Digitaler Workshop zur neuen BMBF-Förderlinie zur Open-Access-Kultur
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OA and Reuse
Intro What Does Open Access mean? "By open access to this literature, we mean its free availability on the public internet , permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited." Budapest Open Access Initiative Declaration, 2002 ; emphasis added The key takeaways from this article are 1 Open access comprises two component parts: access that is free of charge, and reuse that is free of at least some copyright and licensing restrictions. 2 The reuse of scientific information makes the research cycle more efficient. 3 Third parties’ rights of use in open access publications are set out in usage licences. Libre or Just Gratis? According to the definition used in the Budapest Open Access Initiative (BOAI) , open access means not only that scientific and scholarly information is available free of charge, but also – and just as importantly – that this information can be reused freely, that is, without at least some copyright and licensing restrictions: Open Access publications can be categorized as Gratis Open Access and Libre Open Access . The difference lies in how the publications can be used by end users. Gratis open access means that a publication can be viewed and printed free of charge (Suber, 2008) . Libre open access refers to broader use permitted through open licences such as those provided by Creative Commons (Suber, 2008) . According to the BOAI definition, the only true version of open access is libre open access. In other words, reusability is a necessary component. Source: based on Suber, P. (2008). Gratis and libre open access. https://dash.harvard.edu/handle/1/4322580 ( CC BY-SA 4.0 ). Advantages of reuse The global digital networking of science offers the potential of better access to and better reusability of scientific findings. This enables new approaches to scientific questions and promotes scientific collaboration. Moreover, information can be shared more quickly, research cycles shortened and scientific progress accelerated. The linking and reuse of published research data also plays a role here (Pampel, 2010) . Practical tip Numerous search engines specialize in OA specialist publications and provide worldwide free access to full texts. Click here for the practical tip finding open access literature in German . Examples Via arXiv , which is used intensively in physics and mathematics , and other repositories , researchers make their findings available to the public as preprints prior to peer review and publication, thereby enabling their speedy dissemination and reuse. Alma Swan (2010) attributed the high citation counts of open access documents to – among other things – their faster and global availability. She called this phenomenon an early advantage . The Directory of Open Access Journals (DOAJ) operates according to the principle that the rights of users and the copyright terms must be clearly specified through licensing so that open access can function effectively. For that reason, DOAJ accepts only libre open access journals . Clarity through Licences Usage licences are granted in order to make it clear how research results may be reused. It is up to the authors to decide what degree of freedom of use of their works they wish to allow. The right of quotation pursuant to Section 51 of the German Copyright Act (UrhG) allows authors to incorporate quotations from works or parts of works of third parties into their own works without authorisation. However, the latter works must be independent of the quoted works. When quoting from works of third parties, the original text must be quoted; it may not be adapted or otherwise transformed (Dreier, in Dreier & Schulze, 2018, § 51 UrhG, Rn. 7.) . In order to clearly indicate that the open access publication may not only be read and quoted but also reused and changed, it is essential that a usage licence be granted by the author. An overview of different license models is provided on the page Licenses . Granting specific rights of use on the basis of such licenses gives users explicit information on how the document may be further used and simplifies legal enforcement in the event of misuse. At the same time, the author reserves the right to permit further uses in separate agreements. The Bertelsmann Stiftung's guide to the use of free licenses explains this step by step (Bertelsmann Stiftung, 2016) . The open licences from Creative Commons (CC licences) are the most commonly used licences in the area of science and research. According to the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities , in particular the adaptation and use of works for any responsible purpose (and thus in principle also for commercial purposes) should be permissible. Thus, from the perspective of the Berlin Declaration, only the CC-BY und CC-BY-SA licences are "genuine" open access licences. Especially the NC (NonCommercial) component is frequently controversial because it is often unclear what cases constitute commercial use. For example, publications whose licences include an "NC" component may not be used on commercial platforms such as most social media services. Nor may they be used by private or non-profit education providers and associations that charge fees for certain services to cover costs. Therefore, many agencies advise against using the NC component. For answers to the most frequently asked questions about Creative Commons licences, see the list of FAQs on the CC website . Authors are recommended to allow the free worldwide right of access to and reuse of their publications by granting open licences – if applicable, in consultation with the respective publishers or in accordance with the licensing requirements of the respective repositories. Source: Shaddim (2016). Creative commons license spectrum ( CC BY 4.0 International ) Wie genau funktionieren Creative-Commons-Lizenzen? Quelle: Brinken, H., Hauss, J. & Rücknagel, J. (2021). Wie genau funktionieren Creative-Commons-Lizenzen? open-access.network. https://doi.org/10.5446/52952 ( CC BY 3.0 DE ) References Bertelsmann Stiftung. (2016). Freie Lizenzen – einfach erklärt. Ein Leitfaden für die Anwendung freier Lizenzen in der Bertelsmann Stiftung. https://www.bertelsmann-stiftung.de/de/publikationen/publikation/did/freie-lizenzen-einfach-erklaert Budapest Open Access Initiative (2002). https://www.budapestopenaccessinitiative.org/translations/german-translation Charbonnier, J., Sohmen, L., Rothman, J., Rohden, B., & Wartena, C. (2018). NOA: A Search Engine for Reusable Scientific Images Beyond the Life Sciences. ECIR 2018: Advances in Information Retrieval , 797–800. https://doi.org/10.25968/opus-1208 Dreier, T. & Schulze, G. (2018). UrhG. Urheberrechtsgesetz (6. Auflage). C.H. Beck. Pampel, H. (2010). Open Access – Von der Zugänglichkeit zur Nachnutzung. https://gfzpublic.gfz-potsdam.de/rest/items/item_244054_1/component/file_244053/content Suber, P. (2008). Gratis and libre open access. https://dash.harvard.edu/handle/1/4322580 Swan, A. (2010). The open access citation advantage: Studies and results to date. https://eprints.soton.ac.uk/268516/ Furher Reading Owen, Victoria and Reilly, Susan (2022). Navigating Copyright for Libraries: Purpose and Scope , Berlin, Boston: De Gruyter. https://doi.org/10.1515/9783110732009...
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Open Access Transformation
