Open Access in the ERA and FP7

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Open Access in the ERA and FP7

  1. 1. Jean-François Dechamp European Commission Directorate-General for Research & Innovation Open Access to Scientific Information in the EU and the Czech Republic Technology Centre AS CR Prague, 12 October 2011 Open Access in the European Research Area & the EU Programmes for Research and Innovation
  2. 2. Outline <ul><li>The European Commission and access to scientific knowledge </li></ul><ul><li>Open Access in EU research funding </li></ul><ul><li>Open Access in the Member States </li></ul><ul><li>What next on the policy agenda? </li></ul>
  3. 3. Outline <ul><li>The European Commission and access to scientific knowledge </li></ul><ul><li>Open Access in EU research funding </li></ul><ul><li>Open Access in the Member States </li></ul><ul><li>What next on the policy agenda? </li></ul>
  4. 4. The European Commission is a... <ul><li>Policy maker </li></ul><ul><ul><li>Launches / accompanies policy debates </li></ul></ul><ul><ul><li>Invites Member States (MS) to take action </li></ul></ul><ul><ul><li>Proposes EU legislation </li></ul></ul><ul><li>Funding agency </li></ul><ul><ul><li>Research & Innovation </li></ul></ul><ul><ul><li>Sets access and dissemination rules for funded research </li></ul></ul><ul><li>Infrastructure and capacity builder </li></ul><ul><ul><li>Funds infrastructures </li></ul></ul><ul><ul><li>Supports networking activities </li></ul></ul>
  5. 5. Two Commissioners <ul><li>Vice-President Neelie Kroes </li></ul><ul><li>Digital Agenda </li></ul><ul><ul><li>Digital single market </li></ul></ul><ul><li>Commissioner Máire Geoghegan-Quinn </li></ul><ul><li>Research & Innovation </li></ul><ul><ul><li>European Research Area (ERA) & Innovation Union </li></ul></ul>
  6. 6. Digital Agenda <ul><li>Communication from the Commission ‘ A Digital Agenda for Europe ’ </li></ul><ul><li>Speed up the roll-out of high-speed internet and reach the benefits of a digital single market </li></ul><ul><li>Driving ICT innovation by exploiting the single market: </li></ul><ul><ul><li>“ […] publicly funded research should be widely disseminated through open access publication of scientific data and papers”; </li></ul></ul><ul><ul><li>“ […] the Commission will appropriately extend current open access publication requirements […]”. </li></ul></ul>
  7. 7. Innovation Union <ul><li>Communication from the Commission ‘ Innovation Union ’ </li></ul><ul><li>Improve conditions & access for research and innovation </li></ul><ul><li>Delivering the ERA: </li></ul><ul><ul><li>“ [...] 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 ” </li></ul></ul><ul><li>Promoting openness: </li></ul><ul><ul><li>“ 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 […]”. </li></ul></ul>
  8. 8. European Research Area <ul><li>A Europe-wide space or ‘single market’ for research and innovation </li></ul><ul><ul><li>Free movement of knowledge </li></ul></ul><ul><ul><li>Clear principles or rules regarding: </li></ul></ul><ul><ul><ul><li>The management of intellectual property resulting from publicly funded research </li></ul></ul></ul><ul><ul><ul><li>Access to, and dissemination & preservation of publications and research data resulting from publicly funded research </li></ul></ul></ul>
  9. 9. Why does the EC care? (1/2) <ul><li>Serving science and research </li></ul><ul><ul><li>Avoid duplication of research </li></ul></ul><ul><ul><li>Give equal access for all researchers and institutions </li></ul></ul><ul><ul><li>Increase us & re-use of information </li></ul></ul><ul><ul><li>Speed up progress by improved access & dissemination </li></ul></ul><ul><li>Benefitting innovation </li></ul><ul><ul><li>Enabling knowledge transfer to industry, including SMEs </li></ul></ul><ul><li>Improving return on investment in R&D </li></ul><ul><ul><li>Free access to results funded by tax payers’ money </li></ul></ul><ul><ul><li>Societal impact of R&D & Access for NGOs and citizens </li></ul></ul>
  10. 10. Why does the EC care? (2/2) <ul><li>Legal basis: European Community Treaty (‘Lisbon Treaty’) </li></ul><ul><li>“ 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 ) </li></ul>
  11. 11. Outline <ul><li>The European Commission and access to scientific knowledge </li></ul><ul><li>Open Access in EU research funding </li></ul><ul><li>Open Access in the Member States </li></ul><ul><li>What next on the policy agenda? </li></ul>
  12. 12. What does the EC do concretely as a funding body?
