DSTI-STP-TIP(2014)6-ANN-ENG DSTI-STP

For Official Use DSTI/STP/TIP(2014)6/ANN

Organisation de Coopération et de Développement Économiques

Organisation for Economic Co-operation and Development 04-Jun-2014

___________________________________________________________________________________________

_____________

DIRECTORATE FOR SCIENCE, TECHNOLOGY AND INDUSTRY

COMMITTEE FOR SCIENTIFIC AND TECHNOLOGICAL POLICY

English - Or. English

Working Party on Innovation and Technology Policy

ANNEX -- COUNTRY NOTES ON OPEN SCIENCE

19-20 June 2014

Delegates will find attached draft country notes on policies for open access and open data in science. The country notes were prepared by participants in the TIP Steering Group on Open Science. With a view to presenting a broader picture of trends in OECD countries, interested TIP delegates are invited to contribute country notes for their country according to the template presented at the end of the annex. The deadline for final submissions, including any revisions to the existing country notes, is 30 August 2014.

Contacts: Giulia Ajmone Marsan (STI/CSO); e-mail: giulia.ajmonemarsan@oecd.org; Mario

Cervantes (STI/CSO); e-mail: mario.cervantes@oecd.org

JT03358729

Complete document available on OLIS in its original format

This document and any map included herein are without prejudice to the status of or sovereignty over any territory, to the delimitation of international frontiers and boundaries and to the name of any territory, city or area.

DSTI/STP/TIP(2014)6/ANN

TABLE OF CONTENTS

Introduction .................................................................................................................................................. 3

TIP OPEN SCIENCE PROJECT: COUNTRY NOTE TEMPLATE .......................................................... 4

BELGIUM Country Note ............................................................................................................................ 7

ESTONIA Country Note............................................................................................................................ 10

EUROPEAN COMMISSION Country Note ............................................................................................. 13

FINLAND Country Note ........................................................................................................................... 17

MEXICO Country Note ............................................................................................................................. 22

POLAND Country Note Template ............................................................................................................ 25

SPAIN Country Note ................................................................................................................................. 29

UNITED KINGDOM Country Note ......................................................................................................... 35

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Introduction

In the framework of the OECD TIP project on Open Science, targeted information on open science policy trends in selected countries has been collected and presented in this annex. The collected information is related to recent trends in policies to support open science in different jurisdictions and internationally as well as to the key actors relevant for open science in each country (See country note template below for the detailed list of questions). The information contained in the country notes has provided relevant inputs for the discussion at the Open Science workshop held in Warsaw in March 2014 and the interim report of the TIP project on Open Science. The country notes are intended to contribute to a preliminary mapping of recent policy trends on open science and open data efforts in OECD countries and beyond, to be included in the final OECD report on Open Science. Interested TIP delegates are invited to contribute country notes for their country according to the template presented at the end of the annex. The deadline for final submissions, including any revisions to the existing country notes, is 30 August 2014.

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TIP OPEN SCIENCE PROJECT: COUNTRY NOTE TEMPLATE

The Country Notes are intended to be preparatory documents for the Open Science TIP interim report, to be presented at TIP meetings in June 2014. At this preliminary stage, the country notes will remain official working documents and they will not be distributed beyond the official delegates to the TIP Working Party.

It is expected however that final versions of the country notes will be included in the report to be declassified by the CSTP in March 2015.

The Country Notes will primarily focus on initiatives targeting data and scientific publications.

Please, when possible, provide the link to the online sources of relevant information and the date when initiatives were introduced.

1. Open science and the national context. In this section please, briefly describe open science initiatives in the context of national innovation strategies or national innovation policy agendas in your country. What are the main desired impacts and strategic objectives of open science efforts and how does these relate to your national innovation policy agenda? Have specific targets been announced? (Please provide an answer in approximately 5/10 lines)

2. Open science research and innovation actors. In this section please, list and briefly describe the main national science and innovation actors involved in open science initiatives in your country (government actors and/or other major institutions, depending on the country). For illustrative and indicative purposes, if available, please provide information on the budget allocated by major actors to major open science initiatives in the area of open access or open data (Please provide an answer in approximately 15/20 lines)

1) research councils and funding agencies

2) ministries for higher education and research

3) higher education institutions

4) public research organisations and other government labs,

5) other

3. Open science and business sector actors. In this section, please draft 1 or 2 paragraphs covering the role of business and non-profits (i.e. examples of P/PPs or foundation-led initiatives), in the context of open science initiatives. (Please provide an answer in approximately 15/20 lines)

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4. Policy design. This section is the core body of the country note. Please try to summarise for each subsection the main elements of policy or program design related to open science in your country. Please list the main legal and policy frameworks promoting open science and open data (provide links to relevant documents with available). Please, feel free to re-use the material submitted by your country in response to the 2014 STI Outlook Policy Questionnaire or to update or complement it. (Please provide an answer in approximately 1 page) a) Open data. Describe the main policy initiatives or legislation related to open data in your country

(including public sector data initiatives when relevant)

In your response, you may consider illustrating the policy by focusing on 1 example and discussing the following:

1) policy or programme design to include as applicable a description of what type of data is subject to the policy, what the policy/programme requires, any expectations/requirements for depositing data in particular repositories, when requirements must be met

2) carrots (incentives), sticks (requirements) and enablers use in implementation (including the type of infrastructure for data repositories and maintenance)

3) the annual or long-term budgets for implementing the policy/program,

4) institutions involved,

5) target population,

6) expected outcomes of the policy/programme(s),

7) legal framework for open data notably regarding copyright (how the policy/program addresses issues of privacy/confidentiality, commercial sensitivity of data, and copyright /IP)

8) data or results of evaluations that demonstrate results of open data initiatives, if any

9) how the policy/programme is being monitored/enforced b) Open/increasing access to scientific publications. Describe the main policy initiatives or legislation related to open access in your country


1) policy or programme design to include as applicable a description of what type of publications are subject to the policy, what the policy/programme requires, any expectations/requirements for depositing publications in particular repositories, when requirements must be met

2) carrots (incentives), sticks (requirements) and enablers use in implementation (including the type of infrastructure for publications repositories and maintenance)

3) the annual or long-term budgets for implementing the policy/program

4) the institutions involved,

5) the target population,


7) legal framework for open access regarding copyright

8) data or results of evaluations that demonstrate results of open access initiatives, if any

9) how the policy/programme is being monitored/enforced

10) does the policy/programme differentiate between free and libre open access models ? c) Skills for open science and open data. Describe the main policy initiatives or legislation related to skills for open science and open data in your country. Examples include major initiatives to provide researchers, scientists, students and/or citizens in general with the necessary skills to make use of open science repositories and large data sets, etc.

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In your response, you may consider discussing the following:


2) programme beneficiaries,

3) policy or programme design,

4) expected outcomes of the policy/programme (s),

6) the annual or long-term budgets allocated to promoting skills for open science and open data,

7) evaluations, if any

5. Open science and international co-operation. In this section, please draft 1 or 2 paragraphs commenting on the international aspects of open science in your country. For example, how do your policies on open science fit or relate to your international co-operation in STI? Provide examples of open science initiatives that involve international co-ordination and/or collaboration (Please provide an answer in approximately 10/15 lines)

6. Other comments/information you may wish to add.

OECD Contacts:

Giulia Ajmone Marsan; Tel: +33 1 45 24 89 98; E-mail: giulia.ajmonemarsan@oecd.org;

Mario Cervantes; Tel: +33 1 45 24 94 31, E-mail: mario.cervantes@oecd.org

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BELGIUM Country Note

1. Open science and the national context.

There is no national context in Belgium. Science and innovation policy is regionalized. Joint consultation on Open Access and Open Data between the different actors has however been initiated. The mission of the ICC-FCC Open Access Consultation Group

( http://www.belspo.be/belspo/coordination/scienPol_FCC_en.stm

), which was created on October

28, 2013, mainly states that Belgian federated entities pursue conformity and interoperability of implemented systems. Members share knowledge and best practices, inform other parties, stimulate initiatives, coordinate sensitization events and international reporting and explore related fields. This is a bottom up initiative with no link to formal national strategic objectives.

2. Open science research and innovation actors.

Belgium is a federal state with regions and communities. The Flemish, Walloon and Brussels Capital regions are responsible for applied science and innovation in industry. The French and Flemish communities are responsible for basic research and education. The federal government covers research in certain fields, carried out in federal research institutions.

