1. Institutional repositories: Here, there … and not (yet) everywhere Alma Swan Key Perspectives Ltd, Truro, UK TICER Summer School, Tilburg, August 2005 Key Perspectives Ltd

2. A little bit of history… Computer scientists started self- archiving their articles decades ago Citeseer (almost 725,000 articles) Physicists followed arXiv (300,000 articles) Centralised archives (subject-based) Key Perspectives Ltd

3. What are institutional repositories? Electronic archives Institutional, school or departmental Depot for: oresearch articles odata oresearcher information oinstitutional information Key Perspectives Ltd

4. Advantages to an institution Fulfils a universitys mission to engender, encourage and disseminate scholarly work Enables a university to compile a complete record of its intellectual effort Forms a permanent record of all digital output from an institution Enables standardised online CVs for all researchers (e.g. RAE exercise) Marketing tool for universities Key Perspectives Ltd

5. Advantages to researchers Secure storage (for completed work and for work-in-progress) A location for supporting data that are unpublished A location for all digital objects One-input-many outputs (CVs, publications) Key Perspectives Ltd

6. How many institutions have them? Over 400 Most are institution-wide Some are departmental Some are cross-institutional Some are national Some are subject-specific Some contain only specific types of article (e.g. theses/dissertations) Key Perspectives Ltd

13. How do you build a repository? Repository software EPrints (University of Southampton) CDSWare (CERN) FEDORA (Cornell U and U of Virginia) DSpace (MIT) Server Technical expertise Key Perspectives Ltd

14. What goes into a repository? Postprints Preprints Supporting data Conference papers Book chapters (or whole books/monographs) Working papers Technical reports Theses/dissertations Courseware Key Perspectives Ltd

16. Electronic survey Supported by ISI – 25,000 addresses Report-writing funded by JISC, UK Key Perspectives Ltd

17. Respondent profiles I (n=1296) RegionPercentage of total respondents Australia/New Zealand7 Asia (except China and Japan)4 China3 Japan1 Canada4 USA21 Central/South America6 European union (except UK)17 Other European countries (exc EU or UK)10 UK18 Middle East4 Africa4 Key Perspectives Ltd

18. Respondent profiles II (n=1296) SubjectPercentage of total respondents Agriculture & food science5 Business & management4 Chemistry6 Computer sciences12 Earth & geographical sciences3 Engineering, materials science8 Humanities8 Law & politics1 Library & information science6 Life sciences17 Mathematics6 Medical sciences17 Physics7 Psychology9 Social sciences & education10 Key Perspectives Ltd

19. Why researchers publish Key Perspectives Ltd

20. Citations Key Perspectives Ltd

21. Are they using OA archives? Not much! 30% respondents Computer scientists use them most Key Perspectives Ltd

22. Do they do this often? Key Perspectives Ltd

23. Compared with bibliographic databases… Key Perspectives Ltd

24. Overall proportion of people using these Traditional bibliographic services: 98% OAI search services: 30% Key Perspectives Ltd

25. Though this is hardly surprising… Total number of postprints in UK archives is certainly <10,000 and probably nearer 6,000-7,000 Books and theses <2000 When the content is there – and KNOWN to be there – researchers will use institutional repositories Key Perspectives Ltd

26. Ways to self-archive Place article on web page Place article in institutional repository Place article in subject-based repository Key Perspectives Ltd

27. Overall self-archiving activity level Key Perspectives Ltd

28. Self-archiving by subject area Key Perspectives Ltd

29. Self-archiving activities of the 1296 respondents Carried out 1303 individual acts of self-archiving 631 individuals were involved (49% of total) Number of self-archiving acts per person is 2.1 Average number of S-A acts is 1.01 Key Perspectives Ltd

30. Time series data (i) Open access provision method Earlier survey Present survey Preprint on personal web page2318 Postprint on personal web page2227 Preprint in departmental or institutional OA archive 415 Postprint in departmental or institutional OA archive 1020 Preprint in a centralised subject-based open archive 79 Postprint in a centralised subject-based open archive 712 Key Perspectives Ltd

