On the road to open science: recent international developments in open access policies - Victoria Tsoukala (EKT - National Documentation Centre)

1. OOnn tthhee rrooaadd ttoo ooppeenn sscciieennccee::
rreecceenntt iinntteerrnnaattiioonnaall ddeevveellooppmmeennttss
iinn ooppeenn aacccceessss ppoolliicciieess
Accesso Abierto
5a Conferência luso-brasileira
06●10●
2014
Victoria Tsoukala, PhD| NATIONAL DOCUMENTATION CENTRE (ΕΚΤ)
University of Coimbra, 6 October 2014

2. 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
University of Coimbra, 6 October 2014

3. International policy trends: main actors
National government bodies
Public and private funders
Research performing institutions
Publishers
Scholarly societies
University of Coimbra, 6 October 2014

4. Recent important national and international open
University of Coimbra, 6 October 2014
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

5. Open access and the European Commission
University of Coimbra, 6 October 2014
• 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

6. Policy trends among funders
University of Coimbra, 6 October 2014
• 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

7. 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?
University of Coimbra, 6 October 2014
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

8. Policy trends among research performing institutions
• Increasing numbers adopt open access policies for publications
University of Coimbra, 6 October 2014
• ‘2nd generation policies’
oMandatory policies
oConnected to researcher evaluation
• Increasing numbers adopt polices for data management
oAdvances in UK, US, Australia

9. Institutional open access policy approaches
University of Coimbra, 6 October 2014
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

10. University of Coimbra, 6 October 2014
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

11. University of Coimbra, 6 October 2014
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

12. OA in Horizon 2020
University of Coimbra, 6 October 2014

13. 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
University of Coimbra, 6 October 2014

14. 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
University of Coimbra, 6 October 2014

15. University of Coimbra, 6 October 2014
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
oIdeally openness will permeate every aspect of research
• Significance of data-driven research
• In Europe, Horizon 2020 has catalyst effects on relevant
behavior and policies

16. Supporting aligned policy development across Europe:
University of Coimbra, 6 October 2014
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

17. 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
oInformation by October 15 (including accommodation) at
University of Coimbra, 6 October 2014
http://recodeproject.eu

18. University of Coimbra, 6 October 2014
Thank you!
tsoukala@ekt.gr
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