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


International disparities in open access practices in the Earth Sciences

Authors : Olivier Pourret, David William Hedding, Daniel Enrique Ibarra, Dasapta Erwin Irawan, Haiyan Liu, Jonathan Peter Tennant


Open access (OA) implies free and unrestricted access to and re-use of research articles. Recently, OA publishing has seen a new wave of interest, debate, and practices surrounding that mode of publishing.


To provide an overview of publication practices and to compare them among six countries across the world to stimulate further debate and to raise awareness about OA to facilitate decision-making on further development of OA practices in earth sciences.


The number of OA articles, their distribution among the six countries, and top ten journals publishing OA articles were identified using two databases, namely Scopus and the Web of Science, based mainly on the data for 2018.


In 2018, only 24%–31% of the total number of articles indexed by either of the databases were OA articles. Six of the top ten earth sciences journals that publish OA articles were fully OA journals and four were hybrid journals. Fully OA journals were mostly published by emerging publishers and their article processing charges ranged from $1000 to $2200.


The rise in OA publishing has potential implications for researchers and tends to shift article-processing charges from organizations to individuals. Until the earth sciences community decides to move away from journal-based criteria to evaluate researchers, it is likely that such high costs will continue to maintain financial inequities within this research community, especially to the disadvantage of researchers from the least developed countries.

However, earth scientists, by opting for legal self- archiving of their publications, could help to promote equitable and sustainable access to, and wider dissemination of, their work.

URL : International disparities in open access practices in the Earth Sciences


L’usage de la plateforme HAL par les unités de recherche de l’Université de Lille. La situation en 2021

Auteurs/Authors : Eric Kergosien, Joachim Schöpfel

Cette note présente les résultats d’une étude de suivi sur l’usage de la plateforme HAL par les laboratoires de recherche de l’Université de Lille, réalisée en avril 2021. L’analyse a porté sur les dépôts dans HAL, sur la création d’une collection et sur la part des documents en libre accès.

L’étude propose une photographie de la situation en 2021, par rapport aux résultats des analyses de 2019 et 2020, en montrant l’évolution de l’usage de HAL par les unités de recherche et l’impact de la mise en place d’une archive institutionnelle locale nommée LillOA.


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


An analysis of the factors affecting open access to research output in institutional repositories in selected universities in East Africa

Author : Miriam Kakai


Institutional repositories (IRs) present universities with an opportunity to provide global open access (OA) to their scholarship, however, this avenue was underutilised in two of the three universities in this study.

This study aimed at proposing interventions to improve access to research output in IRs in universities in East Africa, and it adds to the depth of knowledge on IRs by pointing out the factors that limit OA in IRs, some of which include lack of government and funder support for OA and mediated content collection workflows that hardly involved seeking author permission to self-archive.


A mixed methods approach, following a concurrent strategy was used to investigate the low level of OA in IRs. Data was collected from three purposively selected IRs in universities in East Africa, using self-administered questionnaires from 183 researchers and face-to-face interviews from six librarians.


The findings revealed that content was collected on a voluntary basis, with most of the research output deposited in the IR without the authors’ knowledge. The respondents in this study were, however, supportive of the activities of the IR, and would participate in providing research output in the IR as OA if required to do so.


The low level of OA in IRs in universities in East Africa could be increased by improving the IR workflow, collection development, and marketing processes. Self-archiving could be improved by increasing the researchers’ awareness and knowledge of OA and importance of IRs, while addressing their concerns about copyright infringement.

URL : An analysis of the factors affecting open access to research output in institutional repositories in selected universities in East Africa


Les pratiques de publications et d’accès ouvert des chercheurs français en 2019 : Analyse de l’enquête Couperin 2019

Auteurs/Authors : Françoise Rousseau-Hans, Christine Ollendorff, Vincent Harnais

Le consortium Couperin publie les résultats de son enquête sur les pratiques de publication et d’accès ouvert des chercheurs français, réalisée dans le cadre du « Plan national de la science ouverte » annoncé par la Ministre de l’Enseignement Supérieur, de la Recherche et de l’Innovation en juillet 2018. Ce document est le rapport complet de l’étude.