European Open Access and Open Research Data policy landscape and copyright management in Open Access projects Iryna Kuchma, Open Access Programme Manager Presentation at "Open access policy of Slovakia in the European context 2015 – current state and perspectives” conference, March 25, 2015, SCSTI, Slovakia Attribution 4.0 International “As of April 2014, more than 50% of the scientific papers published in 2007-2012 can be downloaded for free on the Internet.” Proportion of Open Access Papers Published in Peer-Reviewed Journals at the European and World Levels—1996–2013 http://tinyurl.com/n4j25yx Horizon 2020 All beneficiaries are required to deposit and ensure open access “Putting research results in the public sphere makes science better & strengthens our knowledge-based economy. The European taxpayer should not have to pay twice for publicly funded research. That is why we have made OA to publications the default setting for Horizon 2020, the EU research & innovation funding programme." Máire Geoghegan-Quinn, European Commissioner for Research, Innovation & Science (2010-2014) What to deposit A machine-readable electronic copy of the published version - publisher’s final version of the paper, including all modifications from the peer review process, copyediting & stylistic edits, & formatting changes (usually a PDF document) OR A final peer-reviewed manuscript accepted for publication - final manuscript of a peer-reviewed paper accepted for journal publication, including all modifications from the peer review process, but not yet formatted by the publisher (also referred to as “postprint” version). Where to deposit Researchers should deposit in a repository for scientific publications (online archives) of their choice: • Institutional repository of the research institution with which they are affiliated OR • Subject-based/thematic repository OR • Centralised repository, e.g. Zenodo repository set up by the OpenAIRE project are acceptable choices. When to deposit Each beneficiary must deposit as soon as possible and at the latest on publication. Each beneficiary must ensure open access to the deposited publication — via the repository — at the latest: (i) on publication, if an electronic version is available for free via the publisher, or (ii) within six months of publication (12 months for publications in the social sciences and humanities) in any other case. OA publishing Researchers can publish in OA journals, or in journals that sell subscriptions and also offer the possibility of making individual articles openly accessible (hybrid journals). Where the case, the Author Processing Charges (APCs) incurred by beneficiaries are eligible for reimbursement during the duration of the action. For APCs incurred after the end of their grant agreement, a mechanism for paying some of these costs will be piloted. In the case of OA publishing OA must be granted at the latest on publication. OA to bibliographic metadata The bibliographic metadata must be in a standard format and must include all of the following: - the terms ["European Union (EU)" and "Horizon 2020"]["Euratom" and Euratom research and training programme 2014-2018"]; - the name of the action, acronym and grant number; - the publication date, and length of embargo period if applicable, and - a persistent identifier. Monitoring compliance If a beneficiary breaches any of its obligations, the grant may be reduced (see Article 43). Such a breach may also lead to any of the other measures described in Chapter 6 of the Multibeneficiary General Model Grant Agreement, Version 1.0, December 11, 2013). Copyright In all cases, the Commission encourages authors to retain their copyright and grant adequate licenses to publishers. Creative Commons offers useful licensing solutions in this regard (e.g. CC-BY). Image courtesy of http://aukeherrema.nl/ CC-BY In the context of the digital era, the notion of’ publication’ increasingly includes the data underpinning the publication and results presented, also referred to as ‘underlying’ data. Beneficiaries must aim to deposit at the same time the research data needed to validate the results presented in the deposited scientific publications, ideally into a data repository, and aim to make open access to this data. But there is no obligation to do so. Open Research Data Pilot A novelty in Horizon 2020 is the Open Research Data Pilot which aims to improve and maximise access to and re-use of research data generated by projects. It will be monitored with a view to developing the European Commission policy on open research data in future Framework Programmes. Projects in core areas of H2020 that are part of the Open Research Data Pilot Future and Emerging Technologies Research infrastructures – part e-Infrastructures Leadership in enabling and industrial technologies – Information and Communication Technologies Societal Challenge: Secure, Clean and Efficient Energy – part Smart cities and communities Societal Challenge: Climate Action, Environment, Resource Efficiency and Raw materials – with the exception of raw materials topics Societal Challenge: Europe in a changing world – inclusive, innovative and reflective Societies Science with and for Society What to deposit Projects participating in the Pilot are required to deposit the research data described below: • The data, including associated metadata, needed to validate the results presented in scientific publications as soon as possible; • Other data, including associated metadata, as specified & within the deadlines laid down in a data management plan (DMP). What is research data? ‘Research data’ refers to information, in particular facts or numbers, collected to be examined and considered as a basis for reasoning, discussion or calculation. In a research context, examples of data include statistics, results of experiments, measurements, observations resulting from fieldwork, survey results, interview recordings and images. The focus is on research data that is available in digital form. Guidelines on Open Access to Scientific Publications and Research Data in Horizon 2020 v.1.0, 11 December 2013, Footnote 5, p3 What is open data? Openly accessible research data can typically be accessed, mined, exploited, reproduced and disseminated, free of charge for the user. Guidelines on Open Access to Scientific Publications and Research Data in Horizon 2020, p3 Tim Berners-Lee’s proposal for five star open data - http://5stardata.info make your stuff available on the Web (whatever format) under an open licence make it available as structured data (e.g. Excel instead of a scan of a table) use non-proprietary formats (e.g. CSV instead of Excel) use URIs to denote things, so that people can point at your stuff link your data to other data to provide context Where to deposit Projects should deposit preferably in a research data repository and take measures to enable third parties to access, mine, exploit, reproduce and disseminate — free of charge for any user. OpenAIRE project provides a Zenodo repository that could be used for depositing data. When to deposit The data, including associated metadata, needed to validate the results presented in scientific publications should be deposited as soon as possible. Other data, including associated metadata, should be deposited as specified and within the deadlines laid down in a data management plan (DMP). What is Research Data Management? Plan Share Create Publish Document Use “the active management and appraisal of data over the lifecycle of scholarly and scientific interest” Data management is part of good research practice DMP A data management plan is a document outlining how research data will be handled during a research project, and after it is completed, describing what data will be collected / generated and following what methodology and standards, whether and how this data will be shared and/or made open, and how it will be curated and preserved. Open Research Data Pilot At the same time, projects should provide information about tools and instruments at the disposal of the beneficiaries and necessary for validating the results, for instance specialised software or software code. Open Research Data Pilot Areas, or sub-areas of, or individual projects funded under Horizon 2020 and not covered by the scope of the Pilot may participate on a voluntary basis (‘opt in’). The project consortia that decide to participate on a voluntary basis will be monitored along with and receive the same support as in-scope projects in the Pilot. Why would researchers want to opt in?(1) “It was a mistake in a spreadsheet that could have been easily overlooked: a few rows left out of an equation to average the values in a column. The spreadsheet was used to draw the conclusion of an influential 2010 economics paper: that public debt of more than 90% of GDP slows down growth. This conclusion was later cited by the International Monetary Fund and the UK Treasury to justify programmes of austerity that have arguably led to riots, poverty and lost jobs.” ... validation of results www.guardian.co.uk/politics/2013/apr/18/uncovered-error-george-osborne-austerity Why would researchers want to opt in?(2) “It was unbelievable. Its not science the way most of us have practiced in our careers. But we all realised that we would never get biomarkers unless all of us parked our egos and intellectual property noses outside the door and agreed that all of our data would be public immediately.” Dr John Trojanowski, University of Pennsylvania www.nytimes.com/2010/08/13/health/research/ 13alzheimer.html?pagewanted=all&_r=0 ... scientific breakthroughs Why would researchers want to opt in?