on the road to open science: recent international developments in open access policies

University of Coimbra, 6 October 2014

On the road to open science: On the road to open science: recent international developments recent international developments in open access policies in open access policies

Accesso Abierto

5a Conferência luso-brasileira

Victoria Tsoukala, PhD| NATIONAL DOCUMENTATION CENTRE (ΕΚΤ)

06●10● 2014


Increased interest in policy development

• Benefits of open access increasingly understood by policymakers. A long process

• Enabler of innovation, development, citizen-science, transparency in research and research ethics

• Enabler of open science=one component in a bigger system

• In the spirit of and aligned to other current policy trends , openness to government information (PSI), Open education, open cultural information, etc.

• Public money and access to citizens


International policy trends: main actors

National government bodiesPublic and private fundersResearch performing institutions PublishersScholarly societies


Recent important national and international open access policy milestones

• 2014: Portuguese funding agency (FCT) policy (funder)

• 2013: G8 statement on open access (international; statement)

• 2013: White House Executive Directive (national)

• 2013: Italian law (open access to publicly funded research and culture; Ministry of Culture) (national)

• 2012: Irish national principles on open access (EU)

• 2011: Spanish Research and Technology Law (national)

• .........

• 2004 OECD principles for open access to research data from public funding


Open access and the European Commission

• 2012: European Recommendation on ERA (EU)

o Open circulation of knowledge one of five pillars of the European Research Area

• 2012: European Commission Recommendation on open access to, dissemination of and preservation of scientific information (EU)

o MS should develop national strategies ensuring public access to publicly funded research, ensuring all public funders and research institutions have policies and infrastructures

• MS to monitor progress and report to the EC

o The National Points of Reference

• Horizon 2020 rules: leading by example


Policy trends among funders

• Increase of mandates (=obligatory policies)

o In general they require deposit and open access in repositories

o UK only country out of tune!

• Attention to monitoring and connection of compliance to evaluation

• Increasing, responsibility falls on institution and not on individual researcher (government policies)

• Requirements for minimum standards and technical compliance that will allow publications and data to be found and re-used

• Turn to policies for data management planning and open access to research data

o significance of data management plans

o significance of expert data centers and repositories

o significance of long term preservation

• Discussions on funding models and sustainable models


Overview of funder policies

• In Europe many national funders have open access policies (mostly in the NW of Europe!) (Portugal, Ireland, Belgium, Denmark, Norway, Germany etc etc)

• They mostly concern publications

• Now, 2nd generation policies and increasing focus on policies for open access to research data

• The strongest, most ‘policed’, and likely most effective, are the ones in the UK. Why?

o Because of the REF!

• More and systematic work necessary to

o Mandatory policies

o monitor effectiveness of policies

o develop data policies

o Focus on long-term preservation


Policy trends among research performing institutions

• Increasing numbers adopt open access policies for publications

• ‘2nd generation policies’

oMandatory policies

oConnected to researcher evaluation

• Increasing numbers adopt polices for data management

oAdvances in UK, US, Australia


Institutional open access policy approaches

U Liege & U Minho

• Obligatory deposit in repository with publication

• Your (author’s) final copy ok

• Immediate open access if possible

• Respect publisher embargo

• Immediate open metadata

• Usually a top-down process, which in the end involves the researcher

The Americans…..Harvard etc

• Non-exclusive license to the University to manage your work and deposit in open access in not-for profit mode

• University deposits it in repository

• More bottom up involvement in policy, with little effort by the researcher afterwards


Scholarly Societies

• Diverse landscape

• Could be more involved in defining standards and policies that promote openness among their constituency

• Very often they are themselves publishers

• In some cases societies do define policies and ethics criteria that include open access to scientific results


The publishers

• Not very friendly to self-archiving and green open access policies, but………

• Making as much money as possible for author-processing charges, now embedded in the research funds

• Large numbers of open access publishing ventures by large and small publishers, for profit and not for profit

• Major role in connecting research publications with research data

• Some publishers develop mandatory polices for open access to research data accompanying publications


OA in Horizon 2020


Open Access in Horizon 2020

• Obligatory open access through repositories to all peer-reviewed publications of all funded projects

• Pilot Action for open access to research data in seven areas for 2014-2015 (new action)o (Future and Emerging Technologies΄Research infrastructures – part e-

Infrastructures; Leadership in enabling and industrial technologies – Information and Communication Technologies; Societal Challenge: 'Secure, Clean and Efficient Energy' – part Smart cities and communities; Societal Challenge: 'Climate Action, Environment, Resource Efficiency and Raw materials' – except raw materials; Societal Challenge: 'Europe in a changing world – inclusive, innovative and reflective Societies‘; Science with and for Society)

o Participation from other areas possible on a voluntary basis

o ERC does not participate at the moment

o Possible to refrain for specific reasons


Open access requirement in Horizon 2020

• It is a requirement to deposit in open access not to publishing in open access

ono interference with academic freedom to publish

• It is mandatory

• It will be monitored

• You are required to report on compliance

• It might be policed (EC reserves right to refrain from full payment)

• All tools to implement requirement are in place

• It introduces the data management plan as an integral part of research


Overall

• Increasing involvement in securing open dissemination and long-term preservation of results, a changing role for funders, increased responsibilities

• 2nd generation open access policies (funders and universities)

• Much work still necessary on researcher culture, great variability between fields, work with young researchers

o Ideally openness will permeate every aspect of research

• Significance of data-driven research

• In Europe, Horizon 2020 has catalyst effects on relevant behavior and policies


Supporting aligned policy development across Europe: PASTEUR4OA

• Sibling-project to FOSTER

• Supports national, funder and institutional processes

o Coordinated support to member states

oPotentiating national centres of expertise

• Develops network of expert centres across Europe to continue this work

• Builds on work of MedOANet


RECODE: supporting open access policies for research data in Europe

• Studied four major challenges in open access research data: stakeholder motivations; legal and ethical; infrastructural; institutional

• Issues recommendations for key stakeholders (Jan 2015)

• Project lead: Trilateral Research & Consulting, UK

• Save the date: Final project conference on research data

oAthens 15 and 16 January 2015

o Information by October 15 (including accommodation) at http://recodeproject.eu


Thank [email protected]

http://pasteur4oa.eu

http://recodeproject.eu

http://medoanet.eu

www.ekt.gr or http://web.ekt.gr/en

www.openaccess.gr

http://openarchives.gr

http://epublishing.ekt.gr