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||ETH Library 22.01.2018Barbara Hirschmann 1
Open access requirements in SNSF and EU projects
AVETH Information Event: Funding Opportunities for PostDocs & PhDs
22nd January 2018, ETH Zurich
Barbara Hirschmann, E-Publishing Office
||ETH Library 22.01.2018Barbara Hirschmann 2
What is open access?
«Open access […] literature is digital, online, free of charge,
and free of most copyright and licensing restrictions.»
(Peter Suber, 2012)
without costs for the readeraccessible
possibility to reuse
||ETH Library
 Visibility of research results, easy
access
 Authors retain copyright
 Enables interdisciplinary and
international collaboration
 Knowledge produced by public funds
should be openly available
 …
 Because your research funder
requires it
22.01.2018Barbara Hirschmann 3
Why open access?
“What is at stake is the speed of scientific
progress and the return on R&D investment,
[…] which has enormous potential for
boosting productivity, competitiveness
and growth.”
“The results of research financed by public
funds should be […] freely and immediately
available without charge […] since they are
considered as a public good.”
||ETH Library
Green Road
Self-archive «subscription content» in
 an institutional repository
(e.g. ETH Zurich’s Research Collection)
 a disciplinary repository
(e.g. arXiv.org, bioRxiv.org, …)
Gold Road
Publish directly in
 open access journals
 open access books
 Open access article within subscription
journal («hybrid journals»)
22.01.2018Barbara Hirschmann 4
How to publish open access
||ETH Library
How does it work?
 Publish in a «conventional» subscription journal
 Deposit an open access version of your paper in a repository
Copyright implications
 Subscription publishers usually require authors to transfer copyright or grant
them an exclusive license to publish their work
 But: They also usually allow some sort of “self-archiving” (e.g. OA publication)
 After a certain period of time (embargo)
 If you do not upload the publisher’s PDF (no publisher layout & logo)
22.01.2018Barbara Hirschmann 5
Green Road: Self-archiving in open access repositories
||ETH Library 22.01.2018Barbara Hirschmann 6
Green Road: Publisher copyright policies
Where to look up the regulations?
 SHERPA/RoMEO Database: http://www.sherpa.ac.uk/romeo
 Publisher / journal website
 Copyright transfer agreement / publishing contract / license to publish
||ETH Library 22.01.2018Barbara Hirschmann 7
Which format?
• Usually Postprint
(= author’s manuscript
after peer review)
When?
• Possible embargos
between 2 and 36
months
Where?
• Author’s website
• Institutional repository
• Disciplinary repository
||ETH Library 22.01.2018Barbara Hirschmann 8
Types of repositories
Institutional
Repository
Disciplinary
Repository
Directory of Open Access Repositories - OpenDOAR
(www.opendoar.org)
Academic
Networking Site
 Run by commercial
companies
 No copyright clarification at
upload
 NOT compliant with SNSF
and EU requirements for OA
publication!
 Run by academic
institutions
 All uploads checked
against publishers’
copyright regulations
 Mostly run by
academic or not-for-
profit institutions
||ETH Library
Quality control
 Scientific journals with peer review process and editorial board
Costs / Funding
 No costs for access and re-use of content
 Funded by Article Processing Charges (APCs) or other cooperative (institutional, library)
funding models
Copyright
 Author retains copyright
 End user rights regulated via Creative Commons (or similar) licenses
22.01.2018Barbara Hirschmann 9
Gold Road: Publishing in open access journals
||ETH Library 22.01.2018Barbara Hirschmann 10
OA journals: How much does it cost?
Journal APC Impact factor 2016
€ 735
-
€ 1’560 3.786
€ 2’460 9.797
€ 3’700 13.092
||ETH Library
 For example:
 Spinger OpenChoice
 Wiley Online Open
 IEEE Hybrid Journals
 …
22.01.2018Barbara Hirschmann 11
OA articles in subscription journals («Hybrid journals»)
Subscription fees
Publication fees (APCs)
«Double Dipping»
Not financed by ETH Zurich
nor Swiss National Science
Foundation!
||ETH Library
 www.doaj.org
 “White list” for OA journals
 Journals not indexed in DOAJ are
probably “hybrid journals”
(or new / low quality OA journals)
 Look out for a Tick or Seal:
22.01.2018Barbara Hirschmann 12
Directory of Open Access Journals
Journal with good level of compliance
with best practices and publishing
standards
Journal with high level of openness,
compliance with best practices and
publishing standards
||ETH Library
 Did someone leave a review on QOAM (Quality Open Access Market)?
