and the new leverage of library consortia in the transition

EIFL: Knowledge Without Boundaries EIFL General Assembly │ 8 August 2019, Bishkek

Colleen Campbell Open Access 2020 Initiative │ Max Planck Digital Library @oa2020ini @oa2020ini Introductions

Colleen Campbell Open Access 2020 Initiative Max Planck Digital Library

@ColleenCampbe11 [email protected]

OA2020 is a global alliance of higher education and research organizations across five continents adopting strategies to transform today’s scholarly journals from the current subscription system to new open access publishing models.

https://oa2020.org

1 To start, Чоң рахмат @oa2020ini Our agenda

What will we cover? 1. Background and Context 2. The Plan S Principles • Why, Who, How 3. New leverage for library consortia • Transformative Agreements • How they work • Case study: Projekt DEAL - Wiley 4. What transformative strategy can we develop with EIFL? 5. Key takeaways and what’s next 1. Background and context @oa2020ini What progress have we made in the open access transition?

The state of OA: a large-scale analysis of the prevalence and impact of Open Access articles doi:10.7717/peerj.4375. 5 @oa2020ini Removing barriers

Poverty is created by barriers. To fight poverty, we have to see and study the barriers, and then go around them or through them so the poor aren't cut off from benefits others enjoy.

Melinda Gates

6 2. The Plan S Principles cOAlition S I 8

Why Plan S?

“Science, as an institution of organised criticism, can… only function properly if research results are made openly available to the community so that they can be submitted to the test and scrutiny of other researchers”

“we have been talking about open access for 20 years; it is time to do it properly” (speaker at Open Repositories 2019 conference session on Plan S)

(Of course, Scielo has been doing it properly in one way for 20 years…) cOAlition S I 9

cOAlition S: who?

National European funders: European funders: Austria: FWF European Research Council Finland: AKA European Commission France: ANR Ireland: SFI Charitable foundations: Italy: INFN The Wellcome Trust Luxembourg: FNR The Bill & Melinda Gates Foundation Netherlands: NWO Norway: RCN Global dimension Poland: NCN Jordan: HCST Slovenia: ARRS Zambia : NSTC Sweden: FORMAS, FORTE, VINNOVA African Academy of Sciences UK: UKRI The Government of India

Sao Paulo Statement : AmeLICA, SciELo, African Platform, OA2020, cOAlition S

Coordinated action with OA2020 cOAlition S I 10

Plan S: Built on strong principles

No publication should be locked behind a paywall

OA must be immediate, i.e. no embargo periods

No copyright transfer; publication under a CC BY license by default

Transparency about pricing and contracts

Funders commit to support publication fees at a reasonable level

Multiple routes to OA compliance

Commitment to assess research outputs based on their intrinsic merit and NOT venue of publication cOAlition S I 11 Working with key stakeholders: other OA initiatives cOAlition S I 12 Multiple routes to compliance https://www.coalition-s.org/principles-and-implementation/

Open Access publishing Subscription venues Transition of Subscription venues (journals or (repository route) venues (transformative platforms) arrangements)

Route Authors publish in an Authors publish in a Authors publish Open Open Access journal or subscription journal and Access in a subscription on an Open Access make either the final journal under a platform. published version transformative (Version of Record arrangement. (VoR)) or the Author's

Accepted (AAM) openly available in a repository.

Funding cOAlition S funders will cOAlition S funders will cOAlition S funders can financially support not financially support contribute financially to publication fees. "hybrid" Open Access Open Access publishing publication fees in under transformative subscription venues. arrangements.

@oa2020ini Even where local OA platforms are successful, we cannot afford not to have a publisher negotiation strategy @oa2020ini Plan S has created the perfect storm

14 3. New leverage for library consortia @oa2020ini Synergy between Plan S and OA2020

https://www.coalition-s.org/principles-and-implementation/ 16 @oa2020ini Transformative agreements

Transformative agreements are those contracts negotiated between institutions (libraries, national and regional consortia) and publishers that transform the business model underlying scholarly journals from subscription to open access.