Intro SIGNIFICANCE OF THE DEAL-WILEY AGREEMENT FOR OPEN ACCESS Significance and opportunities of the DEAL-Wiley agreement for the open access transformation. Source: Jobmann, A. (2019). Meaning and opportunities of the DEAL-Wiley contract for the open access transformation. OA2020-de.org. Available at: https://oa2020.ub.uni-bielefeld.de/en/blog/2019/03/18/meaning_opportunities_wileydeal_openaccesstransformation/ Key Takeaways from This Article 1 Open access transformation means the most comprehensive possible transformation of the scholarly publishing system to open access. 2 Numerous measures and actors are contributing to this transformation. 3 The transformation is fuelled by its implementation in practice with clear objectives. Open Access Transformation Open access transformation means the most comprehensive possible transformation of the scholarly publishing system to open access. This implies moving away from the traditional subscription and acquisitions model whereby libraries pay for access to scholarly works. Although current efforts are focused on scholarly journals, a complete transformation of the scholarly publishing system to open access presupposes the inclusion of all publication types. Moreover, all regions of the world must also be included At EU level and in Germany, respectively, the open access transformation has for some time been an established policy goal of the European Commission, the Federal Government – and also of state governments (see Policy Frameworks ), scientific organisations, and research funding organisations (see Research Funders and Open Access ). The development is dynamic and is shaped by numerous approaches and actors. However, criticism has been voiced from various perspectives. Some publishers and professional associations, for example, have pushed for deceleration or exceptions. Other stakeholders have drawn attention to possibly unintended consequences of the transformative approaches. These include a further strengthening of the position of major publishers, possible lock-in effects, or a further increase in article processing charges ( APCs ), which are already too high. Scholar-led initiatives have expressed the wish that publication infrastructures be placed in the hands of the scientific institutions themselves. In addition to the desire for open access to scientific research, they take a critical view of the scholarly publishing system and have put alternative standards for research evaluation on the agenda. Video on the Status of Open Access in 2023 Source: Philipp Zumstein. (2023, September 29). Der Weg ist nicht das Ziel: Über Ideale und Irrwege bei der Open-Access-Transformation. Open-Access-Tage 2023 (OAT23), Berlin. Zenodo. https://doi.org/10.5281/zenodo.8388502 oa.helpdesk If you have any specific questions about open access, you can ask them here. Instruments for the Transformation The basis of many transformative approaches is the reallocation of acquisitions funds. The underlying idea is that no additional funds are needed, but rather the current (global) funds can be used for open access publications. To be able to implement this, publishers must be encouraged to convert their publications to open access models . By converting existing publications to open access, publishers can take the acquired reputation and experiences with them. Transformative Agreements Transformative agreements , where some of the content of subscription journals is published open access and the expectation is that this proportion will gradually increase to 100%, are currently the instrument that is attracting the most attention and has had the greatest open access effects. However, it is not always clear whether such a transformation will be achieved in a binding way (see, e.g., Mittermaier, 2021, 2025; Rothfritz et al., 2024). The German initiative Projekt DEAL (now Konsortium DEAL; see below) is a key player in the field of transformative agreements. The hope is that with these transformative agreements a critical threshold will be exceeded, above which the publishers will convert their entire portfolios to open access. Transformative Journals In addition, individual journals can be established as transformative journals with the clear goal of steadily increasing the share of open access content (see Plan S ). Journal Flipping For individual journals, the complete and immediate conversion to open access – so-called journal flipping – is the quickest transformation option. Depending on the position the publisher takes, and on who owns the title rights, the flipped journal can continue under the same name, or the editors can be withdrawn, and the journal can start anew at a different location. Starting Open Access Publications from Scratch Starting open access publications from scratch means that new journals, book series, or conference proceedings are planned as open access products from the very beginning. These instruments are driven by various actors and supported by them over and above providing extensive publication funding: Research Performing Organisations Research performing organisations support this process by operating publishing services, university presses, journal platforms, etc. These offerings are non-commercial and may even be subsidised if the organisation covers the operating costs, thereby reducing cost pressure and increasing scientific control. Research Funding Organisations On the one hand, research funders provide financial support with publication charges for open access articles and monographs. On the other hand, through their open access mandates (or – weaker – expectations), they support authors’ decisions to publish their works open access. Furthermore, several programmes are funding projects dedicated to creating infrastructure for the open access transformation. Libraries Libraries negotiate all kinds of open access agreements, carry out publication and cost monitoring, and develop new open access models. They are increasingly using acquisitions funds for open access (see German Library Statistics and the Open Access Monitor ). Procedures are put in place to monitor the transformation to open access in accordance with institutional and statutory provisions and the compliance with open access policies . Libraries and Commercial Actors Libraries and commercial actors operate consortia or jointly fund open access publications. Open Access Repositories Open access repositories serve as venues for the self-archiving of contributions in parallel with publication (see green open access ), thereby enabling authors to meet research funders’ requirements with regard to open access (see also Plan S and the Rights Retention Strategy ). As is the case in almost all other aspects of the open access debate, scholarly journals are also dominant in the transformation context. In principle, all instruments are also applicable to books and book series as well as other types of publications, such as conference proceedings. However, in individual cases, new complexities arise. Thus, all actors are called upon to include all publication types in their open access transformation measures. Although various transformation approaches can be applied in parallel, they occasionally also collide. This happens especially in the case of scarce resources or strategic orientations. Whereas transformative agreements focus more on large bundles or entities (large journal packages, large publishers), approaches such as journal