(3) “There is evidence that studies that make their data available do indeed receive more citations than similar studies that do not.” Piwowar H. and Vision T.J 2013 "Data reuse and the open data citation advantage“ https://peerj.com/preprints/1.pdf 9% - 30% increase ... more citations Open Research Data Pilot Projects may opt out of the Pilot in H2020 in a series of cases that include conflict with obligation to protect results, with confidentiality obligations, with security obligations or with rules on protection of personal data. They may also opt out should the achievement of the action’s main objective be jeopardised by making specific parts of the research data openly accessible. In this case, the data management plan must contain the reasons for not giving access. Exemptions – reasons for opting out • If results are expected to be commercially or industrially exploited • If participation is incompatible with the need for confidentiality in connection with security issues • Incompatible with existing rules on the protection of personal data • Would jeopardise the achievement of the main aim of the action • If the project will not generate / collect any research data • If there are other legitimate reason to not take part in the Pilot Can opt out at proposal stage OR during lifetime of project. Should describe issues in the project Data Management Plan. Which data does the pilot apply to? • Data, including associated metadata, needed to validate the results in scientific publications • Other curated and/or raw data, including associated metadata, as specified in the DMP Doesn’t apply to all data (researchers to define as appropriate) Don’t have to share data if inappropriate – exemptions apply Requirements of the open data pilot 1. Develop (and update) a Data Management Plan 2. Deposit in a research data repository 3. Make it possible for third parties to access, mine, exploit, reproduce and disseminate data – free of charge for any user 4. Provide information on the tools and instruments needed to validate the results (or provide the tools) 2. Deposit in a repository http://service.re3data.org/search Zenodo http://databib.org • OpenAIRE-CERN joint effort • Multidisciplinary repository • Multiple data types – Publications – Long tail of research data • Citable data (DOI) • Links to funding, publications, data & software www.zenodo.org 3. License your data for reuse Outlines pros and cons of each approach and gives practical advice on how to implement your licence CREATIVE COMMONS LIMITATIONS NC Non-Commercial What counts as commercial? SA Share Alike Reduces interoperability Horizon 2020 recommendation is to use ND No Derivatives Severely restricts use OR http://www.dcc.ac.uk/resources/howguides/license-research-data 4. Provide info on tools needed for validation Need to share much more than just the data for research to be reproducible... Difficult to validate data if you’re missing info on the steps between the initial idea and end results Open Research Data Pilot Costs relating to the implementation of the pilot will be reimbursed. Specific technical and professional support services will also be provided. Monitoring compliance If a beneficiary breaches any of its obligations, the grant may be reduced (see Article 43). Such a breach may also lead to any of the other measures described in Chapter 6 of the Multibeneficiary General Model Grant Agreement, Version 1.0, December 11, 2013). The Horizon 2020 Open Data Pilot Sarah Jones Digital Curation Centre, University of Glasgow [email protected] Twitter: sjDCC Other activities include • novel methods of review and scientific publishing with the involvement of hypotheses.org; • a study and a pilot on scientific indicators related to open access with CWTS’s assistance; • legal studies to investigate data privacy issues relevant to the Open Data Pilot; • international alignment with related networks elsewhere with the involvement of COAR. Research data policies in German universities Following the University of Bielefeld as the first German university with its "Grundsätze zu Forschungsdaten an der Universität Bielefeld" published in 2011, the universities of Göttingen, Humboldt-Universität zu Berlin and Heidelberg have adopted their Research data policies in July 2014. HEREBY RECOMMENDS THAT MEMBER STATES: Open access to scientific publications Ensure that, there should be open access to publications resulting from publicly funded research as soon as possible, preferably immediately and in any case no later than six months after the date of publication, and 12 months for social sciences and humanities; Ensure that, licensing systems contribute to open access to scientific publications resulting from publiclyfunded research in a balanced way, in accordance with and without prejudice to the applicable copyright legislation, and encourage researchers to retain their copyright while granting licences to publishers; Ensure that, the academic career system supports and rewards researchers who participate in a culture of sharing the results of their research, in particular by ensuring open access to their publications and by developing, encouraging and using new, alternative models of career assessment, metrics and indicators; Ensure that research funding institutions responsible for managing public research funding and academic institutions receiving public funding implement the policies by: defining institutional policies for the dissemination of and open access to scientific publications; establishing implementation plans at the level of those funding institutions; adjusting the recruitment and career evaluation system for researchers and the evaluation system for awarding research grants to researchers so that those who participate