Special Clause 39

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«Special Clause 39» er betegnelsen på en standardklausul som er tatt inn i prosjektkontraktene for prosjekter finansiert gjennom FP7 innenfor visse fagområder. Dette omfatter ca 20 % av midlene som deles ut gjennom FP7.

Denne klausulen krever at alle publikasjoner som produseres, helt eller delvis finansiert av disse prosjektmidlene, skal gjøres Open Access-tilgjengelig gjennom egenarkivering i et vitenarkiv.

Det er strenge vilkår som skal oppfylles for at man skal kunne «unnslippe» dette kravet.

OpenAIRE-prosjektet skal, i tillegg til å gjøre det mulig for forskerne å oppfylle plikten til egenarkivering, gjøre det mulig for EU å følge opp hvorvidt prosjekten oppfyller plikten.

EU har ikke sagt noe om sanksjoner, men det ligger i sakens natur at det ikke er strategisk å unnlate å oppfylle sine forpliktelser i henhold til kontrakten med EU. (...)

Innhold

Bakgrunn

I FP7 gjennomfører EU et pilotprosjekt (OA Pilot) med krav om Open Access-tilgjengeliggjøring av publikasjoner de finansierer, innenfor 7 områder som omfatter ca. 20 % av de forskningsmidler EU tildeler under FP7. (Det er signaler om at omfanget vil bli utvidet før FP7 avsluttes.) De 7 områdene er:

1. Energy
2. Environment (including Climate Change)
3. Health
4. Information and Communication Technologies (Cognitive Systems, Interaction, Robotics)
5. Research Infrastructures (e-infrastructures)
6. Science in society
7. Socio-economic sciences and the humanities

Prosjekter innen disse områdene har i sine kontrakter en "Special Clause 39".

Special clause 39

Ordlyd hentet fra EUs dokumenter på http://ec.europa.eu/research/press/2008/pdf/annex_1_new_clauses.pdf

OPEN ACCESS (SPECIFIC TO THE THEMATIC AREAS "HEALTH", "ENERGY", "ENVIRONMENT (INCLUDING CLIMATE CHANGE)", "INFORMATION & COMMUNICATION TECHNOLOGIES" (CHALLENGE 2), AND "SOCIOECONOMIC SCIENCES AND THE HUMANITIES", AS WELL AS TO THE ACTIVITIES "RESEARCH INFRASTRUCTURES" (E-INFRASTRUCTURES), AND "SCIENCE IN SOCIETY") In addition to Article II.30.4, beneficiaries shall deposit an electronic copy of the published version or the final manuscript accepted for publication of a scientific publication relating to foreground published before or after the final report in an institutional or subject-based repository at the moment of publication. Beneficiaries are required to make their 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 [X ] months of publication.

Best effort

I dokumentet Guide to Intellectual Property Rules for FP7 projects ftp://ftp.cordis.europa.eu/pub/fp7/docs/ipr_en.pdf står følgende om «best effort» og Open Access:

