Do Authors Deposit on Time? Tracking Open Access Policy Compliance - - PowerPoint PPT Presentation

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Do Authors Deposit on Time? Tracking Open Access Policy Compliance June 12, 2019 Open Repositories 2019, Hamburg Drahomira Herrmannova Nancy Pontika Petr Knoth Big Scientific Data and Text Analytics Group Knowledge Media Institute, The

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Do Authors Deposit on Time? Tracking Open Access Policy Compliance

Drahomira Herrmannova Nancy Pontika Petr Knoth

June 12, 2019 – Open Repositories 2019, Hamburg

Big Scientific Data and Text Analytics Group Knowledge Media Institute, The Open University

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Introduction

1/22

https://physicstoday.scitation.org/do/10.1 063/PT.6.2.20190418a/full/

JCDL2019 Best Paper Award

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Introduction

  • Why we want Open Access (OA)
  • Taxpayers should be able to read publicly funded research
  • Help researchers at poorer institutions without access to subscriptions
  • Institutions suffer from rising journal subscription prices
  • Funders introduce policies to encourage OA
  • Notable examples:
  • U.S. Public Access Plan
  • U.S. NIH Public Access Policy
  • UK REF 2021 Open Access Policy
  • EC H2020 Open Access Policy

2/22

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Growing number of OA policies

Source: http://roarmap.eprints.org/

Currently close to 1 thousand funder and institutional OA policies

3/22

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OA policies

  • Provide criteria for making papers OA
  • Requirements, such as:
  • Where should papers be made available (publication or deposit)
  • When should papers be deposited
  • What version should be deposited (e.g. pre-print vs. post-print)
  • Allowed embargo periods
  • Etc.

4/22

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Research questions

What effect do OA policies have?

5/22

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Research questions

  • Piwowar et al. (2018): At least 28% of all research papers are OA
  • Lariviere and Sugimoto (2018): More than two thirds of papers from

selected funders (with an OA policy) were OA

  • Gargouri et al. (2012): OA growth often due to retroactive self-

archiving (often years after publication)

6/22

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Research questions

When do author deposit?

7/22

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Research questions

When do author deposit? Do they deposit in accordance with policies?

6/22

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Deposit time lag

  • What is deposit time lag?
  • The difference between date of publication and date of deposit in a

repository expressed in days

  • We study deposit time lag across
  • Country
  • Time
  • Repository
  • Discipline

7/22

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Data

8/22

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Data

8/22

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Data

8/22

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Data

8/22

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Deposit time lag calculation

  • Deposit time lag = deposit date –

publication date

  • The difference was expressed in

days

  • Positive values: article

deposited after publication

  • Negative values: article

deposited prior to publication

  • Best: as low value as possible

9/22

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Dataset

  • 2013-2018 publications
  • Metadata from Crossref and CORE

Publications 808,984 Repositories 728 Countries 70 Final dataset size Year of publication distribution

10/22

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Results: Deposit time lag per country

11/22

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Results: Deposit time lag per country/year

  • How has deposit time lag changed over time?
  • Average deposit time lag per year of publication

?

12/22

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Results: Deposit time lag per country/year

  • Two options:
  • 1. Use all data

13/22

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Results: Deposit time lag per country/year

  • Two options:
  • 1. Use all data

2011 2012 2013 2014 2015 2016 2017 2018

Yearly deposits – toy example

2013 publications 2017 publications

13/22

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Results: Deposit time lag per country/year

  • Two options:
  • 1. Use all data

2011 2012 2013 2014 2015 2016 2017 2018

Yearly deposits – toy example

2013 publications 2017 publications

Data for 2013 publications

13/22

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Results: Deposit time lag per country/year

  • Two options:
  • 1. Use all data

2011 2012 2013 2014 2015 2016 2017 2018

Yearly deposits – toy example

2013 publications 2017 publications

Data for 2017 publications …?

13/22

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Results: Deposit time lag per country/year

  • Two options:
  • 1. Use all data
  • Underestimates deposit time lag

for all, but especially for newer publications

2011 2012 2013 2014 2015 2016 2017 2018

Yearly deposits – toy example

2013 publications 2017 publications

13/22

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Results: Deposit time lag per country/year

  • Two options:
  • 1. Use all data
  • Underestimates deposit time lag

for all, but especially for newer publications

  • 2. Put a maximum limit on

deposit time lag for the analysis (for comparability)

  • E.g. deposit at most a year later

2011 2012 2013 2014 2015 2016 2017 2018

Yearly deposits – toy example

2013 publications 2017 publications

Data for 2013 publications

13/22

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Results: Deposit time lag per country/year