1) Research councils and funding agencies

Federal: Belgian Science Policy Office (BELSPO) ( http://www.belspo.be/belspo/index_en.stm

)

Flemish Authority (Region): Dept. of Economy, Science and Innovation (EWI) ( http://www.ewivlaanderen.be/en )

Flemish Authority (Region): Agency for Innovation by Science and Technology IWT

( http://www.iwt.be/english/welcome )

French Community (renamed : Wallonia-Brussels Federation): Direction of Scientific Research

(http://www.recherchescientifique.cfwb.be/index.php?id=sirs_page1&no_cache=1&L=1)

2) Ministries for higher education and research

Flemish Authority (Community) : Research Foundation Flanders (http://www.fwo.be/en)

Wallonia-Brussels Federation (Community) : Fund for Scientific Research (http://www.fnrs.be)

3) Higher education institutions

All Belgian universities boast Open Access repositories but one. But the Ghent University Library

(https://biblio.ugent.be/) and the Liège University Library (http://orbi.ulg.ac.be/project?id=03) are international frontrunners in the Open Science field.

4) Public research organisations and other government labs

The Science and Technology Information service (STIS) (http://www.stis.belspo.be/en/stis.asp), a

BELSPO subsidiary, takes care of all international, national and federal coordination with regard to

Belgian Open Science and is implementing a Federal Open Access repository. The allocated budget for the repository is € 100.000 for 2014-2015. On an institutional level, some specialised federal and

Flemish research centres boast repositories or various levels of maturity, but less so than universities.

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3. Open science and business sector actors.

Open Access advocacy in Belgium has been performed mainly by the Openacces Belgium initiative

(openaccess.be), a joint operation by people of the Ghent and Liège universities and the Belgian

OpenAIRE National Open Access Desk.

4. Policy design. a) Open data.

There is a formal commitment of all Belgian actors to investigate Open Data and Open Science. See b) Open/increasing access to scientific publications".

Both the Flemish and the federal governments have initiated talks on providing access to government data, which is considered a related issue to Open Data as a support to published scientific research results. http://www.epsiplatform.eu/content/belgian-committee-reports http://www.bestuurszaken.be/vlaams-actieplan-open-data b) Open/increasing access to scientific publications.

The Federal Authority, together with the Flemish Authority and the Wallonia-Brussels Federation jointly organized the solemn signing of the Brussels Declaration on Open Access to Belgian Publicly

Funded Research ( http://openaccess.be/2012/10/22/brussels-declaration-on-open-access/ ) on

October 22, 2012 at the initiative of the Open Access Belgium organization, which is, among others, composed of members of the Belgian OpenAIRE Helpdesk. All three Science Policy Ministers formally committed to support the dissemination of publicly funded scientific research through

Open Access. The Brussels Declaration encourages the creation institutional repositories with embargoes of no more than 6 or 12 months and invites authorities to investigate possibilities of covering the costs of Open Access publishing. It also invites authorities to investigate Open Data and

Open Science.

Until 2015, the Belgian Federal Science Policy Office's management plan states its commitment to free online availability of scientific information, in particular of research results and collections from

Federal Research Institutions in compliance with the Berlin Declaration.

Currently, STIS (see above) is consulting all federal departments which finance research to draft a best practice for a federal Open Access policy. A OA Working Group tackles different policy aspects one by one (business plan, authors' rights, licences, mandates, awareness, use of international standards, etc.). A final proposition will be available halfway 2015. A common attitude towards editors will be explored.

On February 28, 2014, the Flemish Authority organised a special hearing with regard to the development of a Flemish Open Access policy. Research Foundation Flanders (FWO) however, already has an OA mandate. Flanders' participation in EnablingOpenScholarship (EOS) is not mentioned in its governmental declaration. 'Flanders Research Information Space' (FRIS) is the

Flemish research portal which provides information on Flemish researchers, organisations and projects. FRIS' goal is to eventually harvest the publications produced by these projects.

Liège University adopted its Open Access mandate in May 2007. Researchers have to self-archive their outputs following the principle of "Immediate-Deposit & Optional-Access" (IDOA). The assessment of research performance and the evaluation of researchers within this university are

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DSTI/STP/TIP(2014)6/ANN exclusively based on the research outputs that are deposited in the institutional repository (ORBI).

This model is often referred to as the “Liège model” internationally.

At the level of the Wallonia-Brussels Federation regional funding agency (FNRS, Fonds de la

recherche scientifique), new regulations took effect on June 30, 2013 which somewhat translated the “Liège model” to the FNRS. Hence the IDOA principle is also applicable to the researchers who are funded by the FNRS (mandates and grants). All research output published since 2008 has to be deposited in the institutional repository of the researchers’ institutions. The deposited output constitutes the only basis for the evaluation of research performances.

The BICTEL project (www.bictel.be) gathers theses of the Wallonia-Brussels Federation universities for deposit in a common repository in order to make it freely accessible on line, in full text. Several servers were installed, each institution being responsible for the gathering (via self-archiving), the organization, the authentication and the maintenance of its scientific production.

PoPuPS is a portal for the publication of scientific journals of the Wallonia-Europe University

Academy which is composed of Liège University (ULg) and Gembloux Agricultural

University (FUSAGx), established by the ULg Library Network. Its goal is to permit journals – existing or new - published by members of the Academy, and who so wishes, to be distributed in Open

Access, easily and free of charge, through an institutional tool interoperable with similar international initiatives. As of March 4, 2014, 15 academic journals will be available via the portal.

Finally a feasibility study has been conducted in order to evaluate the possibility of integrating the research in the social sciences and humanities that are financed by the Wallonia-Brussels

Federation (other than through the funding of universities or the research funding agency) into a single OA portal. c) Skills for open science and open data.

N/A

5. Open science and international co-operation.

The National Open Access Point of Reference (NPR) for Belgium is mandated by the ICC-FCC Open

Access Consultation Group to represent all Belgian actors within the EC NPR Network.

Representatives of the various Belgian administrative levels are also involved with:



ERAC Open Access Task force



Max Planck Institut’s bi-annual Open Access state of the affairs conference



RECH Competition Council



OECD Working Party on Innovation and Technology Policy (TIP)'s Revised terms of reference for Open Science.



UNESCO's Global Open Access Portal (GOAP) Evaluation Team


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ESTONIA Country Note


The Estonian Research and Development and Innovation Strategy 2014-2020 "Knowledge-based

Estonia" encourages to open access to output of publicly funded research and to develop further information systems in order to enable all the stakeholders (incl. governmental agencies and business sector) to find experts, information on output of research activity and funded research projects.

According to the regulations on institutional research funding (Estonian Ministry of Education and

Research) and personal research funding (Estonian Research Agency), it is required that any publications arising from supported research project or research grant must be deposited in to the national CRIS - Estonian Research Information System ETIS. The researchers are responsible for providing the publication metadata (i.e. journal name, title, author list, volume, issue, page numbers etc) and the appropriate copy of the publication immediately. Self-archiving of the full texts of publications is mandatory but the access can be restricted for internal use until the end of publisher embargo. The length of embargo depends on publishers and publication channels, at present it is not set by the funder.

The academic freedom to choose appropriate publication channels is acknowledged, there is no pressure to publish in so called Gold OA journals. Impact factors of journals are not taken into account when evaluating research output of research institutions or individual researchers. Open

Access policy has no direct impact on researcher career.

A draft version of a Green Paper on Open Data in public sector has been sent to public consultation in April 2014 by the Ministry of Economic Affairs and Communications.


1) Research councils and funding agencies

Estonian Research Council – open access publishing costs are eligible part of project funding (budget is not determined).

2) Ministries for higher education and research

Ministry of Education and Research – open access publishing costs are eligible part of project funding (budget is not determined),

Ministry allocated 250 000 euros for the creation of the DataCite Estonia platform;

The Core Facilities financing instrument provides national funding for the running and maintenance costs of the RI-s listed in National RI Roadmap and funded by the EU Structural Funds. Funding is in principle allocated on a 5-year basis, with a yearly call for submitting new (need-based) budgets.

The Core Facilities instrument has a budget around 0.5 million euro per year.

