OpenAIRE presentation at EU Offices in Lower Saxony, Germany

FP7 and ERC Open Access Policies -
How to comply & how to support
researchers?
EU Offices Niedersachsen
December 14, 2010
Hannover
Dr. Birgit Schmidt, Goettingen
State and University Library

Outline
Why Open Access for European Research?
Open Access Policies
About OpenAIRE
How to comply?
How to support researchers?
EU Offices, December 14, 20102

Why Open Access (OA)?
OA aims to ensure the widest possible
dissemination and access to the results of
research
OA provides free, online access to research
literature
– at no costs for readers ‐ apart from internet
access
– offers a wide range of usage rights: read,
download, copy, distribute, print, index etc.
– author/s have to be properly acknowledged and
cited, copyright remains with the author/s
3 EU Offices, December 14, 2010

Flavours of Open Access
OA Self‐Archiving = Deposit of author‘s final
manuscripts in digital repositories
OA Publishing = OA journals offer immediate open
access. Sometimes subscription income is replaced
by publication charges (using research grants,
institutional funds etc.)
Examples: BioMed Central‘s journals, New Journal
of Physics, Nucleic Acids Research…
Hybrid OA Publishing = Publisher charges for OA
option within its subscription journals
Example: Springer‘s Open Choice

Benefits for Researchers
Increased visibility of research output
Potentially increased number of citations and
impact of publications
Faster access, speeding up research and discovery
process
Usage statistics of publications – downloads, etc.
Up to date bibliographies (CVs) and publication lists
Compliance with funding body OA policies

Open Access Policies

FP7 Open Access Pilot
Launched in August 2008, will run until the
end of FP7 (2013)
Special Clause 39 (SC39), part of the Grant
Agreement with the EC, requires
beneficiaries to:
“deposit peer reviewed research articles or
final manuscripts resulting from their FP7
projects into an online repository and
make their best efforts to ensure open
access to these articles”

Special Clause 39 (SC39)
OPEN ACCESS (SPECIFIC TO THE THEMATIC AREAS "HEALTH", "ENERGY", "ENVIRONMENT
(INCLUDING CLIMATE CHANGE)", "INFORMATION & COMMUNICATION TECHNOLOGIES"
(CHALLENGE 2), AND "SOCIOECONOMIC SCIENCES AND THE HUMANITIES",
AS WELL AS TO THE ACTIVITIES "RESEARCH INFRASTRUCTURES" (E‐INFRASTRUCTURES), AND
"SCIENCE IN SOCIETY")
In addition to Article II.30.4, beneficiaries shall deposit an electronic copy of the published version
or the final manuscript accepted for publication of a scientific publication relating to foreground
published before or after the final report in an institutional or subject‐based repository at the
moment of publication.
Beneficiaries are required to make their 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, or
• within X months of publication.
The number X will be 6 months in the thematic areas "Health", "Energy", "Environment (including
Climate Change)", Information & communication technologies" (Challenge 2) and the activity
"Research infrastructures" (e‐infrastructures), and 12 months in the thematic area "Socio‐
economic Sciences and the Humanities" and the activity "Science in Society".
http://ec.europa.eu/research/press/2008/pdf/annex_1_new_clauses.pdf

ERC OA Guidelines
December 2006 ‐ ERC Scientific Council's Statement on Open Access:
– fundamental importance of peer‐review in ensuring the certification
and dissemination of high‐quality scientific research
– the importance of wide access and efficient dissemination of
research results.
December 2007 – ERC Guidelines for Open Access:
– The ERC requires that all peer‐reviewed publications from ERC‐
funded research projects be deposited on publication into an
appropriate research repository where available or an institutional
repository, and subsequently made Open Access within 6 months
of publication.
– The ERC considers essential that primary data are deposited to the
relevant databases as soon as possible, preferably immediately after
publication and in any case not later than 6 months after the date
of publication.

SC39 Projects by Work Programme
(as of October 2010)
530 projects with
120+ countries
involved
estimated by EC: at
least 800 projects
until end of FP7
about 16‐18.000
publications (?)
ERC – currently
1.350+ individual
research grants
10
14%
24%
0%
0%
22%
10%
1%
10%
11%
8%
Energy
Environment
Food, Agriculture and Fisheries, and
Biotechnology
General Activities
Health
ICT
Nanosciences, Nanotechnologies,
Materials and new Production
Technologies
Research Infrastructures
Science in Society
Socio-economic Sciences and
Humanities

OpenAIRE

OpenAIRE: Implementing the Open Access
Pilot in all EU member states
12
12/2009 – 11/2012

The Project
OpenAIRE = Open Access Infrastructure for
Research in Europe
December 2009 – November 2012
Budget: 5 Mio. with 4,1 Mio. EC contribution
Partners: All EU member states (except
Luxembourg) plus Norway
Main goals: Support researchers in complying with
the FP7 OA Pilot and the ERC OA Guidelines >>
technical infrastructure and support network of
National Open Access Desks (NOADs)

OpenAIRE in a Nutshell

National Open Access Desks
Reaching all European Member States*
15
*Excl. Luxembourg,
plus Norway

Support Infrastructure for Researchers

How to comply?

