Presentation on theme: "The European Research Council"— Presentation transcript:
1 The European Research Council Dr Dagmar Meyer* ERC Executive Agency, Unit A1Open Access to Excellent Science - the European Research Council's approachOpen Access Week at EPFL24 October 2013*…with contributions by Daniel Spichtinger, European Commission, DG RTD
2 Overview Introduction What do we mean by Open Access? Why Open Access? Different roles of Commission and ERCOpen Access in FP7 (Open Access pilot)ERC approach to Open Access in FP7ERC Statements / Open Access GuidelinesFP7 Special Clause 39 ERCPractical implementationERC Open Access support initiativesEurope PMC and arXivOpen Access in the SH domainOpen Access in Horizon 2020What changes?Pilot on Open Access to Research DataOpen Access under Horizon 2020 in the ERC programme
3 What do we mean by Open Access? Open Access (OA) to scientific informationOA = online access at no charge to the userto peer-reviewed scientific publicationsto research dataFor publications:OA comes after a decision to publishdoes not interfere with the decision to exploit research results commercially e.g. patentingpublications not of lower quality: in general same peer review process as for other publicationsTwo main OA publishing business modelsGold OA: costs covered (by authors/funders) immediate OAGreen OA: deposit of manuscripts immediate/delayed OA
4 Why Open Access? EU Policy objective: to optimise the impact of publicly-funded scientific research, bothat European level (Framework Programmes), andat Member State level (encouragement of national initiatives; policy coordination)Expected impacts:Economic growth (accelerated innovation)Better science (build on previous results)More efficient science (avoid duplication)Improved transparency (involving citizens & society)
5 Specifically for the ERC: The mission of the ERC is to support excellent fundamental research in sciences and the humanities.The main outputs of this research are new knowledge, ideas and understanding, which the ERC expects its researchers to publish in peer-reviewed articles and monographs.The ERC considers that providing free online access to these materials is the most effective way of ensuring that the fruits of the research it funds can be accessed, read and used as the basis for further research.
6 EC and ERC – working together in different roles The European Commission is a...Policy makerProposes EU legislationLegislates with other EU institutionsInvites Member States to actFunding agencySets access and dissemination rules for EC-funded researchResearch Framework Programmes (next: Horizon2020)Capacity builderFunds infrastructure projects relevant for open access and Digital ScienceFunds projects that support EC policyThe European Research Council is …Primarily a research funderNo policy remit as suchPrimary objective: to fund the best researchers conducting the best researchScientific Council to develop scientific strategy aimed at achieving this objectiveOpen Access promoted as a means to further scientific excellence
7 Open Access in FP7 OA pilot in FP7 7 areas of the Framework Programme (>1300 projects to date)20% of total FP7 budget ( )OA publishing costs are eligible in FP7Since the beginning of FP7, for all projectsLimited to duration of projectEuropean Research CouncilJoined the OA pilot in 2012 (Special Clause 39 ERC)Maximum embargo period accepted according to SC 39 ERC: months for all disciplines (instead of 6/12 months for rest of pilot)OpenAIRE / OpenAIRE plusEU-funded portal giving access to repositories across Europe (implements FP7 Pilot); linking publications and underlying data
8 FP7 Open Access pilot Seven areas EnergyEnvironmentHealthInformation & Comm. Technologies [only cognitive systems, interaction & robotics]Research Infrastructures [only e-Infrastructures]Science in SocietySocioeconomic Sciences & HumanitiesEmbargo (COM: 6/12 months / ERC: 6 months)allows publishers to ensure a profit on investment (by e.g. charging for subscription),while then providing OA to research articles once embargo period has lapsed.Special Clause 39: FP7 grant recipients are expected to1. deposit peer-reviewed research articles or final manuscripts resulting from their FP7 projects into an online repository;2. make best effort to ensure open access within 6 months after publication (COM: 12 months for Science in Society and for Socioeconomic Sciences & Humanities).
9 ERC Statements on Open Access ERC Scientific Council Statement on Open Access – December 2006ERC Scientific Council Guidelines for Open Access – 17 December 2007Open Access Guidelines for researchers funded by the ERC – June 2012New: Revised Guidelines adopted on 22 October 2013
10 ERC Open Access Guidelines –Revision of October 2013 Open access required for research papers and monographs that are supported in whole, or in part, by ERC fundingMaximum embargo period 6 months (12 months for Social Sciences and Humanities)Use of discipline-specific repositories strongly encouraged (Europe PubMed Central for LS domain, arXiv for PE domain; no recommendation for SH domain)Alternatively institutional repositories or centralised ones such as Zenodo)Research data should be retained and researchers should be prepared to share their data where possibleHost institutions are encouraged to cover open access related costs after the end of the project for up to 24 months
11 Special Clause 39 ERC – applicable to FP7 ERC projects from 2012-13 calls In addition to Article II.30.3, the beneficiary shall deposit an electronic copy of the published version or the final manuscript accepted for publication of a scientific publication, related to foreground published before or after the final report, in an institutional or subject-based repository at the moment of publication.The beneficiary is required to make its best efforts to ensure that this electronic copy becomes freely and electronically available to anyone through this repository:immediately, if the scientific publication is published "open access", i.e. if an electronic version is also available free of charge via the publisher, orwithin 6 months of publication.
