1. Open Access, Research Funders and Aalto Maria Rehbinder, Legal Counsel (IPR), Research Support Services

2. Open Access Definition Open Access publishing is a form of online publication, which promotes the free distribution of academic knowledge. An academic publication is openly available when it can be read online by the academic community and general public free of charge and without restrictions. Open access publishing does not affect patenting, which is done before publishing, or other IP registrations. 4

3. Open access increases citations - Research e.g. by Swan (2010) shows that when researchers use open access, the increase in citations is significant in some disciplines (e.g. between 300% and 450% in medicine, between 170% and 580% in physics/astronomy and between 200% and 600% in agricultural sciences). Swan, Alma (2010) The Open Access citation advantage: studies and results to date. http://eprints.ecs.soton.ac.uk/18516/ 3

4. Open Access is reaching the tipping point -Around 50% of scientific papers published in 2011 now available for free. -More than 40% of scientific peer reviewed articles published worldwide between 2004 and 2011 are now available online in open access form. http://europa.eu/rapid/press-release_IP-13-786_en.htm http://europa.eu/rapid/press-release_IP-13-786_en.htm Majority of articles open access in the fields of general science and technology, biomedical research, biology, mathematics and statistics. Open access limited in the social sciences and humanities and applied sciences, engineering and technology. http://www.science-metrix.com/pdf/SM_EC_OA_Availability_2004-2011.pdf http://www.science-metrix.com/pdf/SM_EC_OA_Policies.pdf http://www.science-metrix.com/pdf/SM_EC_OA_Data.pdf

5. Open Access publishing methods Gold Open Access: Immediate publication that is openly accessible and free of charge to the reader, where paying the cost of publications is transferred to the author from the readers, who were previously required to pay a publication fee. As a rule, Gold Open Access costs are paid by the university or research institute where the researcher is working or by a funder supporting the research. 5

6. Open Access publishing methods Green Open Access: The researcher archives the final draft of his or her peer-reviewed manuscript or published article in an open, online publication archive prior to, after or at the same time as its publication. Typically, the publisher may require that the availability of an article be delayed (embargo – usually 6 months), thus giving an added benefit to publisher subscribers. Hybrid Open Access: Some publishers offer journals, in which only some of the articles are open access. These contain author-paid articles (which are therefore free of charge to the reader) as well as articles which are only available to subscribers or upon payment of a publication fee. 6

7. http://dx.doi.org/10.6084/m9.figshare.635567 OA Academic Publishing Publishers open access policies: http://www.sherpa.ac.uk/romeo/index.php?la=en

8. Key Concepts of Open Access Institutional repository: An open publication archive Embargo : A publisher's delay/quarantine period, during which articles may not be published for free access. An embargo period begins on the date either an online or print version of a journal is issued, whichever comes first. The embargo period can range from 6 to 12 months, depending on the publisher. Following the embargo period, a university may parallel publish the article without having to pay the publisher. During the embargo period, all publisher subscribers have full access to the article. Final draft : The final, peer-reviewed and revised version sent from the author to the publisher before any layout work has been done by the publisher. For example, the page numbering is missing or misaligned. These are also called 'postprints', in which the term 'post' refers to the peer review, not printing (preprint = the version before peer review; postprint = the version after peer review and revisions). A final draft is therefore equivalent to the final version in terms of content. 6

9. Key Concepts of Open Access Publisher's PDF: The final version, including layout, of an article to be published in a journal. Post-print (Author's post-print): The final, peer-reviewed and revised version sent from the author to the publisher before any layout work has been done by the publisher. For example, the page numbering is missing or misaligned. This also referred to as a final draft. Pre-print: An article version that has not been peer-reviewed. NOTE! The term 'post' refers to the content, not the printing. The version is equivalent to the article in the final publication "in terms of content". In other words: pre-print before peer review and post-print after peer review. 9

10. EU Commission :Open Access as Core Means to Foster Innovation -EU Commission :f -fuller and wider access to scientific publications and data can help to accelerate innovation (faster to market = faster growth); - foster collaboration -avoid duplication of effort (greater efficiency); -build on previous research results (improved quality of results); -involve citizens and society (improved transparency of the scientific process) 10

11. Funders Requirements of OA - Open access mandatory for all scientific publications produced with funding from Horizon 2020, the EU's Research & Innovation funding programme for 2014- 2020. The Communication recommended OA for Member States domestic programmes - EU Seventh Framework Programme (FP7): recommends OA publishing; -OA requirement for, e.g. ERC projects http://erc.europa.eu/sites/default/files/document/file/ERC_Open_Access_Guidelines-revised_2013.pdf.ttp://erc.europa.eu/sites/default/files/document/file/ERC_Open_Access_Guidelines-revised_2013.pdf 11

