Writing & publishing

Open access policies of research funding organisations

 

An overview of the open access policies of all research funding organisations is available in the SHERPA/JULIET database (not legally binding). Summaries of the open access policies of the research funding organisations which are most significant for FAU are provided under the links below. Visit FAU’s open access policy under urn:nbn:de:bvb:29-opus4-68651.

If you would like more information or wish to report an update, please contact the head of the Open Access Department ub-open-access@fau.de.

The Federal Ministry of Education and Research (BMBF) does not have a central open access policy but maintains an information page about open access. The BMBF says here in a general statement that information from publicly-financed research should be freely available online. This does not constitute an obligation and the BMBF does not state any requirements with regard to mandatory archiving in specific open access repositories.

However, results must be provided free of charge for the purposes of research and teaching in Germany upon request. If there is a particular public interest, the funding provider has non-exclusive, transferable rights of use to the results (see BMBF form 0330a) and can use these rights for open access publication, for example.

Funding for publication of project results can be applied for as part of project funding if the recipient requests coverage of the publication costs. This funding can also be used for open access publishing. There is no special funding available for open access publishing.

Link to information page: http://www.bmbf.de/de/22905.php Deutsche Flagge (accessed August 2016).

The German Research Foundation (DFG) does not have a central open access policy but has decided to include provisions on open access in the guidelines for the use of funds for each funding programme. They are usually found under the heading ‘Publication of research findings’.

In general, the DFG expects research findings resulting from its funding projects to be made open access where possible. This does not constitute an obligation and the DFG does not state any requirements with regard to mandatory archiving in specific open access repositories.

Funding for publication of project results can be applied for as part of the project funding, although the maximum amount available per year is limited to 750 euros. This funding can also be used for open access publishing. There is no special funding available for open access publishing. The fixed publication funding may be saved up over the duration of a project and, if necessary, may be increased with funding reallocated from other projects.

The guidelines on using funding available at http://www.dfg.de/formulare/2_01/2_01_de.pdf (German only) are a good model example (accessed August 2014).

All grants provided by the European Research Council (ERC) and as part of Horizon 2020 are subject to mandatory open access requirements. Binding clauses are included in the seven areas of the Seventh Framework Programme, Energy, Environment, Health, Information & Communication Technologies, Research Infrastructures, Science in Society and Socioeconomic Sciences & Humanities. Please check whether special clause 39 is included in the Grant Agreement.

For ERC projects, for Horizon 2020, and according to special clause 39 in the Seventh Framework Programme, the publication must be archived in an open access repository and made publicly available, either as the primary publication (the ‘golden road’ of open access) or as early as possible but at least within 6 months as the post-print or publisher’s version (the ‘green road’ of open access). An exception is made in the humanities and social sciences, where an embargo period of up to 12 months before archiving in an open access repository is permitted. Uploading the publication to a repository is always mandatory, even if you choose the ‘golden road’ of immediate open access publication. All metadata for publications must also be open access.

You may choose to use the University’s repository OPUS FAU. If you wish to use a subject-specific repository, the ERC recommends Europe PubMed Central for medical disciplines and arXiv for the sciences and disciplines of engineering. There are currently no ERC recommendations for the humanities and social sciences.

In general, the obligation also applies to books, chapters of books and similar which are based on the funded research. If you are planning such monographic publications, we recommend that you contact the project officer in advance.

Coverage of the expected publication costs for the golden road may be applied for explicitly. The maximum amount of funding for which you can apply (e.g. max. 1.5 million euros for the ERC Starting Grant) must not be exceeded. It is not possible to submit applications retrospectively, therefore the total costs of open access publishing in your subject must be estimated in advance. This may include fees for an open access option for journals which require a subscription, article processing charges for purely open access journals, the costs for a publishing plan for PeerJ, or the costs of an open access voucher from the Royal Society of Chemistry. An estimate of 1000 to 2000 euros per publication is not unrealistic.

If your publication is intended for a medium that does not meet the ERC requirements (i.e. does not allow primary open access publication or secondary publication in an open access repository within 6 months) but is highly relevant and has been cited, you can contact the project officer to see whether you may be granted an exemption. For the Seventh Framework Programme, if the requirements cannot be met, you must prove that best efforts have been made, e.g. written proof of negotiations with the publisher about open access approval. If a gold option that is subject to a fee is available, this must also be chosen in line with the ‘best effort’ principle.

The ERC guidelines are available at http://erc.europa.eu/sites/default/files/document/file/ERC_Open_Access_Guidelines-revised_2013.pdf, the open access information for the Seventh Framework Programme can be found at http://ec.europa.eu/research/science-society/document_library/pdf_06/survey-on-open-access-in-fp7_en.pdf and the Horizon 2020 guidelines are available at http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2020-hi-oa-pilot-guide_en.pdf (accessed August 2014).

