uksg conference 2016 breakout session - open access – the funder perspective, ron dekker and...

Open Access – the Funder PerspectiveRon Dekker (NWO), Johannes Fournier (DFG)

Contents

1. NWO

2. DFG

3. Science Europe

4. Global Research Council

R. Dekker / J. Fournier: Funder Perspective on Open AccessUKSG Conference 2016, Bournemouth2

Intro: Why would or should funders support OA?

1. Principle:results op publicly funded research should be publicly available

2. It‘s in the missione.g. NWO: our conviction is that scientific research contributes to our prosperity and well-being and that it provides for our growing need for knowledge: for facing societal challenges, for economic development and to better understand ourselves and the world.

3. Maximise the results of the funded researchdo not restrict sharing knowledge to peers only; valuable knowledge can be utilised by researchers, businesses and civil society organisations


Open Access at NWO

1. NWO asks researchers

● to publish in a completely Open Access journal (Gold) or

● to deposit the article in a centrally managed, findable database of the university or professional discipline (Green)

2. Researchers who have received NWO funding can apply to an incentive funds for remuneration of the Gold APCs

3. Green route implies depositing the article in a so-called ‘trusted repository’ making this immediately accessible.

● NWO considers all repositories included in the Directory of Open Access Repositories to be ‘trusted repositories’


http://www.opendoar.org/

Optimal Reuse of Research Data at NWO

Optimal Reuse of Research Data means that research results are available.

1. Others, primarily researchers, can then

• re-use the information and

• are able to verify the conclusions of their fellow researchers since they have access to the underlying data.

2. NWO has started a data management pilot in preparation for its future policy

Open where possible, protected where needed


The DFG’s mission statement: the self-governing

The DFG

► serves all branches of science and the humanities

► fosters scientific excellence through competition

► supports international cooperation in research

► advises political and social decision-makers

► supports the transfer of knowledge between science and industry


organisation for science and research in Germany

Research funding in 2014, awarded per programme (in € m and %)

Individual grants programme

835 (30.6%)

Research Centres 32 (1.2%)

CollaborativeResearch Centres594 (21.7%)

Priority Programmes199 (7.3%)

Research Units 152 (5.6%)

Research Training Groups 172 (6.3%)

Infrastructure funding172 (6.3%)

Prizes, other 58 (2,1%)

Excellence Initiative 516 (18.9%)

Amount of research funding* awarded by scientific discipline for each calendar year 2011 to 2014 (in € m and %)


* Funding amounts refer to both new and ongoing projects in the individual grants and coordinated programmes that receive funding in the year shown

318.3(15.3%)

319.0(15.5%)

316.3(15.9%)

326.1(16.2%)

808.1(38.9%)

791.2(38.6%)

774.0(39.0%)

763.1(38.5%)

498.8(24.0%)

500.8(24.4%) 477.4

(24.0%)462.6(23.3%)

451.9(21.8%)

440.7(21.5%)

419.3(21.1%)

431.2(21.7%)

0

100

200

300

400

500

600

700

800

900

1.000

2011 2012 2013 2014

Humanities and Social Sciences Life SciencesNatural Sciences Engineering Sciences

►Self-governance ● Policies need to be agreed upon by the DFG‘s Committees

● Support is more important than prescriptions

►Response Mode

● Promotion of open access where it leads to better research

● Open access needs to fulfil a function for the research activity

● Support of open access where a community articulates its need for open access

►Future-orientation ● Adress the basic conditions (e.g. financial, legal, structural) for enabling the open sharing and re-use of research

results

● Stimulate innovative developments in the information infrastructure

The Principles of DFG‘s Funding Philosophy


in Interaction with Open Access

Self-Governance and Open Access

The DFG expects that research results are published

… if possible also in Open Access,

… via subject-based or institutional repositories (in addition to the officially published article),

… via publishing through dedicated, renowned open access journals,

… references to discipline-specific embargo periods between 6 and 12 months.

(Source:

DFG Guidelines for Use of Funds, p. 7)

R. Dekker / J. Fournier: Funder Perspective on Open AccessUKSG Conference 2016, Bournemouth

The DFG‘s Open Access Policy (2006)

9

http://www.dfg.de/formulare/2_012e/2_012e.pdf







► Notes that research data are essential for scientific work

► Calls on all applicants for DFG-project funding to

● describe how they ensure that data are made re-usable;

● make research data available as soon as possible;

● take care for the long-term archiving of research data.