They aim to constrain costs of scholarly communication and foster sustainability and equity in scholarly publishing

https://esac-initiative.org/about/transformative-agreements/ @oa2020ini Shared set of community guidelines

- Temporary and transitional - Authors retain exclusive rights to their works - Agreements must be transparent - Include permanent access - Constrain costs of scholarly communication and foster equity in scholarly publishing - Govern service and workflow requirements to ensure that the needs of authors and administrators are addressed https://esac-initiative.org/about/transformative-agreements/guidelines-for-transformative-agreements/ https://esac-initiative.org/guidelines/ @oa2020ini Validated and supported by the global research community

https://oa2020.org/b14-conference/final-statement/ 19 @oa2020ini Validated and supported by the global FINAL STATEMENT research14thcommunity Berlin Open Access Conference We are all committed to authors retaining their copyrights, We are all committed to complete and immediate open access, We are all committed to accelerating the progress of open access through transformative agreements that are temporary and transitional, with a shift to full open access within a very few years. These agreements should, at least initially, be cost-neutral, with the expectation that economic adjustments will follow as the markets transform.

Publishers are expected to work with all members of the global research community to effect complete and immediate open access according to this statement.

https://oa2020.org/b14-conference/final-statement/ 20 @oa2020ini Note: cost-neutral is based on legacy pricing (no social justice in subscriptions!) Person/tear 0,00 500,00 1.000,00 1.500,00 2.000,00 2.500,00 3.000,00 3.500,00 C2

C1

C18

C17****

C11 Calculation: Annual spend on 5 big publishers / C8 GDP per capita C21 Interpretation: the result represents the number of C19 people that need to work for one year C10 (person/year), given a certain GDP per capita, in C4 order to reach the same monetary value as the cost with the 5 big publishers in that country. C3***

C32** GDP per capita: source Eurostat (data from 2017)

C31****

C12

https://eua.eu/downloads/publications/2019%20big%20deals%20report.pdf @oa2020ini Momentum is growing globally

After Austria, the Netherlands, the UK, Sweden, Norway and Germany, now Japan, Spain, Saudi Arabia, Qatar, France, Switzerland, Greece, Hungary, Slovenia, the United States and beyond!

22 @oa2020ini Publishers embracing transformation

https://esac-initiative.org/about/transformative-agreements/agreement-registry/ @oa2020ini How they work

Digital transition

Money flow shifted from individual subscriptions to the big deal package @oa2020ini How they work

Digital transition

Money flow shifted from individual subscriptions to the big deal package

Subscriptions @oa2020ini How they work

Hybrid era

Authors increasingly pay APCs in the wild to publish open access + Subscriptions Open access

26 @oa2020ini How they work

Open access transition Transformative Agreement Hybrid spending is reined in and the two sides of scholarly communication are governed under a single agreement

Subscriptions Open access http://esac-initiative.org/ @oa2020ini How they work

Open access transition Transformative Agreement Money previously spent for access is now used for open access publishing services

Subscriptions Open access

28 @oa2020ini How they work

Open access transition

Costs are assessed transparently, based on actual publication volume. Publication Fee

Reading Fee @oa2020ini How they work

Open access transition Models continue to evolve. In the DEAL agreement, the cost of access is incorporated into the per-article “Publish & Read” fee. @oa2020ini How they work

The next step

Preconditions established for a diverse and innovative scholarly publishing landscape: - Costs associated with level of service - Price transparency - Funds free to flow where needed Case Study – Projekt DEAL - Wiley

Wiley and Project DEAL partner to enhance the future of scholarly research and publishing in Germany 15. January 2019 Objectives

- Increase the impact of German research, publishing results open access for the world to read and build upon - Ensure German authors retain exclusive rights to their works and the opportunity to publish in the venues of their choice - Rein in the escalating costs of scholarly communication - Accelerate the global open access transition for the benefit of scholars, students and citizens.

https://www.projekt-deal.de/faq-wiley-contract/ @oa2020ini Cost-neutral transition ~3% average

