Open access publishing Nikhef NWO-I
NWO aims for 100 percent Open Access. Therefore NWO requires that all publications emerging from research it funds must be made available in Open Access immediately upon publication. NWO accepts different routes to Open Access. By publications NWO means scholarly papers but also conference proceedings, monographs and book chapters. Different conditions apply to book publications.
FAQ policy framework open access (OA) at Nikhef
– How do I make my publication available in OA form?
There are three ways to make your publication available in OA form:
- Publication in a Gold OA journal: the publisher makes the article available in OA form.
- Publication in a journal that falls under a transformative deal: the publisher makes the article available in OA form.
- Publication in a non-OA journal and taking the responsibility to ensure that the article concerned is placed in the repository designated by your institute immediately upon publication (Green route).
– What is the designated repository for Nikhef?
Nikhef does not maintain its own repository, but instead relies on the fact, that all publications with Nikhef authors are available on arXiv. Key point is, that the publication version on arXiv must be the Author’s Accepted Manuscript (AAM-version) and available per the date of the publication in the journal.
– In which transformative deals does Nikhef participate?
Nikhef takes part in two transformative deals:
- SCOAP3 (https://scoap3.org/): SCOAP3 has converted key journals in the field of High-Energy Physics to Open Access at no cost for authors (Nikhef already pays the fee). See https://scoap3.org/phase3-journals/ for the journals that are part of this arrangement.
- Elsevier: through NWO-I and the universities Nikhef participates in a transformative deal with Elsevier. During the submission process, OA publication should already be possible to arrange without any problems. A presentation illustrating the workflow is available here: link
– What are the most common approaches for authors from Nikhef to be compliant?
- Most collaborations (the LHC experiments, the astroparticle physics experiments) in which Nikhef participates have a publication policy. As a Nikhef researcher / author you don’t need to worry about the OA publication, assuming that the Open Access policy adhered by the collaboration is compliant with the NWO policy.
- If there is no collaboration procedure to rely on, check whether the intended journal is part of a transformative deal (see Uitgeversdeals (openaccess.nl)) and follow the procedure mentioned there.
- In the remaining cases, there are two options, in case you intend to publish in a journal that does not support free Gold Open Access:
§ If the Author’s Accepted Manuscript is available on arXiv ultimately per the date of publication in the journal you can choose the Green route.
§ Only if the above is not possible, you have to choose the Gold Open Access route, including the acceptance of paying an Open Access Charge (APC). Make sure that an agreement is in place between the authors on how to share the cost of the APC. Any (share in) the APC must be borne by the group budget.
– How should I arrange OA if, for example, I am the 50th author (in large consortia)?
If the corresponding author does not ensure that the article becomes available in OA form, you must place it in the designated repository yourself. If it is available in OA form elsewhere, you only need to place a link in the designated repository. If several co-authors work at an NWO institute, only one of them needs to place the article in the repository.
– What should I do if my co-author(s) does/do nothing to ensure publication in OA form?
Then you should simply place the article in the designated repository yourself. The policy framework arranges that you are not only required to do that, but that you are allowed to do that.
– Should I place the AAM or the VoR in the repository?
You are required to place at least the AAM (Author’s Accepted Manuscript) in arXiv. Some publishers permit immediate publication of the VoR (Version of Record) in a repository. If that is the case, you can also choose the VoR.
– What should I do if I receive a takedown notice?
You should pass this on to Arjen van Rijn (email). He will contact NWO-I and deal with the matter further. The AAM remains in the repository.
– Who takes responsibility and deals with the administrative formalities that may emerge from this?
The responsibility for the policy lies with NWO-I, and it will deal with the administrative formalities that emerge from this.
– Who will bear the costs in the case of a possible (legal) procedure and/or fine?
– Do I have to comply with the publisher’s embargo concerning when the AAM (or the VoR, if that is permitted) may be placed in the repository?
No. As stated in the policy framework, the wish of the employer takes precedence over the wish of the publisher. This is because the NWO-I policy framework is from an earlier date than the request from the publisher.
– If I place a preprint on arXiv, for example, then does that count for open access?
The manuscript that is on the arXiv only counts as OA if it corresponds to the so-called author-accepted-manuscript: This is the version of the manuscript prepared by the authors after peer review and as accepted by the journal for publication. Earlier versions of the manuscript do not count as OA. Therefore, it is important that the version in arXiv is updated when the manuscript is accepted.
– What happens if OA, for whatever reason, proves not to be possible?
Then you should request help from Joan Berger (email). If she cannot not solve the problem, you should contact your line manager/group leader to explain why it is not possible and the requirement to make the article available in OA form will subsequently be lifted for that article.
– Do the OA requirements mean that I can no longer publish in the high-profile journals in my discipline, and what does that mean for my career opportunities?
The researcher still decides which journal he or she wants to publish in. Therefore, this may also be a closed (subscription) journal, as long as on the day of publication you place at least the AAM in arXiv.
– When I submit my article, should I inform the publisher that I will publish it without embargo in my own repository?
You do not have to inform the publisher about this. On the NWO-I website, it is stated (Open Access – NWO-I) that we have implemented this policy and what we require our employees to do. Furthermore, cOAlition S has sent a letter to all publishers about plan S and because NWO is a member of cOAlition S, the publishers should already know that this also applies to us.
– Who can I approach with my questions?
– How should I deal with questions from publishers?
You can pass these on to Arjen van Rijn (email). He will ensure that these are dealt with appropriately.
– Who is the copyright holder?
Formally, for NWO-I employed researchers, NWO-I would be the copyright holder, following the Collective Labour Agreement Research Institutes (CAO-OI), article 1.8.2 which states: “Pursuant to article 7 of the Copyright Act, an employer is deemed to be the maker and owner of those works, that employees have created in the performance of their work.”
In the research collaborations the copyright is usually arranged for in the publication procedure. E.g. for the LHCb collaboration each paper says: “Copyright 2021 CERN for the benefit of the LHCb collaboration. CC BY 4.0 licence.”
– What is the difference between the policy of NWO and NWO-I with respect to copyright and CC-BY licences?
The NWO policy is: “For projects awarded on the basis of calls for proposals published from 1 January 2021 onwards the following requirements apply. NWO requires that publications are immediately (without embargo) made available in open access form and that a CC-BY license is applied.”
For authors who wish to use the Green route, cOAlition S has developed the Rights Retention Strategy. This strategy ensures that authors retain the right to share their work in open access form immediately and under an open licence. This also applies should the publisher place any limitations on that.
Researchers who want to make use of this right are advised to include the following text in the article when they submit it:
‘This research was funded in whole, or in part, by the Dutch Research Council (NWO) <project number>. For the purpose of open access, a CC BY public copyright licence is applied to any Author’s Accepted Manuscript version arising from this submission.’
For more information, see: Open access publishing | NWO.
For projects awarded on the basis of calls for proposals published before 1 January 2021 NWO requires that publications are immediately (without embargo) made available in open access form.
At present, no requirement has been included in the NWO-I policy concerning the use of a CC-BY licence for publications.