Who wins after a divorce?… or how to interpret the DEAL-Elsevier new agreement

Imagine that you are a young researcher in Germany, having started your thesis in September 2018. For the last 5 years, you have had no legal access to articles published by the world’s largest publisher, Elsevier. Your institution has saved hundreds of thousands or even millions of euros, but you don’t really know where that money has gone. By contrast, on a day-to-day basis, then as a PhD student, now as a post-doc, you tinker with your access by writing to authors, asking your colleagues abroad if they can send you this article, requesting your library to buy that crucial paper, scanning preprints, using the unpaywall button or, late at night from home, typing the full combination of letters and signs to reach the platform whose name you must never utter or write.

To my knowledge, this divorce between a major publisher and a national consortium, DEAL, folowed by a reconciliation, has been the longest for a very rich country,. This post analyses how the separation happened, what is known of a long period of divorce in which no German institution had a subscription to ScienceDirect, and finally moving on to the reconciliation agreement published on September 6th, 2023 and validated in January 2024.

From harsh talks to full divorce (2016-2018)

Indeed, it was not for the lack of money that DEAL did not sign with Elsevier, but because the conditions of a signing were not met. By contrast, reading DEAL’s agreement with Springer-Nature, analysed at length 3 years ago, shows what was expected: an agreement including subscription and open access publication, all at a cost deemed reasonable by the German consortium. So how did they get to a “no deal”? As often when trying to rest on past information with institutional sites and changing policies, I shall say that most documents cited below have disappeared from the DEAL website and, therefore are captures made by the Internet archive.

At Elsevier, serving research is our paramount goal. We have therefore chosen to continue providing access to Elsevier journals for dozens of German institutions that cancelled their individual subscriptions at the end of 2016. They did so anticipating that a new Germany-wide license agreement would be in place by January this year, which we regret so far has not been achievable. We strongly believe that access to high-quality research is important for German science. The continuing access for the affected institutions will be in place while good-faith discussions about a nationwide contract carry on. This reflects our support for German research and our expectation that an agreement can be reached.”1

I hope one day some colleagues will systematically study the rhetoric of big publishers PR. Anyway, the one above is typical of a service industry which makes believe its aims are totally aligned with the ones of its clients. Imagine the reverse situation, where DEAL would state : “at DEAL, assuring service providers profit is our paramount goal…”. Back to our main topic: the unconditionnal reconnection decided by Elsevier is not something unusual: at the same time, it happened for example for Taiwanese institutions in a similar situation2. But Elsevier hopes for a soon-to-be new German agreement would not be fulfilled. Indeed, after these back and forths, the negociations stalled, leading to a full divorce by mid-2018, as stated by the German Rectors Conference, which had “no choice”:

“The excessive demands put forward by Elsevier have left us with no choice but to suspend negotiations between the publisher and the DEAL project set up by the Alliance of Science Organisations in Germany.” That was the verdict of the lead negotiator and spokesperson for the DEAL Project Steering Committee, Prof Dr Horst Hippler, the President of the German Rectors’ Conference, speaking in Bonn, where the last discussion took place this week.”3

At this point, we shall note that all cited documents are written in English, while negociations surely happened in German. DEAL had the clear intention of making its moves very public and widelly known beyond the Federal German space and Mitteleuropa.

Learning to work without simple legal access (2019-2022)

So Elsevier pulled the plug in July 2018 and everything went quiet after almost two years of turmoil. That was not a given: you could think that protest letters, petitions or lobbying from unsatisfied lay researchers would multiply as a whole nation of scientists were cut from at least a fifth of the published literature. To lift the veil on the actual frustrations and losses resulting from the switch-off, it was… Elsevier, which commissioned a survey in the summer of 2019, the summary results of which can still be seen on the pages of one news agency.

Most German researchers agree that losing access to ScienceDirect made their research activities less efficient (61%) and delayed the production of the research output (54%). High-quality research further required access to current, international research results. However, the survey shows that 49% of the scientists surveyed believed that the lack of access to new research findings leads researchers to miss current developments or to become aware of them only with a delay. 44% of respondents fear that this will have a negative impact on the quality of their research. All in all, 84% of researchers surveyed think ScienceDirect was important or somewhat important while 76% supported or strongly supported the restoration of full access to ScienceDirect in Germany.

Of course, no raw data has been published and the study itself has not been shared beyond this PR. Nevertheless, in the body of the text, Elsevier mentions another ‘independent’ study carried out by the University of Münster. Like the previous one, this is not an actual academic study, but a library survey, published only on their blog, in German. Despite its limitations (size, a single institution), it presents some interesting, and most probably unique, results on the representations of German researchers one year after the cut. In particular, the following graph should be highlighted:

Extract form Münster Univeristät Survey, which results are presented here (in German).

The orange answers indicate respondents’ agreement, and the statements have been ranked in descending order of positive responses. They show a mixed picture in terms of opinions, both across the population as a whole and for many respondents themselves. from one question to the other. Though the vast majority, namely two-thirds (66%), agreed with the statement “I need more time to get the literature” and 58% thought that the right thing to do was to put pressure on Elsevier to give in, also the option with the fewest disagreeing votes (5%). That does not imply support for the shutoff: in fact, 55% agreed that “No deal is no option – negotiations should be resumed as soon as possible”, and 46% that the lack of access was “a serious competitive disadvantage”.