12. Funders Requirements of OA -Academy of Finland: urges researchers to publish their research articles in open online science journals when there are publications available in their field that are comparable to conventional subscription publications in an online form. -Tekes: does not require OA publishing, encourages research groups to widely distribute their research results United States' National Institute of Health (NIH): requires OA publishing -All of Aalto's key research funders reimburse publication costs. -Aalto University will ensure compliance with funders requirements of open access publishing -Research funders' open access policies : http://www.sherpa.ac.uk/juliet/index.php?la=en&modehttp://www.sherpa.ac.uk/juliet/index.php?la=en&mode= 7

13. 2014 -2020Research Publications with Horizon 2020 Funding Mandatory OA Publications will either immediately be made accessible online by the publisher ('Gold' open access) - up-front publication costs can be eligible for reimbursement by the European Commission; or researchers will make their publications available through an open access repository no later than six months (12 months for articles in the fields of social sciences and humanities) after publication ('Green' open access). http://ec.europa.eu/research/science- society/document_library/pdf_06/era-communication-towards-better-access-to- scientific-information_en.pdf http://ec.europa.eu/research/science- society/document_library/pdf_06/era-communication-towards-better-access-to- scientific-information_en.pdf 13

14. Experiences from other universities: University of Southampton University of Southampton requires that all of its staff deposit bibliographic information for all research outputs in the Eprints Soton research repository http://eprints.soton.ac.uk/http://eprints.soton.ac.uk/ as a comprehensive institutional record of research activity. The University requires that post-prints of journal and conference articles are deposited, and made open access where this is permitted by the publisher, to maximise the visibility and impact of research. Deposited outputs are used for internal review of research performance and to assist in appraisals and promotions within the University for and for submitting information for external review e.g. the Research Excellence Framework 14

15. Université de Liège (BELGIUM* institutional-mandate) http://www.ulg.ac.be/ http://www.ulg.ac.be/ All publications must be deposited. Wherever publisher agreement conditions are fulfilled, the author will authorize setting access to the deposit as open access By default, access to a deposit will be closed access, except where open access has been authorised. http://romeo.eprints.org In case of doubt, access will remain closed to avoid any conflict with publisher agreement conditions. For closed access deposits, repository has EMAIL EPRINT REQUEST BUTTON for individual eprint requests. http://romeo.eprints.org 15

16. Message of Rector Bernard Rentier to University of Liege faculty November 26, 2008 It is mandatory to deposit the bibliographic references of ALL their publications since 2002; - to deposit the full text of ALL their articles published in periodicals since 2002. Access to these full texts will only be granted with the author's consent and according to the rules applicable to author's rights and copyrights. The University is keen on respecting the rights of all stakeholders. For future publications, deposit in ORBi will be mandatory as soon as the article is accepted by the editor. Starting October 1st, 2009, only those references introduced in ORBi will be taken into consideration as the official list of publications accompanying any curriculum vitae for all evaluation procedures 'in house' designations, promotions, grant applications, etc. 16

17. Experiences and practises from other universities : MIT The MIT Open Access Articles collection consists of scholarly articles written by MIT-affiliated authors that are made available through DSpace@MIT under the MIT Faculty Open Access Policy, or under related publisher agreements. Articles in this collection generally reflect changes made during peer-review. http://dspace.mit.edu/handle/1721.1/49433 17

18. MIT Amendment to the Publication Agreement This Amendment hereby modifies the attached Publication Agreement Publication agreement is subject to an irrevocable, non- exclusive license previously granted by the Author to the Massachusetts Institute of Technology (“MIT”). Under that license, MIT may make the Article available, and may exercise any and all rights under copyright relating thereto, in any medium, provided that the Article is not sold for a profit, and may authorize others to do the same. http://dspace.mit.edu/handle/1721.1/49433 http://dspace.mit.edu/handle/1721.1/49433 18

19. What version of a scientific article to deposit to Aaltodoc ? -FP7 ERC Model Grant Agreement : beneficiary shall deposit an electronic copy of the published version or the final manuscript accepted for publication of a scientific publication - Horizon 2020 ? : Machine readable electronic copy of the published version or final peer-reviewed manuscript accepted for publication 19

20. What terms to use for Aalto University repository ? -What terms to use for Aalto University repository ? So far received information on Horizon Open access policy stress that open access is free of charge online access for any user. -EU Commissions open access policy aims to accelerate research findings to be taken up by European business and industry. As minumum publications can be read online, downloaded and printed. -Commission encourages authors to grant Creative Commons licenses, specifically mentioning CC-BY lisence as an option that should be available to authors. Shouls choosing this lisence be an option available for authors in Aalto Repository ? 20