Publication & Deposit Workflow

Steps for Compliance
1. Submit your article to a journal of your
choice.
– Make sure that you have the rights to
do so.
2. Deposit your accepted author manuscript
(a PDF of your final version as submitted to
the publisher after peer review) in
– your institutional repository or subject
repository if available, or
– the OpenAIRE Orphan Repository

Copyright Issues &
Acknowlegement of Funding
Author (prior to publication)
– Use the „Addendum to Publication Agreement“ as provided
by the EC
– Acknowledge EC funding („This work has been supported by the
EC within the 7th framework programme under grant agreement
number FP7‐IST‐XXXX.”)
Library (after publication)
– Repository manager / librarian
checks copyright issues
– Majority of publishers allow
deposit of author‘s manuscript
in OA repositories
www.sherpa.ac.uk/romeo

Publication Agreement
21
http://cordis.europa.eu/fp7/find-doc_en.htmlhttp://cordis.europa.eu/fp7/find-doc_en.html

Reporting
ftp://ftp.cordis.europa.eu/pub/fp7/docs/project_reporting_en.pdf
22
Open Access
Publication Identifier

OA Publishing Costs

How to support researchers?

OA Policies: Primary Stakeholders
How to involve
stakeholders?
>> What can you
do to support
researchers?
Researchers
publishers
research
administrators project
coordinators
repositories/
libraries
EC/ERC
(funders)
policy
makers

Support your researchers
EU offices / Research support offices
– Help to identify projects and researchers with obligations
from the EC/ERC OA policies
– Provide basic information about the OA policies to
project coordinators
– Point to the library for deposit and support in copyright
issues
Libraries
– Provide an OA repository and adjust to OpenAIRE
Guidelines
– Working together with the research office inform
researchers about the OA policies and support them in
copyright issues
– Help identifying publications

How to identify publications?
Get in touch with researchers and ask them for lists
of publications
Institutional research database (FactScience etc.):
Link between publications and projects available?
Search Web of Science
(and other databases)
http://vimeo.com/17624891,
http://vimeo.com/17371191EU Offices, December 14, 201027

EU-Hochschulbüro UGOE
EU Offices – December 14, 2010

Open Access in FP7
EU Offices – December 14, 2010

OpenAIRE Guidelines
http://bit.ly/hLi5L2

Thank you for your attention!
www.openaire.eu
EU‐Hochschulbüro, UGOE
Ricarda Blumentritt
Ricarda.Blumentritt@zvw.uni‐goettingen.de
OpenAIRE, SUB Göttingen
Dr. Norbert Lossau lossau@sub.uni‐goettingen.de
Dr. Birgit Schmidt bschmidt@sub.uni‐goettingen.de
Katharina Müller katharina.mueller@sub.uni‐goettingen.de

Why Open Access for European
Research?

Why Open Access (OA)?
OA aims to ensure the widest possible
dissemination and access to the results of
research
OA provides free, online access to research
literature
– at no costs for readers ‐ apart from internet
access
– offers a wide range of usage rights: read,
download, copy, distribute, print, index etc.
– author/s have to be properly acknowledged and
cited, copyright remains with the author/s

Flavours of Open Access
OA Self‐Archiving = Deposit of author‘s final
manuscripts in digital repositories
OA Publishing = OA journals offer immediate open
access. Sometimes subscription income is replaced
by publication charges (using research grants,
institutional funds etc.)
Examples: BioMed Central‘s journals, New Journal
of Physics, Nucleic Acids Research…
Hybrid OA Publishing = Publisher charges for OA
option within its subscription journals
Example: Springer‘s Open Choice

Benefits for Researchers
Increased visibility of research output
Potentially increased number of citations and
impact of publications
Faster access, speeding up research and discovery
process
Usage statistics of publications – downloads, etc.
Up to date bibliographies (CVs) and publication lists
Compliance with funding body OA policies

OA Availability by Discipline
http://www.plosone.org/article/info:doi/10.1371/journal.pone.0011273

Citation Impact in University Rankings

Repositories
1.794 institutional & disciplinary repositories worldwide, 843 in Europe
Content types: journal articles, theses & dissertations, reports, conference
papers, book chapters, multimedia etc.
41
http://www.opendoar.org/

Repository Growth

OpenAIRE presentation at EU Offices in Lower Saxony, Germany

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OpenAIRE presentation at EU Offices in Lower Saxony, Germany