1 Unit Governance & Ethics, L3 Science, Economy and Society Directorate DG Research, European Commission Open Access (OA) in FP7 SiS NCPs Meeting 8 September 2010, Brussels

2 Outline Background on OA – What’s OA? – What’s at stake? – “Green” & “Gold” OA OA in FP7 – “Gold” OA – OA Pilot Project in FP7 – SC 39 – Toolkit FP7 Project Reporting Tool Additional Information Resources

3 Background on OA (1) What is Open Access (OA)? – Free online access – Open Access publications are openly accessible at no cost, over the internet, for the user/reader Open Access to what? – Open access can refer to any form of scientific information (publication, data, etc.) Open Access in FP7 focuses on peer-reviewed publications in scientific journals resulting from FP-projects

4 Background on OA (2) What Open Access is not (frequent misperceptions) – An Open Access requirement is not a requirement to publish (researchers are free to publish or not) – Open access does not interfere with the decision to exploit research results commercially (e.g. patenting); discussion on open access comes after decision to publish has been taken – Open Access publications are not of a lower quality – they go through the same peer review process as other publications

5 Background on OA (3) Origins of the OA debate – The Internet has led to unprecedented access and dissemination possibilities → Access should be easier and cheaper – But journal subscription prices have risen considerably over the past decades ( → 200% - 300% beyond inflation) – Need to make the best possible use of opportunities offered by the Internet whose “open standards made interconnections cheap and easy, dissolving boundaries between existing academic, corporate and consumer networks” (“The web's new walls”, The Economist, Sep 2nd 2010)

6 Background on OA (4) What’s at stake: – All research builds on former work – Avoid duplication of research – Improve research uptake, usage and impact – Potentially improve return on investment in R&D & maximise socioeconomic impact – Free access to results funded by tax payers’ money – European Research Area (ERA) & 5th Freedom: goal of free movement of knowledge in the ERA

7 Background on OA (5) “Green” OA also referred to as self-archiving : – Authors deposit final peer-reviewed manuscripts in repositories (open archives) – To be made available in open access mode – Sometimes after an embargo period allowing publishers to recoup their investment (via subscriptions / pay per download)

8 Background on OA (6) “Gold” OA also referred to as paid OA, OA publishing or author pays model – Costs for OA publishing are covered by authors (often via funding bodies or institutions) – Research articles are immediately available open access upon publication – Some journals offer both subscriptions and open access publishing (hybrid journals)

9 OA in FP7 (1) “Gold” OA – Publication costs (including gold/author pays open access fees) are eligible for reimbursement Legal reference: II.16.4 of FP7 Model Grant Agreement permits 100% reimbursement for “other activities” including open access publication Limited to duration of project Uptake to be monitored during and at end of FP7

10 OA in FP7 (2) Open Access Pilot project in FP7 based on “Green” OA – Launched Aug ‘08; covers ca. 20 % of FP7 budget – Applies to all new FP7 grant agreements signed after August 2008 in the seven following FP7 areas: – 6 month embargo: Health, Energy, Environment, Information & Communication Technology (Cognitive systems/robotics), Research infrastructures (e-infrastructures) – 12 month embargo: Socio-economic Sciences and Humanities and Science in Society – Applies during and after project ends – Goals: Experiment with Open Access in FP7 Input for Open Access policy for FP8

11 OA in FP7 (3) Special Clause 39 Grant agreements (GA) covered by pilot include Special Clause 39 (legal basis of OA Pilot) Special Clause 39 requires researchers to: 1.Deposit an electronic copy (published version or final manuscript) in an institutional or subject-based repository at moment of publication 2.Make best efforts to ensure that this electronic copy becomes available open access (freely and electronically available to anyone): immediately if the publication is published open access, or within 6 or 12 months of publication, depending on area Two steps: deposit and access treated separately

12 OA in FP7 (4) Toolkit for researchers including model cover letter and model copyright agreement amendment to send to publishers

13 OA in FP7 (5) OpenAIRE: ‘Open Access Infrastructure for Research in Europe’ (DG INFSO project, started Dec. 2009) – Technical implementation and monitoring of Pilot – If no repository available: Commission through OpenAIRE provides a temporary repository to store ‘orphan’ publications – Establishment of a technical infrastructure of digital repositories to deposit and access scientific articles produced under FP7 – Infrastructure built on existing on repositories – Helpdesk –

14 OA in FP7 (6)

15 Quick guide for beneficiaries: Publications - “Once a publication is introduced, the Co-ordinator may update or delete it and eventually change their order. That order will be kept when the list will be consolidated in the Final Report” FP7 Project Reporting Tool (1)

16 Quick guide for beneficiaries: Final reporting “The list of publications, applications for patent and exploitable foreground are consolidated and presented in the report based on the information registered during the course of the projects” FP7 Project Reporting Tool (2)

17 Quick guide for beneficiaries: Final reporting “Finally, the Report on Societal Implications (questionnaire) must be completed by responding to all questions” FP7 Project Reporting Tool (3)

18 Additional Information (1) Funding body policies: 45 funder mandates (June 2010) – 2006 Deutsche Forschungsgemeinschaft (DE): OA after max. 12 mo. – 2006 Wellcome Trust (UK): OA after max. 6 mo. – 2007 Canadian Institutes of Health Research: OA after max. 6 mo. – 2008 National Institutes of Health (USA): OA after max. 12 mo. (legislation) – (in process) 2009: US bill for a "Federal Research Public Access Act" to enable US Federal agencies to develop public access policies – 2008 Harvard University (Arts and Sciences, Law): faculty members grant University copyright; provide copy of their articles – 2008 European University Association: recommends setting up institutional repositories and establishing an institutional Open Access mandate Source:

19 Additional Information (2) Policies of major publishers: adapting to Open Access – Nature Publishing Group: can deposit final manuscript to institutional repository, 6 month embargo – AAAS (Science publisher): authors sign license to publish that enables deposit of final manuscript, 6 month embargo – Elsevier (Lancet publisher): can deposit final manuscript to institutional repository, must acknowledge and link to published version – Springer: can deposit final manuscript to institutional repository, must acknowledge & link to published version, 12 month embargo

20 Questions and comments: Join mailing list on access to scientific information: rtd- Access to scientific information: society/index.cfm?fuseaction=public.topic&id=1301&lang=1 society/index.cfm?fuseaction=public.topic&id=1301&lang=1 Open access pilot in FP7: society/index.cfm?fuseaction=public.topic&id=1300&lang=1 society/index.cfm?fuseaction=public.topic&id=1300&lang=1 Open access on CORDIS: doc_en.htmlhttp://cordis.europa.eu/fp7/find- doc_en.html Resources (1)

21 Resources (2) Directory of OA journals: Directory of OA repositories: Registry of OA repositories: Registry of OA repository material archiving policies: Research funders’ guidelines/mandates/policies: Publisher and journal policies: