This study examines the impact of Plan S, a major initiative launched by cOAlition S to achieve full and immediate Open Access to research publications. Plan S was implemented in 2021 and has since shaped the global scholarly communication ecosystem, aiming to eliminate barriers to accessing research outputs. The report combines quantitative and qualitative analyses to evaluate the success of Plan S in promoting Open Access, with a particular focus on its effects in Europe and the Global South.
Key findings of the study include the positive impact of transformative agreements (TAs) and rights retention strategies, which have facilitated the transition to Open Access in many institutions. However, the report also notes that despite initial successes, the Plan’s goal of universal Open Access has been met with several challenges. These include the complexity of negotiating with commercial publishers, the inequities associated with the article processing charge (APC) model, and a lack of engagement from regions outside Europe, particularly Asia and Latin America.
The report provides 15 recommendations for stakeholders, including cOAlition S and other Open Access advocates, to build on the achievements of Plan S. These recommendations suggest refining rights retention policies, promoting innovative publishing models, and expanding the Plan's geographical reach to ensure a more equitable transition to Open Access globally.
Authors
Pablo de Castro, Ulrich Herb, Laura Rothfritz, W. Benedikt Schmal, Joachim Schöpfel
Related Organizations
- Pages
- 100
- Published in
- Germany
Table of Contents
- Pablo de Castro Ulrich Herb Laura Rothfritz 1
- W Benedikt Schmal Joachim Schöpfel 1
- CONTENTS 3
- Introduction 5
- Study results 6
- What Plan S got right and not so right 7
- Recommendations 8
- Recommendations for cOAlition S 8
- Recommendations for other stakeholders 8
- 1. METHODOLOGY 9
- 1.1. Quantitative analysis Counterfactual Impact Evaluation of Plan S 9
- 1.1.1. The open data requirement 9
- 1.1.2. Quantitative analysis data collection 10
- 1.2. Qualitative analysis 10
- 2. INTRODUCTION 12
- 2.1. A BIT OF HISTORY THE RUN-UP TO PLAN S 12
- 2.2. PLAN S ITS PRINCIPLES AND ITS POLICIES 2018- 2023 14
- 2.3. THE ROLE OF FUNDERS WITHIN THE SCHOLARLY COMMUNICATIONS LANDSCAPE 16
- 2.4. THE IMPACT OF PLAN S ON A SPECIFIC NATIONAL OPEN ACCESS FRAMEWORK 19
- 3. COUNTERFACTUAL 21
- IMPACT EVALUATION OF PLAN S 21
- 3.1. CIE OVERVIEW 21
- 3.1.1. The difference-in-differences method 22
- 3.1.2. Establishing the timeframe for the analysis 22
- 3.1.3. Technical assumptions 23
- 3.1.4. Treatment control and comparison groups 23
- 3.1.5. Rationale for funder selection into the treatment and control groups 25
- 3.2. LIMITATIONS OF THE CIE STUDY 26
- 3.3. RESEARCH DESIGN 28
- 3.3.1. Data collection and grouping 28
- 3.3.2. Data preprocessing 30
- 3.4. CIE RESULTS 32
- 3.4.1. Pooled Comparisons 32
- 3.4.2. Pairwise Comparisons 34
- 3.4.3. Changes across Open Access models 38
- 3.5. CONCLUSIONS 39
- 4. QUALITATIVE ANALYSIS 42
- SOME PERSPECTIVES 42
- 4.1. TRANSFORMATIVE AGREEMENTS 42
- 4.2. RIGHTS RETENTION STRATEGY 47
- 4.3. FULLY GOLD OPEN ACCESS 51
- 4.3.1. APC-based Gold Open Access 51
- 4.3.2. Diamond Open Access 53
- 4.4. PARALLEL AREAS OF PRACTICE PREPRINTS. LONG- FORM PUBLICATIONS 58
- 4.4.1. Preprints 58
- 4.4.2. Long-form publications 59
- 4.5. THE IMPACT OF PLAN S BEYOND ITS STRICT AREA OF INFLUENCE OPEN ACCESS AND THE GLOBAL SOUTH 63
- 4.6. A MODEST PROPOSAL FOR RESEARCHERS 67
- 4.7. PUBLISHERS AND PLAN S 70
- 4.7.1. APC-based Gold OA and fully Open Access publishers 71
- 4.7.2. Hybrid Open Access publishers 72
- 4.7.3. Publishers and rights retention strategies 74
- 4.7.4. A word on book publishers 74
- 5. WHAT PLAN S GOT RIGHT 76
- AND NOT SO RIGHT 76
- 5.1. What Plan S and cOAlition S got right 76
- 5.2. What Plan S and cOAlition S did not get so right 77
- 6. RECOMMENDATIONS 79
- 7. ANNEXES 83
- ANNEX 1 OPEN BIBLIOGRAPHIC DATA SOURCES 83
- ANNEX 2 LIST OF INTERVIEWEES AND OTHER ACKNOWLEDGEMENTS 85
- ANNEX 3 PLAN S OPEN ACCESS POLICY COMPLIANCE 87
- ANNEX 4 GLOSSARY 91
