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AM Future of Scholarly Publishing TEXT Proof 6 FINAL The Future of Scholarly Publishing Open Access and the Economics of Digitisation EDITED BY PETER WEINGART & NIELS TAUBERT The Future of Scholarly Publishing Open Access and the Economics of Digitisation Edited by Peter Weingart & Niels Taubert AFRICAN MINDS First published in 2016 by De Gruyter Akademie Forschung under the title Wissenschaftliches Publizieren: Zwischen Digitalisierung, Leistungsmessung, Ökonomisierung und medialer Beobachtung. This English language edition published in 2017 by African Minds 4 Eccleston Place, Somerset West 7130, Cape Town, South Africa [email protected] www.africanminds.org.za 2017 African Minds This work is licensed under a Creative Commons Attribution 4.0 International Licence. © 2016 Berlin-Brandenburgische Akademie der Wissenschaften Chapter 8: Copyright and Changing Systems of Scientific Communication translated from the German by Charles Heard. All other text translated by Marc Weingart, with the exception of Chapter 7: Open Access and Chapter 10: A Vision of Scientific Communication that were originally published in English. ISBN: 978-1-928331-53-7 eBook edition: 978-1-928331-54-4 ePub edition: 978-1-928331-55-1 ORDERS: African Minds 4 Eccleston Place, Somerset West 7130, Cape Town, South Africa [email protected] www.africanminds.org.za For orders from outside Africa: African Books Collective PO Box 721, Oxford OX1 9EN, UK [email protected] CONTENTS List of Abbreviations iv Foreword to the English Edition v INTRODUCTION 1 Changes in Scientific Publishing: A Heuristic for Analysis Niels Taubert & Peter Weingart 1 PART ONE: THE CHANGING SCHOLARLY PUBLISHING SYSTEM 2 Different from Discipline to Discipline: Diversity in the Scholarly Publication System Konstanze Rosenbaum 37 3 Recent Processes of Change from the Perspective of Academic Publishers Niels Taubert 69 4 On the Situation and Development of Academic Libraries Peter Weingart 95 5 A Participatory Experiment in Science Policy: Results and Evaluation of the ‘Publication System’ Online Consultation Niels Taubert & Kevin Schön 113 PART TWO: FRAMING CONDITIONS 6 Recommendations, Statements, Declarations and Activities of Science Policy Actors on Shaping the Scholarly Communication System Ulrich Herb 135 7 Open Access: Effects on Publishing Behaviour of Scientists, Peer Review and Interrelations with Performance Measures David Ball 165 8 Copyright and Changing Systems of Scientific Communication Alexander Peukert & Marcus Sonnenberg 199 PART THREE: VISIONS Visions Concerning the Future of Publishing in Science 231 9 Electronic Publishing, Open Access, Open Science and Other Dreams Martin Grötschel 233 10 A Vision of Scientific Communication Reinhold Kliegl 247 11 Methodological Optimism Regarding the Digital Future: Critical Remarks on the Recommendations on the Future of the Scholarly Communication System Volker Gerhardt 255 12 Trust, Quality Assurance and Open Access: Predatory Journals and the Future of the Scholarly Publication System Peter Weingart 265 13 Publishing in German Sociology in the Year 2030 Niels Taubert 273 THE FUTURE OF THE SCHOLARLY PUBLISHING SYSTEM LIST OF ABBREVIATIONS AHCI Arts and Humanities Citation Index JCR Journal Citation Report APC article processing charge JIF journal impact factor BBAW Berlin-Brandenburg Academy of JISC Joint Information Systems Sciences and Humanities Committee BMBF Federal Ministry of Education and KE Knowledge Exchange Research KII Commission on the Future of BOAI Budapest Open Access Initiative Information Infrastructure CC Creative Commons MPDL Max Planck Digital Library CODATA Committee on Data for Science MPG Max Planck Society and Technology NPM new public management DFG Deutsche Forschungsgemeinschaft OA open access (German Research Council) OJS Open Journal Systems DINI German Initiative for Network OSF Open Science Foundation Information PR public relations DOAJ Directory of Open Access Journals RfII Council for Information DOI digital object identifier Infrastructure DRM digital rights management RIN Research Information Network EC European Commission ROARMAP Registry of Open Access ERC European Research Council Repository Mandates and Policies FhG Fraunhofer-Gesellschaft RSC Royal Society of Chemistry (Fraunhofer Society) SCI Science Citation Index GDCh Gesellschaft Deutscher Chemiker SOAP Study of Open Access Publishing GWK Gemeinsame SPARC Scholarly Publishing Initiative Wissenschaftskonferenz des SSCI Social Science Citation Index Bundes und der Länder (General Science Conference of the Federal STM science, technology and medicine Government and the States) TA toll access HEFCE Higher Education Funding Council TELOTA The Electronic Life Of The for England Academy HEI higher education institution TWAS The World Academy