Guide for Establishing Gold and Green Open Access Publishing Platforms

Guide for Establishing Gold and Green Open Access Publishing Platforms Publication Details This “Guide for Establishing Gold and Green Open Access Publishing Platforms” was developed in the context of the BMBF-funded project

“SynOA-Pub – Publishing Infrastructures for Open Access Gold and Open Access Green” (16OA039).

Project Term: 01 April 2018 – 31 May 2020

The “Guide for Establishing Gold and Green Open Access Publishing Platforms” is licensed under a Creative Commons Attribution 4.0 International (CC-BY-4.0) (https://creativecommons.org/licenses/by/4.0).

The logos and graphics in here are exempted from this license.

Author: Constanze Beringer, ZB MED – Information Centre for Life Sciences, Gleueler Straße 60, 50931 Köln, Germany. https://orcid.org/0000-0003-0615-2585

Project Management: Ursula Arning, ZB MED – Information Centre for Life Sciences, Gleueler Straße 60, 50931 Köln, Germany. https://orcid.org/0000-0002-7953-0666

DOI: 10.4126/FRL01-006421133 urn:nbn:de:hbz:38m-frl:64211334

2 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 3 Table of Contents

Publication Details...... 3

Introduction...... 6

Gold Open Access...... 8

1. First Steps...... 8

2. Specific Requirements and Standards...... 10

3. Re-usable Gold Open Access Software Solutions...... 24

4. Re-usable Open Source Publication Tools...... 28

Green Open Access...... 32

5. First Steps...... 32

6. Specifications and Standards...... 33

7. Repository Software...... 40

OAI and OpenAIRE Interface Requirements...... 44

List of Terms and Abbreviations...... 46

Further Reading...... 49

4 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 5 Introduction

Establishing publication infrastructure is a complex and long-term commitment for is based on the open source content management system “Drupal” and is developed institutions. When planning to implement a publishing platform for first open access in cooperation with the company “Rheinware”5 . publications at your institution, you are faced with a major task and many questions. Following the publication of the first chapters in 2016, there are currently five “Living The following pages provide an overview of the requirements your platform should Handbooks”6 in existence. In 2020, the GMS magazines are scheduled to move to the meet to ensure that scientists or funding institutions perceive it as reliable, secure and new platform. PUBLISSO is continuously further developed, serving, among other of high quality. Searching for the right technical solution can prove to be time-con- things, the needs of the publishing professional communities. In 2018, ZB MED started suming and confusing. Therefore, this manual gives an overview of different systems, the project “SynOA-Pub” which is funded by the Federal Ministry of Education and each with an example of application. However, we deliberately do not recommend any Research. The major objective of the project is to identify requirements and standards particular software, because every application has different requirements. The stan and to develop approaches to new functionalities, in addition to advancing the tech- dards developed in the context of the project “SynOA-Pub”1 can serve as information nical expansion of the PUBLISSO platform for purposes including the publication of on factors that should be considered when establishing a platform, in order to meet congress abstracts. The present guide has been created within the scope of this project. typical needs, comply with quality standards and ensure trustworthiness. This is particularly important with regard to obtaining the DINI certificate2 or implementing the requirements of Plan S3. Open Access means the free access to scientific publications and the permission The information boxes highlighted in blue explain important terms or topics. A glos- “(…) to copy, use, distribute, transmit and display the work publicly and to make and sary in the appendix provides help in the abbreviation jungle. distribute derivative works, (…) subject to proper attribution of authorship.”7 Gold open access refers to the primary publication of a work, such as a journal article or a monograph. Green open access is the additional publication (secondary publi- Origin and Context: cation) of an already published work in a repository. ZB MED, PUBLISSO and the Project SynOA-Pub

ZB MED – Information Center for Life Sciences (ZB MED) can look back on a long tradition of open access publishing. Since 2003, ZB MED has been operating the open access portal “German Medical Science” (GMS) of the Association of Scientific Medical Societies (AWMF) in cooperation with the “German Institute for Medical Documentation and Information (DIMDI)4”. The editorial office is located at ZB MED, thus facilitating the process of gaining experience and building expertise over many years. This includes the interaction with editors and authors, the organisation of reviewing processes, the proofreading and layout of publications and the continuing technical development of the system. In 2015, the new publishing platform PUBLISSO was added, which gradually replaces the proprietary GMS software. The new system

1 “SynOA-Pub - Publishing Infrastructures for Open Access Gold and Open Access Green”, see 5 See http://www.rheinware.de/ [retrieved on 27 May 2020]. https://www.zbmed.de/en/research/current-projects/synoa-pub/ [retrieved on 27 May 2020] 6 Living Handbooks are reference books with chapters that are published by degrees. Thus they are always up-to-date. For 2 See https://dini.de/dienste-projekte/dini-zertifikat/ [retrieved on 27 May 2020]. further information, see (i.a.): Arning U, Lindstädt B, Schmitz J. PUBLISSO: Das Open-Access-Publikationsportal für die Lebenswissenschaften. GMS Medizin-Bibliothek-Information. 2016;16(3):Doc 15.DOI: 10.3205/mbi000370. 3 See https://www.coalition-s.org/ [retrieved on 27 May 2020]. https://openaccess.mpg.de/Berlin-Declaration [retrieved on 27 May 2020]. 4 German Medical Science: https://www.egms.de. 7 See also: https://open-access.net/en/germany-english, https://www.publisso.de/en/.

6 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 7 Gold Open Access

1. First Steps Your institution is planning to establish a gold open access service. Initial strategic To assess the required scope of the services, interaction with the target groups is ideas should consider the following: essential. Clarify information requirements at an early stage so that you can respond accordingly. Naturally, the operation of publishing platforms also requires a certain ɲ Do you intend to publish several publication formats level of technical know-how. You may already have technical expertise at your in-house or journals on the platform? IT department to assist with maintenance or even technical development. If necessary, contacting a computer centre or external software developers is another option. If The extent of services offered depends first of all on demand, but also on existing there are no resources available for this purpose, it is certainly worth looking into services. Is there already a number of reputable providers in your field to which you hosting services that already include technical support.9 In this context, it is important could refer your researchers? The most important question is: to investigate financing options.

ɲ What do you want to publish? ɲ Are there third-party funds that could be acquired for the establishment of a publishing service? Publication formats vary according to the subject area. In the humanities and cultural studies, monographs still play a major role, while the natural sciences tend to concen- The German Research Foundation (DFG), for example, provides the funding guide- trate on journal articles or preprints8. If researchers have directly approached you line “Scientific Library Services and Information Systems (LIS)”: infrastructure for concerning the need for a platform, you will already have a concrete idea of what electronic publications and digital scientific communication10. should be published on the platform. General advice: In your capacity as an institution, connect with the scientific commu- The following thoughts refer primarily to the publication of journals or journal articles, nity, so that you can react to the specific requirements. When establishing and devel- however, in most cases they can also be applied to open access books. oping your services, you should keep an eye on the scientific publishing landscape. Identify needs and demands and pay attention to current software development in ɲ Which institutional resources are available? this area. Get in touch with other publishing institutions and libraries and exchange information – for example via groups such as the AG Universitätsverlage or consulting The scope of development activities and the capacity to offer editorial services depends services such as PUBLISSO of ZB MED.11 on the available human and financial resources. Identify suitable staff at your institution to take on tasks such as project coordination or management, advice on copyright issues or editorial activities and/or create requirement profiles for calls for tender, if applicable. Ideally, supplement your publishing services with consultations and workshops to assist authors and editors. Alternatively, also refer to essential sources of information. If the personnel situation at your institution does not allow for in-house consultation services, make sure your staff is adequately trained to provide information on the most important sources or external services and workshops.

