Excitonic behaviour in polymeric semiconductors : the effect of morphology and composition in heterostructures

La compréhension des interrelations entre la microstructure et les processus électroniques dans les polymères semi-conducteurs est d’une importance primordiale pour leur utilisation dans des hétérostructures volumiques. Dans cette thèse de doctorat, deux systémes diffèrents sont étudiés ; chacun de ces systèmes représente une approche diffèrente pour optimiser les matériaux en termes de leur microstructure et de leur capacité à se mettre en ordre au niveau moléculaire. Dans le premier système, j’ai effectué une analyse complète des principes de fonctionnement d’une cellule photovoltaïque hybride à base des nanocristaux d’oxyde de zinc (ZnO) et du poly (3-hexylthiophène) (P3HT) par absorption photoinduite en régime quasi-stationnaire (PIA) et la spectroscopie PIA en pompage modulé dépendant de la fréquence. L’interface entre le donneur (le polymère P3HT) et l’accepteur (les nanoparticules de ZnO), où la génération de charges se produit, joue un rôle important dans la performance des cellules photovoltaïques hybrides. Pour améliorer le mécanisme de génération de charges du P3H: ZnO, il est indispensable de modifier l’interface entre ses constituants. Nous avons démontré que la modification d’interface moléculaire avec cis-bis (4, 40 - dicarboxy-2, 20bipyridine) ruthénium (II) (N3-dye) et a-Sexithiophen-2 yl-phosphonique (6TP) a améliorée le photocourant et la performance dans les cellules P3HT: ZnO. Le 6TP et le N3 s’attachent à l’interface du ZnO, en augmentant ainsi l’aire effective de la surface donneur :accepteur, ce qui contribue à une séparation de charge accrue. De plus, le 6TP et le N3 réduisent la densité de pièges dans le ZnO, ce qui réduit le taux de recombinaison des paires de charges. Dans la deuxième partie, jai introduit une matrice hôte polymérique de polystyréne à masse molaire ulra-élevée, qui se comporte comme un solide pour piéger et protéger une solution de poly [2-méthoxy, 5- (2´-éthyl-hexoxy) -1,4-phénylènevinylène- PPV] (MEHPPV) pour utilisation dans des dispositifs optoèlectroniques quantiques. Des travaux antérieurs ont montré que MEH-PPV en solution subit une transition de conformation, d’une conformation enroulé à haute température (phase bleue) à une conformation de chaîne étendue à basse température (phase rouge). La conformation de la chaîne étendue de la solution MEH-PPV favorise les caractéristiques nécessaires à l’amélioration des dispositifs optoélectroniques quantiques, mais la solution ne peut pas être incorporées dans le dispositif. J’ai démontré que la caractéristique de la phase rouge du MEH-PPV en solution se maintient dans une matrice hôte polymérique de polystyrène transformé de masse molaire très élevée, qui se comporte comme un solide (gel de MEH-PPV/UHMW PS), par le biais de la spectroscopie de photoluminescence (PL) dépendant de la température (de 290K à 80 K). La phase rouge du gel MEH-PPV/UHMW PS se manifeste par des largeurs de raie étroites et une intensité augmentée de la transition 0-0 de la progression vibronique dans le spectre de PL ainsi qu’un petit décalage de Stokes entre la PL et le spectre d’absorption à basse température. Ces approches démontrent que la manipulation de la microstructure et des propriétés électroniques des polymères semi-conducteurs ont un impact direct sur la performance de dispositifs pour leurs développements technologiques continus.

