All outputs of research funded under the European Commission’s Horizon 2020 and the European Research Council will be made open access. As more UK researchers collaborate in EU-funded projects, it’s crucial that they stay informed. This session aimed to demonstrate Jisc’s leadership in the area of EU open access developments and help delegates ensure compliance with EU policies.

2. Open Access: Changes in the global
research market
Neil Jacobs, Mafalda Picarra

3. Overview of the session
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 3
1. Context: Global OA developments, focusing on the EU
2. Complicated international policy environment:
Why it matters, and what we’re doing about it
3. Complicated and inconsistent financial arrangements:
Why it matters, and what we’re doing about it
4. Sustaining infrastructure:
Why it matters, and what we’re doing about it
5. Skills: Why it matters, and what we’re doing about it

4. Context: global OA developments
» Open Access initiatives:
Budapest, Bethesda and
Berlin
» Open Access: from
declarations to policies
» Open Access: the global policy
landscape
Open Access: Changes in the global research market
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 4
Region Policies
Europe 378
North America 145
Asia 40
Oceania 39
Central & South America 34
Africa 16
Total 652

5. » ERA plays a key role in the Europe 2020 Strategy and the
Innovation Union policy
» Open Access to publications and data are central to ERA
» Digital ERA needed to maintain Europe as hub of excellence
» Free access to knowledge and services saves public money and
facilitates innovation
» Proposed actions for Member States, Stakeholders andCommission:
› Promote Open Access
› Foster Knowledge transfer
Context: the European Research Area (ERA)
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 5

6. » Petition, studies, reports, surveys and workshops on access and
preservation of scientific information (2006-2013)
» Open Access Pilot in FP7 (2008)
» Communication:A Reinforced European Research Area
Partnership for Excellence and Growth (2012)
» Communication:Towards Better Access to Scientific Information
(2012)
» Recommendation: Access and Preservation of Scientific
Information (2012)
Context: European Open Access policy in the making
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 6

7. Context: the Commission’s communications
and recommendation
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 7
» Optimise circulation, access to and transfer of scientific knowledge
» Uptake of OA policy to scientific publications and research data in
Horizon 2020
» Member states to define and implement OA polices
» Member states OA policies to be consistent with that of H2020
» Structured coordination of Member states – via National Points of
Reference – to take place at the European level

8. » Broader access to scientific publications and data help to:
› build on previous research results (= improved quality of results)
› foster collaboration and avoid duplication of effort (= greater efficiency)
› accelerate innovation (faster to market = faster growth)
› involve citizens and society (= improved transparency of the scientific
process)
Context: Open Access mandate in Horizon 2020
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 8

9. » Mandatory for peer-reviewed scientific publications
» ‘Green’ OA mandate (self-archiving)
› Publish in subscription-based journals
› Deposit author’s copy in OA repository
› Ensure OA to publication within 6 months (12 months for SSH)
» ‘Gold’ OA (open access publishing)
› Permits payments from grants for OA journal publication
» Pilot on Open Research Data
Context: Open Access mandate in Horizon 2020
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 9

10. Policy environment: strategies for development
and alignment of OA policies in Europe
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 10
» Challenges:
› Low levels of expertise and awareness of OA within some countries
› Different levels of progress towards OA policy implementation
› Lack of alignment/consistency of OA policies
› Lack of a pan-European coordinated approach to achieve OA

11. Policy environment: strategies for development
and alignment of OA policies in Europe
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 11
» PASTEUR4OA seeks to:
› Advance understanding and awareness about OA
› Stimulate OA policy development at national level aligned to the EC
Recommendation and the Horizon 2020 OA mandate
› Establish a coordinated network of expert organisations that advance
an aligned policy environment in Europe

12. » PASTEUR4OA assessment of OA policies demonstrates that:
› Funders and institutions OA policies do not always achieve the
expected results and the levels of deposits are still low
› Policies are inefficient because:
– there are loopholes in the wording
– there are no systems in place to support policy development
– policies are not monitored and evaluated
› OA policies are more effective if:
– deposit is mandatory
– deposit cannot be waived
– deposit is linked with research evaluation
Policy environment: OA policies effectiveness
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 12

13. » Funders and institutions OA policies are often expressed in
different ways
» Authors find challenges when having to comply with one or
multiple OA policies
» A schema that requests funders and institutions to express their OA
policies in a consistent and structured way can:
› Enableauthorstoaccessinformation thatisdocumentedinasystematicway
› Provide authors with clear guidance on distinct policies
› Ensurethatcompliance withOA policies ismonitored inasystematicway
› Promote policy alignment and harmonisation across
Member states
Policy environment: a schema for OA policies
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 13

14. » Informing UK universities and researchers about the Horizon 2020
OA mandate and compliance requirements > > OpenAIRE 2020
» Keeping up to date on better coordinated approaches to OA policy
compliance and alignment across Europe
» Learning about effectiveness and global growth of OA policies
which can help inform UK universities’ policies
» Supporting the uptake of the OA schema that will make it easier
for funders and institutions to express their policies and for UK
researchers to comply with those policies
Policy environment: what we are working towards
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 14

15. Find out more…
Contact…
Mafalda Picarra
PASTEUR4OA Project Officer
OpenAIRE NOAD
mafalda.picarra@jisc.ac.uk
www.jisc.ac.uk

16. » What’s happening?
› Researchers, departments and universities across Europe have
fragmented financial arrangements for paying APCs
» Why it matters
› Universities cannot keep track of APCs, and so risk losing out
– eg paying more than they need to when offset schemes are in place
› Universities cannot report to research funders on what has been spent
on APCs
› Universities risk not adopting efficient processes
Complicated and inconsistent financial arrangements
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 16

17. » What we’re doing about it
› With our Knowledge Exchange partners, surveying universities
to find out the facts
Complicated and inconsistent financial arrangements
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 17

18. » What’s happening?
› Many international OA services are run on a best efforts basis, or on
project money, in a completely unsustainable way
» Why it matters
› Key services might fail, leaving universities without important
information or services
› Key services might not respond quickly enough in a rapidly changing
environment
Sustaining infrastructure
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 18

19. Sustaining infrastructure
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 19
» What we’re doing about it?
› With our Knowledge Exchange partners we have conducted an audit
of services, outlined some sustainability models, developed a self
assessment checklist, started to engage funders
› Now we are mapping services to policies to show dependencies, to
raise interest among those issuing OA policies – funders and universities

20. » What’s happening?
› As technology and policies change rapidly, there are new
opportunities and obligations for researchers and universities. Not all
of them have the skills to cope
» Why it matters
› Universities and researchers in the UK and EU risk being left behind by
those in other parts of the world
› The potential of new technologies will not be fully exploited to
produce excellent research
Skills
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 20

21. » What we’re doing about it?
› Through the Digital Curation Centre, we are a partner in the FOSTER
European project.
› Funding, support and materials for training in open science, includingOA
Skills
09/03/2015 Jisc Digital Festival, 9-10 March 2015, ICC Birmingham 21

22. Find out more…
Contact…
Except where otherwise noted, this
work is licensed under CC-BY-NC-ND
Neil Jacobs
Head of scholarly communications
support
neil.jacobs@jisc.ac.uk
www.jisc.ac.uk