The Call o Open Access and How Publishe s A e
Responding – an Analysis o Annual Repo s
Ma ia Henkel*, K is in Biesenbende ** and Isabella Pe e s***
*[email protected]
ORCID 0000-0002-5000-104X
ZBW–Leibniz In o ma ion Cen e o Economics, Kiel
** K.Biesenben[email p o ec ed]
ORCID 0000-0003-2497-5411
ZBW–Leibniz In o ma ion Cen e o Economics, Hambu g
*** [email p o ec ed]
ORCID 0000-0001-5840-0806
ZBW–Leibniz In o ma ion Cen e o Economics & Kiel Uni e si y, Kiel, Ge many
Abs ac : The open access (OA) mo emen has eshaped schola ly publishing, p omp ing di e gen eac ions
om academic communi ies and publishe s. While esea che s ace p essu e o publish, publishe s ha e de eloped
new business models o main ain p o i abili y, including a icle p ocessing cha ges (APCs) and ans o ma i e
ag eemen s. These economic s a egies may con lic wi h academic alues, some imes esul ing in ques ionable
publica ion p ac ices, such as in la ion o special issues. This pos e p esen s a quali a i e analysis o he s a egic
in e es s o publishe s. Fo ha , annual epo s o la ge publishe s (in e ms o he numbe o hei OA publica ions)
we e analysed wi h espec o OA and p o i s a egies; special case s udies on coun y le el we e also included.
Challenges in using co po a e epo ing as esea ch da a and p elimina y indings on publishe business models
will also be discussed.
In oduc ion
La ge comme cial publishing houses we e expedi ious in hei adap a ion o he digi al e a – i
was he “big i e” (also known as he oligopoly) in pa icula which employed s a egies such
as me ge s and acquisi ions esul ing in a consolida ion o he publishing landscape and he
powe o dic a e ma ke condi ions (La i iè e e al., 2015). This shi has had de imen al
consequences o he supply chain o scien i ic in o ma ion, which is now hea ily elian on
se ices p o ided by la ge o -p o i publishing houses (Weinga & Taube , 2017).
Addi ionally, he shi owa ds OA has posed a signi ican challenge o he adi ional business
model o academic publishe s, which p ima ily elied on subsc ip ion ees h ough paywalls. In
esponse, publishe s ha e implemen ed a icle p ocessing cha ges (APCs), equi ing au ho s o
co e he expenses associa ed wi h publishing OA a icles. These cha ges, which can amoun
o se e al housand eu os pe publica ion, ha e eme ged as a signi ican e enue s eam o
academic publishe s (Bu le e al., 2023; Pin ield & Middle on, 2016; Schön elde , 2020; Zhang
e al., 2022). Publishe s employ ac ics such as p ice disc imina ion o inc ease subsc ip ions
and APCs o high-impac jou nals, which many lib a ies and au ho s a e willing o pay o due
o he p es ige and in luence hese jou nals ha e on he academic ewa d sys em (Eykens e al.,
2019; Khoo, 2019; Shu e al., 2018; Sile & F enken, 2020). In addi ion, o se e al yea s
publishe s ha e been using hei ma ke powe o nego ia e so-called ans o ma i e ag eemen s
(e.g., DEAL) wi h schola ly o ganisa ions in o de o ecei e paymen o publish and ead
con ac s o hei po olio o jou nals (F ase e al., 2023). O he publishe s, such as PLOS,
MDPI and F on ie s, en e ed he ma ke as p ima ily OA publishe s and de eloped APC p icing
models wi h discoun s o esea che s who collabo a ed wi h hem as e iewe s and edi o s
(O iedo-Ga cia, 2021; Wissenscha s a , 2022). This ans o ma ion o publishing business
models is a sou ce o con lic in e ms o he in e play be ween economic and academic
o ien a ions (Volkmann e al., 2014) o s akeholde s o schola ly communica ion.
Objec i e
Agains his backg ound, we in es iga e how publishe s ha e esponded o he call o OA,
ocusing pa icula ly on con lic s be ween academic and economic mo i a ions and s a egies.
Ou esea ch ques ion is as ollows: How do publishe s ansla e OA policies in o business
models? To his end, we examine how he business models o he en la ges OA publishing
houses espond o he call o OA.
Me hods and Da a
We plan o use con en analysis and quali a i e coding o analyse how publishe ’s managemen
and in ol ed jou nal edi o s ansla e OA policy demands in o economic business models. The
analysis will include la ge OA publishing houses (in e ms o numbe s o OA publica ions),
such as Else ie , Sp inge Na u e, Wiley-Blackwell, Ox o d Uni e si y P ess, MDPI and PLOS.
The ollowing i e na ional publishe s should be analysed o b oaden he pe spec i e: AOSIS
(Sou h A ica), Cope nicus Publica ions (Ge many), É udi (Canada), Na ional Uni e si y o
Colombia (Colombia) and Udayana Uni e si y P ess (Indonesia). Annual epo s o publishe s
and OA s a emen s will be analysed, o assess how hei OA s a egy is amed. This will
p o ide ini ial esul s abou s a egies ha will be u he in es iga ed in in e iews in a la e
phase o he esea ch p ojec . The ca ego ies ha guide ou in es iga ion a e shown in Table 1.