8 For an overview, see the current analysis by Severin A, Egger M, Eve MP, Hürlimann D. Discipline-specific open access 9 See notes referring to the corresponding tables on page 24-27. publishing practices and barriers to change: an evidence-based review. F1000Research. 11 December 2018; 7:1925. DOI: 10 See https://www.dfg.de/en/research_funding/programmes/infrastructure/lis/index.html [retrieved on 27 May 2020]. 10.12688/f1000research.17328.1. 11 See https://blog.bibliothek.kit.edu/ag_univerlage/ [retrieved on 27 May 2020]. https://www.publisso.de/en/advice/ [retrieved on 27 May 2020].

8 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 9 2. Specific Requirements and Standards a. Composition of sources The “DINI certificate” is another important quality feature in the German-speaking world. The requirements expressed therein should also be taken into account as early In addition to a comprehensive literature research on the subject, the guide is primar- as the planning stage. ily based on the sources described below: Research funders also have specific requirements in terms of publishing platforms. Editors and authors need to be able to assess the reputability and trustworthiness of In 2018, “Coalition S” was founded as the result of an initiative of European fund- a platform and its contents. One method to do so is searching the “Directory of Open ing institutions with the goal of promoting open access. For this purpose, specific Access Journals/Books” (DOAJ or DOAB)12 because platforms have to comply with requirements (“Plan S”) were published in 2019. Publishing platforms must meet specific requirements in order to be admitted. For this reason, these requirements these requirements in order to be eligible to publish works that have been created are listed below to facilitate their implementation in the process of establishing a through funding by the member organisations. Therefore, operators of journals and gold publishing platform. platforms are well advised to observe the requirements and to give adequate consideration to them in the course of planning publication services.

Both the DINI certificate and the Plan S specifications define minimum requirements German Initiative for Network Information (DINI): and additional recommendations. This guide presents a summary of the minimum requirements as they are necessary for obtaining the certificate or for fulfilling the “DINI was founded to advance the improvement of information and communication specific conditions. The additional recommendations in both catalogues are not part services and the necessary development of information infrastructures at univer- of the guide, but should be considered in long-term planning. sities on both the regional and national level. The range of information technology and services will be further enhanced through cooperation and distribution of Furthermore, operators of publishing platforms should be aware of requirements responsibilities between the infrastructure facilities. This also requires the joint established by the EU-funded initiative “OpenAIRE”13, where, among other things, development of standards and recommendations”. specific requirements apply for metadata see( pages 44-45).

“With the DINI Certificate seal you demonstrate that you meet internationally recog- The catalogues of requirements differ in some areas. For example, Plan S requires nized quality criteria in the context of digital repositories. (...) The DINI Certificate published metadata to be marked with a CC0 license, whereas this is not obligatory aims at an optimum provision of metadata and documents”. under the DINI certificate. In the following, the requirements have been summarised Source: https://dini.de [retrieved on 27 May 2020]. in such a way that all conditions are included. At ZB MED, a long-term objective is to compile the standards in a searchable and filterable online database. This would enable a targeted search for requirements from Plan S or the DINI certificate.

12 Definitions and links on key terms and abbreviations can be found in the glossary on page 46. 13 See https://www.openaire.eu/ [retrieved on 27 May 2020].

10 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 11 b. Specific requirements and standards XML (Extensible Markup Language): In the following, the requirements on gold open access publishing platforms from the above-mentioned sources are summarised and assigned to various categories: • Machine-readable markup language

• User advantages: faster publication; simplified re-use and better visibility; • Access • Technical • Quality assurance enables text and data mining. frameworks • Publications • Legal issues • Your advantages: easier and faster publication if content reaches you in an • Metadata • Preservation • Financing already structured form; interface compatibility; machine-readable structured and sustainability • Visibility publications (including export option) facilitate re-use and indexing in relevant • Information policy databases. • Interfaces • Statistics

Access Preservation and sustainability

• Publish full texts without embargo on your platform. • On your website, provide information about the long-term preservation of the publications. • Give readers access to the publications without registration. • Ensure the preservation of the publications, e.g. with • Do not charge subscription fees for reading the publications. CLOCKSS, Portico or equivalent programmes. • Make sure that there is no parallel publication organ in closed • The availability of the documents and metadata must access with an extensive overlap of the editorial board. be guaranteed for at least five years. • Ensure that all content is accessible from a website with a unique name.

• Provide each article with a table of contents and a separate URL. (Digital long-term) preservation: • Ensure clear navigation and provide a search function. Digital long-term preservation describes the “long-term preservation and long-term • The original files of the documents and, if applicable, any additionally availability of information in digital form and the provision of this information to a created copies must be free of technical protection measures. certain target group” beyond the lifetime of hardware and software (DIN 31644). Due to the rapid technological change (obsolete storage media and file formats), digital Publication information media are at risk of irretrievable loss of information just a few years after publication. Compared to traditional archiving, which focuses on analog infor- • Provide a web form that facilitates the independent upload of documents. mation media, digital long-term preservation is therefore a more complex process that must be regularly adapted to current technological conditions. Digital long-term • Publish in multiple formats, including a machine-readable format (XML). preservation is not limited in time, but pursues the goal of long-lasting conservation • Ensure versioning of publications. of digital heritage.

• Delete documents in exceptional cases only and make this known Further information: under the persistent URL of the original document. https://www.publisso.de/en/digital-preservation/ https://www.langzeitarchivierung.de/Webs/nestor/EN/Home/home_node.html

12 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 13 Technical frameworks Interfaces

• If possible, use open source software. • Set up an interface for the mandatory deposit at the DNB14.

• Secure data transfer by using up-to-date TLS-technologies (SSL). • Set up an interface to DOAJ or DOAB or ensure that the publications are included in these databases.15 • Develop a safety, damage and operational concept and a maintenance schedule for software and servers. • Set up a web interface for end users to access documents and metadata.

