The document discusses the implementation of open access policies in Portugal, focusing on the RCAAP (Rede de Repositórios Comuns de Acesso Aberto de Portugal) and its integration with various systems to support national research funding compliance. Key features include the mandatory deposit of research outputs in repositories, monitoring processes through integration with grant management systems, and enhancements in infrastructure to support open access practices. The outlook highlights ongoing developments to improve compliance and interoperability among research output systems.

1. Supporting a national funder’s Open Access policy
Vasco Vaz
Departamento da Sociedade da Informação
27 May 2019 | Ghent University | Belgium
Workshop “Research policy monitoring in the era of Open Science and Big Data”

2. Agenda
• Considerations and concepts
– RCAAP
– PT CRIS
– Ciência Vitae
• Open Access Policy
• Facilitating compliance
– Deposit in repository
– Export from CV
• Monitoring
– Processes
– Checking deposits through integration of RCAAP and FCT grant management
systems - example
• Benefits
• Outlook

3. Considerations
• Abstraction
• Work in progress
• Client’s perspective
• FCT’s role and capabilities
• Design infrastructures, adapt systems and services to respond to policy priorities

4. RCAAP
• Vital research e-infrastructure, part of the
NREN
• Initiated operation in November 2008 with
12 institutional repositories
• Integrates every public HEI repository
and makes all their deposited content
available via a single entry point
search portal
• Monitors and ensures that every
repository within the RCAAP network
conforms to the highest quality and
interoperability standards
Open AIRE guidelines

5. RCAAP
RCAAP and other systems
• Full integration with OpenAIRE
• Full integration with OASIS.BR (more than 1.700.000 (!) research publications from
Brasil and Portugal interchangeably retrieved from both networks and made available
through both Portals)
• Full integration with previous DeGóis® Platform (where national researchers
curricula were centralised and publicly made available)
Community
• Central management (technical / political)
• Repository managers
• Journal publishers or editorial teams
• Librarians and university presses

6. RCAAP Services
RCAAP Portal
Institutional
Repository
Hosting
Service
(SARI)
Data
Repository
(SARDC)
Scientific
Journals
Hosting
Service
(SARC)
Common
Repository
Validator
(to gauge
norm
conformity)
Repository
Usage
Statistics
(SCEUR)
Scientific Open Access Repository of Portugal
28 IR 21 Journals
52 IR
1 CR
+ 575K doc95 Journals
Communication, dissemination and training activities

7. RCAAP resources
575824 aggregated documents

8. RCAAP integrations
Ciência Vitae - October 2018
Ciência ID – October 2018
OpenAIRE - (Dashboard and Guidelines 4.0) – December 2018
DuraSpace (Launch of DSpace 7 – 2nd semester 2019)
Developments RCAAP Portal - June 2019

9. PTCRIS -Mission
Ensure the creation and sustained development of national integrated information
ecosystem (PTCRIS) to support research management

10. PT Management and technology systems
Ecosystem
National and international CRIS
(Local: SIGARRA, FENIX, others)
(European Commission, ScienTI network, etc.)
PT-CRIS
Academic expertise
(DeGóis
FCT-SIG)
Organisations
Database
Bibliometrics
Grant database
(FCT-SIG/PCT)
Grant management
(FCT-SIG/PCT)
Research news
Research ethics
PTCRIS = SoS = System of Systems
=
ECOSYSTEM

11. PT-CRIS implementation principle
Input once, reuse multiple!
Eliminate information silos

12. Adopted Standards
PT-CRIS
Data model
Dictionary/ Interop.
Ontologies
Researchers ID
Organisations ID
Alignment
• H2020
• Digital ERA Forum
• RDA

13. ORCID as the central hub for PTCRIS
• High coverage of predefined requirements.
– General, functional and technical.
• Completeness of the ORCID profile.
• Usability - interface for the integration of systems with ORCID becoming a
standard.
• Infrastructure reliability and resilience.
• High interoperability with external sources (Crossref, Datacite, Scopus and WoK).
• High ORCID coverage of the national research community.
– In late 2013 – early 2014, due to the research assessment exercise and for the
purpose of carrying out a bibliometric study, around 15,000 researchers from
Portuguese research units applied for an ORCID iD. These researchers were
responsible for more than 90% of the Portuguese scientific output of the 5 years
prior to 2013.
• Sustainability.
– Small costs compared with the alternative of developing and maintaining a home
grown hub.

14. PTCRIS synchronization

15. Ciência Vitae

16. Ciência Vitae

17. Ciência Vitae

18. Ciência Vitae

19. CIÊNCIA VITAE
CIÊNCIAVITAE is a platform that allows you to create, manage and promote your curriculum
quickly and simply.
• One cv: shared by different stakeholders of the national academic-scientific system. The
administrative burden on the user and the effort in multi-agency validation/certification
tasks is reduced;
• Customise: the user chooses how, when and what he wants to share. The “Export
Curriculum” feature allows you to create multiple versions of the curriculum that are
suitable for different needs: customizable content and various document formats;
• Integrate: CIÊNCIAVITAE is integrated with various national and international systems,
such as ORCiD, FCT|SIG, etc. So you can reuse information you have already registered
in these systems to build your curriculum;
• Promote: promote your curriculum, making it public. This way, other users will be able
to find it through the “Find CVs” feature.