of Sciences HGF Helmholtz-Gemeinschaft Deutscher UrhG German Copyright Act Forschungszentren (Helmholtz VAT value added tax Association of German Research WGL Wissenschaftsgemeinschaft Centres) Gottfried Wilhelm Leibniz HRK German Rectors Conference (Gottfried Wilhelm Leibniz Science IAP InterAcademy Partnership Association) ICSU International Council for Science ZPID Leibniz-Zentrum für Psychologische IP intellectual property Information und Dokumentation IR institutional repository (Leibniz Institute for Psychology) ISSC International Social Science Council IWG interdisciplinary working group iv Foreword to the English Edition The formal scientific communication system is currently undergoing significant change. This is due to four intertwined developments: the digitisation of formal science communication; the increasing relevance of profit-making on the part of many academic publishers and other providers of information (in short: ‘economisation’); an increase in the self-observation of science by means of publication, citation and utility-based indicators; and an intensified observation of science by the mass media (‘medialisation’). Previously, these developments have only been dealt with individually in the literature and by science-policy actors. In fact, they not only affect the scientific communication system in the form of simple, individual causal chains but also in the form of long feedback loops and partly intertwined processes. This book documents the materials and results of an interdisciplinary working group (IWG) commissioned by the Berlin-Brandenburg Academy of Sciences and Humanities (BBAW) to analyse the future of scholarly publishing and to develop recommendations on how to respond to the challenges posed by these developments. The IWG served a three-fold purpose: first, the connections between the abovementioned developments were described; second, further relevant research on understanding recent developments was undertaken; and third, recommendations on the design of a future scholarly publication system were formulated. Aside from the analysis of these interactions, the IWG also set out to take diverse framework conditions, standards and perspectives from different scientific fields into consideration, the goal being to formulate recommendations in the name of science as a whole and for science as a whole. Thus, in addition to the factors of influence, the heterogeneity of the publication cultures in different disciplines and fields of research was to be taken into account. In order to become familiar with these conditions and to be able to develop this mass of information into a concise format, interviews with members of the BBAW were conducted. These provided valuable information on the communication habits of different disciplines and fields of research, and revealed significant differences in these habits. Given the limitations of this approach and of the v THE FUTURE OF THE SCHOLARLY PUBLISHING SYSTEM information gained in this process, an online dialogue was conducted which invited all German-speaking scientists and academics to participate in the development of the recommendations. Almost 700 participants responded with great interest and provided the IWG with important information about current problems and challenges in the formal communication system. Moreover, this procedure helped in identifying a normative consensus on what constitutes a good communication system. In addition to the views of the scientists, perspectives of experts from publishing companies and libraries were surveyed in order to gain a multi-layered and more complete picture of the publication landscape. Finally, three expert reports on central issues were commissioned. By means of a multi-level evaluation and decision-making process, the Academy adopts recommendations of working groups so that – in cases of approval – they are published in its name. In spite of efforts to involve scientists early on in the development of recommendations in order to learn about their perspectives, standards and interests, protests emerged during the final process of acceptance. Several Academy members from the humanities called the recommendations unbalanced insofar as the role of digital publication was overly emphasised while that of printed publications was neglected. These arguments were taken into consideration in a revised version. In our opinion, the debates during the course of acceptance indicate one thing in particular: there is a need for further extensive discussion about how to deal with the current challenges in the scientific communication system. This issue will continue to occupy science within and outside the Academy. As per the IWG’s intention, the focus was mainly on the sciences and humanities in Germany. However,
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