Measurement of Open Access as an Infrastructural Challenge : The Case of Finland

Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland Pekka OLSBO1 Open Science Cen e, Uni e si y o Jy äskylä Abs ac . Finland has se nume ic goals o he de elopmen o open access. Howe e , a he momen , no sys em is a ailable by which his de elopmen could be moni o ed. Poo quali y in he me ada a eco ds in uni e si ies’ esea ch in o ma ion da abases p e en s me ada a-based analysis o open access publishing p og ess. This pape shows how he quali y p oblems o Finnish publica ion da a can be esol ed h ough cen alizing he se ices and p ocesses o me ada a c ea ion and by imp o ing he in e ope abili y o sys ems in ol ed in he p ocesses. As a esul , his s udy desc ibes an en i onmen whe e eliable measu emen o open access is possible and p esen s sugges ed ac ions o imp o ing he Finnish publica ion da a collec ion. Keywo ds. open access, ins i u ional eposi o ies, cu en esea ch in o ma ion sys ems, me ada a, measu emen o open access 1. In oduc ion Finland has se goals o achie ing open science, ollowing he equi emen s and ecommenda ions de ined by he EU commission [1]. The Finnish Minis y o Educa ion and Cul u e has es ablished key pe o mance indica o s o open science, including a ge s o open access publishing. Acco ding o hese indica o s, 65% o Finnish scien i ic publica ions should be open access by 2017. The pe cen age should be 75% in 2018, and by he yea 2020, 90% o publica ions should be open access [2]. To achie e hese goals, measu able pe o mance, o en in he o m o nume ic da a, is equi ed. Howe e , such an ou come means ha hose o e seeing he p ocess would need o base hei e alua ion on eliable me ada a eco ds. Finland, howe e , does no cu en ly ha e a na ional Cu en Resea ch In o ma ion Sys em (CRIS). The e a e, howe e , esea ch in o ma ion sys ems in each uni e si y in Finland. The Finnish esea ch publica ions po al JUULI collec s he me ada a c ea ed and main ained in he esea ch in o ma ion sys ems o he uni e si ies [3]. This means ha he me ada a in he Finnish po al JUULI can be us ed only inso a as he quali y o me ada a in he esea ch da abases o he uni e si ies can be us ed. While he poo quali y o he me ada a c ea ed in Finnish esea ch ins i u es ega ding all publica ions p esen s a se ious p oblem [4], es ablishing a eliable measu emen o open access is e en mo e challenging. One elemen o his challenge 1Co esponding Au ho , P.O.BOX 35, 40014 Uni e si y o Jy äskylä, Finland; E-mail: [email p o ec ed]. Expanding Pe spec i es on Open Science: Communi ies, Cul u es and Di e si y in Concep s and P ac ices L. Chan and F. Loizides (Eds.) © 2017 The au ho s and IOS P ess. This a icle is published online wi h Open Access by IOS P ess and dis ibu ed unde he e ms o he C ea i e Commons A ibu ion Non-Comme cial License 4.0 (CC BY-NC 4.0). doi:10.3233/978-1-61499-769-6-217 217 esul s om he cu en Finnish publica ion da a collec ion ins uc ions ha do no equi e he open access s a us o a publica ion as manda o y in o ma ion The me ada a collec ed om he yea 2015’s publica ions demons a e he p oblems in quali y. Tha yea , Finnish uni e si ies epo ed 33,720 publica ions in he Finnish JUULI po al. Table 1 shows ha he me ada a ega ding he open a ailabili y o he publica ions a e un epo ed in almos 50% o cases. On he basis o his in o ma ion, he only conclusion ha can be made wi h his me ada a is ha he sha e o open access publica ions in Finnish uni e si ies is no measu able. Table 1. The open access s a us o Finnish esea ch publica ions in JUULI po al (www.juuli. i) 2015. Da a collec ed in Janua y 2017. Ca ego y Amoun % No OA 10639 31 % Gold OA 5321 16 % O he OA (G een) 1639 5 % No answe 16121 48 % To al 33720 F om he yea 2016 onwa d, he di ision o open access was changed om he p e ious collec ion guidelines. Now da a is also collec ed in he ca ego y o hyb id open access publica ions, which makes he de ini ion o he open access s a us e en mo e demanding. 