Open access : opportunities and challenges : a handbook.
Date: 2008-07-01
Institutions: Directorate-General for Research and Innovation
Subjects: access to information, dissemination of information, documentation, information policy, scientific research

“Open Access” refers to free access to scientifi c publications over the internet. This concept is the 
subject of a lively debate among the research community, libraries, publishers and funding bodies. 
Researchers and libraries typically support open access, calling for better dissemination of research 
results  as  a  key  ingredient  for  stimulating  innovation  and  research  excellence.  Many  publishers, 
on the other hand, are sceptical of open access, warning of the potential negative effects it might 
have  on  valuable  aspects  of  the  current  publishing  system,  such  as  peer  review.  Finally,  research 
funding bodies are investigating open access as a way of improving the return on their investments in 
research and development. Against the backdrop of this debate, new publishing business models are 
being developed. Copyright issues, quality assurance and digital preservation are generating further 
discussion. This handbook intends to inform stakeholders and the society-at-large of the opportunities 
and challenges surrounding open access, and to promote a broad and inclusive debate on the future 
of scientifi c publishing in the European Research Area.

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EUR 23459

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Open Access - Cover.indd   4-6

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EUROPEAN COMMISSION

Open Access

Opportunities and Challenges

A Handbook

2008 

Directorate-General for Research

Science, Economy and Society 

EUR 23459

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EUROPE DIRECT is a service to help you find answers 

to your questions about the European Union

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LEGAL NOTICE

Neither the European Commission nor the German Commission for UNESCO, nor any person acting 
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use which might be made of the following information.
The opinions expressed and arguments employed herein are the sole responsibility of the authors and 
do not necessarily reflect the views of the European Commission or those of the German Commission 
for UNESCO.

A  great  deal  of  additional  information  on  the  European  Union  is  available  on  the  Internet.  It  can  be 
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Information on the German Commission for UNESCO is available on the Internet:
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Cataloguing data can be found at the end of this publication.
Luxembourg: Office for Official Publications of the European Communities, 2008

ISBN  978-92-79-06665-8
DOI 

10.2777/93994

The content of this publication may be reproduced and disseminated for non-commercial purposes, 
provided  that  reference  is  made  to  the  name(s)  of  the  author(s),  and  to  the  original  publication  as 
follows:

[Name of author(s) and title of contribution], “Open Access – Opportunities and challenges – A hand-
book”  by  the  European  Commission  and  the  German  Commission  for  UNESCO,  2008,  translated 
from the original German edition published by the German Commission for UNESCO.

These licensing conditions must also apply in the case of further reproduction. 

First published in German as “Open Access – Chancen und Herausforderungen. Ein Handbuch” by 
the German Commission for UNESCO in 2007. The German edition was supported by the German 
Federal Foreign Office. 

The only changes made to the original German edition are updates on the information concerning the 
authors’ affiliations. The present publication thus reflects the debate in early 2007. In the meantime, 
amendments to German copyright law, the so-called ‘second basket’ (‘zweiter Korb’) of the implemen-
tation of the EU directives mentioned in several articles, have been adopted (5 July 2007).

Coordination of translation:
Barbara Malina (German Commission for UNESCO) and Celina Ramjoué (European Commission) 

Assistance:
Antonie Curtius, Philipp Disselbeck and Anne Isabel Rauch (German Commission for UNESCO)

Printed in Belgium
Printed on white chlorine-free PaPer

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Table of Contents

Preface by the European Commission .................................................................. 9

Preface by the President of the German Commission for UNESCO ..................... 10

Message from the Commissioner for Culture 
and Education at the German Federal Foreign Office ......................................... 11

Introduction: Quo vadis, Knowledge Society? .................................................... 12
Richard Sietmann

Chapter 1: Definition and Origin of Open Access 

19

The Concept of Open Access............................................................................... 20
Norbert Lossau
Open Access – A Historical Survey ..................................................................... 24
Peter Schirmbacher

Chapter 2: An Introduction to Three Publication Models 

29

The Edoc-Server at the Humboldt-Universität zu Berlin: 
An Example of an Open Access Repository ........................................................ 30
Susanne Dobratz
The New Journal of Physics as an Example of Open Access Journals ............... 35
Eberhard Bodenschatz
The Example of a Hybrid Model: Springer Open Choice...................................... 39
Jan Velterop

Chapter 3: Implementing Open Access Models 

45

Financing Open Access Models .......................................................................... 46
Stefan Gradmann
Open Access and (German) Copyright ................................................................ 50
Karl-Nikolaus Peifer

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Open Access and Quality Assurance .................................................................. 54
Eberhard Bodenschatz & Ulrich Pöschl
Open Access and Long-term Archiving .............................................................. 58
Ute Schwens & Reinhard Altenhöner
Open Access and the Structure of Academic Communication ........................... 62
Hans Pfeiffenberger
Data-processing, Data-transfer and Search: 
Further Technical Challenges for Open Access .................................................. 66
Wolfram Horstmann
The Acceptance and Distribution of Freely Accessible Publications .................. 69
Johannes Fournier

Chapter 4: Political Perspectives 

75

Controversial Issues in the Context of Open Access .......................................... 76
Ralf Schimmer

Open Access in Higher Education, Science and Scholarship
Open Access in the Natural Sciences ................................................................. 80
Wolfgang Voges
Open Access in the Humanities .......................................................................... 82
Gudrun Gersmann
Open Access in the Social Sciences ................................................................... 84
Ulrich Herb
Open Access within the German Research Foundation ...................................... 86
Johannes Fournier
Open Access and the German Academic System: 
Common Perspectives of the Alliance of Research Organisations ..................... 88
Working Group of the Open Access Commissioners 
of the Alliance of Research Organisations

Libraries and Open Access ................................................................................. 91
Claudia Lux

Publishers and Open Access
Subscription-based Journal Publishing ............................................................. 93
Robert Campbell & Edward Wates, Wiley-Blackwell
Hamburg University Press and Open Access ...................................................... 97
Gabriele Beger & Isabella Meinecke
Brussels Declaration on STM Publishing ............................................................ 99

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Open Access and Education
The Legal Protection of Open Access: The Position of the Standing Conference 
of the Ministers of Education and Cultural Affairs of the Länder in the Federal 
Republic of Germany ........................................................................................ 101
Thomas Pflüger
Open Access and Education Policy: Perspectives of a Politician ...................... 103
Jörg Tauss
Open Access from the Point of View of the Coalition for Action
‘Copyright for Education and Research’ ........................................................... 105
Rainer Kuhlen

Open Access and Consumer Protection:
The View of the Federation of German Consumer Organisations ..................... 107
Patrick von Braunmühl

German Development Cooperation and Open Access ....................................... 109
Peter Rave

The Media and Open Access:
The Point of View of Public Service Broadcasting ............................................ 111
Verena Wiedemann

Chapter 5: International Context 

115

National Initiatives in Europe ........................................................................... 116
Katja Mruck & Rubina Vock
European Initiatives .......................................................................................... 120
Celina Ramjoué
Open Access in the United States ..................................................................... 124
Peter Suber
National non-European Initiatives: 
Open Access in India – the Status Quo ............................................................. 128
Mangala Hirwade
International Initiatives .................................................................................... 131
Andreas Hübner

List of Authors .................................................................................................. 136

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Preface by the European Commission

Foreword by the European Commissioner for
Science and Research

We  live  in  a  digital  age  that  has  opened  up 

dissemination of results. At the same time, I am 

unprecedented  opportunities  for  the  dissemi-

convinced that there must be fair remuneration 

nation  of  scientific  knowledge.  Sharing  this 

for scientific publishers who invest in tools and 

knowledge efficiently is crucial for the future of 

mechanisms to organise the flow of information 

European research.

and the peer review system.

One  much  debated  way  of  sharing  scientific 

I  welcome  this  handbook  which  presents  the 

information,  and  in  particular  peer-reviewed 

various views of major stakeholders and covers 

academic publications, is open access. 

a wide range of issues relevant to open access. 

I view it as a very useful and timely contribution 

In  2006, 

the  European  Commission’s 

to the debate on open access.

Directorate General for Research commissioned 

a  study  investigating  the  scientific  publishing 
market  in  Europe(a).  In  2007,  the  European 
Commission adopted a Communication which 

acknowledges  the  need  for  new  initiatives 

leading  to  wider  access  to  and  dissemination 
of scientific information(b). I am pleased that EU 
Member  States  entered  the  debate  in  2007 

by  adopting  Council  Conclusions  calling  for 

the  reinforcement  of  national  strategies  and 

enhanced  co-ordination  between  Member 

States  regarding  access,  preservation  and 
dissemination policies and practices(c).

The  debate  on  open  access  is  controversial 

and  complex,  with  stakeholders  displaying 

widely  contrasting  opinions.  I  strongly  believe 

that  we  must  work  towards  solutions  that 

offer  the  research  community  rapid  and  wide 

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(a)  http://ec.europa.eu/research/science-society/pdf/scientific-publication-study_en.pdf.
(b)  http://ec.europa.eu/research/science-society/document_library/pdf_06/communication-022007_en.pdf.
(c)  http://ec.europa.eu/research/science-society/document_library/pdf_06/council-conclusions97236_en.pdf.

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9

Preface by the President of the German Commission for UNESCO

Preface by the President of 
the German Commission for UNESCO

Knowledge  is  increasingly  important  for  the 

time, there may well be a justified interest in the 

development of the individual and society in an 

commercial  exploitation  of  academic  results, 

ever more globalised world. One of the primary 

for  example  when  research  is  partly  financed 

goals of UNESCO is therefore to build up mod-

by private funds.

ern  knowledge  societies  in  which  all  people 

can participate in information and knowledge. 

These  few  aspects  suffice  to  show  that  the 

At the same time the protection of intellectual 

debate  on  Open  Access  must  be  held  on  as 

property  is  a  major  concern,  with  the  aim  of 

broad a social basis as possible. The present 

ensuring creativity as a core sphere of culture.

handbook  is  designed  to  contribute  to  this 

Today,  the  Internet  allows  access  to  informa-

information on Open Access, a subject which, 

tion worldwide and at any time. Simultaneously, 

despite its great social importance, has hitherto 

university  libraries’  warnings  that  they  can  no 

been mainly discussed by experts.

debate.  It  provides  an  interested  public  with 

longer  fully  meet  their  responsibility  of  pro-

viding  information  because  of  considerable 

This  handbook  is  the  result  of  a  workshop 

price  increases  in  subscriptions  to  academic 

bringing  together  25  experts.  These  workshop 

journals  are 

increasingly  urgent. 

In  other 

participants  —  coming  from  German  Federal 

words,  the  development  of  new  models  of 

Ministries,  the  Standing  Conference  of  the 

information  provision  is  not  only  possible,  but 

Ministers  of  Education  and  Cultural  Affairs  of 

necessary if access to knowledge and culture 

the Länder in the Federal Republic of Germany, 

is to be secured as one of our most important 

the European Commission, the academic com-

resources.

munity,  major  academic  organisations,  the 

publishing  sector,  and  the  Open  Access  com-

In this connection, Open Access is one of the 

munity — discussed the structure and contents 

models  under  discussion.  Can  and  should 

of the present publication. I would like to express 

access  to  publicly  funded  academic  know-

my thanks to them, and to the numerous authors 

ledge be free of charge to the user?

of this handbook. I should also like to thank the 

German Federal Foreign Office for its support of 

This  question  is  being  hotly  debated.  It  has 

both the workshop and the publication. 

implications  for  educational,  research,  legal 

and economic policy. Without a doubt, individ-
ual educational opportunities will be enhanced 

and  innovation  promoted  if  access  to  know-

ledge  is  facilitated  in  this  way.  At  the  same 

10

Walter Hirche

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Preface by the President of 

the German Commission for UNESCO

Message from the Commissioner for Culture and Education 
at the German Federal Foreign Office

Message from the Commissioner for Culture and Education at the German Federal Foreign Office

The  issue  of  Open  Access  is  no  longer  a 

a handbook designed to draw the attention of a 

matter  just  for  specialists,  it  is  now  firmly  on 

wider public to the opportunities and challenges 

the  European  political  agenda.  In  February 

of Open Access. The idea for such a handbook 

2007  –  during  the  German  EU  Presidency 

was elaborated at a workshop for stake  holders 

–  the  European  Commission  published  a 

in  the  Open  Access  debate  organised  by  the 

Communication on scientific information in the 

German  Commission  for  UNESCO  on  26 

digital age. The Open Access issue has con-

January 2007 at the Federal Foreign Office dur-

siderable implications also for cultural relations 

ing the German EU Presidency.

and  educational  policy,  as  became  clear  at  a 

conference held at the Federal Foreign Office 

I am most grateful to the German Commission 

in  October  2006  under  the  motto  “Investing 

for UNESCO as well as the handbook’s authors 

in  People  –  the  role  of  culture  and  education 

and the experts who took part in the workshop 

in German foreign policy”. The purpose of the 

for  their  commitment  and  hard  work.  The 

conference was to bring together representa-

Federal Foreign Office is pleased to have sup-

tives  of  the  political,  business,  academic  and 

ported both the workshop and the handbook.

cultural communities to discuss, in the cultural 

relations  and  education  context,  the  difficult 

balance to be struck in a modern information 

society  between,  on  the  one  hand,  copyright 

and  the  protection  of  intellectual  property, 

and  on  the  other,  the  principle  of  unhin dered 

access to science and education.

Given  the  variety  and  number  of  participants 

in the Open Access debate – academics in a 

host  of  different  disciplines,  scientific  organ-

isations,  libraries  and  publishers  and  so  on 

– as well as the sheer complexity of the issues 

involved, a wide-ranging and intensive discus-

sion is clearly indispensable.

I therefore greatly welcome the initiative of the 

German Commission for UNESCO – a Federal 

Foreign Office partner organisation – to publish 

Rolf-Dieter Schnelle

11

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Introduction: Quo vadis, Knowledge Society?

Introduction: Quo vadis, Knowledge Society?
By Richard Sietmann, Science Journalist

Science  and  scholarship,  in  other  words,  the 

the  subscription  model  of  printed  journals. 

creators of knowledge, consist in large meas-

Academic  institutes  pay  for  online  access  so 

ure  in  the  processing  of  information.  New 

that  faculties  and  students  can  consult  the 

knowledge  arises  through  the  study  of  exist-

articles  without  financial  constraints.  For  their 

ing  works,  exchange  of  ideas,  the  linking  of 

research, however, the scientists, scholars and 

ideas  and  networking  with  other  disciplines. 

students  must  also  turn  to  individual  search 

Any  restriction  of  access  to  academic  infor-

engines  of  rival  academic  publishers  such  as 

mation  hinders  the  process  of  obtaining  new 

Reed Elsevier, Thomson Scientific, Springer, or 

insights  and  making  new  discoveries  whose 

Wiley, in order to rustle up the relevant articles 

usefulness  cannot  be  determined  in  advance. 

for  their  particular  field  of  interest,  a  process 

The publication of results and the accessibility 

that  lags  behind  the  potential  of  information 

of publications are therefore a precondition for 

technology.  Though  academic  meta-search 

the efficiency of the research process.

engines  such  as  Google  Scholar  or  Vascoda 

allow searches beyond the confines of individual 

However,  the  following  developments  have 

publishers, the retrieval will only be successful 

created  difficulties  for  traditional  publishing: 

if the links resulting from specific searches lead 

worldwide, more than one million peer-reviewed 

to the full text versions of articles, or access to 

published  articles  appear  in  some  23  000 

them is covered by a subscription paid by the 

academic  journals,  about  90%  of  which  are 
available  online(1).  The  industrialised  world  is 
suffering an information overload. The number 

researcher’s library or institute.

As  no  research  institution  or  library  can 

of published articles has truly exploded follow-

afford  to  purchase  all  electronic  journals, 

ing a ‘publish or perish’ logic. In view of drastic 

faculties  and  students  often  find  themselves 

increases in costs, libraries can no longer guar-

in  the  same  situation  as  ordinary  citizens. 

antee  a  comprehensive  supply  of  literature, 

Browsing  in  the  research  landscape  ends 

and  researchers  are  finding  it  more  and  more 

at  a  publisher’s  portal  where  it  may  cost  25 

difficult to get an overview of the relevant publi-

or  30  euros  to  download  a  complete  article. 

cations in their field.

For  this  pay-per-view  procedure,  payment  is 

as  a  rule  by  credit  card,  and  the  reader  will 

Until  now,  the  publication  of  research  infor-

not know until after paying whether the article 

mation  on  the  Internet  has  largely  followed 

was worth the price charged.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

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1  Ware, Mark, ‘Scientific Publishing in Transition: An Overview of Current Developments’, 2006. 

http://www.zen34802.zen.co.uk/Scientific_journal_publishing_-_STM_ALPSP_White_Paper_140906.pdf. 

12

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Introduction: Quo vadis, Knowledge Society?

Researchers,  interested  lay  people,  inventors, 

scholars and scientists have become active in 

patients,  teachers  and  journalists  are  all  con-

this  field.  With  the  help  of  software  tools  and 

fronted with a tollbooth at the entrance to the 

editorial systems that organise the processing 

gardens of knowledge when seeking the latest 

of manuscripts from submission to the review 

state  of  knowledge  for  private  or  professional 

process and all the way to final approval, they 

reasons. For many users, this is a paradoxical 

have established independent communication 

situation: never before has scholarship had at 

platforms for their communities. The Directory 

its  disposal  such  a  platform  for  knowledge-

of  Open  Access  Journals  now  lists  more 

networking  as  is  offered  by  the  Internet,  but 

at the same time the transfer of the tr aditional 

publication system to cyberspace goes hand-

than  2 500 freely accessible journals, amount-
ing  to  about  10%  of  all  scientific  journals(4). 
Responding  to  this  development,  a  number 

in-hand  with  exclusive 

rights  of  access. 

of publishers are now also offering authors the 

Reputable  scholars  and  scientists  see  these 

option of making their articles freely accessible 

barriers  to  access  as  ultimately  endangering 

electronically  on  payment  of  a  fee  through  an 

precisely  what  constitutes  the  generation  of 

‘author pays’ rather than a ‘user pays’ model.

new  knowledge  in  that  they  hinder  the  free 

exchange  of  thoughts  and  ideas  which  is  a 
sine qua non condition of research(2). By con-
trast, a declaration submitted by publishers of 

While  many  Open  Access  journals  are  using 

the  ‘author  pays’  model  to  transfer  traditional 

journals  to  the  Internet,  totally  different  forms 

scientific, technical and medical journals states 

of publication are beginning to appear. In many 

that ‘copyright protects the investment of both 

cases,  electronically  written  dissertations  are 

authors  and  publishers’,  and  that  ‘respect  for 

copyright  encourages  the  flow  of  information 
and rewards creators and entrepreneurs’(3).

E-Science•••••••••••••••

already  accessible  online,  for  example,  via 
Dissertation  Online(5)  at  the  German  National 
Library  (Deutsche  Nationalbibliothek)  in  the 

case  of  Germany.  Increasingly,  scholars  and 

scientists  are  uploading  presentations,  sur-

vey  articles,  position  papers  or  lecture  scripts 

onto their own homepages, institute server or 

In the light of this situation, some progress has 

onto  external  electronic  archives  as  so-called 

been made. Since it is relatively easy to oper-

‘grey  literature’.  On  a  broad  variety  of  condi-

ate  a  website  as  an  electronic  journal,  many 

tions,  some  publishers  already  allow  authors 

1  Ware, Mark, ‘Scientific Publishing in Transition: An Overview of Current Developments’, 2006. 

http://www.zen34802.zen.co.uk/Scientific_journal_publishing_-_STM_ALPSP_White_Paper_140906.pdf. 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

2  Open letter by 25 Nobel prize-winners to the US Congress: http://www.fas.org/sgp/news/2004/08/nobel082604.pdf. 
3  Brussels Declarations on STM Publishing. http://www.stm-assoc.org/brussels-declaration/.
4 
5 

http://www.doaj.org (as of March 2007, 2597).
http://www.dissonline.de. 

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13

 
Introduction: Quo vadis, Knowledge Society?

to  publish  their  manuscripts 

in  so-called 

service  infrastructure  for  access  to  primary 

repositories  before  peer  review  (preprints)  or 

scientific data and for net-based forms of col-

after  publication  in  a  journal  (postprints).  This 

laboration.  According  to  this  vision,  scientists 

procedure is not uncontroversial. In the above-

and scholars will be able to form project-related 

mentioned  declaration,  publishers  complain 

virtual  organisations  based  on  tools  and  ser-

that  ‘self-archiving’  of  manuscripts  accepted 

vices  for  cooperative  work,  media-integrating 

for publication in freely accessible repositories 

procedures of ‘information mining’, and access 

risks  destabilising  subscription  income  and 

to widely-distributed heterogeneous collections 

undermines peer review.

of data, as is already practised by high-energy 

physicists for their experiments.

The  Directory  of  Open  Access  Repositories 

already  lists  852  repositories,  about  half  of 

The  migration  of  academic  publishing  to  the 

which  are  operated  by  research  institutes 

Internet  is  thus  more  than  just  a  change  of 

and libraries in Europe, and one-third in North 
America(6). Such repositories additionally open 
up  the  possibility  of  making  original  research 

medium for specialist communication in which 

e-mails  replace  postal  services,  publishers’ 

portals  assume  the  function  of  libraries,  and 

data accessible, and of preserving them in the 

PDF  downloads  replace  the  photocopying  of 

long  term.  For  it  is  precisely  with  the  masses 

articles from journals. It exposes hitherto con-

of data obtained at great expense from satellite 

cealed structural conflicts, primarily in regard to 

missions, global sensor networks or large-scale 

the  question  of  who  in  the  system  pays  pre-

basic-research experiments, as well as clinical 

cisely how much for what. Should scientific and 

studies and statistical surveys, that traceability, 

technical information obtained with taxpayers’ 

plausibility and re-use by colleagues in the field 

money in public institutions or on the basis of 

is  increasingly  important.  As  actors  such  as 
advocates of Science Commons emphasise(7), 
repositories that are ‘open archives’ transcend 

the role of publication servers for journal articles 

by far; indeed, they can become the nodes of 

publicly funded projects be a free commodity? 

Or is it ‘a commodity, which, as an information 

product or service, is traded and sold, and in 
other  words  has  a  market’(8)?  Toll  Access  or 
Open  Access  —  the  two  concepts  seem  to 

a novel kind of network, a kind of Web 2.0 for 

be  irreconcilably  opposed.  In  addition,  elec-

research, which is often known as ‘E-Science’ 

tronic  publishing  poses  a  severe  test  for  the 

(Enhanced  Science).  This  notion  refers  to  a 

actors’ traditional understanding of their roles. 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

6 
7 
8 

http://www.opendoar.org (as of March 2007: Europe 419, North America 279).
http://sciencecommons.org/projects/data.
Programme of the German Federal Government, ‘1996–2000 Information als Rohstoff für Innovation’, BMBF, 1996, p. 19.

14

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Introduction: Quo vadis, Knowledge Society?

If  access  is  to  be  free  of  charge  for  the  end-

pays for the research and the documentation of 

user,  who  will  ensure  the  adequate  quality  of 

the results, finances peer review by paying the 

the product? Who will provide and pay for the 

salaries of the referees, and enables lib raries to 

infrastructure  necessary  for  its  presentation, 

purchase journal subscriptions. Moreover, unlike 

access and storage?

Role•distribution••••••••••

copyright-holders  in  the  media  sector,  scho-

lars  and  scientists  are  usually  not  paid  for  the 

articles  in  which  they  document  the  results  of 

their research, but make their work freely avail-

able. Their remuneration comes in the form of 

Traditionally,  publishers  perform 

these  ser-

their  reputation  and  their  recognition  by  the 

vices.  They  organise  the  peer-review  process 

academic community, which cannot be directly 

and develop new journals as a communication 

measured  in  financial  terms.  They  are  at  the 

platform  for  the  specialist  community,  in  view 

same  time  ‘content  providers’  and  research-

of  the  increasing  fragmentation  of  academic 

ing readers, and in this double role it is in their 

disciplines.  In  these  activities,  major  publishing 

natural  interest  that  both  their  own  results,  as 

companies  whose  prime  obligation  is  to  maxi-

well as those of their fellow researchers, be dis-

mise the shareholder value compete with small 

seminated as widely as possible.

publishers and ‘non-profit’ publishers set up by 

learned so cieties that plough their profits straight 

The  crisis  and  financial  pressure  in  the  infor-

back into the academic activities of the societ-

mation-provision  sector  are,  however,  not 

ies. In the opinion of STM (science, technology, 

a  direct  incentive  for  most  scientists  and 

and medicine) publishers, the market for scien-

scholars  to  exert  any  active  influence  on 

tific  publications  needs  no  state  intervention. 

developments,  because  they  do  not  have  to 

‘Authors  should  be  free  to  choose  where  they 
publish in a healthy, undistorted free market’(9).

bear the cost of the publication system them-

selves.  Researchers  need  publications  for 

their  career  advancement,  but  they  do  not 

In  contrast,  advocates  of  Open  Access  argue 

pay for subscriptions themselves. Their inter-

that  academic  publishing  is  very  different  from 

est is confined to being published in reputable 

the  rest  of  the  media  sector.  They  point  out 

journals.  As  readers,  in  turn,  they  are  mainly 

that  in  this  sub-market,  the  public  sector  is 

interested not in the journal, but in the contri-

present  both  as  a  supplier  and  a  customer. It 

butions of their fellow researchers, regardless 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

9 

c.f. footnote 3.

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15

Introduction: Quo vadis, Knowledge Society?

of  where  these  are  published.  (In  this  con-

In both cases, it is the taxpayer who bears the 

text  a  small  number  of  journals,  for  example 

costs. For example, in the context of an ‘author 

Science or Nature for the STM field, constitute 

pays’ model, the author or his or her institution 

an exception in that they link refereed articles 

pays the publisher for services rendered in the 

with editorial content and provide their readers 

form of publishing the article and disseminating 

with additional information on research policy 

the results. Therefore, the costs would simply 

and academic controversies.)

be shifted from one branch of the public sector 

to  another,  namely  from  the  library  budget  to 

Libraries are the most affected by the changes 

the research budget. In the transitional period, 

described.  Their  classic  mediating  function 

in which the two systems co-exist side-by-side, 

becomes  a  dilemma  in  the  context  of  the  vir-

this  would  require  extra  funds,  or,  if  subscrip-

tualisation  of  information  supply,  which  now 

tions  to  electronic  journals  were  cancelled,  it 

takes  place  in  a  paperless  form  via  the  web 

would lead to gaps in the availability of scientific 

and is no longer tied to buildings and opening-

and scholarly information.

times.  In  the  Toll  Access  scenario,  in  which 

access is possible exclusively via the web por-

In  the  present  phase  of  upheaval,  therefore, 

tals of commercial publishers, as far as journals 

we clearly need to ask not only about return on 

are  concerned,  libraries  would  have  no  more 

investment, but also about the optimum struc-

than  the  role  of  museums  of  the  Gutenberg 

tures  for  the  supplying  of  information  in  the 

cultural  legacy.  They  would  administer  the 

knowledge society. The transformation of aca-

material from pre-Internet days, or maybe act 

demic publishing from the Gutenberg Galaxy to 

as  brokers  negotiating  digital-rights  manage-

cyberspace demands of all those involved that 

ment  conditions  with  publishers  on  behalf  of 

they redefine their role within the system. The 

affiliated institutions. In the other scenario, they 

forthcoming changes will make it necessary to 

would be the actor which, as operators of insti-

take into account a large number of technical, 

tutional  repositories,  would  be  responsible  for 

legal and economic factors. In the definition of 

the administration, conservation and long-term 

their  new  role,  all  actors  depend  upon  each 

storage  of  research  results  in  digital  archives, 

other.  In  the  following  chapters,  light  will  be 

thus  ensuring  the  preservation  of  this  cultural 

cast on the opportunities and risks of the pos-

asset for future generations.

sible  paths  of  development  from  the  differing 

16

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Introduction: Quo vadis, Knowledge Society?

points of view of these concerned actors. This 

handbook thus seeks to make a contribution to 

meeting this challenge.

It  is  subdivided  into  five  chapters:  following 

an explanation of the terms and the origin of 

Open  Access  in  Chapter  1,  three  innovative 

publication models are introduced in Chapter 

2.  Chapter  3  deals  with  the  questions  raised 

by the implementation of Open Access: what 

are the challenges of archiving on the Internet? 

How  will  quality  be  assured  if  the  traditional 

peer  review  process  becomes  less  impor-

tant? Who will pay for the publication process 

if  access  to  information  is  free  of  charge  to 

the user? How is copyright affected by Open 

Access?  How  will  Open  Access  change 

the  structure  of  academic  communication? 

Chapter  4  presents  position  statements  by 

institutions  judging  Open  Access  from  their 

own perspective, while Chapter 5 presents an 

overview of the international scene.

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17

18

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•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

CHAPTER 1:

Deﬁ nition and Origin of Open Access

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19

Chapter•1

Definition and Origin of Open Access

The Concept of Open Access
By Norbert Lossau, Göttingen State and University Library

The•principle•of•free•access•
to•academic•knowledge••••

What  is  meant  by  ‘access’?  Here  too,  the 

Berlin  Declaration  adopts  a  broad  definition: 

authors  and  rights  owners  should  allow  all 

A  first  approximate  definition  of  the  term 

u sers the ‘free, irrevocable, worldwide, right of 

‘Open Access’ is free access to knowledge at 

access’ and give them the ‘permission to copy, 

no  charge  to  the  user.  In  the  current  debate, 

use,  distribute,  transmit  and  display  the  work 

‘knowledge’ refers primarily to publicly funded 

publicly  and  to  make  and  distribute  derivative 

academic knowledge. This handbook also con-

works,  in  any  digital  medium  for  any  respon-

centrates on the academic sector. The question 

sible  purpose,  subject  to  proper  attribution  of 

of an extension of the term to other spheres, for 

authorship [...], as well as the right to make a 

example to the media or to development policy, 

limited number of printed copies for their per-

is dealt with briefly in a few position statements 

sonal use’.

in Chapter 4.

In  Germany  and  elsewhere,  the  Open  Access 

debate  is  largely  determined  by  the  ‘Berlin 

Open•Access•in•practice••••

Declaration on Open Access to Knowledge in the 
Sciences and Humanities’(10). It was issued in Berlin 
in 2003 by the major German academic organisa-

In 

the  wake  of 

the  Berlin  Declaration, 

two  basic  forms  of  implementation  have 

established  themselves,  with  a  focus  on 

tions, and has since found many signatories.

academic journals:

What  is  meant  by  ‘knowledge’?  The  Berlin 

1. 

the ‘green road’: deposit of copies of al-

Declaration  defines  this  term  very  broadly. 

ready published, peer-reviewed research 

According to its definition, knowledge is not just 

articles in university or research institute 

the actual research publication, but includes a 

repositories;

whole variety of other digital media and objects, 

2. 

the ‘golden road’:

as well as research data. A publication should 

a. publication by Open Access pub lishers 

be  available  as  ‘a  complete  version  with  all 

or in Open Access journals, financed 

supplementary  materials’.  This  definition  goes 

either upfront through publishing fees (e.g. 

beyond authors’, publishers’ and libraries’ tra-

BioMed Central) or through public funds 

ditional understanding of a publication.

(e.g. Digital Peer Publishing Initiative DPPI);

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

10  http://www.mpg.de/pdf/openaccess/BerlinDeclaration.html.

20

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Definition and Origin of Open Access

b. the parallel publication of books in printed 

The  attitudes  of  academic  authors  are  char-

form (for a fee) and in an electronic version 

acterised  by  the  different  cultures  of  their 

(free access) in Open Access publishing 

disciplines  and  offer  a  heterogeneous  picture, 

houses, in particular university presses.

as the following examples will show.

What•is•meant•by•
Open•Access•••••••••••

Natural and Life Sciences 

In the natural and life sciences, the academic 

journal  is  the  relevant  medium.  As  users, 

however,  natural  and  life  scientists  increas-

The first signatories to the Berlin Declaration were 

ingly  come  up  against  its  limitations.  Free 

well aware of the far-reaching significance of their 

access for the individual researcher via library 

demands  –  and  probably  no  less  aware  of  the 

subscriptions is no longer guaranteed as sub-

problems  of  implementing  them.  This  explains 

scriptions are being cut back severely due to 

the visible discrepancy between the uncomprom-

cost increases on the one hand and reduced 

ising  proclamation  of  the  principles  and  the 

library budgets on the other. As subscriptions 

cautious  choice  of  words  actually  used  for  the 

decline,  so  does  the  number  of  readers  and 

section entitled ‘Supporting the Transition to the 

thus the visibility of research results within the 

Electronic Open Access Paradigm’. The subse-

scientific community.

quent  lively  and  often  polemical  debate  about 

Open Access and the appropriate way to imple-

A novel area addressed by the Berlin Declaration 

ment it continues to this day, and, as expected, 

is that of access to raw and primary data, which 

has made very clear a number of problems.

to date scientists have generally closely guarded 

and kept under lock and key. Advocates argue 

The  further  coining  of  the  term  is  strongly 

that  Open  Access  could  contribute  to  good 

influenced by the respective understanding of 

scientific  practice  through  the  dissemination  of 

Open  Access  on  the  part  of  the  three  main 

these  data,  which  could  be  of  increasing  rele-

groups  of  actors,  namely  authors,  publishers 

vance in the natural and life sciences in view of a 

and  libraries,  and  this  understanding  in  turn 

number of spectacular cases of scientific fraud 

is  influenced  by  their  specific  experiences, 

in recent years.

expectations and fears with respect to know-

ledge dissemination.

10  http://www.mpg.de/pdf/openaccess/BerlinDeclaration.html.

