The document discusses the activities of the Max Planck Society (MPG) related to open access. It provides background on MPG, including its mission, principles, facts and figures. It then discusses MPG's support for open access, including signing the Berlin Declaration, funding open access publishing fees, establishing an institutional repository, and revising internal guidelines. Analysis of publication data found that open access is growing rapidly and MPG authors are increasingly publishing in open access journals and repositories.

1. Open Access
Activities of the Max-Planck-Gesellschaft
Georg Botz
Senior Advisor Open Access Policy, Max-Planck-Gesellschaft

2. Overview
1 Max-Planck-Gesellschaft
2 Berlin Declaration on Open Access
3 Open Access: Benefits and Barriers
4 Open Access Activities of Max-Planck-Gesellschaft
5 Some results
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 2

3. M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 3

4. Mission and Guiding Principles
»Insight must precede application«
Max Planck, 1858 -1947
Founder of the Quantum Theory
Nobel Prize 1918
 Basic Research at cutting-edge,
strictly curiosity-driven and
quality oriented
 Autonomy, where scientists
decide upon science
 “Harnack Principle”:
People not programs
 Flexible, dynamic,
interdisciplinary institutes
 Long-term trust systems with
significant core funding for high-risk
projects
 Quality assurance by peers
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 4

5. Facts and Figures
17,000 staff members (Jan 1st, 2014)
5,516 scientists
plus 4,600 junior and guest scientists
annual budget 1.5 billion € (2014)
plus 440 million € third-party funds / own revenue
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 5

6. Sites of Max Planck Institutes
82 Institutes and facilities
280 Directors
MAX PLANCK INSTITUTES ABROAD
USA, FLORIDA
Max Planck Florida, Jupiter
THE NETHERLANDS
Max Planck Institute for Psycholinguistics,
Nijmegen
LUXEMBOURG
Max Planck Institute Luxembourg for
International, European and Regulatory
Procedural Law, Luxembourg
ITALY
Bibliotheca Hertziana, Rome
Art History Institute, Florence
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 6

7. Max Planck Principles
…has his/her own budget
…recruits personnel
…selects research topics
…shapes the research structure (projects / departments)
…identifies cooperation partners in Germany and abroad
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 7

8. 17 Nobel Prize Laureates
2007 - Nobelpreis für Chemie
Gerhard Ertl
2005 - Nobelpreis für Physik
Theodor Hänsch
1995 - Nobelpreis für Medizin
Christiane Nüsslein-Volhard
1995 - Nobelpreis für Chemie
Paul Crutzen J.
1991 - Nobelpreis für Medizin
Erwin Neher
1991 - Nobelpreis für Medizin
Bert Sakmann
1988 - Nobelpreis für Chemie
Robert Huber
1988 - Nobelpreis für Chemie
Hartmut Michel
1988 - Nobelpreis für Chemie
Johann Deisenhofer
1986 - Nobelpreis für Physik
Ernst Ruska
1985 - Nobelpreis für Physik
Klaus von Klitzing
1984 - Nobelpreis für Medizin
Georges Köhler
1973 - Nobelpreis für Medizin
Konrad Lorenz
1967 - Nobelpreis für Chemie
Manfred Eigen
1964 - Nobelpreis für Medizin
Feodor Lynen
1963 - Nobelpreis für Chemie
Karl Ziegler
1954 - Nobelpreis für Physik
Walter Bothe
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 8

9. Publication Performance
Highly cited researchers (top 1%) from 2002 to 2012
Institution Number of researchers
University of California, USA 179
Harvard University, USA 107
National Institutes of Health (NIH), USA 91
Stanford University, USA 56
Max Planck Gesellschaft, Germany 52
Chinese Academy of Sciences, China 46
University of Texas, USA 43
Analysis: L. Bornmann, J. Bauer
Data: highlycited.com (2014)
Max-Planck-Gesellschaft employs many of the world’s highly cited researchers
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 9

10. Overview
1 Max-Planck-Gesellschaft
2 Berlin Declaration on Open Access
3 Open Access: Benefits and Barriers
4 Open Access Activities of Max-Planck-Gesellschaft
5 Some results
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 10

11. Berlin Declaration on Open Access
„Our mission of disseminating
knowledge is only half
complete if the information is
not made widely and readily
available to society.“
 Berlin Declaration on Open
Access to Knowledge in the
Sciences and Humanities
(22.10.2003)
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 11

12. 479 organisations from 74 countries
have sigend the Berlin Declaration
Europe: 356
America: 66
Africa: 42
Asia: 15
Berlin Declaration
600
500
400
300
200
100
0
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 13

13. Open Access: Concepts and Rationale
Open Access is about accessibility, and about the
possibility to re-use scientific information in other contexts
without financial, technical or legal barriers
Some misconceptions
 Open Access policies do not affect the author’s freedom to
choose whether to publish or not.
 Open Access policies do not interfere with patenting or other
forms of commercial exploitation.
 Open Access is not about access to (commercial) music or
movies
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 30.09.2014 | PAGE 14

14. Open Access in a Nutshell
“Open-access (OA) literature
is digital, online, free of
charge, and free of most
copyright and licensing
restrictions.
What makes it possible is the
internet and the consent of
the author or copyright-holder.”
 Peter Suber, 29.12.2004
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 15