12 ERC Open Access Guidelines vs. Special Clause 39 ERC aspirational (not legally binding)should be followed by all ERC funded researchers on a voluntary basisSpecial Clause 39 ERC:legally bindingaddressing beneficiaryno reference to research datasystematically included in Grants resulting from calls onwards (i.e. ERC grants from calls in 2007 – not affected by the Special Clause)
13 What does "best effort" in Special Clause 39 ERC mean? (1) ‘Best effort’ formulation strongly encourages researchers and publishers to comply while guaranteeing scientific and academic freedom.Detailed instructions on how to fulfil the ‘best effort’ requirement provided in the Guide to Intellectual Property Rules for FP7 projects.Authors should seek information on publishing models and copyright/licensing policies of the journal(s) to which they plan to submit, and check compatibility with the maximum embargo of six months (see the SHERPA/RoMEO website
14 What does "best effort" in Special Clause 39 ERC mean? (2) If publishers' policies do not allow compliance with Grant Agreement, authors should negotiate an amendment or request an authorisation to self- archive within the specific embargo period (model letters available on CORDIS).If negotiations are unsuccessful, researchers should consider submitting to another journal (no obligation).In case of non-compliance, beneficiaries must be able to demonstrate that they have made their "best effort", e.g. through a letter from the publisher stating refusal to allow compliance with the reasons for refusal).
15 Open Access support initiatives: ERC and Europe PubMed Central Europe PMC - repository for LS domain with added services:Linked to PubMed Central in USA (huge number of publications & users)Large number of journals automatically upload author manuscripts or published versionFunded by group of 24 European funders including ERCERC grantees can request set-up of PI account and use manuscript deposition service to satisfy open access requirementsHigh degree of take-up (about 740 accounts set up , i.e. more than 50% of LS grantees, also some grantees from relevant panels in the PE and SH domain)
16 Open Access support initiatives: ERC and arXiv arXiv – e-print server for PE domain:Hosted at Cornell UniversityLong history as pre-print server for physics and mathematicsbut: some development work needed to become fully suitable as OA repository – currently no possibility to encode embargo periodsFunded through Cornell University, Simons Foundation and group of about 170 institutions, mostly from US and Europe ("crowd funding")ERC has recently joined the initiative and will propose enhancements to add value for ERC and ERC grantees
17 Social Sciences & Humanities Great diversity and fragmentation across the Social Sciences and Humanities domainNo specific subject-based repository recommended so farMonographs important means of publication (SSH specificity) – presenting particular challengesERC Open Access WG is following the debate; specific actions to support OA in the SH domain may be developed in the future
18 Open access – what is proposed for Horizon 2020 ? OA pilot in FP7'Best effort' to provide OA, during and after the project7 areasScientific publications relating to foreground (ERC: including monographs)Allowed embargos: 6/12 months (ERC: 6 months for all areas)OA publishing costsEligible while project runsOA mandate in Horizon 2020Obligation to provide OA (during the project)All areas of Horizon 2020Peer-reviewed publicationsAllowed embargos: 6/12 monthsIn addition: pilot for research data (taking into account commercial interests, privacy, security)OA publishing costsEligible while project runsOther options currently under discussionGreen OAGold OA
19 Pilot on Open Access to Research Data Will take into account privacy, security issues, commercial interestsIssues to consider:What data? (underlying data, raw data, metadata)Where should data go?Use and re-use / ownershipNot just Open Access: data-sharing and managementNeed to create incentives for researchersPublic consultation 2 July 2013 – high level of interest (more than 100 participants) – Report and individual presentations available on EC website ( agenda/node/67533)
20 Open access in Horizon 2020 – implementation in ERC programme ERC Open Access mandate in H2020Peer-reviewed publicationsPractical application of mandate to monographs yet to be decidedAllowed embargos: 6/12 months also for ERC projects6 months for projects in LS and PE domain,12 months in SH domainERC will NOT take part in the data pilot in 2014May join at a later stage
21 Thank you for your attention! Questions? Comments?