Many "Green" publishers do not allow the use of the published pdf file for depositing in OA Repositories. What they allow to be used instead is the "author's-version". This can go by many names, but it means the final version produced by the author, with all peer-review and other editorial changes in place in the text, but before layout and minor editing changes by publishers.

In other words, this is the final version as produced and approved by the author before it leaves the author's hands. The level of additional editing and subsequent changes introduced by the publisher varies widely. Some insist on camera-ready copy, in which case the author's final version is exactly the same as that which is published. Others introduce type-face changes, and modifications to layout, etc. Other publishers claim to carry out more substantial changes after it has left the author's hands, but this is rarely recognised or identified by the authors' themselves and by report, in many cases would be strongly resented.

Leaving aside the level and type of subsequent editing introduced by the publisher, the author's-version, therefore, shows the final version of the text as written and approved by the author. As such, this seems a perfectly acceptable version for dissemination and use. However, there can be problems.

Many authors do not retain an ‘e-copy’ of their final version. For their own future use and reference they use the copy published in the journal. An understandable practice that originates from the time of paper journal publication and reprints for authors’ own use. This practice means, however, that the author's-version is often unavailable, and leaves the author unable to deposit an eprint of their article.

It can prove very difficult to track down a version as written by the author. If the author does not have a copy, one possible source is the editor of the journal. A number of academic editors keep copies of the articles with which they are involved as part of their editorial processes. In searching for an author's-version, it can be worthwhile for an author to contact their editor to see if a copy has been retained.

Where no copy has been retained, it will be necessary under the EC Open Access Pilot requirements for the author to ask permission to use the publisher’s pdf.  The template permission letter provided by OpenAIRE includes a paragraph asking for this permission.

Obviously, it is easiest if authors retain an e-copy of their final text - and save it somewhere obvious and safe. They could even use their institutional repository for this, under the provision of an embargo on publication until the publisher’s permission has been obtained. Keeping one’s own copy is a simple step while the article is being produced and helps to encourage a greater realisation of the publishing process and the change of rights that often occurs as part of it.

Annex 1 - Special clauses (see clause 39)

Leaflet Open access pilot in FP7

Powerpoint presentation on open access pilot

Guide to Intellectual Property Rules for FP7 projects pg. 15 – 18, section 7.3

Guidance notes on Project Reporting, see especially pg 5, 25, 32

Model cover letter for amendment to publishing agreement:

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Model amendment to publishing agreement:

BG CS DA DE EL EN ES ET FI FR HU IT LT LV MT NL PL PT RO SK SL SV

General

When an article is accepted for publication in a journal, the publisher needs permission from the author to do so.

In most cases, authors grant permission by signing over copyright to the publisher. This gives the publisher the full rights in and control over the article. Consequently, if an author wishes to reuse the article at a later stage, e.g. to make the work available in Open Access, he/she will have to ask permission from the publisher to do so.

Alternatively, authors can grant the publisher a Licence to Publish. With this agreement, authors can retain copyright and the right to deposit the article in an Open Access repository, while providing the publisher with the necessary rights to publish the article.

In the context of the FP7 and ERC Open Access requirements, it is important to be aware of this distinction in dealing with intellectual property rights; it has significant impact on how easy it is for authors to fulfill the requirements.

What to do

 There are three different scenarios:

1. Your article has been accepted for publication by the journal, and the publisher asks you to sign a publishing or copyright transfer agreement (CTA). Some publishers offer a Licence to Publish. At this stage, you have a number of options to ensure that you can fulfill the EC requirements: to make your article or final, peer-reviewed manuscript available in open access within the specified timeframe (6-12 months depending on research area).
   
   

   Does the agreement ask you to sign over your copyright?

   yes	do not sign, but provide licence to publish
   	or
   	sign and provide an addendum ensuring you can fulfill the EC requirements
   no	check if the agreement, licence and/or the publisher's policy leaves you the rights to fulfill the EC requirements



2. You have already signed a publishing agreement/CTA signing over your copyright to the publisher for the publication of your article.
   
   

   Does the agreement leave you the rights to fulfill the EC requirements?

   yes	provide open access to your article or final, peer-reviewed manuscript through OpenAIRE
   no	ask cooperation of the publisher by signing an addendum to enable you to fulfill your obligation under the EC requirements
   I'm not sure	check the publisher's policy on open access and 'self-archiving' of your article/final peer-reviewed manuscript



3. You have published your article in an Open Access Journal. The EC requirements ask you to deposit your article in an institutional or subject-based repository. Some OA publishers already deposit the articles they publish in OA repositories as well, because it improves visibility.
   
   

   Does your publisher deposit your article in an OA repository?

   yes	you need not take further action
   no	deposit your article in your institutional or subject based OA repository. You may wish to check your publishing agreement or licence for your rights to fulfill the EC requirements, as described in scenario 2.

Publishers

Many publishers already have a policy that allows for a form of 'self-archiving' of articles or final peer-reviewed manuscripts. If you want to find out what your publisher's policy is, you can check the Sherpa/RoMEO database which provides details and explanations.

Still, your publisher may refuse to cooperate. What can you do?

1. As long as you have not signed over your copyright to the publisher yet, it is important to realize that

   - as the author you are under the obligation of your EC grant to fulfill the open access requirements
   and
   - as the author, you are the legal copyright holder and can decide what to do with your copyright.

   This gives you the opportunity to
   - request the publisher to reconsider his refusal given the EC Open Access policy
   or
   - submit your article to another (Open Access) journal, that enables you to fulfill your requirements.