OA-Routes-Horizon-2020

The European Commission launched its FP7 Post-Grant Gold Open Access Pilot, part of the OpenAIRE2020 project, in June 2015. Within this scheme, applications may be submitted for funding to cover the costs of gold open access publication for FP7 projects that have been completed no more than two years prior to application. There is a policy regulating the right to reimbursement of costs, the main conditions of which are as follows:

  • The project must have been completed no more than two years before the date on which the application is submitted. However, there is some flexibility for projects that were completed at the beginning of 2013.
  • Only costs for open access publication that have been invoiced since the end of the project and are not covered by the project budget will be reimbursed.
  • Only projects in the FP7 CORDA database are eligible. Projects not in this database will be checked by the European Commission on a case-by-case basis.
  • Costs may be reimbursed for a maximum of three publications (e.g. articles, monographs, book chapters, conference proceedings) per project.
  • The pilot will run until April 2017 at the latest. However, it will come to an end as soon as the funding of four million euros has been exhausted. The pilot will operate on a first-come, first-served basis.

Additional (technical) criteria:

  • The publication must be peer-reviewed.
  • Where possible an open content license (e.g. CC-BY, CC-BY-SA) must be used; CC-BY-NC may also be used in exceptional cases.
  • The publication must have a clear identifier (e.g. DOI).
  • The publication must be available in PDF format or a similar machine-readable format that enables text and data mining.
  • The PDF must be stored in an OpenAIRE-compliant repository such as OPUS FAU or Zenodo.
  • The metadata must also be stored.
  • The data on which the publication is based must be publicly available and accessible.
  • The FP7 project must be credited in the acknowledgements.

Financial criteria:

  • A maximum of 2000 euros per article, book chapter or conference proceedings and a maximum of 6000 euros per monograph may be granted.
  • Only publications in gold fully open access journals will be funded (no hybrid open access journals).
  • Funding will not be provided for additional costs such as extra page or colour fees.
  • For quality assurance purposes, the open access journals in which publications are published must be listed in DOAJ, Scopus, Web of Science or Pubmed; if they are not (yet) listed, publishers must provide a clear description on their website of the peer-review process they use.
  • For publications with multiple sources of funding, costs should be shared where possible.

The Austrian Science Fund (FWF) has mandatory open access guidelines. As of 1 November 2014, there are new regulations (see below).

The publication must be made publicly available, either as the primary publication published in a DOAJ listed publication under the Creative Commons Attribution (CC-BY) licence (the ‘golden road’ of open access) or otherwise made accessible within 12 months as the post-print or publisher’s version in an open access repository (the ‘green road’ of open access). Hybrid open access (journals requiring a subscription which offer an open access option for articles subject to a fee) is also an option. In the latter two cases, the journals or proceedings must be listed in the Web of Science or Scopus.

Independently of the options given above, the publication must be archived in a repository at the time of publication. The University archive OPUS FAU can be used for this; the FWF only requires that the Europe PubMed Central repository is used for publications in life sciences or related subjects. Affected projects will be informed directly by Europe PubMed Central via e-mail.

Coverage of publication costs for the golden road may be applied for explicitly for up to three years after completion of the project. It is also to possible to request coverage of costs for books, proceedings and anthologies, providing that the publisher allows open access for these media using the golden road. For independent publications (books or similar) funded by the FWF, it is also mandatory for an electronic copy to be published simultaneously in the FWF e-book library with open access.

For all projects which were approved after 1 November 2014, the following new regulations apply:

The FWF finances publications using the golden road with up to EUR 2500 in addition to the project budget. If a publication costs more, the difference must be covered by the authors or an existing FWF project budget granted before the new regulations.

For hybrid open access (journals requiring a subscription which offer an open access option for articles subject to a fee) funding for the open access option of EUR 1500 (in addition to the FWF project budget) can be granted by the FWF. If an open access option costs more, the difference must be covered by the authors or from an existing project budget which was granted before the new regulations, or the the green road can be chosen.

Additional costs will no longer be covered for expenses that are not related to open access (printing cost subsidies for exceeding page number limits, colour pages and figures, submission fees, membership fees, etc.). If publishers charge such costs, authors should choose another publisher, use their own budgets or use existing FWF project budgets allocated before the new regulations.

The Creative Commons Attribution (CC-BY) licence is mandatory for all open access publications from projects which were approved after 1 November 2014.

The open access activities and the fulfilment of the Open Access Policy must be demonstrated in the final report to the FWF including the persistent identifier (DOI, PubMed Central ID or similar).

The FWF’s policy is available at http://www.fwf.ac.at/en/research-funding/open-access-policy/ (accessed September 2015).

As of October 2013, recipients of funding from the Helmholtz Association’s Initiative and Networking Fund are required to make publications which result from the funded projects open access.