Ministry of Economic Affairs and Communications (draft version of a Green Paper on Open Data in public sector has been sent to public consultation);

3) Higher education institutions

Public Universities and public research organisations are involved and collaborate and integrate their activities with several national and European RI networks.

4) Public research organisations and other government labs

5) Other

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3. Open science and business sector actors. n/a


No general policy on open access to research data has been elaborated yet. A draft version of a

Green Paper on Open Data in public sector has been sent to public consultation in April 2014 by the

Ministry of Economic Affairs and Communications.

Estonia adopted its first National Research Infrastructure (RI) Roadmap in 2010 which lists RI-s of national importance. The Roadmap includes also RI-s which intend to develop e-infrastructures for dissemination of research data. The Natural History Archives and Information Network “NATARC” develops the repositories structure and its services/value tools for digital natural history collections.

Estonian e-Repository and Conservation of Collections “E-varamu” aims to improve the capabilities of the Universities’ libraries in preserving and digitizing research information, and to develop a search portal for accessing scientific information. The Estonian Centre for Genomics is in charge of the development of IT-infrastructure of Estonian National Gene Bank. The National RI Roadmap objects are financed by EU Structural Funds (ERDF) until the end of 2015. b) Open/increasing access to scientific publications.

The uptake of the policies can be tracked in the Estonian Research Information System. Selfdepositing of the full text of publications is the prerequisite to the submission of final reports of grants and research projects.

There are no specific funding allocations for Open Access publications. The payment for article processing charge is eligible cost of research grants. The investments in development of new version of ETIS (CRIS) will be made to make it compatible to OAI-PMH protocol.

The Estonian Open Access journals are subsidized by Estonian Ministry of Education and Research.

Licensing access to e-journals collections of major publishers is done on national level and funded by Estonian Ministry of Education and Research.

Implementing Open Access policy has not changed the evaluation system for careers and grants.

No general policy on curation and long term preservation of research results has been elaborated yet. c) Skills for open science and open data.

No general policy related to skills for open access and open data to research data has been elaborated yet.

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Estonian National Research Infrastructures (RI) are actively collaborating and integrating their activities with several European RI networks, such as bio-banking infrastructure BBMRI, translational infrastructure EATRIS, European Social Survey, bioinformatics infrastructure ELIXIR, language technology infrastructure CLARIN.

In December 2013, the Estonian Ministry for Education and Research allocated 250 000 euros for the creation of the DataCite Estonia platform. A membership application for joining the DataCite international consortium has been submitted by the University of Tartu, and the platform is expected to be operational by mid-2014.

Estonia participates in several multi-stakeholder dialogues, like:

The Digital ERA Forum will provide a platform for regular exchange and reporting on national developments on the provision, take-up and use of digital research services and sharing of best practices, with a view to support national developments on the provision, take up and use of digital research services for collaboration, computing and accessing scientific information in a Digital ERA.

The OECD Working Party on Innovation and Technology Policy (TIP) project on open science aims to assess the research and economic impacts of open science and open data and to identify implications for policy. The project is conducted in close connection with other on-going DSTI projects and brings together experts and stakeholders from different communities to present evidence on emerging open access and open data schemes, sustainable open science models and indicators to assess impacts.

Open Access to Research Publications is one of the priority action areas of Science Europe roadmap.

The role of Science Europe Open Access to Publications working group is to support implementation of the Science Europe position statement Principles on the Transition to Open Access to Research

Publications. The overall objective remains to move from a subscription-based ‘reader pays’ system to different business models for research publications.


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EUROPEAN COMMISSION Country Note


The Commission is concerned with open access in its capacities as a policy maker (proposing legislation), a funding agency (the FP7 and Horizon 2020 framework programmes for research and innovation) and a capacity builder (through funding of specific projects for open access infrastructure and policy support actions).

The European Commission sees open access not as an end in itself but as a tool to facilitate and improve the circulation of information and transfer of knowledge in the European Research Area

(ERA) and beyond.

The Commission has met with and listened to all the main stakeholders and communities interested in open access. As a culmination of these efforts, it published three major policy documents on July

17 th 2012:



Firstly, the Commission adopted the ERA Communication entitled "A Reinforced European

Research Area Partnership for Excellence and Growth". The ERA is a unified research area open to the world based on the Internal Market, in which researchers, scientific knowledge and technology circulate freely. One of the key actions foreseen to achieve this goal is to optimise

the circulation, access to and transfer of scientific knowledge. On the same day as the

Commission adopted the ERA Communication, our Commissioner also signed Memoranda of

Understanding with key stakeholder organisations.



The second policy document, a Communication entitled "Towards better access to scientific

information", set out the state of play in 2012, identified barriers and provided a number of measures to ensure that the results of Europe’s publicly-funded research are fully accessible to researchers, businesses and the general public.



The third policy document published by the Commission is a "Recommendation to the Member

States on access to and preservation of scientific information". This Recommendation covers improving policies and practices on open access to scientific publications and research data, as well as the preservation and use of scientific information. The aim is not to harmonise national policies, but to co-ordinate them, in order to make sure that Member States are all pointing in the same direction.

The European Commission continues to work with all stakeholders to implement and promote open access. As concerns its own research framework programme, the Commission implemented a pilot for open access in the Seventh Framework Programme for Research and Innovation (FP7), which covered 20% of budget in seven research areas of FP7 and proved to be an effective tool to further the development of open access. The Commission also funds several projects to support and provide further insights into open access and related issues. Most notably, the OpenAIRE project supports the implementation of open access in Europe by providing an infrastructure and national helpdesks. The European Research Council has also published open access guidelines.

The European Commission will also engage with'Science2.0' during the course of 2014. 'Science 2.0' defines the systemic changes that are currently taking place in the way the science and research

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DSTI/STP/TIP(2014)6/ANN system functions. It is characterised by an open, collaborative networked way of doing research

(‘Facebook for scientists’) employing ‘big data’ and multi-actor input. Science 2.0 is enabled by digital technologies and driven by the globalisation and growth of the scientific community as well as by the need to address the Grand Challenges of our times. 'Science 2.0' impacts the entire research cycle, from the inception of research to its publication, as well as the way this cycle is organised. It affects the evaluation of the quality and impact of research.

During 2014, DG RTD will conduct a stakeholder- consultation process (Publishers, Academia,

Research funders etc.) based on an online public consultation followed up by multi-stakeholder workshops during the autumn of 2014, which will:



Assess the degree of awareness of ‘Science 2.0’ amongst the stakeholders



Identify possible policy implications and actions which would strengthen the competitiveness of the European science and research system by enabling it to take full advantage of the opportunities offered by Science 2.0



Identify any policy action which would foster in the long term a process of making science more reliable, efficient and responsive to the grand challenges of our times.

‘Open Access’ to publication and data is not subject of this consultation process as there established

Commission policies on the subject matter. However, ‘Open Access’ is an element of ‘Science 2.0’.

Open Access policies are expected to co-evolve within a further unfolding ‘Science 2.0’ process.


We work together with a) the 28 EU Member States and b) key stakeholder organisations, including the EUA, Science Europe, EARTO, CESAR,LERU and NORDFORSK.


We work with representatives from publishers ("traditional" and open access), libraries, universities and infrastructure providers


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. The legal requirements for projects participating in this pilot are contained in the optional article 29.3 of the Model Grant Agreement.

Other relevant information, such as the scope of the Pilot, is provided in the introduction to the

Horizon 2020 Work Programme. The Pilot on Open Research Data will be monitored throughout

Horizon 2020 with a view to further developing EC policy on open research.

For the 2014-2015 Work Programme, the areas of Horizon 2020 that participate in the Open

Research Data Pilot are:

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





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

Note that individual projects funded under Horizon 2020 and not covered by the scope of the Pilot may participate on a voluntary case by case basis (‘opt in’).

The Commission acknowledges that there are valid reasons for not making data available in the open. Projects may therefore, at any stage, opt out of the Pilot for a variety of reasons, namely:

if participation in the Pilot on Open Research Data is incompatible with the Horizon 2020 obligation to protect results, if they can reasonably be expected to be commercially or industrially exploited;

if participation in the Pilot on Open Research Data is incompatible with the need for confidentiality in connection with security issues;

if participation in the Pilot on Open Research Data is incompatible with existing rules concerning the protection of personal data;

if participation in the Pilot on Open Research Data would jeopardise the achievement of the main aim of the action;

if the project will not generate / collect any research data;

if there is any other legitimate reason to not take part in the Pilot (at proposal stage – free text box provided). b) Open/increasing access to scientific publications.

