Transcript Slide 1

Open Access
to research results –
European policy perspective
Kirsti Ala-Mutka
C3 Digital Science
DG Communications networks, content and technologies
European Commission
Madrid, 23.10.2012
“The views expressed in this presentation are those of the author and do not necessarily reflect the views of the European Commission”
Outline
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Digital Science
Open Access to research results
European policies for Open Access
Issues and arguments
The European Commission is a...
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Policy maker
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(Other institutions: Parliament, Council...)
Funding agency
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Consultations, debates...
Invites Member States to take
action
Proposes EU legislation
Research & Innovation: FP7,
Horizon 2020
Sets access and dissemination
rules for funded research
(Infra)structure funder and
capacity builder
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E.g. pan-European Open Data
Portal, OpenAIRE etc.
Fund projects relevant for Open
Access and Digital Science
Supports networking activities
Digital science: problem and objectives
Problem being addressed:
European investment in R&D is not sufficiently exploited
R&D efforts are fragmented
Research results do not reach the market efficiently enough
"Digital Science" response:
The internet  unprecedented opportunities to optimise the impact of
publicly-funded research, ie. Open Infrastructures for Open Science:
Faster growth: Better exploitation of research results for and by innovative
industry  products get to the market more quickly
Greater efficiency: foster collaboration; avoid duplication of effort
More transparency: involve citizens & society in the scientific process
Digital science: the scope
Making science and research more efficient, transparent,
trustworthy and valued through the tools and collaboration
models made possible by ICT
CONNECT « Digital Science » unit focuses on promoting
• Open Access to publications and data
• Collaborative Digital Science practices development and outreach to the
citizens, especially the young people
• Digital Science contribution to policy-making
• Coordination of CONNECT contribution to EU Excellence in Science
What is open access?
True or false?
True
False
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Open access means online access to knowledge at no charge to the
user.
Open access refers to publications only.
True or false?
True
False
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An open access requirement is an obligation to publish.
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Open access does not interfere with the decision to exploit research
results commercially (such as patenting).
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Open access publications are of a lower quality.
Open access (OA) to scientific information
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OA = online access at no charge to the user
• to peer-reviewed scientific publications
• to research data
Publications:
• OA comes after a decision to publish
• OA does not interfere with patenting
Two OA publishing business models
• Gold OA: costs covered by authors  immediate OA
• Green OA: deposit of manuscripts  delayed OA
Data:
• Making available the datasets underpinning the scientific publication
• Making available raw data, results of experiments
Expected benefits of open access
• Results of publicly funded research can be disseminated
more broadly and faster for the benefit of:
- researchers
- industry
- citizens
• Equal access across Europe and beyond
• Drive down the costs of dissemination without sacrificing
quality
• Enhanced transparency and reliability of research
• More efficient research through improved circulation of
knowledge and collaborations
EC public
consultation
on Open
Access
There is NO problem with access to scientific
publications
5%
8%
3%
agree strongly
39%
agree
no opinion
disagree
Respondents:
Individual researcher
(39%), citizen
(28%),
university/research
institute (8%),library
(7%), publisher
(6%), international
organisation (4%)
etc.
(July-September 2011)
disagree strongly
45%
Should publications resulting from publicly funded
research be available OA?