• Document the technical system in writing. • Set up a permanently available and regularly checked OAI-interface. This interface should meet the requirements of OAI-PMH 2.0 and the DINI-guidelines, enable • Have the servers regularly checked by autonomous monitoring incremental harvesting and use set-information (see page 44-45 and the current software and perform data backups. DINI certificate16). • Develop an exit strategy to prepare for any necessary provider or software changes Open Archives Initiative (OAI): An initiative of operators of preprint and other document servers to make TLS/SSL-technology: Internet publications easier to find and use. TLS: Transport Layer Security, previous version: SSL (Secure Sockets Layer) OAI Protocol for Metadata Harvesting: collection and processing of metadata, Dublin-Core-Data Model17 as lowest common denominator. TLS/SSL-technology identities Internet pages and ensures the security of data transfer (recognisable by the https in the address line of the browser. Providers Service providers include BASE, OAIster and Scientific Commons; they tap into must ensure that their websites have a valid certificate. content from document servers and make it searchable. Source: https://www.bsi-fuer-buerger.de/BSIFB/DE/Empfehlungen/Einrichtung- Further information: Software/EinrichtungBrowser/Sicherheitsmassnahmen/Verschluesselung/ http://www.openarchives.org/, verschluesselung.html http://oai.base-search.net/

Open Source Software: This is software with a source code that can be viewed, modified and used publicly and by third parties. Open source software benefits from large development communities worldwide which enable continuous advancement and adjustment to new requirements. Source: https://www.bsi-fuer-buerger.de/BSIFB/DE/Empfehlungen/Einrichtung- Software/OpenSource/OpenSource.html 14 Further information: https://www.dnb.de/EN/Professionell/Sammeln/Unkoerperliche_Medienwerke/unkoerperli- Further information: http://www.bpb.de/gesellschaft/digitales/opensource/ che_medienwerke_node.html [retrieved on 27 May 2020]. 15 Specifications can be found here: https://doaj.org/api/v1/docs or https://doabooks.org/doab?func=forPublishers&uiLan- guage=en [retrieved on 27 May 2020]. 16 Müller et al. DINI Zertifikat für Publikationsdienste 2019. Seite 41. DOI: 10.18452/20545. 17 See https://www.dublincore.org/specifications/dublin-core/dces/ [retrieved on 27 May 2020].

14 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 15 Metadata • Provide high quality, exportable metadata. Harvesting: • Assign a CC0 license to metadata. Harvesting is the automatic retrieval of data via interfaces. The term incremental means here the retrieval of certain data, e.g. for a specific period of time. • Specify the date of publication in the metadata. Further information: • Enable the specification of identifiers in the metadata (e.g.ORCID , FunderID). https://www.forschungsdaten.info/praxis-kompakt/glossar/#c274002 • Use the Dublin Core Element Set (see above: OAI-interface and page 44-45).

• Integrate machine-readable information on license and open access status in Visibility the metadata. • Assign persistent identifiers (e.g.DOI , URN) to all publications, including • Document the rights situation in machine-readable form in the exportable new versions of a document metadata of the published documents. • Specify the persistent identifiers in the exported metadata and on your • Facilitate the individual export of individual metadata records or search results own online service as primary identifiers in the form of on operable URL. in the form of at least one suitable data format on the web interface. • Assign an ISSN. • Classify all publications according to the Dewey Decimal Classification (DDC). • Ensure that your services and publications are part of DOAJ, DOAB, • Organise all documents according to the DINI recommendations “Common BASE and the DINI list of documents and publication services.19 vocabulary for publication and document types”.18

ORCID: Dublin Core: Non-Profit-Organisation “Open Researcher Contributor Identification Initiative”; the This is a bibliographic data format that should be used to describe the objects on provision of an ORCID-iD ensures the clear identification of authors. There are several your platform. The metadata can be read out via interfaces. The Dublin-Core-Sim- possibilities of incorporation into a publishing platform. For detailed information see: ple-Standard consists of 15 optional elements: https://orcid.org/organizations/publishers/best-practices • contributor • format • rights User advantages: new publications are linked to own profile; easier creation of publi- • coverage • identifier • source cation lists, clear identification and simple administration of institutional affiliation. • creator • language • subject Advantages for institutions: clear identification of authors. • date • publisher • title • description • relation • type Source: https://glossar.hs-augsburg.de/Dublin_Core_Metadata Further information: https://www.dublincore.org/

18 DINI Arbeitsgruppe Elektronisches Publizieren. Gemeinsames Vokabular für Publikations- und Dokumenttypen. 2010. 19 See https://www.base-search.net/about/en/index.php? [retrieved on 27 May 2020]. DOI: 10.18452/1492.

16 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 17 Quality assurance Erratum and Versioning: • Publish regularly on the platform. If printing or typing errors, missing authorship or similar formal errors are identified after publication, an erratum can be created. Depending on the system, one possibility • At least one third of the publications should be assigned to is to add a short note explaining the correction made; the article is modified and “original research” and/or “review paper”. remains accessible under the same DOI. The alternative is to publish a new revised • Ensure that there is a peer review procedure. version which provides a reference to the old version with an explanation of the changes made to it. • Describe the evaluation criteria in a transparent way on the website. If substantive modifications to the published manuscript are necessary, it is advisable • Ensure that at least one editor and one editorial board are to publish a new version. In systems that support this feature, the original version is named for each journal. retained and the new version receives its own DOI. New developments in research, • Establish precautions against plagiarism and manipulations and decribe for example, can thus be more closely monitored. transparently, how you handle these issues. Follow the “COPE”-guidelines.20

• On the website, include the editor and members of the editorial staff as contact persons with their full names.

Registration of a “Digital Object Identifier” (DOI): • Make the policy and guidelines freely available to publishers on the website. • Ensure that documents are not modified once they are published. The assignment of persistent identifiers to publications of all types (DOI is recom- mended), is a function and service that authors and editors as well as research funders • Perform subsequent deletions in exceptional cases only expect from a publishing platform. The advantage of DOI is that a resource is clearly and mark accordingly. identifiable, even if, for example, a platform is moved or a new version of a document is published. For institutions that operate publishing platforms, the following ways to register DOI Statistics are available: • Maintain your own consistent usage statistics within the framework via Crossref: https://www.crossref.org/membership/ of the legal regulations (in particular GDPR).

via DataCite: https://datacite.org/dois.html • Anonymise or pseudonymise web server logs for long-term storage.

Further information: https://www.doi.org/ • Filter out automated access to your platform from the usage statistics.

• Document and explain the statistics publicly.

• Publish statistics at least annually with the following contents: number of submissions, number of reviews requested, number of reviews received, rejection rate and average time between submission and publication.

20 See https://publicationethics.org/guidance/Guidelines [retrieved on 27 May 2020].

18 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 19 Creative Commons Licenses: General Data Protection Regulation (GDPR): The granting of a CC license ensures that the copyright remains with the author, while The EU regulation, effective since May 2018, also has an impact on publishing plat- permitting others to copy or distribute the publication, depending on the selected type forms because the regulation specifies the processing of personal data. The “Public of license. The name of the author must always be stated. Knowledge Project” has published a documentation on how publishing platforms can work with the new requirements (particularly in Open- Journal- System- or Open- The following types of licenses are available: Monograph - Press-Software): https://docs.pkp.sfu.ca/gdpr/en/ Further information: http://data.europa.eu/eli/reg/2016/679/2016-05-04 Attribution 4.0 International Legal issues

• Publish under a CC license (preferably CC-BY-4.0; alternatives in justified Attribution-Share Alike cases: CC0, CC-BY-SA, CC-BY-ND). 4.0 International • Draft a formal agreement (“deposit license” or author contract) between the rights holder and the platform operators. In this agreement, the authors grant non-exclusive rights of use. A deposit license is not necessary when using Attribution-No derivative works a free license (such as CC-BY). 4.0 International • Make the deposit license and the contracts available in the official languages of the country where you have your head office. The rights granted cover

• the electronic storage and provision of public access, Attribution-Non-commercial use 4.0 International • the notification of and disclosure to third parties, for instance in the context of national collection mandates and in particular for the purpose of long-term preservation,

• the preparation of copies and Attribution-Non-commercial use - Share Alike 4.0 International • the conversion into other electronic or physical formats for the purpose of preservation while maintaining the integrity of the content.