Sediment and ice characteristics at a buried ice-wedge system at Barrow

Barrow, the northernmost point in Alaska, is one of the most intensively studied areas in the Arctic. However, paleoenvironmental evidence is limited for northern Alaska for the Lateglacial-Holocene transition. For a regional paleoenvironmental reconstruction, we investigated a permafrost ice-wedge tunnel near Barrow, Alaska. The studied site was first excavated in the early 1960s and intercepts a buried ice-wedge system at 3-6 m depth below the surface. A multi-methodological approach was applied to this buried ice-wedge system and the enclosing sediments, which in their combination, give new insight into the Late Quaternary environmental and climate history. Results of geochronological, sedimentological, cryolithological, paleoecological, isotope geochemical and microbiological studies reflect different stages of mid to late Wisconsin (MW to LW), Allerod (AD), Younger Dryas (YD), Preboreal (PB), and Late Holocene paleoenvironmental evolution. The LW age of the site is indicated by AMS dates in the surrounding sediments of 21.7 kyr BP at the lateral contact of the ice-wedge system as well as 39.5 kyr BP below the ice-wedge system. It is only recently that in this region, stable isotope techniques have been employed, i.e. to characterize different types of ground ice. The stable isotope record (oxygen: d18O; hydrogen: dD) of two intersecting ice wedges suggests different phases of the northern Alaskan climate history from AD to PB, with radiocarbon dates from 12.4 to 9.9 kyr BP (ranging from 14.8 to 10.6 kyr cal BP). Stable isotope geochemistry of ice wedges reveals winter temperature variations of the Lateglacial-Holocene transition including a prominent YD cold period, clearly separated from the warmer AD and PB phases. YD is only weakly developed in summer temperature indicators (such as pollen) for the northern Alaska area, and by consequence, the YD cold stadial was here especially related to the winter season. This highlights that the combination of winter and summer indicators comprehensively describes the seasonality of climate-relevant processes in discrete time intervals. The stable isotope record for the Barrow buried ice-wedge system documents for the first time winter climate change at the Lateglacial-Holocene transition continuously and at relatively high (likely centennial) resolution.

Palynological counts (dinoflagellate cysts) and foraminiferal geochemistry (d18O, d18C, Mg/Ca) of the Pliocene-Pleistocene transition in the North Atlantic

The position of the North Atlantic Current (NAC) during the intensification of Northern Hemisphere glaciation (iNHG) has been evaluated using dinoflagellate cyst assemblages and foraminiferal geochemistry from a ~260 kyr interval straddling the base of the Quaternary System from two sites: eastern North Atlantic Deep Sea Drilling Project Site 610 in the path of the present NAC and central North Atlantic Integrated Ocean Drilling Program Site U1313 in the subtropical gyre. Stable isotope and foraminiferal Mg/Ca analyses confirm cooling near the marine isotope stage (MIS) G7-G6 transition (2.74 Ma). However, a continued dominance of the dinoflagellate cyst Operculodinium centrocarpum sensu Wall and Dale (1966) indicates an active NAC in the eastern North Atlantic for a further 140 kyr. At MIS 104 (~2.60 Ma), a profound dinoflagellate cyst assemblage turnover indicates NAC shutdown in the eastern North Atlantic, implying elevated atmospheric pressure over the Arctic and a resulting shift in the westerlies that would have driven the NAC. These findings challenge recent suggestions that there was no significant southward shift of the NAC or the Arctic Front during iNHG, and reveal a fundamental climatic reorganization near the base of the Quaternary.

Genomic consequences of mating system evolution in the Pacific coastal dune endemic, Abronia umbellata (Nyctaginaceae)

