to comply fully with REF, HEFCE and RCUK eligibility rules) in ensuring that deposit is timely, with the help of the date-stamped acceptance letter throughout the entire 6-year REF cycle, 2014-2020.
These two conditions are what have yielded the most effective of all the Green OA mandates to date (well over 80% compliance rate and growing) at University of Liege and FRS-FNRS (the Belgian Francophone research funding council). Other mandates have since been upgrading to this mandate model: Harvard FAS has already adopted immediate-deposit as one of its conditions. So has the European Commission's Horizon2020. And now RCUK — thanks to HEFCE/REF — will reap the benefits of the immediate-deposit condition as well (see ROARMAP)
OA embargoes are another matter, and HEFCE/REF is wisely leaving that to others (RCUK, EU Horizon2020, and university mandates) to stipulate maximal allowable embargo length and any allowable exceptions. What HEFCE/REF is providing is the crucial two components for ensuring that the mandate will succeed: (1) immediate deposit as a (2) condition for REF-eligibility.
But let me add something else that will become increasingly important, once the HEFCE/REF immediate-deposit requirement begins to propagate worldwide (as I am now confident it will: UK is at last back in the lead on OA again, instead of odd-man-out, as it has been since Finch):
The immediate-deposit clause and the contingency on eligibility for research assessment and funding also ensures that the primary locus of deposit will be the institutional repository rather than institution-external repositories. (Deposits can be exported automatically to external repositories, once deposited and once the embargo has elapsed; they can also be imported from extrenal repositories, in the case of the physicists and mathematicians who have already been faithfully depositing in Arxiv for two decades,)
But besides all that, many of the eprints and dspace institutional repositories already have — and, with the HEFCE mandate model propagating almost all of them will soon have the email-eprint-request Button:
This Button makes it possible for users who reach a closed access deposit to click once to request a copy for research purposes; the repository software emails an automatic eprint request to the author, who can click once to comply with the request; the repository software emails the requestor the eprint. (Researchers have been requesting and sending reprints by mail — and lately by email — for decades, but with immediate-deposit and the Button, this is greatly accelerated and facilitated. So even during any allowable embargo period, the Button will enhance access and usage dramatically. I also predict that immediate-deposit and the Button will greatly hasten the inevitable and well-deserved demise of publisher OA embargoes.)
Let me close by noting another important feature of the new HEFCE/REF policy: The allowable exceptions do not apply to the immediate-deposit requirement! They only apply to the allowable open-access embargo. To be eligible for REF2020, a paper must have been deposited immediately upon acceptance for publication (with a 3-month grace period).
(No worries about HEFCE's optional 2 year start-up grace period either: Institutions will almost certainly want their REF procedures safely and systematically in place as early as possible, so everything can go simply and smoothly and there is no risk of papers being ineligible.)
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, S (2006) The Immediate-Deposit/Optional-Access (ID/OA) Mandate: Rationale and Model. Open Access Archivangelism 71
Rentier, B. (2009) Liege Mandate Definitely Immediate-Deposit/Optional-Access (or Dual Deposit/Release: IDOA/DDR) Open Access Archivangelism 502
______ (2011) Integrating Institutional and Funder Open Access Mandates: Belgian Model Open Access Archivangelism 864
Gargouri, Y, Lariviere, V, Gingras, Y, Brody, T, Carr, L and Harnad, S (2012) Testing the Finch Hypothesis on Green OA Mandate Ineffectiveness. In, Open Access Week 2012
Harnad, S (2012) Why the UK Should Not Heed the Finch Report. LSE Impact of Social Sciences Blog. July 4 2012
______ (2012) Hybrid gold open access and the Chesire cat’s grin: How to repair the new open access policy of RCUK. LSE Impact of Social Sciences Blog September 3rd 2012
______ (2012) United Kingdom's Open Access Policy Urgently Needs a Tweak. D-Lib Magazine Volume 18, Number 9/10 September/October 2012
______ (2012) Digital Research: How and Why the RCUK Open Access Policy Needs to Be Revised. Digital Research 2012. Tuesday, September 12, Oxford.
______ (2012) Public Access to Federally Funded Research (Response to US OSTP RFI) Open Access Archivangelism 865/866
Gargouri, Y, Larivière, V & Harnad, S (2013) Ten-year Analysis of University of Minho Green OA Self-Archiving Mandate (in E Rodrigues, A Swan & AA Baptista, Eds. Uma Década de Acesso Aberto e na UMinho no Mundo.
Harnad, S (2013) Finch Group reviews progress in implementing open access transition amid ongoing criticisms. LSE Impact of Social Sciences Blog November 18th 2013
______ (2013) “Nudging” researchers toward Gold Open Access will delay the shift to wider access of research LSE Impact of Social Sciences Blog December 5th, 2013
______ (2013) Follow-Up Comments for BIS Select Committee on Open Access. UK Parliament Publications and Records, Spring Issue
______ (2013) Evidence to House of Lords Science and Technology Select Committee on Open Access. House of Lords Science and Technology Committee on Open Access, Winter Issue, 119-123.
______ (2013) Comments on HEFCE/REF Open Access Mandate Proposal. Open access and submissions to the REF post-2014
______ (2013) Evidence to BIS Select Committee Inquiry on Open Access. Written Evidence to BIS Select Committee Inquiry on Open Access, Winter Issue
______ (2013) Recommandation au ministre québécois de l'enseignement supérieur.
______ (2013) Comments on Canada’s NSERC/SSHRC/CIHR Draft Tri-Agency Open Access Policy. Canadian Tri-Agency Call for Comments, Autumn Issue
Sale, A., Couture, M., Rodrigues, E., Carr, L. and Harnad, S. (2014) Open Access Mandates and the "Fair Dealing" Button. In: Dynamic Fair Dealing: Creating Canadian Culture Online (Rosemary J. Coombe & Darren Wershler, Eds.)
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