31. Time series data (ii) Key Perspectives Ltd

32. Relationship between self-archiving activity and publishing activity Key Perspectives Ltd

33. Length of self-archiving experience Key Perspectives Ltd

34. Awareness of self-archiving Of those who have not self-archived any articles: 29% are aware of the possibility of providing open access this way 71% are not Non-archivers = 51% of the population 36% of researchers are not aware of the possibility of self-archiving Key Perspectives Ltd

35. Awareness of self-archiving by subject area Key Perspectives Ltd

36. How did they learn about self-archiving? Key Perspectives Ltd

37. What discourages self-archiving? I worry about copyright infringement Key Perspectives Ltd

38. Publisher permissions 92% of journals permit self-archiving SHERPA/RoMEO list at: www.sherpa.ac.uk/romeo.php Or at: http://romeo.eprints.org/stats.php Key Perspectives Ltd

39. Copyright Author35% Publisher37% Other (e.g. employer) 6% Dont know22% Permission required17% Not required47% Dont know36% Permission sought16% Permission not sought84% Key Perspectives Ltd

40. What discourages self-archiving? I worry about copyright infringement It will be too difficult Key Perspectives Ltd

41. Ease of depositing an article First deposition Subsequent depositions Key Perspectives Ltd

42. What discourages self-archiving? I worry about copyright infringement It will be too difficult It will take too long Key Perspectives Ltd

43. Time taken to deposit an article First deposition Subsequent depositions Key Perspectives Ltd

44. What discourages self-archiving? I worry about copyright infringement It will be too difficult It will take too long My society may suffer Key Perspectives Ltd

45. Learned societies who publish physics research American Physical Society Institute of Physics Publishing Ltd Key Perspectives Ltd

46. Learned societies publishing physics journals in areas covered by arXiv American Physical Society: Physical Review D Physical Review C Nuclear Physics Institute Of Physics Publishing (UK): Classical & Quantum Gravity Journal of High Energy Physics Journal of Physics G J. Cosmology & Astroparticle Physics Key Perspectives Ltd

47. arXiv In 2003, 116,723 physics articles were published in 421 journals arXiv receives 3,500 postings per month (i.e. 42,000 per annum): High energy physics: 800 per month (flat) Condensed matter: 800 per month (growing) Astrophysics: 600-7– per month (flat) Key Perspectives Ltd

48. How many subscriptions have you lost as a result of arXiv? APS:None IOPP:None Key Perspectives Ltd

49. How have subscriptions to the titles most affected been going over the last decade? APS: We have had an overall decline of an average of about 3% a year (less lately) across all our journals since the 1960s. IOPP: The general attrition slope has not changed. Key Perspectives Ltd

50. What do the download figures show? APS: Physical Review D and Physical Review C are a bit below the average for our other journals. IOPP: Download figures [for those journals] are not as high as average, because people are downloading from arXiv. Key Perspectives Ltd

51. Do you view arXiv as a threat? APS: We don't consider it [arXiv] a threat. We expect to continue to have a symbiotic relationship with arXiv. As long as peer review is valued by the community (and it seems to be), we will be doing peer review. Key Perspectives Ltd

52. What can encourage self-archiving? Highlighting the increased visibility and impact Key Perspectives Ltd

53. Open access increases citations Lawrence 2001 (computer science) Kurtz 2004 (astronomy) Brody & Harnad 2004 (all disciplines) Antelman 2005 (philosophy, politics, electrical & electronic engineering, mathematics) Key Perspectives Ltd

54. Self-archiving in the PhilSci Archive has given instant world-wide visibility to my work. As a result, I was invited to submit papers to refereed international conferences/journals and got them accepted. An authors testimony Key Perspectives Ltd