flipping tend to emphasize aspects such as scientific control or a complete and immediate transformation to open access. One challenge faced by all approaches is the constant search for sustainable funding opportunities that follow on from and further develop the existing acquisitions structures (see Schenke et al., 2025 ). Research Funders and Open Access You can find an introduction here. What are Repositories? You can find an introduction here. Consequences of the Transformation The main consequence of the open access transformation is the growing share of freely available and possibly reusable scholarly literature (see Arguments and Reservations ). Within research performing organisations, the open access transformation is changing work steps and responsibilities, and there may be a need to redistribute financial resources. The background for this is that the costs of scholarly publishing are increasingly distributed based on publication output rather than purely on the size of the research performing organisations. New tasks are arising, especially for scholarly libraries. Here, acquisitions funds must be reallocated, the development of the publication figures must be monitored, and financial support must be made available for publication costs and consortial funding models. In addition, transformative agreements must be managed, and some tasks must be redistributed among publishers, libraries, and authors. Depending on the organisation, the libraries are responsible for advising researchers on open access publishing. Thus, open access has developed from a special topic to a core task of libraries. Key Actors Science Organisations In recent years, the Digital Information initiative of the Alliance of Science Organisations (Alliance Initiative for short) has published several position papers on the open access transformation (especially Bruch et al., 2016). The key demands are the anchoring of open access in the libraries, in licensing practice , and in the acquisitions budgets; the gradual reallocation of acquisitions funds; the disclosure of journal subscription costs and open access publication charges and figures; and the development of scalable processes in the libraries. In 2024, the Alliance Initiative published a study on the mapping and description of open access services in Germany ( Biela et al., 2024 ) that reflects the status quo of publicly funded scholarly open access services and infrastructures in Germany The German Research Foundation (DFG) is a key science policy actor in the open access transformation. It supports the development and operation of open access publication funds and infrastructures with several funding programmes and thus significantly influences developments in these areas. In its positions on research policy , the DFG supports key initiatives such as the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities, OA2020, the Action Plan for Diamond Open Access , the EU Council Conclusions on Scholarly Publishing 2023, and the International Science Council (ISC). It also cooperates with other national and international open access initiatives. Although it supports the efforts of cOAlition S , the DFG does not mandate open access publishing. In two position papers ( DFG, 2018 ; DFG, 2022 ), it has taken a stance on current challenges in academic publishing In 2022, the German Science and Humanities Council (Wissenschaftsrat) published comprehensive “ Recommendations on the Transformation of Academic Publishing: Towards Open Access ” in which it declared that the goal of the transformation was for gold open access to become standard practice for the publication of scientific results. To monitor publication costs and strategically plan the funding of academic publishing in the long term, the Council recommended that scientific institutions establish information budgets . DEAL Konsortium Projekt DEAL, now known as the DEAL Konsortium, was initiated by the Alliance of German Science Organisations under the leadership of the German Rectors’ Conference with the aim of concluding uniform national licence agreements for all (digital) journals of major commercial academic publishers. The agreements that the DEAL Konsortium concludes on behalf of over 900 eligible institutions have an open access component : Authors affiliated with participating institutions can publish their works open access in the publishers’ subscription-based journals with an open access option (so-called hybrid journals ) at no cost to themselves (hence the high proportion of open access publications among the research articles from German institutions). In addition, participating institutions have access to the publisher’s entire journal portfolio. The publication fees are invoiced centrally to the publishers’ contractual partner, DEAL Open Access Services (DEAS) gGmbH , which in turn invoices the participating institutions. To date, DEAL agreements have been concluded with three publishers: Wiley , Springer Nature , and Elsevier . Forum 13+ Working Group Forum 13+ was established as an independent working group of experts from German library consortia to coordinate the negotiation of transformative agreements between scientific institutions and small and medium publishers or professional associations – beyond the realm of the major scholarly publishers with whom DEAL transformative agreements have been concluded. In this capacity, the working group has published a guide to the assessment of open access transformative agreements and publishers’ offerings (“ Bewertung von Open-Access-Transformationsverträgen und Verlagsangeboten ”). Plan S/cOAlition S Plan S is an initiative of an international consortium of research performing and research funding organisations ( cOAlition S ). Since 2021, cOAlitionS has been calling for scholarly publications from publicly funded research to be published in recognized open access journals or on open access platforms or to be made immediately available through open access repositories without an embargo. Joint implementation guidelines are implemented in the funding guidelines of the participating research funders. One key element is a fundamental rejection of hybrid open access, except as part of discernible transformative arrangements. cOAlitionS attaches great importance to cost transparency on the part of publishers. Thus, it reflects the general trend that research funders currently have the most effective and simplest instruments: by linking awards of third-party funding to open access obligations, they can intervene decisively. However, German research funding organisations are not officially members of cOAlitionS. Open Access Consortia SCOAP³ – Sponsoring Consortium for Open Access Publishing in Particle Physics is an international consortium under the leadership of CERN that is dedicated to the promotion of open access in high-energy physics (HEP). It is a globally unique initiative that has converted several key journals in the field of HEP completely to open access without authors having to pay the article processing charges ( APCs ) themselves. Libraries and organisations from all other the world contribute financially to the project. The level of contributions is based on the publication output of the respective scientific institutions. As a consortial model, KOALA enables sustainable funding for diamond open access . Scientific institutions – especially libraries and research performing organisations – jointly