Open access to scientific peer reviewed publications has been anchored as an underlying principle in Horizon 2020.

Beneficiaries will be asked to (i) deposit a machine-readable electronic copy of the published version or final peer-reviewed manuscript accepted for publication in a repository for scientific publications and (ii) ensure open access as follows:



For open access publishing (gold open access), researchers can publish in open access journals, or in journals that sell subscriptions and also offer the possibility of making individual articles openly accessible (hybrid journals). In that case, publishers often charge so-called "article processing charges" (APC). These costs are eligible for reimbursement during the duration of the action as part of the Horizon 2020 grant. For APCs incurred after the end of the grant

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DSTI/STP/TIP(2014)6/ANN agreement, a mechanism for paying some of these costs is being piloted. In the case of ‘Gold’ open access, open access must be granted at the latest on the date of publication. Note that in case of gold open access, a copy must also be deposited in a repository.



For self-archiving (green open access), researchers can deposit the final peer-reviewed manuscript in a repository of their choice. In this case, they must ensure open access to the publication within six months of publication (12 months in case of the social sciences and humanities).

Beneficiaries must also ensure open access to the bibliographic metadata that identify the deposited publication.

The concept of ‘publication’ has rapidly evolved over the past years and in the context of the digital era. Therefore, ‘publication’ increasingly includes the data underpinning the publication and results presented, also referred to as ‘underlying’ data. This data is needed to validate the results presented in the deposited scientific publication and is therefore seen as a crucial part of the publication and an important ingredient enabling scientific best practice. This is why beneficiaries

"must aim to" deposit the research data needed to validate the results presented in the deposited scientific publications, ideally via a data repository. They may also aim to grant open access to this data, but there is no obligation to do so. Rather, this provision in the Model Grant Agreement refers to the need to ensure sound management of the data generated in a project. In this sense, it is different from the open access to data pilot elaborated below.

In all cases, the Commission would like to encourage authors to retain their copyright and grant adequate licences to publishers. c) Skills for open science and open data.

A lack of data scientists has indeed been identified as a major challenge for Europe.

In a broader context, the European Commission is leading a multi-stakeholder partnership to tackle the lack of digital skills in Europe and the several hundred of thousands of unfilled ICT-related vacancies. For more information see http://ec.europa.eu/digital-agenda/en/grand-coalition-digitaljobs-0


Science is a global endeavour and so is open access, with over 200 organisations mandating open access in one form or another around the globe. The Commission is therefore actively reaching out and interacting with key stakeholders in order to exchange knowledge and identify lessons learned and best practices. The Commission is advocating open access in a wide range of policy fora, including the Global Research Council, G8, UNESCO, the Berlin Open Access Conferences and the

Research Data Alliance


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FINLAND Country Note


In 2011 the Government Programme promised to make digital data materials managed by the public sector available for research and education purposes in an easily reusable format via information networks. To implement this Programme the Ministry of Education and Culture started a project called TTA where the aim was to create a national OA related science policy and build infrastructure for HEIs. For this the Ministry of Education and Culture buys collaborative data services from state owned CSC - IT Center for Science Ltd.

Open Science and Research Initiative (ATT) was established in 2014 by the Finnish Ministry of

Education and Culture to incorporate open science and research to the whole research process to improve the visibility and impact of science and research in the innovation system and society at large. To foster the research system in Finland towards better competitiveness and higher quality, transparent, collaborative and inspirational research process should be promoted. The measures promote open publications, open research data, open research methods and tools, as well as increasing skills and knowledge and support services in open science domain.



Academy of Finland

Overview: The largest funding body in Finland. Their aim is to finance high-quality scientific research, act as a science and science policy expert, and strengthen the position of science and research. The Academy works to contribute to the renewal, diversification and increasing internationalization of Finnish scientific research.

TEKES

Overview: TEKES is the second largest funding body in Finland. They concentrate in technology and innovation.


Ministry of Education and Culture

Overview: Within the Finnish Government, the Ministry of Education and Culture is responsible for developing educational, science, cultural, sport and youth policies and international cooperation in these fields.


University of Helsinki

Overview: The oldest and largest university in Finland and a leading player in OA initiatives. The

University’s digital depository, HELDA, contains full-text materials produced at the University.

FSD

Overview: The Finnish Social Science Data Archive (FSD) is a national resource center for social science research and teaching. FSD archives, promotes and disseminates digital research data for research, teaching and learning purposes. The archive is funded by the Ministry of Education and

Culture and is a separate unit of the University of Tampere.


17


CSC – IT Center for Science Ltd

Overview: CSC is a wholly government-owned special task company, which develops and provides IT services for research, teaching, culture and administrative purposes. CSC’s main customers are the

Ministry of Education and Culture and the organizations coming under it, higher education institutions and research institutes.

The National Library of Finland

Overview: The National Library of Finland provides centralized repository platform services for 38 organisations, including many of the Finnish universities and universities of applied sciences. It also operates the national FinELib consortium, which acquires electronic resources centrally on behalf of its member organisations.

5) Other

Federation of Finnish Learned Societies

Overview: A national co-operative body for learned societies in Finland. It issues statements, launches initiatives and makes recommendations relating to academic research, especially when it serves to promote the interests of 260 member societies. It also supports learned societies in their publishing activities by providing distribution and storage services and consultation.

FinnOA

Overview: FinnOA is constituted by a group of professionals interested in promoting open access to scientific information. These people come mainly from the academia, libraries and data management.


The Strategic Centres for Science, Technology and Innovation (SHOK in Finnish) established in

Finland are new public-private partnerships for speeding up innovation processes. Their main goal is to thoroughly renew industry clusters and to create radical innovations. Centres develop and apply new methods for cooperation, co-creation and interaction. They carry out long-term cooperation in fields most crucial for the future. International cooperation also plays a key role in the operation of the Strategic Centres. Testing and piloting environments and ecosystems constitute an essential part of the Strategic Centres' operations. http://www.tekes.fi/en/programmes-andservices/strategic-centres/

One of the Finland’s Strategic Centres for Science, Technology and Innovation is DIGILE. “DIGILE’s role is not only to bring together and systematise research and development, but also to ensure that the results of research are understood, applied and adopted as part of companies’ business practice faster than ever before.” http://www.digile.fi/ DIGILE´s mission is to create digital business ecosystems to enable new global growth business for DIGILE’s owners and partners. There are over

30 partners, including companies, research institutes and universities.

“DIGILE´s vision for the year 2015:

-We have developed the necessary intelligent methods and tools for managing, refining and utilizing diverse data pools

-The results enable innovative data‐intensive business models and services” (Myllymäki, Petri. 2013.

Data to Intelligence (D2I) Research Programme on Intelligent Data‐Driven Services. Presentation.)

18



The intention of Open Science and Research initiative in Finland commissioned by the Ministry of

Education and Culture (cf. Roos et al. 2014) to incorporate open science and research to the whole research process to improve the visibility and impact of science and research in the innovation system and society at large: http://www.tdata.fi/documents/47404/86137/The+intention+of+Open+Science+and+Research+initia tive+in+Finland/d8558803-e050-45db-a6a5-90639fe62da9

The intention states the following about research data:



All stakeholders in the Finnish research system will share the research data they produce through an open information network. This principle of openness also governs research methods and the tools required to produce results, such as computer models.



Openness will, however, adhere to ethical principles and respect the judicial operating environment. Open access to research data will always be the goal when it is legally and contractually possible.



The further use of research data is not unnecessarily restricted, and the terms and conditions of their use are clearly stated. Standard, generic, machine-readable licences are complied with. For example CC BY 4.0 will be receiving a Public Administration Recommendation in

Finland (JHS).



The contracts and funding decisions that govern research support open access to data.



The storage and dissemination of research data will employ the kind of infrastructure that enables long-term preservation and open access to materials.



Research data is described and documented in sufficient detail, and this information is openly accessible in the network.



Research organisations and funders' policies and mandates will be revised to ensure that they require open access to publications and data.



Research organisations will have both a data policy and organisation-specific guidelines relating to it.



Referencing to data and methods will be encouraged, and those researchers, research teams and organisations whose data or methods are referenced will be rewarded.



