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