Open Access in the ERA and FP7

Jean-François DechampEuropean Commission

Directorate-General for Research & Innovation

Open Access to Scientific Information in the EU and the Czech RepublicTechnology Centre AS CRPrague, 12 October 2011

Open Access in the European Research Area& the EU Programmes for Research and Innovation

Outline

• The European Commission and access to scientific knowledge

• Open Access in EU research funding

• Open Access in the Member States

• What next on the policy agenda?

The European Commission is a...

• Policy maker– Launches / accompanies policy

debates– Invites Member States (MS) to take

action– Proposes EU legislation

• Funding agency– Research & Innovation– Sets access and dissemination rules

for funded research

• Infrastructure and capacity builder– Funds infrastructures– Supports networking activities

Two Commissioners

• Vice-President Neelie Kroes

• Digital AgendaDigital single market

• Commissioner Máire Geoghegan-Quinn

• Research & InnovationEuropean Research Area (ERA) & Innovation Union

Digital Agenda

• Communication from the Commission ‘A Digital Agenda for Europe’

• Speed up the roll-out of high-speed internet and reach the benefits of a digital single market

• Driving ICT innovation by exploiting the single market:– “[…] publicly funded research

should be widely disseminated through open access publication of scientific data and papers”;

– “[…] the Commission will appropriately extend current open access publication requirements […]”.

Innovation Union

• Communication from the Commission ‘Innovation Union’

• Improve conditions & access for research and innovation

• Delivering the ERA:– “[...] The Commission will

propose a European Research Area framework [and] seek to ensure […] dissemination, transfer and use of research results, including through open access to publications and data from publicly funded research”

• Promoting openness:– “The Commission will promote

open access to the results of publicly funded research. It will aim to make open access to publications the general principle for projects funded by the EU research Framework Programmes […]”.

European Research Area

• A Europe-wide space or ‘single market’ for research and innovation– Free movement of knowledge– Clear principles or rules regarding:

• The management of intellectual property resulting from publicly funded research

• Access to, and dissemination & preservation of publications and research data resulting from publicly funded research

Why does the EC care? (1/2)

• Serving science and research– Avoid duplication of research– Give equal access for all researchers and institutions– Increase us & re-use of information– Speed up progress by improved access & dissemination

• Benefitting innovation– Enabling knowledge transfer to industry, including SMEs

• Improving return on investment in R&D– Free access to results funded by tax payers’ money– Societal impact of R&D & Access for NGOs and citizens

Why does the EC care? (2/2)

• Legal basis: European Community Treaty (‘Lisbon Treaty’)

• “The question is no longer ‘if’ we should have open access. The question is about ‘how’ we should develop it further and promote it.” (N. Kroes, 02.12.2010)

http://europa.eu/rapid/pressReleasesAction.do?reference=SPEECH/10/716

Outline





What does the EC do concretely as a funding body?

1. Reimbursement ofopen access publishing

costs• Open access publishing costs are covered in

FP7– New since the beginning of FP7 & for all projects– Publication costs (including author pays / gold open

access fees) are eligible for reimbursement– Limited to duration of project

• Seven areas (20% of FP7 budget)– Energy, Environment,

Health, Information & Communication Technologies [only a part], Research Infrastructures [only a part], Science in Society, Socioeconomic Sciences & Humanities

• Embargo (6/12 months)– allows scientific publishers

to ensure a profit on their investment (by e.g. charging for journal subscription)

• Special Clause 39: FP7 grant recipients are expected to:

– 1. deposit peer-reviewed research articles or final manuscripts resulting from their FP7 projects into an online repository;

– 2. make their best effort to ensure open access to these articles within 6 months after publication (12 months for SiS and for SSH).