• The author affirms that the publication of the work does not infringe Attribution-Non-commercial use - the rights of third parties. No derivative works 4.0 International • Include the documentation of the rights situation in the metadata of the publications. Source: https://creativecommons.org/ • Specify the rights situation of the documents in human-readable Further information: form via the web front-end. https://www.publisso.de/en/advice/publishing-advice-faqs/creative-commons/ • Add publication details to your website that comply with legal requirements.

20 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 21 Financing

• Give selected user groups on your website the option to apply for a partial or total exemption from APCs/BPCs (“waiver”).

• Always demonstrate all costs in a transparent way.

• Avoid publication fees and inform yourself about alternative financing solutions (e.g. through funders or professional associations).

Information policy

• Provide transparent information about all costs incurred.

• Set up a privacy policy according to GDPR.

• Offer advice on open access and provide “Frequently Asked Questions” (FAQs) that cover specific questions, or refer to appropriate sources of information – for example regarding copyright issues.

• Provide easily accessible information about the operator, on editors, licenses, objectives, content and open access publishing in general.

• Present decision-making processes and policies in a transparent way.

• Provide information about the rights and obligations of all parties involved, the type of documents published, long-term preservation, technical operation of the service and open access.

• Mark open access publications in browsing lists and results lists.

• Inform about indexation measures, such as cataloguing rules or interfaces, that have been implemented.

22 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 23 3. Re-usable Gold Open Access Software Solutions

Implemented processes System Application/Combination example Developer Special features (i.a.)

Review, Publication Open Journal Systems (OJS) Heidelberg University Press: Public Knowledge Project • Large developer community (journals) https://pkp.sfu.ca/ojs/ https://heiup.uni-heidelberg.de/; • Set of functions and plug-ins Ubiquity Press: https://www.ubiquitypress.com/ • Software is developed continually • Hosting service with various levels of service (https://pkpservices.sfu.ca/content/journal-hosting)

Review, Publication (books) Open Monograph Language Science Press Public Knowledge Project • Large developer community Press (OMP) http://langsci-press.org/index • Set of functions and plug-ins https://pkp.sfu.ca/omp/ (Freie Universität Berlin); • Software is developed continually Heidelberg University Press • Hosting service with various levels of service https://heiup.uni-heidelberg.de/ (https://pkpservices.sfu.ca/content/press-hosting)

Writing, Review, Publication Content Management PUBLISSO https://books.publisso.de Drupal Association Originally developed to create websites, Drupal is used and extended (journals, books) System Drupal (ZB MED – Information Centre for Life Sciences); in various projects for publication purposes. ZB MED is planning a https://www.drupal.de/ Zeitschrift für Digitale Geisteswissenschaften hosting service. http://www.zfdg.de/ • Modular, flexible system (Marbach Weimar Wolfenbüttel • Large developer community Research Association) The Environment & Society Portal http://www.environmentandsociety.org/ (Rachel Carson Center for Environment and Society, LMU München)

Review, Publication (books) Rua Ubiquity Press Ubiquity Press • Submission via the system https://gitlab.com/ubiquity- https://www.ubiquitypress.com/ • Review workflow press/rua • Typesetting • Layout Review, Publication Janeway Open Library of Humanities Birkbeck Centre for Technology • Preprint repository system (journals) https://janeway.systems/ https://www.openlibhums.org/ and Publishing • Overlay journal system https://ijwwe.uwp.co.uk/

Writing, Review, Publication Pubsweet Backend for Editoria and xPub Coko Foundation Detailed description: (journals, books) https://pubsweet.coko. https://coko.foundation/ https://coko.foundation/wp-content/uploads/2018/07/ foundation/ Coko_Pubsweet-screen.pdf

Writing, Review, Publication PupPub Journal of Design and Science (JoDS) MIT • “Community publishing” (journals, books, conference https://www.pubpub.org/ https://jods.mitpress.mit.edu/ • Annotations papers) • Versioning • Collaborative working • Formula editor • Comment function Publication (books) Fulcrum Editoria University of Michigan 3D-displays possible https://www.fulcrum.org/

24 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 25 Implemented processes System Application/Combination example Developer Special features (i.a.)

Writing, Publication (books) Editoria Book Sprints: https://www.booksprints.net/ Coko Foundation • Modular system • WYSIWYG-editor • Workflow management • Revision tracking • Semantic formatting

Publication Manifold University of Minnesota Press University of Minnesota • Integration of research data, audio, video and additional material (books, interactive formats) https://manifoldapp.org/ • Annotations • Comments Review, Publication Libero Producer: based on substance.io; eLife Comprises the modules Producer, Reviewer and Publisher. A new (journals) https://libero.pub/ Reviewer: Pubsweet Framework version is currently under development: https://github.com/libero

Writing, Publication Scalar Performing Archive: Alliance for Networking visual • Collaborative working (multimedia formats) http://scalar.usc.edu/works/ culture, University of southern • Comments possible performingarchive/index California Writing and Editing Vega Based on the content management system Wayne State University Library Editorial and review workflow http://www.vegapublish.info/ “Sanity”: https://www.sanity.io/ about/

Review, Publication Open Review Toolkit Based on Hypothes.is, Pandoc, Princeton University Combination of various open source tools for open review http://www.openreview- Google Analytics, and Google Forms; toolkit.org/ application example: https://www.bitbybitbook.com/ Content Management Lodel Open Edition: https://www.openedition.org/ Center for open • Import (journals), Publication http://www.lodel.org/ electronic publishing • Conversion to XML (Aix-Marseille University)

26 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 27 4. Re-usable Open Source Publication Tools

Application/ Function Tool Developer/ Operator Special features (i.a.) Link Combination example

Writing Fidus Writer OSCOSS Projekt (Gesis), OJS: https://github.com/OSCOSS/ • Collaborative writing https://www.fiduswriter.org/ Lund Info AB OJS-Authoring-Integration-plugin • WYSIWYG-editor • Revision tracking • Semantic formatting • Citation manager • Exports in PDF, HTML, Epub Writing Jupyter Notebooks NumFocus • 3D-visualisations http://jupyter.org/ • Exports i.a. in HTML, PDF

Writing Prose Mirror Independent developers PubPub: • Collaborative https://prosemirror.net/ (Adrian Heine né Lang, https://www.pubpub.org/ • Exports in HTML, PDF, Epub, XML Marijn Haverbeke) • Formula editor • Annotations and comments possible • Modular design Writing Overleaf Overleaf Language Science Press: • Collaborative writing https://www.overleaf.com https://www.overleaf.com/ • Templates and style sheets blog/283-using-overleaf-in- our-latex-based-workflow- at-language-science-press Writing and Conversion Stencila Tool Independent developer Currently in its test phase • Creation of interactive documents https://github.com/stencila/ (Nokome Bentley) • Conversion into different formats

Writing Texture DAR Substance: https://substance.io/ XML export (JATS) incl. reference processing https://github.com/substance/texture

Writing Wax Coko Foundation Editoria, Pubsweet: Editor with revision tracking https://coko.foundation/category/ https://pubsweet.coko.foundation/ wax-editor/

Writing, Publication, Métopes Université Caen Lodel • Style sheets (Word) http://www.metopes.fr/index.html Conversation • Conversion docx to HTML, XML, Epub, PDF