While 43% agreed that “Elsevier as a profit-orientated company would only harm science”, and only 11% disagreed, only 29% would “refrain from writing or review articles for Elsevier journals” against 40% who would still perform it. After some questions on the importance of Elsevier journals and the use of spared funds, the last question shows another divisive view on the resuming of negotiations, with only 16% in favour of it – which of course was not addressed in the Elsevier PR mentioned.

These two surveys are the only public manifestations of a debate in Germany during this period. If opinions remain relatively unpublic, what about practices? Does the impossibility of immediate legal reading actually have an impact on the way German academics write, their choice to publish in Elsevier journals or their productivity? To my knowledge and through the extensive use of Matilda, only two academic articles have addressed these issues The first is counterfactual, in that it looks at the behaviour of affiliated authors in Germany in chemistry for Springer and Wiley with which DEAL has signed an agreement. Published in 2021 in economics, it only considers the first year of the agreement (2020), in comparison with the previous period and with a control group with no agreement of this type. Nevertheless, the authors are already measuring some effect :

“researchers’ submission behavior in the field of chemistry has changed to some degree, as eligible researchers have increased their publications in Wiley and Springer Nature journals at the cost of other journals. While the effect is not overly large yet, it is statistically significant, and it may increase over time, as the agreements become even more well-known among scientists. Hence, journals covered by the DEAL agreements appear to have a competitive advantage in attracting authors”.4

If agreements signed raise attractivity, then unsigned ones shoud diminish it. The second one deals with the latter by considering the evolution of publication and referencing activities of the whole population of German authors in Elsevier journals, with no control group.  Published in 2023 in scientometrics, it is based on more than 400,000 articles and more than 33M references:

“We also observe year-on-year decreases in the proportion of citations, although the decrease is smaller. We conclude that negotiations with Elsevier and access restrictions have led to some reduced willingness to publish in Elsevier journals, but that researchers are not strongly affected in their ability to cite Elsevier articles, implying that researchers use other methods to access scientific literature.”5

The two studies therefore show that the structure of publications is affected by the agreements; whether signed or not, but only marginally, at least over a short period. Furthermore, reading seems to be remarkably unaffected by the lack of legal and rapid access to the literature. To enable simple and legal reading, It is likely that other internal work has been produced by the consortium or that self-support systems have been put in place, similar to what the Swedish libraries deployed during their own breakup with Elsevier6. Beyond this study, there is anecdotal evidence, given by colleagues, but also an interview of a member of the negociation team, Dr. Bernhard Mittermaier, head of Forschungszentrum Jülich’s Central Library, which tends to show that they were following the rate of publications:

“The option to publish with Elsevier was not affected. Some scientists, however, asked me whether a publishing boycott would make sense in view of the fact that many editors from Germany – including Prof. Wolfgang Marquardt – had discontinued their work for the publisher with reference to the stalled DEAL negotiations. In fact, Elsevier’s share of all Jülich publications decreased from 26 % in 2018 to 18 % in 2022. Across Germany, there was a decline from 19 to 15 %. This may also be a reason why Elsevier returned to the negotiating table.”

In the end, it is reasonable to consider that German researchers have adapted to a life without ScienceDirect over the long term, still reading articles published by Elsevier, but publishing less in journals disseminated by it . What the French and British did not dare to attempt after lengthy negotiations, the Germans did, with very substantial savings and a diminished dependance to the biggest commercial publisher. But what happens afterwards, when the time comes for one or other of them to consider recontracting?

Dealing again… on different terms (2023-2024)

2023 began, as in previous years, without ScienceDirect for German researchers. Im Westen nichts Neues, as a fellow economist lamented :

 

Bartosz Bartkowski tweet

In fact, Elsevier had returned to the negotiating table in autumn 2022 and, after a four-year drought, seemed ready to make concessions that would have been unthinkable four years earlier. The negotiations took place behind closed doors, until the sudden announcement of their success at the beginning of September 2023, followed by the publication of the contract itself. Let’s dive into it, as DEAL has always been transparent on their agreements (nice PDF, full text and monetary information,…), published under a CC-BY-ND license7.

We will not delve into the details of the usual characteristics of this type of agreement (definition of the parties, services expected, users authorised to read, corresponding author limitations, etc.), but will instead focus on the most central elements and on some unique features compared to the bodies of agreements analysed elsewhere.8. This agreement is a “classic” Read & Publish, which includes in its core payment articles published in hybrid journals, but not articles in full open access journals, for which the fee is simply reduced by 15% or 20%. It also includes a back catalogue upgrade for all institutions, at a total cost of €10m. It is a “pay as you publish” agreement, with a PAR fee for each article, depending whether they are in a “regular journal” (2,500 €) or a Cell Press/The Lancet journal (6,450€), with an inflation rate of 3% and 4% respectively9.