When planning their educational and supplementary training programmes, institutions of higher education will consider competence development and professional skills relating to research data.



Services are designed in complete collaboration. Publications, data and methods (and their metadata) will be disseminated via open interfaces that enable, for example, text and data mining.



Content users and producers will be provided with training and marketing, support and advisory services.



When describing and storing data, national and international standards will be followed where possible to enable the combination and further use of data produced by different organisations.



Researchers will be instructed to consider questions concerning the ownership of data during the early stages of their research projects.



A data management plan will form a mandatory part of every research plan.



Copyright legislation will be amended so that text and data mining will be permitted for research purposes.

19

DSTI/STP/TIP(2014)6/ANN b) Open/increasing access to scientific publications.

The intention of Open Science and Research initiative in Finland commissioned by the Ministry of

Education and Culture (cf. Roos et al. 2014) to incorporate open science and research to the whole research process to improve the visibility and impact of science and research in the innovation system and society at large: http://www.tdata.fi/documents/47404/86137/The+intention+of+Open+Science+and+Research+initia tive+in+Finland/d8558803-e050-45db-a6a5-90639fe62da9

The following round of comments for the intention endorsed common information infrastructure services to support openness and information availability. Some comments argued for national guidelines on openness, some saw it as additional level of bureaucracy. The recommendations for open availability of publications were largely accepted.

The intention states the following about open access to scientific publications:



The further use of publications will not be unnecessarily restricted, and the terms and conditions of their use will be clearly stated. Standard, generic, machine-readable licences need to be complied with (for example CC BY 4.0).



The contracts and funding decisions that govern research will support open access to publications.



Researchers have the opportunity to engage in open publication irrespective of their scientific field or financial position.



The contents of research publications are openly accessible via an information network immediately or as soon as possible, after publication. The maximum embargo periods follow

European Commission recommendations of six months for humanities and twelve months for social sciences.



Research organisations and funders' policies and mandates will be revised to ensure that they require open access to publications.



Services will be designed in complete collaboration. Publications, data and methods (and their metadata) will be disseminated via open interfaces that enable, for example, text and data mining.



A national coordination service will be established to promote open publication and parallel storage.



The working group recommends either an institutional Green mandate or publication on the

Gold OA forum. If a scientific field already has an established practice of open publication or archiving, this will remain the primary channel. The working group did not recommend hybrid

OA publication, as this causes overlapping costs.

In the aftermath of this open access intention the Ministry of Education and Culture established for the period of 2014 ̶ 2017 an initiative called Open Science and Research (ATT). The aim of ATT is to incorporate open science and research to the whole research process to benefit the innovation system and society at large. Within ATT a national roadmap will be built. The actions are focused on six different sections: open publications, open research data, open research methods, open research environments, tools and skills. The process is guided by an influential Open Science and Research

Strategy Group, and supported by an expert group. A comprehensive collaboration forum reviews the results each year.

20


A funding scheme to support OA publication is in the making. The total costs incurred by international publication will be determined. Information will be collected on, for example, the OA fees paid to publishers. Options for managing authors' fees/royalties will also be analysed. A working group, which consists of representatives from the National Library (KK) and Federation of Finnish Learned

Societies (TSV), will prepare a presentation on the OA funding model for Finnish scientific publications and its pilot project for the Ministry of Education and Culture by the end of April 2014.

The Academy of Finland is the main national science and research funder and recommends publishing in OA journals whenever possible. Also the majority of the smaller funding agencies recommend open publication of all research conducted with public funding. This means that open access fees are eligible for reimbursement. c) Skills for open science and open data.

Regarding skills, in 2013 a working group set by the Finnish Ministry of Education and Culture produced a Data Management Guide, which covers the various areas of data management. This guide serves as a tool for, e.g., researchers, research administrators and anyone interested in data management. The guide contains the key areas of data management that each and every researcher should take into consideration. A data management planning checklist has been made to assist researchers in data management planning, in addition to which the guide contains background information on, for example, the research process and available services. http://www.tdata.fi/


Mainly through CSC has Finland obtained many contacts and wide collaboration in the EU area. CSC collaborates actively with customers, universities and polytechnics, research institutes and industrial companies. The aim of the joint projects is to develop new services in software development, Grid computation and to strengthen Finland’s resources in computational science.

CSC supports national science-based collaboration forums and participates in several international collaboration forums. These forums work in the areas of computational science, high-performance computing, IT infrastructures, harmonising open access policies, networking, and security.

For example RDA Europe (Research Data Alliance Europe) aims to be the premium global forum driving convergence between emerging global data infrastructures. Its strategic vision is to make an important contribution to the development of policy in the RDA alliance for the management and curation of scientific data, leading to a common policy that drives the development of a wider global infrastructure. The RDA Europe project is coordinated by CSC, Finland.


21


MEXICO Country Note


Mexico counts with three important projects with a common objective: access and diffusion of scientific information in the country, this information will contribute to new scientific knowledge and technological transference process and innovation. This projects are: Latindex, SciELO México and Redalyc. As a new project CONACYT will start the creation of the National Repositories of

Scientific Information Resources, Technology and Innovation of social and cultural characteristics.


The National Council on Science and Technology (CONACYT), The Ministry of Education, Presidency of Republic and National Autonomous University of Mexico (UNAM). To these institutions we add the collaboration of organisms like Comisión Nacional para el Conocimiento y Uso de la

Biodiversidad and most of the Public State Universities. There is no register of the public support each institution give for this purpose. The case of the CONACYT currently 11.2 million pesos were allocated.


We don’t count with this information


It is important to highlight that the information we display is related with Open Access, not with open data, so this answers will only be touching this subject. b) Open/increasing access to scientific publications.

Mexico counts three open access initiatives for scientific information since time ago. The most important ones are: Latindex, SciELO México, Redalyc.

LATINDEX It is an information system based on scientific and technical-professional journals, as well as popular science periodicals published in Latin America, the Caribbean, Spain and Portugal. Its mission is to disseminate and make journals available, as well as to increase the quality of academic journals published in the region, through worksharing. Latindex was born in 1995 at the National

Autonomous University of Mexico (UNAM) and became a regional cooperation network in 1997.

Latindex currently offers three databases: 1) A directory with bibliographic data and contact information of all registered magazines, both from printed and electronic journals; 2) a catalog, which includes only journals (printed and electronic) that meet the editorial quality criteria designed by Latindex; and 3) a link to electronic journals, which allows users to access the full text of journals on the sites where they are stored. In the “Products” section a further description is offered on these resources and how to consult them.

22


SciELO México is part of the SciELO regional network, which consists of collections of academic journals from 15 countries: Argentina, Bolivia, Brazil, Chile, Colombia, Costa Rica, Cuba, Spain, and others. The SciELO México collection is developed by the General Directorate of Libraries (DGB) of the National Autonomous University of Mexico (UNAM).

During 2007 and 2008, the Information Centre for Public Health Decisions (CENIDSP), part of the

National Institute of Public Health (INSP), collaborated on the development of the SciELO México collection by selecting publications and funding for the electronic edition of biomedical journals.

Moreover, from 2006 to 2008 SciELO Mexico was sponsored by UNAM’s Macroproyecto:

Tecnologías para la Universidad de la Información y la Computación (MTUIC) (Macroproject:

Technologies for the Information and Computing University)

Currently, SciELO Mexico receives funding from the National Council for Science and Technology

(CONACYT) to promote national and international dissemination of the journals that are part of the

Mexican Index of Scientific and Technological Research Journals, and to help assessing the impact of these technologies through consistent bibliometric indicators.

Redalyc is an academic project for the dissemination of scientific periodicals published in Latin

America. It is, in principle, an open access online scientific library, though over time it has evolved into a scientific information system that incorporates the development of tools for the analysis of the production, dissemination and consumption of scientific literature. The name Redalyc, in

Spanish, comes from Latin American, Caribbean, Spanish and Portuguese Network of Scientific

Journals. The project, promoted by the Autonomous University of the State of Mexico, was born in

October 2002, as an initiative of a group of researchers and publishers concerned about the low projection of research results generated in the zone. Since its inception, it has been proposed to be a meeting point for those interested in reconstructing the scientific knowledge of Latin America.

