1. SCOAP3 Forum Sponsoring Consortium for Open Access Publishing in Particle Physics SLA 2009 - Washington Salvatore Mele CERN European Organization for Nuclear Research scoap3.org A conundrum The SCOAP3 model Fund-raising SCOAP3 and you

2. ~15000 High Energy Physics (HEP) scientists smash stuff at the speed of light to produce new stuff

3. ~15000 HEP theorists scratch their heads to make sense of all that stuff and then some more

4. 0.1 97% 1,000 30,000 Some numbers... journal articles/year read by HEP scientists HEP journals content freely available on arXiv U.S. faculty at LHC committed to gold OA scientists aspiring to top HEP journals

5. HEP and its journals: a conundrum Scientists do not read journals, they read arXiv Journals are for peer-review and officialdom Libraries subscriptions implicitly support this rather than buying access Growth of self-archiving is accelerating change Convergence of repositories, peer-review, OA

6. SCOAP3: opportunity for change Libraries can make Open Access happen ! Invest subscription money in a smarter way Anticipate expectations of faculty/students Generate change in Scholarly Communication Invent future of repositories, journals and OA

7. The SCOAP3 model Convert existing top-quality HEP journals to OA Libraries re-direct subscriptions to SCOAP3 SCOAP3 pays centrally for peer-review service Price-per-article established by call for tender Articles are Open Access (re-use, repositories)

8. Novelties of SCOAP3 No additional expenses for OA article charges Link price and quality through call for tender Correlate volume and price through contracts Tackle yearly subscription increases

9. How much will it cost? No more than we spend today! Worldwide budget envelope: Today learned society prices JHEP ~1.4M$ for 20% of HEP APS ~2000$/article 5000-7000 articles/year in 6-8 journals Total: 14M$/year

10. SCOAP3 funding Fair-share: contribute as per peer-review usage J. Krause et al. CERN-OPEN-2007-014

11. International consensus Only viable if every country is on board! Go beyond majority and well-wishing Success through consensus and unanimity Not a weakness: a strength!

12. How far are we? 63% of the SCOAP3 budget envelope pledged by funding agencies and libraries worldwide Austria Belgium CERN Denmark France Germany Greece Hungary Australia Canada >130 U.S. libraries Italy Netherlands Norway Romania Slovakia Sweden Switzerland Spain JISC (UK) Israel, Turkey 8.9M$ 5.1M$

13. Fundraising in the U.S. US HEP share = 24.3% SCOAP3 contribution = 3.5 Mln$ 8 Libraries of DoE national labs (Argonne, Berkeley, Fermilab, Los Alamos, Pacific Northwest, Thomas Jefferson, Savannah River, SLAC) 7 Large consortia/groups (California State University, MaineINFONet, NERL, OHIOLink, TRLN, VIVA(partial), FCLA) 51 Individual universities (10 in CDL, 24 in GWLA) (Arizona State, Baylor, Brigham Young, UC Berkeley, UC Davis, UC Irvine, UCLA, UC Merced, UC Riverside, UC San Diego, UC San Francisco, UC Santa Barbara, UC Santa Cruz, Caltech, Colorado State, Emory, Georgia Tech, Georgia State, Grand Valley State, Iowa State, IIT, Johns Hopkins, Kansas State, Lewis and Clark College, Northern Illinois, Northwestern, Oregon State, Purdue, Rice, Texas A&M, Tulane, U of Arizona, U of Arkansas, U of Chicago, U of Colorado-Boulder, U of Georgia, U of Hawaii, U of Houston, U of Illinois-Chicago, U of Illinois Urbana-Champaign, U of Kansas, U of Missouri, U of New Mexico, U of Oklahoma, U of Oregon, U of S California, U of Utah, U of Washington, U of Winsconsin-Madison, Washington State, Washington-St. Louis) 2.5 of 3.5 M$ (71%)

14. Together, we can go further 14 Missing U.S. contribution Need U.S. libraries of all sizes ! 2.5 of 3.5 M$ (71%)

15. How do we build it? Three steps in sequence 1.Sign an Expression of Interest 2.Convene international Governing Board 3.Issue a Call for Tender/Request for Purchase

16. SCOAP3 Expression of Interest Letter of intent gauging partners interest Pledge re-direct HEP subscriptions to SCOAP3 (conditional on publishers positive response) Not yet a commitment to pay Indispensable for moving forward http://tinyurl.com/scoap3us

17. SCOAP3 Expression of Interest - 1 This form expresses the intent of the consortium or institution named below to join SCOAP3, the consortium facilitating Open Access publishing in High Energy Physics (HEP), with the objectives as outlined in the SCOAP3 Working Party Report We understand the yearly cost of the SCOAP3 operation will be determined by the number and the prices of contracts awarded following an invitation to tender, which will be reissued regularly. We understand that the maximum annual budget for the SCOAP3 operation is currently estimated at 10 million Euro with the goal for the US contribution to this budget is approximately $3.5 million It is understood that the maximum US consortium/institutional annual share of the budget represented by this expression of interest is based on the current amount that can be identified and extracted from current consortium or institution licenses for the journal titles identified in the SCOAP3 Working Party Report, factoring in each title's HEP content ranging from 10% to 100%.

