Bulletin of the Transylvania University of Bra şov • Vol. 3 (52) - 2010 Series IV: Philology and Cultural Studies OPEN ACCESS IN GERMANY Svenja HAGENHOFF ∗∗∗ Abstract: The market of scholarly journals has experienced massive price increases, at a rate that is several times higher than the general inflation rate. Libraries are no longer able to adequately provide scientists with the required literature. As this jeopardizes scientific progress, the system of scientific communication is in need of new models. The journal crisis has generated a movement that demands Open Access to scientific results. This article attempts to highlight the role of Open Access in Germany on the level of research policy and sponsoring. Keywords: open access, scholarly communication, open access repositories, open access journals , open access policies, open access financing models. 1. Journal Crisis as Motivation example, has established that there was an increase in the average costs For several years the market of scholarly per journal of 188% for the American journals has experienced massive price market between 1986 and 2004. During the increases, at a rate that is several times same period of time the general price higher than the general inflation rate (Woll increase with respect to the American 2005, p. 14, Seidenfaden/ Consumer Price Index was only 73%. On Ortelbach/Hagenhoff 2005, p. 26).[1] The average, the prices increased by 6.3% per Association of Research Libraries, for year. 60% 50% 9 9 9 40% 1 n o d 30% e s a b 20% % n i 10% e g n a 0% h C 1999 2000 2001 2002 2003 2004 2005 2006 -10% -20% -30% -40% Number of journals Number of journals bought Expenditures € per journal bought ∗ Institute for Information Systems, University of Göttingen, Germany. 280 Bulletin of the Transylvania University of Bra şov • Vol. 3 (52) - 2010 • Series IV The following figure (Hagenhoff 2007) scientific articles on their homepages or in presents data from 202 German scientific (subject-specific) repositories or archives. libraries (data: German Library Statistics). [2] As the individual scientists do not These show that the average expense per necessarily have the technical and journal bought has increased by 45% organizational skills required for the within seven years, whereas the average ongoing and sustainable archiving of number of journals acquired per library has digital scientific knowledge, the research decreased by 20%. The total stock of institutions prefer organized and journals per library has fallen by 35%. standardized archiving in institutional During the same period, the prices for all repositories (IR) to this rather unorganized commodities in Germany have increased form of archiving. These archives often by 11%, and the prices of consumer goods reside with the respective research have increased by 25%. Other worldwide institutions’ libraries, and are maintained analyses show similar results (e.g. by them (e.g. GoeScholar of the University Griebel/Tscharntke 1999, Bergstrom 2001, of Göttingen). In Germany, the so called Orsdel/Born 2003). DINI-certificate of the Deutsche Initiative The literature refers to this phenomenon für Netzwerkinformation (German as the journal crisis (e.g. Initiative for Network Information) has Woodward/Pilling 1993, Bargheer 2006, been awarded since 2004. It describes the Meier 2002). It is argued that libraries are quality standards of the technologies used, no longer able to adequately provide the organizational embedding and the use scientists with the required literature. As of IR, as well as the associated services this jeopardizes scientific progress, the (www.dini.de). Within Germany, the system of scientific communication is in DINI-certificate requirements are the need of new models (Woodward/Pilling foundation of the connection of single and 1993, Bargheer 2006, Meier 2002). local IRs. The German Research Community, for example, supports the 2. The Idea of Open Access project Open-Access-Network, which aims at connecting German IRs, thus improving The coincidence of the journal crisis with the national and international perception of electronic publishing has generated a the publications offered on a local scale, movement that demands Open Access to and, at the same time, of the research scientific results. The Berlin Declaration, contribution in general (Malitz 2009). for instance, formulates as its primary aim The original approach to self-archiving that new forms of knowledge does not include a review of the deposited dissemination should not only be contributions (Hanekop/Wittke, p. 224 und supported in their classical form, but more BOAI 2010), as it is the rule with and more according to the principle of established journals. This mode of “open access” via the internet (Berlin publishing is rather unattractive for Declaration 2003). authors, as a scientist’s reputation is The Budapest Open Access Initiative exclusively derived from certified proposes two ways of reaching the aim of publications in accepted journals. The open access. The approach of self- Open Access journals (golden road) archiving (green road) follows the idea approach therefore demands that articles that the authors themselves archive are published in journals with a review- S. HAGENHOFF: Open Access in Germany 281 process which support the idea of open different. A survey of 1,000 German scientists access. Examples of German Open Access done in 2008 shows that the majority of the journals are the German Risk and respondents were not prepared to pay for their Insurance Review, the Bucerius Law articles (Weishaupt 2008). Furthermore, not Journal or the Journal of Psychology. all German scientific facilities have budgets Agencies of such journals can be both for author’s fees. The Max-Planck-Society, commercial or non-commercial publishers for example, has set up a budget and and Learned Societies who do not seek concluded special contracts with publishers profit through their publishing functions with regard to publishing conditions but only aim at cost-covering. Thus, the (Schimmer 2006). The Göttingen State- and question arises how publications in Open University Library has an agreement with Access journals should be financed. Springer publishers in the context of the Springer-Open-Choice approach. All articles 3. Financing Options for Open Access accepted for publication written by authors of Journals the University of Göttingen are automatically Open Access articles. They are published on Several alternative revenue models for the publishing platform SpringerLink, in the Open Access journals have been developed. respective print journal and on the In author-financed models the author pays Institutional Repository of the University of a publishing fee (article processing charge, Göttingen (GoeScholar; SUB 2010). An APC). While in some disciplines (life analysis of empirical data shows that missing sciences, geosciences) authors have always arrangements between facilities and had to pay part of the publishing costs (e.g. for publishers can result in author’s fees, which color printing or photographs), this approach can generate a publishing crisis for the system is unusual in others (humanities and social of science communication. This means that sciences). According to a survey of 1,600 Open Access journals would hardly contribute scientists in Germany done by the German towards improving the supply of scientific Research Foundation ( Deutsche information under the condition of restrained Forschungsgemeinschaft - DFG) in 2005, 393 budgets (Hagenhoff et al. 2008). In scientists had had to pay author’s fees for their comparison to the approaches of the facilities publications. Out of these, only 14 had paid mentioned above, Open Access-Publication for publishing in an Open Access journal. The and its financing is not a topic discussed at remaining fees were paid to conventional many universities. Therefore scientists are left publishers. The scientists came from the areas on their own devices when it comes to of life sciences (6 persons), natural sciences (5 financing their publications. persons) and engineering sciences (3 persons). Nowadays, funding agencies support Humanists and social scientists had never paid authors publishing in Open Access journals. for a publication in an Open Access journal, Funds for financing Open Access publications even though the numbers of publications in can, for example, be requested from the Open Access journals do not differ between German Research Foundation. The funding the sciences in relation to the total number of agency expects “that the research results journal publications (DFG 2005). It is to be funded by their resources (…) are published expected that the acceptance of author- digitally where possible and made available financed publication media will differ free of charge on the Internet (Open Access)” between the disciplines, as practices are (www.dfg.de). Grants for the publishing of 282 Bulletin of the Transylvania University of Bra şov • Vol. 3 (52) - 2010 • Series IV projects funded by the German Research licenses are not a financing approach for Open Foundation can be requested on an annual Access journals as such; however, they basis. provide free access to the required contents Another approach to financing OA-journals for the scientists. In Germany, the German is for the research institutes to become Research Foundation provided nearly 6 institutional members of the respective million Euros in 2004 for the purchase of publishing houses. Depending on the size of national