Citation differences across research funding and access modalities

Authors : Pablo Dorta-González, María Isabel Dorta-González

This research provides insight into the complex relationship between open access, funding, and citation advantage. It presents an analysis of research articles and their citations in the Scopus database across 40 subject categories.

The sample includes 12 categories from Health Sciences, 7 from Life Sciences, 10 from Physical Sciences & Engineering, and 11 from Social Sciences & Humanities. Specifically, the analysis focuses on articles published in 2016 and the citations they received from 2016 to 2020.

Our findings show that open access articles published in hybrid journals receive considerably more citations than those published in gold open access journals. Articles under the hybrid gold modality are cited on average twice as much as those in the gold modality, regardless of funding.

Furthermore, we found that funded articles generally obtain 50 % more citations than unfunded ones within the same publication modality. Open access repositories significantly increase citations, particularly for articles without funding. Thus, articles in open access repositories receive 50 % more citations than paywalled ones.

URL : Citation differences across research funding and access modalities


The Transformation of the Green Road to Open Access

Authors : Joachim Schöpfel, Stéphane Chaudiron, Bernard Jacquemin, Eric Kergosien, Hélène Prost, Florence Thiault

(1) Background: The 2002 Budapest Open Access Initiative recommended on self-archiving of scientific articles in open repositories as the “green road” to open access. Twenty years later, only one part of the researchers deposits their publications in open repositories; moreover, one part of the repositories’ content is not based on self-archived deposits but on mediated nonfaculty contributions. The purpose of the paper is to provide more empirical evidence on this situation and to assess the impact on the future of the green road.

(2) Methods: We analyzed the contributions on the French national HAL repository from more than 1,000 laboratories affiliated to the ten most important French research universities, with a focus on 2020, representing 14,023 contributor accounts and 166,939 deposits.

(3) Results: We identified seven different types of contributor accounts, including deposits from nonfaculty staff and import flows from other platforms. Mediated nonfaculty contribution accounts for at least 48% of the deposits. We also identified difference between institutions and disciplines.

(4) Conclusions: Our empirical results reveal a transformation of open repositories from self-archiving and direct scientific communication towards research information management. Repositories like HAL are somewhere in the middle of the process. The paper describes data quality as the main issue and major challenge of this transformation.

URL : The Transformation of the Green Road to Open Access


Leveraging Open Tools to Realize the Potential of Self-Archiving: A Cohort Study in Clinical Trials

Author : Delwen L. Franzen

While open access (OA) is growing, many publications remain behind a paywall. This limits the impact of research and entrenches global inequalities by restricting access to knowledge to those that can afford it.

Many journal policies allow researchers to make a version of their publication openly accessible through self-archiving in a repository, sometimes after an embargo period (green OA). Unpaywall and Shareyourpaper are open tools that help users find OA articles and support authors to legally self-archive their papers, respectively.

This study leveraged these tools to assess the potential of green OA to increase discoverability in a cohort of clinical trial results publications from German university medical centers. Of the 1897 publications in this cohort, 46% (n = 871/1897, 95% confidence interval (CI) 44% to 48%) were neither openly accessible via a journal or a repository. Of these, 85% (n = 736/871, 95% CI 82% to 87%) had a permission to self-archive the accepted or published version in an institutional repository.

Thus, most of the closed-access clinical trial results in this cohort could be made openly accessible in a repository, in line with World Health Organization (WHO) recommendations.

In addition to providing further evidence of the unrealized potential of green OA, this study demonstrates the use of open tools to obtain actionable information on self-archiving at scale and empowers efforts to increase science discoverability.

URL : Leveraging Open Tools to Realize the Potential of Self-Archiving: A Cohort Study in Clinical Trials


Overlay journals: A study of the current landscape

Authors : Antti Mikael Rousi, Mikael Laakso

Overlay journals are characterised by their articles being published on open access repositories, often already starting in their initial preprint form as a prerequisite for submission to the journal prior to initiating the peer-review process.

In this study we aimed to identify currently active overlay journals and examine their characteristics. We utilised an explorative web search and contacted key service providers for additional information. The final sample consisted of 34 overlay journals.

While the results show that new overlay journals have been actively established within recent years, the current presence of overlay journals remains diminutive compared to the overall number of open access journals. Most overlay journals publish articles in natural sciences, mathematics or computer sciences, and are commonly published by groups of academics rather than formal organisations.

They may also rank highly within the traditional journal citation metrics. None of the investigated journals required fees from authors, which is likely related to the cost-effective aspects of the overlay publishing model.