► Points out how the DFG assists researchers by

● providing information on research data management;

● granting money to cover expenses for preparing data for future re-use.

► Appeals to scholarly and scientific societies to

● initiate discipline-specific conversations to develop data guidelines;

Self-Governance and Research Data

R. Dekker / J. Fournier: Funder Perspective on Open AccessUKSG Conference 2016, Bournemouth

DFG-Guidelines on Handling of Research Data (2015)

10

http://www.dfg.de/en/research_funding/proposal_review_decision/applicants/submitting_proposal/research_data/index.html

http://risources.dfg.de/

► DFG programme guidelines published in early 2014

► Motivated by rather recent developments in the presentation of research results● Digital, openly accessible, re-usable

● Texts, audiovisual material, research data – interconnected

● Formal and informal communication, social media

● Computer-based analyses on digital „corpora“

► Focused on Open Access to publications

► Targeted at (community-specific) projects on producing, using and disseminating openly accessible „publications“

Response Mode and Open AccessInfrastructure for Electronic Publications and Science Communication


http://www.dfg.de/formulare/12_11/12_11_en.pdf




Response Mode and Research Data

►Establishment of a new funding opportunity (2011)

►Development of standards and concepts for research data management

►Establishment of supra-regional, discipline-specific research data respositories● In accordance with communities‘ needs;

● Compatible with international infrastructures;

● In cooperation of researchers and information infrastructure.


Information Infrastructures for Research Data





►Design the transition from the reader-pays to a producer-pays model● Money which is already in the system should pay for open access

● Shifting of budgets can be initiated with additional money

● Permanent, reliable infrastructure to deal with APCs as objective

►Establish Open Access Publication Funds● Only universities as institutions are eligible

● APCs must not exceed 2.000 €

● No funds to cover APCs for hybrid open access

● Since 2009, grants awarded to more than 32 universities

Future Orientation and Open Access


The Funding Programme Open Access Publishing





►Archiving Rights in so-called „Alliance Licenses“● Permission to deposit articles from licensed journals

● Granted to authors and their respective institutions

● Publisher’s format, maximal embargo of one year

● Repository of author’s or institution’s choice

►Right for Self-Archiving in German Copyright Law● §38,4 UrhG became law on January 1st, 2014

● Entitles, yet does not oblige authors to self-archive

● Granted even after exclusive copyright transfer

● Numerous specific limitations will impede the law‘s application

Bild durch Klicken hinzufügen


Adress Copyright Issues



http://dejure.org/gesetze/UrhG/38.html


►Aims at ensuring the legitimate re-use of research results by third parties

►Recommendation to make clear explicitly what readers and users are allowed to do with open available research information – by using explicit licenses

►Refers to Creative Commons licenses as standard

►Differentiates according to various research outputs

● Text publications (journal articles, books, edited volumes)

● Research data

● Software

● Metadata


Appeal to Make Use of Open Licenses

http://www.dfg.de/foerderung/info_wissenschaft/2014/info_wissenschaft_14_68/index.html

The Importance of International Cooperation



Open Access at Science Europe

Taken from http://www.scienceeurope.org/uploads/PublicDocumentsAndSpeeches/WGs_docs/SE_POA_Pos_Statement_WEB_FINAL_20150617.pdf

Principles on the Transition to Open Access to Research Publications

Require that funding of Open Access publication fees is part of a transparent cost structure, incorporating a clear picture of publishers’ service costs (principle number 7).

Science Europe, April 2013

http://www.scienceeurope.org/uploads/PublicDocumentsAndSpeeches/WGs_docs/SE_POA_Pos_Statement_WEB_FINAL_20150617.pdf



“Minimum expected services from publishers, which are applicable when providing payments / subsidies for open access”

► IndexingJournal is listed in standard databases like PMC, DOAJ, Web of Science

►Copyright and Re-useCopyright remains with authors; publication with open licenses, preferably CC-BY

►Sustainable ArchivingDeposit of copy by publisher in third-party repository; persistent accessibility

►Machine Readability

Required for full text, metadata, supporting data, and open access status information

(Principles adopted by Science Europe in May 2015)

SE Principles on Open Access Publisher Services


►Add open access requirements to subscription costs,yet be aware of the problematic nature of any „big deals“ which are easily perpetuated

►Accelerate the transition through offsetting,yet be aware that it is not only about money, yet about publication services

►Capture key data and contribute to increasing transparency, yet be aware of the many funding streams towards OA to possibly pool resources.