This payment model has two consequences that are quite specific to this agreement. Firstly, with the exception of the back catalog, institutions have no front money to commit. Whereas in the past some agreements offered “tokens” or “waivers” for publication, the opposite is now true: you only start to pay after publication. Secondly, this provision would encourage free riding: as withalmost all agreements of this type, the corresponding author is offered, as a priority, to publish in open access under the CC-BY licence, but he or she can refuse. There is also a provision in the contract that prevents this refusal to publish in open access from being organised by counting all the publications:

“For the avoidance of doubt, the applicable PAR fee for Core Hybrid journals for the year of the acceptance date will be applied to both open access and subscription articles in these journals and to subscription articles published in Cell Press and The Lancet journals.”

So, despite the diminishing share of articles observed during the absence of agreement and the lack of front money, Elsevier has a certain guarantee of revenue as 18, 19% or 20% of the German research production will end in one of its disseminated journals. In exchange, the company had to accept very harsh conditions on the data generated by German users. A full page (section 7.6) is dedicated to Data Privacy in the agreement, with reminders of legal provisions derived from the GDOR European regulation. DEAL and Elsevier will co-supervise the whole data processing, the latter refraining from using any personal data without the consent of users. On this point, a loophole was anticipated by forbidding any general opt-in device: German colleagues will be able to fully use ScienceDirect without signing any consent. Of course, all data will be stored in one of the Member States of the European Union. The matter is so sensitive that a future workshop is planned during the first year of the contract, where part of the IP addresses would be automatically erased when IPs are not located in professional settings.

Without doubt, Elsevier’s transformation into a data company and the growing controversy surrounding its new business models on reselling user data10 has been closely observed in a country so keen on privacy. Still, despite these worries, DEAL signed the deal and did not include any fines in case these limits would be trespassed11. But what about the signing of German iHER nstitutions?

Conclusion : which savings, for which uses?

In fact, there was still a little uncertainty when the agreement was unveiled, as a four-month period was about to begin during which the institutions would each have to indicate whether they would sign the agreement. It could only be ratified if at least 70% of the institutions approved it, and fees were lower if 90% did. On 15 January 2024, DEAL announced that this second threshold had been exceeded as “nearly all of Germany’s major universities and research institutions are now participating“. Elsevier has now joined Wiley & Springer in the DEAL family, with very similar agreements focused on hybrid open access. But what does it mean from the point of view of German HER institutions? Let’s go back to Dr. Bernhard Mittermaier’s interview, who talks about his own instiution costs and the global German ones:

“Taken together, Jülich institutes will now save around € 100,000 per year on fees for hybrid open access that were previously paid to Elsevier. For Forschungszentrum Jülich as a company, the costs for Elsevier will even decrease by about 40 % than was the case under the former agreement, assuming publication figures remain the same. This corresponds to about € 300,000 per year that can be saved compared to 2018, the last year of our previous agreement with Elsevier. Elsevier’s fees per article are now much lower than they were in 2018 and similar to those charged by Wiley and Springer Nature.”Compared to 2023, however, when hybrid open access, document delivery, and pay-per-view each cost around € 100,000, additional expenditure of € 200,000 will now be incurred.

Let’s try to do the math (which does not add up), based on that paragraph in the following table, with three references, the last year of the former (local) agreement, the shut-off period and the first year of the new agreement.

Expenditures/Year 2018 2021 2024
Total 600,000€
500,000€
100,000€ 300,000€
Forschungszentrum Jülich Elsevier expendures.

The previous total cost is 500K if you follow the 40% reduction and 600K€ if you add the total savings mentioned. Whatever the case, the new deal is far below the older ones, in which German institutions were known for paying “much more” than similar institutions in Netherlands or France. Let’s now project the costs nationally:

Year pre-2018 2021 2024
Expenitures 70M-100M€
in mostly reading agreements
5-10 M€ max in Hybrid OA publishing? 30-40M€ in P&R agreement
Extimated Elsevier revenue for Germany

The first figure was never made public, but I have heard estimiations in between these two markings, The second one is very maximalistic as OpenAPC counts between, 1M€ and 1,3M€ for Elsevier in Germany for the years 2020 to 2022. The thrid one is based on the number of expected publications and the different fees defined in the agreement. So the savings have been huge during the shutdown and Elsevier lost probably at least 300M€ before resuming negiotiations. And despite losing probably around 50% of its 2018 revenue, the company prefered to sign rather than leaving almost all the money on the table.

While, for example, French institutions have made a major commitment to using some of the resources saved for OA initiatives and by replenishing the National Open Science Fund, this does not seem to be the case in Germany. The national research funder DFG has recently announced the launch of a Diamond OA publishing platform… with a maximum budget of 1.5M€ per year. I let you figure out what it would have been with just 30% of the money spared. So the German HER institutionswon won a lot, Elsevier stalled, but the dependence from big commercial publishers has not been halted, or even reinforced.

