說明分析案例講稿personal versiongreenoa

1、This is a preprint of an article accepted for publication in Journal of the American Society for Information Science and TechnologyCopyright © 2013 (American Society for Information Science and Technology)11Anatomy of Green Open AccessBo-Christer BjörkHanken School of Economics, Helsinki C

2、ampus, P. B. 479, 00101 Helsinki, Finland. : bo-christer.bjorkhanken.fiMikael LaaksoHanken School of Economics, Helsinki Campus, P. B. 479, 00101 Helsinki, Finland. : mikael.laaksohanken.fiPatrik WellingHanken School of Economics, Helsinki Campus, P. B. 479, 00101 Helsinki, Finland. : patrik.welling

3、hanken.fiPatrik PaetauHanken School of Economics, Vaasa Campus, P.O. Box 287, 65101 Vaasa, Finland : patrik.paetauhanken.fiOpen Access (OA) is the unrestricted access to electronic versions of scholarly publications. For peer reviewed journal articles there are two main routes to OA, publishing in O

4、A journals (gold OA) or archiving of article copies or manuscripts at other web locations (green OA). This study focuses on summarizing and extending upon current knowledge about green OA. A synthesis of previous studies indicates that the green OA coverage of all published journal articles is appro

5、ximately 12 %, with substal disciplinary variation. Typically, green OA copies become available with considerable time delays, partly caused by publisher imposed embargo periods, and partly by author tendencies to archive manuscripts only periodically. Although green OA copies should ideally be arch

6、ived in proper repositories, a large share is stored on home pages and similar locations, with no assurance of long-term preservation. Often such locations contain exact copies of published articles, which may infringe on the publishers exclusive rights. The technical foundation for green OA uploadi

7、ng is beco increasingly solid, which is largely due to the rapid increase in the number of institutional repositories. The number of articles within the scope of OA mandates, which strongly influence the self- archival rate of articles, is nevertheless still low.INTRODUCTIONWhat is Open Access and w

8、hat are the benefits?Open Access (OA) is a term used to describe a radical new dissemination m for scientific research publications. Open Access is gradually replacing the earlier method of selling journal subscriptions and restricting access to paying ers only, a m that matured and established itse

9、lf during the era of printed journals. Leading OA advocate Peter Suber describes it in the following way; “Open Access (OA) literature is digital, online, of charge, and of most copyright and licensing restrictions.”(Suber, 2012). The most important factor is access for ers, literature which is mere

10、ly without grng liberal re-usage rights is still considered OA.There are a few commonly used key arguments for why scientific research should be available OA. One argument is that the increased availability of research results leads to a faster advancement of science, knowledge, and commerce (Willin

11、sky 2005). Another argument is that since scientific research is predominantly financed by public funds, the results should be considered a public good, which ought to be ly available to the public. An additional argument is that OA, taking intoits effects inside the scientific publishing and dissem

12、ination process, would reduce the global costs of the process compared to the subscription m (Houghton et al 2009).Gold and green OAThere are several variations to the open accessibility of scholarly articles, depending on the user rights, the of the availability, the funding of the OA publishing, a

13、nd whether the er finds the original or a manuscript copy of the article (Willinsky 2005). The terms gold and green OA were coined around 2004, but these two alternative channels for providing open accessibility had arisen much earlier. Harnad et al (2004) define green OA as “publish your article in

14、 a non-OA journal but also self-archive it in an OA archive”. Green OA is when such articles, usually in the form of the author manuscripts that preceded the finalized article, arely available somewhere on the web. This is beneficial to ers, as a manuscript in many use cases is enough to the publish

15、ed article, at least sufficient for pre-purchase evaluation if not for direct citation. The publisher provided article abstracts seldom succeed in conveying enough information to draw s about the scope and quality of the work. Another key purpose of green OA is to increase the dissemination of the r

16、esearch results by making the results available and thus citable, to non- subscribing authors, and to those with limited resources to finance their scholarly digest. None of these benefits causes any loss of revenue for the authors themselves (since they receive no royalties), but it increases the p

17、otential for ership and citations, and opens up the content of journal articles for scrutiny. Green OA was recently argued to be the most cost-effective and affordable means for funders, institutions, and other stakeholders to enforce movement towards OA (Houghton and Swan 2013).Self-archiving is of

18、ten used as a synonym for green OA, however, in this study green OA is defined as all ly accessible copies of articles, including different versions of said articles, which exist on other web locations than the original publishers website.This includes for example copies self-archived by authors, co

19、pies uploaded to institutional repositories by librarians, as well as copies stored in subject repositories by the publishers, e.g. PubMedCentral (PMC). JISC uses the term “mediated deposit” to describe the latter categories (JISCinfonet 2012). A key difference between gold OA and green OA is that w