On the other side, are the magazines that constitute CONACYT’s Index of Mexican Scientific And

Technology Research Journals. On 2013 the e-project for journals of this index started. Its main objective was the worldwide promotion and access to its journals. The CONACYT’s Index of Mexican

Scientific and Technology Research Journals is Open Access.

Last 20 th May where created new statements to Science and Technology Law, General Educational

Law and to the Organic CONACYT Law that incorporates “Open Access” concept.

By Open Access we mean a digital platform that doesn’t require any subscription or payment to access its research work or educative, academic and scientific material, which has been financed by public resources, or that has used public infrastructure for its development, without prejudice to its intellectual property rights, or to such information that, due its nature, had to be protected.

The law dictates that CONACYT will support (by the assignation of financial resources) the creation of Institutional Repositories, operated by Repositorios Nacionales (RN); their function will be to gather, preserve and manage the electronic access to information and quality content, this also includes social and cultural interests made in Mexico with public funds. The RN will operate with international standards that allow to search, read, discharge complete texts, reproduce, distribute, import, export, identify, store, preserve and recover all the reunited information.

23

DSTI/STP/TIP(2014)6/ANN c) Skills for open science and open data.

We still are on RN design, that’s why we can’t talk about this operative phase.


Mexico was part of the Jamaican Declaration to Open Access, promoted by Unesco.

It is a part of the Open Access Latin American Initiative called “LA Referencia”, and its main objective is to contribute to the dissemination of scientific and technologic information of the eight member countries.

Recently we are incorporated to SCOUP 3 of CERN, to finance the publication of articles from

Mexican scientists on Open Access Gold journlas on the field of high energies.


24


POLAND Country Note Template


The Polish Government does not currently have an official OA strategy or policies. A strategy for

Open Access in Research is being prepared by the Ministry of Science and Higher Education.

A Bill on Open Resources was prepared by the Ministry of Administration and Digitization in 2012 but it never passed. The bill had an overarching nature, encompassing different aspects of OA in research, culture as well as PSI.

Open Access publishing is currently not taken into account for evaluation of research output in

Poland. Thomson Reuters’ Impact Factor remains one of the major evaluation criteria but independent metrics are being developed. Currently a ranked list of Polish research journals is also used for evaluation but while information on journals’ OA policies is collected, it has no influence on the ranking.



NCN - The National Science Centre (NCN) is a government executive agency set up to fund basic research.

NCBiR - The National Centre for Research and Development is the implementing agency of the

Minister of Science and Higher Education in charge of the performance of the tasks within the area of national science, science and technology and innovation policies. It funds the research in these areas through strategic programmes. The activity of the Centre is funded by the national treasury and the European Union funds.


MNiSW – The Ministry of Science and Higher Education provides the public funding for NCN and

NCBiR as well as for research institutions (public universities, Polish Academy of Science).


CeON – The Centre for Open Science is a unit devoted to development of Open Science research, tools, services and promotion, created in 2010 within ICM, University of Warsaw. The Centre develops software tools to support Open Science, operates the largest Polish research OA infrastructure. It provides national scientific content services (such as its Virtual Library of Science with over 10 million full text publications) to all the Polish research institutions. It also acts as the centre of competence on Open Science, including its legal aspects.


25


5) Other

FNP - The Foundation for Polish Science is a non-governmental, non-political, non-profit institution, which pursues the mission of supporting science. It is the largest source of science funding in Poland outside of the state budget.


While there is no formal policy for research data so far, access to Public Sector Information is regulated by the Act on Access to Public Information of September 6, 2001. Two new regulations have been issued by the Ministry of Administration and Digitization in the beginning of 2014, related to the operations of the Central Repository for Public Information and defining the information assets to be placed in the repository for each sector, including the required frequency of their updates. All these regulations refer to Public Sector Data. The central repository “CRIP”, supervised by the Ministry, will become operational in 2Q2014.

Regarding the research data, a new research datacentre OCEAN has been funded by the National

Centre for Research and Development NCBiR, to be operational by 4Q2015, with the aim to provide the e-infrastructure for storage of Open Data as well as facilities and expertise for Big Data analysis.

A budget of about 20M Euro has been allocated for the OCEAN datacentre for 2014-2015. The intended target population is the whole Polish research community.

b) Open/increasing access to scientific publications.





Within the Virtual Library of Science (WBN) programme, funded by the Ministry of Science and Higher Education, CeON signs contracts with Polish research journals to provide their publications in Open Access. Contracts with over 200 journals have been signed to date.



Within the same programme, CeON negotiates country licenses for books and journals of international scientific publishers. Besides access, several other aspects of the licenses are required, including their perpetuity, the right to archive full texts, and the right to process the full texts and the metadata. As a part of the deal, some major international publishers allow Polish affiliated authors to publish without transferring copyrights and without additional fees. Since 2010, Polish authors have the right to opt for publishing their articles with these publishers under an Open Access license instead. In perspective, this should allow to build a larger corpus of Polish research articles published in traditional peerreviewed journals but also available in OA.

2) carrots (incentives), sticks (requirements) and enablers use in implementation (including the type

26

DSTI/STP/TIP(2014)6/ANN of infrastructure for publications repositories and maintenance)

The incentives are currently mostly limited to providing better visibility (of articles but also scientific journals) through OA. There’s a discussion on adapting the official scholarly output evaluation mechanisms to better reflect the value of OA and the recent evolution of the ways to conduct the scientific research, but this is still in a very early phase.

There is no formal requirement to publish in Open Access.

The implementation of OA in Poland focuses mostly on the enablers, such as:



The Ministry of Science and Higher Education runs a Polish Scholarly Bibliography service (PBN, pbn.nauka.gov.pl) for reporting research output. The service provides an option for the authors reporting their publications to deposit a copy and make it available in OA.



Infona – the Polish Scholarly Communication Portal (Infona.pl) harvests and makes available the contents of Open Access research repositories and Open Access journals as well as other research resources.



In some cases Polish authors publishing in foreign research journal can decide not to transfer their copyrights and use an OA license instead. This option is free, provided what the main author is Polish (affiliated with a Polish institution).



Virtual Library of Science provides a common platform (yadda.icm.edu.pl) for the research journals to make their publication available in OA and tools to build national research bibliographic databases.




There is no long-term budget for implementing the OA policy



The Virtual Library of Science (WBN) programme is funded yearly based on the evaluation of the proposals by the Ministry of Science and Higher Education




The Ministry of Science and Higher Education,



CeON – Centre for Open Science (ICM, University of Warsaw).


All research institution in Poland.



Copyright in Poland is regulated by the Act on Copyright and Related Rights of February 4, 1994.

Creative Commons licenses are in wide use for open access publications.

Public Domain does not formally exist in Polish legal space, so Open Access is mostly limited to open licences and items for which the copyright has expired.

27

DSTI/STP/TIP(2014)6/ANN c) Skills for open science and open data.

Poland is one of the partners of a recently started project FOSTER, which aims to support young researchers, in adopting open access approach and in complying with the open access policies. The project intends to establish a European-wide training programme on open access and open data, consolidating training activities across Europe. The project involves partners from Denmark, France,

Germany, the Netherlands, Poland, Portugal, Spain and the United Kingdom.

The OCEAN research data centre will provide extensive training curriculum for big and open data handling and analysis, as well as an environment of interdisciplinary research teams to support the researchers from different areas of science.


Poland is one of the major partners of the European Open Access Research Infrastructure

OpenAIRE, with its services being provided from a datacentre in Warsaw. Polish responsibilities in

OpenAIRE include development of data- and text-mining solutions, as well as daily operations and maintenance of the core infrastructure.

Poland is a founder of COAR - the Confederation of Open Access Repositories.

Poland was heavily involved in development of the D-NET open repository aggregation system, that is used in a number of countries, including RECOLECTA in Spain, and national repository consortia in

Slovenia and Argentina.

Poland is also a partner in a number of large European research and infrastructure projects.


28


SPAIN Country Note


Article 37 of the 2011 Science, Technology and Innovation Law, lays down the following:

“Public agents of the Spanish Science, Technology and Innovation will drive the development of repositories, owned or shared, open access to the publications of its research staff, and establish systems to connect with similar initiatives nationally and internationally.

The research staff whose research activity is financed largely with funds from the State Budget will issue a digital version of the final version of the contents which have been accepted for publication in research journals or periodicals serial as soon as possible but not later than twelve months after the official date of publication.

Public electronic version may be used by public administrations in their evaluation processes.

