Transformative Agreements and Institutional Open Access Policies, Principles, and Strategies

“In March 2021 the University of California announced a four-year transformative agreement with Elsevier covering reading access and open-access publishing for UC authors. While there continues to be significant discussion over the merits of UC’s approach, one aspect of this agreement that has not been widely discussed is how it relates to UC’s open access policies for research articles written by anyone employed by UC.

Given the great interest in UC’s agreement and policies, this event will focus on helping attendees understand the mechanics of UC’s approach to furthering open access to scholarship. Ellen Finnie, Open Access Publisher Agreements Manager for the UC Office of Scholarly Communication, will provide a brief presentation on the interaction of the transformative agreement and UC’s OA policies, principles, and strategies, followed by plenty of time for discussion.

This event is co-sponsored by the OA2020 US Working Group and Community of Practice and the Coalition of Open Access Policy Institutions (COAPI). All are welcome to attend.”

Stakeholder alignment in preparation for negotiating open access agreements

“This Community of Practice Call is coordinated by the US OA2020 Working Group for library faculty and staff who wish to learn and share knowledge around the practical aspects of Negotiating and Implementing OA and Transformative Agreements. This third session will focus on strategies to secure stakeholder alignment around transformative and open access agreements.

With the open access transition ushering in a new paradigm in scholarly publishing, the calls are intended to be an opportunity to ask questions, offer expertise garnered through experience, and build a culture of information-sharing within the library community around elements such as stakeholder alignment, data gathering and analysis, library workflows, budgeting, staff organization, metadata standards, value assessment criteria and more….”

OA2020 Progress Report

“To date, the OA2020 expression of interest in the Large scale implementation of Open Access to scholarly Journals has been signed by more than 140 research organizations representing over 4600 institutions from all regions….

A large number of our participants have made great strides in data gathering and analysis to understand publishing trends, track subscription and publishing expenditures, and cost-model transition scenarios. To support these efforts, a Open Access 2020 dataset has been released, enabling organizations to freely conduct analyses to better understand the volume and publisher share of the scholarly journal articles by corresponding authors from their country’s institutions, an essential step in preparing for a fully open access future….

Following the Final Statement of the 14th Berlin Open Access Conference which validated Transformative Agreements as a viable and effective method to accelerate the transition to open access, uptake of this strategy has grown considerably. The ESAC Registry of Transformative Agreements now counts more than 130 such agreements, negotiated in 19 different countries with 32 publishers large and small, leading to the publication of nearly 90,000 articles immediately open access in 2020….”

Establishing tender procedures and competition within the framework of national library consortia for open access journals | National Contact Point Open Access OA2020-DE

“The open access transformation is a declared goal of the Coalition S and the OA2020 initiative and the institutions supporting them. In order to achieve a large-scale open access transformation of journals, as many established subscription journals as possible shall be transformed into open access. To achieve this goal, transformative agreements are concluded such as those the DEAL project has been negotiating for several years with the three major international scientific publishers (Elsevier, Springer Nature and Wiley). In Germany, the 13+ group established by the “Alliance of Science Organisations” Working Group “Scientific Publication System” is aiming at similar negotiations with further thirteen large publishing houses. In addition, the DFG programme “Open Access Transformation Agreements” provides funding for transformative agreements.

The existing transformative agreements do not include mechanisms for the definitive flipping of journals into open access and no mechanisms to limit cost increases in the long term, as demanded by the European Commission and the European University Association, for example. Indeed, APC-based, genuine open access journals also lack mechanisms for the long-term limitation of cost increases. The price caps currently implemented in the (DFG-funded) publication funds are of limited suitability. On the one hand, they are too high for the mass of open access journals; on the other hand, they are set too low for highly selective and high-quality open access journals that are attractive to many researchers.

Against this background, we suggest to conclude pure open access contracts and, if applicable, contract components for pure open access journals within the framework of transformative agreements by tendering in secret bidding procedures as practiced by SCOAP³. The now published concept describes the intended objectives, the services to be put out to tender and a proposal for organisational implementation.

The following points summarise the objectives of the concept:

Establishing price and service competition between publishers by means of centralised tendering.
Reduction of the average article costs for consortia within the framework of open access contracts to the level of SCOAP³.
Clear definition of the services to be provided by the publishers.
Structural anchoring of APC funding for affiliated scientists….”

