Presentation at the workshop "Open Access and Open Data in Horizon 2020" which took place at the University of Göttingen (Germany) on 29 October 2014. More information: http://www.uni-goettingen.de/de/open-access-und-open-data-in-horizon-2020/3218.html?cid=25293

1. Dr Dagmar Meyer
ERC Executive Agency, Unit A1
Open Access to Publications and
Research Data – the European Research
Council's approach
'Open Access and Open Data in
Horizon 2020'
Göttingen, 29 October 2014
The European Research Council

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Overview
• Introduction
 Why Open Access? The ERC's point of view
 Different roles of Commission and ERC
• ERC approach to Open Access in FP7 and Horizon 2020
 ERC Statements / Open Access Guidelines
 Relation to Open Access related requirements in the Grant Agreement
 FP7 Special Clause 39 ERC and practical implementation
 Horizon 2020 Article 29.2 (Open Access to publications)
 Horizon 2020 Article 29.3 (Open Access to research data)
 ERC's reporting requirements on Open Access under Horizon 2020
• If time permits: ERC Open Access support initiatives
 Europe PMC and arXiv
 Open Access in the SH domain

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Why Open Access?
 The mission of the ERC is to support excellent
fundamental research in sciences and the humanities.
 The main outputs of this research are new knowledge,
ideas and understanding, which the ERC expects its
researchers to publish in peer-reviewed articles and
monographs.
 The ERC considers that providing free online access
to these materials is the most effective way of ensuring
that the fruits of the research it funds can be accessed,
read and used as the basis for further research.

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EC and ERC – working together in
different roles
The European Commission is a...
• Policy maker
 Proposes EU legislation
 Legislates with other EU
institutions
 Invites Member States to act
• Funding agency
 Sets access and dissemination
rules for EC-funded research
 Research Framework
Programmes (next: Horizon2020)
• Capacity builder
 Funds infrastructure projects
relevant for open access and
Digital Science
 Funds projects that support EC
policy
The European Research Council is …
• Primarily a research funder
 No policy remit as such
 Primary objective: to fund the
best researchers conducting
the best research
 Scientific Council to develop
scientific strategy aimed at
achieving this objective
 Open Access promoted as a
means to further scientific
excellence

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ERC Statements on Open Access
 ERC Scientific Council Statement on Open Access –
December 2006
 ERC Scientific Council Guidelines for Open Access –
17 December 2007
 Open Access Guidelines for researchers funded by the
ERC – June 2012
 Revised Guidelines adopted on 22 October 2013
 Further revision in preparation (clarifying the ERC's
approach to open access to research data)

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ERC Open Access Guidelines of
October 2013
 Open access required for research papers and monographs
that are supported in whole, or in part, by ERC funding
 Maximum embargo period 6 months (12 months for Social
Sciences and Humanities)
 Use of discipline-specific repositories strongly encouraged
(Europe PubMed Central for LS domain, arXiv for PE domain;
no recommendation for SH domain)
 Alternatively institutional repositories or centralised ones
such as Zenodo)
 Research data should be retained and researchers should be
prepared to share their data where possible
 Host institutions are encouraged to cover open access
related costs after the end of the project for up to 24 months

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ERC Open Access Guidelines vs.
FP7 SC 39 ERC / H2020 Art. 29.2 & 29.3
 ERC Open Access Guidelines:
 aspirational (not legally binding)
 should be followed by all ERC funded researchers on a
voluntary basis
 Special Clause 39 ERC / Horizon 2020 Articles 29.2 & 29.3:
 legally binding
 addressing beneficiary
 FP7 SC 39 ERC systematically included in Grants resulting
from 2012 calls onwards (i.e. ERC grants from calls in 2007 –
2011 not affected by the Special Clause)
 Horizon 2020 Art. 29.2 integral part of all Grants from 2014
calls onward; Art. 29.3 on an individual and voluntary opt-in
basis for Grants from 2015 calls

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Special Clause 39 ERC – applicable to
FP7 ERC projects from 2012-13 calls
 In addition to Article II.30.3, the beneficiary shall deposit
an electronic copy of the published version or the final
manuscript accepted for publication of a scientific
publication, related to foreground published before or
after the final report, in an institutional or subject-based
repository at the moment of publication.
 The beneficiary is required to make its 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 6 months of publication.

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What does "best effort" in Special
Clause 39 ERC mean? (1)
 Detailed instructions on how to fulfil the ‘best effort’
requirement provided in the Guide to Intellectual
Property Rules for FP7 projects (available on the
Participant Portal).
 Information on publishing models and copyright/licensing
policies of journals/publishers available on the
SHERPA/RoMEO website
(http://www.sherpa.ac.uk/romeo).

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What does "best effort" in Special
Clause 39 ERC mean? (2)
 If publishers' policies don't allow compliance, negotiate
an amendment or request an authorisation to self-
archive within the specific embargo period (model
letters available on Participant Portal).
 If negotiations are unsuccessful, researchers should
consider submitting to another journal (no obligation).
 In case of non-compliance, beneficiaries must be able
to demonstrate that they have made their "best effort",
e.g. through a letter from the publisher stating refusal to
allow compliance with the reasons for refusal).