2. The Challenge o he Quali y o he Me ada a The key elemen in making he measu emen o open access publishing eliable is a clea de ini ion o open access. A chambaul e al. [5] de ined open access as di ided in o he a ional de ini ions o open access and he ope a ional de ini ions o open access. Mo e speci ically, he a ional de ini ions used in A chambaul e al. [5] a e based on he p oposi ions made by Pe e Sube [6]. The ope a ional de ini ions o open access e e o de ini ions es ablished by he o ganiza ion ga he ing and e alua ing he measu emen da a o open access. (pp 2-5). In he case o Finland, he ope a ional de ini ions o open access a e desc ibed in he documen , Publica ion Da a Collec ion Ins uc ions o Resea che s 2016 [7]. These de ini ions di ide open access o h ee ca ego ies: 1. publica ions published ia an open access channel, 2. open access publica ions published wi hin a hyb id channel,and 3. publica ions sel -a chi ed in he publica ion a chi es o an o ganiza ion o ield o science, whe he immedia ely a ailable o a e a easonable emba go speci ied by he publishe This di ision places a g ea demand on he quali y o he me ada a c ea ed abou he publica ions o Finnish schola ly au ho s. In o he wo ds, each esea ch publica ion c ea ed in Finland would need o be ca ego ized eliably wi hin he designa ed ca ego ies. Such a equi emen o eliably measu ing open access causes challenge numbe one: he quali y o he me ada a. P. Olsbo / Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland218 The challenge o he quali y o he me ada a also includes he p oblem o co e age. In o de o calcula e he sha e o open access publica ions, he o al numbe o publica ions and o al numbe o open access publica ions pe yea in Finland mus be known. Howe e , because he exac numbe o open access a icles each yea is no accu a ely collec ed, only es ima es can be made abou he open a ailabili y o esea ch [8], [9]. The second challenge in measu ing open access is quan i ying he p og ess o open access. A chambaul e al. [5] desc ibed why i is qui e di icul o measu e he g ow h o open access (OA): The eason is ha g ow h in OA appea s as he esul o ou main o ces: (1) his o ical g ow h in he in e es in OA which ansla es in o new pape s being inc easingly a ailable o ee; (2) he g owing in e es in OA also ansla es in o ac o s inc easingly making a ailable old pape s o ee; (3) OA policies ha allow o delaying OA o scien i ic pape s wi h emba go pe iods p oduce a concomi an disemba going o scien i ic a icles ha c ea es addi ional g ow h in old pape s being made a ailable o ee; and (4) he ac ha he numbe o published scien i ic pape s is g owing, so e en o a s able p opo ion o OA, he numbe o OA pape s would keep g owing (p. ii). As no ed ea lie , he key pe o mance indica o s o open science in Finland a e based on he sha e o open access publica ions. This makes Fo ces 1, 2 and 3 as desc ibed by A chambaul e al. [5] ele an , hus exe ing addi ional p essu e on he need o quali y me ada a and he in e ope abili y o he sys ems engaged in epo ing p ocesses. The p oblems in me ada a eco ds gene ally ha e been ca ego ized by Yasse [10] and u he s udied by Tani e al. [11]. F om he i e ca ego ies p esen ed by Yasse [10], h ee can be applied o Finnish me ada a: (1) inco ec alues, i.e., me ada a eco ds con ain alues ha do no ep esen a gi en esou ce co ec ly e en hough elemen s a e applied co ec ly, (2) missing in o ma ion, i.e., he me ada a eco d is no comple e and (3) in o ma ion loss, i.e., some de ails cha ac e izing he in o ma ion a e los due o he con e sion o me ada a om one scheme o ano he o due he ac ha me ada a is no ex ac ed om one sys em o ano he (pp. 59-60). All hese p oblems can be sol ed by imp o ing he p ocesses o me ada a c ea ion and/o he in e ope abili y o he sys ems in ol ed in he collec ion p ocess. As Nicholas Join [12] ema ked, he mo e o en lib a ies become he media o s o g een open access, he highe he chance o quali y me ada a being p oduced. This is one eason why he en i e p ocess o me ada a c ea ion and main enance should be cen alized. 