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21

 
Chapter•1

Definition and Origin of Open Access

Humanities and Social Sciences 
For  historians,  philosophers,  philologians  and 

linguists, archaeologists, musicologists, as well 

as  jurists  and  economists,  the  printed  book 

continues  to  be  the  primary  medium  for  dis-

Open  Access,  however,  is  far  more  differenti-

ated. In the natural and life sciences, numerous 

publishers already allow parallel storage of the 
author’s  final  corrected  version(13).  Alongside 
declared  Open  Access  publishers  such  as 

seminating research results. In these disciplines 

BioMed Central, other publishers offer authors 

online  media  are  used  primarily  as  research 

an  Open  Access  option  for  accepted  articles. 

instruments. Access is in principle guaranteed, 

The  starting  point  for  the  implementation  of 

if not in the local library, then with some delay 

Open  Access  varies  widely.  While  large  STM 

via  inter-library-lending  schemes  or  document 

publishers  already  offer  their  journals  online, 

delivery from other libraries. Instead of concrete 

considerations  of  cost  have  so  far  stopped 

access,  the  emphasis  in  the  humanities  and 

many  publishers  in  the  humanities  and  social 

social sciences is on the potential of electronic 
publishing(11),  for  example  greater  publication 
speeds, the uniting of different media (text, pic-

sciences from going down this road. Readiness 

to  cooperate  with  partners  from  the  business 

world and in particular the public sector (espe-

tures,  speech,  film  etc.)  and  the  development 

cially academic libraries) is growing in an effort 

of  new  ‘types  of  text’  (hypertext).  Academics 

to take the plunge into Internet publishing.

in these disciplines are thinking not so much of 

replacing the print medium as of usefully sup-

plementing it. While Open Access is welcomed 

Libraries 
Securing comprehensive access to knowledge 

as  a  basic  principle  of  academic  information 

is  one  of  the  specific  tasks  of  libraries,  both 

infrastructure, it is not a primary goal in itself.

in  the  public  and  the  academic  sphere.  The 

Publishers 

German  Library  Association  was  among  the 

first  signatories  to  the  Berlin  Declaration.  The 

At first sight, the publishers’ understanding of 

appearance of Open Access has taught librar-

Open  Access  seems  unambiguous:  commer-

ies a great deal about the working methods of 

cially  damaging  and,  at  worst,  life-threatening 

scientists  and  scholars  and  has  at  times  put 

since  income  is  traditionally  generated  pre-
cisely  via  access(12).  In  particular,  it  is  alleged 
that Open Access means lack of quality assur-

them on a collision course with publishers, who 

traditionally  have  been  their  good  partners. 

Today, public institutions are the ones primarily 

ance.  Publishers’  actual  practice  vis-à-vis 

building up an infrastructure in the spirit of the 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

11  As referred to at the symposium staged by the Europäische Akademie Bad Neuenahr “Elektronisches Publizieren in den Geisteswissenschaften” (30-31 

March 2007). http://www.ea-aw.de/susanis/index.php?lang=EN. 

12  http://www.stm-assoc.org/brussels-declaration. 
13  cf. the SHERPA/ROMEO database at http://www.sherpa.ac.uk/romeo.php; for German publishers: http://www.dini.de/oap and www.open-access.net. 

22

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Definition and Origin of Open Access

Berlin  Declaration  to  secure  reliable  and  sus-

tainable  access  to  knowledge  in  the  sciences 

Summary• •••••••••••••

and humanities. They are doing so as operators 

The Open Access principle has found numer-

of  institutional  repositories  and  their  national 

ous supporters. The implementation of a vision 

and international networks, as sponsors of uni-

of a worldwide networked knowledge society, 

versity presses, or as partners of scientists and 

however, is still in its infancy. A translation of the 

scholars  in  the  organisation  and  operation  of 

concept of Open Access in a way that allows 

Open  Access  journals.  However,  libraries  are 

all involved actors to find their roles in the new 

also  increasingly  approaching  publishers  with 

system and does not threaten their very exist-

ence is decisive for its success or failure.

a  view  to  trying  out  alternative  business  and 
payment models(14), or else are proposing their 
partnership  and  support  in  ‘going  online’,  in 

particular to small and medium-sized publish-

ing houses.

Libraries  deal  with  one  aspect  in  the  context 

of Open Access only marginally: access to the 

cultural heritage, which is also created by librar-

ies alongside museums and archives. Libraries 

notice  that  they  themselves  still  have  major 

deficits in the networking of their services: while 

in principle scientists and scholars have Open 

Access, this access can in practice be labori-

ous in view of the numerous isolated digitalised 

collections. Libraries share with publishers the 

insight that digitalisation and permanent online 

provision  will  require  a  major  financial  contri-

bution,  which  could  certainly  come  from  the 

public  purse,  but  could  also  be  recouped  via 
‘customers’(15).

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

14  A consortium of research organisations and libraries, SCOAP3 (Sponsoring Consortium for Open Access Publishing in Particle Physics), is currently negotiating 
with various publishers in order to recast the financing of journals in this field completely from a subscription model to pre-payment for the publication process. 
15  For example, the association of 14 libraries, ‘DigiZeitschriften’, offers digital access to more than 100 journals digitalised by publishers, and is financed via 

institutional subscribers. http://www.digizeitschriften.de. 

23

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Chapter•1

Definition and Origin of Open Access

Open Access – A Historical Survey
By Peter Schirmbacher, Department of Library and Information Science, Humboldt-Universität zu Berlin 

‘Our  mission  of  disseminating  knowledge 

getting  hold  of  the  latest  insights  of  the  aca-

is  only  half  complete  if  the  information  is  not 

demic  community  or  not.  Of  course  it  has 

made  widely  and  readily  available  to  society. 

always been and still is a question of publishing 

New  possibilities  of  knowledge  dissemination 

economics, which even in the academic world 

not  only  through  the  classical  form,  but  also 

was and is determined by supply and demand. 

and  increasingly  through  the  Open  Access 

These aspects make it clear that, in the past, 

p aradigm via the Internet have to be supported.’ 

preconditions  and  chances  of  realisation  pre-

This is a statement in the ‘Berlin Declaration on 

cluded  raising  the  question  of  free  access  to 

Open  Access  to  Knowledge  in  the  Sciences 
and Humanities’ of October 2003(16), signed by 
all the leading German academic organisations 

academic information.

The  decisive  difference  today  lies  in  the  pos-

and funding bodies, and in the meantime also 

sibility to digitise research results and thus the 

by 227 academic institutions worldwide.

real  option  of  placing  them  at  users’  disposal 

worldwide  via  the  Internet.  Thus  the  technical 

This declaration is well-known to many people, 

barriers to free access have come down. The 

because it launched the notion of Open Access 

greatest  upheaval  in  the  history  of  academic 

not only in Germany but worldwide. More than 

communication  is  currently  under  way,  and  it 

three years have elapsed since this conference 

has  forced  a  debate  about  a  new  culture  of 

in  Berlin,  and  these  years  have  made  it  clear 

academic  publishing.  One  component  of  the 

that  the  path  from  public  perception  to  con-

discussion is the confrontation with the ques-

structive  implementation  can  be  a  long  one. 

tion  of  whether  and  how  we  organise  access 

On  the  other  hand,  three  years  is  a  relatively 

to  information.  Technically,  digitisation  and 

short  time  in  light  of  the  fact  that  unhindered 

the  Internet  create  the  preconditions  to  allow 

access  to  the  results  of  academic  research 

free  worldwide  and  unrestricted  access  to 

has always occupied mankind. For a long time, 

kn owledge  as  it  appears.  However,  this  pre-

the  question  was  one  of  technical  barriers  to 

supposes  that  we  can  answer  the  question 

d uplication. These were to some extent broken 

of  who  will  bear  the  costs  involved,  as  in  any 

down only in 1452 by Gutenberg’s invention of 

other form of publishing. There is a whole var-

‘movable  types’.  Of  no  small  importance  was 

iety  of  publishing  business  models,  which  will 

the quality of local libraries, which was decisive 

be examined in greater detail later in this book.

in  determining  whether  one  had  a  chance  of 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

16  http://www.zim.mpg.de/openaccess-berlin/BerlinDeclaration_dt.pdf.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

24

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Definition and Origin of Open Access

It should be noted, however, that the upheaval 

subject.  The  first  conference  to  deal  with  the 

in  academic  communication  demands  more 

matter was organised by the OSI (Open Society 

than just the solution to an economic problem. 

Institute) in Budapest in December 2001. The 

The rules governing concerned actors as well as 

scientists and scholars who took part in it had 

their behaviour have developed over hundreds 

set themselves the goal of finding a way to bring 

of years. An upheaval on this scale is not easy 

together  existing  Open  Access  activities  and, 

to cope with, for almost any change carries its 

as a first step, to determine the kinds of aca-

own  dangers  and  can  bring  not  just  benefits 

demic  literature  for  which  free  access  should 

for all those involved, but also effects that can-

be made possible. On 14 February 2002 a cor-

not be immediately foreseen. Criticism of Open 

responding call to an initiative appeared, which 

Access comes not only from established aca-

in the meantime (as of March 2007) has been 

demic  publishers,  but  also  from  authors  who 

signed by 4 391 individuals and 391 academic 

fear  for  their  income  from  authors’  contracts. 

organisations:  ‘An  old  tradition  and  a  new 

Above  all,  the  system  of  assessing  scientific 

technology  have  converged  to  make  possible 

and scholarly performance, which has hitherto 

an  unprecedented  public  good.  The  old  trad-

been organised by the publishers, could go off 

ition is the willingness of scientists and scholars 

the rails if anyone could simply upload results 

to publish the fruits of their research in schol-

on to the Internet, and if there were no longer 

arly  journals  without  payment,  for  the  sake  of 

any kudos in having articles published in rep u-

inquiry and knowledge. The new technology is 

table academic journals.

the Internet. The public good they make pos-

sible is the world-wide electronic distribution of 

The development of the Open Access initiative 

the  peer-reviewed  journal  literature  and  com-

makes clear the stages in the upheaval of the 

pletely free and unrestricted access to it by all 

academic communication system. Peter Suber, 

scientists,  scholars,  teachers,  students,  and 

one of the main voices of the Open Access ini-

other curious minds.’

tiative, has worked out a ‘Timeline of the Open 
Access  Movement’(17),  in  which  many  details 
and  basic  data  of  the  evolution  to  date  are 

This  call  has  generally  been  described  as  the 

‘birth’  of  the  Open  Access  initiative,  although 

listed. The conference mentioned at the begin-

this does not do justice to all the activists who, 

ning  of  this  section  culminating  in  the  Berlin 

years earlier, had strongly supported free access 

Declaration  was  the  third  to  be  held  on  this 

to  academic  information.  It  is  often  forgotten 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

17  http://www.earlham.edu/~peters/fos/timeline.htm.

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25

Chapter•1

Definition and Origin of Open Access

or  overlooked  that  this  first  call  was  only  con-

Thus  the  follow-up  conferences  in  Geneva, 

cerned with guaranteeing free access to journal 

Southampton,  Potsdam  and  Geneva  again 

articles which had already undergone the peer 

dealt with matters of technical implementation, 

review process and which, in parallel with pub-

such as the use of the Open Archives Initiative 

lication  in  the  journal,  should  be  made  freely 

Protocol for Metadata Harvesting (OAI-PMH) or 

available  on  the  Internet.  As  a  rule,  this  con-

the building and visibility of institutional and dis-

cerns  only  those  authors  who  cannot  expect 

ciplinary repositories. A series of contributions 

any royalties or fees for the articles they publish. 

in this handbook take a detailed look at these 

The  authors  of  other  works,  for  example  text-

topics.  The  focus  of  the  Southampton  meet-

books or monographs, were therefore not to be 

ing  was  to  call  for  all  scientific  and  scholarly 

deprived of potential income. In addition, those 

institutions to adopt an Open Access policy of 

authors  who  are  not  remunerated  directly  for 

their own in order to be able to better address 

their academic works are called upon to place 

researchers locally. Since then, there has been 

their full texts on the Internet, as is the case for 

growing interest in Open Access, but it has not 

dissertations and research reports.

yet  established  itself  as  an  alternative  form  of 

publication in the academic world.

A full year later, on 11 April 2003 in Bethesda, 

Maryland, USA, a discussion was held on the 

possibilities  of  better  integrating  actors  of  the 

publication  process.  It  resulted  in  the  state-

ments of the ‘Libraries and Publishers Group’ 

and  the  ‘Scientists  and  Scientific  Societies 
Group’(18).  The  third  conference, 
marked  both  an  end  point  and  a  new  start. 

in  Berlin, 

It  represented  an  end  point  in  that  academic 

policy  goals  had  been  formulated,  and,  as 

Peter Suber puts it, because a ‘BBB-definition 

(Budapest-Bethesda-Berlin)  of  Open  Access’ 

had  been  established.  At  the  same  time, 

it  represented  a  starting  point  with  regard 

to  technical  and  organisational  questions. 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

18  http://www.earlham.edu/~peters/fos/bethesda.htm.

26

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Open Access_16-04-08.indd   27

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27

28

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•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

CHAPTER 2:

An Introduction 
to Three Publication Models 

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29

Chapter•2

An Introduction to Three Publication Models

The Edoc-Server at the Humboldt-Universität zu Berlin: An 
Example of an Open Access Repository
By Susanne Dobratz, University Library, Humboldt-Universität zu Berlin

The•edoc-server•••••••••••

The  document  and  publications  server  of  the 

Humboldt-Universität  zu  Berlin,  known  as 

the  edoc-server,  celebrated  its  tenth  birthday 

in  2007.  The  server  operators,  the  university 

reports or monographs forming part of a series. 
All in all, there are some 7 020 documents(21) of 
different  types  on  the  server.  Compared  with 

international Open Access servers, such as the 
arXiv(22), the most widely recognised physics pre-
print server containing 415 000 documents, this 

l ibrary and the university’s computer and media 

is  not  very  much.  However,  if  we  consider  the 

service, regard it as the Open Access repository 

fact that these are all primary publications, and 

of  the  Humboldt  University.  These  two  institu-

that the authors received individual assistance, 

tions maintain the edoc-server through the joint 

this is a noteworthy achievement.

working  group  ‘Electronic  Publishing’.  All  the 

articles,  journals,  reports,  dissertations,  etc. 

The edoc-server is incorporated into the univer-

published on edoc are available worldwide, free 

sity’s information infrastructure. Together with a 

of charge and without any access restrictions.

media  server,  a  course-management  system, 

and the digital library, it forms just one source of 

When  we  started  in  1997,  like  many  of  the 

information available to members of the univer-

109  German  document  servers  in  existence 
today(19),  we  had  a  different  goal  in  mind. 
This  was  to  provide  doctoral  students  at  the 

Humboldt  University  with  a  platform  allowing 

them  to  publish  their  dissertations  digitally. 
The so-called ‘Dissertations Online’ initiative(20) 
enabled the use of a more up-to-date, quicker 

and  cheaper  medium  to  comply  with  the 

sity for teaching and research purposes.

Open•Access•at•the•
Humboldt-Universität•zu•
Berlin• ••••••••••••••••

German obligation to publish dissertations. 

Every  university  pursues  its  own  path  when  it 

comes to dealing with the topic of Open Access. 

In  the  meantime,  the  spectrum  of  publications 

The  Humboldt  University’s  path  has  been  as 

made  available  via  the  edoc-server  has  com-

follows.  As  early  as  August  2005,  an  Open 

pletely  changed.  It  is  now  a  genuine  Open 

Access  working  group  was  set  up  under  the 

Access repository. Three-quarters of its publica-

Vice-President  for  Research.  Following  a  deci-

tions  are  articles,  conference  papers,  research 

sion  by  this  working  group,  a  first  activity  was 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

19  See list on the server of the Deutsche Initiative für Netzwerkinformation: http://www.dini.de/wiss-publizieren/repository/.
20  http://www.dissonline.de.
21  as of May 2007.
22  http://www.arxiv.org.

30

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An Introduction to Three Publication Models

the  attempt  to  provide  the  technological  basis 

•	

supporting staff and professors with 

for  publishing  already  published  articles  (‘the 

electronic publishing and in the use of 

green road’) and to involve selected professors 

modern publication technologies;

in order to publish a critical mass of articles in 

•	

maintaining a university bibliography.

the form of so-called postprints. Only later was 
the Open Access Declaration(23) of the Humboldt 
University passed by the Academic Senate and 

officially made public on 16 May 2006 at a public 
colloquium(24).  In  this  declaration,  the  scientists 
and scholars of the university support the world-

wide Open Access initiative and join the ‘Berlin 

Declaration  on  Open  Access  to  Knowledge 

in  the  Sciences  and  Humanities’.  Since  then, 

it  has  been  the  task  of  the  working  group  on 

At some universities, for example the Technische 

Universität  Berlin,  the  document  and  publica-

tions server is coupled with the operation of a 
university press(25).

What•makes•a•good•
document•server?•••••••••

‘Electronic Publishing’ to assist members of the 

In order to standardise the quality of the service 

university  in  matters  of  electronic  publishing. 

provided by a document server within Germany, 

This applies both to the ‘golden road’ and to the 

the  Deutsche  Initiative  für  Netzwerkinformation 

‘green road’ to Open Access. In this sense, the 

(German 

Initiative 

for  Network 

Information, 

edoc-server is one of a number of instruments 

promoting Open Access at the university.

DINI) has created the DINI-certificate for docu-
ment and publication services(26). This certificate 
defines  the  organisational  and  technological 

Through the edoc-server as a university Open 

conditions  and  characteristics  that  a  server 

Access  repository,  the  Humboldt  University 

should fulfil if it is to be interoperable with other 

pursues the following goals:

services  and  integrated  into  a  nationwide  net-

work. These conditions relate to: the v isibility of 

•	

making available university content, in 

the service as a whole, the existence of guide-

particular types of content that have been 

lines,  assistance  for  authors,  legal  aspects, 

difficult to access till now, for example 

security, authenticity and integrity of server and 

dissertations, etc.;

documents, the bibliographical re gistering of the 

•	

making a university’s scientific and 

documents  and  classification  by  content,  the 

scholarly work visible;

existence  of  technical  interfaces,  the  export  of 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

23  The full text is available at http://www.edoc.hu-berlin.de/e_info/oa-erklaerung.php/.
24  http://www.cms.hu-berlin.de/ueberblick/veranstaltungen/kolloquium/jahreskolloquium. 
25  The Arbeitsgemeinschaft Deutscher Universitätsverlage (Consortium of German University Publishers) lists others: 

http://www.ubka.uni-karlsruhe.de/portale/ag_univerlage/verlage/.html.
26  http://nbn-resolving.de/urn:nbn:de:kobv:11-10075687 (english version). 

31

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Chapter•2

An Introduction to Three Publication Models

metadata, the maintenance of access statistics, 

can  be  registered.  In  addition,  for  every  pro-

and to measures to ensure the long-term avail-

jected  publication,  a  user-view  is  worked 

ability of the documents. The edoc-server of the 

out  and  implemented  jointly  with  the  editors. 

Humboldt University fulfils these conditions.

Furthermore,  templates  are  made  available  to 

The•edoc-server•as•the•
platform•for•publishing•the•
university’s•e-journals• •••••

authors  along  with  conversion  tools  to  allow 

editors  to  produce  their  own  archive  and 

Internet versions.

In  order  to  increase  the  effectiveness  of  the 

publications, the edoc-server additionally offers 

editors  a  series  of  previously  unavailable  ser-

For years and in some cases decades, some sci-

vices,  such  as  automatic  registration  with  the 

entists and scholars at the Humboldt University 

German National Library, the journal database, 

have  been  editing  their  own  journals  or  publi-

and other index instruments as well as a print-

cation  series.  With  the  increasing  importance 

on-demand  component  for  the  articles,  and 

of the Internet as an instrument for dissemina-

integration into international search engines, in 

ting knowledge and in particular over the past 

particular Google.

two years, we as operators of the edoc-server 

have increasingly been receiving requests from 

academics  to  assist  them  in  the  conversion 

of  their  publications  to  this  medium.  In  doing 

so,  we  concentrate  primarily  on  providing  the 

technological  base,  while  confining  ourselves 

to providing only useful tips in other areas, e.g. 

organisational and legal matters. The organisa-

The•edoc-server•as•an•
institutional•repository•
supporting•the•‘green•road’•
to•Open•Access••••••••••

tion of quality control stays with the editors.

The edoc-server supports the inclusion of aca-

demic  articles  already  published  elsewhere  by 

The  technological  basis  includes  the  provision 

making available a special input format for these 

of a database with a WWW-based input facility, 

articles,  which,  based  on  the  concept  of  the 

so that the descriptive metadata for the e-jour-

EPrints server at the University of Southampton, 

nal  and  each  individual  article  in  the  e-journal 

registers all the potentially necessary information 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

32

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An Introduction to Three Publication Models

Input possibilities for preprints and postprints

and takes into account the conditions imposed 

by individual publishers, who sometimes require 

Challenges• ••••••••••••

an indication of the original place of publication 

Among the great challenges in the preparation 

or  other  details.  The  scientists  and  scholars 

and  operation  of  Open  Access  repositories 

deliver their documents in PDF-format and are 

are the procurement of scientific and scholarly 

given  support  in  researching  the  legal  frame-

papers and the need to convince authors of the 

work  conditions.  This  begins  with  consulting 

value of this approach. According to a study con-

the  German  interface  of  the  SHERPA/RoMEO 
database(27),  which  lists  the  conditions  of  indi-
vidual  publishers  regarding  Open  Access,  and 

goes all the way to addressing enquiries to the 

ducted  by  the  German  Research  Foundation 

(Deutsche  Forschungsgemeinschaft,  DFG)  in 
2005(28),  many  academics  do  not  know  what 
Open  Access  means  and  have  not  yet  inte-

publishers and providing help with the technical 

grated this form of publishing into their normal 

preparation of articles.

publication activities. Many of the authors also 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

27  http://www.dini.de/oap/.
28 

 http://www.dfg.de/dfg_im_profil/zahlen_und_fakten/statistisches_berichtswesen/open_access/index.html.

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33

Chapter•2

An Introduction to Three Publication Models

demand  that  an  Open  Access  publication  in 

an  institutional  repository  be  accorded  the 

same  recognition  as  a  publication  in  learned 

journals. The latter provide what are known as 

‘impact  factors’,  which  measure  an  article’s 

scientific or scholarly importance according to 

the  number  of  times  an  article  is  cited.  This 

is  of  great  significance  for  the  reputation  of 

young  academics,  in  particular  when  nego-

tiating  a  professional  academic  position.  An 

overall assessment system of this sort has not 

yet  established  itself  for  Open  Access  publi-

cations  appearing  in  institutional  repositories. 

We  shall  continue  to  work  on  this  particular 

problem while establishing further services for 

authors and editors.

34

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An Introduction to Three Publication Models

The New Journal of Physics as an Example 
of Open Access Journals 
By Eberhard Bodenschatz, Max Planck Institute for Dynamics and Self-Organisation

Introduction•••••••••••••

publishing, publishers would only allow libraries 

to access journals if they actively maintained their 

In  order  to  get  a  better  understanding  of  the 

subscriptions. This new system is in contrast to 

origin  of  the  New  Journal  of  Physics  (NJP),  it 

traditional  publishing,  where  libraries  kept  the 

is useful to look more closely at the publishing 

right of the printed book or article. In this pres-

system before the introduction of Open Access 

ent system, if a library cancels its subscription, 

journals.  In  traditional  academic  publishing  in 

it  loses  access  to  volumes  that  it  has  already 

the field of physics, the following parties played 

paid for. In addition, in traditional publishing, the 

a role in the publication process: authors, edi-

costs  of  the  subscriptions  are  normally  borne 

tors, referees, the publisher, the library, and the 

by the library, and are thus unknown to the pro-

reader.  Upon  a  closer  look,  one  sees  that  all 

ducer (author), referee and consumer (reader).

the parties, with the exception of the publisher 

and the library, are active in physics research. 

In other words, in the field of physics, the pro-

ducer,  the  examiner  and  the  consumer  are 

members  of  the  same  circle.  For  decades, 

The•New Journal of Physics 
as•an•Open•Access•journal••

physicists  submitted  their  knowledge  free  of 

Publishing  with  quality  assurance  through  peer 

charge,  refereed  it,  often  paid  publishers  to 

review,  editing  and  archiving,  cannot  of  course 

publish and disseminate their articles, and then 

be cost-free. In the age of electronic publishing, 

commissioned their libraries to buy back these 

however,  there  are  new  possibilities.  Thus  the 

articles from the publishers.

development of publishing in the World Wide Web, 

along  with  the  rising  costs,  motivated  the  Ger-

This traditional system was cast into question 

man Society of Physics (Deutsche Physikalische 

by  the  rapid  development  of  the  World  Wide 

Gesellschaft,  DPG)  and  the  British  Institute  of 

Web and the global information network with 

Physics (IOP) to jointly found the New Journal of 

its  quasi  cost-free  access.  Preprint  servers 

Physics as an Open Access journal in 1998.

such as arXiv.org have shown for more than 15 

years  that  it  can  be  relatively  cheap  (at  just  a 

The  NJP  makes  top-quality  articles  from  all 

few dollars per manuscript) to build up a stable 

branches of physics available to readers online 

academic  archive  with  voluntary  submissions. 

and free of charge. The distinguishing features 

At  the  same  time,  in  the  case  of  paperless 

of the NJP are as follows:

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35

Chapter•2

An Introduction to Three Publication Models

1. 

Manuscripts can be read entirely free of 

the German National Library, the British 

charge.

Library and via LOCKSS (Lots Of Copies 

2. 

Manuscripts must satisfy the highest 

Keep Stuff Safe). LOCKSS is an initia-

quality standards, the progress they 

tive of Stanford University which allows 

report must be substantial, and they must 

member-libraries to collect the NJP in 

be comprehensible to a broad readership.

its entirety, store it, archive it, and grant 

3. 

The highest-possible quality is assured by 

a ccess to its own local copy.

a traditional peer-review system with an 

10. 

The NJP is financed by the authors (cur-

Editorial Board and at least two 

rent article charge: EUR 870); current 

an onymous referees. Currently, 70% of 

publication costs were covered by current 

the articles submitted are rejected.

income in 2006 for the first time. Since 

4. 

The Editorial Board consists of lead-

1998, publishers’ subsidies for the NJP 

ing academics representing the physics 

have decreased on an annual basis; the 

community worldwide. It meets annually, 

NJP currently has support contracts with 

alternately in England and Germany and, 

the Max Planck Society, Cornell Univer-

in addition, there is an annual electronic 

sity, Northwestern University, the Univer-

board meeting.

sity of Göttingen and the Utah University 

5. 

At three months on average, publication 

Library Advisory Council.

periods are short.

6. 

7. 

There is no restriction on manuscript length.

Currently, the NJP receives more than 100 sub-

Colour and multimedia contents are wel-

missions a month, and that number is growing. 

comed and free of extra charge.

More  than  50  000  downloads  of  complete 

8. 

In addition to traditional manuscripts, 

texts  are  registered  every  month,  with  read-

Focus Issues are published, i.e. original 

ers in more than 180 countries. The illustration 

publications of the highest quality which 

shows the development of the ISI impact fac-

present a snapshot of a particularly active 

tor, which reflects the increasing importance of 

area of research. These articles, typically 

the  journal.  For  a  general  physics  journal,  the 

numbering about 30, are supervised by 

impact factor is already very high. In the last six 

visiting editors and are subject to the 

months, the NJP has been constantly identified 

same criteria as normal manuscripts.

by the ISI as the physics journal with the high-

9. 

Archiving is performed by the publishers, 

est proportional rise in citations.

36

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An Introduction to Three Publication Models

Advantages•of•the•NJP•••••

achieves  the  broadest-possible  dissemination 

of  his  or  her  research  results.  An  additional 

The development of the NJP shows that Open 

advantage of the ‘author pays’ model is that it 

Access  is  very  well  received  by  international 

is market-oriented. Authors will be prepared to 

readers.  One  clear  advantage  is  that  the  NJP 

submit a manuscript to the NJP and to pay the 

can  be  freely  read  wherever  there  is  access 

author charge only as long as the NJP meets 

to the World Wide Web. In this way, an author 

the  highest  quality  demands.  This  market-

r
o
t
c
a
F

t
c
a
p
m

I

4

3.5

3

2.5

2

1.5

1

0.5

0

2002

2003

2004

2005

Illustration: Development of the ISI impact factor. This is calculated over a period of three years 

and corresponds to the average number of citations of articles over a period of two years following 

their publication. For example, the 2007 impact factor of a journal is calculated as follows: Z = the 

number of citations of articles in that journal in all journals listed by ISI and published in 2005 and 

2006. P = the number of articles published in the journal in 2007. The ISI impact factor is then the 

quotient of Z/P.

Open Access_16-04-08.indd   37

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37

 
Chapter•2

An Introduction to Three Publication Models

oriented  model  has  the  additional  advantage 

years. In addition, author charges are increasingly 

that the publication costs are transparent and 

being shouldered by university libraries. The other 

known  to  authors  and  referees.  This  makes 

challenges facing the NJP were the same as for 

cost-control  automatic.  Increasingly,  author 

any other new journal. Successful establishment 

charges  are  being  taken  over  by  libraries, 

is only possible with a very active Editorial Board 

as  the  NJP  will  always  be  freely  available  to 

with excellent support from the publisher.

them. The stability of NJP is guaranteed by the 

Deutsche  Physikalische  Gesellschaft  and  the 

British Institute of Physics.

Challenges• ••••••••••••

The  greatest  challenge  involved  in  the  setting 

up  of  a  new  journal  is  always  to  get  it  estab-

lished.  For  both  traditional  and  Open  Access 

publications,  start-up  finance  is  essential.  For 

the  NJP,  this  was  provided  by  the  Deutsche 

Physikalische  Gesellschaft  and  the  Institute 

of  Physics.  Step  by  step,  the  subsidies  for 

the  author  charge  have  been  dismantled.  In 

2006,  break-even  point  was  reached  for  the 

first time. By then, in particular the ideas of the 

financial  backers  had  changed.  For  example, 

the  German  Research  Foundation  (Deutsche 

Forschungsgemeinschaft) now a llows research-

ers  to  apply  for  publication  costs,  the  Max 

Planck Society finances publications in the NJP 

from its central funds, and the Joint Information 

Systems  Committee  (JISC)  financed  publica-

tions  by  British  authors  over  a  period  of  three 

38

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An Introduction to Three Publication Models

The Example of a Hybrid Model: Springer Open Choice
By Jan Velterop, Springer Science+Business Media

Publishing•costs•money•••••

bound  volumes.  The  market  for  such  a  service 

is  in  all  probability  significantly  smaller  than  the 

The  broad  availability  of  academic  research 

market  for  the  content  itself.  Thus  the  potential 

results  is  doubtless  welcomed  by  everyone. 

income from the journal would also be smaller, in 

However, research results are reliable and certi-

most cases too small to support the publication.

fied only after they have undergone official peer 

review and appeared in a scientific journal. This 

In the case of a few very small journals, publi-

formal  publishing  process  requires  qualified 

cation costs can be taken on by universities or 

work, organisation, technology and infrastruc-

institutes and the necessary work can be done 

ture: in other words, it costs money.

on  an  honorary  basis.  In  such  cases,  online 

access can be granted free of charge. Where 

Traditionally,  publishers  have  covered  their 

professional publishing skills are needed, how-

costs  through  subscriptions  to  their  journals. 

ever, a feasible source of finance is necessary. 

With  the  development  of  digital  formats  and 

For  this  reason,  an  Open  Access  model  has 

online  platforms  for  journals,  subscriptions 

been  developed  for  new  journals:  the  author, 

have turned into licences. The underlying prin-

or often the institution or academic society to 

ciple  has  remained  the  same:  the  reader,  or 

which he or she belongs, pays what is known 

the library in the name of the reader, pays for 

as an ‘article processing fee’ for the publication 

a ccess to content.

of his or her article.

Then along came Open Access...

For  new  journals,  this  is  a  feasible  course  of 

action.  For  existing  journals  with  a  loyal  body 

In the context of Open Access, access licences 

of  authors,  on  the  other  hand,  it  is  not:  if  an 

are  fundamentally  unsuited  to  generating  the 

established journal were suddenly to demand a 

income needed to cover the costs of publication. 

processing fee from all its authors, it would risk 

Subscriptions to the printed version of a journal 

losing them. Indeed, taking this risk can hardly 

could, of course, still be offered, but then users 

be expected. On the other hand, some authors 

would  not  be  paying  for  the  content  of  Open 

would probably be prepared to pay such a pro-

Access articles (these would be available online 

cessing fee for Open Access.

free of charge, after all), but merely for the addi-

tional comfort and service of decently printed and 

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39

Chapter•2

An Introduction to Three Publication Models

Open•Choice•leaves•the•
choice•to•the•author•••••••

Springer  Science+Business  Media  was  the 

first major publishing house to implement this 

concept  to  its  entire  journal  portfolio.  Open 

Thomas  J.  Walker,  the  editor-in-chief  of  the 

Choice  applies  to  all  Springer  journals  and  to 

Florida Entomologist, was the first to recognise 

most of the journals which Springer publishes 

this problem and therefore gave his authors a 
free choice(29). The model was known as ‘sale of 
electronic reprints’ to authors — the term Open 

in  co operative  ventures.  Some  critics  doubt 

that Open Access can guarantee the scientific 

quality of articles. At least for the hybrid model, 

Access  had  not  yet  been  invented.  The  deci-

these  fears  are  unfounded,  since  authors 

sive element, however, was that authors could 

may  choose  Springer  Open  Choice  only  after 

make  their  articles  available  free  of  charge  to 

their  articles  have  successfully  undergone  the 

any reader via the Internet.

peer review process and after they have been 

Today,  the  ‘Walker  model’  is  often  known 

itional  subscription  model,  scientific  quality  is 

a ccepted  for  publication.  Just  as  in  the  trad-

as  ‘hybrid  model’,  and  forms  the  basic  idea 
behind  Springer  Open  Choice(30).  As  soon  as 
articles have undergone peer review and been 

the only criterion for this decision.

Springer  Open  Choice  articles  are  not  only 

accepted  for  publication,  authors  have  a  free 

published  online,  but  are  also  included  in  the 

choice:  if  they  decide  on  Open  Choice,  they 

printed  edition  of  the  journal.  This  is  of  great 

or  their  institute  pay  a  processing  fee  of  (the 

importance  since  the  archiving  of  printed  for-

equivalent  of)  USD  3  000,  and  the  article  is 

mats  is  still  considered  an  important  form  of 

a ccessible online free of charge to anyone. For 

storage for scientific and scholarly information.

this type of publication, Open Access licences 

are  used  which  are  basically  identical  with  a 
‘Creative Commons Attribution Licence’(31): the 
official  published  version  of  the  article  can  be 

freely  disseminated  anywhere  by  anyone,  in 

Challenges•for•Open•Access•
and•hybrid•models••••••••

printed form or online, provided that the author 

Every  publication  model  has  its  advantages 

and original source are correctly ac knowledged. 

and drawbacks. Just like purely Open Access 

This also applies to uploading to the Web and 

journals,  the  hybrid  model  also  faces  certain 

making photocopies.

practical  difficulties.  It  is  sometimes  accused 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

29  BioScience, 45 (1996): 171. http://www.fcla.edu/FlaEnt/bioscivp.htm.
30  http://www.springer.com/openchoice.
31  http://creativecommons.org/licenses/by-nc/2.5.

