This document discusses open access and fair data requirements for research funders. It begins with an introduction to the presenter and their background working on open access policies. It then covers the key dimensions of open science including open access to publications and research data. It discusses funder mandates for open access from the EU and other international funders. The benefits of open access for science, the economy and society are outlined. Finally, it covers open access policies for Horizon 2020 grants and the transition from open data to promoting FAIR (Findable, Accessible, Interoperable, Reusable) data management principles.

1. OPEN ACCESS AND FAIR DATA: INTRODUCTION,
FUNDER NEEDS & REQUIREMENTS
Daniel Spichtinger
Contact
daniel@spichtinger.net
Open Science Clinique
26/02/2019
CC-BY Daniel Spichtinger

2. ABOUT ME
• 2002 Master of Arts in Contemporary European Studies from the
University of Bath (UK, 2002), thesis on European Research Policy.
• 2008-2011 EU dissemination & project consultant, RTDS Group
(grant writing, dissemination and management of EU research
projects)
• January 2012- January 2018 Senior Project & Policy Officer for
open access to publications and research data, European
Commission, DG Research and Innovation
• As of September 2018 Project Manager Leveraging Open
Research Data Ludwig Boltzmann Gesellschaft (LBG) Open
Innovation in Science Center & support to LBG Grants Office
• As of September 2018: Independent Consultant on EU Research
Policy
Key message: Many hats but strictly speaking in a personal capacity

3. THE OPEN SCIENCE DIMENSIONS
Source: European Commission
My foci:
• open access* to peer reviewed
publications
• Open/FAIR* research data policy

4. OPEN ACCESS AS PART OF RESPONSIBLE RESEARCH AND
INNOVATION (RRI)
Source: European STARBIOS 2 project
“RRI must be both transparent
and accessible. Free online access
should be given to the results of
publicly funded research
(publications and data)”

5. RESEARCH FUNDER MANDATES EU
 Open Access an obligation for EU grants (Horizon 2020)
 More & more established with national funders in EU
Member States (e.g FWF)
 Mandates getting stronger (Plan S)
 International
 Strong US OA mandate for federally funded research
(agencies with budget of over 100 million €), most notably
NIH
 Strong green open access mandate in Latin America
(SCIELO)
 Strong open access policies also in Canada, Australia and
Japan
 Developing policies in other countries, e.g. China, Russia…
 Key non-state funders also have robust mandates
(Wellcome Trust, Gates Foundation)

6. WHY

7. THE OBJECTIVE OF THE COMMISSION AND OTHER FUNDERS
optimise the impact of publicly-funded
scientific research
 At European level (FP7 & Horizon 2020 &
Horizon Europe)
 At Member State level
One way to get there: open access /open data
Expected benefits:
 Better and more efficient science
 Economic growth
 Broader, faster, more transparent and equal
access for the benefit of researchers, industry
and citizens

8. OA IMPACT ON SCIENCE
 build on previous results: scientific articles that
are available in the open are between 26% and
64% more cited on average (Citation
advantage)
 increase reproducibility of research, which can
be as low as 10-30% in key areas, such as
cancer research. Often high retraction
avoid duplication & promote re-use (e.g. avoid
unnecessary animal testing)
combating scientific fraud

9. OA IMPACT ON ECONOMY
 The European Bioinformatics Institute of the
European Molecular Biology Laboratory generates a
benefit to users and their funders of around 1.3
billion euros per year by making scientific
information freely available to the global life science
community. This is equivalent to more than 20 times
the direct operational cost of the institute. *
 The Human Genome Project has made its data open
access and has spawned the creation of a whole new
industry
 often difficult for innovative SMEs to access
research
* Beagrie et. al (2016) The Value and Impact of the European Bioinformatics
Institute. http://www.beagrie.com/static/resource/EBI-impact-summary.pdf

10. OA IMPACT ON CITIZENS & SOCIETY
 Making research openly available is potentially
beneficial not only for the individual citizen but
also for NGOs and other non-for profit
organisations, which often cannot afford
subscriptions to a large number of academic
journals but for whom academic research is
nevertheless very important, e.g. in the field of
climate change.
 Moorhead et al (2015) has shown that health
NGO staff utilize more research in the course of
their work as a result of increasing open access
to research.
Moorhead et al (2015) 'In an Age of Open Access to Research Policies:
Physician and Public Health NGO Staff Research Use and Policy
Awareness' Plos1.
http://journals.plos.org/plosone/article?id=10.1371/journal.pone.012970
8

11. STRUCTURE
Two parts:
1. Scholarly Publishing & Open Access to
Scientific Peer Reviewed Publications
2. From Open Data to FAIR Data
Management