The advent of next-generation sequencing has significantly reduced the cost of obtaining large-scale genetic resources, opening the door for genomic studies of non-model but ecologically interesting species. The shift in mating system, from outcrossing to selfing, has occurred thousands of times in angiosperms and is accompanied by profound changes in the population genetics and ecology of a species. A large body of work has been devoted to understanding why the shift occurs and the impact of the shift on the genetics of the resulting selfing populations, however, the causes and consequences of the transition to selfing involve a complicated interaction of genetic and demographic factors which are difficult to untangle. Abronia umbellata is a Pacific coastal dune endemic which displays a striking shift in mating system across its geographic range, with large-flowered outcrossing populations south of San Francisco and small-flowered selfing populations to the north. Abronia umbellata is an attractive model system for the study of mating system transitions because the shift appears to be recent and therefore less obscured by post-shift processes, it has a near one-dimensional geographic range which simplifies analysis and interpretation, and demographic data has been collected for many of the populations. In this study, we generated transcriptome-level data for 12 plants including individuals from both subspecies, along with a resequencing study of 48 individuals from populations across the range. The genetic analysis revealed a recent transition to selfing involving a drastic reduction in genetic diversity in the selfing lineage, potentially indicative of a recent population bottleneck and a transition to selfing due to reproductive assurance. Interestingly, the genetic structure of the populations was not coincident with the current subspecies demarcation, and two large-flowered populations were classified with the selfing subspecies, suggesting a potential need for re-evaluation of the current subspecies classification. Our finding of low diversity in selfing populations may also have implications for the conservation value of the threatened selfing subspecies.

On the microstructure, growth pattern and original porosity of belemnite rostra: insights from calcitic Jurassic belemnites

Calcitic belemnite rostra are usually employed to perform paleoenvironmental studies based on geochemical data. However, several questions, such as their original porosity and microstructure, remain open, despite they are essential to make accurate interpretations based on geochemical analyses.This paper revisits and enlightens some of these questions. Petrographic data demonstrate that calcite crystals of the rostrum solidum of belemnites grow from spherulites that successively develop along the apical line, resulting in a “regular spherulithic prismatic” microstructure. Radially arranged calcite crystals emerge and diverge from the spherulites: towards the apex, crystals grow until a new spherulite is formed; towards the external walls of the rostrum, the crystals become progressively bigger and prismatic. Adjacent crystals slightly vary in their c-axis orientation, resulting in undulose extinction. Concentric growth layering develops at different scales and is superimposed and traversed by a radial pattern, which results in the micro-fibrous texture that is observed in the calcite crystals in the rostra.Petrographic data demonstrate that single calcite crystals in the rostra have a composite nature, which strongly suggests that the belemnite rostra were originally porous. Single crystals consistently comprise two distinct zones or sectors in optical continuity: 1) the inner zone is fluorescent, has relatively low optical relief under transmitted light (TL) microscopy, a dark-grey color under backscatter electron microscopy (BSEM), a commonly triangular shape, a “patchy” appearance and relatively high Mg and Na contents; 2) the outer sector is non-fluorescent, has relatively high optical relief under TL, a light-grey color under BSEM and low Mg and Na contents. The inner and fluorescent sectors are interpreted to have formed first as a product of biologically controlled mineralization during belemnite skeletal growth and the non-fluorescent outer sectors as overgrowths of the former, filling the intra- and inter-crystalline porosity. This question has important implications for making paleoenvironmental and/or paleoclimatic interpretations based on geochemical analyses of belemnite rostra.Finally, the petrographic features of composite calcite crystals in the rostra also suggest the non-classical crystallization of belemnite rostra, as previously suggested by other authors.

Mechanical stretch up-regulates the B-type natriuretic peptide system in human cardiac fibroblasts:a possible defense against transforming growth factor-β mediated fibrosis

BACKGROUND: Mechanical overload of the heart is associated with excessive deposition of extracellular matrix proteins and the development of cardiac fibrosis. This can result in reduced ventricular compliance, diastolic dysfunction, and heart failure. Extracellular matrix synthesis is regulated primarily by cardiac fibroblasts, more specifically, the active myofibroblast. The influence of mechanical stretch on human cardiac fibroblasts' response to pro-fibrotic stimuli, such as transforming growth factor beta (TGFβ), is unknown as is the impact of stretch on B-type natriuretic peptide (BNP) and natriuretic peptide receptor A (NPRA) expression. BNP, acting via NPRA, has been shown to play a role in modulation of cardiac fibrosis.