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An Introduction to Three Publication Models

of making the scientific community pay twice, 

latter  usually  require  a  much  broader  portfolio 

once  for  subscription  and  once  for  proces-

of journals. In principle, research-intensive insti-

sing. This is not the case since the costs which 

tutes publish far more articles on the literature to 

a ccrue  to  the  publisher  for  the  publication  of 

which they subscribe than do teaching-intensive 

an  Open  Access  article  are  covered  by  the 

universities. If it is not the reader who bears the 

processing fee and are not taken into account 

publication costs (as in the subscription m odel), 

when the coming year’s subscription rates are 

but rather the author wholly or in part (as in hybrid 

fixed. The annual setting of subscription rates 

and Open Access models), then this necessar-

involves a certain delay, but no one pays twice 

ily  entails  higher  costs  for  r esearch-intensive 

for the same contents. Criticism is due largely 

institutes that publish a great deal. At the same 

to the fact that this relationship cannot always 

time,  universities  with  many  readers,  which, 

be  made  clear  and  transparent.  In  particular, 

until now, have borne a major proportion of the 

the  relationship  is  difficult  to  recognise  when 

costs, will have fewer expenses. While costs for 

the  number  of  traditional  articles  in  a  journal 

science  and  scholarship  are  not  higher  overall 

increases at a greater rate than the number of 

in  an  Open  Access  model,  individual  research 

Open  Access  articles.  If  the  subscription  rate 

institutions are understandably worried that this 

of  a  journal  increases,  this  is  due  exclusively 

redistribution will mean that they pay more than 

to  the  higher  proportion  of  traditional  articles 

they have in the past.

which it contains; Open Access articles are not 

part of the calculation.

This  major  obstacle  to  the  success  of  Open 

Access  and  hybrid  models  has  now  been 

The decisive challenge both for hybrid and for 

re cognised  by  some  research  sponsors  who 

purely  Open  Access  models  is  that  the  inten-

have  subsequently  taken  action:  they  define 

sity  of  the  research  pursued  by  an  institution 

the  publication  of  research  results  as  an  inte-

does not correlate with the level of its expenses 

gral and necessary part of the research process 

for  academic  literature.  The  literature  require-

and therefore bear the cost of publication as a 

ments  and  publication  output  of  a  research 

necessary part of funding the research. On this 

institute  are  not  the  same  as  for  a  university 

basis, the institution with the highest research 

whose  f ocus  is  on  teaching,  and  are  different 

budget also pays the most in the way of publi-

again  when  one  compares  highly  specialised 

cation costs. As these are in any case ultimately 

institutes  and  multidisciplinary  institutes:  the 

borne  by  those  funding  the  research,  albeit 

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41

Chapter•2

An Introduction to Three Publication Models

often  indirectly,  be  it  in  the  form  of  subscrip-

tions or processing fees, this model represents 

one solution to the problem.

At  the  same  time,  this  meets  the  fundamen-

tal challenge that both libraries and publishers 

have to face, regardless of whether the model 

in question is Open Access, hybrid or traditional 

subscription: the constantly growing number of 

high-quality research articles submitted for pub-

lication  that  clear  the  peer  review  hurdle.  This 

growth in research literature alone increases the 

financial strain on libraries and publishers. The 

strategy  of  those  funding  research  to  accept 

publishing  costs  as  a  fixed  item  of  research 

expenditure mitigates this problem.

The number of authors that choose Open Choice 

is  currently  still  relatively  small.  In  the  next  few 

years, however, we expect a marked increase.

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43

44

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•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

CHAPTER 3:

Implementing Open Access Models 

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45

Chapter•3

Implementing Open Access Models

Financing Open Access Models
By Stefan Gradmann, Department of Library and Information Science, Humboldt-Universität zu Berlin 

From the outset, one of the most controversial 

journals  was  based  on  a  chain  of  production 

issues surrounding Open Access has been the 

and  exploitation  in  which,  as  a  rule,  academ-

financing  of  Open  Access  models,  or  indeed 

ics  drawing  their  salaries  from  public  funds 

the question of whether they can be financed 

transferred  the  exclusive  exploitation  rights  of 

at all. This question was also one of the origin al 

their articles to publishers. The publisher would 

motivations  for  Open  Access  as  a  possible 

ensure the quality of the content of these contri-

answer  to  the  general  problem  of  the  afford-

butions prior to publication by means of a peer 

ability  of  academic  publication  routes.  In  the 

review  process,  in  which  the  referees  were  in 

beginning, this complex subject was discussed 

most cases academics who drew their salaries 

in a very one-dimensional fashion, focusing on 

from the public purse. At the end of the chain, 

the  paradigm  of  what  is  frequently  referred  to 

publicly  funded  libraries  acquired  the  rights  to 

as the ‘serials crisis’. In the meantime, however, 

use  these  publications  by  subscribing  to  aca-

the  multifarious  aspects  of  the  problem  have 

demic  journals  whose  prices  have  shot  up  in 

become  apparent,  and  it  has  become  clear 

recent  years  and  are  increasingly  regarded  as 

that their treatment must not stop at the front-

being disproportionate to procedural costs. 

line question of how the publication of journals 

should  be  financed.  In  this  context,  it  is  also 

Many argue that ultimately, this is an extremely 

important  to  consider  what  services  Open 

expensive  outsourcing  model,  in  which  public 

Access  stands  for  within  the  academic  value-

funds  flow  in  three  places  at  the  same  time. 

creation  chain,  and  who  is  ultimately  to  pay 

During  the  1990s,  it  became  more  and  more 

for them. Finally, with regard to the question of 

apparent that this could no longer be afforded. 

finance, the fact that the publication economics 

In  addition,  with  the  appearance  of  electronic 

of the various academic cultures are just as fun-

forms of dissemination, libraries have found that 

damentally different as their forms of publication 

they are now increasingly acquiring only limited 

must be taken into account.

and  time-restricted  rights  to  publications,  in 

The•traditional•‘Closed•
Access’•finance•model• ••••

other words a very limited return on the consid-

erable outlay. A final point of criticism has been 

that commercial dissemination routes no longer 

or  inadequately  serve  maximum  dissemination 

For a long time, the dominant model of publish-

of  academic  publications  among  the  specialist 

ing scientific and scholarly articles in academic 

readership for which they are intended.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

46

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Implementing Open Access Models

‘Green‘•and•‘golden‘•
publication•economics• ••••

is to recover the costs from the author or institu-

tion responsible for the article instead of from the 

end-user. In this ‘author pays’ model, ‘per page’ 

Open  Access  was  in  essence  a  reaction 

or  ‘per  article’  charges  are  supposed  to  cover 

to  these  developments.  However,  the  two 

the  procedural  costs  including  the  peer  review 

roads  to  Open  Access  focus  on  quite  differ-

process.  Thus,  for  example,  the  Public  Library 

ent aspects. The ‘green road’, in which journal 

of Science (PLoS) currently charges article fees 

articles already published elsewhere are made 

ranging  between  USD  1  250  (PLoS  ONE)  and 

publicly  available  via  private  or  institutional 

USD  2  500  (PLoS  Biology).  BioMed  Central 

repositories,  seeks  above  all  to  ensure  the 

charges  USD  1  700  per  article.  Atmospheric 

maximum  distribution  of  academic  publica-

Chemistry and Physics (ACP) charges between 

tions  and  thus  to  compensate  a  secondary 
effect  of  traditional  publication  economics(32). 
It does not, however, change the way in which 

USD  23  and  USD  68  per  page  depending  on 

the work required by individual manuscripts.

publication  economics  functions,  although  it 

It  is  often  unclear,  however,  to  what  extent 

does possibly undermine it in that the sale of 

the income generated in this way would really 

rights to use the articles, an important source 

cover the cost of publication, or, to put it differ-

of income, may be lost without another replac-

ently, to what extent publication would depend 

ing  it.  The  financing  system  represented  by 

the traditional model would thus at least partly 

be  put  at  risk.  For  this  reason,  many  doubt 

on grants or other subsidies, as are for exam-
ple  given  by  BioMed  through  endowments(33). 
It may be possible to justify such a public sub-

that the ‘green road’ can be a sustainable dis-

sidy in the long term with the argument that the 

semination model in the long term.

publication  of  results  is  one  of  the  core  func-
tions of academic institutions(34).

The  ‘golden  road’  is  a  different  case:  in  imple-

menting electronic journals in the Open Access 

The  ‘author  pays’  financing  approach  is  also 

model, a method must be found to finance the 

becoming  increasingly  appealing  for  commer-

procedural  costs.  This  necessitates  alternative 

cial  academic  publishers.  Thus,  for  example, 

approaches in publication economics to replace 

Springer is pursuing a declared Open Access 

the traditional method of finance through the sale 

policy through its ‘Open Choice’ concept, albeit 

of rights of use. One frequently chosen method 

with the high fee of USD 3 000 per article.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

32  Numerous publications by Stevan Harnad focus predominantly on this aspect, e.g. Harnad, Stevan & Brody, Tim, ‘Comparing the Impact of Open Access 

(OA) vs. Non-OA Articles in the Same Journals’, in: D-Lib Magazine 10. 6 (2004). http://www.dlib.org/dlib/june04/harnad/06harnad.html.

33  This  question  is  not  definitively  answered,  even  by  the  2005  study ‘The  Facts  about  Open Access’  (http://www.alpsp.org/ForceDownload.asp?id=70) 
sponsored by the ALPSP, perhaps the most detailed comparative investigation to date of the publication market. The two tables on approaches to finance 
on pages 43 and 44 of this study in fact convey a rather inconsistent picture. 

34  A convincing argument along these lines is put forward in Willinsky, John ‘Scholarly Associations and the Economic Viability of Open Access Publishing’, in: 

Journal of Digital information 4. 2 (2004). http://journals.tdl.org/jodi/article/view/jodi-117/103.

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Chapter•3

Implementing Open Access Models

Academic•publication:•
commodity•or•service?•••••

model,  the  traditional  publishing  industry  was 

dependent  on  defining  academic  publications 

as a commodity that could be exploited. So far, 

Financial considerations in Open Access should 

Open  Access  has  taken  over  this  logic  basi-

not be limited to the funding models described 

cally unaltered, providing only for a redesign of 

above, if only in relation to the publication culture 

the funding methods and cash flows. However, 

in the humanities. The latter is ch aracterised to 

this ‘commodity character‘ of academic publi-

a  large  extent  by  the  monograph,  which  is  a 

cations  will  not  be  dominant  for  much  longer. 

different  publication  format.  It  is  obvious  that 

Even  the  strategies  of  major  commercial  pro-

funding models here have to start from hitherto 

viders  show  signs  of  a  rethink  away  from  the 

largely  unknown  and  little-discussed  param-

commodity-geared  model  based  on  exploita-

eters. From the outset, the determining factors 

tion of rights. They seem to be moving towards 

will be not so much the relatively modest pro-

a service model, where users no longer pay for 

cedural  and  production  costs  as  the  possible 

the  finished  publication  as  a  commodity,  but 

added value for scholarship as a result of free 

rather  for  services  provided  along  the  publi-

availability on the Internet.

cation  process,  such  as  novel  aggregation  or 

localisation services.

Even in areas currently dominated by the journal 

format, however, the genuine potential of elec-

According  to  these  models,  access  to  the 

tronic publication methods will increasingly be 

content  itself  will  in  principle  be  free,  and  the 

exploited. Therefore, results cannot be offered 

present  boundaries  between  Open  Access 

as  statically 

tailored  publication  pro ducts 

and  commercial  models  could  thus  become 

anymore, because they contain dynamic, inter-

increasingly  blurred.  The  business  models 

active or multimedia components, for example. 

underlying  such  future  open  electronic  pub-

If  such  publication  methods  are  to  be  imple-

lishing  will  presumably  be  designed  by  the 

mented on a sustainable basis, new business 

present-day  protagonists  of  Open  Access  in 

models are needed.

cooperation  with  commercial  publishers  who 

are currently regarded as antagonists.

Those  designing  such  models  may  find  the 

following consideration helpful. Because of its 

pronounced  concentration  on  the  exploitation 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

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Implementing Open Access Models

Academic•publication•
and•the•academic•added-
value•cycle• ••••••••••••

Service-based  Open  Access  models  will  not 

be  feasible  on  a  truly  sustainable  basis  u ntil 

the  publication  of  scientific  and  scholarly 

matter  is  clearly  seen  as  just  one  stage  in  a 

holistically  conceived  academic  value-added 
process(35). This can be understood as a cycle 
starting  with  the  author  and  leading  back  to 

the  start  of  the  cycle  via  the  referees  of  the 

publication,  the  publication  stage  itself,  the 

administration  of  the  publications  in  libraries, 

and finally the academic reception and discus-

sion  of  the  contents  by  readers  (who  in  turn 

are  once  again  potential  authors!).  If  we  look 

at this cycle from the point of view of funding 

as  a  whole,  the  costs  of  the  publication  in  a 

narrower  sense  become  comparatively  mar-

ginal and can be recovered from the provision 

of  services  rendered  prior  to,  subsequent  to 

and in the context of publication.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

35  On the foreseeable changes in this value-added chain, see the interesting, albeit speculative contribution of Roosendaal, Hans E., Geurts, Peter A.T.M. & 
van der Vet, Paul, ‘Eine neue Wertschöpfungskette für den Markt der wissenschaftlichen Information?’, in: Bibliothek – Forschung und Praxis 26. 2 (2002): 
149–153. http://www.bibliothek-saur.de/2002_2/149-153.pdf.

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Chapter•3

Implementing Open Access Models

Open Access and (German) Copyright
By Karl-Nikolaus Peifer, Chair of Civil Law including Copyright Law, 
Industrial Property Protection, New Media and Commercial Law, University of Cologne

Introduction•••••••••••••

What•is•protected?••••••••

The Berlin Declaration demands Open Access to 

Anyone who sets out thoughts in an individual 

‘scientific knowledge’. To the extent that know-

verbal,  graphic  or  pictorial  form,  i.e.  a  form 

ledge  is  in  the  public  domain,  in  other  words 

characterised by his or her personal style, nor-

not  protected  by  copyright,  this  demand  can 

mally creates a work protected by copyright, 

be fulfilled. ‘Creative Commons’, in the sense of 

whether  it  is  in  the  form  of  text,  a  visual  art 

a work being in the public domain, is however 

work, a graphic design, a scientific represen-

only possible at the earliest when it goes out of 

tation in the form of a model, a drawing or a 

copyright, as a rule 70 years after the death of 

complex diagram. Copyright protection arises 

the author (as laid down by section 64 of the 

solely  through  the  act  of  creation,  whether 

German Copyright Act - Urheberrechtsgesetz, 

the  creator  desires  it  or  not.  While  copyright 

UrhG).  Open  Access  models  for  works  still 

is  territorially  restricted,  there  is  an  extensive 

in  copyright  must  therefore  be  implemented 

network  of  international  obligations  which 

within the scope of licensing agreements. The 

afford  protection  to  the  works  and  creations 

terms  ‘green  road’  (archiving  on  institutional 

of foreign scientists and scholars in Germany 

servers) and ‘golden road’ (self-publishing, uni-

as well as those of German scholars and sci-

versity presses), which are used in the context 

entists abroad.

of Open Access, have no direct relevance as far 

as copyright is concerned. The question of the 

In principle, the (unformed) content (idea) itself 

format in which access is granted and on what 

is free, and only the concrete form (expression) 

servers  (institutional  servers  or  private  home-

of  the  statement  enjoys  protection.  Laws  and 

page,  technical  specifications),  can  however 

court  judgements,  abstract  ideas,  theories, 

be added as a term of the licensing agreement 

methods,  discoveries,  styles  and  everyday 

concluded  between  the  copyright  owner  and 

utterances,  such  as 

letters  and  ordinary 

the user or exploiter of the work.

communications, are not such personally intel-

lectual creations and may in principle be freely 

exploited  by  anyone.  This  also  applies  to  raw 

materials and metadata. Source ma terial is as 

a  rule  in  the  public  domain.  Indeed,  in  many 

cases,  any  copyright  that  source  material 

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Implementing Open Access Models

may have enjoyed will have expired. The free-

dom  to  exploit  material  ends  when  the  ideas 

Licensing•models• ••••••••

are  embedded  in  an  organised  collection  of 

1. 

Open Access means that whoever has 

information  (database)  and  access  can  be 

the authority to license can make such 

controlled  de  facto  (e.g.  by  electronic  access 

access possible. In copyright terms, this 

mechanisms). The same applies when sources 

means that those with the right to prohibit 

are  ‘re-monopolised’,  for  example  when  an 

also have the right to grant permission. 

archive or museum photographer photographs 

Opening up access comes about when 

the items. These photographs then enjoy copy-

either everyone is granted access, or 

right  protection  of  their  own.  In  the  electronic 

particular groups of people (e.g. aca-

world, freedom to carry out exploitative actions 

demics, students, clients). The important 

is the exception.

thing is that the formulated material is 

licensed not only to the first taker, but that 

The specific permission of the author or copy-

it remains freely accessible, even if it is 

right  holder  is  not  required  for  actions  which 

further licensed by the first licensee. This 

fall  within  certain  conditions  (in  Germany, 

happens when a licence is granted on 

these  are  set  out  in  sections  44a  to  63a  of 

condition that it is passed on freely down 

the UrhG). These include academic quotation, 

the chain of users and exploiters. Open 

duplication  for  personal  (including  academic) 

Access thus reverses the logic of copy-

or archive use, the sending of copies by public 

right: from prohibition, or permission on 

libraries  (to  be  regulated  in  future  by  section 

payment of a fee, to permission without 

53a  of  the  UrhG),  the  displaying  of  contents 

payment of a licence fee.

in  reading  areas  in  libraries,  museums  and 

2. 

Open Access begins with a licence dec-

archives  (in  future  to  be  regulated  by  sec-

laration by the author or copyright holder. 

tion  52b  of  the  UrhG),  public  reproduction 

Licence declarations need not be issued in 

of  contents  in  the  lecture  room,  and  making 

the context of contracts; they can also be 

contents publicly available in internal research 

issued unilaterally (as is done, for example, 

networks  (section  52a  UrhG).  All  such  uses, 

by the Creative Commons model licence, 

with the exception of quotations, are however 

http://de.creativecommons.org). The copy-

subject  to  royalties,  which  are  as  a  rule  col-

right holder has a certain creative scope 

lected  by  authors’  rights  societies  and  are  a 
burden upon the university budget.

in this respect. He or she can restrict 

Open Access_16-04-08.indd   51

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51

Chapter•3

Implementing Open Access Models

the permission to a single person, and/

later enforcement of the duties accepted 

or individual types of use, e.g. passing 

by the user is put at risk.

on protected material only in electronic, 

not printed form. Any user who performs 

an unlicensed action is in breach of 

copyright. The Creative Commons model 

licence provides for two types: the licens-

ing of copying, dissemination and public 

reproduction, and, additionally, the possi-

Rights•of•third•parties•
(publishers,•universities,•
sponsors)•to•issue•licences•••

bility of editing the text, both on condition 

1.  Problems arise with licence declara-

that the original author is named.

tions issued by scientists and scholars 

3. 

More common, and more important for 

in respect of works already licensed to 

the future of Open Access, is the granting 

publishers or editors of journals. In so far 

of permission on condition that a licensing 

as the scholar has not limited himself/

agreement is concluded with the user or 

herself to issuing a simple right of use, 

exploiter (e.g. the Digital Peer Publishing 

but, as normally happens, has conceded 

Licence (DPPL), www.dipp.nrw.de). Such 

exclusive rights, only the licensee can 

an agreement may impose duties on 

i ssue licence declarations. Academics 

both the copyright holder and the user/

must therefore ensure, in contracts with 

exploiter that go beyond the scope of 

publishers, that they retain the author-

copyright, for example, in the case of 

ity to license their works for publication 

publicly funded projects, the duty of 

in electronic archives. Whether they 

copyright holders and of their licensees 

succeed, however, will depend on the 

(users and exploiters) to publish material 

negotiating power of the scholar and on 

on institutional servers (‘green road’), 

the generosity of the publisher. In order to 

or the duty to provide metadata. The 

guarantee broad Open Access, it would 

licence declaration is seen here as a 

be necessary at the legal level to ensure 

unilateral offer which the user accepts by 

that ‘repository rights’, which cannot 

virtue of performing the relevant act of 

be licensed, remain with the copyright 

use. The declaration must be displayed 

holder, or to seek the cooperation of the 

to the user in a clear form, otherwise 

publisher.

52

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Implementing Open Access Models

2.  Open Access could in principle also be 

commercially viable or technically possible) at the 

guaranteed if universities obtained the 

time the rights were granted, for example rights 

authority to issue licences from their aca-

to  electronic  use  on  the  Internet.  Under  current 

demic staff. However, this presupposes 

German  law  (section  31  sub-section  4  of  the 

the readiness of scholars not to publish 

UrhG), such unknown forms of use can still (as of 

their work in the journals run by publishing 

April 2007) not be granted with any legal effect; 

houses, but to grant their employers the 

in  other  words,  they  remain  with  the  author.  If 

rights to their work on the basis of indi-

the latter, in a contract prior to 1995, granted an 

vidual contracts. Universities could then 

exploiter exclusive rights to copy, disseminate or 

set up repositories and issue licence dec-

reproduce his/her work, the use of the work on 

larations of the type discussed. According 

the Internet is not covered. If the publisher wishes 

to legal opinions to date, an ‘automatic’ 

to  exploit  the  work  in  this  way,  he  or  she  must 

granting of rights to universities would 

acquire  the  rights  specifically.  This  incidentally 

have no legal foundation, as academic 

also  applies  to  authors’  rights  societies  which 

freedom includes the freedom to leave re-

have  concluded  corresponding  safeguarding 

sults or insights unpublished and to decide 

contracts with the author involved. In the pend-

how results are to be published. In the 

ing reform of copyright law (the so-called ‘second 

context of sponsored projects, however, 

basket’), this provision has been removed. For old 

an obligation to allow Open Access could 

contracts,  the  draft  bill  means  that  an  exploiter 

be the subject of an individual contrac-

who has been granted comprehensive exclusive 

tual agreement. This is something to be 

rights can also exercise these rights in the future 

considered for research grants by bodies 

with respect to unknown forms of use, provided 

such as the German Research Foundation 

that the author does not file an opposition within 

(Deutsche Forschungsgemeinschaft).

a  year.  This  new  provision  will  result  in  exploit-

Unknown•forms•of•use• ••••

ers  being  able  to  exclusively  exploit  many  fully 

depreciated  repertoires  lying  in  their  archives. 

The vision of making archives freely accessible to 

the public could only be implemented if old rights 

To  a  limited  extent,  there  is  a  loophole  in  pub-

could  generally  only  be  exercised  on  moderate 

lishing-contract law for old cases in which forms 

terms  by  intermediaries  such  as  authors’  rights 

of use were unknown (in the sense of being not 

societies or academic organisations.

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53

Chapter•3

Implementing Open Access Models

Open Access and Quality Assurance
By Eberhard Bodenschatz, Max Planck Institute for Dynamics and Self-Organisation, & Ulrich Pöschl, 
Max Planck Institute for Chemistry

Introduction•••••••••••••

additional  advantage  of  Open  Access  is  that 

referees have unlimited access to other relevant 

Publications  are  the  central  product  and  last-

Open Access publications, including those from 

ing legacy of scientific and scholarly research. 

other academic fields, and that it offers scope for 

They  document  and  explain  discoveries  and 

results  in  a  precise  fashion.  While  specialists 

are largely in a position to judge the quality and 

informative  value  of  publications,  this  is  often 

difficult or impossible for less experienced aca-

demics  and  those  from  outside  the  field.  The 

quality of a publication lies in its factual correct-

ness, its reproducibility and in how it relates to 

the specialist literature.

new interactive approaches to quality assurance 
involving the whole academic community(36).

Overview•of•various•quality-
assurance•models•••••••••

The 

Internet 

revolutionised  scientific  and 

scholarly  publishing.  For  the  first  time  in  the 

In 

traditional  academic  publishing,  qu ality 

history  of  mankind,  it  is  now  possible  for  a 

assurance  usually  results  from  anonymous 

person,  at  relatively  little  expense,  to  place 

refereeing  by  others  working  in  the  field  (peer 

information  at  the  disposal  of  a  broad  public 

review).  The  editor  or  the  editorial  board  of 

worldwide, in other words, to publish it. These 

the journal or other medium is responsible for 

publications  can  then  be  retrieved  at  no  cost 

choosing one or more referees and for the final 

with  the  aid  of  a  search  engine.  This  process 

decision  on  whether  to  accept  a  manuscript 

involves  no  quality  assurance  of  any  kind, 

for  publication.  In  the  course  of  the  review 

and  the  decision  as  to  the  correctness  of 

process,  manuscripts  are  usually  edited  and 

the  information  is  left  to  the  reader  alone.  In 

improved,  and  only  the  revised  manuscript  is 

academics, however, often only specialists are 

finally published.

in a position to judge the quality of a publication. 

The  following  list  provides  a  basic  overview 

Particularly  in  the  natural  sciences  peer  review 

of  different  quality-assurance  approaches 

is  performed  mostly  electronically,  using  email 

which  are  conceivable  or  already  in  use  for 

and  the  Web,  including  in  classical  journals. 

Open  Access  publications.  It  makes  no  claim 

This  traditional  process  can  be  transferred  to 

to  completeness,  especially  since  electronic 

Open Access publications without change. The 

publishing allows a whole range of variations.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

36 

 See for example: Baldwin, I., Brammer, M., Newmark, P., Pöschl, U., Schutz, B. & von der Lieth, C., ‘Quality Assessment Working Group Statement’, Open 
Access Conference, Berlin, 2003; David, P.A. & Uhlir, P. F., Creating the Information Commons for e-Science, Paris, 2005; Pöschl, U., ‘Gemeinschaftliche 
Begutachtung’, in: Wissenschaftsmanagement Special 1/2006 – Open Access, 6 (2006).

54

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Implementing Open Access Models

1. 

Peer review 

without any kind of quality assurance. An 

In this well-established model based 

automatic assessment on the basis of 

on editors and anonymous specialist 

quality criteria comes later, e.g. number 

referees, articles are only published after 

of citations, number of links to the page, 

a non-public specialist review and revision 

number of downloads, historical assess-

process. Sometimes, however, original 

ment of the authors, etc.

manuscripts are published electroni-

5. 

Assessment by readers 

cally as so-called ‘preprints’ before the 

Publication of the manuscript goes ahead 

completion of the peer review process. 

without any kind of quality assurance; it 

This classical model is used by most 

is followed by an assessment by readers, 

Open Access journals.

2. 

Collaborative peer review 

who can also make comments. These are 

published with the manuscript.

The publication and review process takes 

place publicly in two or more stages, 

In practice, a whole variety of combinations of the 

starting with the preprint or discussion 

above models is used. For example, traditional peer 

stage. While original manuscripts are 

review is used in the Open Access New Journal of 

b eing reviewed by editors and an-

Physics (NJP, www.njp.org), while the Open Access 

onymous or known referees, readers 

journal Atmospheric Chemistry and Physics (ACP, 

can offer additional comments. With the 

www.atmos-chem-phys.org)  combines  collab-

editors’ approval, the authors have the 

orative  peer  review  with  public  discussion.  This 

chance to publish improved versions on 

approach is presented in greater detail below.

the basis of these reviews and comments.

3. 

Moderation 

Submitted manuscripts receive only a per-

functory review by a moderator. The origi-

nal manuscript is published if it appears 

not to contain any gross defects. Further 

revision is in the hands of the authors, who 

Interactive•Open•Access•
publishing•combined•with•
collaborative•peer•review•••

can submit improved versions if they wish.

The  Open  Access  journal  ACP  and  a  grow-

4. 

Automatic assessment 

ing number of sister journals of the European 

Publication of the manuscript goes ahead 

Geosciences  Union 

(EGU,  www.egu.eu) 

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55

Chapter•3

Implementing Open Access Models

practise  a  two-stage  publication  process 

1.  Discussion papers allow authors to 

comprising public peer review and inter active 

disse minate new results quickly. Readers 

discussion.  In  the  first  stage,  manuscripts 

can obtain up-to-date information and 

which  have  passed  a  rapid  pre-selection 

opinions almost directly from the source.

procedure  by  the  editors  known  as  ‘access 

2.  Comments, suggestions and criticisms 

review’  are  published  as  discussion  p apers 

made by specialist referees are available 

in  the  journal’s  online  discussion  forum  (ACP 

to the whole academic community and 

Discussions,  ACPD).  The  comments  of  ref-

not just to authors and editors.

erees  commissioned  by  the  editors  and 

3.  The transparency of the review process 

additional  comments  by  interested  readers 

deters the submission of poor-quality 

are published here together with the authors’ 

original manuscripts. The resulting reduc-

responses.  The  specialist 

referees  have 

tion in the number of rejected manu-

the  option  of  remaining  anonymous.  In  the 

scripts and in the need for correction 

s econd  stage,  the  revision  and  refereeing  of 

helps relieve the pressure on available 

the manuscripts are completed as in the trad-

referee resources.

itional  peer-review  process,  if  need  be  with 

4.  For interested readers, the setting out 

further  revision  and  review.  An  article  is  not 

and documentation of controversial 

published  in  the  journal  as  a  final  paper  until 

i ssues and supplementary comments in 

the  editors  have  accepted  a  revised  version 

the interactive discussion is often just as 

of the manuscript. For the purposes of lasting 

informative as the original article.

documentation  of  academic  discourse,  the 

5.  The combination of traditional peer review 

discussion forum is also ISSN-registered, and 

with interactive public discussion leads 

all discussion papers and comments are per-

to high quality assurance and information 

manently  archived  and  individually  quotable, 

density in the final papers.

regardless of whether or not they result in final 
papers published in the journal(37).

The practical feasibility of the interactive Open 

Access  publishing  concept  is  confirmed  by 

The  interactive  two-stage  process  allows  a 

the  rapidly  growing  number  of  articles  and 

combination  of  rapid  communication  and 

by  citation  statistics.  Within  five  years,  ACP 

thoro ugh quality control, in addition to promot-

achieved the highest impact factor of any jour-

ing academic discussion:

nal in the field of atmospheric research, as well 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

37  Koop, T. & Pöschl, U., ‘An open, two-stage peer review journal’, Nature Web Debate on Peer Review, 2006; Pöschl, U., ‘Interactive journal concept for im-
proved scientific publishing and quality assurance’, in: Learned Publishing 17 (2004), pp 105–113; Pöschl, U., ‘Open Access & Collaborative Peer Review: 
Öffentliche Begutachtung und interaktive Diskussion zur Verbesserung von Kommunikation und Qualitätssicherung in Wissenschaft und Gesellschaft’, in: 
iFQ Working Paper No.1. 2006, pp 43–46.

56

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Implementing Open Access Models

as one of the highest in the fields of earth and 

org).  Publishing  forums  that  apply  modified 

environmental  sciences  (ISI  Journal  Citation 

approaches  to  public  peer  review  and  inter-

Report 2005).

active  discussion  include  PLoS  One  (www.

plosone.org)  and  Biology  Direct  (www.biol-

Initial doubts about the technical feasibility and 

ogy-direct.com) in the life sciences.

academic value of the two-stage Open Access 

publication process have been dispelled by its 

results.  Many  scientists  working  in  the  afore-

mentioned  fields  in  Germany  and  worldwide 

Conclusions•••••••••••••

are  prepared  to  implement  Open  Access  and 

Open Access allows both the retention of trad-

collaborative  peer  review,  and  in  some  cases 

itional  quality  assurance  by  peer  review  and 

are  already  actively  involved.  As  with  other 

the  development  and  deployment  of  a  whole 

innovative Open Access publications, financial 

variety  of  supplementary  or  alternative  quality 

barriers were the major obstacle to establishing 

assurance procedures. New approaches, such 

the ACP and its sister journals. Because of the 

as the combination of collaborative peer review 

lack of availability of Open Access grants, the 

and  public  discussion,  can  enhance  the  effi-

publication costs for the first few years had to 

ciency of quality assurance. These approaches 

be borne from the EGU’s own funds. Most of 

would in principle also be possible for articles 

the authors were not accustomed to the pay-

published  in  traditional  printed  form,  albeit  at 

ment  of  publication  fees,  which  continue  to 

considerable  financial  and  technical  outlay. 

constitute a competitive disadvantage vis-à-vis 

Their practical implementation and dissemina-

subscription-financed journals.

tion is really only made practical by electronic 

publishing  and  Open  Access.  Sometimes, 

Even  so,  the  interactive  Open  Access  pub-

the  opinion  is  expressed  that  peer  review  is 

lishing  concept  has  since  moved  into  other 

no long er necessary in the age of the Internet 

academic  fields.  It  can  be  applied  to  exist-

and electronic publishing. However, experience 

ing  academic  journals  and  to  large-scale 

shows that, without peer review, the quality of 

Open  Access  publishing  systems.  The 

publications  varies  considerably.  Traditional  or 

ACP  approach  has  been  adopted  largely 

modified  forms  of  peer  review  therefore  still 

unchanged  by, 

for  example, 

the 

jour-

seem  to  be  necessary  for  the  efficient  quality 

nal  Economics 

(www.economics-ejournal.

assurance of Open Access publications.