Taking the Temperature on Open Access Among UC Berkeley Faculty | Ithaka S+R

“To promote a publishing ecosystem where the impact of research can be maximized by removing readership barriers, the UC Berkeley Library is making many efforts to push for open access publishing, including signing the OA2020 Expression of Interest and terminating our Elsevier journal subscriptions. But what are our faculty’s opinions on these issues? The Ithaka S+R US Faculty Survey gave us an opportunity to take the temperature of Berkeley faculty’s attitudes on open access.

Do Berkeley faculty support open access? The short answer is yes….”

UC Santa Cruz joins the international effort to make research accessible to all

In June, the University of California Santa Cruz joined its sister UC campuses in taking an important step towards the goal of making all scholarly journal literature freely available to the world by endorsing the international open access (OA) initiative, OA2020Led by the Max Planck Digital Library, OA2020 is a global alliance committed to new models of scholarly publishing that ensure outputs are open and re-usable and that the costs behind their dissemination are transparent and economically sustainable.

By adding its name to the list of 136 signatory organizations, UCSC demonstrates its strong commitment to the values the UC Academic Senate has held since the adoption of its Open Access Policy in 2013. Further, it emphasizes our campus’s support of the Senate-wide UCOLASC’s Declaration of Rights and Principles to Transform Scholarly Communication and the UC Systemwide Library And Scholarly Information Advisory Committee (SLASIAC) call to action aimed at transforming how the UC Libraries approach journal negotiations….”

São Paulo Statement on Open Access | National Research Foundation

The representatives of African Open Science Platform, AmeLICA, cOAlition S, OA2020, and SciELO – five of the major worldwide Open Access initiatives – met on 01 May 2019 during the annual meeting of the Global Research Council (GRC) in Sao Paulo. They are united in their common mission of making knowledge available and accessible wherever it can have the greatest impact and help solve humanity’s challenges regardless of where it was produced.

The combined effect of the five initiatives has generated a new momentum in the push towards universal, full and immediate Open Access.

The Five Initiatives jointly state that:

  • They consider that scholarly and scientific knowledge is a global public good. When generated by public funds, free access to it is a universal right.
  • They share one common ultimate objective: providing universal, unrestricted, and immediate Open Access to scholarly information, including use and re-use by humans and machines.
  • They share the belief that this common goal can be achieved through a variety of approaches.
  • They will pursue points of alignment among their approaches and ways to co-operate towards reaching the shared objective.
  • They seek an active dialogue with all stakeholders, including researchers, research funders, universities, libraries, publishers, learned societies, governments, and citizens to take into account the diversity of the global scholarly community….”

OA2020 and cOAlition S Launch Joint Statement | Plan S

“One of several pathways pursued by OA2020 participants is to negotiate transformative agreements under which the funds previously spent for subscriptions are repurposed to cover the costs associated with open access publishing. This approach enables a swift and efficient transition to open access, in which ‘hybrid’ publishing models can be included to increase the proportion of articles published open access— without paying twice for services relating to one piece of content.

Institutions who engage in such agreements will contribute to delivering the greatest possible range in Plan S-compliant publishing options to their authors while significantly growing the proportion of research made openly available. At the same time, cOAlition S recognizes the importance, as one of three routes towards full and immediate open access, of those agreements in providing a strong incentive for scholarly publishers who have yet to pilot open access models. Publishers will find institutions and consortia willing to partner on such agreements in exchange for a commitment to a definitive transition to full and immediate open access with fair and transparent pricing. Neither the cOAlition S funders nor the OA2020 partners intend to pay for open access publishing in hybrid subscription journals outside such transformative agreements….”

OA2020 and cOAlition S Launch Joint Statement | Plan S

“One of several pathways pursued by OA2020 participants is to negotiate transformative agreements under which the funds previously spent for subscriptions are repurposed to cover the costs associated with open access publishing. This approach enables a swift and efficient transition to open access, in which ‘hybrid’ publishing models can be included to increase the proportion of articles published open access— without paying twice for services relating to one piece of content.