METHODS AND RESULTS: The effect of cyclical mechanical stretch on TGFβ induction of myofibroblast differentiation in primary human cardiac fibroblasts and whether differences in response to stretch were associated with changes in the natriuretic peptide system were investigated. Cyclical mechanical stretch attenuated the effectiveness of TGFβ in inducing myofibroblast differentiation. This finding was associated with a novel observation that mechanical stretch can increase BNP and NPRA expression in human cardiac fibroblasts, which could have important implications in modulating myocardial fibrosis. Exogenous BNP treatment further reduced the potency of TGFβ on mechanically stretched fibroblasts.

CONCLUSION: We postulate that stretch induced up-regulation of the natriuretic peptide system may contribute to the observed reduction in myofibroblast differentiation.

The Kepler-454 system: a small, not-rocky inner planet, a Jovian world, and a distant companion

Kepler-454 (KOI-273) is a relatively bright (V = 11.69 mag), Sun-like star that hosts a transiting planet candidate in a 10.6 day orbit. From spectroscopy, we estimate the stellar temperature to be 5687 ± 50 K, its metallicity to be [m/H] = 0.32 ± 0.08, and the projected rotational velocity to be v sin i <2.4 km s^-1. We combine these values with a study of the asteroseismic frequencies from short cadence Kepler data to estimate the stellar mass to be , the radius to be 1.066 ± 0.012 R_o, and the age to be Gyr. We estimate the radius of the 10.6 day planet as 2.37 ± 0.13 R_⊕. Using 63 radial velocity observations obtained with the HARPS-N spectrograph on the Telescopio Nazionale Galileo and 36 observations made with the HIRES spectrograph at the Keck Observatory, we measure the mass of this planet to be 6.8 ± 1.4 M_⊕. We also detect two additional non-transiting companions, a planet with a minimum mass of 4.46 ± 0.12 M_J in a nearly circular 524 day orbit and a massive companion with a period >10 years and mass >12.1 M_J. The 12 exoplanets with radii ⊕ and precise mass measurements appear to fall into two populations, with those ⊕ following an Earth-like composition curve and larger planets requiring a significant fraction of volatiles. With a density of 2.76 ± 0.73 g cm^-3, Kepler-454b lies near the mass transition between these two populations and requires the presence of volatiles and/or H/He gas.

Bio-fuelling the Hummer? Transdisciplinary Thoughts on Techno-Optimism and Innovation in the Transition from Unsustainability

An overarching aim of this chapter is to offer an informed and critical analysis of ‘techno-optimism’, informed by an explicitly transdisciplinary approach. A transdisciplinary perspective is one in which knowledge production goes beyond the academy to include end non-academic stakeholders and users. In effect it seeks to ‘upstream’ the involvement of non-academic interests in research design and knowledge production, as opposed to limiting those non-academic interests to the dissemination end point stage of research, which is the dominant research model. Techno-optimism is understood as an exaggerated and unwarranted belief in human technological abilities to solve problems of unsustainability while minimising or denying the need for large-scale social, economic and political transformation. More specifically, techno-optimism is the belief that the negative environmental and social costs of high-consumption, affluent, consumer societies and associated ways of life within capitalist orthodox economic growth orientated socio-economic systems, can be solved or eradicated through technological innovation and breakthroughs. Business as usual can be ‘greened’; a capitalist, growth-based economy can be made more ‘resource efficient’, consumerism less ‘resource intensive’ (and maybe a little bit more ethical). Techno-optimism, to be deliberately provocative for a moment, can therefore be described as a ‘biofuel the hummer’ response to the challenges (and opportunities) of the crisis of unsustainability. What I mean by that analogy is the seductive promise and premise of techno-optimism of not questioning or doubting the status quo (the hummer), hence it’s putative (but entirely false) non-political character. The capitalist, consumerist, growth-based socio-economic system is thus removed from critical analysis (usually on the implicit or explicit assumption of either the normative rightness of this system, or on strategic political grounds that it is naive or utopian to envisage widespread support for a non or post-capitalist consumer system). Techno-optimism simply enables a different means (biofuel) to the same ends.

