Open Access to Publications From FP7 Pilot to Horizon 2020 Mandate

Research results & their exploitation and/or dissemination The decision on whether to publish open access comes after the decision on whether to seek protection for intellectual property rights. We‘ll concentrate on cases where the researchers have decided to publish their results. IPR Helpdesk, Factsheet Open access to publications and data in Horizon

What are projects expected to do? Projects have to start planning early on During proposal writing phase Outline of dissemination and exploitation strategy, including OA >> impact section of the proposal (how will results be shared, data be managed and shared?) Include resources for publication costs (what journals, how many publications, what does it cost on average?) Combine GREEN/GOLD strategies to achieve maximum of OA During the project Additional provisions in the Consortium Agreement? (where to deposit, who is responsible) Implementation of the dissemination strategy, report at reviews and update What issues occur and how can they be solved? (publisher embargos, repositories for specific material, etc.) After the project end Are there publications foreseen after the ending of the project (ie which will not be covered by the budget) – for post-FP7 project publications there is a pilot (funds granted by the EC, managed by OpenAIRE) Who takes care of deposit in repositories after the project end? 3

Researcher decides where to publish Check SHERPA RoMEO to see what OA and self- archiving options are available Publish in a subscription-based journal Publish in an open access journal IF OPTION EXISTS e.g. a ‘hybrid’ journal (a subscription-based journal that has a paid open access option ) Immediate open access (via publisher) Pay Article Processing Charge (APC) Pay Article Processing Charge (APC) - if required Self-archive in a repository, based on publisher policy. Immediate or delayed open access, depending on publisher’s policy Search for a repository hhttp://service.re3data.org/searc h or GOLD OA ROUTE GREEN OA ROUTE Adapted from Sarah Jones, see also: 4 4

Typical questions What budget should be added for publishing? Publishing in OA journals: c 1,000 EUR on average, hybrid journals c 1,980 EUR per article (average values!) Add more info about your publication strategy / budget to the Impact Section and if adequate a dissemination/outreach work package. What about longer embargo periods? The EC / ERC might consider to introduce sanctions in the future. How about publications after the project end? FP7-post grant publication fund in OpenAIRE (pilot, for 2 years) What role plays Open Access in the review of proposal/projects? At the proposal stage: Take the Impact section seriously, standard formulations are not sufficient. Helpdesks: OpenAIRE Helpdesk IPR Helpdesk 5

Publication costs Dissemination costs, e.g. for publishing in open access journals/books, are eligible costs if incurred during the project period. What budget to consider in proposals? APC = Article Processing Charges Budget for Publications = Average APC x number of publications Method #1: Average APC based on list of journals used by the consortium (look up prices at publisher website and/or consult librarian) Method #2: Average APC based on general market figures (see next slide) 6

What does it cost? Björk/Solomon estimate the average price of Article Processing Charges (APC) for established open access journals at ca. 1,020 EUR and for hybrid journals (subscription journal with OA option for individual articles) at ca. 1,980 EUR The average can be substantially higher in certain research areas! (no figures provided by Björk/Salomon) Both types of OA publication costs can be reimbursed in H2020 projects. Currently, there is no price-cap for APCs in FP7/H2020. (For FP7 post-grant publications in a price-cap applies, see slides on pilot.) 7

What practices, what issues? 1. Publishing all articles in gold OA may be challenging, as this can lead to a substantial amount of the overall project budget. Therefore, a mixed strategy of GREEN/GOLD open access is highly recommended. 2. The growing open access market comes with some challenges Lots of new journals/publishers, some of questionable quality (‚predatory journals‘, Glossy magazines seize the market opportunities too. Some caution is needed when publishing, this holds for all journals. Consult ‚white lists‘ such as DOAJ. 8

What practices, what issues? 3. Some publishers are worried about GREEN OA and demand long embargo periods and/or agreements with research funders. However, ca. 65% of publishers allow posting in repositories (some with embargos). Agreements with publishers do not seem advisable as this typically perpetuates the status quo regarding restrictions to deposit in repositories (or adds a price). 4. Copyright remains an issue: Authors still sign away too many rights, i.e. the deposited copy can typically only be used in a limited way (download, printing, etc.) but is not available under an open content license (Creative Commons or similar). Authors need support by the funder, institutional and national policy to secure such rights. 9

