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Journal of Library and Information Science in Agriculture ›› 2024, Vol. 36 ›› Issue (10): 53-62.doi: 10.13998/j.cnki.issn1002-1248.24-0685

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Empirical Study and Response Strategies of Open Access Transformation in Chinese University Libraries

Jing GUO, Yihua ZHANG, Yaqi SHEN, Haiyan SONG   

  1. Library of Shanghai Jiao Tong University, Shanghai 200240
  • Received:2024-08-27 Online:2024-10-05 Published:2025-03-12

Abstract:

[Purpose/Significance] With the advancement of open science, the signing of transformative open access agreements will have a profound and long-term impact on the acquisition of library information resources. How libraries respond to this trend, how to evaluate open access conversion agreements, whether to sign reasonable open access conversion agreements, and actively adopt them suitable for China's domestic conditions, and scientific and effective collection acquisition and transformation strategies in an open publishing environment, how to ensure reasonable investment of institutional publishing funds, and how to play a role in promoting positive academic exchanges in an open scientific environment are all important issues that deserve industry attention and exploration. [Method/Process] We first reviewed the research progress on open access transformation at home and abroad. Second, based on the data statistics and analysis of DOAJ and related research reports and institutions, the relatiave concepts were elaborated, the impact on stakeholders was examined, and the trend of practical development was understood. Through the analysis and induction of practical cases in domestic and foreign university libraries, especially through the case analysis of the library of Shanghai Jiao Tong University, we elaborated on the issues that Chinese university libraries need to pay more attention to in the process of open access transformation, and proposes related strategies. [Results/Conclusions] To cope with the open access movement, on the one hand, we need to be vigilant against the emergence of new knowledge "barriers" and "paywalls" due to profit-driven, high APC, and transformative costs, as well as the lack of regulatory norms for author payments and the existence of financial risks and loopholes such as taxation. On the other hand, all parties adhere to the original intention of promoting the dissemination of academic knowledge, forming a transparent and reasonable APC price ecological market, establishing a hierarchical, reliable, and sustainable open publishing funding support, transformation, and regulation mechanism, and creating an economic and healthy academic information exchange environment. In this process, it is necessary for university libraries to comprehensively coordinate subscription fees and publishing fees, and fully guarantee and restructure knowledge exchange and information dissemination. This paper summarizes the three issues that need to be considered in the process of open access transformation, including the impact of open access on stakeholders, the phenomena that need to be monitored, and the key to ensuring sustainability. We proposed implementation strategies based on practical cases, including research and data preparation, analysis and evaluation, focusing on specific implementation points such as controlling elements of contract terms. The OA transformation is still in the transition period, and in order to avoid the loss of funds due to double payments, some overall management and guidance systems are needed during this period. For some publishers that prioritize commercial profit, it is necessary to send strong signals and strengthen supervision of APC pricing rationality through alliances and other levels. In addtion, we must strengthen China's leadership and discourse power in open science, and carry out the construction of related supporting systems.

Key words: open science, open access, reading & publication transformative agreement, open access transformation, information resource construction

CLC Number: 

  • G255

Table 1

Impact of open access on stakeholders"

利益相关者 可能的影响
社会公众(读者) 社会公众(读者)不受价格和大多数访问许可协议障碍限制,通过网络就可以直接获取学术文献
图书馆及非盈利组织 从学术出版订阅模式的主要采购者,转变成新型出版模式的合作者。对图书馆信息资源建设而言,阅读与出版转换协议可能成为改变目前信息资源建设模式的“颠覆性趋势”
出版社 监督和控制对学术期刊出版的投资,有助于降低成本,并推动学术期刊出版向开放获取过渡。虽然开放获取的初衷是限制或摧毁大型商业出版商的垄断地位,但情况正好相反。出版商从出版的文章处理费(Article Processing Charges,简称APC)创造了新的收入来源,同时仍然保留非OA出版物的订阅,有可能形成新的学术传播“付费墙”
作者及其资助机构 提高作者及其机构学术影响与传播。但可能会从“因高额订阅费看不起(文章)”转变成“因高额APC费发不起(文章)”

Table 2

Analysis of reading & publishing transformative agreements"

方案内容 益处 挑战
有涨幅(8%),一定比例(30%~40%)的合同金额作为OA出版费用 从学校层面统筹管理订阅费和APC费,总经费支出应有下降 短期内,图书馆用于该数据库费用略有增长
若当年免费OA发文额度未使用完,则在方案期内,剩余免费OA发文额度可留存至下一年度继续使用 图书馆主动介入,了解并使用国外主流OA出版管理平台,并在OA发表管理协调上发挥作用 图书馆需负责协调OA发表的审核和咨询,相应工作量增加
建立OA转换谈判模式,可作为后期其他数据库转换协议谈判的模板 可能被认为是机构对OA出版转换的盲从与无条件支持

Table 3

Typical patterns and practical cases of open access transformation"

开放获取转换典型模式 内容要点 实践案例
Offsetting抵消模式 允许订阅方支付的阅读费和出版费相互抵消 例如:Royal Society of Chemistry,提供7篇混合期刊OA论文免费额度,其余APC享受85折优惠
Read & Publish模式 机构支付文献订阅费和部分论文出版费,允许其研究人员发表OA论文,重点在阅读,通常会限制发文量

例如:Cambridge University Press,DRAA联盟首份阅读&出版转换协议。每年增加8%的订阅费(约2 300英镑),获得5~6篇OA论文的发表额度(每篇APC约2 000英镑),其余享受APC享受9折优惠

2021年启动至今,已支持交大作者在剑桥期刊发表17篇OA论文

Publish & Read模式 依据机构的发文情况,机构支付用于开放获取出版的费用,同时允许其作者免费阅读订阅内容,科研机构成本高低与其发文数量成正比,如ACM OPEN 例如:ACM OPEN,计划2025年全面OA,按机构发文量分级支付。国内有中国科学院、清华等40余家机构完成ACM OPEN转换。交大暂未参加
Subscribe to Open(S2O)模式 S2O期刊订阅达到预设收入水平,期刊中所有的论文都在当年可以开放获取 例如:Annual Reviews、EDP Sciences等。交大馆加入De Gruyter和APS美国生理学会的S2O计划
APC优惠 机构与出版社协商APC优惠折扣,有时需要预支出版费

例如:IEEE,所有OA期刊和混合期刊APC享受9折优惠

MDPI,签署会员合同,无会员费,机构作者APC可享受9折优惠

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