  1. Harald Boersma, Continued Elsevier access in support of German science, 13th February 2017 []
  2. Schiermeier, Q., Mega, E. Scientists in Germany, Peru and Taiwan to lose access to Elsevier journals. Nature 541, 13 (2017). https://doi.org/10.1038/nature.2016.21223 []
  3. “DEAL and Elsevier negotiations: Elsevier demands unacceptable for the academic community”, 5 July 2018, German Rectors Conference press relase, https://web.archive.orga/web/20181219162556/https://www.projekt-deal.de/elsevier-news/ []
  4. Haucap, J., Moshgbar, N., & Schmal, W. B. (2021). The impact of the German ‘DEAL’ on competition in the academic publishing market. Managerial and Decision Economics, 42(8), 2027–2049. https://doi.org/10. 1002/mde.3493 []
  5. Fraser, N., Hobert, A., Jahn, N., Mayr, P., & Peters, I. (2023). No deal: German researchers’ publishing and citing behaviors after Big Deal negotiations with Elsevier. Quantitative Science Studies, 4(2), 325–352. https:// doi.org/10.1162/qss_a_00255 []
  6. Olsson, Lisa, et al. “Cancelling with the worlds largest scholarly publisher: lessons from the Swedish experience of having no access to Elsevier.” Insights-The UKSG Journal 33 (2020). 10.1629/uksg.507 []
  7. Elsevier B.V., & MPDL Services gGmbH, Max Planck Society (2023). Projekt DEAL – Elsevier Publish and Read Agreement. doi:10.17617/2.3523659 []
  8. Quentin Dufour, David Pontille, Didier Torny. Contracter à l’heure de la publication en accès ouvert. Une analyse systématique des accords transformants. [Rapport de recherche] 206 150, CNRS; Comité pour la science ouverte. 2021, pp.81. ⟨halshs-03203560⟩ []
  9. I won’t get here into some society journals excluded from the agreement, either because they won’t go hybrid or because they thought they won’t get paid enough by Elsevier. On the specific question of learned societies journals in such deals, see The Brief https://www.ce-strategy.com/the-brief/out-of-reach/ []
  10. Didier Torny. From paywall builders to data tracking moguls or… How the big publishers have put on a new super vilain costume. Politics of technoscientific futures, EASST, Jul 2022, Madrid, Spain. ⟨hal-03885480⟩ []
  11. Thanks to Björn Brembs for underlying this absence, see his plea for German institutions not to sign the new agreement https://bjoern.brembs.net/2023/09/no-evilsevier-deal/ []

Making a transformative deal with DEAL or… How 51 pages of contract are needed to replace subscriptions

This post should not have come into existence. In fact, for a long time, “contracts” and “agreements” between publishers and higher education and research consortia have not only been proprietary texts, but filled with confidentiality clauses that prevented them to be disclosed. This culture of secrecy is still there, as the agreement between Springer and DEAL states this on its 45th page1.

Disclosure of agreement
It is Publisher’s position that the terms of this Agreement are proprietary, however the Parties have agreed in this case that the Agreement is placed under a Creative Commons CC-BY-ND 4.0 license and may be made public under this license.

Indeed, the pursuit of transparency accompanying the open access movement has led in recent years to disclosing these contracts, highlighting the very large financial sums involved in accessing scientific literature2. But beyond the figures, the nature of the contracts and their concrete provisions are little discussed, outside of limited circles, notably in library & information sciences3.

The purpose of this post is therefore to propose a first analysis of the structure of this agreement before focusing on its financial part, the most original one, which is supposed to drive the transition to open access. But first we need to describe the two partners of the agreement. On the publisher side, we have Springer, or rather Springer Nature Customer Service Center GmbH. In practice, this means an entity that covers not only Springer and Nature publications, but also BioMed Central and Palgrave McMillan, i.e. more than 2,800 journals. On the customer side, it’s a bit more complicated: the negotiator is an intermediary, MPDL Services GmbH , which acts on behalf of the Projekt Deal, which is a consoritum initiated by the Alliance of German Science Organizations to negotiate nationwide transformative “publish and read” agreements with the largest commercial publishers of scholarly journals. The consortium structure therefore complicates the terms of the agreement with Eligible Institutions that can become Members with associated rights and duties.

Before entering into the agreement, it is important to add how much the writing itself shows the intensive interpretative work on its terms. As in any contract the key terms are of course defined: “eligible articles” “publishing services” or “open access license” among many others. But one also finds in the agreement no less than 18 occurrences of “For the avoidance of doubt” and 48 of “For clarity”, redundancies aimed at limiting the ambivalence of written proposals and injunctions and hints of the carefulness of both parties to limit the risks generated by the agreement.

From a simple preamble
to a complex folded agreement

At first, things seem really simple, as the preamble states the common aim of the two organizations. In fact, they share the rise of Open Access publications in the BOAI meaning, with its known advantages and underline the scope of this agreement, compared to previous ones.

The parties enter this contract with the goal to enable open access publishing of articles from German- funded researches in Springer Nature journals, to make these articles available to the public worldwide, and to provide access for German-funded researchers to most of Springer Nature content. At time of signing, the contract becomes the world’s largest transformative open access agreement, making it possible for over 13,000 articles annually from German-funded researchers to be made immediately available Open Access for use and reuse from the moment of publication, bringing the benefits of maximum visibility, increased usage and citations, and greater and broader impact to researchers across Germany.

