Gold Open Access

Open access publishing – also known as gold open access – refers to the first publication of scholarly works as articles in open access journals, as open access monographs, or as contributions to collections or conference proceedings. These texts usually undergo the same quality assurance process as closed access works, mostly in the form of peer review or editorial review. As a rule, a publishing agreement is concluded with the publisher. It specifies the rights of use that the author grants to the publisher, and the conditions of use that shall apply to the open access documents. Such agreements are often supplemented with an open access publication licence under which the authors can grant users more extensive and precisely specified rights. 

Financing

Both open access and closed access publications have to be financed. The options for financing open access publications are comparable with those used to finance closed access publications: sales of printed copies; unpaid support from the scientific community, scientific institutions, and volunteers; and advertising or sponsoring. Sometimes cross-financing also occurs. In particular, commercial publishers that want to try out the gold open access business model finance new journals with revenue from their subscriptions business. Although publication fees, or article processing charges (APCs; in the case of monographs, book processing charges, BPCs), are sometimes cited as a typical gold open access financing model, they are also widespread in closed access publishing (Gutknecht 2018). APCs are payable per accepted and published article, and can be combined with institutional memberships. If publishing authors belong to an institution that has an institutional membership with an open access publisher, that institution will cover the publication fees in full or in part. In addition, many institutions provide further possibilities of reimbursement of these costs, for example, via publication funds.

Translation from the German of the graphic “Wissenschaftliches Publizieren (Closed Access) [Scholarly Publishing: (Closed Access)]”. (CC BY 4.0 International)
Source: Oberländer, Anja (2020). Open Access – Es ist nicht alles Gold, was glänzt. In: Open Science. Von Daten zu Publikationen. Zenodo. http://doi.org/10.5281/zenodo.4018594

Translation from the German of the graphic “Wissenschaftliches Publizieren: Goldener Weg [Scholarly Publishing: Gold Open Access]”. (CC BY 4.0 International)
Source: Oberländer, Anja (2020). Open Access – Es ist nicht alles Gold, was glänzt. In: Open Science. Von Daten zu Publikationen. Zenodo. http://doi.org/10.5281/zenodo.4018594

Green Open Access

Green open access – also known as “self-archiving” – refers to making a work published with a publisher available to the public in an institutional or disciplinary open access repository. It is sometimes understood to refer also to making such a work available on the author’s personal website. Self-archiving can take place at the same time as the publication of the content by the publisher or at a later date, and is possible for preprints and post-prints of scholarly articles, as well as for other document types, for example, monographs, research reports, and conference proceedings.

A preprint is a scholarly publication that has not (yet) undergone peer review, which means that the quality of the work has not yet been conclusively assessed. The manuscript version of a text submitted for publication to a journal or a publisher is sometimes also referred to as a preprint.

In contrast to a preprint, a post-print is a text that has already undergone peer review and has been accepted for publication. There are two types of post-prints. On the one hand, a post-print may be completely identical with the publisher's version, or the version of record. On the other hand, the content may be the same but the formatting, layout, or pagination may be different. In the latter case, the post-print is referred to as the author’s accepted manuscript (AAM) version. The willingness of publishers to allow self-archiving of post-prints or preprints varies considerably. The Sherpa Romeo database provides an overview of the rights that publishers grant their authors in this regard. Under German copyright law, authors are allowed under certain conditions to make post-prints available to the public. This is known as the Zweitveröffentlichungsrecht.

Variants of Green Open Access

In discussions on open access, three ways of providing green open access are distinguished. First, the works can be made available in institutional repositories. In this case, authors have the possibility of depositing their scientific texts on a trans-disciplinary document server operated by their institution (e.g., university). Second, the works may be made available in disciplinary repositories – that is, repositories that host output from a particular subject area (e.g., a specialist discipline), irrespective of the institutions to which the authors belong. A third variant is to deposit scholarly documents on one’s own personal website. However, this approach means that the deposited documents are not, as a rule, as visible as they would be if they were archived in an institutional or disciplinary repository. Moreover, their long-term availability is not assured, which is why this type of self-archiving is often not recognised as open access. This is the case, for example, in the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities.

