JRC's Open Access (OA) Policy G. P. Tartaglia, A. Annoni, G. Merlo, F JRC's Open Access (OA) Policy G.P. Tartaglia, A. Annoni, G. Merlo, F. Bonato, A. Friis-Christensen, P. Loekkemyhr 44th LIBER Conference 24-26 June 2015

Horizon 2020, Open Science Boosting the benefits of public investment in research: Wide circulation of publications Access to underpinning data Open Access to research infrastructures and e-infrastructure Boosting the benefits of public investment in research increasing productivity, competitiveness and growth through: Wide, rapid, affordable circulation of publications and data collections to accelerate scientific discovery; allowing for research findings to be systematically taken up by European business and industry - Open Access extended to research infrastructures and e-infrastructure, to underpin European research

Horizon 2020, Open Science Faster to market  faster growth Fostering collaboration and avoiding duplication of effort  greater efficiency Building on previous research results  improved quality of results Involving citizens and society  improved transparency of the scientific process

JRC Approach Lead by example Free OA to public research results Optimise access and transfer of scientific knowledge Lead by example in the implementation, granting free OA to its public funded research results, optimising the circulation, access to and transfer of scientific knowledge among key stakeholders in European research:   - Innovative Enterprises - Universities, Funding Bodies, Libraries - Governments policy makers - Non-governmental organizations - Society at large

OA to publications OA to JRC scientific reports New policy adopted on 01-01-2014  all JRC researchers must opt for OA in peer-reviewed journals GOLD route (preferred): immediate and unrestricted access to the final published version GREEN route: deposit of the manuscript in an on-line repository, within a defined period (embargo) Any exceptions will require approval - OA to JRC Policy and Technical reports available for decades (e.g. 470 EUR reports uploaded in 2013)   - New policy adopted on 01/01/2014, all JRC researchers (when corresponding or first author) must opt for OA in peer-reviewed journals compliant with the policy through: - GOLD route (preferred): immediate and unrestricted access to the final published version of the paper (fees paid by JRC) - GREEN route: deposit of the manuscript in an on-line repository, within a defined period (embargo), which delays access to non-subscribers. No fees - Any exceptions will require the approval of the relevant Institute Director, for 2014, and, from 1st January 2015, the JRC Director General

OA to publications OA policies do not: Affect author’s freedom to choose whether to publish or not Interfere with patenting/commercial exploitation Agreements are being developed with major scientific publishers to enable payment of 'gold' publication fees and ensure correct management of financial procedures

OA to publications Major change in the way results are published and disseminated Review in January 2015 Number of publications successfully made in GOLD and GREEN Number of exceptions Overall costs Duration of embargos Balance of routes to OA preferred by researchers Any adverse issues Outcome to influence any necessary changes and to plan future funding requirements for OA policy Major change in the way researchers and publishers manage the process of publishing/disseminating the results of the research – Transition process   Review - January 2015, for the different disciplines based on: - Number of publications successfully made in GOLD and GREEN, - Number of exceptions, - Funds spent; Overall costs; Impact of different licences, - Duration of embargos, - Balance of routes to OA preferred by researchers - Any adverse issues that might appear Outcome will be used to inform any necessary policy changes and to plan future funding requirements for the policy itself

OA to publications Figures: Recommendations: 197 articles made OA (40%), few exceptions (5%) 310 k€ globally spent for APCs; average cost for paper 1,900 € GOLD OA route accounts for 79% of the papers in peer-review journals Recommendations: Increase awareness among researchers of GOLD and GREEN implications on IP Agreements with publishers to lighten and streamline the complex procedures required to pay APCs. Number of publications made OA include GOLD and GREEN; the relative low percentage is due to articles published in 2014 but submitted in 2013 before H2020 launch The high number of 'Gold' papers is due to the fact that the Gold mechanism is generally more accepted by publishers than 'Green' self-archiving OA. 'Gold' is also more diffused amongst STM publishers, as it allows for forecasting realistic revenue figures within their current business model. The financial impact of 'Green' in this regard is still largely unknown. A detailed revision of the records marked as 'Green' in PUBSY is ongoing, to avoid the risk of copyright infringement claims from publishers. Keeping into account some misunderstandings on the application of the 'Exception' option, A2 is preparing a communication plan to increase awareness among researchers on the implications for the 'Green' and 'Exception' options. Establishment of contract or agreement with publishers might provide many benefits: leverage the current high workload; streamline the ordering and payment workflow reducing the possibility of mistakes; facilitate authors in the submission phase by identifying themselves as part of the JRC staff. The financial business models proposed by publishers could be indeed a matter of discussion with respect to the FR (Pre-payment, memberships, deposit accounts)

OA to data Basis for quantitative analysis underpinning scientific publications. Follows OA to publications Data Policy adopted in 2014 Guidelines for implementation issued in July 2015 Data (experimental results, observations and computer-generated information) - basis for the quantitative analysis underpinning scientific publications. Following OA on publications   Data Policy will be ready for adoption in 2014 and will concern data, datasets, metadata, underlying data of scientific publications and also databases (task force at work for later elaboration in a whole JRC working group) Guidelines for implementation will follow. This policy will also cover on going cooperation e.g. the EU Open Data Portal, for a wider dissemination of the results

