The Green and the Gold Roads to Open Access

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1 The Green and the Gold Roads to Open Access Stevan Harnad Canada Research Chair in Cognitive Sciences Université du Québec à Montréal & University of Southampton UK

2 Open Access is: o o o o o o Free, Immediate Permanent Full-Text On-Line Access

3 Open Access to What? ~2.5 million articles yearly ~25,000 peer-reviewed journals 1. Books 2. Textbooks 3. Magazine articles 4. Newspaper articles 5. Music 6. Video 7. Software 8. Knowledge 1. Data 2. Theses 3. Unrefereed Preprints 4. Courseware

4 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 OA journals (some still recovering costs through institutional subscriptions, others through author/institutional publication charges)

5 12-18 Months 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 Refereed Post-Print Accepted, Certified, Published by Journal Researchers can access the Post-Print if their university has a subscription to the Journal New impact cycles: New research builds on existing research

6 12-18 Months 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 Refereed Post-Print Accepted, Certified, Published by Journal More impact cycles: Researchers can access the Post-Print if their university has a subscription to the Journal New impact cycles: New research builds on existing research

7 There are plenty of repositories

8 Percentage of OA articles by year weighted by their number of documents published in 2007

10 Author Surveys (Alma Swan)

11 But almost all of them are almost-empty of OA s target content (5-25%) 90% 80% 70% 60% 50% 40% 30% 20% % 0% N= 63,518

12 Open Access: How?

13 Optimal OA Mandate ID/OA: The Immediate Deposit, Optional Access-setting (ID/OA) Mandate ID/IA: The Immediate Deposit/Immediate Access Mandate (too strong) ID/DA: The Immediate Deposit/Delayed Access Mandate (too vague) DD/DA: Delayed Deposit/Delayed Access Mandate (too weak) Author Licensing Mandate ("author addendum") (too strong and too vague)

Optimal OA Mandate I wish to remind you that, as announced a year ago in March 2007, starting October 1st, 2009, only those references introduced in ORBi will be taken into consideration as the

14 Optimal OA Mandate I wish to remind you that, as announced a year ago in March 2007, starting October 1st, 2009, only those references introduced in ORBi will be taken into consideration as the official list of publications accompanying any curriculum vitae for all evaluation procedures 'in house' (designations, promotions, grant applications, etc.). Bernard Rentier, Recteur, Université de Liège

15 Open Access: Why?

17 OA citation advantage for pre-refreeing pre-prints in physics arxiv

Data from arxiv Downloads ( hits ) in the first 6 months correlate with citations 2 years later Most articles are not cited at all Earlier download metrics correlated with later citation metrics

18 Data from arxiv Downloads ( hits ) in the first 6 months correlate with citations 2 years later Most articles are not cited at all 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):

19 Average cumulative number of citations per article as a function of article age for articles published in

20 Average cumulative number of citations per article as a function of article age by field for articles published in 2000

21 Cumulative count of citations Cumulative number of citations per article for Mandated and Self-Selected articles (articles published in 2002) OM ØM OS ØS OM N = 897 ØM N = 493 OS N = 1,098 ØS N = 3,269

22 Separate proportions for OA vs NOA articles at each citation count 50% 45% 40% N = 63,518 N(OA) = 44,497 N(NOA)= 19,021 35% 30% 25% 20% NOA OA 15% 10% 5% 0% >30

23 Exp(β)-1 Negative Binomial Regression Exp(B)-1 values of Negative Binomial Regression for the four institutions (with and without CERN/South) 1,0 0,8 0,6 0,4 0,2 0,0-0,2 (* p>0.05) * * * * * * N = ,357 35,920 All institutions Without CERN Without CERN nor South Age JIF Auth_N Ref_N Page_N Sci USA OA Age*OA M CERN South Minho Queens -0,4

24 Benefit/Cost comparisons for the UK (GBP millions over 20 years and benefit/cost ratio) Transitional Model Scenario (UK Unilateral OA) Costs Savings Benefits Increased returns Note: Compares Open Access alternatives against subscription publishing of national outputs, with costs, savings and increased returns expressed in Net Present Value over 20 years (GBP millions). Returns are to public sector and higher education R&D spending. HE = Higher Education. Benefit / Cost Ratio OA Publishing in HE 1,787 2, OA Repositories in HE (Green OA) OA Repositories in HE (Overlay Services) 1,558 2, OA Publishing Nationally 2,079 3, OA Repositories Nationally (Green OA) OA Repositories Nationally (Overlay Services) 1,831 3, Scenario (Worldwide OA) OA Publishing in HE 1,787 5, OA Repositories in HE (Green OA) OA Repositories in HE (Overlay Services) 1,558 5, OA Publishing Nationally 2,079 6, OA Repositories Nationally (Green OA) 237 1, OA Repositories Nationally (Overlay Services) 1,831 6, Centre for Strategic Economic Studies

25 Leveraged Transition to Gold 1. Universal Green OA Mandates from universities and funders worldwide 2. Universal Green OA 3. Institutions cancel journal subscriptions 4. Journals cut costs, drop print and online edition and provide peer review service only convert to Gold OA 5. Institutions pay peer review costs out of fraction of windfall cancelation savings

26 Optimal OA Mandate ID/OA: The Immediate Deposit, Optional Access-setting (ID/OA) Mandate ID/IA: The Immediate Deposit/Immediate Access Mandate (too strong) ID/DA: The Immediate Deposit/Delayed Access Mandate (too vague) DD/DA: Delayed Deposit/Delayed Access Mandate (too weak) Author Licensing Mandate ("author addendum") (too strong and too vague)

27 Author s URLs (UQAM & Southampton): BIBLIOGRAPHY ON OA IMPACT ADVANTAGEhttp://opcit.eprints.org/oacitationbiblio.html BOAI Self-Archiving FAQ: CITEBASE (scientometric engine): EPRINTS: OA ARCHIVANGELISM: ROAR (Registry of OA Repositories): ROARMAP (Registry of OA Repository Mandates): ROMEO/EPRINTS (Directory of Journal Policies on author OA Self-Archiving): EnablingOpenScholarship (EOS)

28 Copenhagen Sep 3

On Designing Open Access Mandates for Universities and Research Funders

On Designing Open Access Mandates for Universities and Research Funders Stevan Harnad Chaire de recherche du Canada en sciences cognitives Université de Québec àmontreal & Electronics and Computer Science