A list of open access repositories can be found in the Directory of Open Access Repositories (OpenDOAR) and in the Registry of Open Access Repositories (ROAR).

Translation from the German of the graphic “Wissenschaftliches Publizieren: Grüner Weg (Postprint) [Scholarly Publishing: Green Open Access (Post-Print)]”. (CC BY 4.0 International).
Source: Oberländer, Anja (2020). Open Access – Es ist nicht alles Gold, was glänzt. In: Open Science. Von Daten zu Publikationen. Zenodo. http://doi.org/10.5281/zenodo.4018594

Zwischenwege

Zwischen goldenem und grünem Weg existieren auch graduelle Zwischenpositionen. So erlaubt es der sozialwissenschaftliche Dokumentenserver Social Science Research Network (SSRN) sowohl bereits erschienene Zeitschriftenartikel offen zugänglich zu machen als auch Manuskripte als Preprints zu publizieren und diese bei mit SSRN kooperierenden Journalen einzureichen. Als weiteres Beispiel können die epijournals oder “overlay journals” (Gowers 2015) der Mathematik gelten. Dabei handelt es sich um Open-Access-Zeitschriften, die die Infrastruktur von Preprint-Servern oder Repositorien nutzen. Einreichungen werden von den Autor*innen auf arXiv oder Hyper Articles en Ligne (HAL) zugänglich gemacht und zur Aufnahme in eines der epijournals vorgeschlagen. Wird die Einreichung nach erfolgtem Peer Review akzeptiert, bleiben sowohl die ursprüngliche Fassung als auch die überarbeitete Zeitschriftenversion bestehen. Einige Zeitschriften der Verlage Copernicus Publications oder F1000 arbeiten nach einem ähnlichen Prinzip mit offenem Peer Review. Ähnlich nutzen Closed-Access-Verlage arXiv, indem sie es ermöglichen, Manuskripte auf diesem Server automatisch in den eigenen Einreichungsworkflow einzuspeisen. Auch das Einspielen von Preprints vor der Veröffentlichung des Inhalts im Verlag trägt Merkmale des goldenen und grünen Wegs des Open Access. Genauso stellt die Erstveröffentlichung von Dokumenten wie Dissertationen oder Schriftenreihen auf einem Repositorium eine Art Mischform der erwähnten Strategien dar: Da es sich um Erstveröffentlichungen handelt, kann die Publikation als Gold Open Access gelten, allerdings erfolgt sie auf Servern, den Repositorien, die üblicherweise zur Bereitstellung von Materialien des grünen Open Access dienen.

Neben Open Access Grün und Gold werden manchmal noch weitere Varianten mit Farbsymbolen belegt (Piwowar et al. 2018; Schmeja 2018); dabei handelt es sich z. T. nicht um Open-Access-Publikationen im eigentlichen Sinn, etwa wenn ein Zeitschriftenartikel zwar kostenlos gelesen werden kann, aber nicht dauerhaft nachnutzbar ist.

References

Gowers, T. (2015, September 10). Discrete Analysis - an arXiv overlay journal. Gowers’s Weblog. https://gowers.wordpress.com/2015/09/10/discrete-analysis-an-arxiv-overlay-journal/

Gutknecht, C. (2018, January 8). Publikationskosten für Closed-Access: die verschwiegenen APCs. wisspub.net. https://wisspub.net/2018/01/08/apcs-von-denen-fast-niemand-spricht/

Piwowar, H., Priem, J., Larivière, V., Alperin, J. P., Matthias, L., Norlander, B., Farley, A., West, J., & Haustein, S. (2018). The state of OA: a large-scale analysis of the prevalence and impact of Open Access articles. PeerJ, 6, e4375. https://doi.org/10.7717/peerj.4375

Schmeja, S. (2018, October 24). Gold, Grün, Bronze, Blau...: Die Open-Access-Farbenlehre. TIB-Blog. https://blogs.tib.eu/wp/tib/2018/10/24/gold-gruen-bronze-blau-die-open-access-farbenlehre/