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57

Chapter•3

Implementing Open Access Models

Open Access and Long-term Archiving
By Ute Schwens & Reinhard Altenhöner, German National Library 

In  the  context  of  the  discussion  on  Open 

Preserving  the  usability  of  digital  resources  is 

Access,  the  entire  publication  chain,  from 

far more complex. The user of the future may 

the  writing  of  the  text  to  making  available  the 

well  not  be  in  a  position  to  interpret  the  ori-

published  article,  is  increasingly  taken  into 

ginally  archived  material  (the  data  flow),  since 

a ccount. This chain also includes guaranteeing 

the  necessary  technical  environment  (operat-

the  a rticle’s  long-term  accessibility  and  ‘ci -

ing systems, applications) will have long since 

tability‘.  Ensuring  this  long-term  availability,  in 

ceased to be available. For this reason, experi-

other  words  the  long-term  archiving  of  digital 

ments  are  being  conducted  with  processes 

objects, includes all those measures that serve 

that aim to emulate obsolete systems.

to permanently preserve these objects for pos-

terity.  These  include  the  preservation  of  the 

These  two  briefly  described  approaches  only 

substance  of  the  material  content  on  the  one 

apply  when  the  digital  object  with  its  specific 

hand,  and  the  guaranteed  usability  of  digital 
resources on the other(38).

characteristics has already been generated. In 

addition, however, a number of important initia-

tives worldwide are working towards promoting 

Measures to preserve the substance of the con-

the  use  of  data  formats  that  are  stable  in  the 

tents of data are successful when data deriving 

long term, and of open standards already at the 

from a whole variety of sources and stored on a 

publishing stage of the digital resources. Taken 

whole variety of storage media (including exist-

together,  all  the  selected  measures  also  con-

ing networks) are successfully transferred to a 

tribute to the preservation of older states of the 

homogeneous  storage  system  and  preserved 

art  in  order  to  be  able  to  integrate  them  into 

there in a stable fashion. Important components 

current  and  future  academic  processes.  That 

of this system are therefore automated control 

is the primary goal of the long-term archiving of 

mechanisms  which  monitor  the  continuous 

digital resources.

system-internal data-transfer. However, the fact 

that  technical  platforms  have  short  half-lives 

The question of the context and business model 

affects this system too, and forces a constant 

in  which  digital  publications  are  generated  is 

change  of  data-storage  medium  generations 

irrelevant  for  (technical)  long-term  archiving 

and  the  migration  of  data  collections  that  this 

processes,  as  Open  Access  journals  in  prin-

may involve.

ciple undergo the same technical processes as 

commercial  e-journals  of  specialist  academic 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

38  Liegmann, Hans & Schwens, Ute, ‘Langzeitarchivierung digitaler Ressourcen’, in: Kuhlen, R., Seeger, T. & Strauch, D. (eds), Grundlagen der praktischen 

Information und Dokumentation,. Vol.1: Handbuch zur Einführung in die Informationswissenschaft und – praxis, 5th ed., Munich, 2004.

58

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Implementing Open Access Models

publishers.  The  German  National  Library  Law 

developed by IBM in collaboration with the Dutch 

(Gesetz  über  die  Deutsche  Nationalbibliothek) 

National  Library  (Koninklijke  Bibliotheek).  In  its 

provides  for  this  equal  treatment  where  long-
term archiving is concerned(39). Since 29 June 
2006, this law has obliged the German National 

architecture  and  implementation,  DIAS  is  con-

sistently  geared  to  the  Standard  Open  Archive 

Information  System  (OAIS),  which  has  also 

Library to collect all works published after 1913 

been  established  via  ISO  since  2003,  and  has 

in Germany, in German or about Germany. This 

provided  a  kind  of  conceptual  framework  and 

legal obligation to collect materials is linked to 

orientation point for corresponding systems.

the  obligation  to  permanently  preserve  and 

make archived materials available.

For  the  development  of  the  kopal  project,  a 

number of important components were added 

In  2004,  in  response  to  the  challenge  which 

to DIAS, and its architecture was adjusted. The 

this duty involves, the German National Library 

system  was  thus  made  client-  or  multi-user 

started the project ‘Co-operative Development of 

compatible,  and,  in  particular,  the  grouping 

a Long-Term Digital Information Archive’, known 
by  the  German  acronym  kopal(40),  with  funds 
from the German Federal Ministry of Education 

of  storage  and  administration  of  objects  was 

replaced  by  a  technical  approach  geared  to 

individual  objects.  The  object-related  com-

and Research. This project, carried out by the 

prehensive  metadata  information  necessary 

German  National  Library  and  the  Göttingen 

for  this  purpose  was  formulated  as  Universal 

State  and  University  Library,  the  Society  for 

Object Format (UOF) and anchored in the sys-

Academic  Data-processing  (Gesellschaft  für 

tem. Finally, tools were created to homogenise 

wissenschaftliche  Datenverarbeitung,  GWDG) 

the  metadata  to  posted  objects  that  address 

and IBM Germany, pursues the goal of imple-

and operate the open, standardised interfaces 

menting and testing a cooperatively created and 

in  the  system.  The  corresponding  modular 

operated long-term archiving system for digital 

software  library  koLibRI  is  available  for  other 

documents and data as a sustainable solution 

institutions  to  use  under  an  Open  Source 

both for long-term preservation and guaranteed 

licen ce. This architecture and orientation means 

long-term availability of digital resources.

that kopal is in a position to store publications 

The  starting  point  of  the  archive  system  is  the 

necessary  on  the  grounds  of  extended  meta-

Digital  Information  Archiving  System  (DIAS) 

information using automated processes, or to 

permanently  and  securely,  to  migrate  them  if 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

39  http://www.d-nb.de/wir/pdf/dnbg.pdf.
40  http://kopal.langzeitarchivierung.de.

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59

Chapter•3

Implementing Open Access Models

make them available in appropriately generated 

•	

Access to Open Access publications 

emulation environments. From a technical point 

in the archive of the German National 

of view, the kopal solution does not involve any 

Library with its long-term availability 

demands  on  or  tying-down  of  publications, 

features of the archived items can be 

nor,  in  particular,  of  the  production  processes 

granted on the same basis as access to 

behind them.

the documents of the server of origin. Of 

course, the rights owner must give his 

What, then, are the differences between long-

or her consent according to copyright 

term  archiving  of  Open  Access  publications 

regulations, but most licences involved in 

and the publications of commercial publishers? 

the context of Open Access recommend 

Differences and open questions can be found 

the receipt of this consent so as not to fall 

primarily in two areas:

back into access restrictions or discus-

•	

A standardisation of publication processes 

sions about cost.

across different media would seem simpler 

Both  points  could  also  be  negotiated  with 

in the case of Open Access models, 

those  commercial  publishers  who  operate 

since editors as a rule belong to a more 

appropriate  corresponding  business  models 

homogeneous community (university, 

for electronic publications.

research institutes, learned societies, 

etc.). Competition plays less of a role here 

For the publishing author, what we have said 

than in the commercial world; the use 

so far means that when submitting the article 

of the same standards and interfaces is 

to  whoever  will  publish  it,  he  or  she  should 

preferred to the unique position of a single 

insist that the question of long-term availabil-

producer as is required by the market. On 

ity  of  the  publication  be  explicitly  clarified.  In 

the other hand, experience suggests that 

this context, it is ultimately irrelevant whether 

a commercial publisher can impose on its 

this  responsibility  is  exercised  directly  by  the 

authors much more rigid demands relating 

institution to which the article is submitted, or 

to the semantic and syntactic-technical 

by  some  other  institution,  for  example  acting 

quality of submitted articles, and thus re-

under a legal obligation, as in the case of the 

quire that authors actively cooperate in the 

German  National  Library.  As  a  rule,  the  latter 

specific publishing chain at an early stage.

form  of  long-term  archiving  will  be  the  most 

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Implementing Open Access Models

appropriate  for  the  majority  of  Open  Access 

repositories.  The  German  National  Library  is 

currently setting up submission interfaces for 

this  very  purpose.  Appropriate  agreements 

should  be  implemented,  including  a  cata-

logue of rules for the long-term handling of the 

di gital object.

For  the  Open  Access  movement,  the  theme 

of  guaranteeing  the  long-term  availability  of 

digital  objects  certainly  has  potential:  the  use 

of  existing  technical  and  operational  options 

and  the  design  of  corresponding  workflows 

guaranteeing  the  availability  of  publications  at 

a high technical level could play an increasingly 

important role in the competition for the optimal 

form of publication, especially in an institutional 

context. An important sub-component here is 

the system of ‘persistent identifiers’ whose use 

ensures that sources and articles are quotable, 

and  which  guarantees  that  citations  will  per-

manently be understood in an open world, and 

that they will not just exist in a closed and often 

only partially accessible service.

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Open Access and the Structure of Academic Communication
By Hans Pfeiffenberger, Alfred Wegener Institute for Polar and Marine Research, Bremerhaven

The criterion for any assessment of the system 

longer undisputed. Above all, the efficiency of 

and means of academic communication must 

be  their  maximum  contribution  to  the  benefit 

and  progress  of  science  and  scholarship.  In 

communication  is  fundamentally  questioned 
when the Blue Ribbon/Atkins Report(41) notes 
that:  ‘The  primary  access  to  the  latest  find-

particular, individual means are no more than a 

ings in a growing number of fields is through 

necessary service for science and scholarship, 

the Web, then through classic preprints and 

a  service  whose  effectiveness  and  efficiency 

conferences,  and  lastly  through  refereed 

needs occasional examination.

archival papers.’

State•of•the•art•••••••••••

Furthermore, the value of quality assurance is 

in  decline  as  growing  quantities  of  underlying 

primary  data,  as  well  as  other  materials,  no 

Beginning  in  1665  with  the  Philosophical 

longer form part of the publication as printed, 

Transactions  of  the  Royal  Society,  the  peer-

and  are  assessed  neither  during  the  review 

reviewed  article  in  an  academic  journal  has 

process nor otherwise. Recent major scientific 

become the gold standard of academic com-

scandals  are  largely  connected  with  invented 

munication. It did partly replace communication 

or  falsified  data,  or  with  erroneous  evaluation 

by letter between colleagues and rivals. For the 

and summarisation.

pure communication of results, the journal was 

and  is  more  efficient,  and  professional  edit-

ing probably also makes it more effective. The 

‘date stamp’ of a trustworthy publisher estab-

lished priority, which previously was difficult or 

Modern•demands•and•
possibilities• ••••••••••••

impossible  to  determine  in  disputed  cases. 

From a relaxed point of view, one could say that 

Finally,  refereeing  by  peers  provided  a  quality 

the  age  of  Internet-based  communication  is 

assurance that allowed the reader, to a degree, 

only just beginning — and this certainly goes for 

to accept the facts and conclusions contained 

academe,  too.  However,  access  to  academic 

in the paper as correct.

journals  is  currently  almost  exclusively  via  the 

Internet. The reason for this rapid development 

To  a  certain  extent,  the  journal  article  still 

must  be  the  greater  efficiency  of  net-based 

has  these  advantages,  even  if  these  are  no 

access, which in turn has many reasons.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

41  Atkins et al., Report of the National Science Foundation Blue-Ribbon Advisory Panel on Cyberinfrastructure, 2003, http://www.nsf.gov/od/oci/reports/toc.jsp.

62

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Implementing Open Access Models

The  increase  in  efficiency  is  also  absolutely 

part  of  research  into  global  change  —  come 

necessary,  since  the  proportion  of  the  popu-

from 60 nations. Its persistent results — includ-

lation  engaged  in  research  or  using  research 

ing  a  ‘data  snapshot’  of  the  Polar  Regions, 

results is increasing. If the efficiency of recep-

which is perhaps more important than journal 

tion were not rising, the proportion of what any 

articles  —  will  form  a  basis  on  which  global 

one  individual  could  take  in  would  constantly 

change will be tracked in the coming decades. 

be on the decline, as would the use of any indi-

For  this  reason,  the  programme  has  adopted 

vidual research result.

a policy which includes an obligation to make 

resulting data available rapidly and freely. Both 

A  further  reason  why  there  is  a  need  for  a 

the  implementation  of  this  one  coordinated 

clear  increase  in  efficiency  lies  in  the  shape 

research  programme  of  170  formally  inde-

of  certain  areas  of  research.  There  are  those 

pendent  project  clusters  and  the  utilisation  of 

which are particularly costly, and thus require 

results  demand  an  extremely  rapid,  effective 

as  complete  an  exploitation  of  the  results  as 

and efficient communication system. This does 

possible.  Others  are  of  highest  relevance  to 

not  yet  exist  in  institutionalised  form,  but  it  is 

society  and  at  the  same  time  of  great  inter-

planned in order to exchange data sets in real 

disciplinary  complexity.  They 

require 

the 

time that are needed for the implementation of 

correlation and utilisation of many results from 

the project.

many  different  disciplines.  We  might  cite  as 

examples  such  ‘modern’  research  topics  as 
Risk Habitat Megacity(42) and of course Global 
Change.  Relevant  disciplines  range  from  the 

Approaches•to•a•solution• ••

further  development  of  climate  models,  via 

In  the  global  knowledge  society,  the  exten-

examinations of traffic flow from an engineer-

sive  knowledge  present  in  people’s  heads, 

ing point of view, to sociological insights into 

the  information  that  has  been  written  down, 

the change in the lives of Arctic peoples.

and  the  data  obtained  at  huge  expense  can 

only  be  really  comprehensively  and  effectively 

The 50 000 participants in (and doubtless also 

accessed  and  utilized  if  they  can  be  linked 

the  recipients  of  the  insights  obtained  from) 

in  every  possible  way,  including  ways  as  yet 

the International Polar Year 2007–2008 (www.

unknown.  To  the  degree  necessary,  this  is 

ipy.org)  —  a  programme  that  represents  only 

clearly  beyond  human  capability.  Therefore, 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

42  Strategies for Sustainable Development in Megacities and Urban Agglomerations, http://www.risk-habitat-megacity.ufz.de/.

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machine processes — from the (full text) search 

conclusions  when  the  underlying  foundations 

engine to techniques of text and data mining — 

of these conclusions are spread over hundreds 

need to be employed. Today, however, only a 

of publications.

financial giant like Google would be in any posi-

tion to purchase access to the entire material 

That  even  the  refereeing  of  individual  articles 

of major publishers if it wanted to. Accordingly, 

will not be able to manage without such tech-

in today’s STM (science, technology, medicine) 

niques was pointed out by the journal Nature 

fields, for example, only one (commercial) entity 

in  a  Special  Report:  ‘As  information  technol-

is in a position to make available a relevant part 

ogy becomes more sophisticated, I think you 

of all electronically available scientific texts of a 

certain  quality  standard  and  to  network  these 

via  their  citation  structures:  http://scientific.

are  going  to  see  more  journals  adding  new 
tools  to  their  screening  processes.’(44)  The 
report also explains why access to under lying 

thomson.com/products/wos.

data, presumed to be stored on CDs in card-

board  boxes,  is  not  a  possible  procedure  in 

By  contrast,  what  can  already  be  done  for 

the refereeing context.

openly  accessible  material  at  evidently  little 

effort is made clear by limited, simple services 

The need for access to full text and to under-

such  as  Citeseer  (http://citeseer.ist.psu.edu) 

lying  data  becomes  particularly  clear  if  one 

or  Scientific  Commons  (http://www.scienti-

considers  that  even  the  most  valuable  data-

ficcommons.org).  Alongside  obvious  search 

sets are not adequately retrievable and usable 

functionality,  both  services  also  contain  text-

if the texts which describe them or are other-

mining approaches in order to identify networks 

wise  associated  with  them  are  not  available 

of  persons  (authors  and  co-authors),  schools 

for  automatic  analysis  services.  Pure  data-set 

or  communities.  Such  navigation  aid  for  the 

ca talogues,  not  connected  with  publications 

sea of information would be highly useful only 

and  the  other  contexts  in  which  the  authors 

in complex contexts such as global change.

An  example  of  the  evaluation  of  texts  on  bio-
chemical  compounds(43)  shows 
their  machine  analysis  allows  researchers  to 

that  only 

r ecognise far-reaching correlations and to draw 

of  the  data  work,  cannot  in  the  long  term  do 
justice  to  the  data(45)  any  more  than  just  the 
abstracts of articles in journals can.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

43  Hofmann-Apitius, M., ‘Paradigm Changes Affecting the Practice of Scientific Communication in the Life Sciences’, in: Scientific Publishing in the European 

Research Area, Brussels, 15 February 2007. http://ec.europa.eu/research/science-society/document_library/pdf_06/hofmann-022007_en.pdf.

44  Marris, E., ‘Should journals police scientific fraud?, in: Nature. 439 (2006), 520–521, doi:10.1038/439520a.
45  Pfeiffenberger, H., & Macario, A., ‘Text, Data and People – How to Represent Earth System Science’, CERN workshop on Innovations in Scholarly Com-

munication (OAI4), Geneva, 20 October 2005. http://epic.awi.de/Publications/Pfe2005c.pdf.

64

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Implementing Open Access Models

Conclusions•••••••••••••

These  considerations  lead  to  the  expectation 

that the future of academic communication will 

be marked by a wide variety of Internet-based 

services,  which  will  efficiently  make  available 

and effectively present freely accessible articles, 

data and other materials in a variety of ways.

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Chapter•3

Implementing Open Access Models

Data-processing, Data-transfer and Search: 
Further Technical Challenges for Open Access
By Wolfram Horstmann, Bielefeld University Library

Open  Access  is  a  child  of  the  Internet. 

Manual  processing  of  all 

these  data 

is 

Theoretically, the World Wide Web (WWW) has 

impossible,  which  is  why  the  machine-read-

made it possible for everyone to have immedi-

ability  of  data  plays  an  important  role.  Firstly, 

ate access to news, media and communication 

machine-readability  means  that  data  must  be 

everywhere. Scientists created the Web almost 

recognisable  from  external  servers  or  digital 

20  years  ago  in  order  to  exchange  academic 

services.  This  recognition  mostly  takes  place 

information  more  efficiently,  and  thus  made 

via  metadata,  a  kind  of  digital  label  for  data, 

direct  access  to  information  possible.  Since 

which contains information about the form and 

then, for many people, the Web has developed 

content  of  the  underlying  object.  In  addition, 

into the ultimate global information platform.

machine-readability requires a transfer protocol 

which  allows  the  data  to  be  transferred  from 

Today  scientists  and  scholars  are  once  again 

one  place  to  another.  In  the  traditional  WWW 

aiming at the goal of Open Access to academic 

this  is  primarily  ‘http’  (hyper-text  transfer  pro-

information on the Internet. This is not because 

tocol). However, for the multitude of data types 

access to academic information on the Internet 

and uses to be found in science and scholar-

has  meanwhile  been  closed  off.  Rather,  infor-

ship today, this is not adequate since far more 

mation  in  the  form  we  are  concerned  with 

multifarious  information  on  the  type  and  pur-

today did not exist in the infancy of the WWW. 

pose of the data has to be exchanged before 

In  those  days,  academic  publications  existed 

any transfer can take place.

largely  in  printed  form.  It  is  only  in  the  past 

decade that they have become available elec-

For  academic  data,  but  also  for  other  forms 

tronically on a large scale. In addition, today we 

of data, labelling with the ‘Simple Dublin Core 

are  not  merely  concerned  with  publications: 

Metadata  Element  Set’  (http://dublincore.org) 

many  other  data  can  be  found  in  academic 

has  become  standard  practice.  As  a  trans-

offices and laboratories on computers, storage 

fer  protocol  for  open,  machine-readable  data 

media or servers that are not compatible with 

stores,  the  ‘Open  Archives  Initiative  Protocol 

the  standards  of  the  WWW.  For  example,  we 

for  Metadata  Harvesting’  (http://www.open 

are  talking  about  the  digitalisation  of  cultural 

archives.org)  is  often  used.  The  combin ation 

heritage,  experimental  measurement  data, 

of  the  two  allows  a  new  form  of  technical 

computer  programs  for  evaluation,  modelling 

networking  based  on  the  principles  of  Open 

or simulation, and learning materials.

Access:  digital  knowledge  stores,  known 

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Implementing Open Access Models

as  repositories,  are  coming  into  existence 

everyday  tool.  A  ‘future-proof’  solution  could 

worldwide.  Alongside  the  repositories  that 

lie  in  collaboration  between  libraries,  which 

are  created  directly  for  academic  disciplines, 

guarantee the quality of the metadata and data 

many academic libraries function as systematic 

presentation,  and  experts  in  information  sci-

digital age providers of information by operat-

ences, media studies and informatics.

ing  repositories.  These  repositories  expose 

their data without restricting access for digital 

Especially 

for 

the  young  generation  of 

‘harvesters’, which collect metadata and struc-

researchers  and  students,  the  WWW  has 

ture  them  in  intermediate  storage  facilities  for 

developed into a highly interactive environment. 

systematic  access.  After  that,  search  engines 

For many, the browser is a central switchboard 

enable  researchers,  teachers  and  learners  to 

in  their  professional  and  social  lives,  in  which 

access information, which is distributed world-

communication, the exchange of data and the 

wide in an unrestricted and targeted fashion.

structuring  and  configuration  of  their  daily  rou-

tines take place. The academic world also works 

But  even  if  the  data  are  present  in  reposi-

on an increasingly interactive basis. This means 

tories,  labelled  with  metadata  and  accessible 

that not only access, but also the manipulation 

from other servers and services, there is still no 

of data, collective editing à la Wikipedia (http://

guarantee  that  the  results  are  actually  usable 

www.wikipedia.org)  or  sharing  à  la  Del-icio-us 

by  academics.  Due  to  major  Internet  protag-

(http://del.icio.us) are expected.

onists like Google, scientists and scholars are 

accustomed  to  relatively  comprehensive  and 

The reconfiguration of the WWW into an inter-

rapid access to the results. Google and others 

active  environment  suitable  for  science  and 

invest a great deal in the registration and com-

scholarship represents a challenge for service 

puter-based  structuring  of  data,  which  relate 

providers  even  with  respect  to  publications 

not just to metadata but to every conceivable 

with  a  relatively  simple  structure.  Increasingly, 

form of information which subsists in the digital 

however,  we  also  have  to  deal  with  the  other 

object itself. The approach of structuring aca-

materials mentioned above, such as multifarious 

demic  information  exclusively  via  metadata  is 

digital items, computer programs, and learning 

conceptually superior. However, in practice this 

materials. These days, many academic results 

approach still needs to be turned from an indi-

are  obtained  with  the  help  of  precisely  these 

vidual testing application into a comprehensive 

new media; traditional publication with text and 

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Chapter•3

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graphics forms only a fraction of this academic 

process,  and  make  accessible  academics’ 

work.  Tracing  back,  let  alone  the  verifying  of 

specialist knowledge with functional, generally 

scientific  results,  is  becoming  increasingly  dif-

valid information tools, be they search engines, 

ficult on the basis of publications alone.

or  tools  for  the  administration  of  information, 

documentation, editing or communication.

At  the  outset,  there  seem  to  be  no  limits  to 

the  possibilities  offered  by  a  new,  virtualised 

academic  world  in  the  context  of  such  forms 

of electronic publishing. In such a comprehen-

sive scenario, however, it must not be forgotten 

that vast quantities of data are generated that 

are totally inconceivable in the analogue, non-

electronic world. Also, much of this information 

is not intended to be used by the public or even 

by scientists or scholars in related disciplines. 

And  not  every  piece  of  academic  information 

generated  in  such  a  scenario  can  or  need  be 

preserved  and  placed  at  the  permanent  dis-

posal  of  posterity.  Science  and  scholarship 

have become more fugacious.

In  addition,  the  atomisation  of  science  and 

scholarship into more and more sub-disciplines 

has made it more and more difficult to provide 

interdisciplinary services for the academic com-

munity in the way that university libraries have 

traditionally done. Today, only academics them-

selves know what information and services they 

need for their work in their respective areas of 

research. The challenge for information service 

providers  will  consist  in  offering  to  structure, 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

68

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Implementing Open Access Models

The Acceptance and Distribution of Freely Accessible Publications
By Johannes Fournier, German Research Foundation

A representative survey among DFG-supported 

research results openly accessible. Two thou-

scientists  and  scholars,  published  in  2005  by 

sand  six  hundred  and  sixteen  Open  Access 

the  German  Research  Foundation  (Deutsche 

journals  ranging  across  all  academic  disci-

Forschungsgemeinschaft,  DFG),  showed  that 

plines have been registered under http://www.

there was broad agreement on the principle of 

doaj.org/ alone. As was to be expected, the list 

Open Access by grantees across all academic 

is headed by publications in the fields of medi-

disciplines:  74%  of  the  materials  scientists 

cine,  biology  and  food  sciences.  Alongside 

participating  in  the  survey  thought  that  it  was 

technology  and  environmental  sciences,  the 

in  principle  beneficial  to  specifically  promote 

social and behavioural sciences (including psy-

access  to  research  results  free  of  charge,  as 

chology, pedagogy, sociology, political science 

did  81%  of  those  working  in  the  humanities 

and  jurisprudence)  are  also  well  represented, 

and social sciences, 84% of the natural scien-
tists, and 88% of the life scientists(46). At least in 
theory,  the  international  academic  community 

as  are  linguistics,  literary  studies,  art  and  cul-

tural studies (including history, archaeology and 

philosophy).  The  latter  two  groups  have  been 

also  supports  Open  Access.  Interdisciplinary 

consolidated in the diagram.

support  for  this  principle  was  confirmed  in 

February  2007:  a  petition  to  the  European 

All  the  large  publishers  now  have  schemes 

Commission  was  submitted  on  11  February 

whereby  articles  published  in  subscription 

2007 by more than 6 000 life scientists, some 

journals  are  made  freely  available  to  users 

2 000 physicists and 2 000 materials scientists, 

as well as by some 2 100 social scientists and 

some 1 200 representatives of the humanities. 

directly after publication provided that authors 
cover  the  costs  of  publication(48).  In  certain 
subjects — e.g. physics with arXiv (http://arxiv.

This petition requests free access to research 

org/) and economics and social sciences with 

results by making it mandatory to place these 

the  Research  Papers  in  Economics  (http://

in  repositories  after  the  expiry  of  an  embargo 

repec.org/)  —  it  is  becoming  standard  prac-

period. In the meantime, it has been signed by 
over 24 000 scientists and scholars(47).

tice to make preliminary versions of academic 

contributions  available  via  subject-based 

In  principle,  there  are  various  ways  in  which 

lishers  are  also  allowing  published  journal 

scientists  and  scholars  could  implement  this 

articles  to  be  placed  on  document  servers 

evidently widespread readiness to make their 

and thus be made freely available. Therefore, 

repositories. In addition, more and more pub-

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

46  Deutsche  Forschungsgemeinschaft,  Publication  Strategies  in Transformation?  Results  of  a  study  on  publishing  habits  and  information  acquisition  with 
regard to Open Access, Bonn. 2005, p.51 et seq., http://www.dfg.de/en/dfg_profile/facts_and_figures/statistical_reporting/open_access/index.html.

47  The statistics on the petition to the EU as of 11 February 2007 with app. 18 000 signatories can be found under http://www.ec-petition.eu.

69

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Chapter•3

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Miscellaneous
2%

Social and 
behavioural sciences
28%

Life sciences
25%

Natural sciences
9%

Material and
technical science
9%

Environmental
sciences
7%

Economics
3%

Humanities
(incl. linguistics and literary studies, 
art and cultural studies)
17%

Distribution of subject areas of the journals registered in the Directory of Open Access Journals

it should not be difficult to publish on an Open 
Access basis(49).

found that only about 11% of those questioned 

had  published  in  an  Open  Access  journal,  this 
figure had risen to 29% by 2005(51).

Actual  publication  practice,  however,  contrasts 

sharply  with  the  general  acceptance  of  Open 

In  another  survey  of  1  296  academics  world-

Access and the multiple publication possibilities. 

wide,  authors  responded  that  they  had  not 

In  2004,  of  those  grantees  questioned  by  the 

published  in  the  context  of  Open  Access 

DFG, IT specialists had made 46% of their journal 

because  they  knew  of  no  or  at  least  of  no 

articles available on an Open Access basis after 

‘appropriate’  Open  Access  journals  in  their 

they had been published, mathematicians 32%, 

subject  area  in  which  they  could  have  pub-

but biologists only 17%, social scientists 9%, and 

lished their work. In addition, three-quarters of 

academics working in the humanities a mere 3%. 

those participating in the survey were unaware 

At the same time, only 12% of those questioned 

had published at least once in an Open Access 
journal(50).  However,  an  upward  trend  can  be 
observed:  while  an  international  survey  in  2004 

that  they  could  have  made  their  already  pub-
lished works available via repositories(52).

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

48  For more detailed information see Suber, Peter, ‘Nine questions for hybrid journal programs’ in: SPARC Open Access Newsletter 101, 2 Sept.2006. 

http://www.earlham.edu/~peters/fos/newsletter/09-02-06.htm#hybrid.

49  Cf. Scholze, Frank, ‘Goldene und grüne Strategie des Open Access – Übersicht und Vergleich‘, in: Lülfing, Daniela (ed.), 95. Deutscher Bibliothekartag in 

Dresden 2006, Netzwerk Bibliothek, 2007, pp. 173–182.

50  Deutsche Forschungsgemeinschaft 2005 op. cit., p. 44 (Open Access journals), pp. 45–47 (Open Access postpublications).
51  Rowlands, Ian & Nicholas, Dave, ‘An International Survey of Senior Researchers’, in: New Journal Publishing Models, 22 Sept. 2005, 5. http://www.ucl.

ac.uk/ciber/ciber_2005_survey_final.pdf.

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Implementing Open Access Models

At  the  same  time,  these  brief  considerations 

organisations to take the principle of 

represent the general framework conditions for 

recognising the cost of publication as a 

greater acceptance and dissemination of Open 

component of the total research costs 

Access publications:

seriously. The deliberately reticent finan-

cing of publication costs — for example 

1. 

Open Access publications are seen by 

the DFG’s lump sum of just EUR 750 a 

many as not carrying sufficient renown. 

year — can be explained by the fact that 

New journals, such as those listed in the 

those providing the publication service 

Directory of Open Access Journals, have 

do not make their price policy sufficiently 

not yet managed to create a brand image. 

transparent for research-grant provi-

As long as existing reputable subscrip-

ders. If in future publishers explain their 

tion journals cannot be turned into Open 

pricing strategy in a way that others can 

Access publications, the ‘green road’ 

understand, more courageous decisions 

promises more success. But it is essential 

on the part of grant-providers when it 

to inform academics that they can first 

comes to funding Open Access publica-

publish in high-ranking journals and then 

tions may become possible. In this 

subsequently deposit their articles in 

regard, the setting up of a working group 

repositories, and under what conditions.

on pricing transparency was recom-

2. 

It is essential to inform about legal, tech-

mended at the ‘Academic Publishing in 

nical, and organisational aspects, and 

Europe 2007’ conference.

in particular about all the researchers’ 

4. 

Authors must be given support in legal 

possibilities of making their own research 

matters (‘What articles may I place in re-

results available in Open Access without 

positories?’, ‘How do I protect my rights 

too much investment. In this regard, 

as an author?’), as well as technological 

the information platform http://www.

and organisational matters (‘How do I up-

open-access.net sponsored by the DFG 

load my article on our university server?’). 

should provide an important component 

Above all, it must be conveyed that Open 

for German-speaking researchers.

Access publications cannot simply be 

3. 

Publishing in Open Access mode should 

used or edited by others as they see fit, 

not fail because authors cannot afford to 

but rather that authors — for example 

pay for it. It is up to funding and research 

via particular licences — are in a position 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

52  Swan, Alma, Open Access self-archiving: An introduction. Executive Summary, 2005. http://eprints.ecs.soton.ac.uk/11006/01/jiscsum.pdf.

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Chapter•3

Implementing Open Access Models

to determine who can use their research 

The extent to which Open Access is still to be 

results, how they can use them, and for 

addressed  as  a  transitional  phenomenon  was 

what purposes. With appropriate advice 

shown in a recent survey of 688 researchers in 

and support, for example when setting up 

IT,  German  philology  and  medicine  who  have 

an Open Access publishing infrastructure, 

published  academic  articles.  Many  of  those 

in particular academic libraries will be 

surveyed state that even though they and their 

taking on new tasks, and must reposition 

close  colleagues  are  not  doing  so,  they  think 

themselves in the rapidly changing world 

that leading colleagues of other disciplines are 

of academic communication.

already publishing their articles in Open Access 

5. 

Role models are essential. If senior and 

mode: ‘This [...] is typical of the “wait and see” 

highly respected scientists and scholars 

position  in  which  many  scientists  currently 

publish their research work in Open 

find  themselves,  with  regard  to  Open  Access 

Access channels, their example will en-

publishing. Many think that others are already 

courage other authors to make their own 

publications available free of charge.

doing  it,  but  not  they  themselves  and  their 
close colleagues’(54).

Finally, it is worth pointing out that reservations 

vis-à-vis  Open  Access  publishing  on  the  part 

of  some  authors  are  not  due  to  the  issues  of 

cost-free  access.  Rather,  what  authors  seem 

to 

fear 

is  electronic  publication,  whether 

cost-free  to  the  user  or  under  licence.  Many 

academics believe that the quality of electronic 

publications is lower than that of printed pub-

lications, and that the long-term archiving and 

accessibility of digital publications is in no way 
secured(53). What is revealed here is a profound 
uncertainty  on  the  part  of  authors  in  the  face 

of a phase of fundamental and comprehensive 

upheaval in academic communication, in which 

Open Access is just one of many aspects.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

53  Deutsche Forschungsgemeinschaft 2005 op. cit., pp. 48-51.
54  Hess,Thomas,Wigand, Rolf T., Mann, Florian & von Walter, Benedikt, Open Access and Science Publishing. Results of a Study on Researcher’s Acceptance 

and Use of Open Access Publishing. http://openaccess-study.com/Hess_Wigand_Mann_Walter_2007_Open_Access_ Management_Report.pdf.

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73

74

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•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

CHAPTER 4:

Political Perspectives 

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Chapter•4

Political Perspectives

Controversial Issues in the Context of Open Access
By Ralf Schimmer, Max Planck Digital Library

Where there is smoke, there is fire. If this cliché 

offered by the Internet with regard to immediacy, 

contains some truth, the dense smoke (the fre-

affordability  and  superiority.  Nowadays,  from 

quency and tone of the current debate on Open 

the academic point of view, the dissemination of 

Access) must conceal a fire that is burning quite 

research results looks something like this: most 

fiercely. The discussions and arguments on this 

research  worldwide  is  carried  out  at  publicly 

topic are intense and bitter, not only in Germany. 

funded  institutions,  primarily  universities.  The 

The typical munitions from the arsenal of political 

results  of  publicly  funded  research  are  mostly 

lobbying  are  deployed  more  and  more  openly: 

passed on free of charge to publishers, where 

one  expert  opinion  on  the  tail  of  another,  one 

they are prepared for publication. The publishers 

position statement quickly followed by the next. 

organise and finance what is known as the peer 

A  competition  of  appeals,  resolutions,  dec-

review process as the central quality-assurance 

larations and petitions can be observed.

instrument.  This  depends  on  the  collaboration 

(which  is  as  a  rule  unpaid)  of  publicly  funded 

In  the  Open  Access  debate,  there  is  a  collision 

scientists and scholars. At the end of the pub-

between the interests of large and powerful col-

lication  process,  publicly  funded  librarie s  have 

lective actors: the academic world, the publishing 

to  buy  back  publicly  funded  research  results, 

industry, the public, and the community. An insti-

which  have  been  quality  assured  by  publicly 

tutional structure that for a long time had seemed 

funded scientists and scholars acting as review-

to  have  found  a  stable  balance  that  satis fied 

ers,  in  the  form  of  constantly  increasing  rates 

everyone  has  been  put  out  of  kilter  for  good 

of subscription to journals. Looking at the pro-

through  the  breathtaking  speed  at  which  the 

cess like this, it would appear that the taxpayer 

Internet has developed, progressive digitalisation, 

is shelling out at a number of stages along the 

and the huge changes in academic communica-

way. This in turn leads to talk about the privat-

tion.  As  a  result,  issues  which  in  the  past  were 

isation  of  public  funds.  The  cost  argument, 

rarely of public concern and which were usually 

however, is by no means the only one adduced 

negotiated only in specialist circles have become 

by  academics.  According  to  them,  there  are 

the topic of wide-ranging public debate.

not  just  financial,  but  also  legal  and  technical 

barriers that make the publication of academic 

When  it  comes  to  access  to  knowledge, 

research  results  in  the  Internet  age  far  from 

scientists  and  scholars  aim  at  maximum  dis-

being as efficient and sustainable as they would 

semination, and emphasise the new possibilities 

wish or think possible.