2017 + 12,5% 2017 + 10% 2017 + 8%

PAR fee PAR fee PAR fee pre-payment pre-payment pre-payment

Subscription 2018 2019 2020 2021 2017 Pre-payment amount of estimated total PAR fees remains on the level of previous subscription spending (based on 2017 subscription fees) and APC’s

“in the wild” have been reined in = cost neutral 33 @oa2020ini Agreement features

- Euro 2750 Publish & Read fee (PAR fee not an APC) - No cap on # of articles - Preference for CC-BY - Risk sharing: pay based on article output - Pure gold OA 20% discount on list APC - Read access to full journal portfolio (~1700 titles)

- Extended to ~700 public and privately funded research institutions - Includes permanent access to full backfile from 1997 - One-time fee of 2M - Internal cost model to ease the transition

https://www.projekt-deal.de/faq-wiley-contract/ 34 @oa2020ini A giant step forward in the transition to open access

- ~10.000 articles a year complete and immediate open access - Authors are guaranteed freedom of choice in publishing venue - Authors retain copyright, can use and re-use their work - Scholars and society learn from and build on the latest research - Departure from the subscription logic - Costs are within previous spending level (cost-neutral) and transparent; transactions at the article level - Operational compliance with open access workflows - Forward-looking processes and systems - Prepare for transition at scale

https://www.projekt-deal.de/faq-wiley-contract/ 35 @oa2020ini Where do we go from here?

- Build on the new benchmark that removed “APCs in the wild” and achieved cost-neutrality with former subscription spend - Pre-payment must shift to post-payment - Market conditions and pressure will drive fees down; baseline prices will fall as more consortia and institutions negotiate transformative agreements

36 What transformative strategy can we develop with EIFL? @oa2020ini The first step: data analytics

 What value for money are you getting now with your subscription payment?  What is the publishing output of my consortium/institution (submitting, corresponding author share)?  How does the publishing output relate to my current subscription access spending?  What proportion of my institution’s outputs are published open access—in pure gold OA journals and, separately, in hybrid journals?  What discounting is offered by the publisher on subscriptions, on APCs?  What are the costs involved—APCs, page charges, color charges, figure charges…? @oa2020ini Example: An updated way of assessing the value of subscriptions

https://www.slideshare.net/HenrikKarlstrm1/expanded-usage-metrics-for-literature-resources- 105601917

39 @oa2020ini EIFL - Total publishing and OA share Country 2017 total articles published Of which OA % of total published in OA Uzbekistan 240 59 24.58% Maldives 12 3 25.00% Slovenia 2,818 722 25.62% Georgia 303 85 28.05% Belarus 658 186 28.27% Namibia 76 23 30.26% Fiji 101 31 30.69% Armenia 242 76 31.40% Kosovo 148 48 32.43% Thailand 6,771 2,202 32.52% Estonia 1,226 415 33.85% Kyrgyzstan 84 29 34.52% Moldova 227 82 36.12% Macedonia 373 138 37.00% Lithuania 1,871 710 37.95% Denmark 12270 4738 38.61% Serbia 4,540 1,754 38.63% Botswana 211 82 38.86% Latvia 541 221 40.85% Zimbabwe 329 135 41.03% Ukraine 6,917 2,891 41.80% Palestine 277 118 42.60% Ghana 1,066 467 43.81%40 @oa2020ini Lithuania 1,871 710 37.95% Denmark 12270 4738 38.61% Serbia 4,540 1,754 38.63% Botswana 211 82 38.86% Latvia 541 221 40.85% Zimbabwe 329 135 41.03% Ukraine 6,917 2,891 41.80% Palestine 277 118 42.60% Ghana 1,066 467 43.81% Sweden 18284 8171 44.69% Ivory Coast 165 74 44.85% Norway 9554 4384 45.89% Senegal 274 137 50.00% Kenya 1,008 509 50.50% Netherlands 25137 13205 52.53% Zambia 162 87 53.70% Lesotho 22 12 54.55% Congo 144 81 56.25% Tanzania 473 278 58.77% Sudan 199 117 58.79% Ethiopia 1,393 849 60.95% Myanmar 83 51 61.45% Cambodia 88 57 64.77% Malawi 209 136 65.07% Laos 46 31 67.39% Uganda 507 348 68.64%