20、ith gold OA, the entire journal content becomes available at a single location on the web, whereas with green OA, copies of a random and limited selection of the articles are scattered around the web. Thus, web search engines are commonly used to establish if a green OA copy of a specific article is

21、 available somewhere on the web. Another difference between gold and green OA is that while ers of gold OA articles usually have well-defined reuse and data mining rights (so-called libre OA, often defined using Creative Commons licenses), ers of green OA copies can usually only the manuscripts (so-

22、called gratis OA).Types of green OA copiesAn article usually completes a number of life-cycle stages before final publication in a journal, and green OA copies can be at any of them. In some cases the manuscript has previously been published as an e-print or working paper. Even if such prior version

23、s seldom are identical to the submitted versions, they regularly show up in web-searches for green OA copies if the titles are identical, and might provide essentially the same key content to interested ers. Even after acceptance, many publishers still make minor changes to manuscript contents durin

24、g copy editing, and finally the manuscript receives the publishers layout and page numbering is fixed. The key manuscript stages are shown in Table 1, as well as the various terms that have commonly been used to describe them.StageDefinitionTerms usedWorking paperA working paper uploaded to an e-pri

25、nt repositoryPreprintSubmitted ManuscriptThe version of the manuscript submitted to the journalPreprint, Authors original draftAccepted manuscriptThe accepted version, after peer review but prior the final copy-editing and layoutPostprint, al version, accepted author manuscript, final authorversionP

26、ostprintPublished articleAn exact digital replicate of the published articleVersion of record, Publishers version, Published journal articleTable 1 - Different versions of green OA copiesBoth the SHERPA/RoMEO index of publishers copyright restrictions concerning green OA (SHERPA/RoMEO 2012) as well

27、as leading OA advocate Peter Subers OA guidelines (Suber 2012) use the term preprint to refer to the two first stages and postprint to the two latter ones (the term postprint is rather peculiar, since publishing is less and less dependent on the paper medium and since the accepted version never even

28、 used to be printed). The copyright agreements that publishers require authors to abide by usually refer to the last three of these stages and different publishers use slightly different terms. Two useful glossaries for the different stages of an article arealso Crossref (2012) and NISO (2008). For

29、this study we have opted to refer to the main versions of green OA in the following terms: submitted manuscript, accepted manuscript and published article.Taking the perspective of ers, other versions than the published article are usually considered inferior for various reasons. Publishers often re

30、quire that citations reference the original publication even if the citing author only has access to a green OA copy, and in some disciplines there could be some risk involved in bypassing the published article. Though preprints have a strong presence in some disciplinary cultures, mostly due to the

31、 instant availability and wide potential ership they provide, postprints are generally held as the preferable alternative if the article has aly been refined into a published journal article. In the social sciences and humanities references are often to particular pages in a publication, and in such

32、 cases access to the published version, or persistently available green OA copy with identical pagination, is essential.Locations of green OA copiesGreen OA copies, according to the previous broad definition, can be found in different types of locations. The three most popular locations are institut

33、ional repositories, subject repositories and al/departmental web sites of the authors. Many authors discussing green or self-archived OA have restricted themselves to copies found in repositories, while others, this study included, use a broader definition encompassing any location outside the publi

34、shers original site.The term institutional repository (IR) refers to highly structured collections of digital material emanating from scholars employed by a university or a research institution (e.g. the European Organization for Nuclear Research CERN)(Lynch, 2003). In addition to article manuscript

35、s, IRs can contain other types of content, theses in particular, but also teaching material, s and images, and various data sets. Although authors are the key contributors of content, professional librarians are usually involved in the quality assurance process, checking metadata and permissibility

36、of upload as well as ensuring the long-term preservation of the content.The earliest successful subject repositories were started by scholars or groups of scholars as voluntary operations. The highly successful arXiv is by now over 20 years old and houses more than 800000 preprints in physics, mathe

37、matics and related fields. In economics, a slightly different m has evolved, with RePec providing an overlay indexing service on top of over 1400 archives containing working paper series of individual universities, departments etc. PMC on the other hand is a highly centralized database of medical pu

38、blications, maintained by the worlds largest funder of medical research, National Institutes of Health (NIH). Due to the explicit requirement that grantees of NIH must deposit green OA copies of their publications in this database PMC has become highly influential in setting an example for other res

39、earch funders to follow.Especially in the early days of the web, most green OA copies were to be found on the al wges of the authors, or the pages of their departments, often linked with the CVs or publication lists of the authors in question. At the time, this was the only possibility in most disci