 Is the publisher a member of OASPA (the Open Access Scholarly Publishers
Association) or COPE (the Committee on Publication Ethics)?
 Have a look at the journal’s website:
 Does the journal conduct a peer review process?
 Are acknowledged scientists among the authors and editorial board members?
 More tips: http://thinkchecksubmit.org
22.01.2018Barbara Hirschmann 13
How to assess the quality of OA journals
||ETH Library 22.01.2018Barbara Hirschmann 14
Open Access in SNSF-funded projects
OA mandatory for
• Journal articles
• Books and book chapters
Requirement • Gold Road OR Green Road
Max. embargo for Green Road
• Articles: 6 months
• Books: 12 months (from 1st April)
Funding for OA articles
• Yes, for articles in pure OA journals
• No, for articles in hybrid journals
Funding for OA books
• Yes, from 1st April also
• after the project has ended
• for books that are outputs of non-SNSF-funded projects
• From 1st October also for OA book chapters
Compliance monitoring • Via P3 / mySNF open access platform
||ETH Library 22.01.2018Barbara Hirschmann 15
How to comply: 3 options
1. Publish in OA journal
2. Publish in subscription
journal with max. 6
months embargo &
deposit in OA repository
3. Publish in
subscription journal
with longer embargo &
pay for hybrid OA
 Apply for APC funding
within mySNF's OA
platform (from 1st
October)
 [Or pay from existing
grant if you had already
applied for APCs in the
grant proposal]
 Self-archive post-print or
publisher version (NOT
preprint)
 Deposit via non-
commercial repository
(NOT via website,
ResearchGate etc.)
 Make sure journal offers
a paid open access
option
 Pay APCs from other
funds, SNSF does not
cover hybrid APCs
||ETH Library 22.01.2018Barbara Hirschmann 16
Open Access in EU-funded projects
OA mandatory for
• Peer-reviewed journal articles
• (encouraged for other publication types)
Requirement
• Green Road OR Gold Road (incl. Hybrid)
• In both cases: deposit in repository
Max. embargo period for Green Road
• STM: 6 months
• HSS: 12 months
Funding for OA articles
• APCs for OA journals can be claimed as project expenses
• FP7 post-grant Open Access funding available
Compliance monitoring • Via institutional repositories and EU portal openAIRE
||ETH Library 22.01.2018Barbara Hirschmann 17
How to comply: 3 options
1. Publish in OA journal
2. Publish in subscription
journal with max. 6/12
months embargo &
deposit in OA repository
3. Publish in
subscription journal
with longer embargo &
pay for hybrid OA
 Include the APCs in
your grant application
 OR, if applicable, apply
for FP7 post-grant Open
Access funding
 Additionally, deposit
copy in repository
 Self-archive post-print or
publisher version (NOT
preprint)
 Deposit via repository
(NOT via website,
ResearchGate etc.)
 Make sure journal offers
a paid open access
option
 Include the APCs in
your grant application
 Additionally, deposit
copy in repository
||ETH Library 22.01.2018Barbara Hirschmann 18
Open Access at ETH Zurich
OA mandatory for • Research papers, theses and other research output
Requirement
• Green Road (via Research Collection)
• Gold Road encouraged
Max. embargo period for Green Road
• n/a for articles and books
• 3 years for Doctoral Theses
Funding for OA articles • ETH Library covers APCs for some OA publishers
Compliance monitoring • n/a (only for Doctoral Theses)
 Policy in place since 2008
 In 2017, an online survey was conducted among scientific staff at ETHZ
 Based on the survey results, a new open access policy will be put into force on 1st February 2018
||ETH Library 22.01.2018Barbara Hirschmann 19
OA journals: institutional funding
 ETH Library covers APCs if
 Corresponding author is affiliated with ETH Zurich
 Article is published in a fully OA journal of one of the following publishers:
 Read more: http://www.library.ethz.ch/en/ms/Open-Access-an-der-ETH-Zuerich/Publizieren-in-Open-Access-
Zeitschriften/Publizieren-in-Open-Access-Zeitschriften-Finanzierung
||ETH Library
 Publication directory /
university bibliography
 Open access repository
 Research data repository
22.01.2018Barbara Hirschmann 20
Research Collection: «3 in 1»
www.research-collection.ethz.ch
||ETH Library
 Publish original works (e.g. reports, presentations, theses…)
 Self-archive scientific papers (Green OA)
22.01.2018Barbara Hirschmann 21
Open access repository
Publisher version Open access version
 Compliant with ETH, SNSF
and EU requirements for
open access
 Compliant with publishers’
copyright policies
||ETH Library
• Publish, share or archive your research
data
• As supplementary material
or stand-alone publication
• All file formats allowed
• Retention periods:
10 years / 15 years / indefinite
• Recommended max. file size: 2GB
22.01.2018Barbara Hirschmann 22
Research data repository
 Compliant with the FAIR
data principles
 Compliant with SNSF and
EU requirements for open
research data
||ETH Library 22.01.2018Barbara Hirschmann 23
Access rights for full texts / data files
Open access Embargoed ETHZ users Selected users Closed access
Publications  
Research data     
Descriptive metadata, such as title, creator, year, are always visible and exported to search engines!