The Administration will provide centralized access to repositories and its connection with similar national and international initiatives”.

The Spanish Strategy for Science, Technology and Innovation envisages access to data and microdata, as well as publications and results publicly funded research as one of its six articulation mechanisms. The main aim of this initiative is to drive the development of repositories, own or shared, open access to the publications of its research staff, and establish systems to connect with similar initiatives nationally and internationally.

In October 2013, two calls for R&D projects where launched at the National level that included the

OA mandate supported by the 2011 Science, Technology and Innovation Law.

Together with the National mandate, in Spain there are 3 Regions (out of 17) that have their own regional Open Access mandate: Madrid, Asturias and Cataluña. Moreover, there are 16 universities that have their own institutional Open Access mandates.


Government:

Secretariat of State for Research, Development and Innovation within the Spanish Ministry for

Economic Affairs and Competiveness. It holds the responsibilities for scientific and technical research, development and innovation, including the management of international relations in this area and the Spanish representation in international organizations and in the European Union.

( http://www.idi.mineco.gob.es

)

Spanish Foundation for Science and Technology – FECYT

The Spanish Foundation for Science and Technology, FECYT, is a public foundation under the

Ministry of Economy and Competitiveness whose mission is to promote science, technology and innovation. ( http://www.fecyt.es

)

Universities, Public research organisations and other government labs

29


Research performers are key actors in the Spanish Open Access landscape. There are up to

57 universities and public research centres with their own institutional OA repository. All of them are part of RECOLECTA.

Other resources

ODiSEA: International Registry on Research Data: An international inventory of deposits that support research datasets worldwide.

Network of University Libraries (REBIUN) of the Conference of Rectors of Spanish Universities

(CRUE): This organization comprises all Spanish universities and scientific libraries. REBIUN includes

75 libraries and the Spanish National Research Council (CSIC), which is the largest national public research performing institution. ( http://www.rebiun.org/ )


Spanish Foundation for Science and Technology

RECOLECTA (http://recolecta.fecyt.es) is the nationwide infrastructure of OA scientific repositories.

It is a platform that gathers all the national scientific repositories together in one place, and it is the national reference for the OA movement in Spain. The national platform RECOLECTA promotes

Open Access in the community and it addresses all stakeholders (i.e. decision-makers, researchers and librarians and repository managers) through the provision of services, continuous support, dissemination activities and advocacy.

Spanish Foundation for Science and Technology – FECYT- manages RECOLECTA, as a collaboration established in 2007 between the Spanish Foundation for Science and Technology (FECYT) and the

Network of Spanish University Libraries (REBIUN) run by the Conference of Vice-Chancellors of

Spanish Universities (CRUE).


At national level the policy framework is represented by the Science, Technology and Innovation Act

14/2011 released in 2011 (article 37 on “Open access dissemination”). This policy is implemented through the Spanish Strategy for Research Development and Innovation (EECTI ) and the Action

Plans derived from it.

It is stated that Spanish researchers funded by the State (National Plan for Scientific and

Technological Research and Innovation) should make public a copy of the final version of the accepted paper as soon as possible, and no later than 12 months after publication. Open Access copies will available either through institutional or thematic repositories, and they should be taken into consideration within institutional evaluation practices.

The National/State Plan encourage both green OA standard and gold OA standard. OA fees and

30

DSTI/STP/TIP(2014)6/ANN costs (gold OA) are eligible for those R&D projects funded by the National/State Programme of

Knowledge Promotion and Excellence and specific instruments within the National/State

Programme of R&D addressing Societal Challenges.

Introduction of criteria within evaluation procedures of practices mainly in those areas such as R&D projects, grants, etc. publicly funded in the context of the National/State Plan for Scientific and

Technological Research and Innovation. Also introduction of OA publications as part of criteria and merits used in researchers’ assessment (i.e. promotion). It is needed to note that both items are present in the Act, but they are not still in place.

Also, in the regional context, several legal initiatives have been approved (Madrid, Asturias,

Catalonia) along the line of open access.

Still there is not any specific result from the application of the legislation.

There is not budget assigned to this initiative

The main institution involved in the implementation of the initiative is the State Secretary for

Research, Development and Innovation, though its different agencies, institutions, foundations, etc.

A key role in the implementation and the coordination of the OA policies at the National level is played by FECYT (Spanish Foundation for Science and Technology).Also the Spanish Universities

Libraries (REBIUN) and the different regional administrations with competences in education and culture matters.

No specific developments in IP management. The Act gathers that the law will be of application without prejudice to agreements under which they have attributed or transfer to third parties the rights to publications, and does not apply when the rights to the results of the activity of research, development and innovation are likely protection.

Specific details on monitoring and evaluation are in the Ministry’s roadmap, still under construction. b) Open/increasing access to scientific publications.

At national level the policy framework is represented by the Science, Technology and Innovation Act

14/2011 released in 2011 (article 37 on “Open access dissemination”). This policy is implemented through the Spanish Strategy for Research Development and Innovation (EECTI ) and the Action

Plans derived from it.

It is stated that Spanish researchers funded by the State (National Plan for Scientific and

Technological Research and Innovation) should make public a copy of the final version of the accepted paper as soon as possible, and no later than 12 months after publication. Open Access copies will available either through institutional or thematic repositories, and they should be taken into consideration within institutional evaluation practices.

The National/State Plan encourage both green OA standard and gold OA standard. OA fees and

31

DSTI/STP/TIP(2014)6/ANN costs (gold OA) are eligible for those R&D projects funded by the National/State Programme of

Knowledge Promotion and Excellence and specific instruments within the National/State

Programme of R&D addressing Societal Challenges.

Introduction of criteria within evaluation procedures of practices mainly in those areas such as R&D projects, grants, etc. publicly funded in the context of the National/State Plan for Scientific and

Technological Research and Innovation. Also introduction of OA publications as part of criteria and merits used in researchers’ assessment (i.e. promotion). It is needed to note that both items are present in the Act, but they are not still in place.

Also, in the regional context, several legal initiatives have been approved (Madrid, Asturias,

Catalonia) along the line of open access.

Still there is not any specific result from the application of the legislation.

There is not budget assigned to this initiative

The main institution involved in the implementation of the initiative is the State Secretary for

Research, Development and Innovation, though its different agencies, institutions, foundations, etc.

A key role in the implementation and the coordination of the OA policies at the National level is played by FECYT (Spanish Foundation for Science and Technology).Also the Spanish Universities

Libraries (REBIUN) and the different regional administrations with competences in education and culture matters.

No specific developments in IP management. The Act gathers that the law will be of application without prejudice to agreements under which they have attributed or transfer to third parties the rights to publications, and does not apply when the rights to the results of the activity of research, development and innovation are likely protection.

Specific details on monitoring and evaluation are in the Ministry’s roadmap, still under construction. c) Skills for open science and open data.

Institutions involved

All the national OA scientific repositories, most of them belonging to Spanish Universities and Public

Research Organisations, are gathered together in one place: RECOLECTA which is the nationwide infrastructure for open access scientific repositories.

Programme beneficiaries

Repository managers, in order for them to be updated with technical requirements, to be compliant with international interoperability guidelines, and to be accurately informed with the latest news on how the open access movement is advancing worldwide.

32


Researchers, through the provision of reliable infrastructures for archiving their research outputs in open access.

Decision-makers through advocacy, dissemination and high level technical advice.

Along with creating, maintaining, supporting and improving the national repositories infrastructure,

RECOLECTA provides with services and facilitates open and free access to all scientific production openly deposited in Spanish repositories. It brings support services for users and strengths the national open access community and it will offer statistics about repositories usages

Programme design

Promotion and coordination of the national infrastructure of open access digital scientific repositories in an interoperable manner based on the standards adopted by the global community.

Also, to foster, support and facilitate the adoption of open access policies by Spanish universities and R&D organizations. RECOLECTA also aims to give a greater visibility and impact to the Spanish national research outcomes.

It promotes activities to spread information and fosters collaboration.

Expected outcomes of the programme



To increase the institutional coverage of appropriated OA infrastructures: new institutional repositories created.



Review institutional repositories and guaranteed a high quality standard. It must be ensured the interoperability of repositories along with DRIVER and OpenAIRE guidelines.



"RECOLECTA Guide for the evaluation of institutional research repositories" updated.



