SCOAP3 – Sponsoring Consortium for Open

Access Publishing in Particle Physics

Dr Ralf Schimmer, Max Planck Digital LibraryUKSG, Breakout Session C

Bournemouth, 9/10 April 2013

Outline

1. What is SCOAP3?

2. What happened so far?

3. What is happening at the moment?

The SCOAP3 Model

• SCOAP3 = Sponsoring Consortium for Open Access Publishing in Particle Physics

• The objective is to convert content in existing high-energy physics (HEP) journals from their current subscription-based model to open access

• While services of publishers are fully acknowledged– Quality assurance in the publication process (peer review

and editorial services) – Provision of the final published versions

• Payment streams to be re-directed from subscriptions to cover the publishing costs– Use the money that is already in the system

The SCOAP3 Consortium

• The product of extensive coalition-building with stakeholders in the community of scholarly communication across the world– HEP community, governments, funders, libraries, publishers

• Out of this community, SCOAP3 has created an international consortium that will centrally contract with HEP journal publishers

• CERN, the center of the global high-energy physics community, based in Geneva, Switzerland, has led SCOAP3 and will administer this effort going forward

• Budget envelope: 10M€/year (2014-2016)• Contribution on a country basis according fair share

principle based on HEP publications

J. Krause et al. CERN-OPEN-2007-014

Fair Share PrincipleEach country contributes as share

of worldwide HEP publications

South Africa 0,1%

The SCOAP3 modelsummarized:

Re-use the CERN and HEP model…

…of international co-operation…

build a global

partnership

Use money currently…

…spent by to license content…

…to directly pay peer-review services.

And make all content Open

Budget envelope: 10M€/year

SCOAP3 at a Glance: Timeline and Interaction

National Contact PointsNational HEP community; government

agencies; universities, libraries & consortia (“SCOAP3 partners”)

HEP communityCERN Publishers

2005 Consultation within the HEP community

2006 Internal consensus on SCOAP3 idea (Task Force)

2007 Design of the business model (Working Party)

2008 Outreach and information campaign“Expressions of interest”

Build worldwide consensus and pledges

Outreach and informationQ&A dialogues

2011 National representatives input Go-ahead decision; start tender process

Market Survey

Publisher input

Response to Market Survey

2012

Participation & agreement

Invitation to TenderResults announced

Launch meeting 1 October 2012Reconciliation concept developed

Submission of bids

Discussing reconciliationReconciliation pilots

2013 Provide mappingsCalculate reductions

Upload reductionsReconciliation

MoU signed

MappingCost Reduction Calculator

Reconciliation FacilityReconciliation

MoUs with NCPs; contracts with publishers

Calculate reductionsUpload reductionsReconciliationContracts signed; adjust pricelists 2014; notify subs. agents

2014 SCOAP3 goes live; start operation

Actors

SC TWG

ConsortiaGovernmt.

LibrariesNCP

Accession agreements

Tim

elin

e

NCP

Interaction

SCOAP3 Steering Committee

“to co-ordinate the SCOAP3 tendering process, designing the consortium governance, and bringing the initiative into its operational phase”

• Jun Adachi, NII, Japan• Paul Ayris, JISC Collections, U.K.• Stefano Bianco, INFN, Italy• Miriam Blake, LANL, U.S.• Martin Koehler, DESY, Germany• Salvatore Mele, CERN, Switzerland (Convener)• Joao Moreira, FCCN, Portugal• Ann Okerson, CRL, U.S.• Ralf Schimmer, MPG, Germany• Xiaolin Zhang, CAS, China• Ivy Anderson. CDL, U.S. (ex-officio TWG liaison)

SCOAP3 Technical Working Group

“to address the key question of the price reduction for content today in large-scale subscription packages and eventually to be converted by SCOAP3 to Open Access [...and] collect requirements, analyse principles, and suggest ways forward toward a concrete implementation and monitoring”