Writing, Publication Dokie.li Universität Bonn, MIT, The Dokie.li website has • Editor https://dokie.li/ TIB been created with the tool. • Annotations possible • Exports in various formats

Writing, Layout Design Viola Vivliostyle project Vivliostyle Exports in HTML, PDF https://viola.pub/, https://github.com/violapub/viola

Submission and Phenom Review Hindawi Pubsweet Peer-review-System https://gitlab.com/hindawi/xpub/ Workflow xpub-review

Conversion and Import Open typesetting PKP OJS Converts Word and PDF to JATS XML https://github.com/pkp/ots stack

Conversion of docx XSweet Coko Foundation Editoria Integrates mathematical formulas (MathML) https://gitlab.coko.foundation/XSweet/ to html XSweet

Conversion of / to XML Le-tex Transpect Le-Tex Hogrefe: • Converts e.g.: docx, Epub, HTML, DocBook, TEI, JATS https://www.le-tex.de/en/transpect.html https://www.le-tex.de/en/ • Can be combined with various tools cs-hogrefe-transpect.html

28 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 29 Application/ Function Tool Developer/ Operator Special features (i.a.) Link Combination example

Typesetting, printing Paged.js Cabbage Tree Labs Editoria • Conversion https://www.pagedjs.org/ • Pagination

Typesetting Cassius Martin Paul Eve Open Library of Humanities Exports in HTML, PDF, XML https://github.com/MartinPaulEve/ CaSSius

Typesetting Vivliostyle Vivliostyle Foundation Fidus Writer, Viola, Editoria Layout https://vivliostyle.org/

Layout, Typesetting Electric Book Electric Book Works - no information - Conversion of various source formats, https://github.com/electricbookworks/ i. a. HTML in PDF, Epub, etc. electric-book

Conversion, Export Pandoc John MacFarlane Docverter: • Mathematical formulas https://pandoc.org/ https://www.docverter.com/ • Citations

Production, Export Pressbooks Pressbooks WordPress; • Formatting https://pressbooks.com/, https://uta.pressbooks.pub/ • Exports i.a. in PDF, Epub https://github.com/pressbooks/pressbooks/ Publishing Grobid Independent developer Open Typesetting Stack (PKP) Conversion of PDF to TEI-XML and JATS XML https://grobid.readthedocs.io/en/latest/ (Patrice Lopez) Introduction/, https://github.com/kermitt2/grobid

Publishing Hyphen Independent developer - no information - Automatic hyphenation https://github.com/ytiurin/hyphen (Eugene Tiurin)

Publishing Hyphenopoly Independent developer - no information - Automatic hyphenation in HTML http://mnater.github.io/Hyphenopoly/ (Matias Nater)

Publishing KaTeX Khan Academy - no information - Mathematical documents, special characters and formulas https://katex.org/

Publishing Math Jax NumFocus - no information - Mathematical documents, special characters and formulas https://www.mathjax.org/

Publishing Readium Readium Foundation - no information - Software Set https://readium.org/ Epub and Web publications

Production Tectonic Peter Williams - no information - Conversion of TeX-Dateien to PDF https://github.com/tectonic-typesetting/ tectonic/

Further information: Collections of open source tools are also available at: https://genr.eu/wp/invitation-top-10-open-science-tools-services-for-researchers/ For information on combination options (not open source tools) see also: [retrieved on 27 May 2020] https://101innovations.wordpress.com/2016/12/28/stringing-beads-from-tool-com- binations-to-workflows/ [retrieved on 27 May 2020] http://radicaloa.disruptivemedia.org.uk/resources/publishing-tools/ [retrieved on 27 May 2020]

https://oaresources.org/ [retrieved on 27 May 2020]

https://mindthegap.pubpub.org/ [retrieved on 27 May 2020]

30 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 31 Green Open Access

1. First Steps Does your institution plan to become involved in the field of open access? Would Furthermore, operators of publishing platforms should be aware of requirements you even like to establish your own repository? It can be assumed that, prior to the established by the EU-funded initiative “OpenAIRE”24, where, among other things, decision to set up your own repository, you will have thought about whether you want specific requirements apply to metadata (see pages 44-45). an institutional or a subject-based repository. In addition, it is essential to work out The catalogues of requirements differ in some areas. For example, Plan S requires what services already exist in that area.21 If you have discovered a gap or if your target published metadata to be marked with a CC0 license, whereas this is not obligatory group has signaled the need for such a service, you should figure out which capacities under the DINI certificate. In the following, the requirements have been summarised and resources are available to you. The next step is to obtain an overview of the various in such as way that all conditions are included. A long-term objective is to compile the software solutions and hosting services. Depending on the content for which your standards in a searchable and filterable online database. This would enable a targeted repository is to be used, different solutions are available. The systems presented below search for requirements from Plan S or the DINI certificate. are primarily suitable for text publications. Systems for the publication of research data are not included.22 Your repository should meet various requirements in order to be an attractive publish- 2. Specific Requirements and Standards ing service for authors and editors. Funding guidelines also set certain standards for the publication of research results that have received third party funding. These In the following, the requirements for green open access publishing platforms are requirements should be taken into account as early as the planning and development grouped into different categories: stage. For this reason, the requirements from the current DINI certificate23 and Plan S • Access • Quality assurance and metadata have been combined and grouped under specific categories. The DINI certificate is an outstanding advertisement for repositories because it demonstrates to the public • Publication • Visibility that the document server meets certain quality standards. Various hosting service • Preservation and sustainability • Statistics providers are already pre-certified via“ DINI ready”, meaning that repositories hosted by these services automatically meet certain DINI certificate requirements. The • Technical frameworks • Legal issues providers registered as “DINI ready” have been marked accordingly in the list below. • Interfaces • Information politics Research funders also have specific requirements in terms of publishing platforms. In 2018, Coalition S was founded as the result of an initiative of European funding institutions with the goal of promoting open access. For this purpose, specific requirements were published in 2019. Publishing platforms must meet these requirements in order to be eligible to publish works that have been created through funding by the member organisations. Therefore, operators of repositories are well advised to observe the requirements and to give adequate consideration to them in the course of planning publishing services.

21 Research can be done e.g. via the “Directory of Open Access Repositories”: https://v2.sherpa.ac.uk/opendoar/. 22 Information about research data repositories: https://www.publisso.de/en/publishing/research-data/table-of-research-data-repositories/ or https://www.re3data.org/. 23 See page 10. 24 See https://www.openaire.eu/.

32 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 33 Access

• Ensure that all content is accessible from a single website. • Save all data and documents regularly in a backup.

• Open access publications should be represented graphically in • Ensure continuous availability (at least 99.7%) of your service. browsing and results lists. • Have the availability of the servers regularly checked by • Give authors the option to upload documents to be published autonomous monitoring software. independently (web form) or to submit the documents or have • Secure the data exchange between web server and users them submitted to the service in another way. by using up-to-date TLS-technology – such as SSL. • The original files of the documents and, if applicable, any additionally created copies must be free of technical protection measures. Interfaces • The software interface should be flexibly adjustable. • Set up a web interface for users that enables access to all stored documents and the associated metadata. Publication • Set up an OAI-interface that meets the requirements of OAI-PMH 2.0 and the • In your repository, publish the final publication version or the OAI-guidelines of DINI (see page 44-45 and the current DINI certificate). version of a manuscript that has been accepted after review.