The publication must be made publicly available, either as the primary publication published under the Creative Commons Attribution (CC-BY) licence (the ‘golden road’ of open access) or otherwise archived within 6 months as the post-print or publisher’s version in an open access repository (the ‘green road’ of open access). An exception is made in the humanities and social sciences, where an embargo period of up to 12 months before archiving in an open access repository is permitted. If the golden road (primary publication) is chosen, the publication must also be archived in an open access repository by the date of publication at the latest. The bibliographic data for publications stored in the repository must permit a reference to be made to the funded project.

If important reasons are presented, an exemption from open access publication may be granted. The Helmholtz Association must be notified of these reasons as soon as possible after the author has become aware of them.

The Helmholtz Association’s information sheet is available at http://www.helmholtz.de/fileadmin/user_upload/01_forschung/2013-10-14_OA-Richtlinie-IVF.pdf (German only) (accessed August 2016).

As of 2016, the open access policy applies not only to publications by recipients of funding from the Initiative and Networking Fund but to all publications by employees of the Helmholtz Association.

Furthermore, in accordance with the new policy, book publications must also be made available through archiving in an open access repository within 12 months (24 months for the humanities and social sciences). Where possible, a centre’s in-house publications must be made open access on the centre’s repository under the Creative Commons Attribution (CC-BY) licence.

The Helmholtz Association’s open access policy is available at http://os.helmholtz.de/open-science-in-der-helmholtz-gemeinschaft/open-access-richtlinien/open-access-richtlinie-der-helmholtz-gemeinschaft-2016/ (German only) (accessed August 2016).

As of 2008, the National Institutes of Health (NIH) require the post-print or publisher’s version of a peer-reviewed journal article to be archived and made available in the PubMed Central open access repository within 12 months after publication if the research was funded by the NIH. This policy only applies to articles in journals and publication series with a peer review procedure; books, chapters of books and similar are not subject to the regulation.

The NIH policy is available at http://publicaccess.nih.gov/policy.htm (accessed August 2014).

The Swiss National Science Foundation (SNSF) has binding regulations on open access.

The publication must be archived in an open access repository and made publicly available, either as the primary publication (the ‘golden road’ of open access) or at least within 6 months as the post-print or publisher’s version (the ‘green road’ of open access). For book publications and editions an embargo period of up to 24 months before archiving in an open access repository is permitted.

The costs of publishing in peer-reviewed open access journals (golden road), up to a maximum of CHF 3000 per publication, may be explicitly covered by the SNSF grant. Costs may also be covered for books, providing that the publisher makes them available through the golden road of open access. As of 1 July 2014, the grants and lump sums are as follows:

  • The SNSF covers the publisher’s services with an amount of CHF 5000 (basic grant), provided the services are set out in a binding agreement between the publisher and the author.
  • The lump sum for doctoral theses and habilitations has been fixed at CHF 8000; if this lump sum is not sufficient to cover the publication costs, additional support may be requested.
  • The maximum grant for a basic digital book publication amounts to CHF 12,000, for an enriched digital book publication to CHF 22,000; the latter may be increased without a fixed ceiling in response to a corresponding request showing that publication is subject to higher requirements.

(http://www.snf.ch/en/researchinFocus/newsroom/Pages/news-140630-publication-funding-model-snsf-makes-specific-adjustments.aspx, accessed 01/08/2015)

Open access contributions such as conference proceedings, commerative publications, new editions without additional research results, translations or collector’s editions are excluded.

If open access publication is not an option for legal reasons, the researchers must apply for exemption.

This SNSF regulation can be found at http://www.snf.ch/SiteCollectionDocuments/allg_reglement_valorisierung_e.pdff (accessed September 2015).

As of April 2013, the Wellcome Trust has binding regulations on open access for all peer-reviewed research literature financed by the Wellcome Trust. Editorials, letters, proceedings and reviews are exempt from the obligation.

The publication must be made publicly available, either as the primary publication published under the Creative Commons Attribution (CC-BY) licence (the ‘golden road’ of open access) or otherwise archived within 6 months as the post-print or publisher’s version in the PubMed Central or Europe PubMed Central open access repository (the ‘green road’ of open access).

As of October 2013, all academic book publications must be archived in PMC Bookshelf and Europe PubMed Central and made publicly available within 6 months. If publication costs are incurred here (golden road) the book publication must be published immediately under a Creative Commons licence without an embargo and made open access. The Wellcome Trust recommends the Creative Commons Attribution (CC-BY) licence for this purpose but also accepts non-commercial licences such as the Creative Commons Attribution Non Commercial (CC-BY-NC) licence or the Creative Commons Attribution Non Commercial No Derivatives (CC-BY-NC-ND) licence. Book publications should be registered via openaccess@wellcome.ac.uk.

If the author is given the option by a journal which requires subscription between choosing the golden road through selecting and paying for an open access option or choosing the green road, the Wellcome Trust recommends the former. All publication costs incurred through the golden road will be covered by the Wellcome Trust.

The Wellcome Trust policy is available at http://www.wellcome.ac.uk/About-us/Policy/Policy-and-position-statements/WTD002766.htm (accessed August 2014). Sanctions will apply to breaches of the policy.

IP Access