Yet, the summary of the agreement depicts a complex set of successive services, which highlights the concrete constraints of a “Publish and Read” agreement for such a large consortium. The actual starting date of the agreement is far away, since the institutions have in practice several months to adhere to the terms of the contract and to put in place the necessary infastructures to carry it out. It is only from August 2020 that centralized funding for open access publishing will really kick in. However, researchers from affiliated institutions can already access Springer content from now on. This paradox is resolved if one considers that the R&P agreement is in fact one contract which overlays four contracts between the parties, named as follows :

  1. Fully Open Access Publishing
  2. Hybrid Publishing
  3. DEAL Journal Archives
  4. Reading Access

Let’s start by looking at the last two, which are the simplest in financial terms. Reading access (p. 31-41) defines the conditions of access to Springer’s content, provides for cases in which this service is discontinued – in particular non-payment in connection with the other components, but does not itself contain any financial elements. Reading is therefore provided free of charge for researchers at the member institutions of the DEAL project, as this deal is really a “Publish & Read“. The “DEAL journal archives” (p. 27-30) is charged, but for a fixed sum of €3,75 million. It allows the “upgrading” of all the institutions on the journal legacy, a little over 3 million articles, and the constitution of a “dark archive” that can be used during and after the contract.

Still, there are some interesting articles in these parts, for example the fact that DEAL can tell Springer to cease reading access to Member institutions if these institutions fail to pay the DEAL operating entity (p. 32). We can also read that the English-language agreement is the one that prevails (p. 40) ; considering that both parties are German and that German Law in Heidelberg applies in case of disagreement, it is very intriguing. Finally, at the opposite of the philosophy of Open Access, there are very strong limitations to the uses of the Archive or current content : access, download and very strict usage in academic courses. In particular, text and data mining for a given Member institution should only be authorized after an addendum is signed (p. 34). It is therefore clear that the already closed content remains paywalled and that the transformational will only applies to future publications.

Controlled Gambling
on future open access publishing

But how can this transformational aspect be translated into a contract? As we shall see, there is a form of gambling – with certain limits – carried out by both parties in the two contracts at the heart of the scheme, the Fully Open Access Publishing (p. 7-14) and the Hybrid Publishing (p. 15-26). The first has become quite standard – and very close to the contract signed by DEAL with Wiley at the beginning of 2019. It is a centralized payment system with corresponding author recognition and verification, sharing of metadata and financial reporting, all in exchange for some deduction on the price of APCs (p. 14).

For the purposes of calculation of the APC Rates, the list price increases for any Article Processing Charges under these Product Terms will not exceed 3.5% per journal title per year (“Cap”); increases will be calculated based on the 2020 list price.
For BMC and certain other Springer titles which are included in the Open Access Journals, Publisher will apply in addition to the Cap a 20% discount, the journals being eligible for such discount will be identified accordingly in the DEAL Journal List.

Price control is therefore very limited: although the reduction on the ‘public price’ is not negligible, it can quickly be offset by the foreseeable inflation of full OA APC costs charged by Springer. On the one hand, price rise at the 3.5% limit is almost certain, given the “natural” evolution of APCs prices; on the other hand, the current APC price insensitivity pushes us to predict that the number of articles published in full OA APCs will increase4. But this is precisely Springer’s gamble in signing this type of deal, by quickly making up for the quantity of articles in exchange for a limited reduction in the unit price. And this gamble is all the bigger here, given that its other source of income, under the Hybrid Publishing agreement, may fall in 2021, 2022, or 2023.

That is the biggest surprise of this Springer-DEAL agreement. Reading the announcement of the agreement on January 9, 2020, one would have thought that this part of the deal would once again be a copy of the Wiley agreement. Indeed, the fee5 of €2,750 for any research article in a hybrid journal published by Springer, signed without limit with Wiley, was communicated6. However, it is a very different expenditure scheme that was accepted by both parties (p. 25), represented in the following image.

For the year 2020, the amount is based on a “Reference Value » (RF) as the product of the number of articles estimated to be published by €2750, that is €26,125,0007. The RF does not move during the contract and so very much look like a “subscription price” from the point of view of Springer. Nevertheless, there is a complex real price paid that only partly takes into account the actual number of articles published. In 2020, the minimum invoice is the RF, if more articles are published, the price can go up to 5% more. In 2021, it is a minimum 95% of the RF and up to 10% more than the RF; then, 2022, it is 85% and up to 20% and finally, at DEAL’s option, for 2023, it is 75% and up to 30%.

On the upper side of the RF, from Springer’s point of view, the risk is to publish “too many” Hybrid OA articles. In such a situation, they would “miss” some revenue which would have hypothetically been generated by individual “Open Choice” APC. From DEAL’s point of view, it is litteraly an insurance against a growing cost generated by the capture of publications by Springer journals8.

For the avoidance of doubt , Publisher will continue to publish Eligible articles even if the Upper Threshold is met or exceeded. Publisher will never charge any part of the Calculated Total PAR Fee exceeding the Upper Threshold, irrespective of the actual Calculated Total PAR Fee and/or number of Published Articles.

If we now look on the other side of the RF, roles are reversed: the minimum invoice is an insurance for Springer if, for whatever reason, German authors don’t use the agreement to go on Hybrid OA, that it gets some value back now that reading is free of direct charge. From DEAL’s point of view, there is the risk to “pay for nothing” and it could be an incentive to push researchers to use Hybrid OA as it is “already charged”, rather than choosing the Full OA road, discounted but limitless as far as costs are concerned.