> 850 GA to date~2000 by end of FP7

2. OA Pilot in FP7

Support and monitoring

EU-funded portal OpenAIRE (Open Access Infrastructure for Research in Europe)

– Support for technical implementation of the Open Access Pilot in FP7

– Helpdesk & contact points in the EU Member States

– Technical infrastructure of digital repositories to deposit and access articles and data produced under FP7 (incl. ERC)

– Repository for homeless publications (Orphan repository)

www.openaire.eu

http://www.openaire.eu/

Survey on Open Access in FP7

Projects's area in FP7

16

49

4527

12

18

18 9

Energy

Environment

Health

Information andCommunication Technologies

Research infrastructure (e-Infrastructure)

Science in Society

Socio-economic Sciences andHumanities

Other

811 projects concerned 194 answers receivedSource: EC Survey (July-August 2011) awaiting publication

Understanding the issue

Understanding legal issues regarding copyrights and licences to publish

12%

31%

25%

2%

30%1 (very difficult)

2 (difficult)

3 (easy)

4 (very easy)

N/A (no opinion)

Source: EC Survey (July-August 2011) awaiting publication

Time or manpower to self-archive

Having time/manpower to self-archive

6%

21%

32%10%

31% 1 (very difficult)

2 (difficult)

3 (easy)

4 (very easy)

N/A (no opinion)


Negotiate with publisher

Identifying a new, satisfactory publisher

8%

27%

19%4%

42%1 (very difficult)

2 (difficult)

3 (easy)

4 (very easy)

N/A (no opinion)

Changing publishers/journals

10%

24%

16%2%

48%

1 (very difficult)

2 (difficult)

3 (easy)

4 (very easy)

N/A (no opinion)

Negotiating with publishers/journals

12%

25%

13%1%

49%

1 (very difficult)

2 (difficult)

3 (easy)

4 (very easy)

N/A (no opinion)


Publishers considered

Publishers considered for Special Clause 39

107

858208

52

1926 19

None/Don't know

AAAS

Elsevier

Nature Publishing Group

SAGE

Springer

Taylor & Francis

Wiley-Blackwell

Other


Self-archiving

• 534 articles deposited or to be deposited in a repository– Out of which 406 are of will be open access– Out of which 68 are both deposited and made open access

Reasons when open access was not provided

22

52

13

5

6

The publisher's copyrightagreement did not permitdeposit in a repository

No suitable repository available

No suitable OA journal available

Lack of time or resources

Lack of information on OA

Other


Knowledge of OA publishing in FP7

Did you know Article II.16.4 of FP7 Model Grant Agreement?

93

101

Yes

No


Experience with OA publishing in FP7

Have you used this possibility so far?

8

85

Yes

No

Use of possibility of reimbursement of OA publishingSource: EC Survey (July-August 2011) awaiting publication

Future use of OA publishing in FP7

Do you intend to make use of the possibility of Article II.16.4 of FP7 Model GA in the future?

85

106

3

Yes

Maybe/not sure

No


For 72% of respondents, reimbursement of Gold OA is restricted by the fact that most publishing activities occur after the project end

Open access to data?

How would you view an open access mandate to data in your research area?

5%15%

47%

20%

13%

Strongly disagree

Disagree

Agree

Strongly agree

No opinion


OA mandate to data(split by FP7 area)

0

7

504

2

6

23

12

6

3

8

16

9

9

14

15

6

1

014

5

2

12

10

32

12

10

32

10

8

00

0

5

10

15

20

25

30

35

40

45

50

Energy Environment Health ICT e-Infrastructure

SiS SSH Other

Strongly disagree Disagree Agree Strongly agree No opinion


Outline





2007 Council Conclusions

• Council Conclusions on ‘Scientific information in the digital age’ (2007)– Invitation to the Member States to:

• Reinforce national strategies and structures • Enhance co-ordination among Member States• Ensure long-term preservation of scientific information

• 2009 Questionnaire to Member States– To take stock of the status of implementation of Council

Conclusions– To actively engage national experts in the process– To gain input for identifying/developing European level

policies– Main findings:

• Many valuable initiatives taking place• Few national strategies• Most activities led by non-governmental actors

2011 Questionnaire to Member States

• ‘There is much greater awareness about the significance of the issue, and a greater number of infrastructures to support dissemination of and access to scholarly material’

Your country experienced problems in the implementation of the 2007 Council Conclusions

8

19

0

2

4

6

8

10

12

14

16

18

20

1N

um

ber

of

rep

lies

Yes

No

The implementation isgoing well

National strategies

• A growing number of well developed activities, and a few more national strategies

• Policies on OA to peer reviewed publications still more advanced than on policies to research data