||ETH Library 22.01.2018Barbara Hirschmann 24
Citable DOIs & DOI preview option
||ETH Library 22.01.2018Barbara Hirschmann 25
Citation counts / Altmetrics / Download statistics
||ETH Library 22.01.2018Barbara Hirschmann 26
Linking
between
publications
and
datasets
||ETH Library 22.01.2018Barbara Hirschmann 27
Add and EU / SNSF grant ID to your dataset / publication
||ETH Library 22.01.2018Barbara Hirschmann 28
Enter once – reuse often
ETH websites
Annual
Academic
Achievements
||ETH Library
Research Data
 Retention period: For how long do you want us to keep your data?
 Did you read our guidelines on file formats, naming, packaging etc.?
Open access publications
 Is the uploaded version compliant with the publisher’s self-archiving policy?
Both
 Under which end user license will you publish your work?
 Did you get approval from all co-authors/data producers to publish/deposit the work?
22.01.2018Barbara Hirschmann 29
Some things to consider before uploading
||ETH Library 22.01.2018Barbara Hirschmann 30
Read-up on these topics in the Manual…
… or get an appointment for a free
consultation via our Book a
Librarian service
Contact
E-Publishing Office
research-collection@library.ethz.ch
Tel. 272 22
||ETH Library
Contact
Barbara Hirschmann
E-Publishing Office
barbara.hirschmann@library.ethz.ch
Tel. 044 632 06 90
22.01.2018Barbara Hirschmann 31
Thank you! – Questions?

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Open access requirements in SNSF and EU projects

  • 1. ||ETH Library 22.01.2018Barbara Hirschmann 1 Open access requirements in SNSF and EU projects AVETH Information Event: Funding Opportunities for PostDocs & PhDs 22nd January 2018, ETH Zurich Barbara Hirschmann, E-Publishing Office
  • 2. ||ETH Library 22.01.2018Barbara Hirschmann 2 What is open access? «Open access […] literature is digital, online, free of charge, and free of most copyright and licensing restrictions.» (Peter Suber, 2012) without costs for the readeraccessible possibility to reuse
  • 3. ||ETH Library  Visibility of research results, easy access  Authors retain copyright  Enables interdisciplinary and international collaboration  Knowledge produced by public funds should be openly available  …  Because your research funder requires it 22.01.2018Barbara Hirschmann 3 Why open access? “What is at stake is the speed of scientific progress and the return on R&D investment, […] which has enormous potential for boosting productivity, competitiveness and growth.” “The results of research financed by public funds should be […] freely and immediately available without charge […] since they are considered as a public good.”