How transformative is the DEAL deal?

We can point to four potential or actual transformations from the agreement which runs until the end of 2022 with an option at the discretion of DEAL for 2023. First, obviously, it is the construction of a demanding workflow to regulate all the exchanges of authorship, institutionnal and financial information not only between Springer and DEAL, but also between DEAL operating entity and the Member institutions. Indeed, as with other Publish & Read type contracts, the sums actually paid by the research intensive institutions will be much higher than in the past. and conversely, more teaching or practice-oriented institutions would pay less. What is the cost of such a workflow for both entities? Is it easily scalable for other publishers/consoria? How would some institution react to their growing costs?

Second, this agreement raises the issue of researchers’ enrolment to open access publishing, even if the money does not seem to come from their own pockets or grants in this case9. Will they agree to publish in hybrid OA? Will they, on the other hand, remain insensitive to the total cost of APCs? Will they assume the position of correspondent author more than their foreign colleagues? What will be the associated institutional policies: more obligation to publish in open access or, on the contrary, a logic of individual choice? Answering these questions will make it possible to observe whether, indeed, open access is becoming the norm for German researchers in their publications at Springer.

Third, in direct connection with the previous transformation, the parties took calculated risks by signing this agreement. Springer may see its sales fall by between 15% and 20% in 2022 (APC discount at constant volume, minimum Hybrid Publishing price) in the event of failure with researchers, workflow problems or major disagreements within DEAL. Symmetrically, DEAL members risk a significant increase in the total price with a maximum of 20% Hybrid Publishing price and an explosion of full APC OA if production is moved to these journals. Transformative action at constant cost, because there is “enough money in the system”as OA2020 stated in 2015, is therefore not at all guaranteed.

Finally remains the question of the state of things at the end of the contract. If all goes well in their view, DEAL will validate the 2023 option, but what happens beyond that? And if they don’t, what will be their negotiating power? Will Springer be happy if both OA deals don’t have enough success to maintain their currents profits? Will the use of the “flagship journal” listed in the Wiley agreement to put some competition on Springer? Will Springer journals still be predominantly hybrid journals? Will the coalition S ultimatum on the lack of funding for APCs for this type of journals in 2024 be credible? There is nothing in the agreement to give answers to those questions, and in particular there is no commitment from Springer to flip its journals then. So, contrary to the recent ACM Open Model , this agreement does not constitute an irreversible transformation to open access. If things go south, subscriptions could be back at the very heart of the next agreement..

  1. The agreement is availabe on the Projekt Deal dedcated webpage with its own DOI. Announced at the beginning of the year by both parties, the full agreement was discreetly added in mid-February. Thanks to Quentin Dufour for flagging this document []
  2. According to this presentation by the European University Association, more than one billion euros a year for its members, including 700 millions for journals []
  3. Typically the section “business models” of the Scholarly Kitchen website. []
  4. On these two points, see the remarkable article by Shaun Yong-Seng Khoo, “Article processing charge hyperinflation and price insensitivity: An open access sequel to the serials crisis.” Liber Quarterly 29.1 (2019). []
  5. Technically, it is not an APC as stated in the FAQ page: “different from an Article Processing Charge (APC), the PAR fee, paid centrally by participating institutions for each article to appear under the DEAL agreement, covers the cost of the open access publishing services rendered and, to a lesser degree, reading access in Springer Nature subscription journals.” []
  6. In the Wiley deal, if I understood it correctly, the baseline payment is guaranted, unless it is shown that Wiley technically limits the actual publication of Hybrid OA ; but there is no max limit for the payment of €2,750. per article []
  7. I do not go into detail here about the type of article and in particular “Non Research Articles”, the price of which is €917 []
  8. Notably by the shift of corresponding author from a foreign researcher to a German one. []
  9. The actual source of money for APCs is not addressed at all in the contract, it is probably part of DEAL’s internal financial mechanics which are not public to my knowledge []

The Coming of Age of Open Access (I) or… Where are the alternative journals 18 years after the BOAI?

For most of us, February 14th is Valentine’s Day; for open access activists and lovers, It is also the celebration of the BOAI anniversary. It was 18 years ago, they were sixteen, meeting in Budapest in December 2001. Far from agreeing on everything, yet they co-signed a landmark declaration published on February 14th, 2002. 18 years later, it is the coming of age for Open Access, a time to look at what has been changed, redifined, gained and missed. To start with, we have to remember that the BOAI really defined open access, as a virtually unlimited re-use of academic documents:

By “open access” to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited ((BOAI, 14th February 2002)).”

They also put together what was largely separated before, the soon named “green road” and “gold road”. Nevertheless, contrary to the popular belief, the supposed “original version” of the BOAI reproduced in lots of copies on the web, they were not calling them “self-archiving” and “open access journals”. Indeed, the reference above is not the true original version, but one slightly changed in the summer of 2002. The former one, which can be seen on the Web Archive, stated : “Open access to peer-reviewed journal literature is the goal. Self-archiving (I.) and a new generation of open-access alternative journals (II.) are the ways to attain this goal. So following BOAI, we will deal with this coming of age in two successive posts : this first one will focus on alternative journals, the second one on the triumph of organized archives over self-archiving.