Nepal 483 344 71.22% 41 @oa2020ini Community benchmark in open access publishing costs

https://treemaps.intact-project.org/ 42 @oa2020ini The next step: define your shared goals

 What do you consider to be a fair price for publishing services? What kind of internal funding model could be created?  What kind of proposal would you like to make to the publisher?  If the publisher is now offering low-cost or free access, could we not expect the same conditions for open access publishing?  Involve your stakeholders in the process—you need the full support of faculty and rectors in the negotiations @oa2020ini Exmaple: California Digital Library approach

https://osc.universityofcalifornia.edu/open- access-at-uc/publisher-negotiations/negotiating- with-scholarly-journal-publishers-a-toolkit/an- introductory-guide-to-the-uc-model- transformative-agreement/#UCmodel

44 @oa2020ini The next steps (to be continued)

 Negotiation strategy  Communications plan and execution  Planning for alternative access in case an agreement cannot be reached  Importance of international collaboration Key takeaways @oa2020ini Key takeaway 1 Read access and publishing are two sides of the same coin

Consortia can provide new value to their stakeholders by bringing central oversight and control into the (open access) publishing market.

47 @oa2020ini Key takeaway 2: We are no longer in the era of „business as usual“

The most recent transformative agreements have illustrated that we can rein in hybrid “APCs in the wild” and unlock the lump- sum revenues going to subscription publishers so that our money is free to flow to new publishing outlets @oa2020ini Key takeaway 3: We all need to get in the game of the open access transformation, to counterbalance publisher market power

The money we pay (not to mention the articles our authors contribute) is our leverage to demand a transition of scholarly journals from the subscription model to open access publishing.

49 @oa2020ini Key takeaway 4: EIFL is uniquely positioned to bring a new perspective to the transition of subscription journals to open access and take a lead role in shaping scholarly communications in the 21st century. @oa2020ini Where do we start?

 Speed dating: What are you willing to commit to do to advance the transition of subscriptions to open access?

 Workshop: What ideas can we develop to create and  implement roadmaps that are appropriate for the diverse contexts of EIFL members? What can EIFL members do as a group to contribute to the transformation?

 Sign the OA2020 Expression of Interest in the large-scale implementation of open access to scholarly journals and participate in OA2020!

https://oa2020.org/mission @oa2020ini Thank you

Participate Accelerate in OA2020 the transition Colleen Campbell Open Access 2020 Initiative Max Planck Digital Library

[email protected] @ColleenCampbe11

https://oa2020.org

52 Resources @oa2020ini A strategy to make good on our committment to open access

OA2020 Expression of Interest in the Large-Scale Implementation of Open Access to Scholarly Journals

 Transform a majority of today’s scholarly journals from subscription to OA publishing in accordance with community-specific publication preferences.

 Pursue this transformation process by converting resources currently spent on journal subscriptions into funds to support sustainable OA business models.

https://oa2020.org/mission/ @oa2020ini Evidence base founded on our own data analyses and value assessment

 (Re)define metrics to assess subscriptions and their costs; can we really only base value on usage?

 What is the publishing output of my institution (submitting, corresponding share), overall and with any given publisher?

 What proportion of my institution’s outputs are published open access? What are the costs involved—APCs, page charges, color charges, figure charges…?

 What value does my institution bring to a publisher’s portfolio?

https://esac-initiative.org/esac-data-working-group/ @oa2020ini Transformative Agreement Registry

https://esac-initiative.org/about/transformative-agreements/agreement- registry/

56 @oa2020ini Market Watch

https://esac-initiative.org/about/apcmarket/ https://treemaps.intact-project.org/apcdata/openapc/

57 @oa2020ini Workflow recommendations

Relevant for open access and transformative agreements

https://esac-initiative.org/about/oa-workflows/