Mathematical methods for the configuration of transportation systems with a focus on continuous and modular matrix conveyors

The lack of flexibility in logistic systems currently on the market leads to the development of new innovative transportation systems. In order to find the optimal configuration of such a system depending on the current goal functions, for example minimization of transport times and maximization of the throughput, various mathematical methods of multi-criteria optimization are applicable. In this work, the concept of a complex transportation system is presented. Furthermore, the question of finding the optimal configuration of such a system through mathematical methods of optimization is considered.

Resilience of small-scale societies’ livelihoods: a framework for studying the transition from food gathering to food production

The origins of agriculture and the shift from hunting and gathering to committed agriculture is regarded as one of the major transitions in human history. Archeologists and anthropologists have invested significant efforts in explaining the origins of agriculture. A period of gathering intensification and experimentation and pursuing a mixed economic strategy seems the most plausible explanation for the transition to agriculture and provides an approach to study a process in which several nonlinear processes may have played a role. However, the mechanisms underlying the transition to full agriculture are not completely clear. This is partly due to the nature of the archeological record, which registers a practice only once it has become clearly established. Thus, points of transitions have limited visibility and the mechanisms involved in the process are difficult to untangle. The complexity of such transitions also implies that shifts can be distinctively different in particular environments and under varying historical and social conditions. In this paper we discuss some of the elements involved in the transition to food production within the framework of resilience theory. We propose a theoretical conceptual model in which the resilience of livelihood strategies lies at the intersection of three spheres: the environmental, economical, and social domains. Transitions occur when the rate of change, in one or more of these domains, is so elevated or its magnitude so large that the livelihood system is unable to bounce back to its original state. In this situation, the system moves to an alternative stable state, from one livelihood strategy to another.

The urokinase plasminogen activating system in thyroid cancer: clinical implications

The urokinase plasminogen activator (uPA) system (uPAS) comprises the uPA, its cell membrane receptor (uPAR) and two specific inhibitors, the plasminogen activator inhibitor 1 (PAI-1) and 2 (PAI-2). The uPA converts the plasminogen in the serine protease plasmin, involved in a number of physiopathological processes requiring basement membrane (BM) or extracellular matrix (ECM) remodelling, including tumor progression and metastasis. The tumor-promoting role of PAS is not limited to the degradation of ECM and BM required for local diffusion and spread to distant sites of malignant cells, but widens to tumor cell proliferation, adhesion and migration, intravasation, growth at the metastatic site and neoangiogenesis. The relevance of uPAS in cancer progression has been confirmed by several studies which documented an increased expression of uPA, uPAR and PAI-1 in different human malignancies, and a positive correlation between the levels of one or more of them and a poor prognosis. For these reasons, the uPAS components have aroused considerable interest as suitable targets for anticancer therapy, and several pharmacological approaches aimed at inhibiting the uPA and/or uPAR expression or function in preclinical and clinical settings have been described. In the present manuscript, we will first glance at uPAS biological functions in human cancer progression and its clinical significance in terms of prognosis and therapy. We will then review the main findings regarding expression and function of uPAS components in thyroid cancer tissues along with the experimental and clinical evidence suggesting its potential value as molecular prognostic marker and therapeutic target in thyroid cancer patients.

Développement et pré-test d’un plan de soins de suivi pour des femmes atteintes du cancer de l’endomètre avec traitements adjuvants lors de la transition de la fin du traitement actif vers la survie au cancer