  • 4. ||ETH Library Green Road Self-archive «subscription content» in  an institutional repository (e.g. ETH Zurich’s Research Collection)  a disciplinary repository (e.g. arXiv.org, bioRxiv.org, …) Gold Road Publish directly in  open access journals  open access books  Open access article within subscription journal («hybrid journals») 22.01.2018Barbara Hirschmann 4 How to publish open access
  • 5. ||ETH Library How does it work?  Publish in a «conventional» subscription journal  Deposit an open access version of your paper in a repository Copyright implications  Subscription publishers usually require authors to transfer copyright or grant them an exclusive license to publish their work  But: They also usually allow some sort of “self-archiving” (e.g. OA publication)  After a certain period of time (embargo)  If you do not upload the publisher’s PDF (no publisher layout & logo) 22.01.2018Barbara Hirschmann 5 Green Road: Self-archiving in open access repositories
  • 6. ||ETH Library 22.01.2018Barbara Hirschmann 6 Green Road: Publisher copyright policies Where to look up the regulations?  SHERPA/RoMEO Database: http://www.sherpa.ac.uk/romeo  Publisher / journal website  Copyright transfer agreement / publishing contract / license to publish
  • 7. ||ETH Library 22.01.2018Barbara Hirschmann 7 Which format? • Usually Postprint (= author’s manuscript after peer review) When? • Possible embargos between 2 and 36 months Where? • Author’s website • Institutional repository • Disciplinary repository
  • 8. ||ETH Library 22.01.2018Barbara Hirschmann 8 Types of repositories Institutional Repository Disciplinary Repository Directory of Open Access Repositories - OpenDOAR (www.opendoar.org) Academic Networking Site  Run by commercial companies  No copyright clarification at upload  NOT compliant with SNSF and EU requirements for OA publication!  Run by academic institutions  All uploads checked against publishers’ copyright regulations  Mostly run by academic or not-for- profit institutions
  • 9. ||ETH Library Quality control  Scientific journals with peer review process and editorial board Costs / Funding  No costs for access and re-use of content  Funded by Article Processing Charges (APCs) or other cooperative (institutional, library) funding models Copyright  Author retains copyright  End user rights regulated via Creative Commons (or similar) licenses 22.01.2018Barbara Hirschmann 9 Gold Road: Publishing in open access journals
  • 10. ||ETH Library 22.01.2018Barbara Hirschmann 10 OA journals: How much does it cost? Journal APC Impact factor 2016 € 735 - € 1’560 3.786 € 2’460 9.797 € 3’700 13.092
  • 11. ||ETH Library  For example:  Spinger OpenChoice  Wiley Online Open  IEEE Hybrid Journals  … 22.01.2018Barbara Hirschmann 11 OA articles in subscription journals («Hybrid journals») Subscription fees Publication fees (APCs) «Double Dipping» Not financed by ETH Zurich nor Swiss National Science Foundation!
  • 12. ||ETH Library  www.doaj.org  “White list” for OA journals  Journals not indexed in DOAJ are probably “hybrid journals” (or new / low quality OA journals)  Look out for a Tick or Seal: 22.01.2018Barbara Hirschmann 12 Directory of Open Access Journals Journal with good level of compliance with best practices and publishing standards Journal with high level of openness, compliance with best practices and publishing standards
  • 13. ||ETH Library  Did someone leave a review on QOAM (Quality Open Access Market)?  Is the publisher a member of OASPA (the Open Access Scholarly Publishers Association) or COPE (the Committee on Publication Ethics)?  Have a look at the journal’s website:  Does the journal conduct a peer review process?  Are acknowledged scientists among the authors and editorial board members?  More tips: http://thinkchecksubmit.org 22.01.2018Barbara Hirschmann 13 How to assess the quality of OA journals
  • 14. ||ETH Library 22.01.2018Barbara Hirschmann 14 Open Access in SNSF-funded projects OA mandatory for • Journal articles • Books and book chapters Requirement • Gold Road OR Green Road Max. embargo for Green Road • Articles: 6 months • Books: 12 months (from 1st April) Funding for OA articles • Yes, for articles in pure OA journals • No, for articles in hybrid journals Funding for OA books • Yes, from 1st April also • after the project has ended • for books that are outputs of non-SNSF-funded projects • From 1st October also for OA book chapters Compliance monitoring • Via P3 / mySNF open access platform
  • 15. ||ETH Library 22.01.2018Barbara Hirschmann 15 How to comply: 3 options 1. Publish in OA journal 2. Publish in subscription journal with max. 6 months embargo & deposit in OA repository 3. Publish in subscription journal with longer embargo & pay for hybrid OA  Apply for APC funding within mySNF's OA platform (from 1st October)  [Or pay from existing grant if you had already applied for APCs in the grant proposal]  Self-archive post-print or publisher version (NOT preprint)  Deposit via non- commercial repository (NOT via website, ResearchGate etc.)  Make sure journal offers a paid open access option  Pay APCs from other funds, SNSF does not cover hybrid APCs
