Yi-Shuan Huang PhD student National Taiwan University Taipei, Taiwan The Assessment of Open Access to Electronic Theses and Dissertations in Taiwan Lee-Chen Chen Associate Professor National Ilan University Ilan, Taiwan Bao-Tzuoh Huang Professor National Ilan University Ilan, Taiwan Yi-Shuan Huang PhD student National Taiwan University Taipei, Taiwan 2018/9/20 ETD 2014

The reasons for embargo 7% 18% 51% 24% Statistics show that over 50% of the reasons for embargo is because personal choice, 18% is because confidentiality, about 25% is because a 3rd party copyright issue. 2018/9/20 ETD 2014

Outline NDLTD Introduction Open Access(OA) Research purpose Research methods Research findings Conclusions Our presentation outline is we will do the NDLTD introduction and open access first, and then talk about our research purpose, methods and findings to share with you. 2018/9/20 ETD 2014

National Digital Library of Theses and Dissertations in Taiwan(1/3) An open full-text database, http://ndltd.ncl.edu.tw/ Our National Central Library(NCL), as delineated in the Degree Deferral Law, is the only legal depository for theses and dissertations in Taiwan. NCL has done just that in creating a database that makes possible freedom in research dissemination, the reduction of the urban-rural gap, and equality in academics. The system is a national academic research support platform through the assistance of colleges and universities across Taiwan. Since participating institutions do not need to create separate databases, this translates into reduced costs for universities in terms of computer hardware, system maintenance, and IT personnel. 2018/9/20 ETD 2014

National Digital Library of Theses and Dissertations in Taiwan(2/3) The third generation system developed by the NCL 1970: print catalog 1997: WebPac system(catalog online) 2010: full-text database Over 830,000 records, also uploaded to the NDLTD Union Archive More than 290,000 electronic theses is available online About 150,000,000 visitors since 2010 2018/9/20 ETD 2014

National Digital Library of Theses and Dissertations in Taiwan(3/3) 2018/9/20 ETD 2014

Open Access (1/2) Read the Budapest Open Access initiative(2002) Free and unrestricted online availability Gives readers extraordinary power to make use of relevant literature Hope to help open up access to the rest of this literature and remove the barriers, especially the price barriers Permit any users to download, copy, print, or link to the full texts without financial, legal, or technical barriers The only constraint about open access is that should give authors the right to be properly acknowledged and cited 2018/9/20 ETD 2014

Open Access (2/2) IFLA Statement on Open Access(2011) Open access is the now known name for a concept and a movement whose goal is to provide free access and re-use of knowledge Libraries play an essential role in open access by their expertise in building infrastructure, in creating user-friendly services of high quality and in securing long-term access Libraries set up open access repositories and help postgraduate deposit their research 2018/9/20 ETD 2014

Purpose To identify the development of OA to ETDs in recent years in Taiwan. To compare the difference of click count and citation between OA and NON-OA to ETDs. To construct the Immediacy Index of OA and NON-OA on ETDs To facilitate OA to ETDs and promote the using opportunity from existing weakness in near future. 2018/9/20 ETD 2014

Methods(1/2) Research setting The research setting is in the NDLTD in Taiwan. It provides free on-line services to general public on theses and dissertation of academic degrees. Based on the law regarding the awarding of academic degrees, the System, which is the project entrusted to NCL by the Department of Higher Education of The Ministry of Education, is responsible of collecting theses and dissertations as well as preserving them and enabling their access to our public readers. 2018/9/20 ETD 2014

Methods(2/2) Research data The research data of this paper is based on bibliometric and citation analysis of OA and NON-OA on ETDs published between 2008 and 2012. Our measurement of quantitative statistics is focused on Number of OA on ETDs, Number of ETDs, click count, download frequency, and citation score. We conduct the study in a random sample of 500 in each ETDs with OA and NON- OA each year(2008-2012). 2018/9/20 ETD 2014

My thesis is published in 2010. For example My thesis is published in 2010. It provides a fulltext link tag to the public to download for free. And we can collect the citation score is 10, click count is about 1100, and the download frequency is 460. Further more, we found the cited times of this thesis at the published year(2010) is 1 2018/9/20 ETD 2014

