1 Celina Ramjoué & Francesco Fusaro, DG RTD L3 FP7 Grant Agreement Negotiations FP7-HEALTH-2010-single stage call 16 April 2010 Open Access in FP7

2 Outline Background on open access Open access in FP7 Resources

3 Outline Background on open access Open access in FP7 Resources

4 Open Access (OA) 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.) FP7 Open Access pilot focuses on peer-reviewed publications in scientific journals resulting from FP-projects

5 What Open Access is not An open access requirement is not a requirement to publish: researchers are free to publish or not Open access and commercial exploitation (e.g. patenting) are not at odds: open access only applies after the decision to publish has been taken OA publications are not of lower quality than traditional publications: they have gone through the same peer-review process as non-OA publications Open access is not the same as open source, which applies to software

6 Origins of the Open Access debate The Internet has led to unprecedented access and dissemination possibilities - Access should be easier and cheaper However, journal subscription prices have risen considerably over the past decades - Protests by researchers and libraries Need to make the best possible use of opportunities offered by the digital revolution - Room for improvement

7 What is at stake? All research builds on former research – Improved and reliable access is key – Avoid duplication in research Improve return on investment in R&D – Maximise socioeconomic impact – Free access to results funded by taxpayers’ money: a question of principle Fair remuneration for added value brought to scientific publications – New publishing models, managing quality, new OA publishers, development of archives, IT and online innovations … 5th Freedom / ERA – EC has a legal foundation to improve dissemination of and access to research results – Goal of free movement of knowledge in the European Research Area (ERA)

8 Green open access Instead of traditional subscription-based model… – Authors deposit final peer-reviewed manuscripts or publisher PDF in “repositories” (or “open archives”) – Open access provided to these articles – Sometimes after an embargo period allowing publishers to recoup their investment (via subscriptions / pay per download) – Also referred to as self-archiving

9 Gold open access Instead of traditional subscription-based model… – Costs of publishing are covered by “authors” (often their funding bodies or institutions) instead of readers paying via subscriptions – Research articles are immediately available Open Access upon publication – Some journals offer both subscriptions and open access publishing (“hybrid” journals) – Also referred to as OA publishing, paid open access, or author pays model

10 Outline Background on open access Open access in FP7 Resources

11 Reimbursement of Open Access costs in FP7 Gold open access 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

12 Open Access Pilot in FP7 Based on self-archiving/Green open access 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

13 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

14 Special Clause 39 in practice Where should researchers deposit their articles? – Institutional (university) or subject-based repositories that will be accessible via an EU-level portal – If no repository available: Commission will provide a temporary repository to store ‘orphan’ publications via OpenAire portal “Best effort”: a formulation that strongly encourages researchers & publishers to comply, while guaranteeing scientific & academic freedom – Seeking information on publishing models and copyright/licensing policies of the journal(s) to which authors plan to submit – 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 – Supporting documents (IPR guidelines, model letter and amendment to publishing agreement) are available online – If negotiations are unsuccessful, researchers should consider submitting to another journal If they cannot comply with special clause – beneficiaries should inform the Commission and provide the publisher’s letter of refusal

15 Support and monitoring Tools for researchers including model cover letter and model copyright agreement amendment to send to publishers OpenAIRE: ‘Open Access Infrastructure for Research in Europe’ (project started 1 Dec. 2009) – Support for technical implementation and monitoring of the Pilot – Helpdesk – Establishment and operation of a technical infrastructure of digital repositories to deposit and access scientific articles and data produced under FP7, including ERC Infrastructure built on existing work on repositories – Expected impact: Enhancement of access to scientific information produced in the context of FP7 linking of many different repositories as a service and e-infrastructure

16

17 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)

18 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)

19 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)

20 Outline Background on open access Open access in FP7 Resources

21 Resources on Open Access 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:

22 Questions and comments: Join mailing list on access to scientific information: rtd-scientific- Access to scientific information: society/scientific_informationhttp://ec.europa.eu/research/science- society/scientific_information Open access pilot in FP7: society/open_accesshttp://ec.europa.eu/research/science- society/open_access Open access on CORDIS:

23 Thank you! Contact: Celina Ramjoué, Francesco Fusaro,