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Open Access Opportunities and Challenges EUROPEAN COMMISSION Open Access Opportunities and Challenges A Handbook Directorate-General for Research 2008 Science, Economy and Society EUR 23459 Open Access_16-04-08.indd 3 6/4/08 12:04:04 PM EUROPE DIRECT is a service to help you find answers to your questions about the European Union Freephone number (*): 00 800 6 7 8 9 10 11 (*) Certain mobile telephone operators do not allow access to 00 800 numbers or these calls may be billed LEGAL NOTICE Neither the European Commission nor the German Commission for UNESCO, nor any person acting on behalf of the European Commission or the German Commission for UNESCO is responsible for the use which might be made of the following information. The opinions expressed and arguments employed herein are the sole responsibility of the authors and do not necessarily reflect the views of the European Commission or those of the German Commission for UNESCO. A great deal of additional information on the European Union is available on the Internet. It can be accessed through the Europa server (http://europa.eu). Information on the German Commission for UNESCO is available on the Internet: http://www.unesco.de/english. Cataloguing data can be found at the end of this publication. Luxembourg: Office for Official Publications of the European Communities, 2008 ISBN 978-92-79-06665-8 DOI 10.2777/93994 The content of this publication may be reproduced and disseminated for non-commercial purposes, provided that reference is made to the name(s) of the author(s), and to the original publication as follows: [Name of author(s) and title of contribution], “Open Access – Opportunities and challenges – A hand- book” by the European Commission and the German Commission for UNESCO, 2008, translated from the original German edition published by the German Commission for UNESCO. These licensing conditions must also apply in the case of further reproduction. First published in German as “Open Access – Chancen und Herausforderungen. Ein Handbuch” by the German Commission for UNESCO in 2007. The German edition was supported by the German Federal Foreign Office. The only changes made to the original German edition are updates on the information concerning the authors’ affiliations. The present publication thus reflects the debate in early 2007. In the meantime, amendments to German copyright law, the so-called ‘second basket’ (‘zweiter Korb’) of the implemen- tation of the EU directives mentioned in several articles, have been adopted (5 July 2007). Coordination of translation: Barbara Malina (German Commission for UNESCO) and Celina Ramjoué (European Commission) Assistance: Antonie Curtius, Philipp Disselbeck and Anne Isabel Rauch (German Commission for UNESCO) Printed in Belgium PRINTED ON WHITE CHLORINE -FREE PAPER Open Access_16-04-08.indd 4 6/4/08 12:04:04 PM Table of Contents Preface by the European Commission ..................................................................9 Preface by the President of the German Commission for UNESCO .....................10 Message from the Commissioner for Culture and Education at the German Federal Foreign Office .........................................11 Introduction: Quo vadis, Knowledge Society? ....................................................12 Richard Sietmann Chapter 1: Definition and Origin of Open Access 19 The Concept of Open Access...............................................................................20 Norbert Lossau Open Access – A Historical Survey .....................................................................24 Peter Schirmbacher Chapter 2: An Introduction to Three Publication Models 29 The Edoc-Server at the Humboldt-Universität zu Berlin: An Example of an Open Access Repository ........................................................30 Susanne Dobratz The New Journal of Physics as an Example of Open Access Journals ...............35 Eberhard Bodenschatz The Example of a Hybrid Model: Springer Open Choice......................................39 Jan Velterop Chapter 3: Implementing Open Access Models 45 Financing Open Access Models ..........................................................................46 Stefan Gradmann Open Access and (German) Copyright ................................................................50 Karl-Nikolaus Peifer Open Access_16-04-08.indd 5 6/4/08 12:04:04 PM Open Access and Quality Assurance ..................................................................54 Eberhard Bodenschatz & Ulrich Pöschl Open Access and Long-term Archiving ..............................................................58 Ute Schwens & Reinhard Altenhöner Open Access and the Structure of Academic Communication ...........................62 Hans Pfeiffenberger Data-processing, Data-transfer and Search: Further Technical Challenges for Open Access ..................................................66 Wolfram Horstmann The Acceptance and Distribution of Freely Accessible Publications ..................69 Johannes Fournier Chapter 4: Political Perspectives 75 Controversial Issues in the Context of Open Access ..........................................76 Ralf Schimmer Open Access in Higher Education, Science and Scholarship Open Access in the Natural Sciences .................................................................80 Wolfgang Voges Open Access in the Humanities ..........................................................................82 Gudrun Gersmann Open Access in the Social Sciences ...................................................................84 Ulrich Herb Open Access within the German Research Foundation ......................................86 Johannes Fournier Open Access and the German Academic System: Common Perspectives of the Alliance of Research Organisations .....................88 Working Group of the Open Access Commissioners of the Alliance of Research Organisations Libraries and Open Access .................................................................................91 Claudia Lux Publishers and Open Access Subscription-based Journal Publishing .............................................................93 Robert Campbell & Edward Wates, Wiley-Blackwell Hamburg University Press and Open Access ......................................................97 Gabriele Beger & Isabella Meinecke Brussels Declaration on STM Publishing ............................................................99 Open Access_16-04-08.indd 6 6/4/08 12:04:05 PM Open Access and Education The Legal Protection of Open Access: The Position of the Standing Conference of the Ministers of Education and Cultural Affairs of the Länder in the Federal Republic of Germany ........................................................................................101 Thomas Pflüger Open Access and Education Policy: Perspectives of a Politician ......................103 Jörg Tauss Open Access from the Point of View of the Coalition for Action ‘Copyright for Education and Research’ ...........................................................105 Rainer Kuhlen Open Access and Consumer Protection: The View of the Federation of German Consumer Organisations .....................107 Patrick von Braunmühl German Development Cooperation and Open Access .......................................109 Peter Rave The Media and Open Access: The Point of View of Public Service Broadcasting ............................................111 Verena Wiedemann Chapter 5: International Context 115 National Initiatives in Europe ...........................................................................116 Katja Mruck & Rubina Vock European Initiatives ..........................................................................................120 Celina Ramjoué Open Access in the United States .....................................................................124 Peter Suber National non-European Initiatives: Open Access in India – the Status Quo .............................................................128 Mangala Hirwade International Initiatives ....................................................................................131 Andreas Hübner List of Authors ..................................................................................................136 Open Access_16-04-08.indd 7 6/4/08 12:04:05 PM ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• Open Access_16-04-08.indd 8 6/4/08 12:04:05 PM Preface by the European Commission Foreword by the European Commissioner for Science and Research We live in a digital age that has opened up dissemination of results. At the same time, I am unprecedented opportunities for the dissemi- convinced that there must be fair remuneration nation of scientific knowledge. Sharing this for scientific publishers who invest in tools and knowledge efficiently is crucial for the future of mechanisms to organise the flow of information European research. and the peer review system. One much debated way of sharing scientific I welcome this handbook which presents the information, and in particular peer-reviewed various views of major stakeholders and covers academic publications, is open access. a wide range of issues relevant to open access. I view it as a very useful and timely contribution In 2006, the European Commission’s to the debate on open access. Directorate General for Research commissioned a study investigating the scientific publishing market in Europe(a). In 2007, the European Commission adopted a Communication which acknowledges the need for new initiatives leading to wider access to and dissemination of scientific
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