Institutions who engage in such agreements will contribute to delivering the greatest possible range in Plan S-compliant publishing options to their authors while significantly growing the proportion of research made openly available. At the same time, cOAlition S recognizes the importance, as one of three routes towards full and immediate open access, of those agreements in providing a strong incentive for scholarly publishers who have yet to pilot open access models. Publishers will find institutions and consortia willing to partner on such agreements in exchange for a commitment to a definitive transition to full and immediate open access with fair and transparent pricing. Neither the cOAlition S funders nor the OA2020 partners intend to pay for open access publishing in hybrid subscription journals outside such transformative agreements….”

São Paulo Statement on Open Access

“The representatives of African Open Science Platform, AmeLICA, cOAlition S, OA2020, and SciELO – five of the major worldwide Open Access initiatives – met on 1 May 2019 during the annual meeting of the Global Research Council in São Paulo, Brazil. They are united in their common mission of making knowledge available and accessible wherever it can have the greatest impact and help solve humanity’s challenges regardless of where it was produced. The combined effect of the five initiatives has generated a new momentum in the push towards universal, full, and immediate Open Access….”

São Paulo Statement on Open Access | Plan S

The representatives of African Open Science PlatformAmeLICA, cOAlition S, OA2020, and SciELO – five of the major worldwide Open Access initiatives – met on 1 May 2019 during the annual meeting of the Global Research Council in São Paulo, Brazil. They are united in their common mission of making knowledge available and accessible wherever it can have the greatest impact and help solve humanity’s challenges regardless of where it was produced.

The combined effect of the five initiatives has generated a new momentum in the push towards universal, full, and immediate Open Access.

The Five Initiatives Jointly State That:

  • They consider that scholarly and scientific knowledge is a global public good. When generated by public funds, free access to it is a universal right.
  • They share one common ultimate objective: providing universal, unrestricted, and immediate Open Access to scholarly information, including use and re-use by humans and machines.
  • They share the belief that this common goal can be achieved through a variety of approaches.
  • They will pursue points of alignment among their approaches and ways to co-operate towards reaching the shared objective.
  • They seek an active dialogue with all stakeholders, including researchers, research funders, universities, libraries, publishers, learned societies, governments, and citizens to take into account the diversity of the global scholarly community.

Deal or No Deal | Periodicals Price Survey 2019

“Pressure increases on publishers to move more quickly to open access, but this leaves many questions unanswered

For the past decade, libraries have battled declining university budgets and increasing serials expenditures. With each Big Deal package renewal or cancellation, librarians and publishers have asked themselves: Did I make the best deal? Did I make the right deal? Recent developments in open access (OA) promise to bring major reform to academic publishing and, with that, new challenges and opportunities to the way that librarians and publishers choose to deal….”

[GOAL] OA2020 Mainland China Signatory Libraries responded to Plan S Guidance on Implementation

“The followings are the discussed response to Plan S Guidance on Implementation.

01 We are in broad support of Plan S and its goals to ensure immediate and complete open access to journal articles resulting from publicly funded research to the world. We applaud the effort of Plan S to provide strong incentives to make research open access. We support an international effort to achieve this goal worldwide as soon as possible.

02 We fully recognize that the need for forceful and accountable policies by public funders in research, education, and libraries, to facilitate open access against various entrenched interests or the inertia of the status quo. We urge all in research, education, publishing, platforms, repositories, and libraries to engage diligently in transformative efforts abreast with time to meet the challenges.

03 We support the Final Conference Statement of the 14th Berlin Conference on Open Access with its commitments. We urge all the publishers to work with the global research community to effect complete and immediate open access according to the Statement.

04 We support the principles and roadmaps of OA2020 Initiative which aims to transform a majority of today’s scholarly journals from subscription to OA publishing, while continues to support new forms of OA publishing. We believe the transition process can be realized within the framework of currently available resources. We see no legitimate reasons for, and will object to, any attempts to increase spending from the original subscribing institutions in the transformation.

05 We support that authors retain copyrights of their publications in open access publishing through journals or open access platforms.

06 We support that open access publications are made under open licenses. We support the use of the CC_BY license as the preferred one but recommend that other CC licenses also be allowed as compliant to Plan S.