15. Two Paths towards Open Access: Green & Gold
Green Open Access
(‘self-archiving’)
 A published article or the final
peer-reviewed manuscript is
archived in an online repository
before, after or alongside its
publication. Access to this
article is often delayed
(‘embargo period’) at the
request of the publisher.
Gold Open Access
(‘Open Access publishing’)
 Immediate and unrestricted
access to the publisher’s final
version of a paper is provided
via the journal’s web site. This
may involve payment of an
‘Article Processing Charge’
(APC) to the publisher.
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 16

16. Overview
1 Max-Planck-Gesellschaft
2 Berlin Declaration on Open Access
3 Open Access: Benefits and Barriers
4 Open Access Activities of Max-Planck-Gesellschaft
5 Some results
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 17

17. Scholarly Benefits of Open Access
 Greater visibility of research results
 Improved refereeing processes
 A revolution in scientific search and information retrieval
 Set up of expert systems
 Innovative new information services
 some of them commercial
 Fostering interdisciplinary research by broadening access
 Providing access to non-research interests
 SMEs, community professionals, education
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 18

18. Study of Open Access Publishing (2009-2011)
Do you think your research field benefits, or would benefit
from journals that publish Open Access articles?
(n=38385)
89,0%
0% 20% 40% 60% 80% 100%
Yes
No
no opinion
I do not care
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 19

19. Obstacles for Open Access Publishing
Has there been a specific reasons why you have not published
an article by Open Access?
(n=5609)
39%
0% 10% 20% 30% 40% 50%
Funding
Journal quality
Other
accessibility
Unawareness
Habits
next time
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 20

20. Obstacles for Open Access Publishing
Has there been a specific reasons why you have not published
an article by Open Access?
(n=5609)
30%
0% 10% 20% 30% 40% 50%
Funding
Journal quality
Other
accessibility
Unawareness
Habits
next time
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 21

21. Overview
1 Max-Planck-Gesellschaft
2 Berlin Declaration on Open Access
3 Open Access: Benefits and Barriers
4 Open Access Activities of Max-Planck-Gesellschaft
5 Some results
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 22

22. Meeting Open Access Publication Costs
 Publication and dissemination should be regarded as an
integral part of the research process
 Research funding should include allocations for making research results
freely available
Max-Planck-Gesellschaft
 Agreements with OA publishers to cover APC
 Starting in 2003 already
 Subscription costs as well as publication costs are paid from
the same budget
Research organisations have to make policy and budgetary
decisions that will enable them to finance the publication
system in the new way.
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 23

23. High Quality Open Access Journals
(Perceived) quality is one of the main barriers to
publishing in open access journals
Max-Planck-Gesellschaft supports new OA journals, e.g.
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 24

24. Nobel Prize 2013
 Awarded to Randy Schekman,
Editor-in-Chief of the Open Access journal eLife
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 25

25. Max Planck Publication Repository
Number of items
Max Planck Digital Library
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 26

26. Max Planck Publication Repository
Max Planck Digital Library
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 27

27. Internal Regulations
Rules of Good Scientific Practice
Regulations governing the publication of results
 research results achieved with public funds should be made freely
available wherever possible.
Rules for Scientific Advisory Boards
OA has to be addressed in the institute’s status report
 description of efforts to promote unrestricted and long-term access
to research findings, e.g., the repository of the Max Planck Society,
own open-access archives, open access journals, etc.
OA is already implemented in the rules governing the MPG
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 28

28. Max-Planck-Gesellschaft: Committed to Open Access
 Berlin Declaration and Conference Series
Advocay, strategy development, and cooperation with partner
organisations
 Alliance; Science Europe; GRC
 Open Access „Green“
 Max Planck Institutional Repostitory
 Open Access „Gold“
 Central budget to cover OA publication charges
 New OA Journals
 Internal regulations
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 29

29. Overview
1 Max-Planck-Gesellschaft
2 Berlin Declaration on Open Access
3 Open Access: Benefits and Barriers
4 Open Access Activities of Max-Planck-Gesellschaft
5 Some results
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 30

30. The Global Article Output: Publication Shares
Source: MPDL analysis
Open Access is the most dynamic segment
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 31

31. MPG Published Articles – Open Access Gold
number of articles and reviews p.a.
OA Gold publisher
MPDL
3rd party
publication
services
MPIs
direct to
3rd party
Source: MPDL analysis
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 32

32. Development of MPG Publications
Source: MPDL analysis
Significant decrease of relevance of major publishers: 50%  33%
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 33

33. MPG publications by provider / Open Access Gold
Source: MPDL analysis
85% of all article publications go to only 20 publishers
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 34

34. MPG publications by provider / Open Access Gold
Source: MPDL analysis
The SCOAP3 effect: immediately among top 15 providers
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 35

35. The Next Generation
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 37

36. Concluding Remarks
 The scholarly publishing system has to be restructured so
that it is better adapted to the digital information age.
 The costs of scholarly publishing are already supported to a
large extend by research funding organizations and research
performing organizations, including universities.
 There is a need for a coordinated approach, but each
organisation will have to implement policies according to their
needs.
“It is time to return control of scholarly publishing
to the scholars.”
M A X - P L A N C K - G E S E L L S C H A F T | Georg Botz, Open Access Policy, 29.09.2014 | PAGE 38