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 Open University
Introduction JCDL2019 Best Paper Award https://physicstoday.scitation.org/do/10.1 063/PT.6.2.20190418a/full/ 1/22
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
Growing number of OA policies Currently close to 1 thousand funder and institutional OA policies Source: http://roarmap.eprints.org/ 3/22
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
Research questions What effect do OA policies have? 5/22
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
Research questions When do author deposit? 7/22
Research questions When do author deposit? Do they deposit in accordance with policies? 6/22
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
Data 8/22
Data 8/22
Data 8/22
Data 8/22
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
Dataset • 2013-2018 publications • Metadata from Crossref and CORE Final dataset size Year of publication distribution Publications 808,984 Repositories 728 Countries 70 10/22
Results: Deposit time lag per country 11/22
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
Results: Deposit time lag per country/year • Two options: 1. Use all data 13/22
Results: Deposit time lag per country/year • Two options: Yearly deposits – toy example 1. Use all data 2011 2012 2013 2014 2015 2016 2017 2018 2013 publications 2017 publications 13/22
Results: Deposit time lag per country/year • Two options: Yearly deposits – toy example 1. Use all data Data for 2013 publications 2011 2012 2013 2014 2015 2016 2017 2018 2013 publications 2017 publications 13/22
Results: Deposit time lag per country/year • Two options: Yearly deposits – toy example 1. Use all data Data for 2017 publications 2011 2012 2013 2014 2015 2016 2017 2018 …? 2013 publications 2017 publications 13/22
Results: Deposit time lag per country/year • Two options: Yearly deposits – toy example 1. Use all data • Underestimates deposit time lag for all, but especially for newer publications 2011 2012 2013 2014 2015 2016 2017 2018 2013 publications 2017 publications 13/22
Results: Deposit time lag per country/year • Two options: Yearly deposits – toy example 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 Data for 2013 publications 2011 2012 2013 2014 2015 2016 2017 2018 2013 publications 2017 publications 13/22
Results: Deposit time lag per country/year • Two options: Yearly deposits – toy example 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 Data for 2017 publications 2011 2012 2013 2014 2015 2016 2017 2018 2013 publications 2017 publications 13/22
Results: Deposit time lag per country/year • Two options: Yearly deposits – toy example 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 2011 2012 2013 2014 2015 2016 2017 2018 publications 2013 publications 2017 publications 13/22
Results: Deposit time lag per year/country Option 1: All data Option 2: Max deposit time lag limit (1 yr) 14/22
Results: Deposit time lag per subject Bars are not stacked, but overlayed 15/22
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
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 Single repository deposit Any repository deposit time 05/2017 09/2017 time lag for Repository 1 = lag for Repository 1 = 05/2017 – publication date min(05/2017, 09/2017) – publication date Repository 1 Repository 2 17/22
Results: UK REF compliance per year Any repository deposit time lag 18/22
Results: Deposit time lag per repository Full lines: Single repository deposit time lag Dashed lines: Any repository deposit time lag 19/22
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
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
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
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
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
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 or even slightly before 22/22
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 or 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
Thank you! Code: https://github.com/oacore/jcdl_2019 Data: https://doi.org/10.5281/zenodo.2605408
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