Context
"OA initiatives started mainly as a reaction of scientific communities to the unsustainable and cost-increasing developments in the scientific publishing landscape. Over the last few decades, subscription costs have soared and profit-oriented publishing houses have played a dominant role in the publication and dissemination of scientific works. Their position is based on the fact that researchers appreciate their content, work for them as authors, reviewers and editors and often feel obliged to publish their works with them - all based on the current evaluation and reputation mechanisms - in order to maintain optimal career chances. As a consequence, most of the publicly funded research is locked behind a paywall.
All over the world, OA initiatives offer a chance of providing broad-based open access to research results, bringing research back to the scientists and to the public that funds it. They also represent an opportunity to point out flaws and consequences of the current evaluation and reputation mechanisms in science. Research funding organisations and academic institutions are supporting these initiatives by implementing the corresponding OA policies and by providing the necessary financial resources and infrastructure (e.g. repositories, OA Policies)".
Swiss National Strategy on Open Access, 31 January 2017 (PDF)
Definition
Although there are several definitions of Open Access, the definition of the Budapest Open Access Initiative, which remains the most widely-used to date, may be found here:
"The literature that should be freely accessible online is that which scholars give to the world without expectation of payment. Primarily, this category encompasses their peer-reviewed journal articles, but it also includes any unreviewed preprints that they might wish to put online for comment or to alert colleagues to important research findings. There are many degrees and kinds of wider and easier access to this literature. By "open access" to this literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited".
Source: Budapest Open Access Initiative
Other definitions relating to OA:
Why Open Access?
- The results of research financed wholly or partially by public funds – such as SNSF grants – are public property, which should be freely and immediately accessible by electronic means at no charge, so that they can be reused by third parties.
- Open Access publications considerably increase the transfer of knowledge and the visibility of research results, not only within the scientific community but also as regards the general public. Moreover, OA may help shorten the publication lag and can improve the learning and teaching processes as well as increasing the participation of citizens in the research process ("citizen science").
- OA also helps reinforce the democratisation of research by making access independent of income and funding opportunities. Furthermore, OA can dramatically boost access to information in developing countries.
- Open Access to research results improves research efficiency because it may reduce the duplication of research, thus reducing the funding required.
- Political decision-making benefits from Open Access because it can be based on the latest scientific knowledge.
- Open Innovation: access to cutting-edge research encourages scientific innovation.
- Knowledge networks can be developed through text- and data-mining.
- Despite a growing market for publication, Open Access can help reduce subscription costs in the long term, or at least keep them at a stable level.
- Smaller disciplines, in particular, will gain simpler and less costly market access.
Versions of Open Access
Essentially, there are two main ways of ensuring Open Access to publications resulting from research. They may be defined as follows:
- The "Gold Road": researchers publish directly in an Open Access scientific journal which offers open, free and immediate electronic access to all its articles. Publication costs, which are known as "Article Processing Charges" (APCs), are usually paid by the author, their institution or another funding partner.
- The "Green Road": researchers self-archive their scientific articles, contributions or books in an institutional or discipline-specific repository, usually after an embargo period.
Please note that the "hybrid" approach is an alternative form of OA where researchers publish in a subscription journal but pay an additional APC to release their publication for Open Access. Access to the scientific results is thus paid for twice (known as "double dipping"). For this reason, the SNSF does not cover this type of cost.
Policy and rules of the SNSF relating to Open Access
The Open Access commitment (principle)
SNSF grantees are in principle required to publish the results of their research in Open Access publications. If the SNSF grant is specifically awarded for publication, the articles must be published in a Gold Open Access journal. Otherwise, the articles may be published following the Green Road, no later than six months after publication by a publisher. Books must be published following the Green Road, regardless of whether their publication is financially supported by the SNSF, no later than 24 months after publication by a publisher.
Please note that the Open Access commitment does not affect freedom of publication: authors are in principle free to decide where they wish to publish their research results.
Articles in scientific journals
The Gold Road Open Access approach refers to publishing a scientific article resulting from a SNSF grant in an OA journal. The "Directory of Open Access Journals", DOAJ, gives an overview of quality, peer-reviewed OA journals.
