Open Access developments in Europe

Lars BjørnshaugeDirector, SPARC Europe

LIASA conference, Sept 23rd 2014

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

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

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,

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

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).

The European Union

The European Union

• 28 countries• 24 official languages• Circa 500 million people• Administrative centre: Brussels

The EU institutions

• European Council• European Parliament• European Commission

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

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

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

Commissioner Neelie KroesDG Information Society

“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)

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’)

FP7 >> H2020FP7 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

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

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

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)

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)

European Research Area

European national funder mandates

European mandatory policies

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

Recent growth in mandates

Policy analysis

Type NumberGreen OA mandate 36Green 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

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)

OA infrastructure for EU research

Authors

Institutional repositories

OpenAIRE

Readers

Google, etc

HARVEST

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

Two new projects• FOSTER:

– Training for researchers and other stakeholders– Training for trainers

• PASTEUR4OA:– Policy focus– Encourage and coordinate policy development

across Europe

Science knows no country, because

knowledge belongs to humanity, and is the torch that illuminates

the world.Louis Pasteur, 1822-1895

So, despite the diversity..

lots of collaboration for the benefit of OA in Europe and

beyond…

Global OA services originates out of Europe

• ROARMAP• SHERPA/RoMEO• OpenDOAR• DOAB

• DOAJ

Thank you for listening

lars@arl.org

www.sparceurope.org

Creative Commons License

This work is licensed under

Attribution 4.0 International Licensehttp://creativecommons.org/licenses/by/4.0/