1. SCOAP 3 a new publishing model for High-Energy Physics Anne Gentil-Beccot, Salvatore Mele, Jens Vigen CERN European Organization for Nuclear Research scoap3.org About (scholarly communication in) HEP The SCOAP 3 model Things are moving forward What happens next?

2. High-Energy Physics (or Particle Physics) Job description for 20000-30000 scientists: "What is the world made of? & "What holds it together? HEP aims to understand how our Universe works: discover the constituents of matter and energy understand their interactions unveil the ultimate texture of space and time Experimental HEP builds the largest scientific instruments ever to reach energy densities close to the Big Bang (Half of the community, 20% of literature) Theoretical HEP predicts and interprets the observed phenomena (Half of the community, 80% of literature)

3. CERN: European Organization for Nuclear Research (since 1954) The world leading HEP laboratory, Geneva (CH) 2500 staff (mostly engineers,administrators/services) 9000 users (physicists from 580 institutes in 85 countries) 3 Nobel prizes (Accelerators, Detectors, Discoveries) Invented the web Sept. 10, 2008: switched-on the 27-km (6bn) LHC accelerator, the big-bang machine (First articles in 2009) Director General and Director General Designate strong advocates of Open Access Runs a 1-million objects Digital Library CERN Convention (1953): ante-litteram Open Access manifesto … the results of its experimental and theoretical work shall be published or otherwise made generally available

4. Open Access: Grant anybody, anywhere and anytime access to the (peer-reviewed) results of (publicly-funded) research

5. arXiv, the archetypal subject 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

6. Information discovery in HEP User survey with over 2000 answers 91 % Community services 9% Google <0.1% Commercial services 40 % Subject repositories 51 % Lab-supported databases Which HEP Information System do you use the most? 6% for scholars > 6 career years 22% for scholars < 2 career years Gentil-Beccot et al. arxiv:0804.2701 Catalogue of preprints and published material. Given a choice between an arXiv link and a publisher website, 80-90% of the times users go to arXiv.

7. HEP and its journals Journals are on the way to lose (lost?) a century-old role as vehicles of scholarly communication. Still, evaluation of institutes and (young) researchers is based on high-quality peer-reviewed journals. The main role of journals is to assure high-quality peer-review and act as keepers-of-the-records The HEP community needs high-quality journals, our interface with officialdom Implicitly, the HEP community supports this role by purchasing subscriptions, as ~80-90% reads only arXiv Some subscription prices make the current model unsustainable, in HEP and elsewhere As an all-arXiv discipline HEP is at high risk to see its journal canceled by large multidisciplinary university libraries (when not already happened)

8. The HEP publishing landscape 5000-7000 HEP articles/year, according to definition of HEP Practically all articles are available as arXiv 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

9. US 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, as HEP research is a global endeavor

10. 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.

11. HEP and Open Access After preprints, arXiv and the web, Open Access journals are the natural evolution of HEP scholarly communication

12. A strong request from the scientists "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." ATLAS; approved on 23rd February 2007 CMS; approved on 2nd March 2007 ALICE; approved on 9th March 2007 LHCb; approved on 12th March 2007 4 experimental groups 7000 scientists from 54 countries

13. 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 (LHC) and the entire France trying this scheme. –Authors like OA without financial barriers in high-IF journals (<<1%) (~4%) (and percentage of HEP literature)

14. The SCOAP 3 model Sponsoring Consortium for Open Access Publishing in Particle Physics Going beyond current experiments http://scoap3.org/files/Scoap3ExecutiveSummary.pdf http://scoap3.org/files/Scoap3WPReport.pdf scoap3.org

15. The SCOAP 3 Model A consortium sponsors HEP publications and makes them Open Access by re-directing subscription money. 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% HEP: conversion to Open Access of this fraction Other, lower-volume, high-quality HEP journals –conversion to Open Access of the HEP content Today: (funding bodies through) libraries purchase journal subscriptions to (indirectly) support the peer-review service and to allow their users to read articles. Tomorrow: funding bodies and libraries contribute to the SCOAP 3 consortium, which pays centrally for the organization of the peer-review service, through a call for tender. Articles are free to read for everyone. SCOAP 3 is not limited to any set of journals but open to all high-quality HEP journals!

16. Novelties of the SCOAP 3 model A sustainable alternative to the subscription model meeting the expectations of researchers, funding agencies, libraries and publishers. Link, through its call for tender, price and quality. Correlate through its contracts volume and price. This is not the case in the subscription model. Eliminate author-pays fees, in competition with research funds which appear as a barrier for Open Access in HEP. There is no such competition in the SCOAP 3 model based on re-direction of subscriptions. Experiment for journal-administered peer-review services against a unique background of complete self-archiving of research articles.