  13. 13. 1. Reimbursement of open access publishing costs <ul><li>Open access publishing costs are covered in FP7 </li></ul><ul><ul><li>New since the beginning of FP7 & for all projects </li></ul></ul><ul><ul><li>Publication costs (including author pays / gold open access fees) are eligible for reimbursement </li></ul></ul><ul><ul><li>Limited to duration of project </li></ul></ul>
  14. 14. <ul><li>Seven areas (20% of FP7 budget) </li></ul><ul><ul><li>Energy, Environment, Health, Information & Communication Technologies [only a part], Research Infrastructures [only a part], Science in Society, Socioeconomic Sciences & Humanities </li></ul></ul><ul><li>Embargo (6/12 months) </li></ul><ul><ul><li>allows scientific publishers to ensure a profit on their investment (by e.g. charging for journal subscription) </li></ul></ul><ul><li>Special Clause 39: FP7 grant recipients are expected to: </li></ul><ul><ul><li>1. deposit peer-reviewed research articles or final manuscripts resulting from their FP7 projects into an online repository; </li></ul></ul><ul><ul><li>2. make their best effort to ensure open access to these articles within 6 months after publication (12 months for SiS and for SSH). </li></ul></ul><ul><li>> 850 GA to date </li></ul><ul><li>~2000 by end of FP7 </li></ul>2. OA Pilot in FP7
  15. 15. Support and monitoring <ul><li>EU-funded portal OpenAIRE (Open Access Infrastructure for Research in Europe) </li></ul><ul><ul><li>Support for technical implementation of the Open Access Pilot in FP7 </li></ul></ul><ul><ul><li>Helpdesk & contact points in the EU Member States </li></ul></ul><ul><ul><li>Technical infrastructure of digital repositories to deposit and access articles and data produced under FP7 (incl. ERC) </li></ul></ul><ul><ul><li>Repository for homeless publications (Orphan repository) </li></ul></ul>www.openaire.eu
  16. 16. Survey on Open Access in FP7 811 projects concerned  194 answers received Source: EC Survey (July-August 2011) awaiting publication
  17. 17. Understanding the issue Source: EC Survey (July-August 2011) awaiting publication
  18. 18. Time or manpower to self-archive Source: EC Survey (July-August 2011) awaiting publication
  19. 19. Negotiate with publisher Source: EC Survey (July-August 2011) awaiting publication
  20. 20. Publishers considered Source: EC Survey (July-August 2011) awaiting publication
  21. 21. Self-archiving <ul><li>534 articles deposited or to be deposited in a repository </li></ul><ul><ul><li>Out of which 406 are of will be open access </li></ul></ul><ul><ul><li>Out of which 68 are both deposited and made open access </li></ul></ul>Source: EC Survey (July-August 2011) awaiting publication
  22. 22. Knowledge of OA publishing in FP7 Source: EC Survey (July-August 2011) awaiting publication
  23. 23. Experience with OA publishing in FP7 Use of possibility of reimbursement of OA publishing Source: EC Survey (July-August 2011) awaiting publication
  24. 24. Future use of OA publishing in FP7 Source: EC Survey (July-August 2011) awaiting publication For 72% of respondents, reimbursement of Gold OA is restricted by the fact that most publishing activities occur after the project end
  25. 25. Open access to data? Source: EC Survey (July-August 2011) awaiting publication
  26. 26. OA mandate to data (split by FP7 area) Source: EC Survey (July-August 2011) awaiting publication
  27. 27. Outline <ul><li>The European Commission and access to scientific knowledge </li></ul><ul><li>Open Access in EU research funding </li></ul><ul><li>Open Access in the Member States </li></ul><ul><li>What next on the policy agenda? </li></ul>
  28. 28. 2007 Council Conclusions <ul><li>Council Conclusions on ‘Scientific information in the digital age’ (2007) </li></ul><ul><ul><li>Invitation to the Member States to: </li></ul></ul><ul><ul><ul><li>Reinforce national strategies and structures </li></ul></ul></ul><ul><ul><ul><li>Enhance co-ordination among Member States </li></ul></ul></ul><ul><ul><ul><li>Ensure long-term preservation of scientific information </li></ul></ul></ul><ul><li>2009 Questionnaire to Member States </li></ul><ul><ul><li>To take stock of the status of implementation of Council Conclusions </li></ul></ul><ul><ul><li>To actively engage national experts in the process </li></ul></ul><ul><ul><li>To gain input for identifying/developing European level policies </li></ul></ul><ul><ul><li>Main findings: </li></ul></ul><ul><ul><ul><li>Many valuable initiatives taking place </li></ul></ul></ul><ul><ul><ul><li>Few national strategies </li></ul></ul></ul><ul><ul><ul><li>Most activities led by non-governmental actors </li></ul></ul></ul>
  29. 29. 2011 Questionnaire to Member States <ul><li>‘ 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’ </li></ul>The implementation is going well
  30. 30. National strategies <ul><li>A growing number of well developed activities, and a few more national strategies </li></ul><ul><li>Policies on OA to peer reviewed publications still more advanced than on policies to research data </li></ul>Compared to 2009, the situation has improved in many countries
  31. 31. Policies or strategies <ul><li>DK : OA Committee (Recommendations) </li></ul><ul><li>EE : Research infrastructure roadmap </li></ul><ul><li>ES : Co-ordination of national policies on OA and repositories </li></ul>Examples Growing number of countries developing a variety of policies
