1. Facilitate Open Science Training for European Research

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

3. 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/); 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); 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.

4. 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.

5. 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);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.

6. 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/97 80262517638_Open_Access_PDF_Version.pdf) https://mitpress.mit.edu/sites/default/files/97 80262517638_Open_Access_PDF_Version.pdf

7. Green Open Access Green OA: Is 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.

8. 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.

9. 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.

10. 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.

11. Policy 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.

12. 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/h2 020/mga/gga/h2020-mga-gga-multi_en.pdf).http://pasteur4oa.eu/resourceshttp://ec.europa.eu/research/participants/data/ref/h2 020/mga/gga/h2020-mga-gga-multi_en.pdf

13. Open Access Policies The following section is informed by the detailed research of the PASTEUR4OA project http://www.pasteur4oa.eu/ 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 Regression analysis was used to determine the important elements of a policy Note: the policies examined were from research institutions, there were very few funders’ policies

14. What an Open Access policy covers Whether or not the policy is mandatory; Whether 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; The length of permitted publishers’ embargoes; Whether there are to be sanctions in the case of non- compliance; Whether there are to be any particular requirements regarding licensing, including whether authors should retain certain rights over their work.

15. 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.

16. 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.

17. 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.

18. 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.

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

20. 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.

21. 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_FI NAL.pdf http://recodeproject.eu/wp- content/uploads/2015/01/recode_guideline_en_web_version_full_FI NAL.pdf

22. 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; Insisting on timing of deposit to be at the latest when outputs are published; Linking to data from publications; Technical specifications to enable re-use; Clear licensing statements.

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

24. Questions? See the course materials for model policies, checklists, examples of successful funders’ policies, further reading: https://www.fosteropenscience.eu/content/desig ning-successful-open-access-and-open-data- policies-intermediate https://www.fosteropenscience.eu/content/desig ning-successful-open-access-and-open-data- policies-intermediate Contact: David Ball, SPARC Europe Project Officer for FOSTER (davidball1611@gmail.com)