Dissemination strategy & OA Strategy: goals, target audiences, messages Methods and tools Conventional dissemination material: logo, fact sheet, presentation, press release, newsletter, website, etc. Social media channels and networks Peer reviewed publications and participation in conferences List of targeted journals and conferences >> with quality tiers, OA/non-OA Recommended OA repositories for publications and data Additional guidance Publication budget (typically from each partner‘s budget) – OA and non-OA Acknowledgement statement Maximum embargo period for OA Recommended licenses for publications and data >> Consider to complement this by provisions in the Consortium Agreement 10

Targeted journals & publication strategy 1. List of targeted journals Project A Space Weather Advances in Space Research Advances in Radio Science Project B Ocean Science Journal of Climate Climate Dynamics Progress in Oceanography 2. Look up the OA conditions (via SHERPA/RoMEO List all OA repositories that the consortium will be using 4. Decide as a consortium for which journals which strategy will be used (deposit + traditional, deposit + gold OA, deposit + hybrid OA) 5. Keep the information up to date. 11

Looking up self-deposit conditions 12

Example #1: NACLIM 13 List of publications as discovered by OpenAIRE 13

More on the project website but… Post-print sits in the website‘s CMS, ie non-permanent link, can‘t be cited nor metadata be harvested Check which version of the article can be deposited in repositories 14

OA Conditions of targeted journals Ocean Science and Open Science Discussions, Copernicus – OA journal, CC licensed, moderate APC PLoS ONE – OA journal, CC licensed Física de la Tierra – Open Access but no clear license information >> need to check with publisher Geophysical Research Letters – postprint on author/department website, publisher’s PDF must be used in instutional repository 6m after publication Journal of Climate, American Meterological Society – hybrid OA $800, publisher’s PDF must be used in instutional repository 6m after publication Journal of Geophysical Research: Oceans, American Geophysical Union, Wiley – publisher’s PDF must be used in instutional repository 6m after publication Journal of Geophysical Research: Atmospheres: deposit of postprint in repositories, publisher’s PDF must be used in institutional repository 6m after publication Global Change Biology, Blackwell – hybrid OA $3,000, deposit of postprint in institutional repository (12m embargo) Climate Dynamics, Springer – hybrid OA 2,200 EUR, postprint can be deposited (12m embargo) Quarterly Journal of the Royal Meterological Society, Wiley – hybrid OA $3,000, deposit of postprints in repositories, use of publisher’s version after 36m embargo Progress in Oceanography, Elsevier – hybrid OA $3,300, immediate deposit in a few disciplinary repositories (arXiv, RePEc), deposit in institutional repositories typically 12-48m embargo, or the author pays the hybrid OA fee Via SHERPA/RoMEO (search for journal name or ISSN) OA Journals EC mandate compatible journals Non-compatible journals – at least if you don‘t use the hybrid OA option 15

Progress in Oceanography 16

Examples #2: A SC39 project Publications - PDFs, links repositories, some links to publisher websites, some just a search in GScholar 17

Example #3: AMARSI OpenAIRE records 103 publications – of these c 58% are OA, 40% closed access Project website lists 200+ publications The project has closed in February

FP7 postgrant publication funds 19

Requirements for Eligibility Within 2 years after project end: i.e. the FP7 project should have finished by the time the funding is requested, but no longer than two years ago; A maximum of three publications will be funded per eligible FP7 project as a means to ensure a fair distribution of the funding across projects; Publications eligible for funding must be peer-reviewed; Funding requests must be submitted once the publication has been accepted; Restricted to fully Open Access journals (ie no hybrid journals) Up to €2,000 for research articles and €6,000 for monographs The final version of the funded output must be deposited in an OpenAIRE- compliant Open Access repository. Full Pilot policy guidelines available at: grant/pilothttps:// grant/pilot 20

1.Funding requests may be directly submitted by researchers or delivered by Libraries and/or Research Offices on their behalf 2.Users need to register with the Central System in order to submit a funding request 3.Data about the project and the accepted publication will be requested in order to check their eligibility. Once this is checked, the funding request will be approved and left pending until an invoice is available 4.Invoice for the OA publishing fee needs to be uploaded into the Central System when made available by the publisher. The invoice must be issued to Athena Research Centre (ARC). How to Apply for Funding 21

Early outcomes : funding requests 22

What are your FAQs from projects? OA Publishing & APCs Do they use OA repositories? Embargos for GREEN OA What other issues? What are your recommendations? 23

References Bo-Christer Björk, David Solomon (2014): Developing an Effective Market for Open Access Article Processing Charges, Market_OA_Article_Processing_Charges.pdf Market_OA_Article_Processing_Charges.pdf 24