fund journals, which can then switch to a diamond open access model: Thematically focused journal bundles are offered to scientific insitutions for community funding. As soon as the funding target has been reached, the journal is funded for 3 years and is made completely freely accessible. Leibniz Information Centre for Science and Technology University Library ( TIB ) in Hanover acts as a central service provider and coordinates the KOALA model as part of its regular operations. Scientific Communities and Professional Associations Professional associations are self-organizing bodies that also set professional standards. Some of them have signed the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities, discussed the topic of open access internally (see Bärwollf et al., 2023 ), or taken a science policy stance on the open access transformation – as, for example, the German Physical Society (DPG) did in a position paper ( DPG, 2021 ) in which it expressed criticism of certain developments in the area of open access. Authors Besides institutional actors, the researchers themselves have a key role to play in shaping the open access transformation. By choosing an open access publication organ and model , using their secondary publication right , and making their publications available under an open content licence , they can make a decisive contribution to the free accessibility of their research results. Moreover, researchers can set up an open access journal themselves , convert an existing journal to open access ( journal flipping ), or get involved in scholar-led diamond open access initiatives. Open Access Transformation in Practice What the many different approaches to the open access transformation have in common is the aim that in future the largest possible share of scholarly publications will be freely available. To be able to assess the measures and develop them further, they should be as transparent as possible. This includes the provision of information on possible intermediate steps on the path to complete transformation to open access (especially in the case of transformative agreements), the anchoring of irreversible steps to increase the share of open access publications, and transparency regarding the underlying publication figures ( information budget ). Cost-cutting mechanisms should be incorporated to prevent a further increase in article processing charges ( APCs ). The creation of a network of actors should be aimed for, without fundamentally limiting the diversity of the options. However, new initiatives would be well advised to obtain advice and support. The project open-access.network offers opportunities for networking and individual advice . Because the open access transformation is clearly anchored as a public policy goal and as an intention on the part of research funding and research performing organisations, all actors in the scientific landscape are called upon to take appropriate action in their respective fields of activity. Many aspects must be considered when converting a journal to open access – from academic freedom, through scientific control, sustainable and fair funding, and additional tasks in institutions, to calls for the redistribution of financial resources across institutions. However, the immediate criterion remains: Will the most comprehensive possible transformation to open access succeed? References Bärwolff, T., Benz, M., Dreyer, M., Neufend, M., Kindling, M., Kirchner, A., & Schmidt, B. (2023). Open4DE landscape report. Open Research Office Berlin. https://doi.org/10.21428/986c5d43.bab38f02 Biela, J., Stalla, M., Hohmann, L., & Holzer, A. C. (2024). Kartierung und Beschreibung der Open-Access-Dienste in Deutschland. https://doi.org/10.5281/zenodo.11121906 . Bruch, C., Geschuhn, K., Hanig, K., Hillenkötter, K., Pampel, H., Schäffler, H., Scheiner, A., Scholze, F., Stanek, U., Timm, A., & Tullney, M. (2016). Empfehlungen zur Open-Access- Transformation. Strategische und praktische Verankerung von Open Access in der Informationsversorgung wissenschaftlicher Einrichtungen. Empfehlungen der Ad-hoc-AG Open-Access-Gold im Rahmen der Schwerpunktinitiative „Digitale Information“ der Allianz der deutschen Wissenschaftsorganisationen. https://doi.org/10.3249/allianzoa.011 German Physical Society (DPG) (2021). DPG position paper on the future of scientific publishing. https://www.dpg-physik.de/veroeffentlichungen/publikationen/stellungnahmen-der-dpg/wissenschaftssystem/pdf/dpg-positionspapier_publikationswesen_en_final.pdf German Research Foundation (DFG). (2018). Förderung von Informationsinfrastrukturen für die Wissenschaft [Funding information infrastructures for research]. https://www.dfg.de/resource/blob/173200/positionspapier-informationsinfrastrukturen.pdf German Research Foundation (DFG) | Working Group on Publications. (2022). Academic publishing as a foundation and area of leverage for research assessment – Challenges and fields of action. https://doi.org/10.5281/zenodo.6538163 Mittermaier, B. (2021). Transformationsverträge – Stairway to Heaven oder Highway to Hell? Zeitschrift für Bibliothekskultur / Journal for Library Culture, 8(2). https://doi.org/10.21428/1bfadeb6.d80f0652 Mittermaier, B. (2025). Transformationsverträge sind eine Sackgasse: In Erinnerung an Irene Barbers (1966–2025). O-Bib. Das Offene Bibliotheksjournal Herausgeber VDB, 12(1), 1–22. https://doi.org/10.5282/o-bib/6117 Rothfritz, L., Herb, U., & Schmal, W. B. (2024) Trapped in transformative agreements? A multifaceted analysis of > 1,000 contracts. arXiv. https://doi.org/10.48550/arXiv.2409.20224 Schenke, J., Stork, K. S., & Tullney, M. (2025). Das Diamond-Open-Access-Modell KOALA aus erwerbungsbibliothekarischer Sicht: Ein Auswertungsbericht. O-Bib. Das Offene Bibliotheksjournal , 12(2), 1–16. https://doi.org/10.5282/o-bib/6162 Further Reading Arning, U., Bargheer, M., Meinecke, I., Schobert, D., & Tobias, R. (2022). Open-Access-Transformation für Bücher: Die Rolle von institutionellen Verlagen und Publikationsdiensten. https://doi.org/10.5281/zenodo.6346234 ESAC Initiative (2024, 11 August). Guidelines for transformative agreements. https://esac-initiative.org/about/transformative-agreements/guidelines-for-transformative-agreements , German Science and Humanities Council (WR). 2022. Recommendations on the transformation of academic publishing: Towards open access. https://www.wissenschaftsrat.de/download/2022/9477-22_en Hacker, A., & Tullney, M. (2020). “Stell Dir vor, es ist 2020 und Open Access läuft immer noch nicht.“. https://doi.org/10.5446/49691 Knoche, M. (2021). Raus aus den DEAL-Verträgen! Sieben Gründe für den Ausstieg. Aus Der Forschungsbibliothek Krekelborn . https://biblio.hypotheses.org/2598 Oberländer, A., & Tullney, M. (2021). Gemeinschaftliche Open-Access-Finanzierung als Aufgabe für Bibliotheken. https://doi.org/10.5446/52895 Pampel, H. (2021). Strategische und operative Handlungsoptionen für wissenschaftliche Einrichtungen zur Gestaltung der Open-Access-Transformation. Philosophische Fakultät der Humboldt-Universität zu Berlin. https://doi.org/10.18452/22946 Rösch, H., Geschuhn, K., Barbers, I., Bove, K., Pohlmann, T., & Satzinger, L. (2022). Open Access ermöglichen: Open Access-Transformation und Erwerbung in wissenschaftlichen Bibliotheken – ein praktischer Leitfaden. doi.org/10.5281/zenodo.6090208 Schimmer, R., & Geschuhn, K. (2017). 3c. Open-Access-Transformation: Die Ablösung des Subskriptionswesens durch Open-Access-Geschäftsmodelle. In K. Söllner & B. Mittermaier (Eds.), Praxishandbuch Open Access (pp. 173–180). https://doi.org/10.1515/9783110494068-020 Schön, M., & Mittermaier, B. (2025). Empfehlungen zur Gestaltung des institutionellen Publikationskostenmonitorings. Zenodo. https://doi.org/10.5281/zenodo.14748772 Šimukovič, E. (2024). Transformative agreements are a blind alley. Katina Magazine. https://doi.org/10.1146/katina-20241008-1 Taubert, N., Sterzik, L., & Bruns, A. (2024). Mapping the German Diamond Open Access journal landscape. Minerva, 62(2), 193–227. https://doi.org/10.1007/s11024-023-09519-7 Ziegler, G.M., & Dirnagl, U. (2024). Warum die „Deal“-Verträge (k)ein Gewinn für die Wissenschaft sind. https://www.forschung-und-lehre.de/politik/warum-die-deal-vertraege-kein-gewinn-fuer-die-wissenschaft-sind-6595...