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Political Perspectives

If  one  considers  the  various  academic  dis-

stressing  the  fact  that  never  before  has  so 

ciplines,  one  will  see  that  there  is  no  uniform 

much content been available to scientists and 

attitude,  indeed  not  even  an  unambiguous 

scholars as today. Publishers counter the com-

attitude, towards Open Access. The precondi-

plaints of academics about qualitative restriction 

tions  and  cultures,  as  well  as  the  possibilities 

by  pointing  to  vast  quantitative  growth  in  the 

and  requirements  in  different  academic  fields 

form  of  constantly  increasing  contents  and 

are  too  distinct  from  one  another  to  allow  us 

user  numbers.  They  underscore  their  compe-

to  speak  of  a  coherent  academic  standpoint. 

tence  and  experience  in  ensuring  the  quality 

There  are  substantial  differences  between  the 

and integrity of the content of articles, warning 

natural  sc iences  and  the  humanities,  but  also 

against underestimating the costs and organi-

between the individual natural sciences or even 

sational  demands  of  electronic  publication 

sub-divisions  thereof.  Even  so,  there  is  gener-

and  distribution  processes,  and  insisting  that 

ally  a  growing  interest  in  the  theme  of  Open 

there is no alternative to the current subscrip-

Access. What unites academia in all this is the 

tion model. They counter the brave new world 

feeling of living in what may be a revolutionary 

promised by the Internet with warnings about 

period in which more and more paths for further 

the danger of loss of quality in academic com-

improvement  of  the  effectiveness  of  research 

munication.  In  the  eyes  of  publishers,  Open 

are opening up. This suggests that acade mics’ 

Access threatens not just the academic journal 

discomfort  with  the  traditional  publishing  sys-

as a cultural good, but also substantial invest-

tem and its current allocation of resources will 

ments in information infrastructures, jobs, and 

increase.

ultimately  a  whole  industry.  Optimum  access 

to knowledge, according to the publishers, will 

This  situation  seems  quite  different  from  the 

continue to lie in the goods and services offered 

point  of  view  of  commercial  information  pro-

by commercial information providers. 

viders.  Publishers  argue  that  it  is  part  of  their 

remit and their culture-historical achievement to 

The  points  of  view  are  no  less  diametrically 

contribute to the dissemination of knowledge. 

opposed when it comes to copyright and the 

Many  publishers  see  themselves  explicitly  as 

question  of  what  and  whose  interests  this  is 

partners  of  academia,  highlighting  their  mas-

supposed  to  protect.  For  artists  who  live  by 

sive investment in academic quality assurance 

their  creativity,  the  significance  of  copyright 

and  in  electronic  distribution  platforms,  and 

is  not  the  same  as  it  is  for  academics  whose 

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Chapter•4

Political Perspectives

livelihoods  are  guaranteed  by  their  salaried 

Without the exploitation rights defined in copy-

positions and whose main interest as a rule lies 

right  law,  there  would  be  no  safeguard  for 

in their academic results being accessible to as 

publishers’ investment and thus the framework 

broad a public as possible. In particular, many 

which  supports  the  whole  publishing  system 

scientists and scholars see that they are surren-

would simply not exist. For this reason, the pub-

dering extensive rights to the publishers in their 

lishing  side  has  hitherto  vehemently  opposed 

publishing  contracts.  They  are  of  the  opi nion 

the demands for generous rights of exploitation 

that  copyright,  at  least  where  it  has  an  effect 

for the authors, and any legislation initiatives to 

on science or scholarship, ultimately serves the 

this effect.

interests not of the author, but above all of the 

publishing industry. Not only many academics, 

Apart from academia and publishers, the Open 

but  also  other  institutions  and  organisations 

Access  debate  is  increasingly  extending  to 

with  a  public  remit,  such  as  public-service 

other  institutions  with  a  public  remit,  in  par-

broadcasters, schools, cultural institutions and 

ticular a cultural public remit. For some, Open 

consumer  protection  organisations,  see  the 

Access  represents  the  possibility  of  updating 

restriction  of  rights  in  the  digital  media  more 

their remit and opening up new fields of ac tivity 

and more as a problem. With increasing vehe-

for  themselves.  The  declared  aim  is  always 

mence,  many  are  demanding  a  simple  and 

to  make  publicly  funded  knowledge  available 

unambiguous  right  of  use,  which  for  example 

to  the  public  quickly  and  free  of  charge  (or 

would allow authors, after a defined embargo 

at  least,  affordably).  For  libraries,  the  theme 

period,  to  make  their  own  work  available  on 

of  Open  Access  is  thus  vital,  as  they  are  the 

their  own  homepages  or  on  an  institutional 

ones  suffering  particularly  from  having  to  pay 

document server for non-commercial use.

the  increasing  costs  of  academic  publica-

tions  while  their  budgets  stagnate,  and  they 

The  publishers  also  invoke  the  authors  in  this 

therefore  see  no  solution  but  to  cancel  sub-

regard,  because  they  see  themselves  as  the 

scriptions. This has a negative effect for library 

guardians  of  authors’  interests.  Copyright  is  a 

users,  and  of  course  is  not  in  the  publishers’ 

necessary  legal  framework  that  creates  legal 

interests either. Admittedly, some libraries also 

security  and  without  it,  commercial  ac tivity 

feel that resolutely implemented Open Access 

would  be  impossible.  It  takes  the  interests 

would  inevitably  lead  to  structural  and  admi-

of  both  authors  and  publishers  into  account. 

nistrative  changes  in  universities  and  other 

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Political Perspectives

academic institutions, and thus to a change in 

This  article  is  intended  to  cast  some  light  on 

their importance and responsibilities. 

the controversies that exist in connection with 

Open  Access.  It  has  shown  that  the  fracture 

In  recent  years,  university  publishing  houses 

lines that currently exist, in particular between 

of  German  universities  have  witnessed  a  mini-

academia  and  the  publishing  houses,  are 

renaissance in that they have been newly founded 

not negligible. But at the same time, it would 

or restructured with the remit of online publishing 

be  wrong  to  paint  a  simple  black-and-white 

under Open Access conditions. In this process, 

picture.  Neither  of  the  camps  is  monolithic, 

they are developing innovative approaches, both 

and  both  show  pioneering  spirit  and  a 

technically and in the field of business models. In 

readiness  to  innovate  on  the  one  hand  and 

the schools sector, in the public-service media, 

defensive  tendencies  and  obstinacy  on  the 

in  the  Standing  Conference  of  State  Ministers 

other. ‘When the wind of change blows,’ says 

of  Education  and  Cultural  Affairs,  in  consumer 

a Chinese proverb, ‘some build walls and the 

protection,  and  in  many  other  sectors  with  a 

others  windmills.’  At  the  moment,  both  walls 

cultural sphere of activity, there is a hope of bet-

and  windmills  are  being  built  on  both  sides. 

ter access to information and a minimisation of 

But there is certainly room for hope that one 

thresholds and barriers.

day  the  consensus  will  be  broad  enough  to 

build windmills together, or — to be coherent 

Another  area  of  discussion,  albeit  one  that  is 

with  the  current  potentials  —  entire  wind-

not a focus of attention, is free access to infor-

farms.

mation  held  by  public  authorities  and  similar 

publicly  funded  bodies.  The  demand  for  Open 

Access seems to many to be incomplete while 

information not subject to data-protection con-

straints,  such  as  geographical,  geological  or 

climatological data held by ministries or planning 

and environmental authorities, is also not made 

freely  available  to  the  public  and  therefore  to 

research. In archives, museums and other cul-

tural  heritage  institutions,  the  debate  on  Open 

Access will doubtlessly intensify.

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Chapter•4

Political Perspectives

Open Access in Higher Education, Science and Scholarship

Open Access in the Natural Sciences 
By Wolfgang Voges, Max Planck Institute for Extraterrestrial Physics

Owing  to  the  large  number  of  disciplines  and 

been deposited there, and the much discussed 

the  extremely  varied  ways  of  handling  scien-

problem of quality control also seems to have 

tific  knowledge,  the  willingness  of  scientists 

been solved satisfactorily on this server.

to  grant  Open  Access  to  research  results  is 

not  uniform.  The  arguments  for  and  against 

Particularly  in  the  field  of  astronomy,  every 

the Open Access movement are complex and 

10-15  years  a  new  generation  of  instruments 

sometimes controversial. Therefore a descrip-

provides  more  detailed  data,  permitting  new 

tion  and  evaluation  granting  every  aspect  of 

approaches  and  insights.  This  rapid  turnover 

the argument the attention it deserves cannot 

causes  ‘old’  data  to  lose  some  of  their  value. 

be given in this brief contribution. For example, 

Their short lifespan requires research results to 

there are several fields where commercial con-

be  published  quickly,  to  be  freely  accessible, 

siderations  regarding  inventions  and  patent 

and to be speedily discussed.

rights  play  such  a  large  role  that  we  cannot 

expect  cost-free  access  to  research  results 

In my opinion, it is imperative to apply the Open 

and data, either now or in the future.

Access philosophy not just to publications but 

also to primary data. This includes, for ex ample, 

I  will  limit  myself  to  a  rough  description  of 

the  provision  of  tools  for  data  analysis,  data 

the  situation  in  the  fields  of  astronomy  and 

mining  and  for  the  presentation  of  data  and 

astrophysics in which a differentiated but pre-

results. However, the willingness to make these 

dominantly  positive  attitude  towards  Open 

data  available  at  an  early  stage  varies.  While 

Access prevails. Research results in publications 

scientists  involved  in  space  research  have 

are generally handled quite liberally. Scientists 

always ensured the early availability and long-

wish to have their findings disseminated quickly 

term safeguarding of their recorded data, this is 

and widely in order to allow global discussion 

not yet the case for earth-bound observations. 

and thus growth in knowledge. Electronic dis-

A  frequent  line  of  argument  is  that  financial 

tribution  and  availability  lend  themselves  to 

means are only provided for the science itself 

this objective. In many areas of physics it has 

and  not  for  services  such  as  archiving  data. 

been possible for years to make new publica-

The solution here is to change the funders’ way 

tions awaiting peer review available for free on 

of thinking, and to accustom scientists with the 

an  electronic  pre-print  server  (http://lanl.arXiv.

need to take into account the cost of publish-

org). So far, more than 415 000 e-prints have 

ing data when planning grant applications. 

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Political Perspectives

A much-discussed issue in this context is the 

guarantee  their  survival.  Together  with  the 

necessity for a certain ‘embargo period’ d uring 

scientists, the challenge should be accepted 

which  scientists  would  have  the  exclusive 

and  new  forms  of  publication  should  be 

right  to  evaluate  ‘their’  data.  Many  publishers 

developed.

incorporate  this  type  of  embargo  period  into 

copyright agreements. In this context, scientists 

would  favour  a  standardised  and  uncompli-

cated form that they can fill out quickly.

There  are  already  some  examples  of  excel-

lent  Open  Access  journals  that  can  boast 

considerable 

impact 

factors 

(e.g.  New 

Journal  of  Physics,  Journal  of  Cosmology 

and  Astroparticle  Physics,  as  well  as  the 

Open  Access  journals  of  the  European 

Geosciences  Union).  However,  their  accep-

tance amongst scientists is still relatively low. 

At the moment, traditional methods of publi-

cation are still preferred, since some fear that 

otherwise their colleagues would not find and 

quote  their  article.  There  is  still  much  con-

vincing to be done here and incentives have 

to be created to promote the submission of 

works  to  Open  Access  journals.  Thus  the 

Max  Planck  Society  takes  responsibility  for 

the fees required to publish work in the New 

Journal  of  Physics.  Traditional  publishers 

should  also  examine  the  various  opportuni-

ties created by the electronic age in order to 

introduce future products to the market that 

will  appeal  to  the  scientific  community  and 

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Chapter•4

Political Perspectives

Open Access in the Humanities
By Gudrun Gersmann, History Department, University of Cologne

Even though dealing with electronic publication 

treated  as  irrelevant.  The  final  worry  cited  by 

is  now  a  normal  part  of  historians’  or  literary 

scholars  in  the  humanities  is  that  if  they  were 

scholars’  teaching  and  research  work,  the 

to participate in the ‘fun culture’ of the Internet, 

debate on Open Access in the humanities has 

they would run the risk of losing respectability 

not  met  with  much  response  so  far.  Unlike  in 

amongst their peers in the field.

the  STM  disciplines  (science,  technology  and 

medicine),  only  a  few  representatives  of  the 

Notwithstanding all these still existing reserva-

humanities  know  in  detail  what  Open  Access 

tions, electronic publications have been able to 

means, let alone comply with the call to archive 

gain a foothold in the humanities over the past 

texts on university servers or discipline-specific 

few  years.  This  is  true  for  example  regarding 

repositories. The current attitude towards elec-

the  online  review  journals  created  in  the  past 

tronic forms of publication is still predominantly 

10  years,  which  have  become  a  permanent 

passive. There are a variety of reasons for this. 

fixture of expert discussions, even though the 

Often  it  is  simply  due  to  ignorance  regarding 

‘im portant  monographs’  continue  to  be  the 

the creation and stability of digital publications. 

main form of publication in history and literary 

It seems that there is a widespread, albeit false, 

studies.

notion that electronic publishing requires such a 

high degree of personal data-processing skills 

Besides the quality of their book reviews, online 

that  a  layperson  is  not  capable  of  ha ndling  it. 

review instruments such as sehepunkte (www.

Another  presumption  frequently  cited  is  that 

sehepunkte.de), which publishes approximately 

electronic publications are per se transient and 

100  reviews  from  the  fields  of  history  and  art 

peripheral  since  their  long-term  archiving  can 

history, or the review service of the Berlin mail-

not  be  guaranteed.  A  connected  argument 

ing list H Soz u Kult (http://hsozkult.geschichte.

often  used  is  that  large  and  important  expert 

hu-berlin.de/)  have  successfully  established 

contributions  can  naturally  only  be  presented 

themselves  in  their  field,  a  main  reason  being 

in books: ‘What are we supposed to do? Read 

that they can react faster to new publications 

Hegel on our computer screens? That’s out of 

than printed academic journals.

the  question!’  The  fact  that  such  statements 

combine two completely unrelated issues, i.e. 

Without  the  support  of  large  funding  organi-

the question of the medium’s material form and 

sations  such  as  the  DFG  (German  Research 

the question of the quality of scholarly texts, is 

Foundation) or ministries, Open Access services 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

82

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Political Perspectives

in  the  humanities  would  be  inconceivable. 

able to escape the triumphal march of the new 

informal forms of communication or p ublishing 

known  as  ‘blogs’  or  ‘wikis’,  which  include 

experiments with collaborative authorship.

Thus,  thanks  to  the  North-Rhine  Westphalian 
initiative  ‘Digital  Peer  Publishing’(55),  10  online 
journals  in  different  fields  of  expertise  have 

been created since 2004, including zeitenblicke 

(www.zeitenblicke.de), a history and art-history 

online journal with a wide readership address-

ing  a  specific  research  focus  in  every  edition. 

An important and forward-looking factor for the 

dissemination of the concept of Open Access is 

doubtless the commitment of learned so cieties: 

unlike  those  societies  that  pay  relatively  non-

committal  lip-service  to  Open  Access,  the 

German  Historians’  Association  (Verband  der 

Historiker  und  Historikerinnen  Deutschlands, 

VHD)  set  up  a  subcommittee  for  the  area  of 

‘electronic  publications  and  specialist  infor-

mation’  at  the  historians’  annual  congress  in 

Constance in September 2006. The subcom-

mittee  has  the  mandate  to  develop  strategies 

to  strengthen  integration  of  the  new  forms  of 

publication into their field of studies.

This is a central concern, particularly with regard 

to the next generation of academics, who will 

definitely  benefit  from  the  Internet’s  multiply-

ing effect, since every manuscript reproduced 

electronically by definition has a greater visibility 

than  an  article  published  in  little-read  journals 

that  may  seem  somewhat  old-fashioned.  In 

the long term, even the humanities will not be 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

55  http://www.dipp.nrw.de/journals/.

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Chapter•4

Political Perspectives

Open Access in the Social Sciences
By Ulrich Herb, Saarland University and State Library 

The social sciences can only be vaguely defined: 

This  lack  of  knowledge  stands  in  contrast  to 

for  example,  the  Brockhaus  encyclopaedia 

the  numerous  services  that  are  available:  in 

provides  a  broader  definition  than  the  clas-

Germany, the institutional Open Access server 

sification  adopted  by  DFG  (German  Research 

Foundation). In addition, some subjects can be 

classified  as  social  sciences,  natural  sciences 

and humaniti es. This conglomerate of subjects 

coverage  for  authors  at  the  local  university  is 
exemplary(60). However, fewer than 20% of the 
documents on these servers(61) come from the 
social  sciences.  According  to  a  DFG  study, 

explains why there are different attitudes towards 

social  scientists,  more  than  other  acade mics, 

Open Access within the social sciences.

request  discipline-based  servers.  Already 

However,  a  DFG  study  published  in  2005(56) 
provides  some  insight:  compared  to  other 

ex isting  examples  in  the  social  sciences  are 

the Munich Personal RePEc Archive MPRA of 

the  Ludwig-Maximilians-Universität  of  Munich 

disciplines,  German  social  scientists  have 

for economists (http://mpra.ub.uni-muenchen.

scarce  knowledge  of  Open  Access,  and  of 
relevant  initiatives  and  declarations(57).  They 
have  less  knowledge  about  relevant  Open 

journals  and 

Access 
they  almost  never 
publish  in  these  kinds  of  journals(58).  These 
just  evident  with 
characteristics  are  not 

de), and PsyDok, the psychology server of the 

Saarland  University  and  State  Library  (http://

psydok.sulb.uni-saarland.de).  Similar  servers 

are being set up with the Social Science Open 

Access  Repository  (SSOAR)  at  the  Centre  for 

Digital Systems (CediS) of the Freie Universität 

respect to first publications with Open Access 

Berlin  in  cooperation  with  the  Social  Science 

publishers or in Open Access journals; German 

Information  Centre  (IZ  Sozialwissenschaften) 

social scientists also rarely use Open Access 

in  Bonn,  or  Pedagogical  Documents  (PeDoc) 

servers  for  second  publications  of  published 

by 

the  German 

Institute 

for 

International 

documents  or  of  preprints. 

International 
these  findings(59):  social 
scientists  publish  work  on  Open  Access 

inquiries  confirm 

Pedagogical Research (DIPF).

Of more than 2 600 journals listed in the Directory 

servers  less  often  than  is  average  in  other 

of  Open  Access  Journals  (DOAJ:  http://www.

disciplines and are often not familiar with any 

doaj.org), approximately 23% can be attribut ed 

Open  Access  journals  in  which  they  could 

to  the  social  sciences,  and  fewer  than  20  are 

publish their work.

published  in  Germany.  The  frontrunner  is  the 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

56  Deutsche Forschungsgemeinschaft, Publikationsstrategien im Wandel? Ergebnisse einer Umfrage zum Publikations- und Rezeptionsverhalten unter beson-

derer Berücksichtigung von Open Access, Bonn 2005.

57  By social sciences we mean sociology, social research, political sciences, education, psychology, economics, and law, and in the extended sense media 

studies, ethnology and anthropology.

58  This may be due to the lack of established publishing houses like the Public Library of Science (PloS) or BioMed Central, which in other faculties take an 

exemplary approach in regard to Open Access.

59  Swan, Alma & Brown, Sheridan, Open Access self-archiving: An author study, Truro (UK) 2005.
60  Van Westrienen, Gerard & Lynch, Clifford, ‘Academic Institutional Repositories. Deployment Status in 13 Nations as of Mid 2005’, in: D-Lib Magazine 11 

84

(2005), http://www.dlib.org/dlib/september05/westrienen/09westrienen.html.

61  This statement is based on the server list of the Deutsche Initiative für Netzwerkinformation DINI e.V. (http://www.dini.de).

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Political Perspectives

trilingual 

journal  Forum:  Qualitative  Social 

Research FQS (http://www.qualitative-research.

net/fqs/),  which  has  already  been  accessed 

some  16  million  times.  It  is  probably  the  most 

important  online  journal  for  qualitative  social 

research.  Others  to  be  mentioned  are  Survey 

Research  Methods  (http://surveymethods.org), 

the  psychology  journal  Brains,  Minds  &  Media 

(http://www.brains-minds-media.org)  and  the 

education  journal  Bildungsforschung  (http://

www.bildungsforschung.org). 

The  acceptance  of  Open  Access  depends  on 

its  recognition  within  a  specific  area  of  exper-

tise.  There  are  some  positive  signals  here:  the 

German  Sociological  Association  (Deutsche 

Gesellschaft  für  Soziologie,  DGS),  the  German 

Educational  Research  Association  (Deutsche 

Gesellschaft 

für 

Erziehungswissenschaft, 

DGfE)  and  the  German  Psychological  Society 

(Deutsche Gesellschaft für Psychologie, DGPs) 

are  represented  on  the  advisory  committee 

of  the  Information  Platform  on  Open  Access. 

(http://www.open-access.net), which addresses 

scientists and scholars, universities and learned 

societies.  The  DGPs  even  makes  recommen-

dations  regarding  Open  Access.  As  the  DFG 

study  shows,  this  is  the  right  way  to  go:  the 

more knowledge of and experience with Open 

Access there is, the fewer the reservations.

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Chapter•4

Political Perspectives

Open Access within the German Research Foundation
By Johannes Fournier, German Research Foundation

Funding 

organisations 

such 

as 

the 

German  Research  Foundation 

(Deutsche 

Forschungsgemeinschaft,  DFG)  have  a  natural 

Information•and•
awareness-raising• •••••••

interest in the widest possible dissemination of 

In order to provide comprehensive information 

the  research  results  obtained  with  their  finan-

for  scientists  and  scholars  on  how  they  can 

cial  assistance  so  that  these  results  can  form 

make free access to research results possible, 

the  basis  for  further  insights.  As  a  result,  the 

the DFG is supporting the construction of an 

DFG, as one of the first signatories to the ‘Berlin 

information platform http://www.open-access.

Declaration  on  Open  Access  to  Knowledge  in 

net. On this platform, contents are presented 

the Sciences and Humanities’ supports the prin-

by  subject,  academic  discipline,  and  role 

ciple  of  Open  Access  and,  after  conducting  a 

(academics,  learned  societies,  infrastructure 

representative  survey  of  funded  scientists  and 
scholars from all disciplines(62), was also the first 
German  research  organisation  to  put  free-of-

service  providers,  university  administrations). 

Closely  intermeshed  with  this  activity  is  the 

DFG-funded  project  ‘Open  Access  Policies 

charge access to the results of publicly funded 

–  Was  gestatten  deutsche  Verlage  ihren 

research on a legal footing at the start of 2006. 

The guidelines for the use of funds, which apply 

to all funds approved by the DFG, explicitly call 

Autoren?’ (What do German publishers allow 
their authors to do?’)(64), which discusses the 
conditions  on  which  academic  publishers 

on recipients to make their research results avail-

allow articles in respected journals to be addi-

able free of charge either by publishing them in 

tionally  made  available  via  repositories.  This 

peer-reviewed Open Access journals or by pla-

information, which is also included in an inter-

cing  them  in  repositories.  In  addition,  the  DFG 

national database, makes it clear at the same 

can make a lump-sum available for each project 

time that the ‘green road’ in no way reduces 

to help defray the cost of publication in an Open 
Access journal(63). As legal and material precon-
ditions are not sufficient to usher in a culture of 

the high quality of the academic work desired 

by  the  DFG,  as  the  articles  made  accessible 

via repositories have already appeared in trad-

Open Access, however, this article shall outline 

itional journals.

the activities which the DFG supports in order to 

make Open Access a reality.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

62  Deutsche  Forschungsgemeinschaft,  Publication  Strategies  in Transformation?  Results  of  a  study  on  publishing  habits  and  information  acquisition  with 

regard to Open Access, Bonn, 2005, http://www.dfg.de/en/dfg_profile/facts_and_figures/statistical_reporting/open_access/index.html.

63  see Guidelines for the Use of Funds (DFG-form 2.012e): 5 (publication of research findings); Research Grants. Guidelines and Proposal Preparation Instruc-

tions (DFG-form 1.02e): 6s. (publication expenses).

64  For more details see http://www.ub.uni-stuttgart.de/wirueberuns/projekte/oa-policies/.

86

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Political Perspectives

Organisation•of•a•
publication•infrastructure••••

Integration•of•disciplinary•
communities•••••••••••••

The  DFG  has  supported  the  organisation  of 

Different  academic  fields  have  different 

Open Access journals in various academic fields 

practices  with  regard  to  publication.  These 

(German  Medical  Science,  Forum  Qualitative 

differences  should  also  be  respected  when  it 

Social  Research,  sehepunkte)  since  the  mid-

comes to Open Access: for biologists, what is 

1990s.  The  journal  economics  (http://www.

important  is  the  quickest  possible  access  to 

economics-ejournal.org/), 

recently 

launched 

an  article  in  a  journal;  for  historians,  the  con-

with  DFG  funds,  introduces  open  peer  review 

veniently accessible electronic edition; for earth 

as a quality criterion which is closely linked with 

scientists,  the  verifiability  of  an  article  through 

Open  Access,  and  in  addition  intends  to  pro-

access  to  the  climate  data  on  which  it  is 

vide links from the articles to their primary data. 

based. In the debate with different disciplines, 

For the ‘golden road’, those projects which aim 

a  better  definition  must  therefore  be  reached 

to transform journals currently subject to licence 

of where and in what form Open Access is of 

into Open Access journals would be of particu-

particular  relevance.  The  DFG  thus  expects 

lar interest in the future. In this way, the existing 

important impetus for the future shaping of this 

reputation of a journal can be transferred to the 

field from the advisory committee of the above 

new form of publication.

mentioned Open Access information platform, 

which includes representatives of various aca-

In order to ensure the user-friendliness of pub-

demic societies.

lications  accessible  via  repositories  through 

full-text searches and subject-based browsing, 

the DFG supports the organisation of a network 

of  certified  repositories:  this  is  intended  as  a 

German  contribution  to  a  European  research 

infrastructure.

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87

Chapter•4

Political Perspectives

Open Access and the German Academic System: Common 
Perspectives of the Alliance of Research Organisations
By the Working Group of the Open Access Commissioners of the Alliance of Research Organisations 

An important step in implementing the principle 

of  Open  Access  in  Germany  was  the  ‘Berlin 

Approaching•academics••••

Declaration’  which  was  adopted  following  a 

Scientists  and  scholars,  as  the  producers  of 

conference hosted by the Max Planck Society 

high-quality information, are central to the Open 

on 22 October 2003. Amongst the first to sign 

Access debate. Only if the best publications are 

were the presidents of the seven large German 

also freely accessible via the Internet, will they 

academic organisations: the German Rectors’ 

be able to achieve their full potential. Therefore, 

Conference 

(Hochschulrektorenkonferenz), 

scientists  and  scholars  should  not  just  be 

the  German  Research  Foundation  (Deutsche 

offered  an  Open  Access  infrastructure  which 

Forschungsgemeinschaft,  DFG),  the  German 

they can use to publish their research results; 

Science  Council  (Wissenschaftsrat),  the  Max 

they should also be informed about their tech-

Planck  Society  (Max-Planck-Gesellschaft),  the 

nical,  organisational  and  legal  options.  Higher 

Fraunhofer  Society  (Fraunhofer-Gesellschaft), 

education  institutions,  research  organisations 

the  Helmholtz  Association 

(Helmholtz-

and  research  sponsors  should  create  incen-

Gemeinschaft)  and  the  Leibniz  Association 

tives  to  make  Open  Access  publishing  even 

(Leibniz-Gemeinschaft).

more attractive, and ascertain whether and to 

what extent they can obligate their s cientists to 

A  joint  working  group  of  these  seven  alliance 

use this form of publication.

organisations regularly discusses the prospects 

of Open Access in the individual organisations 

and in the German academic world. The degree 

of implementation of the Open Access principle 

varies  depending  on  the  structure  and  tasks 

Involving•scholarly•
associations•••••••••••••

of  the  organisations.  They  all  have  the  com-

Different areas of science and scholarship have 

mon goal of supporting the transition to Open 

different  publishing  habits  as  well  as  different 

Access  and  allowing  a  productive  handling  of 

methods  of  assessing  research  contributions. 

openly  accessible  research  results.  A  num-

By  including  scholarly  societies  and  associ-

ber  of  measures  are  supposed  to  contribute 

ations in the development of an Open Access 

towards achieving a comprehensive and freely 

publication  culture,  these  differences  can  be 

ac cessible representation of knowledge. 

accommodated.

88

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Political Perspectives

Recognising•publication•costs•
as•research•costs•••••••••

a piece of academic research with the actual 

publication in a multitude of ways. This makes 

discovery  processes  easier  to  understand. 

One  of  the  prerequisites  for  Open  Access  is 

At  the  same  time,  the  integration  of  primary 

the  coverage  of  publication  costs.  Publication 

sources  into  publications  makes  a  contribu-

costs  are  research  costs  and  thus  must  be 

tion to quality assurance in the spirit of good 

firmly anchored in the budget of every research 

academic practice.

en deavour.  These  means  should  preferably 

be  used  for  the  authors’  fees  of  Open  Access 

journals or hybrid publications. By paying a publi-

cation fee they make the contributions that would 

Identifying•models• •••••••

ordi narily require a licence, freely accessible. 

It  has  long  been  routine  for  many  scientists 

Ensuring•quality••••••••••

to  make  their  own  research  results  available 

as  Open  Access  publications.  As  the  Dutch 

‘Cream  of  Science’  project  has  shown,  an 

information platform giving free access to pub-

Since  Open  Access  publications  are  acces-

lications by leading German scientists such as 

sible for every Internet user, they are, in theory, 

Nobel Prize and Leibniz Prize winners could be 

subject  to  critical  assessment  of  the  world-

used for targeted advertising of this new form 

wide  academic  community.  Exploiting  new 

of publication.

forms of review, such as the open peer review, 

offers a means of sustained quality assurance. 

Open Access journals in particular should take 

advantage  of  this  in  order  to  increase  their 

The•legal•base•••••••••••

acceptance in the community.

For  publications  created  within  the  context  of 

Network•publishing• ••••••

teaching and research activity largely financed 

with  public  funds,  a  simple,  non-commercial 

right  of  use  or  exploitation  should  be  granted 

to  academics  and  their  institutions.  This  will 

The  Internet  offers  the  possibility  of  net-

ensure that research results can be viewed, for 

working  the  data  and  sources  that  underlie 

the most part, without obstacles.

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89

Chapter•4

Political Perspectives

Supporting•transformation•
processes• •••••••••••••

The  mere  distribution  of  research  results  at 

minimal  cost  via  the  Internet  poses  a  par-

ticular challenge for academic publishing. The 

only  possible  reaction  to  this  is  the  creative 

design  of  the  academic  information  space: 

discipline-specific  value-added  services  must 

be developed on the basis of freely accessible 

publications in order to support work with digi-

tal information in an efficient manner.

Korinna Bauer, Helmholtz Association  

Michael Erben-Russ, Fraunhofer Society  

Johannes Fournier, German Research 

Foundation

Ralf Schimmer, Max Planck Society  

Elmar Schultz, German Rectors’ Conference  

Robert Steegers, Leibniz Association

90

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Political Perspectives

Libraries and Open Access
By Claudia Lux, President of the International Federation of Library Associations and Institutions

Libraries  aim  to  ensure  free  access  to  global 

campus  as  long  as  they  pay  the  licence  fee 

knowledge  for  all  citizens,  and  particularly  to 

re gularly.  Readers  are  allowed  to  ‘borrow’ 

education,  science  and  scholarship.  In  order 

e-books  by  downloading  them  from  the  Web. 

to  achieve  this  they  obtain  a  selection  of  the 

They can then be used for a limited amount of 

academically  relevant  publications  and  store 

time until they automatically become unusable.

them  for  future  use  and  unrestricted  access. 

This selection reflects the plurality and diversity 

Students  want  to  be  able  to  electronically 

of  science,  scholarship  and  society,  and  is  in 

access  academic  literature  that  they  cannot 

accordance with the specific needs of its cur-

obtain on the spot, or they want to receive it via 

rent and future users.

email.  The  quick  and  efficient  delivery  system 

of  libraries  for  printed  works  will  be  severely 

Traditional  free  access  to  printed  books:  The 

impaired by the impending copyright for elec-

library purchases the book with a one-off pay-

tronic  publications.  Libraries  want  to  see  a 

ment,  and  the  reader  can  then  borrow  it  for 

change in this area: it has to become possible 

free and as many times as desired. The library 

to  make  electronic  publications  available  to 

stores it for further use. This is economical and 

users in the same way as printed works are.

effective. Other printed materials such as arti-

cles  in  academic  journals  are  used  within  the 

Licences  have  suddenly  become  vastly  more 

library, or copies are made for research work at 

expensive. Many university libraries are thus no 

home. If students and scientists need specific 

longer able to obtain them to a sufficient degree 

literature it can be ordered from other li braries 

in order to supply their scientists and scholars. 

through  electronic  catalogues  with  Internet 

Some licences are not even offered to them in 

library tickets. All in all, a simple system.

the  first  place  because  the  publisher  has  set 

up  an  exclusive,  fee-based  direct  system.  A 

This  has  changed.  Besides  printed  publica-

breakthrough  for  selected  academic  literature 

tions,  libraries  now  buy  content  in  the  form  of 

only has been made through national licences, 

e-books and electronic journals. In contrast to 

which are free of charge for academic institu-

printed books, these may not be stored in the 

tions, and are obtained with the support of the 

library permanently and made available to users 

German  Research  Foundation.  However,  they 

over  and  over  again.  Libraries  can  only  pro-

cover  nowhere  near  all  of  the  relevant  areas 

vide access within the library or on a university 

and  publications.  Many  important  electronic 

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91

Chapter•4

Political Perspectives

full-text  databases  for  the  natural  sciences, 

and future. Libraries guarantee this access per-

technology and medicine are extremely expen-

manently through electronic long-term archiving 

sive and so scientists with a small budget can 

and help users find and access these materials.

no longer afford access to current knowledge.

