1. Navigating Today’s Scholarly Publishing Landscape

Scholarly publishing is experiencing a major upheaval, unlike anything seen before. The traditional subscription model, reliant on institutional budgets and access fees, is giving way to new norms. The push for transparency and open access (OA) is transforming how research is shared and funded.

Several key trends are driving this change:

Open Access Growth: OA articles now make up a significant and expanding portion of research outputs across disciplines, signalling that the tipping point has been reached.

Funder and Government Push: Major funders and governments are actively shaping research dissemination. They’re not just funding research—they’re dictating when and how results are made openly accessible. Institutions are banding together to negotiate better agreements and promote open policies.

Researcher and Public Expectations: Today’s researchers seek quick, seamless dissemination of their work, and society expects publicly funded research to be accessible to all. For many authors, open access has become the default, not an exception.

Understanding these forces isn’t just academic; they’re rewriting the rules for partnerships, revenue, and compliance. In this evolving ecosystem, transformative agreements and funder mandates are strategic priorities—not optional considerations.

2. Transformative Agreements Demystified

Once considered industry jargon, “transformative agreements” have quickly become strategic linchpins for publishers of all sizes. But what exactly do they entail, and why do they matter so much?

At their core, transformative agreements are contracts between publishers and institutions (typically libraries or library consortia) that aim to shift the financial basis of journals from subscription (pay-to-read) to open access (pay-to-publish). By integrating traditional subscription fees with article processing charges (APCs), these agreements pave a managed pathway for both sides toward full open access.

There are several common models:

Read and Publish Agreements: Institutions pay a single fee that covers both journal subscriptions (“read”) and open access publishing rights for their authors (“publish”), eliminating individual per-article charges.

Publish and Read Agreements: The focus here is on open access publishing, with reading access bundled in as an added or secondary benefit.

Hybrid Transformative Agreements: These deals help transition journals offering both OA and subscription content, laying groundwork for a future where all content is open.

What sets “transformative” agreements apart is their clear, contractual commitment to ending paywalls in favour of open access. For publishers, entering into such agreements means fundamentally rethinking business models, workflows, and value propositions.

For smaller publishers, the pressure is on: not only must they handle the operational and administrative demands of OA at scale, but they must also protect revenue as subscriptions taper. But as these agreements become increasingly common worldwide, understanding and negotiating them has shifted from optional to absolutely critical.

3. Funder Mandates: Motivations and Market Impact

Funder mandates, driven by groups like cOAlition S with Plan S in Europe, the NIH, and other agencies, are accelerating the shift toward open access. The goal is clear: publicly funded research should be accessible freely and quickly to everyone.

These mandates are motivated by several key aims:

Enhance Research Visibility: OA boosts discoverability and allows researchers to have a broader, faster impact.

Maximize Public Benefit: Since much research is publicly funded, findings should serve the public interest—accessible to practitioners, policymakers, and citizens.

Promote Reproducibility and Integrity: Open access to data and results supports rigorous, reproducible science.

Complying with these mandates requires detailed attention. Publishers must deposit manuscripts in approved repositories, use licenses like Creative Commons (often CC BY), and navigate complex grant and national rules. Failing to comply can mean losing funding, damaging relationships, and facing heavy administrative burdens.

For proactive publishers, viewing funder mandates as strategic opportunities rather than compliance hurdles can turn these requirements into competitive advantages.

4. The Intersection: When Transformative Agreements Meet Funder Mandates

What makes today’s scholarly publishing environment so dynamic is the escalating synergy between transformative agreements and funder mandates. Rather than acting as separate levers, they work together to create a powerful “compliance ecosystem,” where momentum in one area quickens progress in the other.

Consider this virtuous cycle:

As leading funders require OA, institutions are compelled to negotiate transformative deals, pooling resources and bargaining power to set new terms.

Publishers who can offer compliant transformative agreements become a magnet for authors with funder requirements, driving OA adoption and giving these publishers a competitive edge.

Real-world examples abound. The Wellcome Trust, as a signatory to Plan S, now stipulates that its funded researchers must publish in compliant journals. Major publishers like Springer Nature and Wiley have responded by signing sweeping national deals, thus making OA the default pathway for a vast number of articles. And crucially, smaller publishers are stepping into the ring, negotiating their place within consortium deals and adapting to national OA strategies.

Yet, convergence also adds layers of complexity. Legal, administrative, and reporting obligations must be meticulously synchronized across funder mandates and institutional contracts. For digital publishing managers, a commitment to process improvement and careful oversight is indispensable.

5. The Small and Mid-Sized Publisher’s Perspective

Much of the attention in OA circles focuses on publishing’s biggest players. But the open access revolution has just as transformative an impact on small and medium publishers—often in ways that are more immediate and personal.

Consider the following challenges and opportunities:

• Revenue Shifts: Moving from subscription to publication-based fees introduces real financial uncertainty, especially for niche titles or those with modest submission numbers.
• Administrative Overhead: Meeting funder compliance, reporting, and billing requirements demands robust systems and streamlined processes—resources that can stretch smaller teams thin.
• Competition for Authors and Partners: With OA the new normal, attracting quality submissions and securing institutional partnerships requires greater marketing savvy and agility.
• But smaller operations can also be more nimble capitalizing on their ability to swiftly adopt OA, tap new audiences, and experiment with service offerings like enhanced editorial support or custom analytics for partners.
• To thrive, consider these actionable strategies:
• Build consortia or alliances with societies, other publishers, or library groups to strengthen negotiating leverage.
• Invest in workflow automation and compliance tools to avoid ballooning administrative costs.
• Prioritize highly engaged, niche content that delivers unique value—becoming indispensable in your field rather than blending into a sea of generic OA titles.