OA to Data Commission Decision on the reuse of Commission documents (2011/833/EU)* *) Reverses the earlier version of the decision (2006/291/EC, Euratom) where research information from JRC is excluded

JRC Data Policy Open Data principles: free, full, open and timely access to data as default rule No restrictions on re-use except attribution obligation and possible requirement of registration in specific cases Harmonised data acquisition principles: negotiating restriction-free access and use of licensed data Data management principles: metadata, storage, accessibility Implementation principles: identification of responsible entities, guidelines, data management plans, monitoring

Goals Consistent management of data Data managed according to agreed principles on metadata, storage and accessibility Data used in publications accessible, ensuring transparency and reproducibility Data produced are considered official deliverables Can be cited, e.g. by publications, using persistent Ids (e.g., DOIs) Access enabled through a central data catalogue (which will also feed the EU Open Data Portal) Clear guidelines and tools to aid users Consistent management of data at level of JRC Data managed according to agreed principles on metadata, storage and accessibility Data used in publications are accessible Ensuring transparency and reproducability Data produced are considered official deliverables Can be cited, e.g. by publications, using persitent Ids (e.g., DOIs) Access enabled through a central data catalogue (which will also feed the EU Open Data Portal) Clear guidelines and tools to aid users

Exceptions Data produced by the JRC exclusively Exceptions include e.g. sensitive or personal data Data produced by the JRC with third party data or partner Require a negotiation strategy for acquisition Favourable acquisition conditions cannot be guaranteed Different licensing conditions may reduce legal interoperability and availability of the data produced by the JRC with/from third party data No negotiations translates into high risk of non-compatibility of open data licenses

OA to Models Inventory of models for support to policy making available (MIDAS – Modeling Inventory Database and Access Services) MIDAS allows users to identify, assess and access models, related datasets and documents MIDAS allows for the connection of each model to its underlying dataset to other linked models and documents only available inside the Commission; external access currently being investigated - JRC, major resource of in-house models in the Commission. Inventory of models for support to policy making available (MIDAS – Modeling Inventory Database and Access Services)   - MIDAS allows users to identify suitable models, to assess their for impact assessment and policy support, to access related datasets and documents - MIDAS allows connecting each model to its underlying dataset, to other linked models and to all entities above defined. Presently, MIDAS can be accessed through the JRC Knowledge Portal, available inside the Commission. Its extension outside the Commission is now being investigated.

Online dissemination JRC Scientific Knowledge Portal (SKP), through the publication system PUBSY New JRC Science Hub (01/05/2014) About 200 scientific tools and databases already publicly available Collaborative tools being implemented for community building and to target individuals and groups on the JRC Science Hub - JRC Scientific Knowledge Portal (SKP) and JRC intranet, as Commission channels. Access to over 33000 results of JRC research (scientific publications, policy support deliverables, models etc.). Sub-set of results available to the general public, through   - New JRC Science Hub (01/05/2014), main external dissemination channel. Access to the whole JRC knowledge base (IPR and sensitivity taken into account). It integrates collaboration tool to support JRC project communities with external partnership (foresight studies, reference laboratories to joint validation tests) - Collaborative tools will be implemented for community building and to target individuals and groups

e-Infrastructure, infrastructure Is connecting the interoperability frameworks in EU  e.g. INSPIRE, Open Data, GEOSS (the Global Earth Observation System of Systems) Is supporting ENVRI (Common Operations of Environmental Research Infrastructures)  exploring opportunities to increase interoperability across e-infrastructures Inventory of JRC infrastructures  open access; association to ESFRI Pilot project to allow access to selected JRC infrastructures on going As reported to the previous BoG meeting, the JRC - Is connecting the interoperability frameworks in EU under INSPIRE, Open Data, Open Research Data, European Interoperability Framework, etc. with activities in the frameworks of the Research Data Alliance, and GEOSS (the Global Earth Observation System of Systems) - Is supporting ENVRI (Common Operations of Environmental Research Infrastructures), exploring opportunities to increase interoperability across e-infrastructures - Has made an inventory of its Infrastructures (40 Large-Scale Physical Infrastructures and over 100 scientific databases), for their open access and in view of association to the ESFRI roadmap (European Strategy Forum on Research Infrastructure) - Is launching a pilot project to allow access to a limited number of JRC infrastructures  

Open Science A systemic change in the modus operandi of science and research Main drivers include digital technologies, globalisation and growth of the science community and demand for accountable, responsive, transparent science. JRC Working Group on Open Science. Initiatives at Commission level - A systemic change in the modus operandi of science and research, affecting the whole research cycle and its stakeholders - Main drivers: Digital technologies; Open Science; Big Data; Globalisation and growth of the science community; Need to address faster the Grand Challenges; Demand for accountable, responsive, transparent science - The JRC is setting up a working group to analyse Science 2.0 implications, assess opportunities, implications and challenges for its exploitation. At Commission level joint initiatives are being set up for analysis of Open Science.