La fin du traitement actif et le début de la phase de survie correspondent à une période de transition qui présente de nombreux défis pour la personne survivante au cancer, les soignants et le système de santé. La phase de survie au cancer est une phase distincte mais négligée du continuum de soins. Pour faciliter la transition de la fin du traitement actif vers la survie et optimiser la coordination des soins de suivi, la mise en place d’un plan de soins de suivi (PSS) est proposée. Le but de cette recherche est de développer, de mettre en place et d’évaluer si un plan de soins de suivi (PSS) permet de répondre aux besoins globaux, de diminuer la détresse émotionnelle et de favoriser les comportements d’autogestion de santé de femmes atteintes du cancer de l’endomètre (FACE) lors de la transition de la fin du traitement actif vers la survie au cancer. Elle comprend deux phases distinctes. La première phase visait d’abord le développement d’un plan de soins de suivi (PSS) pour des femmes atteintes du cancer de l’endomètre avec traitements adjuvants. La sélection du contenu du PSS a été faite à partir de la recension des écrits et des données recueillies lors d’entrevues individuelles avec 19 FACE, 24 professionnels de la santé travaillant avec cette clientèle et quatre gestionnaires de proximité en oncologie. Cette première phase avait également pour but la validation du contenu du PSS auprès de dix professionnels de la santé impliqués dans l’étude. La seconde phase consistait à évaluer la faisabilité, l’acceptabilité du PSS et à en pré-tester l’utilité à répondre aux besoins globaux, à diminuer la détresse émotionnelle (peur de la récidive) et à favoriser l’autogestion de santé auprès d’un groupe de 18 femmes atteintes du cancer de l’endomètre avec traitements adjuvants à la fin du traitement actif vers la survie. Sur le plan de la faisabilité, les résultats suggèrent que la mise en place du PSS comporte des défis en termes de temps, de ressources et de coordination pour l’infirmière pivot en oncologie (IPO). Concernant l’acceptabilité du PSS, les FACE le perçoivent comme un outil d’information utile qui favorise la communication avec le médecin de famille ou d’autres professionnels de la santé. Les IPO soutiennent sa valeur ajoutée à la fin du traitement et soulignent que la discussion du contenu du PSS fait ressortir des éléments de surveillance et de suivi essentiels à prendre en compte pour la phase de survie et permet de mettre l’emphase sur l’autogestion de sa santé. Pour les médecins de famille, le PSS est un outil d’information pour les survivantes qui favorise la réassurance, la communication et la continuité des soins entre professionnels de la santé. Enfin, pour ce qui est de l’utilité du PSS à répondre aux besoins globaux, les résultats suggèrent que l’ensemble des besoins sont plus satisfaits trois mois après la fin des traitements pour le groupe ayant reçu un PSS. Bien que la peur de récidive du cancer (PRC) s’améliore au suivi de trois mois pour le groupe exposé au PSS, 55% des FACE conservent un score cliniquement significatif de 13 à la sous-échelle de sévérité de peur de récidive à la fin du traitement et 42% au suivi de trois mois. Les comportements d’autogestion de santé s’améliorent entre la fin du traitement et le suivi de trois mois pour le groupe exposé un PSS. Considérant ces résultats, la démarche soutient la pertinence de mettre en place un PSS à la fin du traitement actif pour les FACE pour répondre à des besoins d’information, favoriser la communication et la continuité des soins avec les professionnels de la santé et les comportements d’autogestion de santé dans la phase de survie. Cependant, des contraintes de temps, de ressources et de coordination doivent être prises en compte pour sa mise en place dans le milieu clinique. Mots-clés : Transition, fin du traitement actif, besoins, survie au cancer, plan de soins de suivi.

Degenerate mixtures of rubidium and ytterbium for engineering open quantum systems