• The publications must not be subject to embargo. Quality assurance and metadata

• Ensure that documents are not modified once they are published. • Provide high quality, machine-readable metadata, including information on persistent identifiers and the license or • Perform subsequent deletions in exceptional cases only and legal situation. Publish these under a CC0 license. document them accordingly. • The metadata must include information on funding by Coalition S- Preservation and Sustainability members, at least the name of the funder and the funding-ID. • Document the legal situation in the exportable metadata of the published • Ensure the preservation of the publications, e.g. with CLOCKSS, Portico documents in machine-readable form. or equivalent programmes. • The formal indexing of each document should be based on the means and • Guarantee the availability of the documents and metadata that are published methods of the Dublin Core Element Set. through the service for a minimum period of five years. • Classify all documents according to the Dewey Decimal Classification (DDC) – Technical frameworks at least in compliance with the subject categories of the Deutsche Nationalbibliographie. • Consider the future size of the repository already in • Assign all documents to the document types or publication types from the the planning stage (scalability!). vocabulary of the DINI recommendations Common Vocabulary. • Develop a safety, damage and operational concept for • Facilitate the immediate export of individual metadata records or search results the technical system on which the service is based. in the form of at least one suitable document format on the web interface. • Document the technical system in writing, including all components necessary for operation.

34 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 35 Visibility Legal issues

• For each document (and each new version) submitted to and published in the • Publish under a CC license (preferably CC-BY-4.0, alternatives publishing service, assign a “persistent identifier” (preferablyDOI , alternatively in justified cases: CC0, CC-BY-SA, CC-BY-ND). URN) which is specified as primary identifier in the form of an operable URL in • The rights to the publication remain with the authors. Document the formal the exported metadata and on your own online service. agreement (“deposit license”) in writing. A deposit license is not necessary • Have your service included in the DINI “list of document when using a free license (such as CC-BY). and publishing services”. • Make the deposit license available in the official languages of the country where • Have your service included in the list of sources of the “Bielefeld Academic you have your head office. The rights granted cover Search Engine (BASE)” under a consistent Base-URL. • the electronic storage and provision of public access, • Ensure that the repository is listed in the “Directory of • the notification of and disclosure to third parties, for instance in the context Open Access Repositories (DOAR)”. of national collection mandates and in particular for the purpose of long-term preservation,

• the preparation of copies and Statistics • the conversion into other electronic or physical formats for the purpose • Publish statistics at least annually. of preservation while maintaining the integrity of the content.

• Create a publicly accessible documentation about the criteria or • The author expresses in a documentable and verifiable way the intend to use standards used to compile or process the statistics. this service in order to carry out a secondary publication of the contribution. Alternatively, as operator of the service you have to document that a permission • Maintain your own consistent access statistics in accordance of another kind has been granted. with the legal requirements. • The author assures the operator that the publication of the work, • Anonymise or pseudonymise the webserver logs for long-term storage. or parts thereof, does not infringe the rights of third parties. • For statistical purposes, filter out automatic access from user • Provide publication details on your website which comply access to the service or individual documents and data. with the legal requirements.

• Include the documentation of the rights situation in the metadata of the publications.

• Specify the rights situation of the documents in human-readable form via the web front-end.

36 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 37 Information politics

• Describe in detail, what and how you publish on your platform.

• Offer a help desk with at least one e-mail address. The response time to requests should not exceed one working day.

• Describe your service in a publicly provided policy which includes the following points:

• a definition of the operator’s rights and obligations and the rights and obligation of the authors and editors who use the service for publication purposes,

• a description of the type of documents published by the service and requirements with regard to the content and technical quality,

• a definition of the minimum period for which documents published via the service remain available and the associated guarantee statement,

• a statement on the long-term preservation of the documents,

• statements on the technical operation of the service and

• a statement on open access and information on how document versions and deletions are handled.

• Refer to relevant sources of information on specific questions concerning open access (e.g. secondary publication rights) or present your own “Frequently Asked Questions” (FAQs) on your website.

• Ensure that the rules used for indexing documents are transparent and make them available to users online.

38 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 39 3. Repository Software

Application/ System Developer Special features (i.a.) Combination example

OPUS DoPuS (document and KOBV • License module https://www.kobv.de/entwicklung/software/opus-4/ publication server Speyer): • Support URN Hosting service: https://dopus.uni-speyer.de/home • OAI-PMH 2.0 KOBV: • Use of checksums to ensure the authenticity of the documents https://www.kobv.de/services/hosting/opus/(DINI ready); • SWORD-interface Bibliotheksservice-Zentrum Baden-Württemberg • OpenAIRE-interface (Library Service Centre Baden-Wuerttemberg) • Bibliography function https://www.bsz-bw.de/mare/repositorien/index.html(DINI ready); • Setting of an embargo period is possible Staats- und Universitätsbibliothek Hamburg: • Metadata export https://www.sub.uni-hamburg.de/en/bibliotheken/projekte-der-stabi/ • XML import abgeschlossene-projekte/dokumentenserver-hosting.html • Publication of research data Hochschulbibliothekszentrum Nordrhein-Westfalen • Preparation of bibliographies (North Rhine-Westphalian Library Service Centre): • Solr-search https://www.hbz-nrw.de/produkte/open-access/opus • Hierarchical systems are structured via collections

Dspace SSOAR: MIT and HP Labs; • Setting of an embargo is possible https://duraspace.org/dspace/ https://www.gesis.org/en/ssoar/home non-profit organisation • Solr-statistics module Hosting service: DuraSpace • Integration of various metadata formats https://www.atmire.com/services/dspace-hosting • Different ways of authentication are possible • OAI-PMH-interface • SWORD-interface • RSS • Multilingual

Eprints Publication server University of • Extensions via plug-ins available https://www.eprints.org/uk/ Universität Regensburg: Southampton • Multilingual https://epub.uni-regensburg.de/ • Flexible metadata structure Fedora ZB MED-Repository for Life Sciences: University of Virginia, • Modular design https://duraspace.org/fedora/ https://repository.publisso.de/resource Cornell University • REST-interface • Linked Data Platform (RDF) • Plug-ins • OpenAIRE-interface

MyCore OpenAgrar: University of • Versioning https://www.mycore.de/ https://www.openagrar.de/content/ Duisburg-Essen, • XML import and export Hosting service: index.xml?lang=en Universität Hamburg • Object dependencies Gemeinsamer Bibliotheksverbund: • REST-, OAI PMH-, SWORD-interface https://www.gbv.de/Verbundzentrale/serviceangebote/reposis-reposito- • WYSIWYG-editor ry-service (DINI ready) • Image viewer

40 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 41 Application/ System Developer Special features (i.a.) Combination example

Greenstone http://www.greenstone.org/ New Zealand Digital • Multilingual http://www.greenstone.org/ greenstone3/library Library Project, • OAI-PMH-interface University of Waikato • METS export and import • Exchange with DSpace • Flexible metadata formats • Plug-ins Invenio Zenodo: https://zenodo.org/ CERN • OAI-PMH-interface https://inveniosoftware.org/ • JSON schema Hosting service: • Flexible metadata TIND: https://tind.io/g • DOI-registration • REST-interface Mediatum Mediatum Technical University of • Preparation of bibliographies via interface is possible https://mediatum.ub.tum.de/ (Publication server Technical Munich • Module for research management University of Munich) • Linking of research data to publications https://mediatum.ub.tum.de/ • Indexing in search engines and catalogues • Flexible metadata schemas • Elaborated rights management • Imports and exports • Versioning • Long-term preservation • Statistics module • Flexible, modular design

Samvera Digital Repository Service Samvera Community • Based on Fedora https://samvera.org/ (Northeastern University Library): (Open Source) • Solr-search https://repository.library. • ORCID-integration northeastern.edu/ • Shibboleth-authorisation

42 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 43 OAI and OpenAIRE • In the data sets delivered in Dublin Core 28 (oai_dc) format, at least the elements "creator", "title", "date", "type" and "identifier" Interface Requirements are delivered with content. • Only one value is referenced in each DC element used. In conclusion, reference is made to a number of requirements that specify the design of an OAI or OpenAIRE interface for the exchange of metadata. The following require- • For each data set that refers to a full text, an operable URL based on ments apply to both gold open access platforms and repositories. a persistent identifier is specified in at least one identifier element.