  • Two options:
  • 1. Use all data
  • Underestimates deposit time lag

for all, but especially for newer publications

  • 2. Put a maximum limit on

deposit time lag for the analysis (for comparability)

  • E.g. deposit at most a year later

2011 2012 2013 2014 2015 2016 2017 2018

Yearly deposits – toy example

2013 publications 2017 publications

Data for 2017 publications

13/22

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Results: Deposit time lag per country/year

  • Two options:
  • 1. Use all data
  • Underestimates deposit time lag

for all, but especially for newer publications

  • 2. Put a maximum limit on

deposit time lag for the analysis (for comparability)

  • E.g. deposit at most a year later
  • Underestimates deposit time lag

for all, but especially for older publications

2011 2012 2013 2014 2015 2016 2017 2018

Yearly deposits – toy example

2013 publications 2017 publications

13/22

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Results: Deposit time lag per year/country

Option 1: All data Option 2: Max deposit time lag limit (1 yr)

14/22

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Results: Deposit time lag per subject

Bars are not stacked, but

  • verlayed

15/22

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REF 2021 OA Policy

  • In 2014, the UK introduced an OA Policy for its next research

assessment exercise (REF)

  • Requirements
  • Deposit final manuscript in an OA repository
  • Deposit on publication/acceptance or within 3 months from it
  • Papers published since April 2016
  • Sanction
  • The OA requirement is linked to performance review
  • Did the introduction of this mandatory policy affect deposit time lag

in the UK compared to other countries?

16/22

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Single vs any repository deposit time lag

  • 1. Single repository deposit time lag
  • Deposit time lag with respect to the publications’ deposit date in a given

repository

  • 2. Any repository deposit time lag
  • Deposit time lag with respect to the publications’ deposit date in any

repository

Repository 1 Repository 2 05/2017 09/2017

Single repository deposit time lag for Repository 1 = 05/2017 – publication date Any repository deposit time lag for Repository 1 = min(05/2017, 09/2017) – publication date

17/22

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Results: UK REF compliance per year

Any repository deposit time lag

18/22

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Results: Deposit time lag per repository

Full lines: Single repository deposit time lag Dashed lines: Any repository deposit time lag

19/22

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Results: Deposit time lag per year/country

Option 1: All data Option 2: Max deposit time lag limit 2014: UK introduces REF 2021 OA policy

20/22

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Discussion

  • Study assumption: if metadata deposited, then the full text is also

deposited

  • Validation of full text deposits complicated due to the way the OAI-PMH

works

21/22

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Discussion

  • Study assumption: if metadata deposited, then the full text is also

deposited

  • Validation of full text deposits complicated due to the way the OAI-PMH

works

  • Our study excludes publications that were never deposited
  • To quantify missing deposits we would have to correctly match all CORE

publications to their Crossref metadata

  • Focus on deposit time lag rather than the proportion of missing deposits

21/22

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Discussion

  • Study assumption: if metadata deposited, then the full text is also

deposited

  • Validation of full text deposits complicated due to the way the OAI-PMH

works

  • Our study excludes publications that were never deposited
  • To quantify missing deposits we would have to correctly match all CORE

publications to their Crossref metadata

  • Focus on deposit time lag rather than the proportion of missing deposits
  • Matching between Crossref and CORE was done using metadata

(titles, authors, publication years)

  • Strict approach, results in high accuracy (~95.27%) but lower recall

21/22

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Conclusions

  • Time between publication and deposit has decreased significantly in

the 2013-2017 period globally

  • By 472 days per country on average across all countries in our dataset

22/22

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Conclusions

  • Time between publication and deposit has decreased significantly in

the 2013-2017 period globally

  • By 472 days per country on average across all countries in our dataset
  • After introduction of the UK REF 2021 OA Policy this decrease in the

UK has accelerated

  • As of early 2018, UK publications are deposited immediately upon publication
  • r even slightly before

22/22

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Conclusions

  • Time between publication and deposit has decreased significantly in

the 2013-2017 period globally

  • By 472 days per country on average across all countries in our dataset
  • After introduction of the UK REF 2021 OA Policy this decrease in the

UK has accelerated

  • As of early 2018, UK publications are deposited immediately upon publication
  • r even slightly before
  • Key messages:
  • Our observations support the argument for the inclusion of time limited

deposit requirement in OA policies

  • Institutional practices an important role in supporting OA policy adoption

22/22

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Thank you!

Code: https://github.com/oacore/jcdl_2019 Data: https://doi.org/10.5281/zenodo.2605408