The SNSF supports researchers in making their articles freely available via the Gold Road. The publication costs (APCs) are therefore part of the costs that may be charged to the SNSF grant and may be claimed from it up to a limit of CHF 3,000 per OA publication.
The Green Road approach refers to self-archiving a scientific article resulting from a SNSF grant in an institutional or discipline-specific repository no later than six months after its publication by a publisher.
Please note that the SNSF does not support the "hybrid" publication model because researchers who publish in a subscription journal have to pay an additional APC to release their publication for Open Access. This type of publication cost is not covered by the SNSF because access to the scientific results is paid for twice ("double dipping"). It is nevertheless possible to fulfil the SNSF's Open Access commitment by adopting this approach.
The OA commitment of the SNSF does not limit the grantees' freedom to choose a journal for the publication of their scientific article. If open access publication in accordance with these regulations is not possible for legal reasons, grantees are obliged, if asked, to inform the SNSF and provide it with the relevant documents.
Publication of books
Book publications resulting from SNSF-grants whose production is not directly co-financed by the SNSF must be freely accessible in an institutional or discipline-specific repository no later than 24 months after initial publication by the publisher (Green Road). If open access publication in accordance with these regulations is not possible for legal reasons, grantees are obliged, if asked, to inform the SNSF and provide it with the relevant documents.
Book publications whose production is directly co-financed by the SNSF must also be freely accessible in an institutional or discipline-specific repository no later than 24 months after initial publication by the publisher (Green Road). In this context, the SNSF makes a distinction between two types of funding for the publication of books:
- Eligible costs relating to digital books resulting from a SNSF grant; these costs must be claimed in the application under eligible costs;
- Financing the publication of digital books relating to research results that were not generated within the scope of a SNSF grant (independent publication grants); applications for these grants must be submitted to the SNSF separately.
Please note that if the Open Access publication of a book whose production is directly co-financed by the SNSF would be disproportionately expensive (for example image rights in art studies), the SNSF may waive the Open Access requirement upon request.
Reporting on eligible costs relating to Open Access
In the case of scientific articles and digital books whose publication costs are associated with a grant awarded by the SNSF, the costs must be stated in the financial report.
SNSF Open Access monitoring
Grantees must show that they have satisfied the SNSF Open Access principles within the framework of the provisions and criteria specified for drawing up reports (scientific reports).
Researchers are obligated to specify via mySNF their publications relating to the SNSF grant and to indicate whether they are openly accessible. SNSF uses this information to check how far the OA requirements have been met.
Directory of Open Access Journals (DOAJ)
Regulations and guidelines
Open Access requirements of the SNSF in the General implementation regulations for the Funding Regulations (sections 11.9-11.14 and Annex 2)
General implementation regulations for the Funding Regulations (PDF)
Summary table:
Open Access (OA) rules of the SNSF – guidelines for researchers (PDF)
National initiatives
National strategy
By 2024, publications financed in Switzerland using public funds will have to be accessible to everyone free of charge. On 31 January 2017, the plenary assembly of swissuniversities adopted a national Open Access strategy, which was subsequently ratified by the Swiss Conference of HEI. This is to be implemented by summer 2017 in the form of an action plan.
Swiss National Strategy on Open Access (PDF)
Report on financial flows in Swiss scientific publishing
Funded jointly by the SNSF and the swissuniversities CUS P-2 programme, a study conducted by CEPA (Cambridge Economic Policy Associates Ltd) examined various scenarios for transitioning Switzerland's scientific publication system to an Open Access system.
Open Access Monitoring Report
The SNSF carried out a self-evaluation of his Open Access activities in the period from October 2013 to August 2015. In addition, it verified the researchers compliance with the SNSF guidelines.
Open Access Monitoring Report October 2013 – August 2015 (PDF)
International initiatives
The SNSF actively participates in the international debate on Open Access and has initialled the following reference texts:
Amsterdam Call for Action on Open Science
The Call for Action was the result of the conference "Open Science - From Vision to Action", which took place in Amsterdam on 4/5 April 2016, on the occasion of the EU presidency of the Netherlands.