A revolution with no defined business model

How are described these alternative journals? Why and how are they alternative and to what? The main answer is given in a long paragraph of the BOAI: it is our actual starting point, from which the history of these journals shall be analyzed. To ease the reading, we have divided it in three parts.

Second, scholars need the means to launch a new generation of alternative journals committed to open access, and to help existing journals that elect to make the transition to open access.

The two ways for journals to commit were already happening at the beginning of the century. On the one hand, very early electronic journals, often without publisher but what we now call a platform, didn’t go the subscription way and were established as free for readers. On the other, the 2001 PLOS letter/petition pushed publishers to change their ways and open their content, with lots of signees but few positive answers apart from BMC. So the BOAI reminds them that they could still “filp” to open access. But what does it mean exactly?

Because journal articles should be disseminated as widely as possible, these new journals will no longer invoke copyright to restrict access to and use of the material they publish. Instead they will use copyright and other tools to ensure permanent open access to all the articles they publish. Because price is a barrier to access, these new journals will not charge subscription or access fees, and will turn to other methods for covering their expenses.”

The alternativeness doesn’t come from the way journals should be run (editorial boards, scope, peer review) but from their economic model. Journals are qualified as “alternative” because they shouldn’t anymore rely on the property of content and subscription as the main route to pay for journal expenses (and profit). More than that, they would have extra costs as they have to maintain open access through time. With the vanishing of current and future revenues, on what shall the new business model rest?

There are many alternative sources of funds for this purpose, including the foundations and governments that fund research, the universities and laboratories that employ researchers, endowments set up by discipline or institution, friends of the cause of open access, profits from the sale of add-ons to the basic texts, funds freed up by the demise or cancellation of journals charging traditional subscription or access fees, or even contributions from the researchers themselves. There is no need to favor one of these solutions over the others for all disciplines or nations, and no need to stop looking for other, creative alternatives.

This is probably the most important part of the whole BOAI declaration, besides the open acess definition. Three main points should be retained: firstly, the idea of a diversity of sources of income, in an optimistic vision of the means of financing a journal undoubtedly fuelled by the success of the open source software movement. Secondly, this diversity is reinforced by the final sentence which supports the absence of a “one best way” even when the exploration of possibilities would have fully taken place. Finally, thirdly, the idea of recourse to a payment by authors is tconceived as a last resort (“or even”). In other words, not only does the alternative economic model remained unclear and uncertain, but the paying author’s proposal was not considered a priority at all.

The stories of 11 pioneers

But with such vagueness, who then ventured to go on the alternative and how did they settle their journals once launched? On the George Soros site, funder of the BOAI meeting through the Open Society Institute, a very short list of 11 entities was then available, even if it was supposed to be only examples1.

11 journals

So, a first way to fulfill the promise made by the title of this post is to investigate the trajectory of these 11 journals, or rather publication websites, so great is their diversity. We will treat them in groups, according to their destiny:

  1. Still free of charge mathematicians & computer scientists journals: Algebraic & Geometric Topology and Geometry & Topology were respectively founded in 1997 and 2001, have always published open access articles and are still community-based journals, published by MSP, which puts a very strong anti-APC statement on its website. Document Mathematica is the first journal of the Elibm platform, founded in 1996, which acts as a repository for maths proceedings and journals, free of charge for readers and authors. JMLR was created in 2001 in an independance movement by 40 members of the editorial board of Machine Learning, then owned by Kluwer and is a always hard-to-believe from the outside $10 per article cost kind of journal – thanks to huge volunteer work, Latex, open source software, no fancy website and outsourced micropublishing for paper versions with no financial exchange.
  2. Still owned by societies, but have switched to APC: The New Journal of physics founded in 1998, now published by IOP with an APC of 1630 €. It was a part of some “offset deals” (Austria, UK) and is still one of the journals of the SCOAP3 agreement. The Journal of Insect Science was supported by the University of Arizona, launched in 2001, it changed with the death of its editor-in-chief in 2014, owned by a society but published by Oxford with a 1176 € APC.
  3. Bought by Springer platforms: Living Reviews in Relativity was founded in 1998 by a Max Planck institute, it published only reviews, which were “living” as authors could update them as new literature could be taken into account. It was sold to Springer in 2015, which kept the same formula with, remarkably, no APC . The trajectory of BioMedCentral is probably well-known to readers, let us just remind that it was founded in 2000, cosigned BOAI through Jan Velterop, its then director, was the first “big” publisher to bet on APC and was finally sold by its owner, Vitek Tracz, to Springer in 2008.
  4. Popularizers of APC and inventors of the megajournal: PLOS didn’t really exist as a publishing place at the time of the BOAI. Its call/letter for Open Access the year before as almost only BMC responded positively. But they were already able to secure funds, cosigned BOAI through Michael Eisen and soon lauched PLOS Biology and then, in 2006, PLOS ONE which was the first megajournal, which climbed to more than 30,000 articles a year, invented new forms of peer review and supported article-level metrics againts journal-based metrics . It was also the launch of APC as a standard way to provide Open Access for large communities.
  5. The Platform that used to promote open access among publishers: Highwire has never been a journal nor a platform-journal, but rather a hosting service which develops tools and software for publishers. Founded in 1995 and based at Standford University, it used to be the largest archive of free full-text science on Earth with more than 2,4 million articles. Bought by an equity fund in 2014 (a minority share is still owned by Stanford), this “free texts” webpage stopped its counting on the 25th March, 2015 and the webpage was not maintained after 2018.
  6. Terminated by its learned society: Psycoloquy had been launched and supported by the American Psychological Association, with Stevan Harnad at its helm, who translated some of the features he developed in his previous journal, BBS, notably open peer commentary, into the electronic form. It stopped publishing new articles by 2002.