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Open-Access-Policies
Intro Ten Reasons for Open Access Source: based on Brinken, H. (2021). 10 Gründe für Open Access. Zenodo. https://doi.org/10.5281/zenodo.4643859 ( CC BY 4.0 International ) The key takeaways from this article are 1 Open access and open science policies have been adopted at the science policy level and at the level of research institutions and research funders. 2 Research institutions can create their own open access policies in a modular way. 3 Central elements of an open access policy are: preamble, self-description, declarations of intent and rationale, recommendations for action, and references to technical and advisory services. Goals Among the measures to establish open access , open access policies are a much-used instrument, especially at the level of higher education institutions and non-university research institutions. Specifically, open access policies pursue the following objectives: to express support for the open access movement, to position the institution in the discourse on open access, and to encourage members of the institution to publish open access or deposit their publications in open access repositories. Activities and measures in the area of open access are increasingly embedded in the broader open science context. The present text first provides an overview of the main players in the research landscape and their guidelines. This is followed by concrete suggestions for drafting institutional open access policies. Policies of Important Players "Digital Information" Initiative by the Alliance of Science Organisations in Germany At the science policy level in Germany, the major non-university research organisations, the German Rectors’ Conference , the German Academic Exchange Service (DAAD) , and the German Research Foundation (DFG) jointly established the "Digital Information" Initiative , also known as the Alliance Initiative. According to its mission statement , the initiative aims "to equip scientists with the best possible information infrastructure they need for their research" ( Steering Committee for the "Digital Information" Initiative of the Alliance of Science Organisations in Germany, 2017, p. 2 ). Furthermore, it is actively committed to the further expansion of open access to scholarly knowledge. Moreover, within the framework of Projekt Deal , the Alliance Initiative has concluded joint nationwide licensing agreements with two major scholarly publishers to date, namely with Springer Nature in 2020 and with Wiley in 2019. Universities and Other Higher Education Institutions Numerous universities and other higher education institutions (HEIs) have adopted open access policies in the form of guidelines or recommendations. Many HEIs employ open access officers , who act as contact persons for all topics relating to open access, and who organise the implementation of open access at the institution ( Hübner & Riesenweber, 2018 ). HEIs are largely autonomous. Within the framework of their higher education policies (digitalisation strategies, agreements on objectives, science plans, higher education legislation, etc.), many German federal states link financial support to open access. However, HEIs’ possibilities for imposing binding requirements on researchers are limited. Many HEIs therefore take the approach of promoting open access though information events and services, thereby encouraging researchers to publish open access or deposit their publications in open access repositories. Moreover, via publication funds for open access articles and open access monographs and edited collections, libraries can link the promotion of open access to certain conditions and thus establish quality standards ( Open-Access-Büro Berlin, 2020 ). Non-University Research Institutions Many non-university research institutions, such as the Max Planck Society, the Leibniz Association, the Fraunhofer-Gesellschaft, and the Helmholtz Association, take a very concrete approach to the transition to open access ( Pampel, 2021, pp. 33 ff. ): The Max Planck Society describes itself as a "co-founder of the international Open Access movement". In 2003, it published the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities , thereby initiating a process of follow-up conferences on open access and open science. The society also plays an important role in the global OA2020 Initiative . The Max Planck Society has anchored the commitment to open access in its Rules of Good Scientific Practice , which include the binding requirement that research results achieved with public funds should be made freely available wherever possible ( Max Planck Society, 2009, p. 2 ). Moreover, with the Max Planck Digital Library , the Max Planck Society operates an extensive information portal and supports its researchers’ open access publications with a publication fund. The Fraunhofer-Gesellschaft pursues a binding Fraunhofer Open Access Strategy 2020 , which states that "the goal for 2020 is to ensure that at least one half of all scientific papers in a year are published open access, with at least one third of these via the gold road where papers are first published in an open access journal" ( Fraunhofer-Gesellschaft, 2015, p. 2 ). The Leibniz Association has also adopted a far-reaching open access policy , in which it not only expresses its commitment to open science but also sees itself as an active player in the further development of open research. Leibniz Association researchers are expected to publish open access and to play an active role in open access journals . When doing so, they are advised and supported by their respective Leibniz institutions. With the Helmholtz Open Science Office , the Helmholtz Association embeds the topic of open access in the broader open science context. In 2004, it became the first research association in Germany to adopt its own open access policy , which stated that: "Publications from the Helmholtz Association shall in future, without exception, be available free of charge as far as no conflicting agreement with publishers or others exist" ( Helmholtz-Association, 2004 ). Since 2013, this provision applies also to beneficiaries of funding from the Initiative and Networking Fund of the Helmholtz Association. In 2016, the Helmholtz Association formulated its Open Access Policy in concrete terms and set a target of 100% open access publications with effect from 2025. DFG as a Central Funding Institution The German Research Foundation (DFG) requests all funding recipients to publish their project results directly in open access. It has implemented