17. Guesstimating the budget envelope Physical Review D (APS) income of 2.7M/year (31% of arXiv:hep) Journal of High Energy Physics (SISSA/IOP) needs ~1M/year (19% of arXiv:hep) HEP Open Access price tag: 10M/year Other ways to estimate the budget envelope A published PRD article costs APS ~1500 Volume of HEP articles: 5000-7000/year (data and exchange rate of April 07) The final price-tag for SCOAP 3 will be known after a call for tender for the peer-review and other editorial services will be placed with publishers

18. SCOAP 3 financing SCOAP 3 to be funded through a fair-share model based on the fraction of HEP articles per country: the more a country uses the system the larger its share. Figures are very stable over time. Allowing only SCOAP 3 partners to publish Open Access would replicate the subscription scheme and not solve the problems. Make a 10% allowance for developing countries who at the beginning might not contribute to the scheme. The model is viable only if every country is on board! Success through consensus and unanimity, not majority. Not a weakness: a strength! Krause et al. CERN-OPEN-2007-014

19. SCOAP 3 funding mechanisms Funding partners identify country-by-country schemes to re-direct journal subscriptions to SCOAP 3 Countries pledge their contribution to SCOAP 3 Countries with centralised structures for licensing join through their national consortium Countries where subscriptions are paid by HEP funding agencies join through these agencies In the decentralised U.S. scenario single institutional and consortial partners join SCOAP 3 directly Pledges conditional to contractual conditions with publishers in line with the SCOAP 3 objectives (unbundling, Open Access, author rights...) Broad worldwide consensus, signified by the pledges, indispensable before the next phase can commence

20. Status of the SCOAP 3 fund-raising 56% of funds have been or are about to be pledged by library consortia, HEP funding agencies, national libraries 20 Discussions and negotiations in progress with all countries not yet in the list, in Europe, Asia and the Americas. Austria Belgium CERN Denmark France Germany Greece Hungary Italy Netherlands Norway Romania Slovakia Sweden Switzerland JISC (UK) 47 US partners (>50%) -consortia (NERL,CDL,GWLA,OhioLink...) -laboratories -individual libraries Turkey Australia 0.8M 4.8M 4.4M

21. A slide from Berlin5, Sept. 07 In one year... From 4 to 18 countries From 1/4 to 1/2 of the budget envelope From Europe to America, Australasia and Middle East

22. Meanwhile, other things happened While waiting for SCOAP3 to become operational publishers offer free OA! –Springer: experimental HEP articles 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) 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 European Commission negotiating SOAP (Study of OA Publishing) –CERN, Max Planck Digital Library, UK Science and Technology Facilities Council, BioMed Central, Sage, Springer –Study OA business models and perform a comprehensive survey of OA attitudes of researchers across all disciplines. –Understand potential of sustainable forms of OA Publishing –(Job opening at http://tinyurl.com/SOAP-CERN)

23. SCOAP 3 timeline Funding partners identify country-by-country schemes to re- direct journal subscriptions to SCOAP 3 and pledge their contribution to SCOAP 3 Once a sizeable fraction of budget is pledged, reflecting the worldwide character of HEP and SCOAP 3 : SCOAP 3 will be formally established, with international governance SCOAP 3 can issue a tender to publishers Publishers answer the tender agreeing to: Journal licence packages are un-bundled, the OA titles are removed and subscription prices are reduced accordingly In the case of long-term subscription contracts, publishers will be required to reimburse subscription costs pertaining to OA journals SCOAP 3 international governing board adjudicates contracts, taking into account journal quality and prices Contracts with publisher are signed and funds are transferred to SCOAP 3 which then pays publishers. Aim to 3-year tendering cycle, with funding commitments in sliding windows

24. Thank you! Salvatore.Mele@cern.ch scoap3.org Additional resources: Report of the SCOAP3 Working Party http://scoap3.org/files/Scoap3WPReport.pdf R. Heuer et al. Innovation in Scholarly Communication: Vision and Projects from High-Energy Physics http://arxiv.org/abs/0805.2739 R. Aymar, Scholarly communication in High-Energy Physics http://cdsweb.cern.ch/record/1115073 A. Gentil-Beccot et al. Information Resources in High-Energy Physics: Surveying the Present Landscape and Charting the Future Course http://arxiv.org/abs/0804.2701 Job opening: Study of Open Access Publishing http://tinyurl.com/SOAP-CERN