Table 1. Analy ical Ca ego ies o Publishe Repo Analysis
Gene al In o ma ion
Publishe Name
Yea o Repo
Repo Type
Scien i ic ou pu in igu es: Numbe o jou nals/a icles and books
Publishe s' o igin and sel -po ayal
Business Model & Open Access S a egy
Publishe s' business models (based on APCs, DEAL, subsc ip ions, schola -led unding in he
case o Diamond OA) and he ex en o he mix
Change o publishe s' business models o e ime and sales de elopmen (ma ke sha es and
shi s in e enue model om subsc ip ions o OA; sha eholde alue)
Re enue Sou ces (b eakdown o income)
APC p icing & anspa ency (disclosu e o APC cos s, jus i ica ion o p icing, p icing ie s)
T ans o ma i e ag eemen s (men ions o deals wi h ins i u ions/lib a ies ansi ioning om
subsc ip ions o OA)
Expansion o OA po olio (new jou nal launches, acquisi ions, me ge s ela ed o OA)
Jou nals
P o ide o which disciplines; Jou nals subjec a eas
Indexing and Abs ac ing e.g. DOAJ; Impac Fac o s; Ci a ions, Downloads
Edi o ial & Pee Re iew Policies
Type o collabo a ion wi h esea che s as e iewe s and au ho s (au ho s by egions)
Pee Re iew P ocess: Desc ip ion o e iew imelines, single/double-blind o open e iew
Re iew Speed & Quali y Con ol: Any men ion o as - ack pee e iew, conce ns abou
e iew igou
Special Issues & Thema ic Jou nals: Expansion o special issues, olume inc ease
Edi o ial Boa d P ac ices: Composi ion, selec ion p ocess, di e si y o boa d membe s
Manusc ip T ans e P ac ices: Policies on edi ec ing ejec ed pape s o o he OA jou nals
E hical S anda ds & Resea ch In eg i y
Commi men o Resea ch In eg i y: S a emen s on quali y con ol, e hical publishing
Re ac ions & Co ec ions: Men ions o e ac ions, e a a, o publishe -led in es iga ions
Handling o Misconduc : Publishe policies on add essing p eda o y beha iou pape mills,
ci a ion s acking
AI & Au oma ed Re iew Policies: Guidelines on AI-gene a ed con en , au oma ed plagia ism
checks
Policy & Regula o y Response
OA s a emen s om publishe s (also: s a emen s ega ding OA manda es, policy shi s,
esis ance o suppo )
Compliance wi h OA Policies: Adhe ence o Plan S, DORA, Coali ion S, na ional manda es
Engagemen wi h Resea che s & Ins i u ions: E idence o dialogue wi h academic
communi ies
O he
O he se ices: Reposi o y owne ship, publica ion and ci a ion da abases, social ne wo ks, e c.
Technological Inno a ions: Use o AI, blockchain, da a analy ics in schola ly publishing
P elimina y indings and p ospec s
Ou ongoing examina ion o epo s and addi ional ma e ial, such as OA s a emen s, has
al eady b ough o ligh he wo majo ways in which publishe s p esen hei business models
and add ess he s akeholde s: i s , hey speak o hei sha eholde s as inancial suppo e s and
second, hey add ess esea che s as use s and collabo a o s. This becomes e iden in he wide
ange o me ics hey epo , including he numbe o OA publica ions, ci a ions, each in
indices, and hei collabo a ion wi h he scien i ic communi y, such as he numbe o
collabo a ing edi o s and au ho s. Addi ionally, hey p o ide a comp ehensi e o e iew o
hei economic business model in ela ion o hei inancial pe o mance. A he same ime,
he publishe s emphasise di e en aspec s in hei sel -po ayal. The pos e will desc ibe he
signi ican di e ences be ween he OA publishe s and selec ed coun y cases, along he lines
o he coding scheme.
Open science p ac ices
Ou s udy uses publicly a ailable annual epo s and policy documen s om publishing houses.
The coding amewo k and analysis p o ocol will be sha ed ia an open eposi o y upon
comple ion o he p ojec .
Au ho con ibu ions
Concep ualiza ion: Ma ia Henkel, K is in Biesenbende , Isabella Pe e s.
Da a cu a ion: Ma ia Henkel, K is in Biesenbende .
Fo mal analysis: Ma ia Henkel, K is in Biesenbende .
Funding acquisi ion: Isabella Pe e s.
In es iga ion: Ma ia Henkel, K is in Biesenbende .
Me hodology: Ma ia Henkel, K is in Biesenbende , Isabella Pe e s.
P ojec adminis a ion: Isabella Pe e s.
Resou ces: Isabella Pe e s.
So wa e: Ma ia Henkel, K is in Biesenbende .
Supe ision: Isabella Pe e s.
Valida ion: Ma ia Henkel, K is in Biesenbende .
Visualiza ion: Ma ia Henkel.
W i ing – o iginal d a : Ma ia Henkel, K is in Biesenbende .
W i ing – e iew & edi ing: Ma ia Henkel, K is in Biesenbende , Isabella Pe e s.
Compe ing in e es s
We decla e ha we ha e no compe ing in e es s.
Funding in o ma ion
Funded by VolkswagenS i ung / Volkswagen Founda ion, P ojec “Repe cussions o Open
Access on Resea ch Assessmen (ROARA)”, Funding Numbe : 9C784.
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