  • 16. ||ETH Library 22.01.2018Barbara Hirschmann 16 Open Access in EU-funded projects OA mandatory for • Peer-reviewed journal articles • (encouraged for other publication types) Requirement • Green Road OR Gold Road (incl. Hybrid) • In both cases: deposit in repository Max. embargo period for Green Road • STM: 6 months • HSS: 12 months Funding for OA articles • APCs for OA journals can be claimed as project expenses • FP7 post-grant Open Access funding available Compliance monitoring • Via institutional repositories and EU portal openAIRE
  • 17. ||ETH Library 22.01.2018Barbara Hirschmann 17 How to comply: 3 options 1. Publish in OA journal 2. Publish in subscription journal with max. 6/12 months embargo & deposit in OA repository 3. Publish in subscription journal with longer embargo & pay for hybrid OA  Include the APCs in your grant application  OR, if applicable, apply for FP7 post-grant Open Access funding  Additionally, deposit copy in repository  Self-archive post-print or publisher version (NOT preprint)  Deposit via repository (NOT via website, ResearchGate etc.)  Make sure journal offers a paid open access option  Include the APCs in your grant application  Additionally, deposit copy in repository
  • 18. ||ETH Library 22.01.2018Barbara Hirschmann 18 Open Access at ETH Zurich OA mandatory for • Research papers, theses and other research output Requirement • Green Road (via Research Collection) • Gold Road encouraged Max. embargo period for Green Road • n/a for articles and books • 3 years for Doctoral Theses Funding for OA articles • ETH Library covers APCs for some OA publishers Compliance monitoring • n/a (only for Doctoral Theses)  Policy in place since 2008  In 2017, an online survey was conducted among scientific staff at ETHZ  Based on the survey results, a new open access policy will be put into force on 1st February 2018
  • 19. ||ETH Library 22.01.2018Barbara Hirschmann 19 OA journals: institutional funding  ETH Library covers APCs if  Corresponding author is affiliated with ETH Zurich  Article is published in a fully OA journal of one of the following publishers:  Read more: http://www.library.ethz.ch/en/ms/Open-Access-an-der-ETH-Zuerich/Publizieren-in-Open-Access- Zeitschriften/Publizieren-in-Open-Access-Zeitschriften-Finanzierung
  • 20. ||ETH Library  Publication directory / university bibliography  Open access repository  Research data repository 22.01.2018Barbara Hirschmann 20 Research Collection: «3 in 1» www.research-collection.ethz.ch
  • 21. ||ETH Library  Publish original works (e.g. reports, presentations, theses…)  Self-archive scientific papers (Green OA) 22.01.2018Barbara Hirschmann 21 Open access repository Publisher version Open access version  Compliant with ETH, SNSF and EU requirements for open access  Compliant with publishers’ copyright policies
  • 22. ||ETH Library • Publish, share or archive your research data • As supplementary material or stand-alone publication • All file formats allowed • Retention periods: 10 years / 15 years / indefinite • Recommended max. file size: 2GB 22.01.2018Barbara Hirschmann 22 Research data repository  Compliant with the FAIR data principles  Compliant with SNSF and EU requirements for open research data
  • 23. ||ETH Library 22.01.2018Barbara Hirschmann 23 Access rights for full texts / data files Open access Embargoed ETHZ users Selected users Closed access Publications   Research data      Descriptive metadata, such as title, creator, year, are always visible and exported to search engines!
  • 24. ||ETH Library 22.01.2018Barbara Hirschmann 24 Citable DOIs & DOI preview option
  • 25. ||ETH Library 22.01.2018Barbara Hirschmann 25 Citation counts / Altmetrics / Download statistics
  • 26. ||ETH Library 22.01.2018Barbara Hirschmann 26 Linking between publications and datasets
  • 27. ||ETH Library 22.01.2018Barbara Hirschmann 27 Add and EU / SNSF grant ID to your dataset / publication
  • 28. ||ETH Library 22.01.2018Barbara Hirschmann 28 Enter once – reuse often ETH websites Annual Academic Achievements
  • 29. ||ETH Library Research Data  Retention period: For how long do you want us to keep your data?  Did you read our guidelines on file formats, naming, packaging etc.? Open access publications  Is the uploaded version compliant with the publisher’s self-archiving policy? Both  Under which end user license will you publish your work?  Did you get approval from all co-authors/data producers to publish/deposit the work? 22.01.2018Barbara Hirschmann 29 Some things to consider before uploading
  • 30. ||ETH Library 22.01.2018Barbara Hirschmann 30 Read-up on these topics in the Manual… … or get an appointment for a free consultation via our Book a Librarian service Contact E-Publishing Office research-collection@library.ethz.ch Tel. 272 22
  • 31. ||ETH Library Contact Barbara Hirschmann E-Publishing Office barbara.hirschmann@library.ethz.ch Tel. 044 632 06 90 22.01.2018Barbara Hirschmann 31 Thank you! – Questions?