3. The P og ess o Open Access in Finland, 2012–2016 The publica ion da a om Finnish uni e si ies a e ga he ed wi hin he na ional JUULI po al. Howe e , he me ada a in he JUULI po al cu en ly does no suppo a high- quali y analysis o he open access a ailabili y o esea ch publica ions. Ne e heless, by using he me ada a, I could specula e on he p og ess o open access in Finland and analyze he me ada a p oblems p esen ed by Yasse [10] in g ea e de ail. This is P. Olsbo / Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland 219 especially ue when looking mo e closely a he de elopmen o g een open access in Finland. Finland’s Minis y o Educa ion and Cul u e launched he Open Science and Resea ch Ini ia i e [13] o bo h p omo e esea ch in o ma ion a ailabili y and o se e as he open science pla o m o he yea s 2014-2017. Howe e , despi e his goal a he na ional le el, nei he speci ic ac ions no decisions esul ing in open access publishing p og ess ha e aken place. E en a he uni e si y le el, whe e many uni e si ies ope a e unde a manda e o open access publishing, only a ew uni e si ies a e making a di e ence in he g ow h o open access. Tha is why, in he ollowing analysis, I ocus on desc ibing he de elopmen in ou uni e si ies in Finland who a e con ibu ing he mos o his g ow h and o which mos ly comple e da a is a ailable. These include: Aal o Uni e si y, he Uni e si y o Helsinki, he Uni e si y on Jy äskylä, and he Uni e si y o Tampe e. Table 2 p esen s he numbe o open access a icles in he ou case uni e si ies o he yea s 2012–2015. These igu es include bo h g een and gold open access. The able indica es ha measu able p og ess in open access publishing has occu ed only a he Uni e si ies o Jy äskylä and Helsinki. Table 3 desc ibes he o al numbe o a icle publica ions om hese case uni e si ies. Table 2. The numbe o open access a icles in ou case uni e si ies. Da a om he JUULI po al (www.juuli. i). Uni e si y 2012 2013 2014 2015 Aal o 586 564 556 597 Helsinki 1020 1410 1691 1651 Jy äskylä 722 757 1114 1276 Tampe e 843 714 934 767 Table 3. The o al numbe o a icle publica ions in ou case uni e si ies 2012–2015. Da a om he JUULI po al (www.juuli. i). Uni e si y 2012 2013 2014 2015 Aal o 3587 3769 3579 3360 Helsinki 10858 10867 10800 9777 Jy äskylä 2690 2847 2793 2738 Tampe e 2416 2252 2430 2363 By di iding he numbe o open access publica ions by he o al numbe o a icle publica ions pe yea , we can c ea e a cha ha depic s he de elopmen o open access a each case uni e si y (see Figu e 1). The main ques ion ha his g aph aises, howe e , is how eliable a e hese numbe s? Can any hing eally be said abou he de elopmen o open access in Finland, o e en hese uni e si ies, om hese numbe s? P. Olsbo / Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland220 Figu e 1. Sha e o open access a icles in ou case uni e si ies 2012-2015. Da a om he JUULI po al (www.juuli. i). The eliabili y o me ada a in he JUULI po al can be es ed mo e accu a ely by looking closely a he de elopmen o g een open access in hese ou case uni e si ies. Du ing 2012–2015, g een open access was ca ego ized in he JUULI po al as “o he OA a ailabili y.” Table 4 shows he numbe o g een open access a icles in he ou case uni e si ies o he yea s 2012–2015. Table 4. The numbe o g een open access a icles in ou case uni e si ies 2012–2015. Da a o m JUULI po al (www.juuli. i). Uni e si y 2012 2013 2014 2015 Aal o 12 8 15 24 Helsinki 157 440 448 549 Jy äskylä 276 279 568 664 Tampe e 77 51 179 178 Figu e 2 shows he sha e o g een open access a icles in each case uni e si y. Howe e , he sha e o g een open access is e y modes in h ee o he uni e si ies, wi h he excep ion being he Uni e si y o Jy äskylä, which shows apid de elopmen in ecen yea s. 0,00% 10,00% 20,00% 30,00% 40,00% 50,00% 2012 2013 2014 2015 Sha e o OA A icles Aal o Helsinki Jy äskylä Tampe e P. Olsbo / Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland 221 Figu e 2. The sha e o g een open access a icles in ou case uni e si ies 2012–2015. Da a om he JUULI po al (www.juuli. i). In o de o es he p oblems in me ada a eco ds ca ego ized by Yasse [10] and Tani e al. [11], he o iginal sou ces o he me ada a mus be used. In he case o g een open access, his means he ins i u ional eposi o ies and he cu en esea ch in o ma ion sys ems o he case uni e si ies. Because bo h he eposi o ies and he CRISs include da a om he yea 2016 as well, he analysis, as p esen ed in he igu e and ables, can be expanded o co e his addi ional da a. The da a a ailable in he ins i u ional eposi o ies