The Harvard Open-Access Publishing Equity (HOPE) fund provides funds for the reimbursement of reasonable article processing fees for articles authored or co-authored by Harvard researchers published in eligible open-access journals for which no alternative funding is available.
Members of the Harvard Community can apply for HOPE funds by completing a webform.
The HOPE fund is Harvard’s implementation of the Compact for Open-Access Publishing Equity.
See below for a list of Harvard affiliates who have received HOPE funds.
Frequently Asked Questions
Who is eligible to receive funds?
Funds are available for researchers at Harvard schools that have instituted an open-access policy. Faculty, researchers, staff, and students may request reimbursement for articles connected with their research activities at these schools.
What fees can the fund reimburse?
Reimbursable article-processing fees may include publication fees (charges levied on articles accepted for publication, including page charges), and submission fees (charges levied on articles submitted for publication). Eligible fees must be based on a publication’s standard fee schedule that is independent of the author’s institution.
The venue of publication must be an established open-access journal, that is, a journal that does not charge readers or their institutions for unfettered access to the peer-reviewed articles that it publishes.
Journals with a hybrid open-access model or delayed open-access model are not eligible. To be eligible, a journal must meet these additional requirements:
- Be listed in the Directory of Open Access Journals (unless the journal is too new for DOAJ eligibility),
- Be a member of the Open Access Scholarly Publishers Association or adhere to its Code of Conduct,
- Have publicly available a standard article fee schedule,
- Have a policy to substantially waive fees in case of economic hardship.
Currently, all three of the major open-access publishers (BioMed Central, Hindawi, and Public Library of Science) satisfy these conditions.
We trust requesters to make appropriate decisions about the quality of the publication venue and the value of its services in relation to the fees it charges. As we gain experience with administering the fund, we may institute further procedures for vetting venues.
What if the research in the article was grant-funded?
Articles for which alternative funding is available are not eligible for reimbursement. This includes articles reporting research funded by a gift or a grant from a granting agency, foundation, or other institution (including Harvard itself) that allows granted funds to be used for article processing fees (whether or not the particular grant had budgeted for such fees and whether or not sufficient grant funds remain), and articles funded by an institution that itself pays article processing fees on behalf of the author (such as Wellcome Trust).
What limits on reimbursement are there?
There is a nominal limit on the total reimbursement per article of $3,000, though there are no known eligible journals with fees that reach the cap. The average publication fee for fee-based open-access journals is approximately one-third of the cap.
There is no limit on the number of articles reimbursed, except that authors may receive reimbursement for up to a total of $3,000 per academic year for all article processing fees. Reimbursement can cover 100% of fees up to the cap. Unused amounts do not roll over to future years. Exceptions to the $3,000 cap may be made based on availability of funds.
We expect, based on the experience of similar funds, that the total outlay of funds in the near term will be minimal, and do not expect to have to limit disbursements further. However, should demand for funds exceed expectations, we may limit access to funds on a first-come-first-served basis. As we gain experience with the process, the method for calculating reimbursement and limitations thereon may be changed over time.
What if there are multiple authors on an article?
In the case of an article with multiple authors, each author is responsible for a prorated portion of any publishing fees. For example, for an article with three authors that is to appear in a journal with a $3,000 publication fee, each author is responsible for $1,000 of that fee. If two of the authors are eligible for reimbursement, they may enter an application for $2,000. If the journal were to have a $6,000 publication fee, the $3,000 per article cap will apply and the two eligible authors may only apply for $2,000.
How do I apply for funds?
Articles submitted for publication after Sept. 1, 2009 are eligible for this program. Requests for funding may be made before an article is accepted or immediately upon acceptance, by completing this form. You’ll also need to make sure that you have deposited a copy of the article in the DASH repository before the reimbursement can be made.
For Harvard employees, such as faculty members or paid researchers, the payment or reimbursement of open-access publication fees may reasonably be viewed as a “working condition fringe” (defined in Internal Revenue Code Section 132 as any property or service provided by an employer to an employee to the extent that, if the employee paid for the property or service, the payment would represent a deductible employee business expense). Since working condition fringe benefits are excludible from income, amounts reimbursed to employees from the HOPE Fund would not be includible in income on the employee’s Form W-2, and would not be subject to any reporting or withholding.
For non-employee students, the payment or reimbursement of the fees would not be deemed a “working condition fringe”, but rather, scholarship or fellowship payments, which are subject to tax under Code Section 117 unless used for qualified tuition and related expenses. Reimbursements thus may be taxable. For U.S. persons, there is no requirement for Harvard to withhold on, or report the amount of, such fellowship payments; any required reporting is done by the recipients on their individual returns. For non-U.S. persons, taxable amounts are subject to reporting on a Form 1042-S, and are subject to withholding, subject to any income tax treaties with the recipient’s country of residence, in the same manner as any other fellowship payment to such individuals provided by the University.
Is information about the fund’s use available?
Yes, information about fund reimbursements will be made publicly available by the OSC through this web site.
Who decides other aspects of the fund’s implementation?