Other journals or platforms could have been indicated as examples in early 2002. One can notably think of Scielo which was already working very well in South America, Erudit was growing up in Quebec as well as Revues.org in France. But the BOAI was rather focused on STM and English-language journals, and the alternative journals of the BOAI are also located within a world already dominated by an oligopoly of big publishers that was to be changed or at least challenged. Despite these limitations, the 11 stories nevertheless show the diversity of actual trajectories, the adoption of economic models that had yet to be defined and implemented and the adoption of the alternative by some big publishers.

From Gold to Diamond:
when the alternative remains alternative

Above and beyond these examples, what trends could be drawn from these last 18 years? We have to consider a wide range of moves from public policies, learned societies, universities & libraries, research funders and finally of course publishers in order to give a second answer to the titile of this post. Of course, the first evolution is the invention of a locution, soon after the BOAI : open access journal, which replaced the “alternative” ones.

Then, as with 4 of the 11 listed, we observed a massive rise of the APC model, from BMC and PLOS pioneers. The idea that authors would accept to pay to publish was not to be taken for granted, would it be in principle or in practice with questions about the accounting circuit, the actual source of funding (authors, labs, departments, universities…), the level of price, etc. And still in some disciplines, being forced to pay is putting a low-quality stamp on the output. The Wellcome Trust in the UK and the ERC programs in the European Union played a huge role in experimenting with the possibility of paying APC through grants, which made them a “normal cost”, especially in well-granted disciplines (biomedecine, physics…). The UK official public policy, after the Finch Report in 2012, also injected money to pay for APCs.

It not only fueled the growth of relatively new publishers – BMC, PLOS but also MDPI, Frontiers in, Hindawi – but pushed “traditional” big publishers to adopt APC and make their journals “hybrid”, with a “basic funding” by subscription and “extra funding” through APC. Springer began its “Open Choice Program” in 2007, which name deeply reflects the liberal-market vision of open access. These two evolutions led to very harsh critiques of the whole Gold OA project : on the one hand, it raised the question of the birth of predatory publishing through APC ; on the other hand, hybrids meant double dipping and the deepening of the serial crisis.

Hybrid journals were conceived as transition tools to open access, as the then director of SPARC Europe theorized them2 So these private and public policies of APC funding were conceived as a way to reach a tipping point after which the Open Access, now renamed full open access journal, would happen. How naive wrote Richard Poynder in a recent essay3! Some powerful actors came to the same conclusion, so they recently try to impose new radical changes in the funding of journals, most notably Max Planck Gesellschaft in 2015, then the now famous Coalition S, which aim is to accelerate the transition to open access by in fact killing the subscription model, having a CC-BY license to authors for content. Does this sound familiar?

So it seems to go full circle: almost twenty years later, trying to get rid of the traditional economic modela for journals and to do that, talking with big publishers in order to sign “transformative agreements”. Open access has gone mainstream, Elsevier even now present open access as a standard. If changes happened, it was more on the way journals were run, most notably open peer review4. But wait a minute, if the alternative has gone mainstream, where is the new alternative? In fact, the support and success of the APC modeal made the impression on a lot of commentors and actors that the Gold way was now the equivalent of an author-payor model. That led some activists to coin new names for “no APC journals”. Would it be Diamond or Platinium, it meant that it was also free for authors, and not only readers.

Scielo, Erudit, Open Edition were already mentioned, just as 5 of our 11 pioneers. But we could add Open Library of Humanities or Redalyc as “big platforms” for journals5. They are the majority, as no APC journals still represents more than 70% of entries in the DOAJ, their business models are diverse, from bricolage to strong institutional support, just like the BOAI predicted. So the alternative is still alternative, though it has vastly grown in the last 18 years. Getting to adulthood, we will see whether OA journals coexist into two genres, non-APC and APC, or whether one of them in not sustanaible in the long run. Unless, of course, the other open access road gets us into a post-journal world through preprint servers and open archives. To be continued…

  1. this list didn’t evolve a lot in the next two years, Highwire and PLOS were removed, while two MDPI journals were added []
  2. Prosser, David C. “From here to there: a proposed mechanism for transforming journals from closed to open access.” Learned publishing 16.3 (2003): 163-166. []
  3. Poynder, Richard. “Open access: Could defeat be snatched from the jaws of victory?.” (2019). []
  4. Which means lots of different things, see Ross-Hellauer, Tony. “What is open peer review? A systematic review.F1000Research 6 (2017). []
  5. Not to mention the ones for books which are catalogued into the DOAB. []
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