20. Ciência Vitae

21. Ciência Vitae

22. Ciência Vitae

23. Ciência Vitae functionalities
• Tutorials

24. Ciência Vitae

25. Open Access in Portugal

26. Funder mandate for publicly-funded research to be made OA
2013
• Infrastructural conditions
• Political conditions
– Research Institutions
– International environment
• Generalised acceptance of OA principles by the research community
Sufficiently mature context in Portugal for the adoption of a mandate towards availability
in OA of research results obtained through public funding

27. FCT Open Access policy
• Effective for all projects funded through calls launched after May 5th 2014
• Covers:
– Papers in scientific journals/conference proceedings
– Posters
– Books, book chapters and monographs
– PhD theses
• Mandatory immediate deposit in one of the RCAAP repositories
• Embargo periods to full publication content allowed
Embargo timeframes Months
Publications (STEM/HSS) 6-12
Books, book chapters, monographs 18
PhD theses 36
Free, online access to peer-reviewed publications arising from FCT funding

28. FCT Open Access policy
OA publishing through an Author-pays business model journal
• APC’s eligible for refund as research costs subject to following conditions
– Immediate Open Access
 No embargo is allowed
– The definitive work must be allowed to be deposited in repositories other than the
publisher’s own repository
– Creative Commons CC-BY license (or equivalent) mandatory
 No restriction to access or re-use

29. Open Access to Research Publications Strategy
Establish an Open Access repository network infrastructure
 RCAAP
+
Mandate Open Access to Publications arising from publicly-funded
research
 FCT Open Access Policy
+
Integrate compliance with the Open Access Policy into project
reporting and grant management procedures of FCT-funded
research
 Implementation measures

30. Deposit in repository
- Project Identification -
• OpenAIRE – Scholarly infrastructure to manage and monitor the outcomes of EU-
funded research supporting OA policies
http://api.openaire.eu

31. Deposit in repository
- Project Identification -

32. Deposit in repository
- Metadata -
If an embargo applies, its end date should be used.
Creative Commons License CC-BY or equivalent mandatory for refund of Article
Processing Cost (APC).

33. Deposit in repository - Project page -
Site example

34. Project Report (RCAAP portal)
• Automatic – parses all
repositories for documents
associated with a project
• Static – contains all
documents within a set period
of time
• Permanent – kept online for
the longest foreseeable
period of auditing.
• Site example

35. Deposit through Ciência Vitae
• Tutorial

36. Monitoring processes
1. Retrieve publications deposited in RCAAP with associated FCT funding
2. Cross-check with (multiple options):
– OpenAire
• Co-authorships
• Stats
– CrossRef
– WoS
– Research teams CV’s
3. TDM to retrieve publications associated with specific grant ID’s

37. Monitoring RCAAP deposits through FCT grant management systems - overview
Repositories
• Deposit
RCAAP Portal
• Harvest
FCT
• Monitoring/Evaluation
Validator

38. Monitoring – RCAAP functionalities
• Public API
• Open interface for the
community
• Integration with funder (FCT)
and other national systems

39. Checking RCAAP deposits through FCT grant management systems - workflow
1
2
3
4
Deposited publications will
show up automatically in
the project’s area at the
grant management portals
(automation work currently
under development)

40. Benefits
• Researchers
• Simplification of the scientific and financial reporting at FCT
• RCAAP functionalities and reuse of RCAAP collected data for different purposes
• For research output report at FCT
• For research project expenses claims at FCT
• To form the basis of the scientific output of a researcher in his/her CV at
Ciência Vitae
• To check if a given repository is compliant with FCT OA policy (SARI)
• To check if an OA journal complies with the FCT cost eligibility requirements
(during the publication deposit process)
• Widget for research project websites (publication list export)

41. Benefits
• Institutions
• Easier access to accurate, complete and updated information
• The same data can be used by the researcher’s institution for career
progression or other purposes
• Funder
• Research Policy objectives
• Both stimulate AND monitor compliance with the FCT OA Policy
– Facilitate the adoption of OA practices by adding value to the researchers
practices of depositing their outputs
– Make those practices both easy to perform and a habit, to become as
natural as the act of publishing
• Fine tuning the degree of enforcement

42. Benefits
• Funder
• Efficiency gains by streamlining the monitoring and research evaluation processes
• From manual procedures to semi-automatic
• Collection of precious data for research policy making
• Reusable in multiple instances
• Collect information on APC’s so as to calculate expenditures with OA
publications in Gold OA journals with APC’s (new)
• Track at an aggregated level the scientific outputs of FCT-funded research
• Easily check a projects’ output

43. Added benefits of international interoperability
• FCT OA Policy monitoring through OpenAire
• Research and economic policy
• Collaboration opportunities
• Publications in RCAAP funded by other funding orgs – potential indicator of foreign
investment in Portuguese research
• FCT-funded publications deposited in other repositories – possible sign of relations
between research teams
• Establish synergies at the research policy and other policy levels
– Smart specialisation strategies
• BR-PT example
– RCAAP portal as a hub for Portuguese-speaking research outputs
• https://www.rcaap.pt/

44. Outlook
• Further developments expected
– Global grant ID
– Automatic ingest of FCT grants ID’s in OpenAire
– Plan S compliance

45. Acknowledgements: RCAAP Project, PT CRIS, Ciência Vitae and FCT’s
Information Systems teams
EXCELÊNCIA| CONHECIMENTO | IMPACTO
?Thank you for your attention!
You can reach me at: vasco.vaz@fct.pt