• Ivy Anderson, CDL, U.S. (chair)• Paola Gargiulo, CASPUR, Italy• Anne Gentil-Beccot, CERN, Switzerland• Paul Harwood, JISC Collections, U.K.• Carol Hoover, LANL, U.S.• Tomonari Kinto, Tokyo, Japan [support: Satoru

Kinoshita]• Angelika Kutz, TIB, Germany• Tom Sanville, LYRASIS, U.S.• Jiancheng Zheng, CAS, China

SCOAP3 Tendering Process

• Developed by an international team of experts representing a cross-section of libraries and funding agencies supporting SCOAP3, with input from the publishing industry and the support of CERN legal and purchasing services

• A set of concrete specifications and agreement framework describing the SCOAP3 model was made publicly available in June, 2012. This specification is freely available at http://scoap3.org/files/Technical_Specification.pdf

• CERN reviewed the bids to identify the publishing partners and selected journals for which a contract for peer review, open access and other publishing services could be awarded.

• An open and competitive tender

http://scoap3.org/files/Technical_Specification.pdf

SCOAP3 Tendering Process

• Spring 2012 – publishers of HEP journals invited to submit proposals for participation

• Evaluation process was based on:– Price per article quoted by publisher

(based on 2011 article volume, with price to hold steady in 2014-2016)

– Quality (Impact factor, CC license, delivery format)– Agreement to reduce subscription $$ according to

volume of articles converted to Open Access

SCOAP3 tender results

SCOAP3 Tender Results (alphabetical order)

Publisher Journal SCOAP3 Articles(2011)

SCOAP3

Percentage(2011)

APC*

APS Physical Review D 2989  ALL 1900 USD

APS Physical Review C 107 9.9% 1900 USD

Elsevier Nuclear Physics B 284 ALL  1800 USD

Elsevier Physics Letters B 1010 ALL  2000 USD

Hindawi AHEP 28 ALL  1000 USD

IOPp/DPG New Journal of Physics 20 2.7% 1000 GBP

IOPp/SISSA JCAP 138 30.9% 1200 GBP

IOPp/CAS Chinese Physics C 16 7.2% 1400 GBP

Jagellonian Acta physica polonica B 23 22.1% 500 EUR

Springer/SISSA JHEP 1652 ALL  1000 GBP

Springer/SIF EPJC 326 ALL  1500 EUR

OUP/PSP PTP 46 36.2% 1200 EUR

*APC = Article Processing Charges

SCOAP3 at a Glance: Timeline and Interaction

National Contact PointsNational HEP community; government

agencies; universities, libraries & consortia (“SCOAP3 partners”)

HEP communityCERN Publishers

2005 Consultation within the HEP community

2006 Internal consensus on SCOAP3 idea (Task Force)

2007 Design of the business model (Working Party)

2008 Outreach and information campaign“Expressions of interest”

Build worldwide consensus and pledges

Outreach and informationQ&A dialogues

2011 National representatives input Go-ahead decision; start tender process

Market Survey

Publisher input

Response to Market Survey

2012

Participation & agreement

Invitation to TenderResults announced

Launch meeting 1 October 2012Reconciliation concept developed

Submission of bids

Discussing reconciliationReconciliation pilots

2013 Provide mappingsCalculate reductions

Upload reductionsReconciliation

MoU signed

MappingCost Reduction Calculator

Reconciliation FacilityReconciliation

MoUs with NCPs; contracts with publishers

Calculate reductionsUpload reductionsReconciliationContracts signed; adjust pricelists 2014; notify subs. agents

2014 SCOAP3 goes live; start operation

Actors

SC TWG

ConsortiaGovernmt.