40、plines, but with time repositories have started to offer viable alternatives. The major subject repositories and most institutional repositoriescan be expected to be relatively permanent storage and able to handle hardware and software upgrades in the future.When repositories started to emerge there

41、 was an effort to standardize their data interfaces in the form of the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH), to allow interoperable harvesting of content metadata by third party web services. In practice, only ers searching for material in the largest subject repositor

42、ies rely on browsing or searching in the repositories themselves. Instead, academics mostly use general web search engines or specialized ones, like Google Scholar, to both find articles, and to retrieve previously identified articles. The main function of a repository is consequently to secure long

43、 term archiving of manuscripts and articles, and facilitate indexing and visibility in search engines.PREVIOUS RESEARCHOver the past fifteen years research related to green OA, and in particular to institutional and subject repositories, has ranged from descriptive reporting of individual cases to s

44、tudies applying rigorous conceptual frameworks. In the following some of the most central studies are briefly reviewed through a categorization into six distinct research areas.Citation advantage of OAThere have been dozens of studies focusing on observing changes in citation rates resulting from ar

45、ticles being openly accessible. Recent reviews of such studies by Swan (2010), Wagner (2010) and the Opcit project (2012) provide good overviews. Most of the studies have used articles in subscription journals, for which green copies have been available, to test for any potential citation advantage

46、of OA. It seems almost indisputable that there is some increase in citations, but the degree of influence and other factors at play have been contested. A longer discussion of this topic is, however, outside the scope of this article.The prevalence of green OAThe uptake of green OA has been studied

47、in two alternative ways. In longitudinal studies the growth in the number of repositories (in particular IRs) and the number of items deposited in them has been the only feasible method. Morrison (2012) documented that the number of repositories registered in the OpenDOAR registry has grown from sli

48、ghtly above 800 in 2006 to over 2200 in 2012. One major weakness of this method is that information regarding repository size is usually limited to the total number of items, including a lot of other content in addition to green OA copies of journal articles. Another weakness, in view of our definit

49、ion of green OA, is that it does not lend itself to the study of green OA copies on author home pages and other websites.An alternative approach is to start with a sample of articles published in peer- reviewed journals (excluding OA journals) and proceeding to check for available green OA copies, a

50、n approach usually limited to making snapshots of the situation unless checks are done at multiple points in time. The availability can be checkedeither automatically by software searching for full text copies or manually by having someone search for the copies using a web search engine, simulating

51、the circumstances and article retrieval process common for interested ers. The former method is the only feasible one for larger numbers of articles, whereas the latter enables a more precise classification to beof the found copies but is limited to smaller article samples due to the time-consu manu

52、al process.Macro level studies covering all sciences, for instance Hajjem et al (2005) or Björk et al (2010) have used article samples from article indexes such as Web of Knowledge (WoK) (WoK 2012) or Scopus (Scopus 2012). For biomedical research the bibliographical database PubMed has also bee

53、n used as a source of article metadata (Matsubayashi et al 2009). Micro level studies have dealt with individual research disciplines, usually by identifying the major journals in that field and then checking the availability of the articles published in them (e.g. Lyons and Booth 2010).The choice o

54、f meta-data source strongly influences green OA prevalence measurements. For instance, Björk et al (2010) reported a 14 % green OA share for WoK indexed journal articles versus only 5.5 % for articles indexed in Scopus but not in WoK, a result perhaps due to the suggested “selection bias” of au

55、thors, in choosing their better work for green posting (Swan 2010, Moed 2006).Effects of mandates on green OA uptakeOA mandates are formal requirements issued by either research funders as conditions in the grant contracts, or by the employers of the researchers (research institutes or universities)

56、, which stipulate that, unless a researcher has published in an OA journal, a green OA copy must be available. Currently, the most well known funder mandates are those of the NIH (USA) and the Wellcome Trust (UK), both of which have had their OA requirements in place for a number of years. Funder ma

57、ndates tend to be discipline-specific (e.g. NIH) while institutional mandates usually are multidisciplinary (i.e. University of Minho). A prerequisite is usually that researchers need to follow the copyright rules of the journal they have chosen to publish in. NIH has, due to its size, been able to

58、exert considerable pressure on the publishers to change their copyright policies, grng special conditions for their grantees. A recent mandate of considerable political importance is the new OA policy of Research Councils UK (RCUK 2012), which requires that funded researchers publish either in gold

59、OA journals or use the paid OA option in subscription journals, or self-archive copies of articles published in subscription journals. In contrast to many earlier mandates a researcher can no longer avoid the OA requirement if the publisher does not have a gold or green option, thus excluding such journals as publishing outlets. Mandate