58. What can encourage self-archiving? Highlighting the increased visibility and impact Requiring authors to self-archive Key Perspectives Ltd

59. The mandates are appearing NIH Wellcome Foundation CNRS INRA RCUK Individual institutions – QUT, CERN, Southampton, Minho…. Key Perspectives Ltd

60. Authors say… I publish because it is a professional responsibility, and demanded by my employment contract. It is a requirement of my job. Key Perspectives Ltd

61. Author readiness to comply with a mandate 81% 14% 5% Key Perspectives Ltd

62. That mandating question…. 81% 13% 5% Key Perspectives Ltd

64. What can encourage self-archiving? Highlighting the increased visibility and impact Requiring authors to self-archive Requiring them to self-archive in an institutional repository Why? Key Perspectives Ltd

65. Why an institutional repository? Fulfils a universitys mission to engender, encourage and disseminate scholarly work Enables a university to compile a complete record of its intellectual effort Forms a permanent record of all digital output from an institution Enables standardised online CVs for all researchers (e.g. RAE exercise) Marketing tool for universities An institution can mandate self-archiving across all subject areas Key Perspectives Ltd

66. An institutional repository provides researchers with: Secure storage (for completed work and for work-in-progress) Key Perspectives Ltd

67. An author said… This is a very handy way to keep all of ones work together and findable, which helps me as much as anyone else. Key Perspectives Ltd

68. An institutional repository provides researchers with: Secure storage (for completed work and for work-in-progress) A location for supporting data that are unpublished Key Perspectives Ltd

70. An institutional repository provides researchers with: Secure storage (for completed work and for work-in-progress) A location for supporting data that are unpublished One-input-many outputs (CVs, publications) Key Perspectives Ltd

71. Increasing author awareness Make them AWARE: of the citation advantage of open access work of the existence of IRs and what is in them that THEY can self-archive too and reap the benefits (peers, word of mouth, statistics) of the issues involved: easy to do doesnt take long – just a few minutes, just a few keystrokes copyright of moves on the official requirement to self-archive officially require them to self-archive! Key Perspectives Ltd

72. What to do to help Build an archive Teach them how to deposit (do it for them if necessary) Advocate: tell authors the advantages Reassure: the consequences are not disastrous Insist they do it (impose a mandate) Key Perspectives Ltd

73. Positive reinforcement Providing hit statistics Demonstrating the citation advantage Showing authors how to find citation counts Key Perspectives Ltd

74. Thank you for listening aswan@keyperspectives.co.uk Key Perspectives Ltd

75. Previous studies on Open Access Authors and Open Access publishing: www.jisc.ac.uk/uploaded_documents/JISCOAReport1.pdf Model for a UK national eprints delivery system: www.jisc.ac.uk/uploaded_documents/ACF1E88.pdf All reports on OA, including articles published in journals: www.keyperspectives.co.uk Funded by JISC and OSI: www.jisc.ac.uk/ Key Perspectives Ltd

76. An Open Access Publication[1] is one that meets the following two conditions:[1] The author(s) and copyright holder(s) grant(s) to all users a free, irrevocable, worldwide, perpetual right of access to, and a license to copy, use, distribute, transmit and display the work publicly and to make and distribute derivative works, in any digital medium for any responsible purpose, subject to proper attribution of authorship,[2] as well as the right to make small numbers of printed copies for their personal use.[2] A complete version of the work and all supplemental materials, including a copy of the permission as stated above, in a suitable standard electronic format is deposited immediately upon initial publication in at least one online repository that is supported by an academic institution, scholarly society, government agency, or other well-established organization that seeks to enable open access, unrestricted distribution, interoperability, and long-term archiving (for the biomedical sciences, PubMed Central is such a repository). [1] Open access is a property of individual works, not necessarily journals or publishers. [2] Community standards, rather than copyright law, will continue to provide the mechanism for enforcement of proper attribution and responsible use of the published work, as they do now.