LibrariesNCP

Accession agreements

Tim

elin

e

NCP

Interaction

SCOAP3 tender results (re-grouped for reconciliation process)

Publisher Journal SCOAP3 Articles(2011)

SCOAP3 % (2011) Status

APS Physical Review D 2989  ALL Subs

Elsevier Nuclear Physics B 284 ALL  Subs

Elsevier Physics Letters B 1010 ALL  Subs

Springer/SISSA JHEP 1652 ALL  Subs

Springer/SIF EPJC 326 ALL  Subs

IOPp/SISSA JCAP 138 30.9% Subs

APS Physical Review C 107 9.9% Subs

IOPp/CAS Chinese Physics C 16 7.2% Subs

IOPp/DPG New Journal of Physics 20 2.7% OA

Hindawi AHEP 28 ALL  OA

Jagellonian Acta physica polonica B 23 22.1% OA

OUP/PSP PTP 46 36.2% OA

Key, urgent and indispensible step: understand subscription reductions for each SCOAP3 participating

library/consortium

4.1 Reduction of Subscription Costs

Five Steps for Reduction

1. Identify SCOAP3 Partner libraries in each country (mapping)

2. Publishers propose reduction for each one

3. Libraries/consortia calculate/verify expected reduction

4. CERN/SCOAP3 “reconciles” numbers

5. Reduction: legal obligation for publishers

1. Identify SCOAP3 Partner libraries in each country

Mapping template

2. Publishers propose reductions 3. Libraries/consortia calculate/verify expected reduction

Invitation to Tender Annex 1: Cost Reduction Scenarios

2. Publishers propose reductions 3. Libraries/consortia calculate/verify expected reduction

Invitation to Tender Annex 1: Cost Reduction Scenarios

Cost Reduction Scenarios

Cost Reduction Scenarios

• Covers all of the major contract types that exist around the world

1. Individual Subscriptions2. Packages with known subscription costs3. Packages based on historical subscriptions4. Packages of subscribed journals with a single fixed

cost5. Packages of unsubscribed journals with a single fixed

cost

• Applies to individual libraries, library consortia, and national-level contracts

• Pilot calculations with APS, Elsevier, Springer

Cost Reduction Calculator• Can be completed by libraries, consortia, or national contact points• Detailed instructions available to guide data entry• Pre-built formulas will calculate amount of reduction from basic contract information

Example: Individual SubscriptionSimply enter currency, price, and number of subscriptions…

And you’re done!Totals calculate automatically

Reconciliation Facility: Web-database with access control

4.CERN/SCOAP3 “reconciles” numbers

Reconciliation Facility Excel File

Generated automatically from “mapping” informationFilled by each library, consortium or national contact point Calculator can be uploaded as supporting documentation

Upload confirmation page

Five Steps for Reduction

1. Identify SCOAP3 Partner libraries in each country (mapping)

2. Publishers propose reduction for each one

3. Libraries/consortia calculate/verify expected reduction

4. CERN/SCOAP3 “reconciles” numbers

5. Reduction: legal obligation for publishers

SCOAP3 at a Glance: Timeline and Interaction

National Contact PointsNational HEP community; government

agencies; universities, libraries & consortia (“SCOAP3 partners”)

HEP communityCERN Publishers

2005 Consultation within the HEP community

2006 Internal consensus on SCOAP3 idea (Task Force)

2007 Design of the business model (Working Party)

2008 Outreach and information campaign“Expressions of interest”

Build worldwide consensus and pledges

Outreach and informationQ&A dialogues

2011 National representatives input Go-ahead decision; start tender process

Market Survey

Publisher input

Response to Market Survey

2012

Participation & agreement

Invitation to TenderResults announced

Launch meeting 1 October 2012Reconciliation concept developed

Submission of bids

Discussing reconciliationReconciliation pilots

2013 Provide mappingsCalculate reductions

Upload reductionsReconciliation

MoU signed

MappingCost Reduction Calculator

Reconciliation FacilityReconciliation

MoUs with NCPs; contracts with publishers

Calculate reductionsUpload reductionsReconciliationContracts signed; adjust pricelists 2014; notify subs. agents

2014 SCOAP3 goes live; start operation

Actors

SC TWG

ConsortiaGovernmt.

LibrariesNCP

Accession agreements

Tim

elin

e

NCP

Interaction

Thank you for your attention!

For information, please visit http://scoap3.org