7%
2%1%
agree strongly
14%
agree
disagree
disagree strongly
76%
no opinion
In favour:
• 100%
•National and
Regional
Government
•Research funding
organization
•More than 90%
•Libraries,
•Citizens,
•Universities/rese
arch institutes
•Researchers
Disagree:
•67% of
publishers
Gold & Green
Gold OA
• Instead of the traditional subscription-based model…
• Costs of publishing are covered by authors (often via
funding bodies or institutions)
Fees for publishing usually range from 500 till 4,000 EUR
• Research articles are immediately available free of
charge upon publication
• Gold OA is often referred to as paid open access, author
pays model or open access publishing
• Some journals offer both subscriptions and open access
publishing to selected on-line articles (hybrid journals)
Green OA
• In addition to the traditional subscription-based model…
• The authors deposit (self-archive) the final peerreviewed manuscript in a repository (open archive) to be
made available in open access mode …
• … usually 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 is often referred to as self-archiving
Traditional
access loop
Research is
done
Researchers write
article
Self-archiving
access loop
Submitted to Journal
Peer review
Revision by article’s
Authors
Article Accepted, Certified,
Published by Journal
Author’s manuscript is
self-archived in
Repository
Access is maximized
and accelerated
Researchers can access the
article if their university has
a subscription to the Journal
New research builds
on published results
Source: Adapted from T. Brody and S. Harnad
(Southampton University)
European policies on Open Access
Recent EC policy steps on OA
2007
• EC Communication on scientific information
• Council Conclusions on scientific information in the digital age
• FP7 (OA publishing costs/Gold OA) are eligible)
2008
• Open Access Pilot in FP7 (Green OA)
2009
• OpenAire platform launched to give EU-wide access to
publications (and since Dec. 2011: research data)
• EC Communication on ICT infrastructures for e-Science
2012
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Survey on OA in FP7
Survey of state of play in Member States
Open Science stakeholder consultation event (Rome)
EC Communication on ERA
EC Communication and Recommendation on access to
scientific information
Digital Agenda
Communication from the Commission ‘A Digital Agenda for
Europe’ (COM(2010)245, 19.05.2010)
• Initiative to speed up the roll-out of high-speed internet and
reach the benefits of a digital single market
• Action area Research and Innovation:
 Europe must invest more in R&D in order to ensure that
ideas reach the market
 Europe's public sector expenditure should be used to spur
innovation
 Publicly funded research should be widely disseminated
through open access publication of scientific data and
papers
Innovation Union
Communication from the Commission ‘Innovation Union’
(COM(2010)546, 06.10.2010)
•Initiative to improve framework conditions and access to finance for research
and innovation
•Action area: Delivering the European Research Area:
 Commitment 4: European Research Area framework will seek to
ensure a common approach to dissemination and transfer and use of
research results, including through open access to publications and
data from publicly funded research”
•Action area: Promoting openness and capitalising on Europe’s creative
potential:
 Commitment 20: 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.
European Research Area
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Development since 2000: a Europe-wide space or ‘single market’
for research and innovation in which researchers, scientific
knowledge and technology circulate freely
Latest developments: 2012 Communication from the Commission
'A Reinforced European Research Area Partnership for Excellence
and Growth' (COM(2012) 392, 17.7.2012)
Action area: 2.5. Optimal circulation, access to and transfer of scientific
knowledge
MS and stakeholder actions on open access and preservation
EC to establish open access to scientific publications as a general
principle in Horizon 2020; experimentation with open access to data
MS and stakeholder actions related to the "Digital ERA", e.g. electronic
identify for researchers, digital research services, e-infrastructures, etc.
Support activities to raise stakeholder awareness of open access and
e-Science
Horizon 2020
Proposal for a Regulation of the European Parliament and of
the Council establishing Horizon 2020 (COM(2011) 809/3)
• Suggested themes and budget for the framework programme for
Research and Innovation(2014-2020)
• Has an objective of “deepening the relationship between science
and society and reinforcing public confidence in science”, including
 informed engagement of citizens and civil society
 promoting science education
 making scientific knowledge more accessible
• Digital Science development is supported through specific
programmes
 Future and Emerging Technologies (CONNECT)
 Research Infrastructures (e-infrastructures) (CONNECT and RTD)
 Science in Society (RTD)
What are our objectives?
• Develop and implement open access to research results
from projects funded by the EU Research Framework
Programmes
• Including fund research and support activities in the area of
open access
• Encourage national policy initiatives aiming at improving
access to and preservation of scientific information
• Contribute to policy co-ordination between Member States
In the words of Vice-President Kroes:
We spend hundreds of billions of euros on
research in Europe and we need to make
sure the results can have the largest
possible impact. As in so many other
fields, the internet is once again the key
to this progress.