Both the growth in adoption of open access preprint repositories and researchers’ willingness to publish in overlay journals will determine the model’s wider impact on scholarly publishing.

URL : Overlay journals: A study of the current landscape


Impact factions: assessing the citation impact of different types of open access repositories

Authors : Jonathan Wheeler, Ngoc‑Minh Pham, Kenning Arlitsch, Justin D. Shanks

Institutional repositories (IR) maintained by research libraries play a central role in providing open access to taxpayer-funded research products. It is difficult to measure the extent to which IR contribute to new scholarship because publisher self-archiving policies typically require researchers to cite the “version of record” of a manuscript even when an IR copy is accessed to conduct the research.

While some studies report an open access (OA) citation advantage resulting from the availability of self-archived or “green” OA manuscripts, few have sought to measure an OA citation effect of IR separately from disciplinary repositories, including arXiv and PubMed Central.

In this study, the authors present a bibliometric analysis examining correlations between search engine performance of items in IR, OA availability from different types of repositories, and citations. The analysis uses a novel, open dataset of IR access and usage derived from five months of Google search engine results pages (SERP) data, which were aggregated by the Repository Analytics and Metrics Portal (RAMP) web service.

Findings indicate that making OA copies of manuscripts available in self-archiving or “green” repositories results in a positive citation effect, although the disciplinary repositories within the sample significantly outperform the other types of OA services analyzed. Also evident is an increase in citations when a single manuscript is available in multiple OA sources.

URL : Impact factions: assessing the citation impact of different types of open access repositories


The influence of funding on the Open Access citation advantage

Authors : Pablo Dorta-González, María Isabel Dorta-González

Some of the citation advantage in open access is likely due to more access allows more people to read and hence cite articles they otherwise would not. However, causation is difficult to establish and there are many possible bias. Several factors can affect the observed differences in citation rates.

Funder mandates can be one of them. Funders are likely to have OA requirement, and well-funded studies are more likely to receive more citations than poorly funded studies. In this paper this hypothesis is tested. Thus, we studied the effect of funding on the publication modality and the citations received in more than 128 thousand research articles, of which 31% were funded.

These research articles come from 40 randomly selected subject categories in the year 2016, and the citations received from the period 2016-2020 in the Scopus database. We found open articles published in hybrid journals were considerably more cited than those in open access journals.

Thus, articles under the hybrid gold modality are cite on average twice as those in the gold modality. This is the case regardless of funding, so this evidence is strong. Moreover, within the same publication modality, we found that funded articles generally obtain 50% more citations than unfunded ones.

The most cited modality is the hybrid gold and the least cited is the gold, well below even the paywalled. Furthermore, the use of open access repositories considerably increases the citations received, especially for those articles without funding. Thus, the articles in open access repositories (green) are 50% more cited than the paywalled ones.

This evidence is remarkable and does not depend on funding. Excluding the gold modality, there is a citation advantage in more than 75% of the cases and it is considerably greater among unfunded articles. This result is strong both across fields and over time


Sharing published short academic works in institutional repositories after six months : The implementation of the article 25fa (Taverne Amendment) in the Dutch Copyright Act

Authors : Jeroen Sondervan, Arjan Schalken, Saskia Woutersen-Windhouwer

The ambition of the Netherlands, laid down in the National Plan Open Science, is to achieve 100% open access for academic publications. The ambition was to be achieved by 2020. However, it is to be expected that for the year 2020 between 70% and 75% of the articles will be open access.

Until recently, the focus of the Netherlands has been on the gold route – open access via journals and publishers’ platforms. This is likely to be costly and it is also impossible to cover all articles and other publication types this way.

Since 2015, Dutch Copyright Act has offered an alternative with the implementation of Article 25fa (also known as the ‘Taverne Amendment’), facilitating the green route, i.e. open access via (trusted) repositories.

This amendment allows researchers to share short scientific works (e.g. articles and book chapters in edited collections), regardless of any restrictive guidelines from publishers. From February 2019 until August 2019 all Dutch universities participated in the pilot ‘You Share, we Take Care!’ to test how this copyright amendment could be interpreted and implemented by institutions as a policy instrument to enhance green open access and “self-archiving”.

In 2020 steps were taken to scale up further implementation of the amendment. This article describes the outcomes of this pilot and shares best practices on implementation and awareness activities in the period following the pilot until early 2021, in which libraries have played an instrumental role in building trust and working on effective implementations on an institutional level.

It concludes with some possible next steps for alignment, for example on a European level.

URL : Sharing published short academic works in institutional repositories after six months : The implementation of the article 25fa (Taverne Amendment) in the Dutch Copyright Act