The DINI certificate provides a detailed description of the required metadata structure • The following internal structure is used for the element for the OAI-interface: “creator”: last name, first name

The minimum requirements with regard to an OAI interface according to the DINI • All documents are assigned in separate “type”- elements to document or certificate are summarised below:26 publication types in accordance with the DINI recommendations “Common vocabulary for publication and document types”.29 • Compliant with the protocol specification in version 2.0 • For each data set, a DNB-subject group is specified in at least one “subject” • Permanently registered Base-URL element to which the described document is assigned to. • Rule-consistent answers in the sense of XML and the XML Schema • The content of the element “language” is specified according to one of the Definition in the OAI specification and other XML Schema Definitions ISO-standards ISO 639-2 or 639-330 . used for the metadata formats • The content of the element “date” is specified according • Support of incremental Harvesting the ISO-standard 860131. • Set-information is used in consistent form. OpenAIRE 32 is an initiative sponsored by the European Commission which maintains • There is a set with the identifier (setSpec) ‘open_access’ (this includes all help desks in many European countries to support the open access movement. In metadata records relating to open access documents, if applicable, all metadata addition, publications are linked with authors and funding institutions via inter- records are part of this set). faces. The requirements with regard to “OpenAIRE Compliance” are available here: https://guidelines.openaire.eu/en/latest/ • There is a set-structure, in which all metadata records are arranged according to the subject classification of the corresponding documents. • There is a set-structure, in which all metadata records are arranged according Resumption Token: to the assignment to document and publication types of the corresponding In the context of an OAI interface, resumption token facilitates the return of part 27 documents (DINI vocabulary). responses. It contains information about which parts of lists were queried. In this • One of the values ‘persistent‘ or ‘transient‘ is selected as deleting way, information can be retrieved step by step. strategy for the data provider. Further information: https://www.dnb.de/EN/Professionell/Metadatendienste/ • The use of resumption token is guaranteed to function. Datenbezug/OAI/oai_node.html

29 DINI Arbeitsgruppe Elektronisches Publizieren. Gemeinsames Vokabular für Publikations- und Dokumenttypen. 2010. DOI: 10.18452/1492. 26 DINI Zertifikat 2019, page 43-61. For a description of the individual elements, see DINI Zertifikat 2019, from page 55. 30 See https://iso639-3.sil.org/code_tables/639/data [retrieved on 27 May 2020]. 27 DINI Arbeitsgruppe Elektronisches Publizieren. Gemeinsames Vokabular für Publikations- und Dokumenttypen. 2010. DOI: 10.18452/1492. 31 See https://www.w3.org/QA/Tips/iso-date [retrieved on 27 May 2020]. 28 See https://www.dublincore.org/specifications/dublin-core/dces/ [retrieved on 27 May 2020]. 32 See https://www.openaire.eu/ [retrieved on 27 May 2020].

44 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 45 List of Terms and Abbreviations

APC Counter Standard ISSN MySQL Article Processing Charges (publication Standard for providing usage statistics International Standard Serial Number: Relational database management fees for journal articles) of electronic resources: https://www.issn.org/ system for dynamic web applications https://www.projectcounter.org/ API Horizon 2020 OAI Application Programming Interface Crossref EU Research and Innovation Open Archives Initiative: Registration agency for DOIs: programme: https://ec.europa.eu/ https://www.openarchives.org/ BASE https://www.crossref.org/ programmes/horizon2020/en Bielefeld Academic Search Engine OAI-PMH (search engine for scientific Open DARIAH JATS OAI Protocol for Metadata Harvesting Access documents): Digital Research Infrastructure Journal Article Tag Suite OASPA https://www.base-search.net/about/en/ for the Arts and Humanities: (XML format for journal articles): Open Access Scholarly Publishers https://de.dariah.eu/ https://jats.nlm.nih.gov/ BITS Association: https://oaspa.org/ Book Interchange Tag Suite DataCite Java OAPEN (XML format for book publications) Registration agency for DOIs: Object-oriented programming language Open Access Publishing in European https://datacite.org/ BPC JSON Networks. Operates two platforms: Book Processing Charges (publication DINI JavaScript Object Notification OAPEN Library: repository for Open fees for books) Deutsche Initiative für Netzwerk (data interchange format) Access books and DOAB: information e.V. (German Initiative for http://www.oapen.org/home CLOCKSS LOCKSS Network Information): https://dini.de/ Controlled Lots Of Copies Keep Stuff Lots Of Copies Keep Stuff Safe OpenAIRE Safe (see LOCKSS) DNB (system for digital preservation): Initiative funded by the European Deutsche Nationalbibliothek https://www.lockss.org/ Commission in context of Horizon Coalition S (see Plan S) (German National Library): 2020: https://www.openaire.eu/ International consortium of research MARC XML https://dnb.de/EN/ funders Machine-Readable Cataloging Open DOAR DOI (bibliographic data standard): Directory of Open Access Repositories: COAR Digital Object Identifier: https://d-nb.info/1136935762/34 https://v2.sherpa.ac.uk/opendoar/ Confederation of Open Access Reposito- https://www.doi.org/ ries: https://www.coar-repositories.org/ METS Perl DOAB Metadata Encoding and Transmission Free programming language Coko Directory of Open Access Books: Standard (XML format for describing Collaborative Knowledge Foundation: PHP https://www.doabooks.org/ digital collections): https://coko.foundation/ Hypertext Preprocessor (scripting http://www.loc.gov/standards/mets/ DOAJ language for dynamic web applications) COPE Directory of Open Access Journals: MODS Committee on Publication Ethics: Plan S (see Coalition S) https://doaj.org/ Metadata Object Description https://publicationethics.org/ Strategy for promoting Open Access: Schema (XML schema): DRM https://www.coalition-s.org/ https://www.loc.gov/standards/mods/ Digital Rights Management