18. SCOAP3 Expression of Interest - 2 The current estimate of the amount that can be extracted for the SCOAP3 titles from the consortium or institution licenseis [....] This is the amount that my consortium or institution intends to commit to SCOAP3. This amount will be kept confidential and only presented in an aggregated form. It is further understood that SCOAP3 will be formally established through a Memorandum of Understanding formalizing, inter alia, the individual contributions of each consortium or individual library and defining the consortium governance. The Expression of Interest is not a commitment to pay. It gauges interest in joining SCOAP3 should it deliver. Indispensable to move forward. http://tinyurl.com/scoap3us

19. SCOAP3 Governance Countries and U.S. libraries of all kinds/sizes Established once level of support grows Decides on Call for Tender and adjudication Oversights running of SCOAP3 Supported by CERN legal and administrative infrastructure (9bn$ contracts for the LHC)

20. SCOAP3 Call for Tender Request price-per-article for peer-review & OA OA conditions Irreversible OA Author rights Push into repositories Financial conditions: Unbundling of journal packages Reduction of subscription prices No double payment

21. SCOAP3 tender requirements - I (p. 25-26 http://scoap3.org/files/Scoap3WPReport.pdf) In the case of journals that are part of a large journal licence package, the publisher will be required to un- bundle this package and to correspondingly reduce the subscription cost for the remaining part of the package. In the case of existing long-term subscription contracts between publishers, libraries, and funding agencies, publishers are required to reimburse the subscription costs pertaining to OA journals or to the journal fractions converted to OA.

22. SCOAP3 tender requirements - II (p. 25-26 http://scoap3.org/files/Scoap3WPReport.pdf) The articles shall be made available on an irreversible OA basis There shall be immediate free access to the publisher- formatted articles and the corresponding metadata Publishers shall deliver to a repository designated by SCOAP3 the final version of the articles as well as the corresponding metadata and interoperable usage statistics There shall be free transfer of the articles and the corresponding metadata to any further repository, through the intermediary of the repository designated by SCOAP3 Publishers shall pro-actively support publisher-independent long-term preservation through repositories and libraries There shall be free extraction and re-using of figures, tables and numerical data included in the articles and free use of the articles and metadata for text- and data-mining applications Authors shall be free to post pre-prints and post-prints to subject and institutional repositories

23. SCOAP3 and YOU! 1.Thanks for listening... now lets act! 2.Calculate your HEP subscriptions* 3.Sign the Expression of Interest pledging this amount to SCOAP3! (*) http://scoap3.org/whichjournals.html Phys.Rev.D, Nucl. Phys B, Phys. Lett. B, JHEP, Eur.Phys.J C, 10% Phys. Rev. Lett, 25% Nucl. Instr. Meth.

24. A HEP contribution to communication: Vague but exciting (T. Berners-Lee at CERN, early 90s)

25. Thank you! Salvatore.Mele@cern.ch http://scoap3.org http://tinyurl.com/scoap3us

26. Background Material

27. The HEP publishing landscape 5000-7000 HEP articles/year, according to definition of HEP Practically all articles available as arXiv.org OA pre/post-prints 90% of articles are in theory 80% of articles published in 6 leading journals by 4 publishers 62% of articles by not-for-profit (nor-for-loss) publishers SCOAP 3 is not limited to any set of journals but open to all high-quality HEP journals! Source: SPIRES, 2006

28. U.S. and European HEP journals Study of 11326 HEP articles published in 2005-2006 in PRD,JHEP,PLB,NPB,EPJC,PRL and NIMA Krause et al. CERN-OPEN-2007-014 OA solutions in HEP must be geographically global, in the same way HEP research is a global endeavor Origin of articles in U.S. journals Origin of articles in E.U. journals

29. arXiv (Cornell library), the archetypal repository Discovery and first plateaus Steady state & constant output (Green) Open Access, second nature: posting to arXiv before even submitting to a journal is common practice –No mandate, no debate, no advocacy. Author-benefit driven –Author-formatted peer-reviewed revisions routinely uploaded –All publishers allow self-archiving. APS hosts an arXiv mirror! Conference contributions

30. Journals are almost entirely available on arXiv Fraction of articles available on arXiv Year

31. Evolving publication habits Source: SPIRES Phases of stability alternated with fast growth/decline N.B. Only articles which appeared in the six largest HEP journals are considered.

32. (As many scientists as analyzed here go straight to arXiv) arXiv 82% Publisher server 18% 30,000 clicks (choice between arXiv and journal) What do readers do when offered a choice between an arXiv pre-/post-print AND journal?