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What does "best effort" in Special
Clause 39 ERC mean? (3)
Important:
 If it is not possible to satisfy Special Clause 39 ERC by
depositing the publication in a repository and making it
open access within six months, but it is possible to
provide immediate open access by paying an open
access fee to the publisher, then this second option
must be chosen.
 This also applies to long-text format publications, such
as monographs, books, book chapters etc.

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Open access at the ERC – what
changes from FP7 to Horizon 2020?
 OA pilot in FP7 (ERC)
• 'Best effort' to provide OA,
during and after the project
• Scientific publications
relating to foreground
(including monographs,
books etc.)
• Allowed embargos: 6
months for all areas)
 OA publishing costs
• Eligible while project runs
GreenOAGoldOA
 OA mandate in Horizon 2020
(ERC)
• Obligation to provide OA (during and
after the project)
• Peer-reviewed publications (including
monographs etc.)
• Allowed embargos: 6/12 months
• In addition: pilot for research data (on
an individual and voluntary opt-in basis,
only if provided for in the ERC Work
Programme)
 OA publishing costs
• Eligible while project runs
• ERC grantees eligible to take part in the
post-grant gold open access pilot to be
launched by an external organisation on
behalf of the Commission

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Open access to publications in ERC
programme under Horizon 2020 (I)
 Open Access to publications – ERC mandate in H2020
• Applies to all peer-reviewed publications related to results,
includes monographs, books etc.
• Immediate deposit mandatory.
• Allowed embargos for open access:
• 6 months for projects in LS and PE domain,
• 12 months in SH domain
• Deposit of underlying data strongly encouraged
('beneficiaries should aim to deposit')
• Metadata must include a persistent identifier
• No time limit – obligations also apply to publications after the
end of the Grant

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Open access to publications in ERC
programme under Horizon 2020 (II)
 Exceptions / clarifications
• Annotated Model Grant Agreement: for monographs & books
only a 'best effort requirement'
• Possibility to request extension of the acceptable embargo to
12 months for specific publications from LS/PE domain that
have SH 'character'
• If repository allows, metadata should ideally also include
details such as funder, embargo period, etc.
• For publications after the end of the grant, no obligation to
choose 'gold' if 'green' is not possible if this incurs extra
costs. In that case 'green' can be chosen with longer
embargo period.

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Pilot on Open Access to Research Data
– ERC's approach
 Individual projects have option to opt-in on voluntary
basis only if foreseen in the ERC Work Programme
• WP 2014: no opt-in option
• WP 2015: opt-in option for ERC frontier research projects
• No information requested from applicants at submission stage
(no impact on evaluation) – decision on opt-in to be taken at
granting stage only.
• No formal requirement for a Data Management Plan (but
beneficiaries must report on how research data have been
handled during the implementation of the project)
• ERC funded researchers and their institutions strongly
encouraged to practice responsible research data
management and sharing independent of any participation in
the pilot.

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Reporting on Open Access under
Horizon 2020 – ERC's approach
 Periodic scientific report must include information on
whether and how open access has been provided to the
results from the project (details to be included in update
of annotations to the Model Grant Agreement)
 For publications (and research data if opt-in), specify
repository (URL), identifier of deposited version enabling
verification, date at which open access has been or will be
provided
 For tools and instrument (if opt-in to data pilot): unique
identifier where information on tools & instruments (and these
tools and instruments themselves) can be found
 In case open access cannot be provided, provide evidence
on measures taken to fulfil the obligations

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Open Access support initiatives:
ERC and Europe PubMed Central
Europe PMC - repository for LS domain with added services:
 Linked to PubMed Central in USA (huge number of
publications & users)
 Large number of journals automatically upload author
manuscripts or published version
 Funded by group of 26 European funders including ERC
 ERC grantees can request set-up of PI account and use
manuscript deposition service to satisfy open access
requirements
 High degree of take-up (about 50% of LS grantees, also
some grantees from relevant panels in the PE and SH
domain)

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Open Access support initiatives:
ERC and arXiv
arXiv – e-print server for PE domain:
 Hosted at Cornell University
 Long history as pre-print server for physics and
mathematics
 but: some development work needed to become fully
suitable as OA repository – currently no possibility to
encode embargo periods
 Funded through Cornell University, Simons Foundation
and group of about 170 institutions, mostly from US and
Europe ("crowd funding")
 ERC joined the initiative in 2013

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Social Sciences & Humanities
 Great diversity and fragmentation across the Social
Sciences and Humanities domain
 No specific subject-based repository recommended so
far; ERC Open Access WG is following the debate
 Monographs important means of publication (SSH
specificity) – presenting particular challenges
 ERC WP 2015 foresees grant to the OAPEN foundation to
support OAPEN platform for open access monographs

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Thank you for your attention!
Questions? Comments?
ERC-OPEN-ACCESS@ec.europa.eu