Abstract
The open access movement, which was set in motion at the latest by the Berlin Declaration in
2003, went hand in hand with the goal of transforming the scholarly publishing system to
open access to research results by default. However, this complete switch to open access—
the “open access transformation”—which has also been formulated as a goal in many strategy
papers, has not yet been achieved. The “transformative agreements” concluded for its
implementation, which go beyond reading access to subscription-based journals by also
providing for fee-based open access publishing options (read-and-publish or publish-and-read),
have led to increases in open access, but primarily at article level. The conversion of entire
journals to open access has largely failed to materialize. Whether transformative agreements
can be considered a success, and whether changing the contractual model—and thus the
business model—to publication costs can be regarded as a genuine paradigm shift, is therefore
the subject of controversial debate. This debate is accompanied by critical discussions of the
side effects of this changed publishing landscape, such as the boosting of the number of
publications and launches of new hybrid journal with the aim of increasing revenue from
publication charges, dubious publishing models (predatory publishing), and data tracking by
publishers. At the same time, there have been numerous developments in the area of scholarled
publishing and clear calls for it to be strengthened.
The open access transformation is also the subject of discussions at the Helmholtz
Association. In the spring of 2021, the two working groups “Open Science” and “Library and
Information Management” drew up an “Internal Memorandum on Open Access Transformation
at the Helmholtz Association,” which focused on establishing a position for the then-upcoming
negotiations for the DEAL agreements. The unpublished paper served to establish the internal
Helmholtz position (informing the Head Office, Helmholtz’s participation in MPDL Services
gGmbH [MPDLS for short]). In addition, in round table discussions of the Alliance of Science
Organisations in Germany, it contributed to the implementation of the open access strategy
within the framework of the then Priority Initiative “Digital Information.”
The present memorandum moves away from this fixation on the DEAL agreements and focuses
on the open access transformation as a whole. It develops perspectives and positions for
Helmholtz on the future promotion of the open access transformation. In doing so, it considers
experiences to date with transformative agreements with commercial providers in the context
of the working group “Forum 13+,” experiences gained from the DEAL agreements concluded
in 2023 and valid until 2028, the lively debate on scholar-led publishing, and the further
development of the gold open access journal landscape.
In addition, the memorandum serves both as a basis for the further formation of opinions at
the Helmholtz centers and for the further development of the open access strategy of the
Alliance of Science Organisations in Germany in the priority area “Digitality in Science.”1
Furthermore, it can contribute to the general assessment of transformation processes in the
broader open access landscape.