46 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 47 Portico URL Further Reading Programme for digital preservation: Uniform Resource Locator (uniform https://www.portico.org/ locator of web resources) Arning U. GMS publishes your research Ball D. Open Access: Effects on Publish- findings – and makes the related research ing Behaviour of Scientists, Peer Review Python URN data available through Dryad. GMS and Interrelations with Performance Object-oriented programming language Uniform Resource Name Zeitschrift für Medizinische Ausbil- Measures. In: Weingart P, Taubert N, (persistent identifier): RDF dung. 2015; 32(3):Doc34. DOI: 10.3205/ Hrsg. Wissenschaftliches Publizieren. https://www.dnb.de/EN/Professionell/ Resource Description Framework zma000976 Berlin, Boston: De Gruyter; 2016. DOI: Services/URN-Service/urn-service_ (system for describing of resources) 10.1515/9783110448115-007 node.html Arning U. Der Wissenschaftskreislauf REST interface schließt sich: Publizieren bei einer Spe- Blasetti A, Golda S, Göhring D, Grimm Waiver Representational State Transfer (simple zialbibliothek –ZB MED – Leibniz-Infor- S, Kroll N, Sievers D, Voigt M. Smash the Partial or total exemption from publica- application programming interface) mationszentrum Lebenswissenschaften. Paywalls: Workflows und Werkzeuge für tion fees for specific target audiences o-bib Das offene Bibliotheksjournal / her- den grünen Weg des Open Access. Infor- RfII WYSIWYG ausgegeben vom VDB. 2015; 2:249-256. mationspraxis. 2019;5(1). DOI: 10.11588/ Rat für Informationsinfrastrukturen “What you see is what you get” DOI: 10.5282/o-bib/2015h4s249-256 ip.2019.1.52671 (German Council for Scientific Informa- (e.g. text in an text editor resembles its tion Infrastructures; panel of experts Arning U. Living Handbooks in der Chen G, Posada A, Chan L. Vertical appearance when eventually published) for forsights on the development of Lehre. Gemeinsame Jahrestagung der Integration in Academic Publishing. digital science): XML Gesellschaft für Medizinische Ausbil- In: Chan L, Mounier P, Hrsg. Connect- http://www.rfii.de/en/home/ Extensible Markup Language dung (GMA) und des Arbeitskreises zur ing the Knowledge Commons — From (machine-readable markup language) Weiterentwicklung der Lehre in der Zah- Projects to Sustainable Infrastructure. RSS nmedizin (AKWLZ). 24. November 2017. OpenEdition Press; 2019. DOI: 10.4000/ Rich Site Summary (web feed allowing DOI: 10.3205/17gma346 books.oep.9068 users to track changes on websites) Arning U, Rothe R. ZB MED – Open-Ac- Creaser C, Fry J, Greenwood H, Solr cess-Publikationsspezialist für die Leb- Oppenheim C, Probets S, Spezi V, Open Source retrieval system enswissenschaften. GMS Medizin - Bib- White S. Authors’ Awareness and Atti- Sparc liothek – Information. 2016; 16(3):Doc16. tudes Toward Open Access Reposito- Scholarly Publishing and DOI: 10.3205/mbi000371 ries. New Review of Academic Librar- Academic Resources Coalition: ianship. 2010;16(sup1):145–61. DOI: Ayris P, Ignat T. Defining the role of https://sparcopen.org/ 10.1080/13614533.2010.518851 libraries in the Open Science landscape: a SWORD reflection on current European practice. DINI Arbeitsgruppe Elektronisches Simple Web-service Offering Open Information Science. 2018;2(1):1–22. Publizieren; Deutsche National- Repository Deposit (interface by which DOI: 10.1515/opis-2018-0001 bibliothek D; Bibliotheks-Zentrum data in the form of complex objects can Baden-Württemberg. Deutsche Initi- Balaji B, Dhanamjaya M. Preprints in be deposited): ative für Netzwerkinformation, Hrsg. Scholarly Communication: Re-Imagin- http://swordapp.org/ Gemeinsames Vokabular für Publika- ing Metrics and Infrastructures. Publi- tions- und Dokumenttypen. 2010. DOI: TEI cations. 2019;7(1):6. DOI: 10.3390/publi- 10.18452/1492 Text Encoding Initiative (XML format): cations7010006 https://tei-c.org/

48 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 49 Directorate-General for Research and Jamali HR, Nicholas D, Herman E. Schol- Rosenbaum K. Von Fach zu Fach ver- Tennant JP, Crane H, Crick T, Davila Innovation (European Commission). arly reputation in the digital age and the schieden. Diversität im wissenschaftli- J, Enkhbayar A, Havemann J, Kramer Future of scholarly publishing and schol- role of emerging platforms and mecha- chen Publikationssystem. In: Weingart B, Martin R, Masuzzo P, Nobes A, Rice arly communication. Luxembourg: Pub- nisms. Research Evaluation. 2016;25(1):37– P, Taubert N, Hrsg. Wissenschaftliches C, Rivera-López B, Ross-Hellauer T, lications Office of the European Union; 49. DOI: 10.1093/reseval/rvv032 Publizieren. Berlin, Boston: De Gruyter; Sattler S, Thacker PT, Vanhols M.Ten 2019. DOI: 10.2777/836532 2016. DOI: 10.1515/9783110448115-002 Hot Topics around Scholarly Publishing. Johnson R. From coalition to commons: Publications. 2019;7(2):34. DOI: 10.3390/ Eva NC, Wiebe TA. Whose Research is Plan S and the future of scholarly com- Roux D, Cannet E. Métopes. Methods publications7020034 it Anyway? Academic Social Networks munication. Insights the UKSG journal. and tools for structured publishing, a Versus Institutional Repositories. Jour- 2019;32. DOI: 10.1629/uksg.453 data-driven approach. 2019. DOI: 10.5281/ Tobias R. Optimierung der Workflows nal of Librarianship and Scholarly Com- zenodo.2545575 für Zweitveröffentlichungen – der „Grüne Keller A. Bibliotheken unterstützen munication. 2019;7(1). DOI: 10.7710/2162- Weg“ am Karlsruher Institut für Technol- Open Access-Zeitschriften: eine Bedarfs Schrader A, Grossmann A, Reiche M. 3309.2243 ogie (KIT). o-bib Das offene Bibliothek- abklärung. o-bib Das offene Bibliothek- Towards a sustainable Open Access mon- sjournal / Herausgeber VDB. 2018; 5(4), Eve MP. All That Glisters: Investigating sjournal / herausgegeben vom VDB. ograph publishing workflow for academic 71-83 . DOI: 10.5282/o-bib/2018h4s71-83 Collective Funding Mechanisms for Gold 2015;2(4): 297-313. institutions. 2018. DOI: 10.14293/S2199- Open Access in Humanities Disciplines. 1006.1.SOR-.PPX3EC5.v1 Wise A, Estelle L. Society Publishers LeBlanc AG, Barnes JD, Saunders TJ, Journal of Librarianship and Schol- Accelerating Open access and Plan S Tremblay MS, Chaput J-P. Scientific Severin A, Egger M, Eve MP, Hürlimann arly Communication. 2014; 2(3). DOI: (SPA-OPS) project. 2019. DOI: 10.6084/ sinkhole: The pernicious price of format- D. Discipline-specific open access pub- 10.7710/2162-3309.1131 M9.FIGSHARE.C.4561397.V2 ting. PLoS ONE. 2019;14(9):e0223116. DOI: lishing practices and barriers to change: Frantsvåg JE, Strømme TE. Few Open 10.1371/journal.pone.0223116 an evidence-based review. F1000Re- Wise A, Estelle L. 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50 Guide Open Access Publishing Platforms Guide Open Access Publishing Platforms 51