Open Access allows libraries to make academ-

It  is  beyond  comprehension  that  access  to 

ically relevant publications available in a lasting 

publicly-funded  research  results 

is  re-pur-

manner and at any time. Libraries are working 

chased  with  public  funds.  Libraries  no  longer 

towards  this  development.  It  is  their  contribu-

want access to the scientific results of their own 

tion  to  education,  research  and  science  and 

university through expensive licences: they are 

their way of ensuring that everyone can partici-

demanding Open Access to these works. They 

pate in global knowledge.

also  want  to  store  them  for  permanent  avail-

ability. For this reason they are setting up their 

own digital repositories in their universities and 

institutes. The result is a growing collection of 

electronic  academic  publications  by  univer-

sity members, which are enriched with further 

Open Access materials.

From both a German and an international per-

spective,  Open  Access  is  necessary  in  order 

to  overcome  the  digital  divide  in  our  soci-

ety.  The  December  2003  declaration  of  the 

International Federation of Library Associations 

and  Institutions  (IFLA)  on  Open  Access  (IFLA 

Statement  on  Open  Access 

to  Scholarly 

Literature and Research Documentation http://

www.ifla.org/V/cdoc/open-access04.html) 

points to the significance of the global network of 

services provided by libraries to ensure access 

to  scientific  literature  from  the  past,  present 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

92

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Political Perspectives

Publishers and Open Access

Subscription-based Journal Publishing
By Robert Campbell & Edward Wates, Wiley-Blackwell(65)

Introduction•••••••••••••

get their journal at a low rate. Some publishers 

also  operate  schemes  whereby  an  author  can 

Annual global revenue for STM journals is about 

pay for Open Access, which is another potential 

$6.5  billion  although  estimates  vary.  There  are 

source of revenue although as yet insignificant in 

about 25 000 peer reviewed journals produced 

relation to subscription revenues.

by at least 2 000 publishers, with around 65% of 

the market held by the top 20 publishers. Around 

The publishing community has invested heavily 

1.6 million peer reviewed articles were published 

over the last decade in the online delivery of jour-

in  2006  and  the  number  has  risen  steadily  by 

nal content and linked with new pricing models 

3-4%  per  annum  for  decades  in  line  with  the 

(including the so-called ‘big deal’) has provided 

growth in the research community. It is possible, 

more  access  to  more  articles  at  a  much  lower 

however, that we shall see this annual increase 

unit cost. However, while print runs have fallen 

go up to around 4-5% driven by the rising global 

in recent years, most journals are still issued in 

spend on R & D.

both  print  and  electronic  format.  As  a  result  of 

this, and because of the high cost of developing 

Unfortunately although governments are spend-

electronic systems, there has not been a reduc-

ing more on research, scholarly communication 

tion  in  overall  subscription  prices,  despite  the 

is  unlikely  to  be  funded  so  generously.  Many 

substantial rise in overall access.

European  universities,  for  example,  have  seen 

spending on libraries fall from about 4% of total 

The dramatic development of the research jour-

expenditure to around 3% since 1980. 

nal and access to its content can be seen in the 

example below.

Most of the $6.5 billion of journal income comes 

from institutional subscribers.  Other sources of 

revenue  are  advertising,  reprints  of  articles  and 

sponsored supplements (particularly in medicine). 

There is also revenue from personal subscriptions 

(including members of societies), although this is 

in  decline  largely  as  a  result  of  the  almost  uni-

The•rise,•fall•and•rise•in•
circulation•of•a•research•
journal• •••••••••••••••

versal availability of journals through institutional 

The  graph  (Figure  1)  shows  the  circulation  to 

libraries.  Some members only join a society to 

libraries  of  a  specialised  research  journal  in 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

65 

 The views expressed are those of the authors and may not under any cirumstances be regarded as stating an official position of Wiley-Blackwell.

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Chapter•4

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whole  organism  biology  launched  in  1972. 

there  followed  a  complete  revolution  in  journal 

Growth in circulation was steady until a peak in 

production.  Once 

these  systems  were 

in 

1986 then like most other journals and despite 

place  publishers  could  rethink  their  traditional 

the efforts of two excellent editors the circula-

pricing  model  as  an  extra  user  could  be 

tion started to slip.

supplied  at  minimal  extra  cost,  rather  than  for 

the  considerable  additional  costs  of  printing, 

There was pressure from researchers to publish 

binding, materials and postal distribution.

more pages with the result that to pay for these 

and compensate for loss of sub scribers the sub-

The  journal  in  Figure  1  is  still  supplied  in  hard 

scription price went up by more than inflation. By 

copy  to  subscribers  that  want  it  in  this  way 

the early 1990s the future of the print-on-paper 

but by 2006 35% of the subscribers opted for 

research journal looked grim and understandably 

e-only; this figure will be at least 65% by 2010. 

the  library  community  was  being  increasingly 

And  the  subscribers  are  only  the  core  circula-

critical of the ever higher prices and the difficulty 

tion.  Through  the  ‘big  deal’,  e.g.  licences  to 

in maintaining holdings.

consortia  for  access  to  the  publisher’s  whole 

list  and  arrangements  with  organisations  that 

Then  the  first  online  delivery  systems  were 

provide  access  at  reduced  rates  in  develop-

launched  in  the  late  1990s  and  behind  these 

ing  countries,  the  total  circulation  is  lifted  to 

7000

6000

5000

4000

3000

2000

1000

0
1970

1975

1980

1985

1990

1995

2000

2005

2010

Figure 1: the rise, fall and rise in circulation of a research journal

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

94

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Political Perspectives

around  6  000.  Almost  universal  access  has 

other hand, the subscription-based journal out-

been achieved without risking the sustainability 

lined above can afford to raise its rejection rate 

of the publication. Speed of publication (helped 

because it is financially viable.

by an Electronic Editorial Office system for run-

ning peer review over the Internet) has improved 

The other route to Open Access – the so-called 

along with the Impact Factor which was up by 

green road – is through self-archiving of articles 

26%  in  2005.  Submission  of  articles  in  2006 

published  in  subscription-based  journals.  It  is 

was 35% up on 2005 necessitating a rejection 

proposed  that  this  would  not  lead  to  librarians 

rate of over 70% while submissions continued 

cancelling  subscriptions  even  though  the  con-

to climb in 2007 (up 11%).

Sustainability••••••••••••

tent is freely available on Institutional and Subject 

Repositories  (IRs  and  SRs).  Unfortunately  this 

model  is  unlikely  to  be  sustainable  although  it 
may work in some subjects, e.g. astronomy(66). 
A recent survey has shown, not surprisingly, that 

This remains a major problem for Open Access. 

Hardly any of the pay-to-publish Open Access 

librarians are likely to cancel subscriptions if self-
archiving becomes commonplace(67).

journals (the ‘golden road’ to Open Access) are 

making  a  profit  or  even  breaking  even.    The 

The  journal  is  not  just  about  dissemina-

likelihood  is  that  some  will  be  maintained  by 

tion,  however.    Another  critical  function  is  to 

enthusiasts (but for how long?), some will cease 

establish  a  permanent  record,  ‘the  minutes 

and  some  will  raise  charges  as  we  are  see-

of  science’.  In  the  digital  era,  this  requires 

ing  already.  Are  authors  taking  risks  in  placing 

the  publisher  to  develop  sophisticated  tech-

articles with some of these exclusively pay-to-

niques for pre serving metadata (such as dates 

publish  journals?  Will  the  standard  of  some 

of  submission,  acceptance  and  publication) 

of  these  titles  become  compromised  as  they 

as  well  as  secure  content  delivery  platforms. 

struggle  to  survive?  There  are  even  examples 

Due to the facility with which publicly available 

of  companies  exploiting  the  pay-to-publish 

electronic  files  can  be  manipulated,  both  the 

model  by  charging  authors  for  Open  Access 

golden and green roads to Open Access could 

publication  but  without  offering  any  of  the  tra-

undermine  this  –  a  major  flaw  which  remains 

ditional functions of a publisher that contribute 

ignored by the Open Access lobby.

to maintaining the ‘minutes of science’. On the 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

66 
67 

 see Henneken, E.A. et al., ‘E-prints and journal articles in astronomy: a productive co-existence’, in: Learned Publishing 20 (2007), 16-22.
 Beckett, Chris & Inger, Simon, ‘Self-Archiving and Journal Subscriptions: Co-existence or Competition?’, PRC Summary Papers 2 (2007).

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Chapter•4

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With so many versions of an article potentially 

available, there exists a problem of version con-

Conclusions•••••••••••••

trol.  With many journals the author can post their 

The  journal  publishing  system  is  a  huge  global 

version of the accepted article after publication. 

enterprise  handling  more  articles  every  year  in 

This may well not include corrections made by 

line with the growth in research funding.

the  publisher’s  copy-editor  or  changes  made 

by  the  author  in  proof.    A  recent  paper  gives 
details  of  the  many  albeit  minor  differences(68). 
The authors of this article used the final version 

The  system  is  robust  and  operates  at  high 

stand ards delivering wider access at lower unit 

cost  as  a  result  of  huge  investment  in  techno-

held on the publication system (what might be 

logy and new pricing models.

called  the  ‘version  of  record’)  and  compared 

it  with  the  author’s  original  MS  as  accepted 

‘Author pays’ Open Access is one pricing model 

but  before  any  copy-editing  or  proof  correc-

and  should  be  included  as  a  viable  part  of  the 

tion. It was shown that most amendments that 

system as funders accept the charges required 

occurred as a result of the publication process 

to sustain high standards.

affected  the  accuracy  of  references.  Without 

such attention to detail, the ability to link out to 

The green road to Open Access (self-archiving) 

the  original  source  of  the  reference  would  be 

could undermine the system and endanger the 

substantially impaired.

‘minutes  of  science’  unless  funders  accept  an 

embargo on self-archiving to maintain economic 

Clearly  publishers  need  to  work  with  research 

viability  and  work  with  publishers  to  establish 

funders  and  those  running  IRs  and  SRs  to 

international standards for archiving.

establish international standards with appropri-

ate metadata indicating whether the author has 

archived a ‘working paper’ or the final published 

version.  With  the  former  a  link  should  be  pro-

vided to the publisher’s site for the final version, 

‘the minutes of science’.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

68  Wates, Edward & Campbell, Robert, ‘Author’s version vs publisher’s version:  an analysis of the copy-editing function’, in: Learned Publishing, 20 (2007), 

121-129.

96

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Political Perspectives

Hamburg University Press and Open Access
By Gabriele Beger & Isabella Meinecke, Hamburg University Press

The•Open•Access•publisher•
Hamburg•University•Press•••

On  22  October  2003,  the  German  research 

with the same care and academic honesty as 

traditional  publishers.  It  follows  the  ‘golden 

road’ of Open Access publishing.

and academic organisations signed the ‘Berlin 

The rights-model covers contracts with a mini-

Declaration  on  Open  Access  to  Knowledge 

mum runtime of three years, and an automatic 

in  the  Sciences  and  Humanities’  with  the 

renewal is possible. Open Access publishing is 

goal  of  guaranteeing  the  global  exchange  of 

obligatory, and creative commons licences for 

kn owledge  which  science  and  scholarship 

the online version are guaranteed if requested 

deserve,  by  strengthening  and  supporting 

by  the  author.  All  authors  have  the  right  to 

the  Open  Access  movement.  The  University 

publish  their  work  elsewhere  at  the  same 

of  Hamburg  had  already  created  the  Open 

time. The financing model used is the ‘author 

Access  publisher  Hamburg  University  Press 

pays’ model, with ‘author’ referring not just to 

(http://hup.sub.uni-hamburg.de)  at  the  begin-

the  author  but  also  to  his  or  her  institution  or 

ning of 2002. After it had been successfully set 

funding  body.  Payment  is  required  exclusively 

up,  it  was  handed  over  to  the  Hamburg  Carl 

to cover the cost of services connected to the 

von  Ossietzky  State  and  University  Library 

publication process.

(Staats-  und  Universitätsbibliothek  Carl  von 

Ossietzky,  SUB)  for  regular  operation  on  1 

The  Hamburg  University  Press  of  the  SUB 

July  2006.  This  publisher’s  goal  is  to  operate 

Hamburg is a member of the German Academic 

online pub lishing in the spirit of Open Access. 

Publishers e.V. (GAP) association, as well as of 

In  addition  to  online  publications,  other  forms 

the  working  group  of  German  university  pub-

of  publications 

(print/crossmedia/CD-ROM) 

lishers, both active supporters of Open Access. 

are  also  offered.  Currently,  publications  from 

Hamburg University Press is present at relevant 

the  humanities  are  a  focal  point.  This  prima-

national and international events. In particular, it 

rily means the publication of monographs and 

publishes  work  emanating  from  the  University 

edited  volumes,  which  have  different  require-

of  Hamburg, 

the  Hamburg  state  archive 

ments from journal articles. The emphasis is on 

and 

the  Hamburgische  Wissenschaftliche 

quality (selected publications and formal quality 

Stiftung  (Hamburg  Academic  Foundation).  In 

control), and there is generally a mandatory lay-

addition,  it  cooperates  with  other  academic 

out.  The  Hamburg  University  Press  publishes 

publishers,  including  de  Gruyter.  The  goal  of 

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Chapter•4

Political Perspectives

this cooperation is to share the work involved 

This  primarily  means  the  realisation  of  and 

in order to accommodate the need for a print 

the publicity for successful and attractive pilot 

publication  by  reputable  academic  publisher 

projects. Finding strong (cooperative) partners 

and  at  the  same  time  for  an  Open  Access 

such as other publishers, academic institutions 

publication.

and libraries in order to create synergies is also 

important.  Furthermore,  a  transparent  and 

The  free  availability  of  academic  content  is 

respectable business model is crucial.

the  prerequisite  for  effective  and  efficient 

research. In this spirit, all of the large German 

The  name  of  a  university  publisher  is  auto-

academic and research institutions have com-

matically associated with traditional publishing. 

mitted themselves to Open Access in the Berlin 

University publishers have to get the message 

Declaration.  Established  publishers  are  also 

across  that  they  are  facing  the  challenges  of 

becoming  increasingly  open  to  the  changing 

the  digital  age  even  though  they  come  from 

needs of science, be it through their own Open 

a long, and, when it comes to quality, binding 

Access services (Springer), through relaxing the 

tradition.  It  is  their  task  to  live  up  to  scientific 

contracts they have with authors (‘green road’) 

demands with regard to sustainability and vis-

or  through  cooperating  with  university  institu-

ibility. In this context, it is clear that their ideal 

tions. While Open Access is recognised at the 

place  is  with  academic  libraries.  University 

academic policy-making level, it is still not used 

publishers act locally, but they have their sights 

much  by  scientists  and  scholars,  particularly 

set  on  global  ideas  and  strategies  to  make 

those working in the humanities.

the  work  of  scientists  and  scholars  globally 

Challenges•for•the•
Hamburg•University•Press•
and•an•outlook•••••••••••

Hamburg University Press will provide a prac-

tical demonstration of the advantages of Open 

Access  publishing  to  academics  on  location. 

and  publicly  accessible  and  visible,  primarily 

through  electronic  publishing.  Through  their 

proximity to academia, they share in innovative 

projects  and  forms  of  publication.  In  this  way 

they  are  also  an  ideal  field  for  experimenting 

with co operation and future-oriented academic 

publishing.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

98

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Political Perspectives

Brussels Declaration on STM Publishing(69)
by  the  international  scientific,  technical  and  medical  (STM)  publishing  community  as  represented  by  the  individual 
publishing houses and publishing trade associations, who have indicated their assent below.

Many  declarations  have  been  made  about 

2. 

the need for particular business models in the 

STM information community. STM publishers 

have largely remained silent on these matters 

Publishers organise, manage and 
financially support the peer review pro-
cesses of STM journals. The imprimatur 
that peer-reviewed journals give to ac-

as  the  majority  are  agnostic  about  business 

cepted articles (registration, certification, 

models: what works, works. However, despite 

dissemination and editorial improvement) 

very significant investment and a massive rise 

is irreplaceable and fundamental to 

in  access  to  scientific  information,  our  com-

scholarship

munity continues to be beset by propositions 

3. 

and  manifestos  on  the  practice  of  scholarly 

publishing.  Unfortunately  the  measures  pro-

posed  have  largely  not  been  investigated  or 

4. 

tested  in  any  evidence-based  manner  that 

would pass rigorous peer review. In the light of 

this, and based on over ten years’ experience 

Publishers launch, sustain, promote and 
develop journals for the benefit of the 
scholarly community
Current publisher licensing models are 
delivering massive rises in scholarly 
access to research outputs. Publish-
ers have invested heavily to meet the 

in the economics of online publishing and our 

challenges of digitisation and the annual 

longstanding  collaboration  with  researchers 

3% volume growth of the international 

and  librarians,  we  have  decided  to  publish  a 

scholarly literature, yet less than 1% of 

declaration  of  principles  which  we  believe  to 

total R&D is spent on journals

be self-evident.

1. 

The mission of publishers is to 

5. 

Copyright protects the investment of 
both authors and publishers. Respect 
for copyright encourages the flow of 

maximise the dissemination of 

information and rewards creators and 

knowledge through economically 
self-sustaining business models. We 
are committed to change and innov-

entrepreneurs

6. 

Publishers support the creation of 

rights-protected archives that preserve 

ation that will make science more effec-

scholarship in perpetuity.

tive. We support academic freedom: 

7. 

Raw research data should be made 

authors should be free to choose where 

they publish in a healthy, undistorted 

free market

freely available to all researchers. 
Publishers encourage the public posting 

of the raw data outputs of research. Sets 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

69 

Issued on 13 February 2007. Reprint by courtesy of the International Association of STM Publishers.

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Chapter•4

Political Perspectives

or sub-sets of data that are submitted 

journals vary significantly across subject 

with a paper to a journal should wherever 

areas, and from journal to journal

List of signatories: 
http://www.stm-assoc.org/brussels-declaration/. 

(ed.)

possible be made freely accessible to 

other scholars

8. 

Publishing in all media has associated 
costs. Electronic publishing has costs 
not found in print publishing. The costs 

9. 

to deliver both are higher than print or 

electronic only. Publishing costs are the 

same whether funded by supply-side or 

demand-side models. If readers or their 

agents (libraries) don’t fund publishing, 

then someone else (e.g. funding bodies, 

government) must

Open deposit of accepted manu-
scripts risks destabilising subscription 
revenues and undermining peer review. 
Articles have economic value for a con-

siderable time after publication which em-

bargo periods must reflect. At 12 months, 

on average, electronic articles still have 

40-50% of their lifetime downloads to 

come. Free availability of significant pro-

portions of a journal’s content may result 

in its cancellation and therefore destroy 

the peer review system upon which 

researchers and society depend

10. 

“One size fits all” solutions will not 
work. Download profiles of individual 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

100

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Political Perspectives

Open Access and Education

The Legal Protection of Open Access: The Position of the 
Standing Conference of the Ministers of Education and Cultural 
Affairs of the Länder in the Federal Republic of Germany 
By Thomas Pflüger, Baden-Württemberg State Ministry of Science, Research and the Arts; Working Group on Libraries 
of the Standing Conference of the Ministers of Education and Cultural Affairs of the Länder

The  German  Länder  (federal  states),  which  are 

management and disproportionately rising sub-

responsible for funding universities, have a fun-

scription  costs  coupled  with  university  libraries’ 

damental interest in ensuring that new research 

stagnating purchasing budgets. Access to scien-

findings  generated  on  the  basis  of  taxpayers’ 

tific  and  scholarly  information  has  developed 

money is made available to the academic com-

into a bottleneck in the supply of information at 

munity quickly and as easily as possible. However, 

universities. Technical and legal possibilities cur-

the legal framework and developments over the 

rently allow publishers to make the contents of 

past  few  years  have  proved  to  be  increasingly 

online media accessible on an exclusive basis. If 

problematic. These circumstances pose a major 

they are in control of information which is abso-

problem for policymaking in the higher-education 

lutely  essential  for  science  and  research,  they 

and research sectors. The Standing Conference 

can charge whatever they want. Another factor is 

of the Ministers of Education and Cultural Affairs 

that it is precisely younger academics from the life 

of the Länder in the Federal Republic of Germany 

sciences, natural sciences and techn ology who 

(Kultusministerkonferenz, KMK), the regular forum 

need  to  publish  in  renowned  and  often  expen-

of the ministers of the federal states responsible 

sive  journals  in  order  to  build  their  reputation. 

for universities, education and culture, therefore 

Large  international  academic  publishers  have 

already submitted proposals on the legal protec-

thus been able to increase the prices of this type 

tion  of  Open  Access  to  the  Federal  Ministry  of 
Justice in autumn 2004(70).

of  journal  considerably  over  the  past  10  years. 

It can hardly be a coincidence that the profit of 

Initial•position• •••••••••

a  large  international  publisher  was  around  650 

million euros in 2005, which corresponds to the 

entire annual investment of the German Länder 

in  universities’  infrastructures  in  the  areas  of 

Access to and use of the knowledge generated 

mathematics, natural sciences and engineering. 

at universities and non-profit research institutions 

In view of this development, universities have had 

are now increasingly under threat: legally by the 

to cancel journal subscriptions, and this in turn 

unlimited  possibility  of  the  transfer  of  exclusive 

has had an impact on the viability of a central part 

rights to publishers, and factually by digital rights 

of what makes up research infrastructure.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

70  Position paper of the KMK of 11 Nov 2004, www.urheberrechtsbuendnis.de/links.

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Chapter•4

Political Perspectives

The•KMK’s•proposed•
amendment•••••••••••••

area  of  academic  publications  at  universities, 

creating  the  appropriate  legal  framework  for  the 

freest  possible  access  to  academic  information 

On 22 March 2006, the German federal govern-

and  strengthening  the  position  of  scientists  and 

ment  presented  the  draft  of  a  ‘Second  Law  to 

scholars  against  the  de  facto  market  power  of 

Regulate  Copyright  in  the  Information  Society’ 

international  publishing  houses.  The  imbalance 

(so-called  ‘second  basket’,  zweiter  Korb).  The 

which  has  arisen  between  publishers  and  aca-

opinion  paper  of  19  May  2006  of  the  Federal 

demic authors can then be removed on the level 

Council of Germany (Bundesrat), prepared by a 

working group of the KMK universities commit-

tee,  assesses  the  draft  law  as  not  being  in  the 
best interest of education and science(71). For this 
reason, the Bundesrat rejected proposals which 

of copyright law while maintaining the latter’s con-
stitutional  rights.  This  proposed  amendment(72) 
leaves the right of first exploitation of the holder of 

the rights untouched, since the legal implementa-

tion would apply to non-quotable postprints and 

would  have  led  to  the  availability  of  knowledge 

would be linked to a period of time no longer than 

becoming  even  more  difficult  and  expensive, 

six  months,  after  which  the  work  can  be  made 

and which would, as a consequence, have ham-

accessible elsewhere (embargo period). 

pered  innovation,  the  foundation  of  economic 

growth. Going beyond the government draft, the 

The KMK is striving for the normative implemen-

Bundesrat proposed the creation of a legal frame-

tation  of  its  proposal  in  the  current  legislative 

work to allow results of publicly funded research 

process relating to the ‘second basket’ in order 

to be made reliably available for non-commercial 

to maintain and improve the viability of the infra-

purposes in the context of Open Access. 

structure of universities and research institutions, 

as  well  as  to  further  strengthen  the  transfer 

The  Länder  are  responsible  for  the  good  func-

of  technology  and  knowledge.  The  proposed 

tioning  of  the  universities.The  KMK  thus  urged 

amendment’s  contents  correspond  to  similarly 

the federal government to exploit the legal room 

oriented  reform  considerations  in  the  Anglo-

for  manoeuvre  in  favour  of  universities,  science 

American world and met with broad agreement 

and libraries and to ensure a digital second pub-

amongst experts at a hearing at the committees 

lication  right  for  scientists  and  scholars,  subject 

on  Legal  Affairs  and  Education  of  the  German 

to  certain  copyright  conditions.  This  move  is 

Bundestag on 20 November 2006.

intended  to  bring  about  a  paradigm  shift  in  the 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

71  Government draft (with counter-statement on BR-Drs. 257/06) BT-Drs. 16/1828 of 15 June 2006; BR-Drs. 257/06 – resolution of 19 May 2006.
72 

It is proposed to add the following clauses (3 and 4) to section 38 sub-section 1 of the Copyright Law: ‘Even where an exclusive right of exploitation has 
been granted, in the case of academic contributions which have their origin in teaching and research activity predominantly financed by public funds and 
are published in periodicals, the author has the right, once six months after the said contribution’s first publication have passed, to allow public access 
elsewhere to the content, provided that such granting of public access is justified by the pursuit of non-commercial interests and that is not in the same 
format as the first publication. No agreement to waive this right shall be legally binding.‘

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Political Perspectives

Open Access and Education Policy: Perspectives of a Politician 
By Jörg Tauss, MP (German Bundestag)

The  current  dominant  publication  practice  in 

to  disseminate  information.  As  a  result,  more 

the academic world is out of kilter, in particular 

and  more  libraries  worldwide  are  looking  for 

from the point of view of science and research 

alternatives, and not just for reasons of cost.

policy.  The  practice,  often  described  as  para-

doxical, is as follows: a research area, as a rule 

In  the  medium  term,  this  situation  is  likely  to 

financed by public funds, generates academic 

seriously limit the effectiveness of the German 

results whose commercialisation is undertaken 

and indeed the global system of education and 

by  a  scholarly  publisher.  The  usage  rights  in 

science.  It  must  be  the  task  of  politicians  to 

the resulting publications are made available to 

counter this threat. Modern copyright law that 

other scientific and scholarly organisations, for 

is  in  line  with  the  demands  of  the  information 

example libraries, which are required to pay for 

and  knowledge  society  plays  a  key  role  here. 

them, again using public funds. The specialist 

This  law  must  be  couched  in  unambiguous 

publishing  sector  is  dominated,  both  nation-

terms that reflect the interests of authors, and 

ally  and  internationally,  by  a  small  number  of 

thus  of  science  and  scholarship.  It  is  clear, 

large companies whose publication and pr icing 

from  this  demand,  that  this  is  not  primarily  a 

policies  tend  to  be  somewhat  opaque,  due 

cost-saving  exercise  designed  to  relieve  pub-

to  their  de  facto  monopoly.  The  financial  risk 

lic-sector budgets.

faced  by  these  publishers  in  the  current  aca-

demic  production  system  is,  to  say  the  least, 

The proposed amendments to German copyright 

limited thanks to the dual flow of public funds 

law, the so-called ‘second basket’ of the imple-

into the publication cycle. In an expert opinion 

mentation  of  the  EU  directives  currently  under 

delivered to the Committee on Legal Affairs of 

discussion, does not take proper account of this 

the German Bundestag, Professor Hilty of the 

dimension. At best, it can only represent a small 

Max Planck Society rightly describes this situa-

intermediate  step  in  view  of  the  altered  require-

tion as a privatisation of public funds.

ments of the information and knowledge society. 

To date, current law favours specialist publishers, 

Therefore,  against  the  background  of  tight 

who, from the point of view of education and sci-

public-sector budgets, it is becoming increas-

ence policy, make a contribution to added value, 

ingly  difficult  for  academic  institutions  to  find 

which,  while  important,  should  not  be  exagger-

the  money  to  purchase  current  publications 

ated. Rather, modern copyright law, both science 

and thus to adequately fulfil their responsibility 

and research-friendly, must look more favourably 

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Chapter•4

Political Perspectives

on those generating current knowledge, and also 

The  sustainable  concepts  are  obvious.  It  is 

at modern forms of distribution. 

regrettable  that  policymakers  are  once  again 

looking to apply outdated approaches in their 

At  present,  academic  research  findings  are 

second round of reforms.

made available to no more than a small group, 

sometimes at excessive cost. This conflicts with 

The  most  fundamental  task  for  policymake rs 

the demands of a knowledge society with future 

today  must  be  to  create  forward-looking 

potential,  for  which  untrammelled  access  to 

framework  conditions  that  provide  an  incen-

information and knowledge at a proportionat e 

tive  for  tomorrow’s  knowledge  society  —  and 

cost is a precondition. The monopolised prices 

this must include copyright law. Without a so-

currently  held  by  international  publishers  are 

called  ‘third  basket’  of  the  implementation  of 

disproportionate.

the  EU  directives  that  takes  into  account  the 

concerns  of  education,  science,  scholarship 

What is needed at this point is a paradigm shift. 

and research, this cannot be achieved.

The principle must be that knowledge produced 

by public funds is seen as public property, and 

is  thus  made  available  to  the  public  compre-

hensively, unimpeded and at appropriate cost. 

According  to  this  principle,  and  irrespective 

of the selected means for Open Access pub-

lication,  the  future  will  see  not  just  the  user, 

but  indeed  the  actual  producer  of  knowledge 

bearing the costs in the publication and distri-

bution chain. The Internet is a prime candidate 

for  the  medium  of  dissemination  of  academic 

information, as it opens up new paths for the 

publication  of  research  results.  Herein  lies  the 

great  merit  and  value  of  the  Open  Access 

approach pursued by research organisations.

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Political Perspectives

Open Access from the Point of View of the Coalition for Action 
‘Copyright for Education and Research’
By Rainer Kuhlen, Chair of Information Science, University of Konstanz; Spokesman for the Coalition for Action ‘Copyright 
for Education and Research’ (Aktionsbündnis ‘Urheberrecht für Bildung und Wissenschaft’)

The  Coalition 

for  Action 

‘Copyright 

for 

In any case, the author’s personal/moral rights 

Education  and  Research’ 

(Aktionsbündnis 

are not affected by Open Access. Some of the 

‘Urheberrecht für Bildung und Wissenschaft’, 

problems  in  the  overlapping  areas  of  Open 

ABU)  was  formed  in  the  context  of  the  cur-

Access and copyright are as follows:

rent debate surrounding the reform of German 

copyright law. It aims to represent the interests 

•	

It would be easier for many authors to 

of education and science and scholarship in a 

start applying Open Access if Section 

liberal  treatment  of  knowledge  and  informa-

38 of the German Copyright Law was 

tion dissemination vis a vis the legislator. The 

changed so that authors of contributions 

basis of the ABU is the Göttingen Declaration 

to periodically published collections could 

of 2004, signed by 6 academic organisations, 

have their exploitation rights (for non-com-

328  learned  societies  and  5  500  individuals 

mercial purposes) restored after a maxi-

(as  of  April  2007).  Its  central  message  is  as 

mum period of six months from the date 

follows: ‘In a digitised and networked informa-

of the commercial publication of their work 

tion  society,  access  to  global  information  for 

and so that one could not even waive this 

the purposes of education and science must 

right contractually. The time delay may not 

be  guaranteed  at  all  times  from  any  place!’ 

be in the spirit of Open Access, but this 

This  is  certainly  compatible  with  the  goals  of 

regulation could inspire many authors to 

Open Access.

make their work freely available after an 

embargo period of this type.

The ABU can only indirectly promote the imple-

•	

A difficult question is whether, in addition 

mentation  of  the  principle  of  Open  Access  in 

to being encouraged to make their work 

education and science. Generally, Open Access 

available for Open Access publication, 

is not impaired by copyright. Copyright grants 

authors should also be obliged to de-

authors  publishing  rights.  An  Open  Access 

posit, in parallel at least, any work result-

publication,  however,  means  that  the  author’s 

ing from research supported by public 

exploitation  rights  are  no  longer  exclusive. 

funds in the Open Access repositories 

However, it is the authors’ decision whether to 

of their institutions. This is currently a 

also make their work available for commercial 

controversial issue, since, for some, not 

exploitation  through  contractual  agreements. 

only the questions of ‘whether’, ‘when’ 

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Chapter•4

Political Perspectives

and ‘how’ constitute academic freedom, 

by considering and treating these works 

but also the question of ‘where’. For 

as if they were in the public domain until 

others, the question of ‘where’ should not 

a rights holder objects. From the point 

be left exclusively to the free choice of 

of view of the DFG and the Coalition for 

the individual. The ABU tends to support 

Action, it is imperative for the freedom 

the latter opinion, so that, in line with the 

of research and education that the 

goal of the Göttingen Declaration, all of 

digitalisation of orphaned works or works 

the knowledge produced with the help of 

in the public domain does not justify the 

public funds can be made publicly avail-

creation of new copyrights or exploitation 

able. Of course authors should continue 

rights of the digitalised original. A similarly 

to be allowed to choose freely where 

liberal solution should be found for works 

they publish their work commercially, so 

that are no longer in print. 

long as the Open Access publication is 

guaranteed without delay.

The  ABU  sees  Open  Access  as  well  as  free 

•	

A considerable part of the knowledge that 

licensing  forms  such  as  ‘creative  commons’ 

should be openly accessible is contained 

that support authors’ information autonomy as 

in so-called ‘orphaned’ works. On the 

promising solutions to the regulatory impasses 

basis of their publication dates, these 

of current copyright law without fundamentally 

works are still protected by copyright, 

questioning it.

but their authors can only be located with 

great difficulty or not at all. Due to this 

uncertain legal situation libraries often 

do not dare to digitalise these culturally 

important items, whatever their media 

form, and make them freely accessible 

to the public. So far, legislators have not 

solved the problem of orphaned works. 