Amsterdam call for Action on Open Science
Science Europe Principles on Open Access to Research Publications
Science Europe Principles on Open Access to Research Publications
The 51 member organisations of the umbrella organisation Science Europe are making a concerted effort to ensure that the results of research and innovation funded by public money in Europe are made freely and digitally accessible. They have defined a list with ten principles, which are to lend coherency and consistency to their OA efforts. Through its active participation in Science Europe, the SNSF has contributed to the position paper and committed itself to the principles mentioned therein.
Science Europe Principles on Open Access to Research Publications (PDF)
OA2020 initiative
The Swiss National Science Foundation has signed the international OA2020 initiative on the large-scale implementation of Open Access to scholarly journals. Over 30 research funding organisations already support the Expression of Interest in the OA2020 initiative. Together they aim to transform the system of scientific publication and they pursue the large-scale implementation of free online access to, and unrestricted use and re-use of, scholarly research articles.
OA2020 initiative
Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities
Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities
This document provides one of the first definitions of Open Access. Although it was primarily addressed to the humanities and social sciences, the Berlin Declaration soon became generally applicable to the academic community as a whole. It has now become a vital contribution to the Open Access movement.
Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities
Budapest Open Access Initiative
This document, which was drafted by the pioneers of the Open Access movement, is the most influential and is used as the benchmark for defining Open Access.
Budapest Open Access Initiative
Useful links
Directory of Open Access Journal (DOAJ)
The DOAJ is a community-curated online directory that indexes and provides access to high-quality, peer-reviewed, Open Access journals.
Directory of Open Access Journal (DOAJ)
Directory of Open Access Books (DOAB)
The DOAB is an online directory created by the OAPEN Foundation, which indexes and provides access to high-quality, peer-reviewed, Open Access books.
Directory of Open Access Journal (DOAB)
Directory of Open Access Repositories (OpenDOAR)
OpenDOAR is a registry of academic Open Access repositories. Each OpenDOAR repository has been manually checked,resulting in a quality-controlled list of repositories.
Directory of Open Access Repositories (OpenDOAR)
Sherpa RoMEO colour code
The colour code adopted by Sherpa RoMEO is a tool that has been developed in order to classify the different Open Access archiving models.
Sherpa-RoMEO colours
OpenAire
The aim of OpenAire is to support the implementation of Open Access in Europe. It provides the means to promote and carry out the widespread adoption of the Open Access Policy, as defined in the directives/initiatives of the European Commission.
OpenAire
Quality Open Access Market (QOAM)
OA journals vary considerably in terms of both quality and costs. However, it is not always clear whether a journal is publishing high-quality work at a reasonable price and whether the editor is reliable. QUOAM provides an overview of these points in relation to OA journals (Gold and "hybrid").
Quality Open Access Market (QOAM)
Pilot project OAPEN-CH
The SNSF pilot project OAPEN-CH shares lessons learned from the publication process of Open Access monographs, and collects data on the use, sale and costs of book publications in both printed and digital form.
OAPEN-CH
Unpaywall
This add-on, available for Chrome and Firefox, checks for each visited publication (frontdoor or abstract) whether an OA version of this publication is freely accessible elsewhere (on a repository).
Unpaywall
FAQ
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The SNSF only covers costs relating to publications in a Gold Open Access journal. When submitting an application, researchers may request up to CHF 3,000 per publication in a peer-reviewed OA journal of recognised scientific quality (DOAJ, see link below). This sum must be utilised during the project.
For ongoing grants, it is possible to claim costs relating to publications in a Gold OA journal within the allotted budget. Up to CHF 3,000 can be used per article to cover the article processing charges (APC).
In the case of a continuation project or an "excellence grant", it is possible to claim costs relating to publications in an OA journal for work resulting from the preceding project.
