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) published 2016 its policy “Open Access in Deutschland. Die Strategie des Bundesministeriums für Bildung und Forschung” and it maintains an information page about open access: http://www.bmbf.de/de/22905.php Deutsche Flagge

Publications from BMBF-funded projects must either be published directly Open Access or be posted to an appropriate repository (such as our OPUS FAU) after the embargo period has expired. In contrast to other research funding organizations, the BMBF does not define the embargo period in any detail (for example within 6 months). The BMBF refers only to the legal foundations of § 38 (4) UrhG, which may apply after a period of 12 months, provided that the other criteria of the paragraph are fulfilled. The costs for open access publications have to be covered by the project funds, that means they must be calculated and included in the project application.

In addition, the BMBF offers funding options for open access publications from already completed BMBF-funded projects (“post-grant fund”), provided that the end of the funding period is not older than three years. You can get a 100% full reimbursement up to an amount of 2,000 euros net per publication; if the publication costs are larger than 2,000 euros net, 20% of the additional amount is subsidized. The maximum subsidy amount per publication is 2,400 euros net. Further details can be found at https://www.bmbf.de/foerderungen/bekanntmachung-1404.html and https://www.bildung-forschung.digital/files/PostGrantFund.pdf (accessed February 2019).

In addition, there may also be regulations in individual funding guidelines. For example, the “Directive to Strengthen Research in Geriatrics and Gerontology” requires that the research data of the project will be made accessible (“open data”) and that the data will be saved at least 10 years after completion of the project. Details are available at https://www.bmbf.de/foerderungen/bekanntmachung-1267.html and http://www.dlr.de/pt/Portaldata/45/Resources/Dokumente/Leitfaden/Professuren_Altersforschung.pdf.

In January 2006 the DFG’s Joint Committee adopted a set of guidelines for the publication of results from DFG-funded projects on an open-access basis. These guidelines stipulate that “if possible”, recipients of DFG research grants should make their results available Open Access. The guidelines recommend publication in suitable open-access journals or the retroactive provision of previously published papers in open-access repositories (cf. DFG form 2.00).

This does not constitute an obligation and the DFG does not state any requirements with regard to mandatory long-term 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.

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 https://erc.europa.eu/sites/default/files/document/file/ERC_Open_Access_Guidelines-revised_feb_2016.pdf, the open access information for the Seventh Framework Programme can be found at http://ec.europa.eu/research/swafs/index.cfm?pg=policy&lib=pilot 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. A comparative overview can also be found under https://erc.europa.eu/funding-and-grants/managing-project/open-access (accessed February 2019).

OA-Routes-Horizon-2020

The Austrian Science Fund (FWF) has mandatory open access guidelines.

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. 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.

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 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 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). An acknowledgment must be given in every presentation and/or publication: “Austrian Science Fund (FWF): project number”.

The FWF’s policy is available at http://www.fwf.ac.at/en/research-funding/open-access-policy/ (accessed February 2019).

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  within an Open Access journal  (the ‘golden road’ of open access) or otherwise archived at the earliest possible date, at the latest 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 at the date of publication. A list of the Helmholtz repositories can be found here: https://os.helmholtz.de/open-science-in-der-helmholtz-gemeinschaft/open-access-der-gruene-weg/#c2537. So-called hybrid journals should be avoided.

The bibliographic data for publications 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 February 2019).

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.

Here too, the above criteria must also be considered. 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. Research data should also be accessible and reusable.

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 February 2019).

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, dissertations and similar are not subject to the regulation.

The NIH policy is available at http://publicaccess.nih.gov/policy.htm (accessed February 2019).

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 12 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.

  • 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 base contribution for a Open Access book publication with up to 750.000 characters (including spaces) is CHF 15,000; additional funds may be available if the book has a larger number of characters, requires more effort for layout and rights clearance, if the book has enriched e-book functionalities (such as interactive or audio and video content), or if additional costs are incurred for the translation.

The regulations can be found under http://www.snf.ch/SiteCollectionDocuments/Anhang_II_Ausfuehrungsreglement_Beitragsreglement.pdf, http://www.snf.ch/SiteCollectionDocuments/Reglement-ueber-OA-Publikationsfoerderung-D.pdf and http://www.snf.ch/SiteCollectionDocuments/leitfaden_foerderung_oa_buchpublikationen_de.pdf (accessed February 2019).

Open access costs for journal special issues, 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 https://oa100.snf.ch/de/foerderung/ and http://www.snf.ch/de/foerderung/dokumente-downloads/Seiten/default.aspx#Rechtsgrundlagen (accessed February 2019).

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 https://wellcome.ac.uk/funding/guidance/open-access-policy. In addition, there is a guide to the policy: https://wellcome.ac.uk/funding/guidance/complying-our-open-access-policy (accessed February 2019). Sanctions will apply to breaches of the policy.

Please note: changes to the Open Access Policy are announced for January 1, 2020: https://wellcome.ac.uk/sites/default/files/wellcome-open-access-policy-2020.pdf

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