►Explore novel approaches towards OA platforms, ● yet take into account what kind of publication services authors ask for.

SE Briefing on Current Trends in OA Business Models


The Global Research Council

Action Plan towards Open Access

►Encouragement of open access to increase research council’s return of investment

►Education of researchers regarding the importance, the benefits, and the various approaches towards open access

►Provision of support for grantees through open access policies, through addressing copyright, or through dedicated open access funding



Principles for Transitioning towards Open Access

http://www.globalresearchcouncil.org/sites/default/files/pdfs/grc_action_plan_open_access%20FINAL.pdf



Open Access at the Global Research Council

► Review of Implementation of the GRC „Action Plan towards Open Access“ (May 2014)

● Revisions of actual policies go for stronger mandates

● Willingness to (more precisely) measure the outcomes of open access policies

● Concerns and issues with regard to APCs

► Clear tendency to open access monographs and research data besides journal articles

► Growing awareness that open access is not only a matter of business models, yet of an entire, dedicated infrastructure



Taken from the Review of Implementation of the GRC Action Plan




http://www.globalresearchcouncil.org/sites/default/files/pdfs/Review%20of%20Implemention%20of%20GRC%20Action%20Plan.pdf








1. Funders, clearly articulate your targets and set a clear time path for a transition worldwide, e.g. “OA for 94% of the journals by January 1, 2020”.

2. Research Funding Organisations and Research Performing Organisations, incl. libraries, stand united in the transition to full OA.

3. Funders, please do share and promote good practices on a global level, do share information, make your policies known worldwide.


Workshop 21-22 March 2016 in The Hague NL


4. Funders and other stakeholders, please do support sustainable, linked infrastructures

5. Publishers, provide clarity on pricing for your products, incl. APC’s

6. Funders, be committed towards a general direction of Open Access, yet act prudently when implementing it but do not use this as an excuse for leaning back or delaying the matter.

R. Dekker / J. Fournier: Funder Perspective on Open AccessUKSG Conference 2016, Bornemouth22



Funders should take the lead to drive the change, to get people to appreciate and work on Open Access. It is crucial to do this together with the universities.

Do not pursue a ‘one size fits all’ approach over countries and over disciplines (cultural and financial)

Do not take ‘iconic’ journals as the standards for scholarly publishing



NL Presidency of the European Council

Two important pan-European goals for 2020:

1. Full open access for all scientific publications

2. A fundamentally new approach towards optimal reuse of research data

Flanking policy

3. New assessment, reward and evaluation systems

4. Alignment of policies and exchange of best practices


Focus on Open Science

NL Presidency of the European Council

Twelve Action Lines:

Removing barriers to open science

1. Change assessment, evaluation and reward systems in science

2. Facilitate text and data mining of content

3. Improve insight into IPR and issues such as privacy

4. Create transparency on the costs and conditions of academic communication

Developing research infrastructures

5. Introduce FAIR and secure data principles

6. Set up common e-infrastructures



NL Presidency of the European Council (2)

Fostering and creating incentives for open science

7. Adopt open access principles

8. Stimulate new publishing models for knowledge transfer

9. Stimulate evidence-based research on innovations in open science

Mainstreaming and further promoting open science policies

10. Develop, implement, monitor and refine open access plans

Stimulating and embedding open science in science and society

11. Involve researchers and new users in open science

12. Encourage stakeholders to share expertise and information on open science



Thank you for your attention!More information► on the DFG: http://www.dfg.de► on the DFG‘s funding atlas: http://www.dfg.de/foerderatlas► on all DFG-funded projects: http://www.dfg.de/gepris► on all German research institutes: http://research-explorer.de

► on NWO: http://www.nwo.nl/en► on Open Access in The Netherlands http://www.openaccess.nl/en

UKSG Conference 2016, BournemouthR. Dekker / J. Fournier: Funder Perspective on Open Access

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http://www.dfg.de/

http://www.dfg.de/foerderatlas

http://www.dfg.de/foerderatlas

http://www.dfg.de/gepris

http://www.dfg.de/gepris

http://research-explorer.de/

http://www.dfg.de/

http://research-explorer.de/