The document summarizes developments regarding open access in Europe. It notes the diversity across European countries in terms of economics, culture, and copyright laws. It then discusses the growth of open access policies and mandates in Europe, including requirements from major research funders that publications resulting from funded research be made openly accessible. It also describes coordination efforts across European countries to align open access policies and develop shared infrastructure and advocacy initiatives to further open access goals.

1. Open Access developments
in Europe
Lars Bjørnshauge
Director, SPARC Europe
LIASA conference, Sept 23rd
2014

3. Europe
• 50 countries
• 35+ languages
• Huge differences in GNP/capita
– Moldova $1,6K, Ukraine $3.0K, Norway $ 85.0K
• Different cultures, traditions and political
systems
• Different IPR/copyright legislation

4. OA in Europe
• Crossnational associations:
– ScienceEurope (Ass. of Nat. Res. Funders) –
mandatory req. in all grant agreements
– European University Ass.
• OA Statement & Recommendations
– LERU (Ass. of leading Univ.): Roadmap tow. OA
– Knowledge Exchange (coll. UK, D, NL & DK):
• Studies, reports, advocacy

5. OA in Europe –
examples:collaboration and services
• UK: Coordination via JISC
• Germany: OA Information Platform (DFG,
Max Planck, Helmholtz, Leibnitz,
Volkswagen, German Rectors Conference)
• Netherlands: OA.NL – (SURF, KWO etc):
projects,
• Sweden: OpenAccess.se: (Funders, Nat.
Library, Univ. Libraries) – projects,

6. OA in Europe –
examples:collaboration and services
• France: among other initiatives the large
multidisciplinary repository HAL & a large
OA aggregator: Open Edition
• Several countries have services where
repositories are centrally harvested and
data used for evaluation and ressource
allocation:
– N,S,DK & NL

7. OA in Europe
• 40+ Research funders mandates (soft/hard)
• 100+ Institutional mandates (soft hard)
• 30+ universities or research funders
allowing APC payments within the grants or
have set-up publication funds to support
payment of APCs
• Several national policies and mandates in
place (IS, DK, N, S, UK, IR, B, A, CH, H, ES).

8. The European Union

9. The European Union
• 28 countries
• 24 official languages
• Circa 500 million people
• Administrative centre: Brussels

10. The EU institutions
• European Council
• European Parliament
• European Commission

11. Research funding in Europe
• Central: through the Commission (~9%)
– Instrument: Framework Programmes
– FP7: 2007-2013
– (FP8) Horizon 2020: 2014-2020
– 9% of the total
• National funding programmes in Member
States (91%)
– circa 90% of the total

12. European Commission:
three key documents(16 July 2012)
• Communication: ‘A reinforced European Research
Area partnership for excellence and growth’
• Communication: ‘Towards better access to
scientific information: boosting the benefits of
public investments in research’
• Recommendation on access to and preservation
of scientific information

13. H2020 policy development
• Years in the making (Commission)
• July 2012: policy announced (Commission)
• Rules for Participation
– Amendments by Parliament
– Amendments by Council
– Lots of to-ing and fro-ing
– Last touches to wording now
• Grant Agreement will define final, practical
responsibilities for authors

14. Commissioner Neelie Kroes
DG Information Society

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

16. H2020 and Open Access
• Mandatory for peer-reviewed publications
• ‘Green’ OA mandate (repositories)
– Publish as normal in subscription-based journals
– Place author’s copy in OA repository
– Open Access within 6 months (STEM) or 12 months (HaSS)
– Bibliographic metadata openly accessible from deposit
• Permits payments from grants for OA journal publication: ‘Gold’
OA
• Mute on monographs, but may be quite progressive on this in
practice
• Definite on data, announcing an open data pilot for H2020
• ‘Aim to deposit’ at the same time as the publication the data
needed to validate the results (‘underlying data’)