The ABU has been active in this area with 

suggestions, and has in principle joined 

the German Research Foundation’s (DFG) 

demand on the EU to solve this situation 

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Political Perspectives

Open Access and Consumer Protection:

The View of the Federation of German Consumer Organisations 
By Patrick von Braunmühl, Federation of German Consumer Organisations

Access  to  science,  scholarship  and  research 

question of prices. The exploiting organisations, 

is  part  of  consumer  protection.  It  is  in  the 

in this case the publishing houses, control the 

consumer’s  interest  to  be  able  to  access  as 

use of the media according to their own ideas, 

much  information  as  possible  on  the  Internet. 

limiting and/or even monitoring them. Terms of 

People  from  all  levels  of  society  should  have 

use  and  licence  agreements  of  considerable 

equal opportunities when it comes to access-

length written in complicated language are often 

ing  information.  Open  Access  can  meet  this 

not comprehensible to consumers but threaten 

need by making scientific and scholarly litera-

high penalties in the event of violations, which 

ture available online publicly and free of charge 

tend to occur due to ignorance.

so  that  anyone  who  is  interested  can  read, 

download,  copy,  distribute,  print,  search  and 

In  the  current  discussion  on  the  reform  of 

reference  the  full-text  version  of  an  academic 

German  copyright  law  (the  so-called  ‘second 

work and use it in any other desired way, with-

basket‘),  a  solution  was  initially  suggested 

out fearing financial, legal or technical barriers 

which  in  our  opinion  would  have  been  in  the 

beyond those concerning Internet access itself 

interest  of  consumers  as  well  as  authors.  It 

(cf. BOAI: Budapest Open Access Initiative).

would  have  given  every  scientist  and  scholar, 

even when they had granted exclusive licences 

Free  access  is  justified  when  the  public  has 

to one publisher, the right to make their contri-

contributed  to  the  funding  of  science  and 

bution publicly accessible after a period of six 

research,  and  thus  the  publication.  Users 

months  after  initial  publication.  Unfortunately, 

should  not  pay  more  than  once:  first  with 

this proposal was rejected. A regulation along 

their  taxes,  which  fund  research  and  quality 

these  lines  would  have  benefited  academics, 

assurance,  and  then  for  the  right  to  access 

since it is fundamentally in their interest to dis-

the published results, for example in libraries. 

pose of their work and to make it accessible to 

Moreover, libraries must not be forced to buy, 

as many people as possible. Consumers would 

at  expensive  prices,  research  results  sub-

have  obtained  easy,  free  of  charge  and  rapid 

sidised by public funds. They no longer have 

access  to  important  data.  Moreover,  the  six-

these kinds of financial means.

month  period  during  which  publishers  would 

have  retained  exclusive  rights  would  have 

Limiting  consumer  rights  when  it  comes  to 

meant that even their interests would not have 

digital media is a general problem. It is not just a 

been seriously impaired.

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Chapter•4

Political Perspectives

The free publishing of material on the Internet 

contains  the  potential  for  an  active  culture, 

and science and scholarship in which the user 

does not just consume, but also creates. This 

creativi ty must not be destroyed or restricted by 

high  prices,  protective  measures  in  the  terms 

of use or licensing agreements, or by technica l 

measures. Instead, all those interested should 

be  given  the  opportunity  to  participate  in 

scientific  and  scholarly  results  and  thereby 

eventually  to  deliver  new  information  and  dis-

coveries which could be of huge significance to 

academia and society as a whole, for example 

in the medical or ecological sectors.

Open  Access  can  provide  a  larger  audience 

with  insights  into  the  academic  and  research 

domain.  This  would  both  accelerate  research 

and  development  processes  themselves  and 

benefit  the  economy  as  well  as  society  as  a 

whole. The added value generated by science 

could  be  greatly  increased  by  Open  Access. 

Unfortunately,  the  advantages  and  benefits  of 

Open  Access  have  not  yet  been  sufficiently 

recognised in the political arena. 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

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Political Perspectives

German Development Cooperation and Open Access
By Peter Rave, German Technical Cooperation, GTZ

In the context of the global structural change from 

partner countries, particularly in Sub-Saharan 

agricultural and industrial societies to knowledge 

Africa, can share in current research results, it 

societies, knowledge has become a basic factor 

is generally necessary to first overcome what 

for  sustainable  economic  and  social  develop-
ment(73). One of the goals of German development 
cooperation at university level is the independent 

is  known  as  the  ‘digital  divide’:  weak  infra-

structure for information and communications 

technologies  (ICT),  high  access  costs  and/or 

development  and  acquisition  of  knowledge,  as 

lacking  deregulation  of  telecommunications 

well  as  its  application  to  local  needs  and  prob-
lems  in  the  partner  countries(74).  In  this  context, 
Open Access to digital research repositories and 

virtual  research  environments  harbours  great 

potential for developing countries.

The•digital•and•academic•divide•

providers,  as  well  as  a  lack  of  local  ICT  ser-

vice-providers and experts. This digit al divide 

slows down communication with international 

research  institutions,  access  to  international 
library  initiatives(75),  and  also  the  produc-
tion,  archiving  and  distribution  of  (electronic) 

publications  (cf.  diagram).  Looked  at  in  this 

way,  the  digital  divide  reinforces  the  exist-

ing academic divide between developed and 

To  ensure  that  scientists  and  scholars  in  our 

developing countries.

The size of the countries is proportional to the percentage of all scientific and scholarly publications published 

there by authors in 2001. (Source: http://www.worldmapper.org/posters/worldmapper_map205_ver5.pdf)

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

73  Cf. ‘Knowledge for Development’, World Development Report 1998–1999, http://www.worldbank.org/wdr/wdr98/overview.pdf.
74  Currently there are approx. 70 partner countries, see: www.bmz.de/de/laender/partnerlaender/laenderkonzentration/index.html. 
75  E.g.  International  Network  for  the Availability  of  Scientific  Publications  (INASP)  (http://www.inasp.info/),  Programme  for  the  Enhancement  of  Research 
Information (PERI) (http://www.inasp.info/peri/), Initiative Electronic Information for Libraries (eIFL.net) (http://www.eifl.net/), Health InterNetwork Access to 
Research Initiative (HINARI) (http://www.emro.who.int/HINARI).

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Chapter•4

Political Perspectives

Improved  access  in  developing  countries  to 

International,  Germany)  are 

implementing 

ICT  and  the  global  communications  networks 
has been the object of international initiatives(76) 
since the late 1990s. Germany supports these 

m easures for capacity development and institu-

tion building in many educational and research 

institutions in partner countries. These measures 

initiatives  and  treats  the  subject  of  ICT  as  an 

increasingly  focus  on  independent  electronic 

interdisciplinary  issue,  which,  in  conjunction 

with improvements in education and research, 

is  intended  to  ease  the  way  towards  know-

production,  archiving  and  distribution  of  digital 
contents, also via regional networks(77). In addi-
tion,  teaching  and  learning  materials  are  also 

ledge societies for partner countries. 

being  offered  in  native  languages,  increasingly 

Open•Access•approaches•
in•German•development•
cooperation•••••••••••••

through  the  use  of  alternative  licensing  mod-

els  such  as  creative  commons  (http://creative 

commons.org/), which allow users far-reaching 
freedom when exploiting the contents(78).

Since Internet access is still severely restricted in 

many of the partner countries, innovative chan-

The  Open  Access  approach  of  the  KfW 

nels of distribution for digital resources must be 

Entwicklungsbank  (KfW  development  bank) 

tested.  An  example  is  the  University  of  Addis 

focuses  on  infrastructure.  The  KfW  is  part  of 

Ababa, which has a bandwidth of only 6 Mbit/s 

the consortium of development-finance institu-

tions that is preparing the funding of the East 

Africa Submarine Cable System (EASSy). This 

will provide eastern and southern Africa with an 

(March 2007) at its disposal. In the context of the 
Ethiopian Capacity Building Programme(79) a so-
called ‘open toaster’(80) was developed together 
with the students at this university. The students 

inexpensive broadband connection to the inter-

are  now  able  to  select  digital  resources  (free 

national fibreglass communications network. 

software  and  publications)  via  a  touch  screen 

and burn them directly on to CDs.

Further measures are necessary to ensure that 

academics and entrepreneurs can use such net-

The measures presented here show how diversely 

works and further ICT to process knowledge and 

the Open Access approach is being implemented 

adapt  them  according  to  their  needs.  For  this 

within development cooperation and how much it 

reason the GTZ and InWEnt (Capacity Building 

contributes to overcoming the academic divide.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

76  E.g. G8 (‚Digital Opportunity Taskforce‘), UN (ICT Taskforce, World Summit on the Information Society).
77  http://www.crystal-elearning.net/index_eng.html.
78  http://www.gc21.de/ibt/GC21/site/gc21/ibt/start.html.
79  http://www.ecbp.biz/index.php?id=homepage.
80  http://www.ecbp.biz/index.php?id=toaster.

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Political Perspectives

The Media and Open Access: 

The Point of View of Public Service Broadcasting 
By Verena Wiedemann, Association of German Public Service Broadcasters

According  to  the  Federal  Constitutional  Court 

video  files.  The  ARD’s  current  programming 

of  Germany,  it  is  the  task  of  public  service 

could  also  be  made  available  to  our  viewers 

broadcasting to be a medium and factor in the 

and  li steners  after  the  initial  broadcast  any-

creation  of  public  opinion.  As  a  medium,  we, 

where and at anytime via electronic retrieval.

the ARD (Association of German Public Service 

Broadcasters),  convey  the  entire  spectrum  of 

However,  things  are  unfortunately  not  that 

opinions  in  Germany.  We  inform  our  listeners 

easy.  All  of  these  options  cost  money,  both 

and  viewers  about  current  affairs  in  Germany 

in  terms  of  the  technical  transmission  and  in 

and  abroad,  represent  the  cultural  diversity  of 

terms of the acquisition of the necessary rights. 

every  region,  and  offer  a  public  mirror  of  our 

The ‘right of public accessibility’, which goes 

social reality in all of its social, cultural and polit-

hand-in-hand  with  the  on-demand  provision 

ical facets. As a factor, we contribute, through 

of contents, is a separate right of the authors. 

our  programmes,  to  the  cultural  diversity  and 

It is not identical to the broadcasting rights in 

democratic  dialogue  in  German  society.  The 

connection with a television programme. If for 

conditions  of  access  to  our  programmes  are 

example the programmes currently on air are 

defined  in  the  public  interest  by  our  legisla-

put online for one week, this right of use is still 

tors, and not by the market. The funding of the 

so close to the time of the initial broadcast on 

contents  of  and  access  to  our  public  service 

television  that  it  can  be  taken  as  being  part 

channels takes place via a viewing and listening 

of the broadcasting right, which broadcasting 

licence  system  organised  on  a  public  service 

institutions acquire in any case. It would how-

basis and with the support of a socially accept-

ever  be  very  expensive  if  Open  Access  were 

able  fee.  This  allows  us  to  unlock  all  of  our 

granted to our entire archives, especially since 

programmes and make them accessible with-

the  ARD’s  broadcasting  institutions  of  the 

out additional payment.

German Länder do not even possess retrieval 

rights on their older productions.

Digitalisation  is  rapidly  changing  the  ways  in 

which audio-visual contents can be accessed. 

As for public access to the contents of public 

Theoretically,  the  ARD  could  open  its  audio-

service broadcasting, there must be one basic 

visual  archives  and  give  its  users  access  to 

principle in the knowledge society: contents for 

the  cultural  and  political  history  of  Germany, 

which the public have already paid in the form 

Europe and the world in the form of audio and 

of licence fees must be made available to them 

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Chapter•4

Political Perspectives

via  all  relevant  platforms  without  further  pay-

a  substantial  contribution  to  the  opportunities 

ment. This includes viewing/listening at a time 

that the knowledge society in the 21st century 

of  the  viewer/listener’s  own  choice,  e.g.  on-

offers to everyone.

demand via the Internet. A further increase of 

our programmes’ utility value for our licence-fee 

payers could be linked to the release of certain 

contents for non-commercial use by third par-

ties. In this way ARD’s contents could possibly 

contribute directly to the creative cultural pro-

cess  and  to  the  generation  of  knowledge  by 

third parties. Therefore, it would be worthwhile 

for  public  service  broadcasters  to  consider 

the  Open  Access  model  of  libraries  and  aca-

demic publications. Again the main concern is 

to  create  the  prerequisites  for  enabling  users 

to make optimum use of the resources of the 

knowledge society. 

We  therefore  need  a  broad  discussion  about 

the  conditions  on  which  the  ARD  should 

allow  access  to  and  use  of  the  treasures  of 

kn owledge  and  of  the  cultural  heritage  stored 

away  in  its  archives.  Should  this  access  be 

funded  entirely  on  the  solidarity  principle  (by 

the  general  public  via  licence  fees)  or  should 

these services be left in the hands of the free 

market for commercial exploitation, as is being 

demanded  by  commercial  operators?  These 

are  fundamental  questions  for  our  society, 

because  they  will  decide  whether  public  ser-

vice broadcasting can fulfil its potential to make 

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113

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•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

CHAPTER 5:

International Context

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Chapter•5

International Context

National Initiatives in Europe
By Katja Mruck & Rubina Vock, Centre for Digital Systems, Freie Universität Berlin(81)

Introduction•••••••••••••

national funding bodies and the confer-

ence of university presidents did not.

The  demand  for  free  access  to  scientific  and 

•	

Currently, it is the ‘EU Petition’

(85) that 

scholarly  information,  which  was  originally 

has the greatest distribution with almost 

voiced in the North American natural sciences, 

25 000 signatories (as of March 2007): 

has now reached ‘old Europe’: many initiatives 

besides institutions in the countries listed 

that  are  important  for  the  international  Open 
Access movement are of European origin(82).

above, this petition has been signed by 

(funding) institutions and learned societies, 

for example, from Estonia, Lithuania, the 

At the same time, a closer look at relevant posi-

Ukraine, Denmark, Norway and Sweden, 

tion papers highlights national differences in the 

as well as a few signatures from repre-

support accorded to Open Access in Europe.

sentatives of Greek, Polish, Romanian 

and Russian academic institutions.

•	

pe the ‘Budapest Open Access 

In Euro
Initiative’(83) was mainly signed by Ger-
man, English, French, Italian and Spanish 

institutions, overwhelmingly by universities 

and university publishers, but more rarely 

Open•Access•in•individual•
European•countries••••••••

by, for example, eastern European and 

The 

following  overview  of  national  Open 

Scandinavian institutions.

•	

The ‘Berlin Declaration’
many associations of university rectors 

(84) was signed by 

Access initiatives in Europe is necessarily frag-
mentary(86). In addition, some countries do not 
have  a  well-developed  Open  Access  debate 

and research institutions in Belgium, 

(or if they do, it may only be accessed in that 

Germany, France, the Netherlands, 

country’s native language).

S witzerland and Spain, but, here too, 

eastern European countries and also 

United Kingdom  

Austria and the United Kingdom are hardly 
represented. In addition, 77 Italian universi-
ties signed the Berlin Declaration, but the 

Great  Britain  opened  up  the  debate  on  Open 

Access early on, and in a very dedicated man-

ner.  In  a  comprehensive  report,  the  House 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

81  We wish to thank Gudrun Gersmann, Stefan Gradmann and Norbert Lossau for their suggestions and additions.
82  On European initiatives see: Ramjoué, Celina in this volume; on the history of Open Access cf. Mruck, Katja/Gradmann, Stefan and Mey, Günter, ‘Open 
Access: Wissenschaft  als  Öffentliches  Gut’,  in:  Forum  Qualitative  Sozialforschung/Forum:  Qualitative  Social  Research,  5(2)  2004: Art.  14,  http://www.
qualitative-research.net/fqs-texte/2-04/2-04mrucketal-d.htm.

83  http://www.soros.org/openaccess/.
84  http://oa.mpg.de/openaccess-berlin/berlindeclaration.html.
85  http://www.ec-petition.eu/.
86  The situation in Germany will not be described here since it is the detailed subject of the present volume. Further important developments in countries other 
than those briefly sketched in the following pages include the Swedish DiVA portal (Digitala Vetenskapliga Arkivet), through which 15 university repositories 
have so far been networked; see http://www.diva-potral.org/ and Hagerlid, Jan, ‘Open Access in Sweden 2002-2005‘, 2006, http://www.kb.se/openac-
cess/dokumentation/janh_elpub_final.pdf.

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International Context

of  Commons  Science  and  Technology 
Committee(87)  investigated  access  possibili-
ties  to  academic  works,  business  models  of 

traditional  and  Open  Access  publishers,  as 

well as alternative forms of publication. On the 

example, JISC supported the (further) develop-

ment of Open Access publication models and 

improved  metadata  research  between  2004 
and 2006(92).

basis  of  this  appraisal,  it  was  recommended 

The Netherlands

that  British  universities  set  up  repositories 

In  2005,  one  of  the  most  comprehensive 

through  which  university  publications  could 

national  Open  Access  projects  was  launched 

be archived and made freely accessible on the 

Internet, a recommendation that the Research 
Councils  UK(88)  also  subsequently  adopted. 
As the Directory of Open Access Repositories 
(OpenDOAR)(89) shows, many repositories are 
now  available  in  Great  Britain  for  the  imple-

in the Netherlands: DAREnet (Digital Academic 
Repositories)(93) manages the digital documents 
of  every  Dutch  university,  the  National  Library 

of  the  Netherlands,  the  Royal  Netherlands 

Academy  of  Arts  and  Sciences,  and  Dutch 

research organisations. It is the only comprehen-

mentation of this recommendation.

sive network of digital academic repositories in 

any European state. At the end of March 2007, 

The Wellcome Trust and the Joint Information 

users  had  research  access  to  more  than  100 

Systems  Committee  (JISC)  are  two  examples 

000 full-text documents. In addition, the full-text 

of  important  UK-based  actors.  Even  though 

documents  are  automatically  incorporated  into 

the  Wellcome  Trust,  an  independent  charity 

the electronic inventory of the National Library of 

organisation, has not signed any of the above-

the Netherlands (e-depot).

listed position papers, it requires the recipients 

of its funds to make articles accessible without 
charge  in  PubMed  Central(90)  no  later  than  six 
months after they are published(91). JISC, which 
is  responsible  for  the  use  of  new  information 

Approximately 45 000 publications by more than 

200  renowned  Dutch  academics  are  accessible 

via  Cream  of  Science,  a  further  project  in  the 

context  of  DAREnet.  The  availability  of  complete 

and  communications  technologies  in  educa-

tion  and  research  in  the  UK,  supports  Open 

Access  through  various  projects.  Thus,  for 

bibliographies  (and  in  many  cases  full-text  docu-
ments)(94)  means  greater  visibility  for  the  work  of 
the  a cademics  involved  and  their  universities;  for 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

87  http://www.publications.parliament.uk/pa/cm200304/cmselect/cmsctech/399/399.pdf.
88  http://www.rcuk.ac.uk/; and http://www.rcuk.ac.uk/access/default.htm.
89  http://www.opendoar.org/.
90  http://www.pubmedcentral.nih.gov/.
91  See http://www.wellcome.ac.uk/doc_WTD002766.html.
92  On metadata and Open Access see: Horstmann, Wolfram, ch. 3 in this volume.
93  http://www.darenet.nl/.
94  Approximately 60% of the works are freely available as full texts; this is not possible for the other texts for legal reasons.

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117

Chapter•5

International Context

academic  and  general  users,  it  means  a  well-

the CNRS hopes to create a central platform for 

developed  availability  of  scientific  and  scholarly 

the international dissemination of documents in 

results.

France

the humanities and social sciences.

Italy

The  Open  Access  movement  in  France  is 

In reaction to the Berlin Declaration, a confer-

coordinated  in  a  very  centralised  manner,  in 

ence to promote the dissemination of academic 

particular  by  the  Centre  for  Direct  Scientific 

publications  in  line  with  the  Open  Access 

Communication (Centre pour la Communication 

principle  was  organised  among  others  by  the 

Scientifique  Directe)  of  the  National  Science 

Conference of Presidents of Italian Universities 

Research  Centre,  CNRS  (Centre  National  de 

(Conferenza dei Rettori delle Università Italiane) 

la  Recherche  Scientifique).  The  Institute  for 

in  November  2004.  During  this  conference, 

Scientific  and  Technical  Information  (Institut  de 
l’Information Scientifique et Technique)(95) of the 
CNRS provides in-depth information about Open 

the  rectors  of  32  Italian  universities  signed 
the  ‘Messina  Declaration’(98)  in  support  of  the 
Berlin  Declaration.  Seventy-seven  Italian  uni-

Access on its website and has the objective of 

versities  have  signed  the  Berlin  Declaration, 

facilitating access to global research results.

making Italy the country that has hitherto pro-

vided the largest number of signatories. While 

In September 2005, numerous French research 

only  a  small  percentage  of  Italian  universities 

institutions came together to form a joint portal, 

possesses  institutional  repositories,  Italy  does 

the Hyper Articles en Ligne (HAL) (hyper articles 
online) archive(96). Subsequently, amongst other 
things, the platform PubliCNRS, on which all of 

the  CNRS  laboratories  had  placed  their  publi-

cations,  was  integrated  in  HAL.  In  contrast  to 

operate  some  international  repositories,  such 
as E-LIS(99), an Open Access archive for library 
and information sciences, and the archive of the 
International Centre for Theoretical Physics(100), 
through  which  scientists  and  scholars  from 

many  other  European  states,  France  places  a 

all  over  the  world,  and  particularly  those  from 

particular  emphasis  on  archiving  documents 

developing  countries,  can  publish  their  aca-

from  the  humanities  and  social  sciences.  With 
the  TGE  ADONIS(97)  project  launched  in  2004, 

demic documents (not just those from the field 

of physics) for free.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

95  http://www.inist.fr/.
96  http://hal.archives-ouvertes.fr/.
97  http://www.tge-adonis.fr/.
98  http://www.aepic.it/conf/index.php?cf=1.
99  http://eprints.rclis.org/.
100  http://eprints.ictp.it/information.html.

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International Context

Summary•••••••••••••••

We have attempted to sketch the development 

of Open Access by way of examples: the UK as 

one of the pioneers of European Open Access, 

the  Netherlands  as  a  national  network  of 

re positories currently unique in Europe, France 

as an academic organisation with a centralised 

character,  where,  unlike  in  many  other  coun-

tries, Open Access initiatives in the humanities 

and  social  sciences  play  an  important  role, 

and Italy, where declarations of intent for Open 

Access  exist  in  all  universities,  but  where  the 

necessary  infrastructure  for  the  practice  of 

Open Access is only developing gradually, and 

in a largely decentralised fashion.

What is not sufficiently present as yet are forums 

through which information can be disseminated 

more  systematically  and  continuously  than  has 

so far been the case, and through which national 

players can communicate with one another. One 

possible idea would, for example, be a European 

enlargement  of  the  Open  Access  information 

platform 

(www.open-access.net),  supported 

by  the  German  Research  Foundation  (DFG) 

amongst others, which was initially launched for 

the German-speaking area in May 2007.

95  http://www.inist.fr/.

96  http://hal.archives-ouvertes.fr/.

97  http://www.tge-adonis.fr/.

98  http://www.aepic.it/conf/index.php?cf=1.

99  http://eprints.rclis.org/.

100  http://eprints.ictp.it/information.html.

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119

Chapter•5

International Context

European Initiatives
By Celina Ramjoué, Research Directorate-General, European Commission(101)

In addition to national activities, there are also 

Open Access initiatives on the European level.

CERN•••••••••••••••••

SCOAP3  is  a  consortium  made  up  of  research 
institutions, funding bodies, and libraries that will 

take over the funding of a series of journals that 

are particularly important for nuclear research dur-

ing several years of transition to the Open Access 

model.  During  this  time,  the  idea  is  for  publish-

The European Organization for Nuclear Research 

(CERN) is a pioneer in the area of Open Access. 

In 1953 the convention setting up CERN already 

ers  to  be  funded  by  the  consortium  instead  of 
by  subscriptions.  The  originality  of  the  SCOAP3 
model lies in the fact that publishers maintain an 

noted that ‘the results [of CERN’s] experimental 

important  role  and  that  authors  do  not  have  to 

and theoretical work shall be published or other-
wise made generally available’(102). Building on this 
practice, in the digital age it has become custom-

ary for researchers in the field of nuclear research 

as  well  as  in  the  field  of  physics  generally  to 

deposit  their  publications  in  electronic  archives. 

In a statement issued in late 2003, CERN spoke 

finance the cost of publication themselves. A call 
for tender for SCOAP3 is planned for 2007.

European•Commission•and•
associated•bodies• •••••••

out  in  favour  of  open  electronic  distribution  of 

Under article 164 of the Treaty establishing the 

knowledge  (‘An  electronic  publishing  policy  for 
CERN’(103)) and in May 2004, it signed the Berlin 
Declaration. In March 2005, CERN published a 

European  Community,  measures  for  the  ‘dis-

semination  and  optimisation  of  the  results  of 

activities  in  Community  research,  technologi-

document  arguing  for  the  Open  Access  publi-

cal  development  and  demonstration’  shall  be 

cation model (‘author pays’ model). That same 

implemented  for  the  purpose  of  strengthen-

year,  CERN  set  up  a  task  force  consistin g  of 

ing  European  research  policy  (Official  Journal 

authors,  publishers  and  research  funding  bod-

of  the  European  Communities  C  325/105,  24 

ies, with the mandate to evaluate potential Open 

December 2002).

Access  business  models.  Their  report,  pub-

lished in June 2006, proposed what is known as 

From  this  perspective,  optimised  access,  effi-

the  ‘Sponsoring  Consortium  for  Open  Access 
Publishing in Particle Physics’ model (SCOAP3) 
to fund Open Access(104). 

cient  dissemination  and  reliable  preservation 

promote  the  achievement  of  the  aims  of  the 

Lisbon  strategy  of  2000,  which  called  for  the 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

101  The views expressed here are those of the author and may not under any circumstances be regarded as stating an official position of the European Commission.
102  Article II.1, http://doc.cern.ch/archive/electronic/other/preprints//CM-P/cm-p00046871.pdf.
103  http://library.cern.ch/cern_publications/SIPBPubPol.17.11.03.htm.
104  http://library.cern.ch/OATaskForce_public.pdf.

120

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International Context

European Union to become the most competi-

publishing market, this study, published in spring 

tive and dynamic knowledge-based economic 

2006, was supposed to formulate recommenda-

area  by  2010.  The  underlying  thought  here 

tions for the European Commission.

is  that  a  wide  dissemination  of  scientific  and 

scholarly information will create the foundation 

One  of  the  study’s  main  findings  is  that  the 

for further research and innovation.

market  for  academic  journals  is  not  charac-

terised  by  traditional  competition  and  that  it 

Questions  of  access  to  and  dissemination 

displays  certain  special  features.  According 

and  preservation  of  academic  information  are 

to  the  study,  it  is  of  fundamental  significance 

dealt  with  by  two  EU  Commissioners  and  two 

that  the  purchasers  of  scientific  and  scholarly 

Directorates-General.  The  Directorate-General 

journals  are  not  their  readers,  but  universities 

for Research, under the European Commissioner 
for  Science  and  Research,  Janez  Potočnik, 
addresses  them  in  the  context  of  the  creation 
of the ‘European Research Area’(105). The activi-
ties  under  the  European  Commissioner  for 

and li braries. This means that researchers are 

generally  not  informed  about  the  high  prices 

of  journal  subscriptions.  The  study  further 

observes  that  between  1975  and  1995  there 

was  a  price  increase  of  200  to  300  %  above 

Information Society and Media, Viviane Reding, 

the  rate  of  inflation,  which  only  flattened  out 

and  the  relevant  Directorate-General  focus  on 
the initiative ‘i2010: Digital Libraries’(106) and deal 
with many of the relevant technical questions. An 

somewhat during the mid-1990s with the start 

of the digital age. The study also concludes that 

journal prices depend on academic discipline, 

important example is the DRIVER project (Digital 

publisher and academic quality. Further trends 

Repository  Infrastructure  Vision  for  European 

underlined by the study are cuts in library bud-

Research), whose goal is to network more than 

gets and falling numbers of subscriptions.

50 European repositories.

The  study  formulates  recommendations  on  the 

In the light of the controversial debate on Open 

questions of access, market issues, and continu-

Access, the European Commission’s Directorate-

ing debate and research. On the topic of access, 

General for Research commissioned a Study on 

it  recommends  that  publicly  funded  research 

the economic and technical evolution of scientific 
publication markets in Europe(107). In addition to 
delivering an analysis of the European academic 

results should be publicly accessible shortly after 

their  publication.  Further  recommendations  on 

the subject of access concern experimenting with 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

105  http://ec.europa.eu/research/era/index_de.html.
106  http://ec.europa.eu/information_society/activities/digital_libraries/index_en.htm.
107  Dewatripont, Mathias et al., Study on the Economic and Technical Evolution of the Scientific Publication Markets in Europe. Final Report, commissioned by 

DG Research, European Commission, 2006, http://ec.europa.eu/research/science-society/pdf/scientific-publication-study_en.pdf.

121

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Chapter•5

International Context

business  models,  including  dissemination  as  an 

relevant document states that ‘EURAB recom-

evaluation  criterion  of  academic  work,  and  inter-

mends  that  the  Commission  should  consider 

operability. With regard to market issues, the study 

mandating  all  researchers  funded  under  FP7 

proposes  price  strategies  that  promote  competi-

to 

lodge  their  publications  resulting 

from 

tion and a close investigation of company mergers. 

EC-funded research in an Open Access reposi-

In addition, a proposal is made to set up an advi-

tory  as  soon  as  possible  after  publication,  to 

sory  board  for  publication  issues  and  to  support 

further research on copyright, alternative forms of 

be made openly accessible within 6 months at 
the latest.’(109)

distribution, and technological developments.

In the run-up to a conference to take place in mid-

At the end of 2006, two bodies associated with 

February 2007 and to the planned adoption of a 

the  European  Commission  spoke  out  expli-

Communication from the European Commission 

citly  in  favour  of  Open  Access.  The  Scientific 

on  access,  dissemination  and  preservation, 

Council  of  the  European  Research  Council 

Denmark’s  electronic  research  library  (DEFF), 

(ERC), which was set up in connection with the 

the  German  Research  Foundation  (DFG),  the 

Seventh Framework Programme for Research 

Joint Information Systems Committee (JISC), the 

and  Technological  Development,  published  a 

Scholarly  Publishing  and  Academic  Resources 

statement on Open Access in December 2006. 

Coalition (SPARC) Europe and the Dutch organi-

This  document  underlines  that  ‘it  is  the  firm 

sation  for  the  collaboration  of  higher  education 

intention of the ERC Scientific Council to issue 

institutions  (SURF)  launched  a  petition  support-

specific guidelines for the mandatory deposit in 

ing  the  recommendation  of  the  study  described 

Open Access repositories of research results — 

above, which stated that publicly funded research 

that is, publications, data and primary materials 

results should be made publicly accessible shortly 

—obtained  thanks  to  ERC  grants,  as  soon  as 
pertinent repositories become operational’.(108) 

after publication. On 15 February 2007, this peti-
tion was handed over to Commissioner Potočnik 
with more than 20 000 signatures. Signatures can 

The  European  Research  Advisory  Board 

still be added (http://www.ec-petition.eu). 

(EURAB)  recommended  that  the  European 

Commission  adopt  an  Open  Access  policy 

As  a  countermove,  publishers  and  publishing 

for  publications  that  are  financed  by  the 

associations  issued  the  ‘Brussels  Declaration 

Framework  Programme  for  Research.  The 

on  STM  Publishing’  on  13  February.  This 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

108  http://erc.europa.eu/pdf/open-access.pdf.
109  http://ec.europa.eu/research/eurab/pdf/eurab_scipub_report_recomm_dec06_ en.pdf.

122

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International Context

declaration names a list of principles supported 

information across the Union [… and to point] to 

by the publishers, including the fact that they are 

the need for a continuing policy debate.’

responsible  for  the  organisation  of  peer  review 

and  that  a  uniform  change  of  the  publishing 

The  last  part  of  the  communication  sets  out  the 

system  (‘one  size  fits  all’)  cannot  work  (http://

Commission’s  position.  It  considers  ‘initiatives 

www.stm-assoc.org/brussels-declaration/). This 

leading  to  wider  access  to  and  dissemination  of 

declaration was handed over to Commissioner 
Potočnik  with  approximately  40  signatures  on 
15  February.  Signatures  can  still  be  added  to 

scientific information’ to be ‘necessary’ and states 

that  ‘fully  publicly  funded  research  data  should  in 

principle be accessible to all’. In addition it ‘draws 

this document, too.

particular attention to the need for clear strategies 

for the digital preservation of scientific information.’

The  conference,  entitled  ‘Scientific  publishing 

in 

the  European  Research  Area:  access, 

The European Commission aims at ‘measures to 

dissemination  and  preservation  in  the  digital 

promote better access to the publications result-

age’ organised by the European Commission in 

ing  from  the  research  it  funds’:  ‘project  costs 

Brussels on 15 and 16 February 2007, attracted 

related  to  publishing,  including  Open  Access 

around 470 participants, primarily from Europe, 

publishing,  will  be  eligible  for  a  Community 

but also from other continents. The conference 
was  opened  by  Commissioner  Potočnik  and 
closed  by  Commissioner  Reding(110).  This 
the  Communication 
conference 

introduced 

financial  contribution’  and  ‘specific  guidelines 

on  the  publication  of  articles  in  open  reposi-

tories  after  an  embargo  period’  will  be  issued, 

possibly  for  programmes  being  managed  by 

adopted on 14 February ‘on scientific information 

the European Research Council. Secondly, the 

in  the  digital  age:  access,  dissemination  and 
preservation’(111).  This  communication  marks 
a  milestone  on  the  way  to  a  European  policy 

European Commission wants to finance a num-

ber of projects on the topics of preservation and 

the networking of repositories. Thirdly, it intends 

on  access,  dissemination  and  preservation, 

to  make  a  contribution  to  the  public  debate 

because  it  addresses  these  subjects  together 

through studies and the promotion of research 

on a European level for the first time. Its objective 

on the scientific publication system. In addition, a 

is to ‘signal the importance of [...] a) access to 

political debate is planned, which will include the 

and dissemination of scientific information, and 

European Parliament, the Council, the Member 

b)  strategies  for  the  preservation  of  scientific 

States, and concerned stakeholders.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

110  For details of the conference: http://ec.europa.eu/research/science-society/page_en.cfm?id=3459.
111  COM (2007) 56 final, http://ec.europa.eu/research/science-society/document_library/pdf_06/communication-022007_en.pdf The quotations are repro-
duced from the original document, fn. 1 of which states: In this Communication, the terms ‚scientific‘ or ‚science‘ refer to research activity in all scholarly 
subjects, including social sciences and the humanities (translator‘s note).