12. 1. SCHOLARLY PUBLISHING & OPEN ACCESS TO
SCIENTIFIC PEER REVIEWED PUBLICATIONS

13. RECAP: AN
INTRODUCTION
TO SCHOLARLY
PUBLISHING

14. Article Accepted, Certified,
Published by Journal
Research is
done Researchers write
article
Submitted to Journal
Peer review
Revision by article’s
Authors
Researchers can access the
article if their university has
a subscription to the Journal
New research builds
on published results
Traditional
access loop
Source: Adapted from T. Brody and S. Harnad
(Southampton University)
TRADITIONAL
SCHOLARLY
PUBLISHING

15. AN INTRODUCTION TO SCIENTIFIC PUBLICATIONS
 Scholarly Publishing is very profitable!
 The subscription-based model
problematic for competition within
the scholarly publishing market itself
(Bjoerk 2017)
Operating profits and profit margin of Reed-Elsevier Scientific,
Technical & Medical division, 1991–2013. : Larivière V, et al. 2015
Source:Johnson et
.al 2017

16. AN INTRODUCTION TO SCIENTIFIC PUBLICATIONS
 Forces taxpayers to pay for
research twice: once to generate
scientific knowledge (through
universities and research institutes
funded with public money) and the
second time to access this
knowledge through subscription-
based journals.
 This is one of the reasons why
more and more research funders
are implementing open access
policies
Source: Paywall: The Business of Scholarship (Full
Movie) (2018)

17. OPEN ACCESS – BASIC DEFINTION
Open Access to peer-reviewed scientific
publications = online access at no charge
to the user
Two main OA publishing models (for
publications)
 OA publishing ("Gold OA")
 Self-archiving ("Green OA")
Some models go beyond gold and green
(F1000)
Source: PH.D. Comics CC

18.  Instead of the traditional subscription-based model…
 Research articles are immediately available free of charge upon publication
in an open access journal
 Often the publisher charges an APC fee (can range from 500 to 4000 €) to
the author, usually covered by funding bodies or institutions)
 In some models no fee is charged (e.g. journal owned and funded by a
university), this is sometimes refrerred to as platinum or diamond OA
 Some journals offer both subscriptions and open access publishing to
selected on-line articles (hybrid journals)
GOLD OA

19. Article Accepted, Certified,
Published by Journal
Research is
done Researchers write
article
Submitted to Journal
Peer review
Revision by article’s
Authors
Institution/funder pays article processing
charges (APCs)
open
access loop - gold
Access is maximized
New research builds
on published results
New research builds
on published results
Full gold or hybrid

20.  In addition to the traditional subscription-based model…
 The authors deposit (self-archive) the final peer-reviewed manuscript in a
repository (open archive) to be made available in open access mode …
 …often after an embargo period allowing publishers to recoup their
investment (via subscriptions / pay per download)
 The publisher’s official version (usually PDF) is however immediately available
‘pay per download’ from the publisher
 Both versions contain the same peer-reviewed content, but may be differently
formatted
GREEN OA

21. Article Accepted, Certified,
Published by Journal
Research is
done Researchers write
article
Submitted to Journal
Peer review
Revision by article’s
Authors
Researchers can only
access the article if their
university has a
subscription to the Journal
(during embargo period) New research builds
on published results
open
access loop - green
Author’s manuscript is self-
archived in Repository,
sometimes with an
embargo period
Access is maximized

26. What OA is NOT – OA myths
 Not an obligation to publish
 Not at odds with IP (see graph)
 Not inferior quality: OA
publications go the same peer
review process (see e.g. Pastorino
et a 2016)
 Not imposed by a small group–
nowadays OA is mainstream
policy supported by all major
stakeholders
Source: European Commission/IPR helpdesk

27. WHICH FORM OF OPEN ACCESS
IS THE BEST?
The Hanging by Jacques Callot
(1632)
Mu (negative)
The term is often used or translated to mean that the
question itself must be "unasked": no answer can exist in
the terms provided (Wikipedia)
"Chess" by Steve Johnson

28. A BETTER QUESTION…
Which form of open access is the most appropriate for me?
 It depends on…
 Scientific field
 Institutional policy, including funding for gold/hybrid OA
 Type of grant (if any)
 Attitudes of supervisors
 Personal preferences