various funding lines to strengthen open access. By supporting researchers, libraries, institutions, and organisations, the DFG is the key player as far as the implementation and acceleration of the transition to open access in Germany is concerned. The DFG signed the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities in 2003, and requests funding recipients to publish their project results open access for the purpose of scientifically adequate communication. Specifically, the contributions should either be published in peer-reviewed and/or renowned open access journals or on open access platforms, or deposited, if possible without delay, in repositories in addition to traditional publication with a publisher ( German Research Foundation, 2021, pp. 42–43 ). The DFG rejects a general open access mandate such as that pursued in Plan S because it fears that this could lead to higher article processing charges (APCs). Moreover, it considers that a move away from the Journal Impact Factor , which is called for in Plan S, would involve fundamental changes to the system by which research outputs are assessed, which would not be possible without major upheavals ( German Research Foundation, 2018 ). For these reasons, the DFG is not participating in cOAlition S, although it supports the efforts of the initiative in principle. Professional Associations A number of professional associations also endorsed open access and open science at an early stage. Especially worthy of mention is the Initiative for Electronic Information and Communication (IuK-Initiative), which was established in Germany in 1994. In the early stage of digital transformation, the IuK-Initiative promoted the building of a virtual and digital library and advocated a science-friendly amendment of German copyright law ( Weisel, 2012 ). Several professional associations can also be found among the signatories of the Berlin Declaration: the German Mathematical Society (DMV) (2005), the German Informatics Society (GI) (2007), the German Society for Pre- and Protohistory (DGUF) (2016), and the German Psychological Society (DGPs) (2017). As early as 1998, the German Physical Society (DPG) founded an open access journal, the New Journal of Physics . The DPG is thus one of the pioneers of open access publishing in Germany. However, the majority of professional associations are only slowly engaging with open access, and they are doing so under pressure from international developments (especially Plan S ). Only a few professional societies have adopted open access policies of their own. In the course of the further development of the transition to open access, the discussion within the professional associations will possibly increase in importance – not least because many of them are considering converting their own journals to open access ( Pampel & Strecker, 2020 ). Creating a Policy Implementing Open Access Find an introduction here. Policy Frameworks Find an introduction here. Open Access Policy Making The purpose of open access policy-making is to initiate a process of self-awareness that will ideally result in the adoption of a policy. During this process, players in an institution take a position on open access, and then develop a common position. With the help of dedicated policies, institutions can document the fact that they are taking a position in the current transformation of science communication. The prerequisite for the success of a policy-making process is therefore the participation of all relevant actors in the institution based on an effective concept of internal communication. open-access.network ( CC BY 4.0 International ) Policy-Making Process A model proposed by Howlett and Ramesh (2009, p. 91 et seq.) distinguishes five stages of policy-making: agenda setting, policy formulation, decision making, implementation, and evaluation. For the process of creating an open access policy, the following steps can be derived from this model: Problem identification The introduction of a new policy, or the amendment or expansion of an existing policy, occurs in response to needs, problems, conflicts, or current developments in the institutional environment. It is helpful to analyse these context factors in order to formulate arguments for setting the agenda and to anticipate opposition to the policy-making process. Even at this early stage, thought can be given to the organisation of the process. Agenda setting The support of persons in executive positions is enlisted for the project. The steering and coordination of the process can be taken on by a body, a working group, or an individual. Further relevant groups of actors are informed, and arguments for a policy-making process put forward. The planned process is transparently presented. Formulation and decision making A policy document is formulated (see below) and repeatedly reviewed, supplemented, and/or amended in consultation with the competent institutional bodies and other stakeholders. Once all desired changes have been accepted, or rejected with proper justification, the version of the document that is ready for adoption makes its way through the competent bodies. After the incorporation of the resulting amendments, the policy is finally adopted. Communication and evaluation The policy will produce effective results only if the recommendations and requests for action are disseminated via numerous other channels after the official publication of the policy document. Attention should be drawn to the revised or newly created policy in newsletters, on websites, on appropriate occasions, and at meetings. A transparent presentation of the policy process is desirable, including the provision of a "clean" version of the policy document in which changes have been implemented, and a link to the final version (i.e. the version that is ready for adoption) on the web pages of the competent organisational unit (e.g. open access office, university library). The impact of an open access policy can be quantified with the help of suitable monitoring tools, for example in research information systems or on publication data management platforms. Although this linear presentation of the policy-making process diverges considerably from the discontinuous and conflict-ridden processes in the real world of academia, it may be helpful for planning purposes. Provisos Recommendations for action may be made subject to provisos. Justifications cited may include freedom of science or discipline-specific publishing cultures. Example Wording "With due regard to the constitutionally protected freedom of research and teaching and the freedom to choose the publication medium and venue that results therefrom, and taking into account the different statuses of open access in the various disciplinary cultures, the JGU makes the following recommendations for the transition to open access." - Open Access Policy of Johannes Gutenberg University (JGU) Mainz Technical services Mention of technical infrastructures for open access publishing provided by the institution or by third parties. These include inter alia repositories for publications, research data, and code; systems for publication data management; metadata services; controlling instruments; research information systems; open journal platforms; research data management systems, etc. Example Wording "The university supports the findability and dissemination, and thus the visibility, of scholarly texts through the