In the last two decades, experimental progress in controlling cold atoms and ions now allows us to manipulate fragile quantum systems with an unprecedented degree of precision. This has been made possible by the ability to isolate small ensembles of atoms and ions from noisy environments, creating truly closed quantum systems which decouple from dissipative channels. However in recent years, several proposals have considered the possibility of harnessing dissipation in open systems, not only to cool degenerate gases to currently unattainable temperatures, but also to engineer a variety of interesting many-body states. This thesis will describe progress made towards building a degenerate gas apparatus that will soon be capable of realizing these proposals. An ultracold gas of ytterbium atoms, trapped by a species-selective lattice will be immersed into a Bose-Einstein condensate (BEC) of rubidium atoms which will act as a bath. Here we describe the challenges encountered in making a degenerate mixture of rubidium and ytterbium atoms and present two experiments performed on the path to creating a controllable open quantum system. The first experiment will describe the measurement of a tune-out wavelength where the light shift of $\Rb{87}$ vanishes. This wavelength was used to create a species-selective trap for ytterbium atoms. Furthermore, the measurement of this wavelength allowed us to extract the dipole matrix element of the $5s \rightarrow 6p$ transition in $\Rb{87}$ with an extraordinary degree of precision. Our method to extract matrix elements has found use in atomic clocks where precise knowledge of transition strengths is necessary to account for minute blackbody radiation shifts. The second experiment will present the first realization of a degenerate Bose-Fermi mixture of rubidium and ytterbium atoms. Using a three-color optical dipole trap (ODT), we were able to create a highly-tunable, species-selective potential for rubidium and ytterbium atoms which allowed us to use $\Rb{87}$ to sympathetically cool $\Yb{171}$ to degeneracy with minimal loss. This mixture is the first milestone creating the lattice-bath system and will soon be used to implement novel cooling schemes and explore the rich physics of dissipation.

The phase diagram of the mercury-indium alloy system

The mercury-indium phase diagram has been investigated over the whole composition range from -78°C to the melting point of indium, using thermal analysis, X-ray and superconductivity techniques. This is believed to be the first application of superconductivity measurements to phase diagram investigations. A compound, HgIn, of very limited range of composition, melts congruently at -19.3°C; and gives rise to eutectics at 61.5 at. % indium and -31°C, and at 34.7% indium and -37.2°C. The β phase extends from 2.5 to 19.1 % indium and has a maximum melting point of -14.2°C at 14.2% indium. It forms a peritectic or eutectic at a temperature indistinguishable from the melting point of pure mercury with a solid solution in mercury containing some, but less than 0.3%, indium. A transition from face-centred tetragonal to face-centred cubic in the indium-rich solid solutions at about 93% indium gives rise to a peritectic at 108°C. The solubility of mercury in this face-centred cubic phase falls from about 22% at-31°C to 13% at -78°C. © 1963.

Submission Fees - A Tool in the Transition to Open Access?

Knowledge Exchange examined different routes in achieving the vision of 'having a layer of scholarly and scientific content openly available in the internet'. One of these routes involves exploring new developments in the future of publishing. Work is being undertaken investigating interesting alternative business models which could contribute to the transition to open access. In this light KE has commissioned a study investigating whether submission fees could play a role in a business model for Open Access journals. The general conclusion of the report bearing the title ‘Submission Fees a tool in the transition to open access?', written by Mark Ware, is that there are benefits to publishers in certain cases to switch to a model in which an author pays a fee when submitting an article. Especially journals with a high rejection rate might be interested in combining submission fees with article processing charges in order to make the transition to open access easier. In certain disciplines, notably economic and finance journals and in some areas of the experimental life sciences, submission fees are already common. Overall there seems to be an interest in the model but the risks, particularly those involved in any transition, are seen by the publishers to outweigh the perceived benefits. There is also a problem in that the advantages offered by submission fees are often general benefits that might improve the system but do not provide publishers and authors with direct incentives to change to open access. To support transition funders, institutions and publication funds could make it clear that submission fees would be an allowable cost. At present this is often unclear in their policies. Author acceptance of submission fees is critical to its success. It is an observable fact that authors will accept them in some circumstances. Author acceptance would require further study though. Based on the interviews and the modelling in the study one model in particular is regarded as the most suitable way to meet the current requirements (i.e. to strengthen open access to research publications). In this model authors pay a submission fee plus an Article Processing Fee and the article is subsequently made available in open access. Both fees are set at levels that balance acceptability with the author community with securing a meaningful mix of revenues for the Publisher.