29. OA Mode Advantages Disadvantages What information do you
need and where could you
get it?
Subscription based
publishing plus green
open access
(depositing)
Does not require APC payment
Publication in many traditional
journals possible
Citation advantage
Open access often only after
(lengthy) embargo)
may be more tricky to find
(depending on quality of
Information about embargo
periods (publisher, Sherpa-Romeo
database)
Information about repositories –
institutional or thematic (library,
OpenDOAR data base)
Gold Open Access
(OA publishing)
APCs cheaper then hybrid
Immediate open access
Citation advantage
Often but not always charges APCs
Impact factor sometimes – but not
always - lower than traditional
journals
Ensure that it is not a predatory
journal (e.g. through DOAJ
checklist)
Is there extra funding covering
APCs through your
institution/funder? (library and/or
OA Manager)
Hybrid Open Access Often possible in journals with
high prestige/IF
Immediate open access
APCs often (very) expensive
Concerns about “double dipping”
Is there extra funding covering
APCs through your
institution/funder? (library and/or
OA Manager)

30. OPEN ACCESS
IN HORIZON
2020
Regulation establishing Horizon 2020
Open access to scientific publications
resulting from publicly funded research
under Horizon 2020 shall be ensured [...].
Open access to research data resulting
from publicly funded research under
Horizon 2020 shall be promoted. [...].

31. H2O2O OPEN
ACCESS TO
PUBLICATIONS –
ARTICLE
29.2.MODEL
GRANT
AGREEMENT
 Obligation to provide OA.
 Mandatory deposition (green OA)
allowed embargoes: 6/12m
 Gold open access costs eligible for
reimbursement (including hybrid, no cap)
 Authors encouraged to retain copyright
and grant licences instead

32. 1I. FROM OPEN DATA TO FAIR DATA MANAGEMENT

33. 2012 IN THE EUROPEAN COMMISSION …
 The idea to transfer the idea of open access from
publications to research data
 Starting with the (then) new EU Framework
Programme for Research and Innovation,
Horizon 2020 in 2014
 An open research data pilot scheme (ORD
Pilot) in some thematic areas of the programme,
with the possibility for grantees to opt-out in
case of IP conflicts

34. LESSONS LEARNED FROM THE EC ORD PILOT (2014-2016)
 The term « open » is scary for some
 Emphasise flexibility (many opt-out / opt-in
mechanisms)
 Need to state that not everything must be open
(complete opt out or keeping some data closed)
 It helps to re-frame ORD Pilot as "Data Management
Pilot«
 Stress that excellent data management is an integral
part of excellent research
 ORD Pilot extended to all thematic areas of
Horizon 2020 (open data as the default) with
« robust » opt-outs, as of 2017.

35. OPEN RESEARCH
DATA ARTICLE
29.3. MODEL
GRANT
AGREMENT
.
Horizon 2020 grantees are required to
1. deposit research data underlying a
publication and other research data of their
choice in a repository
2. Take measures to grant open access to this
research data

36. OPEN RESEARCH
DATA ARTICLE
29.3. MODEL
GRANT
AGREMENT
.
Data Management Plan
 Describes the data management lifecycle for the
data to be collected, processed and/or generated
by the project
 Handling of research data during and after the end of
the project
 What data will be collected, processed and/or
generated
 Which data will be shared/made open access
 How data will be curated and preserved
 to be submitted within first 6 months =
Deliverable
 Needs to be updated over the course of the
project
 Optional template available

37. WHAT IS GOOD DATA MANAGEMENT? MAKING DATA F.A.I.R.
• Concept developed by a community of scholars librarians, archivists, publishers and research funders
• In recent years, this concept is being more and more used (inter alia by the European Commission in Horizon
2020) to draw attention to the fact that research data should be well managed and preserved.
Source:
European
Commission

38. In the past EC policy mainly addressed the
'accessibility' part of FAIR.
 Started off with 'open access to research data’ and the
extended ORD pilot
 Now: openness as one component of FAIR data and aim
to address all of the FAIR aspects in Horizon 2020
 key concept: good data management practices: emphasis
on FAIR data management plan.
FROM OPEN TO FAIR DATA
Source: European
Commission, FAIR Data
Expert Group

39. THE WIDER PERSPECTIVE

40. THE OPEN SCIENCE CONTEXT II:
REFLECTING ABOUT THE SCIENCE SYSTEM
Reward systems
Measuring quality and impact: altmetrics
Open Access to Scientific Publications
FAIR open data
Open Science Cloud
Research integrity
Citizen Science
Open education and skills
AndrewHorne - CC - Wikipedia

41. THE SCIENCE SYSTEM AS A SUPER TANKER…
IT TAKES A WHILE TO TURN…

42. BUT LETS KEEP ON WORKING ON IT!
daniel@spichtinger.net danielsp https://www.linkedin.com
/in/dspichtinger/