in the culture of sharing results of their research are rewarded. Improved systems should take into account research results made available through open access and develop, encourage and use new, alternative models of career assessment, metrics and indicators; giving guidance to researchers on how to comply with open access policies, especially on managing their intellectual property rights to ensure open access to their publications; Open access to research data Define clear policies for the dissemination of and open access to research data resulting from publicly funded research. These policies should provide for: - concrete objectives and indicators to measure progress; - implementation plans, including the allocation of responsibilities (including appropriate licensing); - associated financial planning. Ensure that, as a result of these policies: research data that result from publicly funded research become publicly accessible, usable and re-usable through digital e-infrastructures. Concerns in particular in relation to privacy, trade secrets, national security, legitimate commercial interests and to intellectual property rights shall be duly taken into account.... (2) datasets are made easily identifiable and can be linked to other datasets and publications through appropriate mechanisms, and additional information is provided to enable their proper evaluation and use; (3) institutions responsible for managing public research funding and academic institutions that are publicly funded assist in implementing national policy by putting in place mechanisms enabling and rewarding the sharing of research data; Practical guidance when submitting journal articles In order to maximize the value of the research you produce in digital environment, it is important for you to take an active role in managing the copyrights to your work. Copyright protection is automatic (at the moment the copyrighted work has been “fixed in a tangible medium,” such as when a written work has been saved on a computer's hard drive or printed). (From SPARC Introduction to Copyright Resources: http://bit.ly/mRHQHT) Practical guidance (2) When you publish in a journal you are typically asked by the publisher to sign a copyright transfer agreement, or contract, that describes the assignment of various rights to the publisher. Assigning your rights matters. The copyright holder controls the work. Transferring copyright doesn’t have to be all or nothing. (From Author Rights: Using the SPARC Author Addendum to secure your rights as the author of a journal article http://bit.ly/cezf0w) A balanced approach Authors: Retain the rights you want. Use and develop your own work without restriction. Increase access for education and research. Receive proper attribution when your work is used. If you choose, deposit your work in an open online archive where it will be permanently and openly accessible. (From http://bit.ly/cezf0w) A balanced approach (2) Publishers: Obtain a non-exclusive right to publish and distribute a work and receive a financial return. Receive proper attribution and citation as journal of first publication. Migrate the work to future formats and include it in collections. (From http://bit.ly/cezf0w) Securing your rights 1. The SPARC Author's Addendum preserves rights for broader use of your research: http://scholars.sciencecommons.org 2. If your research is funded by the donor with an open access mandate, the donor usually offers language that modifies a publisher's copyright agreement to give you the rights to follow donor's open access policy. (From SPARC Introduction to Copyright Resources: http://bit.ly/mRHQHT) Deposit Licenses & End User Licenses - Repositories A comprehensive deposit and end user’s license agreement should cover a number of core topics, including a depositor’s declaration; the repository’s rights & responsibilities; & the end-user’s terms & conditions Depositor's Declaration Repositories 1. to ensure that the depositor is the copyright owner, or has the permission of author/copyright holder (if by proxy) to deposit 2. the author and any other rights holders grant permission to the host institution to distribute copies of their work via the internet... 3. the author has sought and gained permission to include any subsidiary material owned by third parties Repository's rights & responsibilities It must be made clear to the submitting author that through submission of their work the copyright ownership is unaffected. One way of doing this is for the deposit license to begin with the author granting the repository the nonexclusive right to carry out the additional acts... End-user's terms and conditions open access publication: the author(s) & copyright holder(s) grant(s) to all users a free, irrevocable, worldwide, perpetual right of access to, and a license to copy, use, distribute, transmit and display the work publicly and to make and distribute derivative works, in any digital medium for any responsible purpose, subject to proper attribution of authorship (BBB) Thank you! Questions? [email protected] www.eifl.net
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