o he uni e si ies ega ding he numbe o deposi ed a icles di e signi ican ly om simila da a a ailable in he JUULI po al. Table 5 shows he numbe o deposi ed a icles om he ou case uni e si ies be ween 2012 and 2016. This compa ison be ween Tables 4 and 5 demons a es ha no conclusions abou he de elopmen o open access can be d awn using he da a om he JUULI po al. Table 5. The numbe o g een open access a icles in he eposi o ies o ou case uni e si ies 2012–2016. Da a collec ed om he eposi o ies Aal odoc [15], Helda [16], JYX [17] and TamPub [18] on Feb ua y 20, 2017. Uni e si y 2012 2013 2014 2015 2016 Aal o 134 162 249 277 448 Helsinki 586 806 978 1166 1598 Jy äskylä 265 371 642 889 1057 Tampe e 207 154 236 266 333 0,00% 5,00% 10,00% 15,00% 20,00% 25,00% 30,00% 2012 2013 2014 2015 Sha e o g een OA A icles Aal o Helsinki Jy äskylä Tampe e P. Olsbo / Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland222 I now analyze he p oblems wi h he me ada a eco ds in he JUULI po al using he h ee ca ego ies as de eloped by Yasse [10]: 1. Inco ec alues, i.e., me ada a eco ds con ain alues ha do no ep esen a gi en esou ce co ec ly, e en hough elemen s a e applied co ec ly. In compa ing he da a in he JUULI po al o he o iginal eposi o ies and CRISs o he ou case uni e si ies, in o ma ion abou he g een open access is inco ec o missing in he JUULI po al in a la ge numbe o he me ada a eco ds. The inaccu acy o a alue can be a esul o human beha io o a lack o in e ope abili y be ween he eposi o y and he CRIS. 2. Missing in o ma ion, i.e., he me ada a eco d is no comple e. As p esen ed in Table 1, he mos signi ican p oblem ega ding he in o ma ion abou he open a ailabili y o publica ions in he JUULI po al is missing in o ma ion. Once again, his is due o wo easons: The people esponsible o main aining he CRIS do no ill in he in o ma ion abou g een open access, o his in o ma ion is no ex ac ed om he eposi o y in o he CRIS. In some cases, he e is only a small quali a i e di e ence be ween missing in o ma ion and in o ma ion loss. Missing in o ma ion may be due o in o ma ion loss. 3. In o ma ion loss, i.e., some de ails cha ac e izing he in o ma ion a e los due o he con e sion o me ada a om one scheme o ano he o due he ac ha me ada a is no ex ac ed om one sys em o ano he . The basic in as uc u e o g een open access should be qui e simple: Me ada a a e c ea ed o impo ed in o he CRIS; he me ada a a e hen ans e ed o he eposi o y, whe e hey a e en iched wi h open access in o ma ion; and hen he upda ed eco ds a e impo ed back in o he CRIS. These me ada a a e hen ans e ed o he JUULI po al. Bu i he in e ope abili y be ween he eposi o y and CRIS, o be ween he CRIS and JUULI, is incomple e, hen in o ma ion is in dange o being los . As a esul o he analysis abo e, he causes o he p oblems in he me ada a eco ds e lec wo main ac o s: he human ac o and he in as uc u al ac o . The elimina ion o p oblems ela ed o hese ac o s has been one key elemen o he de elopmen o sel -a chi ing and cen alized open science se ices a he Uni e si y o Jy äskylä. 4. Conclusions: The “Jy äskylä Model” in P ac ice The in o ma ion ga he ed om esea ch in o ma ion sys ems in Finnish uni e si ies is no eliable enough o measu ing open access de elopmen . This is ue o bo h gold and g een open access. The e o e, wo essen ial ac ions mus be implemen ed: 1. Gold, g een, and hyb id open access pape s mus be iden i ied and ca aloged wi hin he esea ch in o ma ion sys ems wi h high-quali y eliabili y, and 2. The in e ope abili y o ins i u ional eposi o ies and cu en esea ch in o ma ion sys ems mus be imp o ed so ha he comple e in o ma ion abou he deposi ed pape s in he eposi o y is expo ed au oma ically and accu a ely o he esea ch in o ma ion sys em. As pa o he p ojec Finland: A Model Coun y o G een Open Access, we ha e s udied hese p ocesses in he Open Science Cen e o he Uni e si y o Jy äskylä. We P. Olsbo / Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland 223 ha e c ea ed a model ha esul s in high-quali y me ada a c ea ion and au oma ed p ocesses be ween he eposi o y and he CRIS [14]. The basic idea o he “Jy äskylä model” is o cen alize all aspec s o he sel -a chi ing and open access p