As one of the biggest players in this field,
the EU is placing European science as a
global leader: and giving taxpayers the
“value for money” they deserve.
17 July 2012 press conference
In the words of Commissioner
Geoghegan-Quinn:
Open access will … boost
Europe's innovation capacity
and give citizens quicker access
to the benefits of scientific
discoveries."
September 2012 Stakeholder
meeting
Scientific information package
• Adopted on 17 July 2012 together with ERA
Communication "A Reinforced European Research Area
Partnership for Excellence and Growth"
• Commission Communication: "Towards better access to
scientific information: Boosting the benefits of public
investments in research"
 takes stock of and announces EC actions on access to and
preservation of scientific information
• Commission Recommendation on access to and preservation
of scientific information
 recommends actions for the Member States on access to and
preservation of scientific information
Better access to scientific information
Commission Communication: "Towards better access to scientific
information: Boosting the benefits of public investments in research"
(COM(2012) 401, 17.7.2012)
 Horizon 2020 makes open access to publications the general
principle for all projects
 In Horizon 2020 a pilot for open access to data will be
implemented, taking into account IPR and commercial interests
 In Horizon 2020 the Commission will continue to support relevant
projects and infrastructure and will also promote open access
with international partners
 The Commission will work with member states on common
principles and standards and to monitor progress
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Better access to scientific information
Commission Recommendation on access to and preservation of
scientific information (C(2012) 4890, 17.7.2012)
• Member States to define policies for and implement:
 OA to publications
 OA to research data – taking into account data-specific
concerns
 preservation and re-use of sientific information
 e-infrastructures
• Consistency between EU H2020 policy and MS policy
• Structured co-ordination of MS at EU-level and reporting
• Multi-stakeholder dialogue to be set up
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Open Access in FP7 and H2020
• OA mandate in H2020
"Best effort" to provide OA
7 research areas
Peer-reviewed publications
Allowed embargos: 6 / 12 months
(for social sciences & humanities)
• OA publishing costs
• Eligible while project runs
Gold OA
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Green OA
• OA Pilot in FP7
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Obligation to provide OA
All research areas
Peer-reviewed publications
Allowed embargos: 6 / 12 months
Plus: Possibility for research data
• OA publishing costs
• Eligibile while project runs
• New financial tool to cover later
publications under discussion
Support and monitoring
FP7 project OpenAIRE (Open
Access Infrastructure for
Research in Europe)
www.openaire.eu
• Support for technical
implementation of the
Open Access Pilot in FP7
• Helpdesk & contact points
in the EU Member States
• Technical infrastructure of
digital repositories to
deposit and access articles
and data produced under
FP7 (incl. ERC)
• Repository for homeless
publications (Orphan
repository)
Some arguments in favour of OA
• Fast and easy access to relevant information
• Avoid duplication of research & accelerate innovative
process
• Improved quality and transparency of research
• Improved visibility and citation rates
• Authors can retain their copyright
• Attractive to industry/SMEs
• Public money used efficiently
• Access for all
Reservations about OA
• Perceived conflict with patenting
• Self-archiving & OA publishing can be time consuming /
cumbersome
• Scientists’ ‘freedom’ to chose their journal
• A challenge to publishers
• Questions about quality control (version control)
• Financing of the author-pays model & infrastructures
• Sustainability
• Complexities to sharing data
In summary …
• Open access and related measures: a means to improve
knowledge circulation and thus innovation in Europe
• Member States are at different stages  need to get to the
same speed and co-ordinate
• Both 'Green' and 'Gold' open access measures to
publications should be promoted and will be included in
Horizon 2020
• Open Access to data should be promoted and will be piloted
in Horizon2020
• Open access must be effective, affordable, competitive and
sustainable for researchers and innovative businesses
Conclusion
‘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)
Your questions & your feedback
Learn more on Open Access and the Commission:
http://ec.europa.eu/research/science-society/open_access
OpenAIRE:
www.openaire.eu
Contact
Celina Ramjoué
[email protected]
Twitter:
@OpenAccessEC
Kirsti Ala-Mutka
[email protected]