OA as a percentage of ETDs in Taiwan, 2008-2012(1/3) Table 1 OA as a percentage of ETDs in Taiwan, 2008-2012 Year OA on ETDs ETDs OA participation Rate (%) 2008 2009 2010 2011 2012 25,455 23,359 26,641 30,848 29,512 61,232 63,024 62,684 63,139 57,804 41.57 37.06 42.05 48.86 51.04 Total (since 1956) 284,884 816,490 34.89 Final check date: March, 2014 In the first case, the indicator is shown in Table 1. OA participation rate has roughly 34% since 1956. The same indicator continues to rise for the 2008-2012 period and particularly strong above 50% in 2012. 2018/9/20 ETD 2014

OA as a percentage of ETDs in Taiwan, 2008-2012(2/3) Figure 1 ETDs vs. OA on ETDs 2018/9/20 ETD 2014

OA as a percentage of ETDs in Taiwan, 2008-2012(3/3) Figure 2 OA Rate(%) Additionally, Figure 2 shows the OA current rate reaches a trough shortly and then restores a growth trend. 2018/9/20 ETD 2014

Table 3 measuring NON-OA on ETDs through click count and citation OA vs. NON-OA on ETDs(1/3) Table 2 measuring OA on ETDs through click count, download, and citation Year click count download citation 2008 2009 2010 2011 2012 201,131 251,981 300,113 125,173 50,746 51,235 70,124 88,755 35,047 15,034 1,987 1,804 1,748 405 72 Table 3 measuring NON-OA on ETDs through click count and citation Year click count citation 2008 2009 2010 2011 2012 88,968 100,503 100,085 66,410 55,382 702 757 503 198 173 Final check date: March, 2014 2018/9/20 ETD 2014

OA vs. NON-OA on ETDs(2/3) Figure 3 Click count / OA Ratio For example, Figure 3’s ratio of OA has larger fluctuations during the last 5 years. Conversely, the ratio of NON-OA grows quite smoothly. 2018/9/20 ETD 2014

OA vs. NON-OA on ETDs(3/3) Figure 4 Citation / OA Ratio By another measure shown Figure 4, the replacing click count with citation, the situation is the reverse. Figure 4 shows the Figure 3’s peak situation disappears and restores downward trend, which the drop situation is especially pronounced in 2010. 2018/9/20 ETD 2014

The Immediacy Index of OA and NON-OA on ETDs(1/3) The immediacy index is the average number of times an article is cited in the year it published The immediacy index can tell how quickly articles are cited from the sluggish quoted An article published early in the year has a better chance of being cited than one published later during the same year The immediacy index 2018/9/20 ETD 2014

The Immediacy Index of NON-OA on ETDs(2/3) Table 4 The number of non-OA on ETDs cited during the published year Year Random sample number Cited during published year Immediacy index 2008 2009 2010 2011 2012 500 1 2 Table 4 shows the average immediacy index of NON-OA is approached to 0. The immediacy index measures the speed by which articles make an impact on readers Final check date: March, 2014 2018/9/20 ETD 2014

The Immediacy Index of OA on ETDs(3/3) Table 5 The number of OA on ETDs cited during the published year Year Random sample number Cited during published year Immediacy index 2008 2009 2010 2011 2012 500 43 38 36 72 81 0.08 0.07 0.14 0.16 Table 5 reveals the average immediacy index of OA published during 2008-2012 is about 0.1, and growth has been particularly strong in 2011. Like the first indicator OA current rate, the immediacy index of OA published during 2008-2012 has shown the general trend to increase. 2018/9/20 ETD 2014

Table 6 The advantage, weakness, opportunity, and threat of OA on ETDs Helpful Harmful Internal Advantage Weaknesses Increasing tendency According to Figure 1 & 2, the number and the rate of OA on ETDs are showing a tendency to increase, accounting for about 45% each year. More click and cited count According to Figure 3 & 4, ETDs’ paper with OA gets more click and cited count than ETD’s paper without OA. Promotion and policy According to Table 1, less than 50% of ETDs’ total number accepts OA showing the inappropriate promotion and policy. Only made in Taiwan System only includes ETDs written by students who graduate from university in Taiwan. External Opportunities Threats Time factor According to figure 3 & 4, time factor plays an important role in efficiently raising academic values whether toward OA or NON-OA on ETDs. Refine search Due to big data, ETDs are difficult in accessibility. Refine search is born to solve this access problem. Publication intention Students‘ fears about OA on ETDs will prevent their future publication. Copyright issue OA makes published papers immediately and freely available on the web site, but it is difficult to estimate whether this paper is cited because of OA. 2018/9/20 ETD 2014

Conclusions Several key indicators Fluctuating vs. Smoothly prospect “What I believe in ” hope 2018/9/20 ETD 2014

THANK YOU 2018/9/20 ETD 2014