following measures: download option and statistics on the university’s research portal download option on the institution’s web pages via Pure Plugins provision of bibliographic data for literature search engines and catalogues (LUX; BASE; GVK etc.) publication of theses (dissertations and habilitation theses)" - Open Access Strategy of Leuphana Universität Lüneburg Advisory services Mention of publishing advisory services for scholars and scientists, journal editors, and publishers, as well as other services to support open access publishing offered by the institution Example Wording "Information events, workshops, tutorials, and individual consultations on open access are conducted regularly by the Open Access Team." - Open Access Policy of Chemnitz University Library Final clause Example Wording "If individual provisions of this policy should be invalid or unfeasible after the policy comes into effect, the finality of the policy will be unaffected in all other respects." - Open Access Policy of the Helmholtz Association, 2016 Date, signatories, reference to the official policy document in the version put to the vote, PDF download option Footer Contact data, references, further links Rights Retention Strategy An explicit rights retention strategy can be a meaningful element of an open access policy. An overview of the landscape of rights-retention-strategy practices in Europe, including recommendations for institutional policymakers, research funders, legislators, and publishers can be found in Labastida et al. (2023) . Structure & Content Open access policies include the following elements: Header Seal of the institution; title of the document; if applicable, reference to the corresponding resolution in the official version Preamble Preliminary remarks that explain the societal, political, or scientific context of the open access policy and refer to the self-image of the institution Example Wording "Innovation is impossible unless researchers are able to share new knowledge as soon as it has been established. In its capacity as a publicly funded organization, the Fraunhofer-Gesellschaft has a duty to inform the general public about its research activities. At the same time, industrial partners have a need for information that will allow them to find appropriate partners for their projects. Consequently, the Fraunhofer-Gesellschaft pursues a publishing policy based on unrestricted access to information, as defined in the 2003 Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities." - Open Access Policy der Fraunenhofer- Gesellschaft Self-description (if not included in the preamble) A characterisation of the institution from which the consonance of its goals and function with an open access culture is derived. The mission statement of the institution possibly contains statements from which wording can be taken. Example Wording "The University of Regensburg stands, among other things, for the exchange of knowledge and culture between the cultural regions of Eastern and Western Europe and North America, for dialogue with society, for a cosmopolitan university culture, and for long-term international relations in research, teaching, and study (Mission statement of the University of Regensburg, as of 5 Oct. 2007)." - Open Access Policy of the University of Regensburg Definitions Conceptual definition of open access and/or a brief overview of the historical context that demonstrates the importance of the topic for the activities of institution’s members Example Wording "Open Access stands for unlimited and free access to quality-controlled scholarly information on the internet. Thanks to the elimination of technical, financial, and legal barriers, Open Access has helped to accelerate academic innovation processes and to improve the visibility of research results. This supports scholars in their research and publishing and maximises the benefit of publicly funded research. As a member of the Leibniz Association, Technische Informationsbibliothek (TIB) – German National Library of Science and Technology is committed to Open Access." - Open Access Policy of the Technische Informationsbibliothek (TIB) References Reference to previous declarations and initiatives, commonalities, and, if applicable, obligations of the institution resulting therefrom Example Wording "Leibniz University Hannover supports the scientific and political request for open access to knowledge in the sciences and humanities, as determined in the ‘Berlin Declaration’ issued October 2003 and the “Berlin 3 Open Access” recommendation confirmed March 2005, in Southampton, UK." - Open Access Resolution of Leibniz University Hannover Rationale Rationale for the support for open access that the policy aims to achieve. The rationale is formulated from the perspective of the institution or from a superordinate perspective. Example Wording "In view of its responsibility for comprehensive access to academic knowledge, Heidelberg University is pressing ahead to expand open access." - Open Access Policy of the University of Heidelberg Declarations of intent Mention of the goals in the area of open access that the institution has set itself. These goals may include the provision of a suitable organisational, financial, and technical infrastructure for open access publishing; the achievement of a certain percentage of open access publications within a specified time limit; the implementation of further higher education policy measures; and participation in transition processes and other, trans-institutional developments. In addition, the equal consideration of peer-reviewed open access publications in agreements on objectives and in performance-related funding award procedures, and the implementation of measures for internal communication (tutorials, open access officers) can be laid down. Example Wording "When assessing scholarly performance, the University of Kassel will treat peer-reviewed contributions equally, irrespective of whether the contributions are fee-based or open access. […] Moreover, pursuant to its Research Data Guideline, the University of Kassel will offer to also make research data that arise or are collected in the context of scientific work openly accessible. The University of Kassel will seek to make publications produced at the university available on a large scale on the university’s publication server, KOBRA9, which will facilitate the optimal findability, authenticity, integrity, and persistent citability of these publications." - Open Access-Policy of the University of Kassel "The MLU supports and advises scholars and scientists on publishing scholarly works in open access formats, and also on making works available to the public via independent publishing channels. This requires regular training and information offerings for both researchers and staff. Adequate formats will be developed for this purpose and regularly implemented. The MLU will establish instruments to support researchers with publication costs within a certain financial framework. In particular, it will establish a publication fund and create the prerequisites for the acquisition of further funding for this purpose." - Open Access Policy of the Martin-Luther-Universität (MLU) Halle-Wittenberg Recommendations for action, requests, or mandates for publishing authors The levels of obligation of the wording may vary. They range from recommendations for action, through requests, to mandates. Options for action include