6. Overcoming Operational and Technical Barriers

Turning transformative policies into operational reality requires a fundamental reengineering of publishing processes from manuscript submission to final publication.

Data and Metadata Management: Comprehensive, accurate metadata is the backbone of repository deposits, discoverability, and compliance. Adopting globally recognized standards like Crossref or OpenAIRE ensures both consistency and interoperability.

Workflow Automation: Modern publishing demands integrated, automated systems to track OA status, manage embargoes, and confirm license compatibility. Siloed, manual processes won’t cut it—successful publishers are the ones connecting editorial, business, and technical workflows seamlessly.

Future-Proofing Infrastructure: Policies and compliance requirements evolve constantly. Building open, modular systems and leveraging APIs ensures your tech stack doesn’t become obsolete with each policy update.

Whenever feasible, small and mid-sized publishers should look to off-the-shelf solutions and third-party platforms. This frees up valuable human resources for strategic, creative, and author-facing work.

7. Rethinking Business Models for the OA Era

With the decline of subscription revenues, sustainable models depend on innovative business approaches and as follows:

• Flexible Pricing Models: Tiered APCs, usage-based fees, and institutional subsidies provide more equitable options than flat rates. Collective funding initiatives, involving consortia or institutions sharing costs, are gaining traction.
• Strategic Partnerships: Libraries, consortia, and institutional collaborators are vital for negotiating agreements, co-developing infrastructure, and expanding reach.
• Community and Scale: Initiatives like the Open Library of Humanities or Society Journals programs enable smaller publishers to pool resources, share administrative duties, and access broader audiences.
• As OA transforms the publishing landscape, the value of editorial expertise, peer review, and community stewardship increases. Publishers should focus on shaping and supporting their research communities, not just publishing content.

8. Legal and Licensing Essentials

Mastering legal and licensing aspects is critical when implementing OA, especially with international collaborations and following considerations:

• Copyright Management: OA often transfers copyright to authors while granting publishers distribution rights. Precise contractual language is key.
• Creative Commons Licenses: Most funders require CC BY licenses, which promote reuse. Publishers must align contracts and workflows accordingly and clearly communicate rights to authors.
• Backfile and Legacy Content: Opening previously published content is often part of OA strategies. Approaches include delayed OA or rolling releases, balancing access with revenue considerations.

Clear contracts and transparent communication with authors and partners are vital for compliance, reputation, and integrity.

9. Leveraging Data for Compliance and Strategic Growth

As compliance demands grow, the value of robust data collection, reporting, and analysis cannot be overstated.

Tracking and Auditing: Automated systems should monitor every article’s OA status, funding sources, licensing terms, and repository compliance, ensuring seamless, auditable reporting for all stakeholders.

Demonstrating Impact: With OA uptake, metrics like usage, citations, and compliance rates acquire new significance. Clear reporting and analytics are vital for illustrating value to prospects, funders, and partners.

Continuous Optimization: Real-time dashboards and routine analytics help pinpoint workflow bottlenecks, reveal adoption trends, and inform targeted improvements, arming you for the next negotiation cycle.

In a world dominated by OA mandates and agreements, data isn’t just a compliance necessity. It’s a strategic asset that differentiates agile publishers from the pack.

10. Fostering Agility: Building an Adaptable Team and Culture

No amount of technology or process redesign can substitute for a resilient, future-ready team. Organizational agility is fast becoming the true hallmark of successful publishing operations.

Upskilling the Workforce: Invest in training programs around OA compliance, metadata management, data analytics, and legal frameworks. The pace of change means learning must be ongoing.

Cross-Functional Collaboration: Tear down silos between editorial, operations, and technical teams. Open channels of communication foster innovation in contract negotiation, workflow transformation, and product development.

Keeping Pace with Change: Establish policy monitoring routines or teams dedicated to scanning the horizon for funder updates, new industry agreements, and emerging best practices.

Embracing Change: Above all, cultivate a culture where policy shifts are viewed as opportunities to innovate and lead, not threats to be resisted. Even small publishers can emerge as thought leaders and indispensable partners if they are nimble and forward-thinking.

Conclusion: Turning Disruption Into Opportunity

There’s no question about it, transformative agreements and funder mandates are upending the status quo in scholarly publishing. Yet, for digital publishing managers in small and medium-sized companies, these very disruptions also offer a foundation for innovation, enhanced relevance, and growth.

By embracing agility, investing in your team, refining operational models, and building robust data-driven strategies, you can ensure your publishing operation thrives—not just survives—in the open access era.

Is your publishing operation prepared for the future of open access? Contact our experts for tailored advice on managing transformative agreements, ensuring compliance, and streamlining OA workflows suited for small and medium-sized publishers. Position your business for sustainable growth and ongoing relevance in the evolving scholarly landscape.