ocesses lying wi hin he esponsibili y o he p o essionals a he uni e si y lib a y. E en wi hin he lib a y, jus a ew p o essionals handle he me ada a inpu and he eposi o y–CRIS p ocesses. Resea che s do as li le as possible and, in some cases, no hing a all. The mo i a ion o his s uc u e is ha hese p ocesses and wo k lows need expe ise and ex ensi e knowledge abou a ious aspec s o publishing and p ojec wo k, such as he legal aspec s, publishe policies, unde manda es, and equi emen s se by he Finnish go e nmen minis ies. When expe ienced p o essionals a end o collec ing he necessa y da a on publica ions by he uni e si y’s esea che s, he c ea ion o me ada a is much as e and mo e eliable. Addi ionally, his sys em is also cos e ec i e in ha ewe people a e needed o inpu and ans e he in o ma ion. The in as uc u e o he Jy äskylä model is desc ibed in Olsbo e al. [15] and i is based on au oma ed mo emen o me ada a be ween he eposi o y and CRIS. This s uc u e ensu es ha all changes and addi ions o he me ada a a e included in bo h sys ems. Consequen ly, all he me ada a ans e ed o he na ional JUULI po al is up o da e and comple e. This model o cen alized publica ions da a ga he ing, pa icula ly ela ed o open access se ices, was implemen ed a he Uni e si y o Jy äskylä in 2014. Since hen, he sha e o g een open access publica ions a he uni e si y has isen om 16% o 51%. Mo eo e , he s a esou ces needed o acking all aspec s o uni e si y publica ions, as well as o epo ing he esea ch ac i i ies o he Minis y o Educa ion and Cul u e, ha e been educed conside ably. Figu e 3 shows he de elopmen o openness o pee e iewed a icles in he Uni e si y o Jy äskylä 2015–2016. Figu e 3. De elopmen o openness o pee e iewed a icles in he Uni e si y o Jy äskylä 2015–2016. Da a om he TUTKA esea ch in o ma ion da abase (h p:// u ka.jyu. i/ u ka/). High-quali y me ada a and he seamless in e ope abili y o he eposi o y and CRIS ensu e he possibili y o eliably analyzing he de elopmen o open access. 0% 10% 20% 30% 40% 50% 60% Jan. 2015 Ap il 2015 Feb. 2016 July 2016 Oc . 2016 Dec. 2016 Openness pee e . a icles P. Olsbo / Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland224 Figu e 3 shows he de elopmen o open access pee e iewed a icles a he Uni e si y o Jy äskylä o he yea s o 2015 and 2016. A p o o ype has been de eloped by he Uni e si y o Jy äskylä o open access moni o ing ha au oma ically analyzes he me ada a in he CRIS and ga he s up- o-da e in o ma ion abou he de elopmen o open access. The model o p ac icing and moni o ing open access c ea ed in he Uni e si y o Jy äskylä can be implemen ed a mos uni e si ies in Finland. When his model is combined wi h he new na ional VIRTA Publica ion In o ma ion Se ice and sys em a chi ec u e [20], i would enable he eliable analysis and assessmen o he open access de elopmen in Finland. Acknowledgemen s This s udy was unded by he Finnish Minis y o Educa ion and Cul u e’s Open Science and Resea ch ini ia i e (see mo e: h p://openscience. i/). Re e ences [1] Eu opean Commission. Commission ecommenda ion o 17.7.2012 on access o and p ese a ion o scien i ic in o ma ion. A ailable a : h p://ec.eu opa.eu/ esea ch/science- socie y/documen _lib a y/pd _06/ ecommenda ion-access-and-p ese a ion-scien i ic- in o ma ion_en.pd [2] Niinimäki, S. The Open Science and Resea ch Ini ia i e in Finland. P esen a ion, Annual JPI Con e ence, B ussels, 15.1.2016. A ailable a : h ps://www.e a-lea n.eu/e en s/annual-join - p og amming-2015-new-da e-2016/ opic-3-s a egies- o - os e ing-open-knowledge-and-open-access- in- esea ch/02_ERALEARN_2020_Niinimki.pd [3] Finnish esea ch publica ions po al JUULI. A ailable a : h p://www.juuli. i/ [4] Il a, J. Towa ds Reliable Da a – Coun ing he Finnish Open Access Publica ions. P ocedia Compu e Science, Volume 106, 2017, pp 299-304. h p://dx.doi.o g/10.1016/j.p ocs.2017.03.029. [5] A chambaul , E., Amyo , D., Deschamps, P., Nicol, A., & P o enche , F. 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A ailable a : h p://www.minedu. i/OPM/Julkaisu /2014/A oimen_ ie een_ja_ u kimuksen_ ieka a_2014_2017.h m l?lang=en P. Olsbo / Measu emen o Open Access as an In as uc u al Challenge: The Case o Finland 225