07 We recognize the strong need for compliant requirements, agreed by the research communities, for open access journals and platforms. We agree that infrastructural instruments like DOAJ and OpenDOAR can be utilized to help identifying and signaling compliance, but we urge that cOAlition S and other funders recognize and support other appropriate mechanisms for the purpose and require any such instruments are put under international oversight by the global research community to ensure their no-for-profit nature, inclusiveness, objectiveness, integrity, and efficiency.

08 We commend the recognition by Plan S that there exist different models of financing and paying for Open Access publication. We support an inclusive range of immediate open access publishing approaches. We support the transparency and monitoring of open access publication costs and fees.

09 We urge that cOAlition S and other funders, through Plan S or other means, provide financial support for no-fee OA journals. The wide range of support approaches to no-fee OA journals should be encouraged to enhance the diversity of open access publishing and competiveness of publishing market, and to avoid the perverse effect of giving no-fee journals an incentive to start charging fees. While the support can start with general term statements, measures can be timely designed and tested to encourage quality, integrity, transparency and openness, and increasing host investment and other diverse and appropriate income.

10 We support that where article processing charges (APCs) apply, efforts are made to establish a fair and reasonable APC level, including equitable waiver policies, that reflects the costs involved in the quality assurance, editing, and publishing process and how that adds value to the publication. We hold it very important that any such effort should take into consideration of the diversity in the world to ensure applicability and affordability of any such measures across countries and disciplines.

11 We commend the support and requirements of Plan S for financing APCs for open access publication in subscription journals (‘hybrid Open Access’) only under transformative agreements. These agreements should be temporary and transitional, with a shift to full open access within a very few years.

12 We understand the purposes and the benefits of using ORCIDs in journal publications. Considering different paces of adopting ORCID in different regions and disciplines, we recommend that it is implemented as a preferred condition, at least in the short beginning years. We recommend the same treatment for using DOI.

13 We support the Plan S recommendation that “all publications and also other research outputs deposited in open repositories.” We recommend that Plan S make full acknowledge and use of the full range of capabilities of open repositories to support open access, long-term preservation, research management, and re-use.

14 We encourage that Plan S takes the transformative green OA mechanism as one of venues to implement open access, as long as the embargo period of com

Transformation from subscription model toward OA publishing model: JUSTICE OA2020 Roadmap

“JUSTICE has seen that there is no other way to overcome the situation except to consider new models, and has been gathering information about worldwide trends. As part of information gathering, we endorsed the OA2020 Expression of Interest in August 2016, and we have analyzed Japanese financial and publication data to confirm the feasibility of transformation. Creating the JUSTICE OA2020 Roadmap is following this work. Our goal is to clarify the way to go through the transition period until a fully OA publishing model can be realized. Academic institutions, including Japanese ones, have already paid APCs(4) in addition to subscription fees as the cost of scholarly communication, and total amount of these costs have been increasing. If we leave the cost increases unchecked, we will not be able to keep the subscription model (cannot read) or pay for APCs (cannot publish). We need to shift our axis from read to publish to avoid this future, and at the same time, we have to find a model which is able to manage the total cost of publication (subscription fees plus APCs)….”

Towards 2020: progress in each of the five pillars

“In February 2017, in order to implement the European agreements in the Netherlands, the National Open Science Plan was presented by ten parties including KNAWNWO/ZonMw and VSNU/UKB. One of the main ambitions of this plan is to achieve 100% open access publication by 2020: i.e. scientific publications (articles, (sections of) books, reports) paid for by the government will be directly accessible to anyone, anywhere in the world, for consultation and reuse from 2020 onwards.

The VSNU/UKB is the driving force behind this main ambition, which means that it has the task of initiating joint policies and then ensuring coordination between the key players in the field. Together with the parties which are most closely involved, agreements have been reached for the coming period (2018 – 2020). This is still taking place under the auspices of the Ministry of Education, Culture and Science. In the coalition agreement and the 2018 Higher Vocational Education Sector Agreement, it is specified that open access and open science are the norm for scientific research.

The Open access roadmap 2018-2020 eZine focuses on the five pillars of the plan. In this version, we provide background information about the progress and developments for each pillar. You can also give your opinion on the next steps to be taken….”