  32. 32. Issues <ul><li>Incentives to researchers </li></ul><ul><ul><li>Many other initiatives incl. prizes, funding to research departments proportional to number of publications archived in the institutional repository, pilot in some disciplines... </li></ul></ul><ul><li>Agreements with publishers </li></ul><ul><ul><li>A growing trend in many countries </li></ul></ul><ul><li>Copyright </li></ul><ul><ul><li>Some universities/institutions provide advice to their researchers </li></ul></ul><ul><ul><li>No overall policy for copyright issues specifically in scientific publishing </li></ul></ul><ul><li>VAT </li></ul><ul><ul><li>An important, sensitive issue </li></ul></ul><ul><li>Repositories </li></ul><ul><ul><li>Some national/international initiatives </li></ul></ul><ul><ul><li>Complex and dynamic process because provided and supported by a number of independant organisations </li></ul></ul><ul><ul><li>Many fast-growing initiatives that remain ‘islands’ at a national level </li></ul></ul>
  33. 33. Role of the EC/EU <ul><li>‘ The EC has the position and visibility to play a leading part.’ </li></ul><ul><li>Stimulate and support capacity-building, exchange of best practices and co-ordination of policies </li></ul><ul><li>Monitor progress in EU Member States </li></ul><ul><li>Develop EU copyright rules for research </li></ul><ul><li>Amplify the OA policy in the FP </li></ul><ul><li>Finance activities (especially preservation) </li></ul><ul><li>Develop tools to quantify benefits & progress of OA </li></ul><ul><li>Prepare for the challenge brought by scientific data </li></ul><ul><li>Negotiate with publishers </li></ul><ul><li>Stimulate the collaboration of industrial partners </li></ul>
  34. 34. Outline <ul><li>The European Commission and access to scientific knowledge </li></ul><ul><li>Open Access in EU research funding </li></ul><ul><li>Open Access in the Member States </li></ul><ul><li>What next on the policy agenda? </li></ul>
  35. 35. Stakeholders consultations 2010/2011 <ul><li>Green paper on Common Strategic Framework (CSF) </li></ul><ul><ul><ul><li>(closed/analysed) </li></ul></ul></ul><ul><li>2011 Questionnaire to Member States </li></ul><ul><li>2011 Survey on OA in FP7 </li></ul><ul><li>Public consultation on scientific information in the digital age </li></ul><ul><ul><ul><li>(closed/analyse running) </li></ul></ul></ul><ul><li>Public consultation on obstacles to ERA </li></ul><ul><ul><ul><li>(deadline 30.11.2011 – section on knowledge circulation) </li></ul></ul></ul>
  36. 36. Stakeholders consultations 2010/2011 <ul><li>Green paper on Common Strategic Framework (CSF) </li></ul><ul><ul><ul><li>(closed/analysed) </li></ul></ul></ul><ul><li>2011 Questionnaire to Member States </li></ul><ul><li>2011 Survey on OA in FP7 </li></ul><ul><li>Public consultation on scientific information in the digital age </li></ul><ul><ul><ul><li>(closed/analyse running) </li></ul></ul></ul><ul><li>Public consultation on obstacles to ERA </li></ul><ul><ul><ul><li>(deadline 30.11.2011 – section on knowledge circulation) </li></ul></ul></ul>
  37. 37. 2011 Public Consultation 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
  38. 38. 2011 Public Consultation 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
  39. 39. European Commission (1/3) <ul><li>2012 Communication & Recommendation on scientific information </li></ul><ul><ul><li>Communication: take stock of developments in the area & outline next steps the Commission will take </li></ul></ul><ul><ul><li>Recommendation: outline what the EC expects from Member States in terms of access/management of publications/data, in particular policies in relation to OA </li></ul></ul><ul><ul><li>Public Hearing: Luxembourg, 30 May 2011 </li></ul></ul><ul><ul><li>Public on-line consultation: June 2011 (on-going analysis) </li></ul></ul><ul><ul><li>Foreseen adoption: 1st quarter 2012 </li></ul></ul>
  40. 40. European Commission (2/3) <ul><li>Horizon 2020 (next FP) </li></ul><ul><ul><li>Make open access to publications the general principle for projects funded by the EU research Framework Programme – open up possibilities for data </li></ul></ul><ul><ul><li>Put the open access mandate and associated policies into practice: how to get scientists to deposit, what role for publishers, what funding... </li></ul></ul>
  41. 41. European Commission (3/3) <ul><li>Building an e-infrastructure for data </li></ul><ul><ul><li>” Our Vision is a scientific e-infrastructure that supports seamless access, use, re-use, and trust of data.” </li></ul></ul><ul><ul><li>“ My goal is to raise awareness of the opportunities represented by scientific data as well as setting out a plan for future developments.“ </li></ul></ul><ul><ul><li>Start slowly, partner, pilot & build infrastructures </li></ul></ul>
  42. 42. Additional resources <ul><li>The EC and open access </li></ul><ul><ul><li>http://ec.europa.eu/research/science-society/open_access </li></ul></ul><ul><li>Open access on CORDIS </li></ul><ul><ul><li>http://cordis.europa.eu/fp7/find-doc_en.html </li></ul></ul><ul><li>Twitter </li></ul><ul><ul><li>@OpenAccessEC </li></ul></ul><ul><li>jean- [email_address] </li></ul>

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