Directory of Open Access Journal (DOAJ)
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The SNSF allocates grants for the cost of publishing books, either via the expenses claimed in the context of a research grants supported by the SNSF, or via the funding instrument publication grants (see link below). The different types of digital book publications supported by the SNSF are listed in point 2.3 para. 5 of Annex 2 of the General implementation regulations for the Funding Regulations of the SNSF (see link below). The SNSF awards grants for digital book publications in accordance with the following scales:
a) A grant of up to CHF 12,000 for a basic digital book publication;
b) A grant of up to CHF 22,000 for an enriched digital book publication;
c) A lump sum of CHF 8,000 for doctoral theses or post-doctoral habilitations.
The maximum amounts quoted in points a) and b) above may be increased if the digital book has to meet higher production requirements, particularly in the case of editions and more expensive image rights. The lump sum quoted in point c) above may be increased if the publisher's calculation is submitted to the SNSF and the additional costs incurred are duly stated. In all cases, the work must appear in digital form and made available as an Open Access publication no later than 24 months after initial publication.
Generally speaking, all the information relating to the publication of digital books is included in Annex 2 of the General implementation regulations for the Funding Regulations of the SNSF (see link below).
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The SNSF does not cover the following costs:
- Any costs associated with self-archiving publications in an institutional or discipline-specific repository (Green Road).
- Article processing charges for providing Open Access to an article initially published in a paid-for subscription journal ("hybrid" approach).
- Publication expenses for articles that do not result from a SNSF grant.
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The "hybrid" Open Access approach is a model where researchers publish in a subscription journal but pay an additional APC to release their publication for Open Access. The SNSF does not cover this type of publication cost because access to the scientific results is paid for twice ("double dipping"). It is nevertheless possible to fulfil the SNSF's Open Access commitment by adopting this approach.
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An article processing charge (APC) is a type of publication cost which applies to authors wishing to publish their work in Open Access, either in an OA journal or in a "hybrid" journal. APCs may be paid by the author, institution or any other funding partner. However, paying an APC does not mean that the authors retain the copyright to their work or that the latter has been made available under a Creative Commons licence.
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Many publishers agree to the self-archiving of publications (about 90%). The embargo periods differ from publisher to publisher. They may vary from the complete absence of an embargo period to a five-year embargo (in rare cases). An overview of publishers' practices may be found on the SHERPA/RoMEO website.
Since the SNSF embargo period is 6 months for articles and 24 months for books, we advise researchers to contact the publishers with regard to meeting the SNSF Open Access criteria. If open access publication in accordance with these regulations is not possible for legal reasons, grantees are obliged, if asked, to inform the SNSF and provide it with the relevant documents.
It should be noted that making a publication available on platforms such as ResearchGate or Academia does not meet the SNSF Open Access criteria because the compulsory registration required inhibits Open Access and introduces an economic model based on the sale of users' data, which the SNSF does not support. It should also be stressed that making a publication accessible on the author's own website does not meet the SNSF Open Access criteria because long-term access is not guaranteed
Sherpa/RoMEO
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Many publishers agree to the self-archiving of publications (about 90%). The embargo periods differ from publisher to publisher. They may vary from the complete absence of an embargo period to a five-year embargo (in rare cases). An overview of publishers' practices may be found on the SHERPA/RoMEO website.
Since the SNSF embargo period is 6 months for articles and 24 months for books, we advise researchers to contact the publishers with regard to meeting the SNSF Open Access criteria. If open access publication in accordance with these regulations is not possible for legal reasons, grantees are obliged, if asked, to inform the SNSF and provide it with the relevant documents.
It should be noted that making a publication available on platforms such as ResearchGate or Academia does not meet the SNSF Open Access criteria because the compulsory registration required inhibits Open Access and introduces an economic model based on the sale of users' data, which the SNSF does not support. It should also be stressed that making a publication accessible on the author's own website does not meet the SNSF Open Access criteria because long-term access is not guaranteed
Sherpa/RoMEO
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Researchers are free to make their own choices in respect of their scientific publications. However, the SNSF expects these publications to be self-archived in an institutional or discipline-specific repository, usually after an embargo period. If open access publication in accordance with these regulations is not possible for legal reasons, grantees are obliged, if asked, to inform the SNSF and provide it with the relevant documents.