33. Open Access business models in HEP Hybrid model: Per-article OA fee on top of subscriptions –Negligible success in HEP. Author FAQ: why pay something (peer-review) you can get for free (the library pays subscriptions) SPONSORED ARTICLE Author-pays: No subscriptions. Authors (institutions) pay per- article journals processing fees –Model in its infancy in HEP. Author FAQ: why pay something you can get for free elsewhere (the library pays subscriptions) Institutional membership: for a (small) fee in addition to subscriptions, all articles with at least one author from the institution are OA –Leading laboratories and the entire France trying this scheme. –Authors like OA without financial barriers in high-IF journals (<<1%) (~4%) (and percentage of HEP literature)

34. Community support for OA publishing LHC scientists (8000 scientists from 54 countries, 1000 US faculty) strong position on OA: "We strongly encourage the usage of electronic publishing methods for our publications and support the principles of Open Access Publishing, which includes granting free access of our publications to all. Furthermore, we encourage all our members to publish papers in easily accessible journals, following the principles of the Open Access Paradigm." Seminal articles describing construction of LHC are published OA in SISSA/IOPp Journal of Instrumentation –7 articles/1600 pages/8000 authors. Large-scale OA publishing operation –60000+ downloads from journal site in two months! 3000-scientists CMS collaboration at LHC votes to privilege SCOAP3-friendly journals for its articles

35. Recent Open Access developments in HEP While waiting for SCOAP3 to become operational publishers offer some no fee Open Access solutions! –Springer: experimental HEP articles and letters in Eur. Phys. Jour. C –EPS: HEP articles in Europhys. Lett. –Elsevier: HEP articles from the LHC –(In addition, SISSA/IOPp institutional membership implies 20% HEP is OA)

36. Practicalities and budget envelope Physical Review D (APS) income ~3.9M$/year (31% of arXiv:hep) Journal of High Energy Physics (SISSA/IOP) income ~1.3M$/year (19% of arXiv:hep) A published PRD article costs APS ~2000$ 6-8 journals publish 5000-7000 articles/year HEP Open Access price tag: 14M$/year Guesstimating the costs... Five core journals: PRD, JHEP, PLB, NPB, EPJC –Carry a majority of HEP content: aim to convert entirely to Open Access Two broadband journal: PRL, NIM –10%,25% and 50% HEP: conversion to Open Access of this fraction Other, lower-volume, high-quality HEP journals –conversion to Open Access of the HEP content

37. The SCOAP3 tender concept - 1 Publisher of Journal A Publisher of Journal B Publisher of Journal K Publisher of Journal Z... ? ? ? ? 1500 $ 2500 $ 2000 $ 1800 $ SCOAP3

38. The SCOAP3 tender concept - 2 Journal K Journal Z... 2000 $ 1800 $ Quality K Quality Z Journal K Journal A Journal B Journal C... Journal Z 1 2 13 26 3 Journal A Journal B 1500 $ 2500 $ Quality A Quality B Journal C 4000 $ Quality C Rank by a combination of (high) quality and (low) price

39. The SCOAP3 tender concept - 3 Journal K Journal A Journal L Journal R... 2000 $ 1500 $ 2000 $ 1800 $ Journal Z 1800 $ Journal F 4000 $ Journal Q 3000 $ Journal P 800 $ Journal W 5000 $ 1300 2000 1000 300 200 50 100 2.6 Mln $ 3.0 Mln $ 2.0 Mln $ 1.8 Mln $ 1.2 Mln $ 0.6 Mln $ 2.6 Mln $ 5.6 Mln $ 10.6 Mln $ 12.4 Mln $ 7.4 Mln $ 8.6 Mln $ 13.0 Mln $ Journal Price Volume Contract Expenditure Ranked by (high) quality and (low) price...

40. Novelties of the SCOAP 3 model Converting an entire field by re-directing subscription funds avoids paying more for OA Number of articles Expenditure ? Time Flipping the entire volume avoids surprises!

41. SCOAP3 timeline U.S. libraries (through their consortia) pledge to re-direct HEP subscriptions to SCOAP3 by filling the U.S. online Expression of Interest at http://tinyurl.com/scoap3us [no money changes hands] Negotiations advance in a few outstanding countries which pledge their contribution to SCOAP3 through a countrywide Expression of Interest [no money changes hands] Once a sizeable fraction of budget is pledged, reflecting the international character of SCOAP3 –SCOAP3 formally established, with international governance –SCOAP3 can issue a tender to publishers [no money changes hands] Publishers answer the tender quoting a price-per-article and agreeing to unbundle packages, removing SCOAP3 titles, and reducing prices accordingly [no money changes hands] SCOAP3 international governing board adjudicates contracts [no money changes hands] Contracts with publisher are signed and funds are transferred to SCOAP3 [payments happen]