Facilitate Open Science Training for European Research - PowerPoint Presentation

Slide1

Facilitate Open Science Training for European ResearchSlide2

Designing

Successful Open Access and Open Data Policies: David Ball

Open Science

Some definitions

Horizon 2020 policy

Successful Open Access policies

Successful Open

Data policies

See the course materials for model policies, checklists, examples of successful funders’ policies, further reading:

https://www.fosteropenscience.eu/content/designing-successful-open-access-and-open-data-policies-intermediateSlide3

Open Science

Knowledge

is open

if anyone is free to access, use, modify, and share it — subject, at most, to measures that preserve provenance and

openness

(Open Knowledge Foundation:

http://opendefinition.org/od/

);

Open Science

is the conduct of science in such a way that others can collaborate and contribute, where research data, laboratory notes and other research processes are freely available, with licence terms that allow re-use, redistribution and reproduction of the research (FOSTER:

https://www.fosteropenscience.eu/foster-taxonomy/open-science-definition

);

Open Science

is commonly held to encompass: Open Source Software, Open Data, Open Access, Open Notebooks. Slide4

Rationales for Open

Science (OECD)

Improving efficiency in science

by

reducing duplication and the costs of creating, transferring and re-using data; enabling more research on the same

data.

Increasing transparency and quality

in the research validation process, by allowing greater replication and validation of scientific results.

Speeding the transfer of knowledge

promote

swifter development from research to innovation.

Increasing knowledge spill-overs to the economy

– Increased access to the results of publicly funded research can foster spill-overs and boost

innovation.

Addressing global challenges more effectively

– Global challenges require co-ordinated international

actions.

Promoting

citizens’ engagement

in science and

research - may

lead to active participation in scientific experiments and data

collection.Slide5

Open Research Data

Research

data

can be defined

as

whatever is either produced in the research process or evidences research outputs such as articles;

The

European Commission’s

definition is: “information, in particular facts or numbers, collected to be examined and considered and as a basis for reasoning, discussion, or calculation”

(

http

://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2020-hi-oa-pilot-guide_en.pdf

);

Examples

include: statistics, results of experiments, measurements, observations resulting from fieldwork, survey results, interview recordings, images;

Open data

are deposited in institutional or specialist repositories and licensed appropriately so that prospective users know clearly any limitations on re-use.Slide6

Open Access

Definition

Peter

Suber’s

Concise Definition:

Open Access

literature is “digital, online, free of charge, and free of most copyright and licensing

restrictions” (Suber

, P.

Open access

. MIT Press, 2012. Available at:

https://mitpress.mit.edu/sites/default/files/9780262517638_Open_Access_PDF_Version.pdf

)Slide7

Green

Open Access

Green

OA:

I

s

delivered through

self-archiving

: authors deposit manuscripts in institutional or disciplinary repositories;

Relies on

a recent but well established infrastructure of repositories;

Is easy and cheap

: each article only incurs a very small portion of the overhead costs of setting up and running repositories;

Does not incur the

overheads of peer-review;

However, deposited articles may be, most often have been,

peer-reviewed for publication

in traditional Toll Access

journals.Slide8

Gold

Open Access

Gold OA:

Offers

articles that are

paid for by the authors

or their institutions or funders;

Articles may

be

either

in

completely OA journals or in

hybrid journals

, containing both OA and TA articles;

Articles are

peer-reviewed

for publication;

Incurs much the

same costs

for the editorial and peer review process as TA journal publishing;

Is always

immediate

, while Green OA is often subject to time embargoes imposed by subscription journal

publishers.Slide9

Horizon 2020

Open Access policy

The policy:

Is mandatory for peer-reviewed publications;

Is mandatory for Green OA

: researchers

publish as usual in subscription-based

journals

and

place

a copy

of peer-reviewed publications in repositories, at the latest upon publication;

Sees payments for OA journal publication (Gold OA) as eligible for grant expenditure;

Does not

however favour

either Gold or Green OA;

Requires open access via a repository to the bibliographic metadata that identify the deposited publication;

Is silent as regards monographs;

Is definite on data, announcing an open data pilot for

H2020.Slide10

Member

States

The European Commission recommends that Member States:

Develop OA policies;

Ensure consistency between Member

States’

and H2020 OA policy;

Promote coordination at EU level;

Report on progress at MS and EU level;

Establish multi-stakeholder dialogue. Slide11

P

olicy Alignment in Member States

The rationale

is

to:

Iron out dissonances for researchers working in interdisciplinary areas or on international teams;

Support the EU harmonisation agenda for ERA (research conditions, researcher mobility, etc.);

Change authors’ practices and norms;

Allow generic infrastructural services to be established in support of policy.Slide12

OA Policy Alignment Checklist

An

OA Policy Alignment Checklist

has been produced by the PASTEUR4OA Project (

http://pasteur4oa.eu/resources

). It enables institutions and funders to measure their compliance with the requirements of the European Commission's Horizon 2020 Multi-beneficiary General Model Grant Agreement

(

http://ec.europa.eu/research/participants/data/ref/h2020/mga/gga/h2020-mga-gga-multi_en.pdf

).Slide13

Open Access Policies

The following section is informed by the detailed research of the PASTEUR4OA project

http://www.pasteur4oa.eu/

The project

examined

the mandatory

OA policies

in place at over 120 universities around the world and assessed the effectiveness of each

policy

R

egression analysis was used to determine the

important elements of a

policy

Note

: the policies examined were from research

institutions

, there were very few funders’ policiesSlide14

What an Open Access policy covers

W

hether

or not the policy

is

mandatory;