123

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Chapter•5

International Context

Open Access in the United States
By Peter Suber, Earlham College, USA

The  United  States  has  a  rich  history  of  Open 

cal Internet as well as to many special 

Access  initiatives.  In  1969  Americans  built 

collec tions. The Internet Archive sponsors 

ARPANET,  the  direct  ancestor  to  the  Internet, 

the Open Access Text Archive, Ourmedia 

for  the  purpose  of  sharing  research  without 

(http://ourmedia.org/), and the new Open 

access  barriers.  In  1966  Americans  launched 

Education Resources project, and co-

the  Education  Resources  Information  Center 
(ERIC,  www.eric.ed.gov)  and  MEDLINE(112), 
the  first  Open  Access  projects 
probably 

anywhere. 

This article(113) presents the 10 most important 
current  Open  Access  initiatives  in  the  United 

States: 

1. 

Paul Ginsparg launched arXiv (

http://arxiv.

3. 

sponsors the Open Access Million Book 

Project with Carnegie Mellon University. 

The Internet Archive has agreed to host 

a forthcoming universal Open Access re-

pository that would mirror and preserve all 

the other, willing repositories in the world, 

and accept deposits from scholars who 

don’t have repositories in their institutions 
or fields(114).
The PLoS founders —Stanford biologist 

org) in 1991. It now covers nearly every 

Patrick Brown, Berkeley biologist Michael 

branch of physics as well as mathemat-

Eisen, and Nobel laureate and former NIH 

ics, computer science, quantitative bio-

Director Harold Varmus— decided that 

logy, and nonlinear sciences. ArXiv is the 

if existing publishers would not convert 

oldest Open Access eprint archive still in 

existing journals to Open Access, then 

operation, and also one of the largest and 

they would have to become publishers 

most heavily used. It has earned a central 

themselves. PLoS (http://www.plos.org/

place in physics research worldwide. 

index.html) currently publishes six Open 

As a result of arXiv, a larger percentage 

Access journals and plans to add more. 

of physicists deposit their work in Open 

In 2005 PLoS Biology earned an impact 

Access archives, and search Open Access 

factor of 13.9, the highest ranking in the 

archives for the work of others, than 

category of general biology. 

researchers in any other field. 

4. 

There are over a dozen open-source soft-

2. 

Brewster Kahle launched the Internet 

ware packages for creating Open Access, 

Archive in 1996. From the start it provided 

Open Archive Initiative (OAI)-compliant 

Open Access to its mirror of the histori-

repositories. One of the leading, DSpace 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

112  http://www.nlm.nih.gov/databases/databases_medline.html.
113  This article is a short version of Suber, Peter, ‘Open Access in the United States’, in: Jacobs, Neil (Ed.), Open Access: Key strategic, technical and economic 

aspects, 2006, http://eprints.rclis.org/archive/00006671.

114  See Suber, Peter, ‘Getting to 100%,’ SPARC Open Access Newsletter, April 2, 2005.

http://www.earlham.edu/~peters/fos/newsletter/04-02-05.htm#oara.

124

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International Context

(http://www.dspace.org), is American. 

It was developed by MIT and Hewlett-

Packard, launched in 2002, and is now 

adopted Open Access-friendly policies or 
resolutions(115). Some of these university 
a ctions are policies to promote Open 

used in over 100 Open Access reposito-

Access; some are resolutions by the 

ries worldwide.

Faculty Senate urging the adoption of 

5. 

Until Lawrence Lessig launched Creative 

such policies; and some are decisions to 

Commons (http://creativecommons.org) in 

cancel expensive journals by the hundreds, 

2002, most Open Access initiatives gave 

accompanied by public statements on the 

no thought to Open Access-appropriate 

unsustainability of the current subscription 

licenses. Most Open Access providers 

model and the need to explore alternatives.

simply put work online with no license 

Only five universities in the world today — 

at all, leaving unclear which uses were 

none in the U.S.— mandate Open Access 

permitted and which were not, and leav-

to research articles published by faculty. 

ing users to choose between the d elay 

(They are in Australia, Portugal, the UK, 

of seeking permission and the risk of 

and two in Switzerland.) Of the 18 universi-

proceeding without it. CC licenses solved 

ties with Open Access archiving policies 

this problem and were quickly adopted by 

Open Access-inclined authors (including 

scholarly authors), musicians, film-

sufficiently strong to sign the Eprints Insti-
tutional Self-Archiving Policy Registry(116), 
only two are from the U.S. 

makers, and photographers. When PLoS 

7. 

The two most widely read discussion fo-

and BioMed Central adopted CC licenses 

rums devoted to Open Access issues are 

for their journals, many Open A ccess 

journals followed suit. Both Google and 

Yahoo now support filters that pick out 

content using CC machine-readable 

U.S.-based: The American Scientist Open 
Access Forum(117), launched in 1998 and 
the SPARC Open Access Forum(118), 
launched in 2003. 

l icenses. CC launched Science Com-

8. 

The U.S. has several Open Access 

mons in early 2005, it now has projects 

advocacy organisations: SPARC (http://

in Open Access publishing and archiving, 

www.arl.org/sparc) is a coalition of more 

Open Access data and databases, and 

than 200 research institutions founded in 

licenses optimised for scientific content.

1998. Its early focus was on introducing 

6. 

A large number of U.S. universities have 

competition into the journal marketplace 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

115  Suber, Peter, ‘University actions for Open Access or against high journal prices’,

http://www.earlham.edu/~peters/fos/lists.htm#actions.

116  http://www.eprints.org/openaccess/policysignup/.
117  http://american-scientist-open-access-forum.amsci.org/archives/American-Scientist-Open-Access-Forum.html.
118  http://www.arl.org/sparc/soa/index.html#forum.

125

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Chapter•5

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and making journals more affordable. But 

request for the requirement and extend-

since the Budapest Open Access Initia-

ing the permissible delay to 12 months 

tive in 2002, it has worked actively for 

after publication. The policy ‘strongly 

Open Access. Public Knowledge (http://

encourages’ grantees to deposit their 

www.publicknowledge.org) was founded 

work in PMC ‘as soon as possible’ after 

in 2001 to speak for the public interest in 

publication. Open Access proponents 

information policy. 

  While SPARC and Public Knowledge 

were active in promoting Open Access 

before Congress asked the National 

criticised the weakness of the new policy, 

while opponents criticised its remaining 
strength(121).
However, there are several reasons to 

Institutes of Health (NIH) to develop an 

think that the NIH will soon strengthen 

Open Access policy in mid-2004, the 
Open Access Working Group  (OAWG)(119) 
and the A lliance for Taxpayer Access(120)
(ATA) sprang into existence in order to 
support Open Access policy in the federal 

the policy in both of the critical respects. 

In particular two bills now pending before 

Congress: the CURES Act and the Fed-

eral Research Public Access Act of 2005.

Chief among NIH’s other notable Open Ac-

government. The OAWG consists mainly 

cess initiatives is PubMed Central, the OAI-

of different Library Associations. The 

compliant repository where the NIH asks 

ATA is a coalition of US-based non-profit 

its grantees to deposit their work. PubMed 

organisations working for Open Access to 

Central and arXiv are the largest and most-

publicly-funded research. 

9. 

The largest and most visible U.S. initiative 

10. 

used OA repositories in the world. 
The American Center for Cures Act 

is the public-access policy of the NIH 

(called the CURES Act) was introduced 

(http://www.nih.gov). In 2004, Congress 

in the U.S. Senate in December 2005. 

instructed the NIH to develop a policy 

It would create a new agency within the 

requiring Open Access to the results of 

NIH, the American Center for Cures, 

NIH-funded research and require it to be 

whose primary mission would be to trans-

available online within six months of its 

late fundamental research into therapies. 

publication in peer-reviewed journals. The 

In addition, the bill contains a notable 

final version of the policy fell short of the 

provision on public access. The act would 

Congressional directive, substituting a 

mandate Open Access to NIH-funded 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

119  http://www.arl.org/sparc/oa/oawg.html.
120  http://www.taxpayeraccess.org.
121  Suber, Peter, ‘The final version of the NIH public-access policy’, SPARC Open Access Newsletter, March 2, 2005, 

http://www.earlham.edu/~peters/fos/newsletter/03-02-05.htm#nih.

126

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International Context

research within six months of publication, 

and extend the same policy to all medical 

research funded by the larger Department 

of Health and Human Services.The Fed-

eral Research Public Access Act (FRPPA) 

was introduced in the Senate in May 

2006. It would mandate Open Access to 

nearly all federally-funded research within 

six months of publication. The FRPAA 

Act directs all major federal agencies that 

fund research to adopt Open Access poli-

cies within a year and lays down strong 

guidelines for those policies. For this pur-

pose, an agency is major if its research 

budget is $100 million/year or more. 

Ten agencies fall into this category. Both 

the CURES Act and FRPPA Act have 

bipartisan support in Congress, but as we 

go to press it’s too early to assess their 

chances. If one of these bills is passed, 

then the world’s largest funder of medi-

cal research will have one of the world’s 

strongest Open Access policies.

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National non-European Initiatives: Open Access in India — 
the Status Quo 
By Mangala Hirwade, Shivaji Science College, Nagpur, Maharashtra (India)

India’s•national•
Open•Access•policy•••••••

Open•Access•archiving•••••

The  Institute  of  Mathematical  Sciences  in 

The Right to Information Act, which came into 

effect in 2005, has had an impact on publicly 

financed research: since this act was passed, 

Chennai,  one  of  the  first  institutions  in  Open 
Access archiving in India, set up a mirror(123) for 
the  Open  Access  archive  arXiv  in  1997.  Even 

all citizens have had the right to know the results 

though there are more than 29 open reposito-

and social benefits of this type of research.

ries available in India, so far only 16 are listed 

in  the  Directory  of  Open  Access  Repositories 

The  Indian  government  expects  authors  to 

(DOAR) (as of 6 April 2007).

make  their  works  accessible  preferably  free 

of  charge  if  they  are  the  result  of  publicly 

funded  research.  The  special  session  on  the 

subject  of  Open  Access,  which  took  place  at 

Open•Access•journals••••••

the  93rd  Science  Congress  in  Rajendranagar 

The Open J-Gate portal (http://www.openj-gate.

(Hyderabad)  on  6  January  2006,  expressed  a 

com/), which was set up by Informatics India Ltd. 

recommendation for an ‘Optimal National Open 

in 2006, provides electronic access to global jour-

Access  Policy’.  The  recently  formed  National 

nal  literature  and  contains  3  801  Open  Access 

Knowledge Commission of India (NKC) and the 

journals (as of 3 May 2007). Currently there are 

National  Association  of  Software  and  Service 

108  Indian  research  journals  providing  Open 

Companies of India (NASSCOM) together with 

Access  to  full  texts.  They  are  mostly  published 

other organisations support the ‘open course-
ware’ movement(122) in India for the purpose of 
improved distribution of knowledge resources. 

by six journal publishers: Medknow Publications, 

Indian  Medlars  Centre  of  National  Informatics, 

Indian  Academy  of  Sciences,  Indianjournals.

The NKC also formulates Open Access policies 

com, Kamla-Raj Enterprises and Indian National 

and guidelines for the sphere of higher educa-

Science Academy. None of these Open Access 

tion,  research  and  development  with  the  goal 

journals demands an author’s fee. They finance 

of  improving  access  to  research  results  and 

their operation by subscriptions, advertisements 

achieving their worldwide dissemination.

or grants.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

122 

‘Open courseware‘ is freely accessible study material (ed.).

123  A ‘mirror‘ is the name given to an exact copy of data in computer networks (ed.).

128

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International Context

Initiatives•for•open•source•
software• ••••••••••••••

Metadata•search•services•••

India  has  six  significant  metadata  search  ser-

The  Open  Source  Software  Resource  Centre 

vices:  Open  J-Gate,  Search  Digital  Libraries 

(OSSRC) was founded by IBM India, the Centre 

(SDL), CASSIR, Seed, Knowledge Harvester@

for  Development  of  Advanced  Computing 

INSA and the Cross Journal Search Service of 

(C-DAC) and the Indian Institute of Technology 

Scientific Journal Publishing in India (SJPI).

with  the  goal  of  significantly  promoting  the 

development of open source software in India.

The  MAHITI.ORG 

(http://www.mahiti.org/) 

org   anisation  provides  services  in  the  area  of 

information and communications technology that 

are based on free/open source software, includ-

Open•Access•—•
the•perspective•of•scientists•
and•scholars• •••••••••••

ing a purely offline version of Wikipedia.org. 

Academics  in  India  see  the  advantages  of 

Open•Courseware••••••••

Open Access on the one hand in its simplified, 

free  access  to  knowledge,  which  would  par-

ticularly  benefit  developing  countries,  and,  on 

the other hand, in its potential to reach a very 

The  Indira  Gandhi  National  Open  University 

large readership.

(IGNOU) and the National Council of Educational 

Research  (NCERT)  are  leaders  in  the  area  of 

Many  Indian  academics,  however,  still  do  not 

‘open  courseware’  (OCW).  IGNOU  produces 

consider  Open  Access  an  attractive  proposi-

materials  for  private  study,  offers  educational 

tion. Their criticism is that research institutions, 

television  on  different  channels,  and  initiated 

funding  bodies  and  government  authorities 

the  founding  of  the  National  Digital  Repository 

are  paying  too  little  attention  to  the  issue. 

for  OCW.  NCERT  is  in  the  process  of  making 

They say that neither research institutions nor 

schoolbooks freely available — mainly in English, 

government  bodies  recognise  Open  Access 

Hindi and Urdu — to students and teachers via 

publications  or  create  incentives  to  publish 

its website (www.ncert.nic.in). 

research results via Open Access. According to 

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Chapter•5

International Context

researchers, a complete and accessible reposi-

tory of Open Access publications is missing, as 

Conclusion•••••••••••••

are the ne cessary experience with Open Access 

So far, there are only a few open archives and 

publishing and the required infrastructure, e.g. 

Open Access initiatives in India, and there is still 

in  the  form  of  hardware  and  electronic  data 

a long way to consolidation. Indian academia, 

links with high transmission rates. Finally, there 

however, under the active participation of gov-

is  criticism  that  there  is  no  national  umbrella 

ernment authorities and publishers, has taken 

organisation which both upholds a clear policy 

a first step in this direction. Indian researchers 

in the area of Open Access and has the neces-

see  the  value  of  Open  Access  journals  and 

sary competencies to promote it.

archives particularly in the increased visibility of 

Many scientists and scholars believe that pub-

and  the  potential  for  knowledge  to  become 

lishers of renowned journals would not accept 

usable more quickly by society.

information, the higher citation rate of articles, 

the archiving of research works in Open Access 

repositories.  In  actual  fact,  however,  even 

renowned journals allow authors to archive pre-

prints and postprints. In addition, scientists and 

scholars fear that the assessment of the impact 

of their research results would be difficult if they 

were  not  published  in  standard  journals.  Not 

least,  they  argue,  jobs  and  distinctions  are 

often awarded on the basis of the impact fac-

tor of a journal in which relevant research works 

are published.

Despite 

these  concerns, 

the  National 

Institute  of  Technology  in  Rourkela  decided 

in May 2006 that Open Access archiving of 

all of the institute’s research works, including 

doctoral  dissertations  and  master’s  theses, 

was mandatory.

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

130

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International Initiatives
By Andreas Hübner, Helmholtz Association of German Research Centres 

A  large  number  of  international  Open  Access 

they  refer  to  improved  access  to  information. 

initiatives  strive  for  the  implementation  of  the 

Unlike the (sometimes very advanced) debate 

idea of Open Access. A few of the most impor-

on  Open  Access  in  developed  countries,  the 

tant ones are introduced below.

documents  passed  by  the  summit  also  focus 

WSIS•(World•Summit•on•the•
Information•Society)•••••••

on  measures  to  overcome  the  global  digital 

divide,  in  other  words  they  also  focus  on  the 

development  of  basic  technologies  and  infra-

structure in the world’s less developed regions 

as a prerequisite for Open Access to informa-

After  the  Internet  became  a  mass  medium 

tion.  The  Declaration  of  Principles  states  with 

during  the  1990s  and  the  relevance  of  ‘infor-

regard to Open Access: ‘We strive to promote 

mation  as  a  raw  material’  within  the  global 

universal access with equal opportunities for all 

society became more and more clear, politicians 

to  scientific  knowledge  and  the  creation  and 

increasingly  had  to  address  the  question  of  a 

dissemination  of  scientific  and  technical  infor-

global  framework  for  the  information  so ciety. 

Following  some  (trans)national  initiatives,  this 

mation,  including  Open  Access  initiatives  for 
scientific publishing’(124).

resulted in the idea of a ‘World Summit on the 

Information  Society’,  which  was  taken  up  by 

The  Plan  of  Action  is  intended  to  guarantee 

the UN  in  2001. The summit was  held  in two 

the concrete implementation of the visions and 

phases  as  part  of  the  implementation  of  the 

tenets formulated in the Declaration of Principles 

UN Millennium Declaration: in Geneva in 2003, 

by 2015. One of the plan’s eleven central points 

and in Tunis in 2005. One of the summit’s spe-

of action is entitled ‘Access to Information and 

cial  features  was  the  participation  not  just  of 

Knowledge’  and 

formulates  recommenda-

go vernments  but  of  all  involved  stakeholders, 

tions  for  governments  and  others,  in  order  to 

i.e. business representatives and civil society.

achieve  improved  access  to  information.  One 

of  the  measures  the  Plan  of  Action  states  in 

The  Declaration  of  Principles  and  the  Plan  of 

this  regards  is  the  following:  ‘Encourage  ini-

Action  passed  in  Geneva  after  some  tough 

tiatives  to  facilitate  access,  including  free  and 

wrangling  about  wording  are  not  binding 

affordable access to Open Access journals and 

under  international  law,  but  were  rather  for-

mulated  as  an  appeal.  Amongst  other  things, 

books,  and  open  archives  for  scientific  infor-
mation’(125). In order to implement the different 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

124  http://www.itu.int/dms_pub/itu-s/md/03/wsis/doc/S03-WSIS-DOC-0004!!PDF-E.pdf. paragraph 28.
125  http://www.itu.int/wsis/docs/geneva/official/poa.html. paragraph C3, 10 i.

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Chapter•5

International Context

courses  of  action,  first  consultation  meetings 

world’s less developed regions, the OECD, as the 

were  held  in  October  2006,  where  UNESCO 

coordinating committee of the 30 leading deve-

was  confirmed  as  an  official  facilitator  for  the 

loped countries in the area of economic po licy, 

areas ‘Access to Information and Knowledge’ 

is  mainly  concerned  with  the  impact  of  Open 

and ‘E-science’, amongst others. At the same 

Access on economics and research policy.

time working to pics were developed. 

In  January  2004,  a  Declaration  on  access  to 

The documents passed by WSIS in Geneva are 

publicly  funded  research  data  was  passed. 

the  lowest  common  denominator  to  which  the 

In  addition  to  the  OECD  states,  China,  Israel, 

UN’s 192 Member States could agree. As a result, 

the Russian Federation, and South Africa also 

they are carefully formulated and concerned with 

signed  the  document.  Amongst  other  things, 

balancing  interests,  not  least  when  it  comes  to 

they  acknowledge  their  commitment  to  the 

Open  Access.  This  was  particularly  criticized  by 

principles  of  balance,  transparency,  good 

representatives  of  civil  society,  causing  them  to 

scientific and scholarly practice, and the obser-

formulate their own final document, which speaks 

vation of quality and security standards. In this 

more clearly and sees itself as an important sup-

spirit,  the  OECD  Council’s  recommendation 

plement to the official documents. The documents 

regarding  access  to  publicly  funded  research 

passed by WSIS in Tunis (Tunis Commitment and 

data  was  published  in  December  2006.  This 

Tunis Agenda for the Information Society) do not 

document expresses a clear recommendation 

go  any  further  than  the  documents  passed  in 

for  the  signatory  states  to  legislate  towards 

Geneva with regard to Open Access, but they do 

Open  Access.  In  addition,  the  OECD  Council 

expressly confirm them.

OECD•(Organisation•for•
Economic•Cooperation•
and•Development)•••••••••

seeks  to  monitor  the  implementation  of  the 

recommendation in the individual states and to 

adapt  the  guidelines  to  new  developments  in 

technology and scientific practice if need be. 

Besides  Open  Access  to  data,  the  OECD 

also  adopted  a  position  with  regard  to  Open 

Access in the entire area of publicly funded sci-

In contrast to the documents passed by WSIS, 

entific and scholarly publishing. A report was 

which  take  a  more  comprehensive  look  at  the 

published in September 2005, which provides 

132

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International Context

detailed  descriptions  of  economic  structures 

Access  to  Scholarly  Literature  and  Research 

and  added-value  chains,  as  well  as  of  exist-

Documentation’  (February  2004).  This  state-

ing and new business models based on online 

ment  states  IFLA’s  support  of  the  principles 

access.  It  concludes  with  ‘Challenges  and 

underlying Open Access, including the defence 

Policy  Considerations’.  This  report,  like  the 

of  authors’  rights,  opposition  to  any  kind  of 

declaration  on  the  subject  of  research  data 

censorship, affordable access for individuals in 

(see  above),  recommends  maximum  access 

developing countries, and the support of sus-

to  research  results  in  order  to  obtain  greater 

tainable Open Access publi cation models.

social benefit.

In  1997,  IFLA  set  up  the  committee  on  ‘Free 

While  the  OECD  has  made  a  statement  on 

Access 

to 

Information  and  Freedom  of 

Open  Access  to  research  data  in  the  binding 

Expression’. This committee deals with article 

form  of  a  declaration  whose  implementation 

19 of the United Nations Universal Declaration 

is  to  be  monitored,  Open  Access  to  general 

of  Human  Rights  in  so  far  as  it  is  relevant  to 

research  results  has  so  far  only  been  recom-

libraries. With regard to freedom of opinion, this 

mended in the above-mentioned report. 

article demands that everyone should be able 

IFLA•(International•Federation•
of•Library•Associations•and•
Institutions)••••••••••••••

to  seek,  receive  and  impart  information  and 

ideas  regardless  of  frontiers.  Important  IFLA/

FAIFE  documents  include  the  ‘IFLA  Internet 

Manifesto’ (May 2002) and the ‘IFLA/UNESCO 

Internet  Manifesto  Guidelines’ 

(September 

2006).  Amongst  other  things,  the  Internet 

Manifesto  calls  upon  the  international  com-

Founded  in  1927,  IFLA  sees  itself  as  the 

munity  and  national  governments  to  promote 

leading  global  representation  of  libraries  and 

the development of information structures and 

information  services.  IFLA  feels  committed 

worldwide  Internet  access.  The  guidelines 

to  the  principle  of  Open  Access,  particularly 

mainly address libraries and go into some detail 

with  regard  to  access  to  academic  literature 

inter  alia  regarding  programmes  for  Internet 

in developing countries. In the past few years, 

access as well as the development of services 

several declarations on Open Access have been 

in libraries in order to make strategy decisions 

passed, such as the ‘IFLA Statement on Open 

in these areas easier.

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UNESCO•(United•Nations•
Educational,•Scientific•and•
Cultural•Organisation)• ••••

of  the  Action  Lines  ‘Access  to  Information 

and  Knowledge’  and  ‘E-science’.  In  addition, 

UNESCO  is  working  with  many  other  initia-

tives  in  the  area  of  access  to  information  and 

knowledge, where it takes on a supporting and 

UNESCO supports the creation of Knowledge 

facilitating role, as for example with the formu-

Societies in which everyone has access to infor-

lation of the IFLA/UNESCO Internet Manifesto 

mation and knowledge. It places its emphasis 

Guidelines. They state that ‘unhindered access 

on  education  and  development  and  includes 

ethical, social and political perspectives.

to information is essential to freedom, equality, 
global understanding and peace’(127).

The  UNESCO  Recommendation  concerning 

the Promotion and Use of Multilingualism and 

Universal  Access  to  Cyberspace,  which  was 

passed in autumn 2003, calls for the promotion 

of Open Access solutions: ‘Member States and 

international  organisations  should  encourage 

SPARC•(Scholarly•Publishing•
and•Academic•Resources•
Coalition)• •••••••••••••

Open  Access  solutions  including  the  formula-

SPARC  was  founded  in  1998  with  its  seat 

tion of technical and methodological standards 

in  Washington  DC  (USA)  as  an  international 

for 

information  exchange,  portability  and 

alliance  of  university  and  research  libraries. 

interoperability, as well as online accessibility of 

Originally  concerned  with  increasing  compe-

public  domain  information  on  global  informa-
tion networks’(126). Member States report back 
every four years on their implementation of this 

tition  in  the  publications  market  with  the  goal 

of  lowering  journal  prices,  SPARC  has  now 

become an important international action plat-

‘Cyberspace Recommendation’.

form, which is developing new communication 

models  for  academic  publishing  in  coopera-

UNESCO  is  significantly  involved  in  the  pro-

tion  with  other  initiatives  and  partners  and  is 

cess of the ‘World Summit on the Information 

committed  to  Open  Access.  More  than  220 

Society’  and  plays  an  important  role  in  the 

mainly  North  American  libraries  are  members 

implementation  of  the  Geneva  Plan  of  Action. 

of  SPARC  (as  of  January  2007).  In  addition, 

For one, it has been named an official facilitator 

several  large  library  organisations  from  all 

•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••

126  http://portal.unesco.org/en/ev.php-URL_ID=17717&URL_DO=DO_TOPIC&URL_SECTION=201.html. paragraph 18.
127  http://www.ifla.org/faife/policy/iflastat/Internet-ManifestoGuidelines.pdf.

134

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International Context

around  the  world  are  associated  members. 

SPARC  Europe  was  founded  in  2001  as  an 

independent  spin-off  of  SPARC  and  currently 

has  more  than  100  members.  These  are  also 

associated, as are the more than 600 libraries 

of SPARC Japan, which started work officially 

in  December  2006.  SPARC  provides  informa-

tion  on  authors’  rights  (development  of  an 

addendum  to  authors’  contracts),  supports 

openly  accessible  and  inexpensive  journals 

(Publisher  Partner  Program),  and  offers  stra-

tegic  and  practical  advice  for  publishers  who 

wish  to  get  involved  in  Open  Access  publish-

ing  (Publisher  Assistance  Program).  SPARC 

is supported by US-lobby groups such as the 

Open Access Working Group (OAWG) and the 

Alliance  for  Taxpayer  Access  (ATA)  and  thus 

plays  an  important  role  in  the  political  arena, 

particularly in the United States.

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135

List of authors

List of authors
We would like to thank the following authors for their contributions:

Altenhöner, Reinhard
Head of IT Department, German National Library (Deutsche 

Dobratz, Susanne
University Library of the Humboldt-Universität zu Berlin, Head 

Nationalbibliothek)

of the ‘Electronic Publishing’ group (Universitätsbibliothek der 

•••••••••••••••••••••••••••••••••••••••••••••

Humboldt-Universität zu Berlin)

•••••••••••••••••••••••••••••••••••••••••••••

Bauer, Korinna
Impulse and Networking Fund, Helmholtz Association;

Open Access Commissioner of the Helmholtz Association of 

Erben-Russ, Dr Michael
Head of the Department of Information Management, 

German Research Centres (Helmholtz-Gemeinschaft Deutscher 

Fraunhofer-Gesellschaft, Munich

Forschungszentren)

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

Beger, Prof. Gabriele
Director of Hamburg State and University Library (Staats- und 

Fournier, Dr Johannes
Scientific Library Services and Information Systems Division, Ger-

man Research Foundation (Deutsche Forschungsgemeinschaft)

Universitätsbibliothek Hamburg Carl von Ossietzky); President of the 

•••••••••••••••••••••••••••••••••••••••••••••

Association of German Libraries (Deutscher Bibliotheksverband e.V.)

•••••••••••••••••••••••••••••••••••••••••••••

Bodenschatz, Prof. Eberhard
Business and Academic Director of the Max Planck Institute for 

Dynamics and Self-Organisation, Göttingen (Max-Planck-Institut 

für Dynamik und Selbstorganisation); Editor-in-Chief, New 

Journal of Physics

Gersmann, Prof. Gudrun
Director of the Department of History, University of Cologne 

(Universität zu Köln)

•••••••••••••••••••••••••••••••••••••••••••••

Gradmann, Prof. Stefan
Department of Library and Information Science, Humboldt-

•••••••••••••••••••••••••••••••••••••••••••••

Universität zu Berlin

Braunmühl, Patrick von
Head of the Economic and Legal Affairs Section and Deputy 

Director of the Federation of German Consumer Organisations 

•••••••••••••••••••••••••••••••••••••••••••••

Herb, Ulrich
Repository Manager and Open Access Commissioner, Saarland 

(Verbraucherzentrale Bundesverband)

State and University Library (Saarländische Universitäts- und 

•••••••••••••••••••••••••••••••••••••••••••••

Landesbibliothek)

Campbell, Robert
Senior Publisher, Wiley-Blackwell

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

Hirwade, Dr Mangala
Librarian, Shivaji Science College, Nagpur, Maharashtra (India)

•••••••••••••••••••••••••••••••••••••••••••••

136

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List of authors

Horstmann, Dr Wolfram
CIO Scholarly Information at Bielefeld University, Bielefeld 

Mruck, Dr Katja
Coordinator E-Publishing/ Open Access, 

University Library (Universitätsbibliothek Bielefeld)

Centre for Digital Systems, Freie Universität Berlin

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

Hübner, Dr Andreas
Open Access Co-ordination Bureau, Helmholtz Association of 

Peifer, Prof. Karl-Nikolaus
Chair of Civil Law including Copyright Law, Industrial Property 

German Research Centres (Helmholtz-Gemeinschaft Deutscher 

Protection, New Media and Commercial Law, University of 

Forschungszentren)

Cologne (Universität zu Köln)

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

Kuhlen, Prof. Rainer
Chair of Information Science, University of Konstanz (Universität 

Pfeiffenberger, Dr Hans
Deputy Head of the Computing Centre, Alfred Wegener Institute 

Konstanz); Spokesman of the Coalition for Action ‘Copyright 

for Polar and Marine Research, Bremerhaven (Alfred-Wegener-

for Education and Research’ (Aktionsbündnis ‘Urheberrecht für 

Institut für Polar- und Meeresforschung); Spokesman of the 

Bildung und Wissenschaft’)

Open Access working group of the Helmholtz Association of 

•••••••••••••••••••••••••••••••••••••••••••••

German Research Centres (Helmholtz-Gemeinschaft Deutscher 

Lossau, Dr Norbert
Director of the Göttingen State and University Library (Staats- 

und Universitätsbibliothek Göttingen)

•••••••••••••••••••••••••••••••••••••••••••••

Lux, Prof. Claudia
President of the International Federation of Library Associations 

Forschungszentren)

•••••••••••••••••••••••••••••••••••••••••••••

Pflüger, Dr Thomas
State Ministry of Science, Research and the Arts of Baden-

Württemberg (Ministerium für Wissenschaft, Forschung und 

Kunst Baden-Württemberg); Working Group on Libraries of 

the Standing Conference of State Ministers of Education and 

and Institutions

Cultural Affairs (Kultusministerkonferenz)

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

Meinecke, Isabella
Head of the Hamburg University Press at the Hamburg State and 

Pöschl, Dr Ulrich
Group leader, Max Planck Institute for Chemistry, 

University Library (Staats- und Universitätsbibliothek Hamburg 

Mainz (Max-Planck-Institut für Chemie); Editor-in-Chief, 

Carl von Ossietzky)

Atmospheric Chemistry and Physics

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

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137

List of authors

Ramjoué, Dr Celina
Governance and Ethics Unit, Research Directorate-General, 

Sietmann, Richard
Science Journalist

European Commission

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

Rave, Peter
Advisor for Information and Communication Technologies, 

German Technical Cooperation (Gesellschaft für Technische 

Zusammenarbeit, GTZ)

•••••••••••••••••••••••••••••••••••••••••••••

Schimmer, Dr Ralf
Head of the Department of Information Provision, Max Planck 

Steegers, Dr Robert
Leibniz Association, Bonn Office

•••••••••••••••••••••••••••••••••••••••••••••

Suber, Prof. Peter
Open Access Project Director at Public Knowledge; Senior 

Researcher at the Scholarly Publishing and Academic Resources 

Coalition (SPARC); Research Professor of Philosophy, Earlham 

College, Richmond, Indiana (USA)

Digital Library

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

Schirmbacher, Prof. Peter
Department of Library and Information Science and Director of 

Tauss, Jörg
Member of the German Bundestag (MdB); Spokesman on Edu-

cation, Research and Media for the SPD Parliamentary Group in 

the Computer and Media Center, Humboldt-Universität zu Berlin

the Bundestag

•••••••••••••••••••••••••••••••••••••••••••••

•••••••••••••••••••••••••••••••••••••••••••••

Schultz, Dr Elmar
Head of Section of E-learning, E-science, Statistics and Continu-

Velterop, Jan
Director of Open Access, Springer Science+Business Media

ing Education, German Rectors’ Conference, Bonn (Sekretariat 

•••••••••••••••••••••••••••••••••••••••••••••

der Hochschulrektorenkonferenz)

•••••••••••••••••••••••••••••••••••••••••••••

Schwens, Ute
Permanent Representative of the Director-General of the German 

National Library (Deutsche Nationalbibliothek)

•••••••••••••••••••••••••••••••••••••••••••••

Vock, Rubina
Centre for Digital Systems, Freie Universität Berlin; Project Co-

ordinator of open-access.net

•••••••••••••••••••••••••••••••••••••••••••••

138

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List of authors

Voges, Dr Wolfgang
Max Planck Institute for Extraterrestrial Physics (Max-Planck-

Institut für extraterrestrische Physik), Garching

•••••••••••••••••••••••••••••••••••••••••••••

Wates, Edward
Global Journal Content Management Director, Wiley-Blackwell

•••••••••••••••••••••••••••••••••••••••••••••

Wiedemann, Dr Verena
Secretary-General of the Association of German Public Service 

Broadcasters (ARD)

•••••••••••••••••••••••••••••••••••••••••••••

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139

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European Commission

EUR 23459 —  Open Access – Opportunities and challenges – A handbook (European 

Commission/German Commission for UNESCO)

Luxembourg: Office for Official Publications of the European Communities

2008 — 144 pp. — 14.8 x 21.0 cm

ISBN  978-92-79-06665-8

DOI 

10.2777/93994

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