Transcript Presentation - Policy guidelines - funders

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Open Access policy guidelines for research funders
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The European policy context
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European Commission:
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Open circulation of knowledge is one of the five priorities of the
European Research Area (ERA)
And one of the constituents of Responsible Research & Innovation
(RRI)
Recommendation to Member States (July 2012)
Open Access pilot for FP7 (until end-2013)
Open Access mandatory policy for all Horizon 2020 research (2014-20)
Open Data pilot for Horizon 2020
More than half the 700+ Open Access policies are in Europe
Open Access policies worldwide
Data: ROARMAP: http://roarmap.eprints.org/ (data point October 2015)
Numbers and types of OA policymakers
Data: ROARMAP: http://roarmap.eprints.org/ (data point October 2015)
Open Access essentials
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Free online access to research outputs (journal articles, books,
data)
Provided in three main ways:
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Through author ‘self-archiving’ in repositories (‘Green’ OA)
Publishing in Open Access journals (‘Gold’ OA) or as OA articles in
subscription journals (‘Hybrid Gold’ OA):
Publishing Open Access books
Benefits of an Open Access policy: funders
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Improved monitoring of the quality and transparency of the research
they fund
Higher return on their investment by the re-use and higher visibility of
the results of the research they fund
Enhanced innovation potential of research institutions and researchintensive SMEs
New and innovative ways of performing research (e.g.Text and Data
Mining and machine-intensive research methods)
Enable new collaborations, interdisciplinary and international research
Foster science-literate and research-literate citizens and enhance
citizen science
Gradually save on expensive journals subscriptions
Benefits of an Open Access policy: researchers
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Increases the visibility of, and showcases, their research
Increases the usage of their research
Increases the impact of their research (citations)
Repository enables them to collect all their outputs in a safe,
permanent location
Repository provides information on usage and impact
Repository provides personalised publication lists to be used in
grant applications, CVs and when writing articles
The Open Access policy at a glance
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Aligns with the European Commission’s H2020 policy
Mandatory
Requires immediate deposit of research outputs in a repository at
acceptance for publication but respects reasonable embargoes
required by publishers
Encourages publishing in Open Access journals and monographs
Specifies that publishing costs are eligible project costs and grant
money may be spent on them: specifies limits that can be spent per
project or per year and disallows publication in ‘hybrid’ journals
Specifies the licence to be used for Open Access articles
Links compliance with project reporting, future funding requests and
performance evaluation
Policy implementation: useful steps
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Assessment of the policies of the European Commission and
comparator organisations internationally
Dialogue and collaborative approach with stakeholders
Establishment of the relevant e-infrastructure (e.g. repository
and/or CRIS/research bibliography)
Formulation of the policy
Guidance and training of researchers in compliance
Provision of incentives and rewards for compliance
Clarification of sanctions for non-compliance
Compliance monitoring mechanism(s)
Provision of resources for the long term sustainability of the
services needed to support the policy
Practical checklist
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Research and map relevant comparator policies
Involve stakeholders
Formulate the policy
Include the clause in grant agreements
Assess infrastructural provision and plan developments where
necessary
Guidance and support for researchers
Provision for reward for compliance and sanction for non-compliance
Establish mechanism to monitor compliance
Mechanism to evaluate efficacy of the policy
Resourcing and sustainability plan for supporting the policy
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