7.3. Relations with publishers of scientific journals Many publishers require authors to sign an agreement by which authors transfer their copyrights to publishers and thereby exclude publication elsewhere. This type of agreement may also limit authors' rights to deposit articles into openly accessible repositories (open archives) upon publication. A number of remarks should be made regarding such publication agreements: – First of all, the provisions of a publication agreement apply only to a piece of text. They do not apply to any inventions or other knowledge (mathematical models, etc.) described in that text. The use, ownership, etc. of such inventions or knowledge are not affected by the publication agreement. Some publication agreements explicitly mention that such rights are retained by the participant or author(s). – The main provision of such a publication agreement usually relates to the transfer of the copyright attached to the concerned text. Although it could be considered that such transfer only prevents the author(s) of the text from publishing this specific text, it must be noted that several publication agreements provide for the transfer of "copyright in the text and any modifications of it", which is of course much broader and rather vague, and should therefore be avoided. However, it should not be considered that a publication (copyright transfer) agreement prohibits the publication of any further paper by the project participants regarding their project in so far as no parts of first text are used (the underlying ideas may of course be used again but must be expressed differently). – The obligations defined in the Grant Agreement are not affected by any subsequent publication (or other) agreement (cf. Article 18.3 RfP – Article II.3.i of GA). In particular, the Commission is allowed to publish any non-confidential project results or related information, if it considers it appropriate, including by electronic means. It is the participants' responsibility to ensure that any subsequent agreement they might enter into with a publisher does not conflict with the Grant Agreement's provisions (for instance Article II.30 of GA)). – In many countries (including most Member States) and under the European Patent Convention, an invention is no longer patentable once it has been disclosed; therefore, special care should be exercised if the contemplated publication discloses unprotected foreground (cf. Article 46.3 RfP – Article II.30.2 of GA). It is suggested that authors considering publishing results in a scientific journal should: – obtain the necessary permission from the participant owning the foreground (even if this participant is the employer of the author) before submitting a paper for publication. The participants should ensure that they have internal procedures in place to deal with this as they remain liable for the fulfilment of their obligations regarding the foreground vis-à-vis the Commission and other participants (including regarding protection and dissemination); – discuss this intention with the other participants and, if some (or all) of the foreground and/or background to be published belong to (an)other participant(s), seek its/their prior approval (no background or foreground may be disseminated without the approval of its owner); it has to be noted that although each participant must disseminate the foreground it owns, several participants may agree to disseminate jointly, as for example often occurs through co-authoring of a scientific publication); – carefully check the compatibility of the Grant Agreement with any publication agreement they are envisaging to sign; – inform the publisher of the obligations resulting from the Grant Agreement (in particular Art. II.3.iand II.30.4 GA). A contractual provision could be inserted in the publication agreement to take this into account, for example: "The publisher agrees that the author retains the right to provide the European Commission for publication purposes with an electronic copy of the published version or the final manuscript accepted for publication." The publisher will also have to be made aware of the statement of financial support (see 7.1 above) which must be mentioned. Certain Grant Agreements contain a special clause on open access (No. 39) Special provisions shall apply to these Grant Agreements: – Beneficiaries shall deposit an electronic copy of the published version or the final manuscript accepted for publication of a scientific publication relating to foreground published before or after the final report in an institutional or subject-based repository at the moment of publication. – Beneficiaries are required to make their 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 [X] months of publication. Useful listings of repositories are the following: – OpenDOAR (worldwide Directory of Open Access Repositories, http://www.opendoar.org/ ) – Registry of Open Access Repositories (ROAR) (http://roar.eprints.org/index.php ) Making "best efforts" implies taking the following actions: – Determining the journal policy on open access by seeking information on the publishing models and copyright/licensing policies of the journal(s) to which authors plan to submit. Useful information resources include: • RoMEO (Publisher's copyright & archiving policies, www.sherpa.ac.uk/romeo/index.html ) • JULIET (Research funders archiving mandates and guidelines, (www.sherpa.ac.uk/juliet/index.php ) • Directory of Open Access Journals (www.doaj.org ) – Requesting and reading carefully the publishing agreement that publishers expect authors to sign at the beginning of the submission/publication process. This agreement sets out the rights and obligations of both the author and the publisher. Authors will see from this document if they retain the right to self archive their work or not. – If the publishers' policy conflicts with the Grant Agreement, authors should: • Inform the publisher of the European Commission's special clause on open access and request an exception to the publishers' policy to allow the author to comply with this clause. Options include: • License to publish: authors retain their copyrights while granting publishers a sole licence for certain copyright related acts which have an economic or commercial objective. By keeping their copyrights, authors can retain certain rights for various scholarly purposes including self-archiving. • Amending the publishing agreement through the introduction of a clause or an addendum stipulating that while assigning their copyrights authors retain certain rights (e.g. the right to self-archive their work in an institutional or subject based repository immediately upon publication). • Models for these options can be found at the following website: http://ec.europa.eu/research/science-society/open_access – If, despite authors' best efforts, compliance is not possible, researchers should: • Consider submitting to another journal • Contact the Commission to receive help and advice on the specific case via the email address: rtd-open-access@ec.europa.eu – Finally, in the case of non-compliance, beneficiaries must be able to substantiate how they have complied with the "best effort" requirement. For example, by submitting a letter from the publisher to the Commission stating refusal to allow compliance with the FP7 provisions and the reasons for this refusal. Authors who have already signed a publishing agreement that does not grant them the right to self-archive can request an authorisation to deposit their articles in an open repository via a letter signed by the publisher to be attached to the existing publishing agreement. Help and advice regarding the open access special clause can be obtained by consulting http://ec.europa.eu/research/science-society/open_access and by writing to rtd-openaccess@ec.europa.eu .

Kort oppsummering

Et forsøk på en kort oppsummering er at EU krever Open Access i mange prosjekter. I kontrakten kreves det at publikasjoner avgis til et arkiv (”deposit”) når publikasjonene blir publisert, og at forskeren gjør sitt beste for at disse publikasjonene også kan tilgjengeliggjøres i arkivet etter 6/12 måneder. EUs klargjøring av ”sitt beste” viser imidlertid at dette er et sterkt krav.

Forskeren skal

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