The EC FP7 Post-Grant OA Pilot Implementation in the UK

Pablo de Castro, Catherine Sharp,

Open Access Project Officer, LIBEROpen Access Funding Manager, University College London

What is this FP7 Post-Grant Pilot?

• The EC FP7 Post-Grant Open Access Pilot will provide funding to cover the OA publishing fees for publications arising from completed FP7 projects

• 4 million euros are made available by the EC to fund the OA “post-grant” publications of over 8,000 completed FP7 projects

• The Pilot will last for a maximum of two years (i.e. until Apr 30th, 2017) or until its budget is exhausted

Requirements for Eligibility• The FP7 project should have finished by the time the funding is requested, but no longer than two years ago;• A maximum of three publications will be funded per eligible FP7 project as a means to ensure a fair distribution of the funding across projects;• Publications eligible for funding must be peer-reviewed;• Funding requests must be submitted once the publication has been accepted;• Publications submitted to hybrid journals will not be funded, but only those accepted at fully Open Access journals;• Funding caps of €2,000 for research articles and €6,000 for monographs apply for this Pilot;• The final version of the funded output must be deposited in an OpenAIRE-compliant Open Access repository.

Full Pilot policy guidelines available at: https://www.openaire.eu/postgrant/fp7-post-grant/pilot

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Approved funding requests: evolution

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Granted Funding Requests by Country

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Granted Funding Requests by Country

• arising geographic bias in funding distribution across countries

• dissemination activities focused on areas of low activity

• it takes time to collect funding requests from researchers

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FP7 Post-Grant Pilot-funded Publishers

• Clear impact of a no-hybrid policy• Average APC fee: €1420 (as of Nov 30th,

2015)

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Granted Funding Requests in the UK

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Granted Funding Requests in the UK

Caveat: Assigning funding request to countries is tricky when it's FP7 project-based: funding is often being granted to projects coordinated in the UK via funding requests granted to researchers and institutions in other countries

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Some Issues

• FP7 Post-Grant Open Access Pilot "competing" with other pots of money from UK funders and institutions• No-hybrid vs hybrid-policy• Issues with reimbursements: VAT charges

"FP7 Post-Grant OA Pilot report 6 months into the initiative", https://blogs.openaire.eu/?p=611

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Applying for Funding: the System

System requests information on:

1. Researcher (at registration time)2. FP7 project3. Publication (article/journal/APC)4. Accounting (invoicing)

An important recommendation:

Please submit your request upon completion of the publication data without waiting for an invoice to arrive

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User Registration with the System

https://postgrantoapilot.openaire.eu/#register

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User Registration with the System (II)

• “Researcher” is default role – any other one needs to be approved by the system moderator

• “Library Staff” user role common for Libraries, Research Offices and any other institutional unit

• “Library Staff” users can see any funding request submitted from the institution

• “Library Staff” users can submit requests on behalf of their institutional researchers

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Applying for Funding: Researcher Both at registration and funding

request time, it's very important to select the affiliation from the drop-down menu – this will allow the system to identify the institution's name as it's coded into the EC CORDA database and couple it to the eligible FP7 projects

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Applying for Funding: FP7 Project• Project's end-date the key field

for eligibility purposes

• Once the project acronym or grant number is entered the rest of the fields are auto-completed

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Applying for Funding: Publication (I)• If DOI is resolvable against the

CrossRef API, all metadata will automatically auto-complete

• Include at least one email

address in the author list

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Applying for Funding: Publication (II)Acceptance date the key field for

eligibility of a publication Rest of the fields are optional

except the journal title, which the system will again try to auto-complete

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FP7 Post-Grant OA Pilot-funded titles

List of funded fully OA journals is kept updated

Mechanism to warn about

predatory publishers currently being set

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Applying for Funding: Accounting (I)

Two-stage information collection: invoice and requested APC fee

The whole upper part of the form (invoice) can be left blank if no invoice is yet available at post-ms-acceptance funding request time – it will be completed later

When available, invoice issued to Athena Research Centre needs to be uploaded into the system

For a reimbursement, a 2-page reimbursement invoice is required, see FAQ at http://bit.ly/1Zl7Oh0

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Applying for Funding: Accounting (II)

If available in the embedded database, the system will show the nominal APC fee – the user must provide the actual value on the right-hand side fields

If the APC fee is above the funding cap for an article (EUR 2,000), the FP7 Post-Grant OA Pilot will provide its maximum funding, but the default 100% will need to be lowered and an additional funder included

Alternatively, a EUR 2,000 funding request can be issued, keeping the 100% rate

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After filling in a funding request

1. Funding request is submitted 2. Moderator checks it and conditionally approves it if eligible 3. Automatic notification collected by requestor 4. Automatic notification collected by project coordinator for validation 5. Request stays in "conditionally approved" status until invoice addressed to Athena Research Centre is uploaded 6. If invoice is valid (VAT number must be included), the request is formally approved 7. Notification for formal approval sent to the requestor 8. Invoice processed and paid by OpenAIRE accounting office in Athens 9. Bank transfer receipt uploaded into the system by the accounting office10. Paid request notification sent out to requestor

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APC-equivalent Funding MechanismInstead of APCs, this APC-equivalent funding mechanism for APC-free OA journals will fund technical improvements in the publishing workflows at eligible journals.Two main challenges to tackle: Defining the technical and administrative mechanisms for providing the funding

Making sure eligible researchers will submit their work to these journals

www.openaire.eu@openaire_eufacebook.com/groups/openaire linkedin.com/groups/OpenAIRE-3893548

Thank you!

pablo.decastro@kb.nlhttp://orcid.org/0000-0001-6300-1033

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