among other things: Research and teaching in accordance with the aims of open science, open access, and open education The publication of research results and scholarly publications in an open access format The self-archiving of research results or scholarly publications on an institutional document server or in a repository either in parallel with publication or after expiry of an embargo period Publication under open licences , such as Creative Commons licences Inclusion of publication costs in applications for third-party funding Securing of a lasting right of exploitation vis-à-vis publishers Avoidance of granting publishers an exclusive right of use Involvement as a reviewer and editor in peer-reviewed open access journals or commitment to a progressive open access policy on the part of publishers For managers: a recommendation to staff that they explore the possibility of publishing research results in peer-reviewed open access formats Example Wording 1 "In order to anchor openness in teaching and research lastingly at the TUHH, we recommend all TUHH members to actively pursue the objectives of Open Science, Open Access and Open Education." - Hamburg University of Technology (TUHH) Policy of Openness in Research and Teaching 2 "Therefore, Humboldt-Universität recommends all scientists to submit their articles to Open Access journals and to publish monographs and collected works on Open Access platforms." - Open Access Declaration of the Humboldt-Universität zu Berlin 3 "Ruhr University Bochum requests its members to self-archive an electronic copy of all peer-reviewed published articles on an open access document server (green open access) insofar as there are no legal objections to doing so." - Open Access Resolution of Ruhr University Bochum 4 "TU Braunschweig recommends its authors to use open publication licences that promote dissemination in open access (preferably a Creative Commons CC BY licence)." - Guideline on Open Access at the Technische Universität (TU) Braunschweig 5 "The funding regulations of many third-party funders allow funds for article processing charges (APCs) to be included in the project budget when submitting a funding proposal. Moreover, the Federal Ministry of Education and Research (BMBF) has established a Post-Grant Fund to support open access publications resulting from completed BMBF-funded projects. It is strongly advisable to make use of such possibilities when planning and conducting third-party-funded projects." - Open Access at the University of Greifswald 6 "When negotiating with publishers, researchers are encouraged to secure the right to self-archive electronic versions as provided for in the guidelines of the German Research Foundation (DFG) and other research funders." - Open Access Strategy of the Leuphana Universität Lüneburg 7 "When publishing in a closed-access publication, Reutlingen University recommends [its members] to forgo granting exclusive rights of use and to retain a non-exclusive right to make [their works] available to the public, so that they may self-archive [them] in Reutlingen University’s repository." - Open Access Policy of Reutlingen University 8 "As a scholarly author, you often work also as a reviewer or editor for scholarly journals. Please take note of publishers‘ pricing policies towards customers and, if applicable, work for better open access policies on the part of the publishers." - Open Access Policy of the University of Göttingen 9 "In their capacity as leaders, researchers at the Technische Universität München are specifically requested to also allow their employees to publish in accordance with open access." - Technische Universität München (TUM) Open Access Policy References Fraunhofer-Gesellschaft. (2015). Fraunhofer Open Access-Strategie 2020 . https://www.openaccess.fraunhofer.de/content/dam/openaccess/de/documents/Fraunhofer-Open-Access-Strategie-2020.pdf German Research Foundation (DFG). (2018). DFG statement on the establishment of “cOAlition S” to support open access . Information for Researchers No. 56. https://www.dfg.de/en/research_funding/announcements_proposals/2018/info_wissenschaft_18_56/index.html German Research Foundation (DFG). (2021). Verwendungsrichtlinien. Allgemeine Bedingungen für Förderverträge mit der Deutschen Forschungsgemeinschaft e.V. (DFG) . https://www.dfg.de/formulare/2_00/v/dfg_2_00_de_v0121.pdf Helmholtz Association. (2004). Decision on the implementation of the Berlin Declaration . https://os.helmholtz.de/en/open-science-in-the-helmholtz-association/eng-open-access/open-access-policies/ Howlett, M., Ramesh, M., & Perl, A. (2009). Studying public policy : policy cycles & policy subsystems (3rd edition). Oxford University Press. Hübner, A., & Riesenweber, C. (2018). Datentabelle Inhalte der Open-Access-Policies deutscher Hochschulen . Zenodo. https://doi.org/10.5281/zenodo.1291855 Labastida i Juan, I., Melinščak Zlodi, I., Proudman, V., & Treadway, J. (2023). Opening knowledge: retaining rights and open licensing in Europe . SPARC Europe. https://doi.org/10.5281/zenodo.8084051 Max Planck Society. (2009). Rules of good scientific practice . https://www.mpg.de/16404553/rules-scientific-practice.pdf Open-Access-Büro Berlin. (2020). Empfehlung: Förderbedingungen für die Publikationsfonds für Monografien und Sammelbände an den Berliner Universitäten . Zenodo. https://doi.org/10.5281/zenodo.4110229 Pampel, H. (2021). Strategische und operative Handlungsoptionen für wissenschaftliche Einrichtungen zur Gestaltung der Open-Access-Transformation . Philosophische Fakultät der Humboldt-Universität zu Berlin. https://doi.org/10.18452/22946 Pampel, H., & Strecker, D. (2020). Wissenschaftliche Fachgesellschaften und Open Access in Deutschland. Bericht . https://gfzpublic.gfz-potsdam.de/rest/items/item_5000001_1/component/file_5000002/content Steering Committee for the “Digital Information” Initiative of the Alliance of Science Organisations in Germany. (2017). S haping digital information in science. “Digital Information” Initiative by the Alliance of Science Organisations in Germany. Mission Statement 2018–2022 . https://gfzpublic.gfz-potsdam.de/pubman/faces/ViewItemOverviewPage.jsp?itemId=item_2829904 Weisel, L. (2012). Interview zur Auflösung der IuK-Initiative Wissenschaft. LIBREAS. Library Ideas , 20 . https://libreas.eu/ausgabe20/texte/01weisel.htm Further Reading Angelaki, M. (2021). Model Policy on Open Science for Research Performing Organisations (RPOs) . Zenodo. https://doi.org/10.5281/zenodo.4666050 Canadian Association of Research Libraries. (2020). CARL Institutional Open Access Policy Template and Toolkit . https://www.carl-abrc.ca/oa-policy-template-and-toolkit/ Harvard Open Access Project (HOAP). (2021). Good practices for university open-access policies . Cyber.Harvard.Edu. https://cyber.harvard.edu/hoap/Good_practices_for_university_open-access_policies Macquarie University. (n.d.). Resources for Writing, Reviewing, and Developing Policy Documents . https://policies.mq.edu.au/resources.php OpenAIRE. (n.d.). Toolkit for Policy Makers on Open Science and Open Access . OpenAIRE.Eu. https://www.openaire.eu/toolkit-for-policy-makers-on-open-science-and-open-access PASTEUR4OA (n.d.). OA Policy Alignment Checklist. http://www.pasteur4oa.eu/resources/154#.YR9wp44zY2y University rights-retention OA policies. (2023, December 21). In Open access directory (OAD) [wiki]. https://oad.simmons.edu/oadwiki/University_rights-retention_OA_policies...