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Articles deposited in institutional or discipline-specific repositories must be in a post-print format or match the version published by the publisher. A pre-print format is possible only if the article concerned has been peer-reviewed.
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If a copyright convention has been concluded with a publisher, its terms should be complied with. However, the SNSF expects these publications to be self-archived in an institutional or discipline-specific repository, usually after an embargo period. If open access publication in accordance with these regulations is not possible for legal reasons, grantees are obliged, if asked, to inform the SNSF and provide it with the relevant documents. In the absence of a copyright convention, the scientific works may be placed on a server three months after they have appeared in print (art. 382, para. 3 of the Swiss Code of Obligations). An overview of publishers' practices may be found on the SHERPA/RoMEO website.
Payment of APCs for making an article which has been published in a paid-for journal available in Open Access ("hybrid" approach) satisfies the SNSF's Open Access requirements. The SNSF does not, however, meet this type of cost because of the problem of "double dipping".
Sherpa/RoMEO
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Researchers may consult the "Directory of Open Access Journals" website, DOAJ, which is a community-curated online directory that indexes and provides access to high-quality, Open Access, peer-reviewed journals.
Directory of Open Access Journal (DOAJ)
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Researchers may consult the "Directory of Open Access Repositories" website, OpenDOAR, which is a registry of academic Open Access repositories. Each OpenDOAR repository has been manually checked, resulting in a quality-controlled list of repositories.
Directory of Open Access Repositories (OpenDOAR)
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Making a publication available on platforms such as ResearchGate or Academia does not meet the SNSF Open Access criteria because the compulsory registration required inhibits Open Access and introduces an economic model based on the sale of users' data, which the SNSF does not support. It should also be stressed that making a publication accessible on the author's own website does not meet the SNSF Open Access criteria because long-term access is not guaranteed.
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Self-archiving is usually free of charge. Any costs associated with self-archiving publications in an institutional or discipline-specific repository (Green Road) are not, however, funded by the SNSF.
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Researchers must specify in their output data whether the publication relating to the SNSF grant is accessible through Open Access, and provide the relevant links. This information will then appear on the SNSF database P3.
SNSF database P3
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According to the new General implementation regulations for the Funding Regulations (in force since 1 January 2016), the SNSF's rules apply to all recipients of SNSF grants, irrespective of whether the research and/or publication is financed in full or in part by the SNSF.
Furthermore, they apply to all publications, whether in the form of articles or books. Researchers must comply with the SNSF's requirements aimed at making the results of their research accessible to the public, particularly the requirements relating to Open Access.
For SNSF grants awarded before the new General implementation regulations for the Funding Regulations (dated 1 January 2016) came into force, a Green Open Access publication is required, even if this follows Closed Access publication. Moreover, for these grants, no supplementary funding may be requested for the purpose of Gold Open Access publication.
General implementation regulations for the Funding Regulations (PDF)
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In accordance with the freedom to publish, authors are free to decide where they wish to publish the results of their research. Above and beyond the mandatory legal provisions – i.e., for the publishing contract, the Code of Obligations (CO) and the Federal Copyright Act (CopA, currently being revised) – copyright is defined by the terms of the contract (copyright transfer agreement, licence to publish) that the author has concluded with the publisher and/or any general conditions to which the author has agreed. Copyright has two components. First, copyright in the strict sense (art. 9 para. 1 CopA) refers to the author's right to their work and to recognition of the authorship of a work: this relates to the transfer of copyright. Second, the right of use (art. 9 para. 2 CopA) gives the author the exclusive right to decide whether, when, how and under what author's designation their own work is published: this relates to licensing.
SNSF grantees are obliged to make the results of any research supported by the SNSF available to the public in an appropriate manner, and in particular to comply with the SNSF's rules on Open Access, which means making the scientific publications accessible to the public (art. 47 of the Funding Regulations and section 11.9 et seq. of the General implementation regulations for the Funding Regulations).
General implementation regulations for the Funding Regulations (PDF)
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