Generally speaking, the situation has (even slightly) improved since 2009

24

5

0

5

10

15

20

25

30

1N

um

ber

of

rep

lies

Yes

No

Compared to 2009, thesituation has improvedin many countries

Policies or strategies

• DK: OA Committee (Recommendations)

• EE: Research infrastructure roadmap

• ES: Co-ordination of national policies on OA and repositories

Policies (or overall strategies) are in place

14

5

13

0

2

4

6

8

10

12

14

16

1N

um

ber

of

rep

lies

Yes (national)

Yes (regional)

No

Examples Growing number ofcountries developing avariety of policies

Issues

• Incentives to researchers– Many other initiatives incl. prizes, funding to research

departments proportional to number of publications archived in the institutional repository, pilot in some disciplines...

• Agreements with publishers– A growing trend in many countries

• Copyright– Some universities/institutions provide advice to their

researchers– No overall policy for copyright issues specifically in scientific

publishing• VAT

– An important, sensitive issue• Repositories

– Some national/international initiatives– Complex and dynamic process because provided and

supported by a number of independant organisations– Many fast-growing initiatives that remain ‘islands’ at a national

level

Role of the EC/EU

‘The EC has the position and visibility to play a leading part.’

1. Stimulate and support capacity-building, exchange of best practices and co-ordination of policies

2. Monitor progress in EU Member States

3. Develop EU copyright rules for research

4. Amplify the OA policy in the FP

5. Finance activities (especially preservation)

6. Develop tools to quantify benefits & progress of OA

7. Prepare for the challenge brought by scientific data

8. Negotiate with publishers

9. Stimulate the collaboration of industrial partners

Outline





Stakeholders consultations 2010/2011

1. Green paper on Common Strategic Framework (CSF)

(closed/analysed)

2. 2011 Questionnaire to Member States3. 2011 Survey on OA in FP74. Public consultation on scientific

information in the digital age(closed/analyse running)

5. Public consultation on obstacles to ERA

(deadline 30.11.2011 – section on knowledge circulation)

2011 Public Consultation

There is NO problem with access to scientific publications

5% 8%3%

45%

39%agree strongly

agree

no opinion

disagree

disagree strongly

Individual researcher (39%), citizen (28%), university/research institute (8%),library (7%), publisher (6%), international organisation (4%) etc.

Source: 2011 EC Public consultation (July-September 2011) awaiting publication

2011 Public Consultation

Should publications resulting from publicly funded research be available OA?

76%

14%

7% 2%1%agree strongly

agree

disagree

disagree strongly

no opinion

Individual researcher (39%), citizen (28%), university/research institute (8%),library (7%), publisher (6%), international organisation (4%) etc.

Source: 2011 EC Public consultation (July-September 2011) awaiting publication

European Commission (1/3)

• 2012 Communication & Recommendation on scientific information– Communication: take stock of developments in the area &

outline next steps the Commission will take– Recommendation: outline what the EC expects from

Member States in terms of access/management of publications/data, in particular policies in relation to OA

– Public Hearing: Luxembourg, 30 May 2011– Public on-line consultation: June 2011 (on-going analysis)– Foreseen adoption: 1st quarter 2012


• Horizon 2020 (next FP)– Make open access to publications the general principle for

projects funded by the EU research Framework Programme – open up possibilities for data

– Put the open access mandate and associated policies into practice: how to get scientists to deposit, what role for publishers, what funding...


• Building an e-infrastructure for data– ”Our Vision is a scientific e-infrastructure that supports

seamless access, use, re-use, and trust of data.”– “My goal is to raise awareness of the opportunities

represented by scientific data as well as setting out a plan for future developments.“

– Start slowly, partner, pilot & build infrastructures

Additional resources

• The EC and open access– http://ec.europa.eu/research/science-society/open_access

• Open access on CORDIS– http://cordis.europa.eu/fp7/find-doc_en.html

• Twitter– @OpenAccessEC

[email protected]

http://ec.europa.eu/research/science-society/open_access

http://cordis.europa.eu/fp7/find-doc_en.html

mailto:[email protected]

mailto:[email protected]

Open Access in the ERA and FP7

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