17. FP7 >> H2020
FP7 H2020
‘Green’ policy: ‘make best
efforts…’
‘Green’ mandate (obligatory)
‘Gold’ payments eligible ‘Gold’ payments eligible
Covers 20% of research
(selected fields)
Will cover 100% of research (all
fields)
6/12 month embargoes 6/12 month embargoes
Data not included Open data pilot

18. Open Data pilot in H2020
• Covers 20% of the H2020 programme
• Voluntary opt-in, and conditional opt-out
• Programme areas under the mandate:
– Future and Emerging Technologies
– Research infrastructures
– Leadership in Enabling and Industrial Technologies - ICTs
– Societal Challenge: Secure, clean and Efficient energy
– Societal Challenge: Climate Action, Environment, Resource Efficiency
and Raw materials
– Societal Challenge: Europe in a changing world inclusive, innovative
and reflective societies
– Science with and for Society

19. Recommendation to Member states (July 2012)
• Member States develop policies on OA
• Consistency between H2020 policy and those
of Member States
• Multi-stakeholder dialogue to be established
• Coordination of Member States at EU level
• Reporting at Member States and EU level

20. Policy alignment
• Irons out dissonances for researchers working in
interdisciplinary areas or on international teams
• Key issue in changing author practices and norms
• Allows generic infrastructural services to be
established in support of policy
• Supports EU harmonisation agenda for ERA
(research conditions, researcher mobility, etc)

21. Policy alignment
• Irons out dissonances for researchers working in
interdisciplinary areas or on international teams
• Key issue in changing author practices and norms
• Allows generic infrastructural services to be
established in support of policy
• Supports EU harmonisation agenda for ERA
(research conditions, researcher mobility, etc)

22. European Research Area

23. European national funder mandates

24. European mandatory policies

25. Recent mandatory policies
Europe USA/Canada
2012 Institutional 15 6
Funder 2 0
2013 Institutional 19 21
Funder 6 1
2014 Institutional 12 4
Funder 2 0
Total 2012-14 Institutional 46 31
Funder 10 2

26. Recent growth in mandates

27. Policy analysis
Type Number
Green OA mandate 36
Green OA mandate with Gold option 12
Gold preference with Green option 1
49 mandatory policies in ROARMAP
Gold costs (APCs) can be paid from research grant = 19
or claimed from funder

28. Already +/- aligned in the ERA
• Austria (Austrian Research Council, 2006)
• Belgium (Flanders, 2007)
• Belgium (Wallonia, 2013)
• Denmark (the 5 research councils, 2012)
• Hungary (Hungarian Research Fund, 2009)
• Ireland (the 4 research funders + research organisations, 2012)
• Norway (Norwegian Research Council, 2009)
• Spain (National Government policy 2011)
• Sweden (the 2 research councils, 2009, 2010)
• Switzerland (Swiss National Science Foundation, 2007)

29. OA infrastructure for EU research
Authors
Institutional
repositories
OpenAIRE
Readers
Google, etc
HARVEST

30. After the legislation… advocacy
• Coordination across the Union
• 28 Member States (some of which already have
policies of their own)
• Some have centres of expertise, many do not
• Even amongst those that are fairly OA-aware there
is a high level of misconception and lack of
understanding
• Coordination is key
• Advocacy organisations will set to work

31. Two new projects
• FOSTER:
– Training for researchers and other stakeholders
– Training for trainers
• PASTEUR4OA:
– Policy focus
– Encourage and coordinate policy development
across Europe

32. Science knows no
country, because
knowledge belongs to
humanity, and is the
torch that illuminates
the world.
Louis Pasteur, 1822-1895

33. So, despite the diversity..
lots of collaboration for the
benefit of OA in Europe and
beyond…

34. Global OA services
originates out of Europe
• ROARMAP
• SHERPA/RoMEO
• OpenDOAR
• DOAB
• DOAJ

35. Thank you for listening
lars@arl.org
www.sparceurope.org

36. Creative Commons License
This work is licensed under
Attribution 4.0 International License
http://creativecommons.org/licenses/by/4.0/