2. If the publisher persists in his refusal to sign the Licence to Publish or Addendum to the Agreement/CTA, or refuses to give you permission after you have signed the Agreement/CTA, and you wish your article to be published in his journal, it is important that

   - you ask the publisher to confirm his refusal of permission in writing
   and
   - inform your EC project officer by providing the publisher's written refusal of permission.

Un premier usage du terme pré-publication sert à décrire la première version de l'article (le 'brouillon') – avant la validation par les pairs, avant même tout contact avec un éditeur. C'est un usage commun parmi les chercheurs, pour lesquels l'étape-clé est celle du processus de validation par les pairs.

Un autre usage du terme pré-publication est celui donné à l'article terminé, validé et modifié, prêt pour la publication – mais différent de la version mise en page ou formatée par l'éditeur. Cet usage est plus commun parmi les éditeurs, pour lesquels la dernière étape de modification d'un article est le formatage des contenus pour le mise en ligne ou la publication imprimée.

Au sein de la communauté de l'Open Access, on utilise généralement le terme pré-publication pour désigner la version de l'article avant la validation par les pairs, et le terme post-publication pour la version après validation, incluant les modifications éventuellement demandées par les pairs.
Ce qui signifie qu'en termes de contenus, les post-publications sont les articles tels qu'ils ont été publiés. En termes d'apparence cependant, ils peuvent différer des articles effectivement publiés, les éditeurs se réservant souvent des droits sur la mise en page et le formatage.
Certains éditeurs insistent pour que les auteurs utilisent le pdf éditeur – souvent parce qu'ils veulent que leurs contenus aient une apparence professionnelle à leurs couleurs. Cela dit, le statut de ce type de document en ce qui concerne le droit d'auteur varie selon les pays. Au Royaume-uni par exemple, un fichier formaté appartient à l'éditeur et ne peut pas être utilisé sans son consentement explicite. Dans d'autres pays, comme les Pays-Bas, la situation est différente : il est donc important de connaître la législation sur le droit d'auteur et sur le droit de propriété intellectuelle de son propre pays et de s'y conformer. Les bureaux nationaux du projet OpenAIRE pourront diriger les auteurs vers les informations qui s'appliquent dans leurs cas.

La base de données Sherpa / Romeo classe les éditeurs sous 4 couleurs, selon les restrictions qu'ils imposent dans leurs contrats d'édition en ce qui concerne le transfert des droits. Cette classification est largement répandue dans la communauté de l'Open Access.

Lorsqu'aucune permission explicite de déposer un article en texte intégral dans une archive n'est donnée, voire refusée, les mandats pour l'Open Access de la CE et de l'ERC obligent l'auteur à prendre contact avec l'éditeur. L'auteur doit alors informer l'éditeur des obligations liées à la publication de son article dans le cadre des projets pour l'Open Access de la CE et de l'ERC, et lui demander de faire une exception à sa politique habituelle, afin de permettre la compatibilité avec le mandat. Il est important d'avoir une trace écrite de cette autorisation : le projet OpenAIRE fournit un modèle de lettre à destination des éditeurs.

Il convient d'adresser son courrier directement à la personne en charge de la gestion des droits, plutôt qu'à une adresse électronique générique de l'éditeur. Il est important que la demande d'autorisation émane de l'auteur, cela fait partie de la relation de partenariat auteur / éditeur.

La majorité des éditeurs soutiennent le droit des auteurs universitaires à déposer leur travail en ligne. Les politiques des éditeurs en matière de droit d'auteur ne sont donc en général pas un obstacle à la compatibilité avec les conditions du projet pilote pour l'Open Access de la CE. Dans certains cas, la permission explicite n'est pas indiquée ni exclue des contrats d'édition standards. Dans ces cas, les recommandations du projet pilote pour l'Open Access demandent à ce que l'auteur contacte l'éditeur et négocie un accord.

Pour connaître les permissions normalement comprises dans les contrats des éditeurs, les auteurs peuvent consulter la base de données RoMEO, maintenue par SHERPA. Cette base détaille les droits donnés aux auteurs par la plupart des grands éditeurs de revues de recherche.

No longer available, referred to EC resources.

How to use the Ask OpenAIRE Service

Step 1 – How to submit a new Question

• You can submit a new Question to the system by filling in the required fields and choosing the subject of your query and your country
• Please enter your question in the box ‘Description’; if necessary you can enter additional notes and/or attach a file
• You will receive an email confirming the successful submission of your Question
• An email is also sent to the Helpdesk staff, notifying them of the submission of a new Question to the system
• Each new question receives a unique question number; you can use this number to view the status of the Question in the system

Step 2 – Acceptance of a new Question

• When a country is chosen, the national coordinator from that country will respond; otherwise, the Helpdesk coordinator will change the assignment of your Question according to location or subject
• The status of your Question is then changed from ‘NEW’ to ‘IN PROGRESS’
• You will receive an email confirming any updates made to your Question

Step 3 – Processing the Question

• While your Question is in progress, you can view the status in the system using your unique question number
• You will receive an email confirming any updates made to your Question
• If needed you can add notes or feedback to your Question
• You will receive an answer to your Question within two working days of entering it into the system

Step 4 – Closing the Question and providing an answer to your Question

• When the answer to your Question is ready, you will receive it via email
• The status of your Question is then changed from ‘IN PROGRESS’ to ‘CLOSED’
• If the helpdesk staff considers your Question to be of a generic nature and also of interest to others, it will be saved and stored in the Helpdesk’s knowledge base for future reference