W

hether

the policy stipulates how Open Access should be provided (through deposit into an Open Access repository or by publication in Open Access journals);

Where

repository-based OA is concerned, in which repository (or repositories) items may be deposited;

T

he

length of permitted

publishers’ embargoes

;

W

hether

there are to be sanctions in the case of non-compliance;

W

hether

there are to be any particular requirements regarding licensing, including whether authors should retain certain rights over their

work.Slide15

What makes an Open Access policy

effective:the important

elements of a

policy

The

policy states that research articles

must

be deposited in a repository (that is, the policy is mandatory);

The policy states that this action cannot be waived:

whatever

the conditions of embargo, the article

must be deposited

at the point specified by the policy;

If the policy states that an author should retain certain rights over the published work, this action is mandatory and cannot be waived;

The policy states that deposited items must

be,

or must be

made,

Open Access, and if there is an embargo then they must be made Open Access immediately the embargo comes to an end;

The policy links the

deposit

of articles with research assessment/performance evaluation procedures within the institution: that is, the policy states that articles that are not deposited in line with policy requirements will not count towards performance reviews or research assessment exercises.Slide16

What makes an Open Access policy effective:

The critical elements of a policy

The policy

requires

that research articles be deposited in an Open Access repository;

In addition, the policy must state that this deposit step

cannot be waived

;

The policy links deposit with research assessment (performance evaluation).

The first two elements

are

significantly correlated with resulting high levels of Open Access and, of course, they make the policy a mandatory one. Slide17

Open Data and Open Access

“Open

access to scientific research data enhances data quality, reduces the need for duplication of research, speeds up scientific progress and helps to combat scientific fraud

” – European Commission 2012.

Research data

are the

data, files, and other records, produced in research or that evidence and validate research

results.

Open Access to research data is

seen as

a key activity complementary to Open Access to scientific

publications.

Open Data policies are still relatively few in number

and have not been analysed as have Open Access policies, but there

are

some

policies in existence, and models and guides to creating and implementing

them.Slide18

What an Open Data policy

covers (Digital Curation Centre)

Data

: a datasets policy or statement on access to and maintenance of electronic resources;

Time limits

: set timeframes for making content accessible or preserving research outputs;

Data plan

: requirement to consider data creation, management or sharing in the grant application;

Access/sharing

: promotion of OA journals, deposit in repositories, data sharing or reuse

;

Long-term curation

: stipulations on long-term maintenance and preservation of research

outputs.Slide19

What an Open Data policy

covers - 2

Monitoring

: whether compliance is monitored or action taken such as withholding funds;

Guidance

: provision of FAQs, best practice guides, toolkits, and support staff;

Repository

: provision of a repository to make published research outputs accessible;

Data centre

: provision of a data centre to curate unpublished electronic resources or data;

Costs

: a willingness to meet publication fees and data management / sharing costs

.

http://www.dcc.ac.uk/resources/policy-and-legal/overview-funders-data-policiesSlide20

The model Open Data

policy: the RECODE Project

Open access as default.

The policy should set open access for research data as the default and mandatory requirement and provide appropriate support and funding.

Responsibilities.

The policy should assign responsibilities and set out the expectations for the main stakeholders.

Target content.

The policy should be explicit on which data should be open. Open access should be required for research data used to validate scientific claims in publications.

Data Management Plan (DMP).

The policy should require grant applicants who will generate data to provide a DMP as the main tool through which to address comprehensively data management.

Time of deposit.

The policy should require data supporting

a publication

to be made open ideally at the latest at the same time with the

publication,

and link to it.Slide21

The model Open Data policy: the RECODE

Project - 2

Locus of deposit.

The policy should require deposit in certified and trusted repositories and/or data

centres

.

Technical specifications to allow reuse.

To enable research data reuse and citation funders should require information on metadata, DOI, interoperability of systems, machine readability and

mineability

and

software to be included

in the policy.

Licensing research data.

The policy should require that research data is accompanied by licensing describing the terms of use.

Provisions for long-term availability.

Policies should include provisions for the long-term availability of data, since re-use and availability are primary reasons for open access to research data.

Compliance with policy.

The policy should make statements regarding compliance to it by the researchers and clarify measures for non-compliance

.

http://recodeproject.eu/wp-content/uploads/2015/01/recode_guideline_en_web_version_full_FINAL.pdfSlide22

What makes an Open Data policy effective

Open Data policies have had too short a

life to support the type of analysis undertaken by PASTEUR4OA on Open Access policies.

By analogy

with the

PASTEUR4OA analysis,

factors that drive effectiveness are:

Making policies mandatory;

I

nsisting

on timing of deposit to be at the latest when outputs are

published;

Linking

to data from

publications;

T

echnical

specifications to enable

re-use;

C

lear

licensing

statements.Slide23

Policies of

funders

UK research funders can be seen as global pace-setters

in Open

Data policies (RECODE)

DCC

provides comprehensive information in tabular form

on what their policies include (

http://www.dcc.ac.uk/resources/policy-and-legal/overview-funders-data-policies

),and

links to the

textsSlide24

Questions

?

See

the course materials for model policies, checklists, examples of successful funders’ policies, further reading:

https://

www.fosteropenscience.eu/content/designing-successful-open-access-and-open-data-policies-intermediate

Contact: David Ball, SPARC Europe Project Officer for FOSTER (davidball1611@gmail.com)