Implementation of the fund and reimbursement process is handled by the Office for Scholarly Communication, operating under the advisement of the OSC Faculty Advisory Committee.
All aspects of the policy, including the parameters of the reimbursement calculation, will be reviewed each year and adjusted in light of the experience over the year.
Archetti, Marco, Andrew Richardson, John F. O’Keefe, and Nicolas Delpierre. 2013. Predicting climate change impacts on the amount and duration of autumn colors in a New England forest. PLoS ONE 8(3): e57373.
Baker, Christopher C. M., Sasha R. X. Dall, and Daniel J. Rankin. 2012. Kin selection and the evolution of social information use in animal conflict. PLoS ONE 7(2): e31664.
Berangere, Pinan-Lucarre, Christopher V. Gabel, Christopher P. Reina, S. Elizabeth Hulme, Segey S. Shevkoplyas, R. Daniel Slone, Jian Xue, et al. Forthcoming. The core apoptotic executioner proteins CED-3 and CED-4 promote initiation of neuronal regeneration in Caenorhabditis elegans. PLoS Biology.
Berghorst, Lisa Hinckley, Ryan Bogdan, Michael J. Frank, and Diego A. Pizzagalli. 2013. Acute stress selectively reduces reward sensitivity. Frontiers in Human Neuroscience 7:133.
Clark, Adam T., Jessica J. Rykken, and Brian Dorsey Farrell. 2011. The effects of biogeography on ant diversity and activity on the Boston Harbor Islands, Massachusetts, U.S.A. PLoS ONE 6(11): e28045.
Cooper, Natalie, Jason M. Kamilar, and Charles L. Nunn. Forthcoming. Host longevity and parasite species richness in mammals. PLoS ONE.
Corsi, Daniel J., Jocelyn E. Finlay, and S. V. Subramanian. 2011. Global burden of double malnutrition: Has anyone seen it? PLoS ONE 6(9): e25120.
Duéñez-Guzmán, Edgar, and Suzanne Sadedin. 2012.Evolving righteousness in a corrupt world. PLoS ONE 7(9): e44432.
Ewen-Campen, Benjamin Scott, Tamsin E. M. Jones, and Cassandra G. Extavour. Forthcoming. Evidence against a germ plasm in the milkweed bug Oncopeltus fasciatus, a hemimetabolous insect. Biology Open.
Ewen-Campen, Ben, Nathan Shaner, Kristen A. Panfilio, Yuichiro Suzuki, Siegfried Roth, Cassandra G. Extavour. 2011.The maternal and early embryonic transcriptome of the milkweed bug Oncopeltus fasciatus. BMC Genomics 12:61.
Hartshorne, Joshua K., and Adena Schachner. 2012. Tracking replicability as a method of post-publication open evaluation. Frontiers in Computational Neuroscience 6:8.
Lee, Sang Ah, Nathan Winkler-Rhoades, and Elizabeth S. Spelke. Forthcoming. Spontaneous reorientation is guided by perceived surface distance, not by image matching or comparison. PLoS ONE.
Lu, Peter J., Melanie M. Hoehl, James B. Macarthur, Peter A. Sims, Hongshen Ma, and Alexander H. Slocum. 2012. Robust and economical multi-sample, multi-wavelength UV/vis absorption and fluorescence detector for biological and chemical contamination. AIP Advances 2(3): 032110.
Maddin, Hillary Catherine, Farish A. Jenkins Jr., and Jason S. Anderson. Forthcoming. The braincase of Eocaecilia micropodia (Lissamphibia, Gymnophiona) and the origin of caecilians. PLoS ONE.
Nelson, Adam C., Kevin E. Colson, Steve Harmon, and Wayne K. Potts. Forthcoming. Rapid adaptation to mammalian sociality via sexually selected traits. BMC Evolutionary Biology.
Pennings, Pleuni S. Forthcoming. Standing genetic variation and the evolution of drug resistance in HIV. PLoS Computational Biology 8.
Pon-Barry, Heather Roberta, and Stuart M. Shieber. 2011. Recognizing uncertainty in speech. EURASIP Journal on Advances in Signal Processing 2011:251753.
Puzey, Joshua R., Amir Karger, Michael Axtell, Elena M. Kramer. 2012. Deep annotation of populus trichocarpa microRNAs from diverse tissue sets. PLoS One 7(3): e33034.
Reece, Matthew. Forthcoming. Vacuum instabilities with a wrong-sign Higgs-gluon-gluon amplitude. New Journal of Physics.
Shen-Orr, Shai S., Yitzhak Pilpel, and Craig P. Hunter. 2010. Composition and regulation of maternal and zygotic transcriptomes reflects species specific reproductive mode. BMC Genomics 11:R58.
Zeng, Victor, Benjamin Scott Ewen-Campen, Hadley W. Horch, Siegfried Roth, Taro Mito, and Cassandra G. Extavour. Forthcoming. Developmental gene discovery in a hemimetabolous insect: De novo assembly and annotation of a transcriptome for the cricket Gryllus bimaculatus. PLoS ONE.