Definition of the roadmap for the implementation of the Article 37 of the Spanish Law on

Science, Technology and Innovation, and its follow up and monitoring procedures for the scientific evaluation system

Development of a standardized measurement of institutional repositories usage data. The service will provide aggregated repositories statistics. The successful and effective implementation of a statistics system will enable a proper compliance of the OA national mandate.


Spain participates in European projects (OpenAIRE, OpenAIRE Plus and MedOANet) and international initiatives (COAR).

The Spanish Foundation for Science and Technology (FECYT) and the Network of Spanish University

Libraries (REBIUN) supported the International Open Access Week. Both institutions organize several events to promote among the academic and research community the benefits of open access, and to share good practices in this area.

33



The Alhambra Declaration was signed in 2010 and it comprises several Spanish institutions. The

Declaration was developed in a seminar about Open Access that took place in 2010

(http://oaseminar.fecyt.es) and it was coordinated by the Spanish Foundation for Science and

Technology (FECYT) and the Consortium of Academic Libraries of Catalonia (CBUC), with the support of the CSIC.

34


UNITED KINGDOM Country Note


UK Government’s commitment to Open Access (OA) was stated in its Innovation & Research

Strategy for Growth, December 2011, as a key part of BIS’s (Department for Business’s) contribution to the UK Government’s Transparency Agenda.

The UK policy position is a strong preference for Gold OA and an acceptance of Green OA. Gold is preferred because of its advantages in terms of providing freely to the user: immediate access to the final peer reviewed published article, compatibility with data mining, and unrestricted access and re-use.

The focus on open access in the UK is very much on expanding the use of scientific outputs outside the academic community, i.e. encouraging greater business, entrepreneurial and citizen use. It is expected that this will lead to greater innovation and impact from UK science.



Research Councils UK (RCUK) and the seven Research Councils (AHRC, BBSRC, EPSRC, ESRC, MRC,

NERC and STFC)

With a total budget of £3.47 billion pa, the Research Councils make up more than half of the UK government’s science budget. The Research Councils fund specific research projects on a competitive grant basis. All Research Council funded science must be made Open Access.

The Higher Education Funding Council of England (HEFCE), of Wales (HEFCW), the Scottish Funding

Council (SFC), and the Department for Employment and Learning Northern Ireland (DELNI)

The Funding Councils provide block funding for higher education institutions across the four nations of the UK. This allows universities to make some decisions about what research to fund. The

Funding Councils are due to announce their policy in the Spring.


The UK Department for Business, Innovation and Skills (BIS)

The department provides the public funding for the Research Councils and Funding Councils

(mentioned above).



5) Other

By some margin, the two largest charitable funders in the UK are the Wellcome Trust and Cancer

Research UK.

35


The Wellcome Trust

The trust is a large charitable funder (around £726 million pa) of biomedical research. The trust requires that all the research it funds is made freely available as soon as possible online, and more than 6 months after publication. In particular it requires that papers are deposited on PubMed

Central and Europe PMC within 6 months of their publication. The Wellcome Trust encourages, and where it pays an open access fee, requires articles to be published under a C-BY licence.

Cancer Research UK

Cancer Research UK requires, barring exceptional circumstances, papers it funds to be made publicly available online, and in particular made available on Europe PMC, as soon as possible, and at least within 6 months.



1) policy or programme design to include as applicable a description of what type of data is subject to the policy, what the policy/programme requires, any expectations/requirements for depositing data in particular repositories, when requirements must be met

The UK is in principle committed to making data emerging from publically funded research available to all, as laid out in the Innovation and Research Strategy for Growth, December 2011. Further, the

UK government is starting to publish as much of its own data as possible, bearing in mind confidentiality and national security concerns.

Research Councils’ (RCUK’s) Guidance on Open Access states that all research papers, if applicable, should include a statement on how underlying research materials (such as data) can be accessed.

However, the policy does not require that the data must be made open

Research Councils and the UK Government also have a strong interest in developing effective medical and social sciences research whilst respecting the European General Data Protection

Regulation (DPR). The UK Government and Research Councils are seeking to ensure that substantial investments made to enhance UK research capacity, in medical bioinformatics and the UK’s contribution to public health research using longitudinal cohorts such as the UK Biobank and the imminent Life Study, are able to operate effectively under the DPR.

The UK’s policy on research data is still being developed in consultation with stakeholders.

2) carrots (incentives), sticks (requirements) and enablers use in implementation (including the type of infrastructure for data repositories and maintenance)

The E-infrastructure Leadership council

The ELC advises government on all aspects of e-infrastructure including networks, data stores,

36

DSTI/STP/TIP(2014)6/ANN computers, software and skills as a single coordinating body that owns the UK e-infrastructure strategy and can advise BIS Ministers on its implementation and development. It works in partnership with stakeholders across the academic community, industry, government and society.

Members of the ELC come from the academic community, industry, the Research Councils and

Funding Councils, government departments, and the charitable sector

Data Capability Strategy

The Data Capability Strategy focuses on three overarching aspects to data capability. The first is human capital – a skilled workforce, and data-confident citizens. The second covers the tools and infrastructure which are available to store and analyse data. The third is data itself as an enabler – data capability is underpinned by the ability of consumers, businesses and academia to access and share data appropriately.

Some examples of e-infrastructures and data projects being developed include:



The Open Data Institute: this £10m project will provide data from across the public sector on an open access basis to enable industrial and academic exploitation



The Clinical Practice Research Datalink: the UK’s National Health Service (NHS) has very large and high quality datasets. The government has therefore decided to use and add to this for social and economic benefit



£100m investment to sequence DNA of cancer and rare disease patients: as above



£160m investment in high-performance computing and networks (2011): the investments included high capacity networking, a national supercomputing facility and for the Hartree centre, offering leading edge supercomputing capabilities alongside software development expertise for industrial, academic, governmental and research organisations.



£189m investment in Big Data: these investments included energy efficient computing, establishing a network of Administrative Data Research Centres (the ‘ADRN’), and the

Square Kilometre Array (SKA) platforms.

3) the annual or long-term budgets for implementing the policy/program,


5) target population,


7) legal framework for open data notably regarding copyright (how the policy/program addresses issues of privacy/confidentiality, commercial sensitivity of data, and copyright /IP)

8) data or results of evaluations that demonstrate results of open data initiatives, if any

9) how the policy/programme is being monitored/enforced b) Open/increasing access to scientific publications.


37





All research funded by the Research Councils (& the Wellcome Trust) must be made open access. The Research Councils have a preference for Gold OA, but will accept Green.



The Research Councils have more than half of the UK Science budget.

2) carrots (incentives), sticks (requirements) and enablers use in implementation (including the type of infrastructure for publications repositories and maintenance)

Public funders of science in the UK use the stick more than the carrot by mandating open access on research they fund. However they will often fund Gold OA, to encourage Gold as opposed to Green.

The Research Councils (RCUK) insist that everything must be OA but they provide some funding for their preference of Gold.

The Research Councils (RCUK) have also launched a platform called Gateway to Research where all

Research Council funded or Technology Strategy Board (TSB) funded research can be found, with details of who has funded it, by searching simple keywords. This is a platform to find research rather than a depository on which to place it.

The Funding Councils for the four nations (HEFCE, HEFCW, SFC and DELNI) published their OA policy on 31st March 2014. The funding councils allocate public funds to universities on the basis of the historic quality of their academic outputs. This is done approximately every five or six years. The

Funding Councils’ OA policy states that for the next Research Assessment Exercise (REF), expected in around 2020, all articles that are submitted for the purpose of getting funding for the university in the future, must be deposited in an institutional or subject repository and be freely available to read. This is therefore a very significant carrot for universities to ensure their research is made, at least Green, Open Access.




The Research Councils (RCUK) have committed £20m pa to the policy for the year 2013/14.

They have said they are willing to commit in excess of £100m to fund APCs in the 5 years from 2012/13. This money is given in block grants to universities to fund article publication charges.



The central government made a £10m investment in 2012 to help universities with the transition to the UK’s OA policy.


All the main UK public funders of Science have an Open Access policy which effectively mandates

OA.


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Therefore it is likely that this will cover all or most of publically funded Scientific Research in whatever type of institutions


The aims of the policies are for the most of UK government funded science to be made Open

Access, as much of it as possible on a Gold basis. It is hoped that this will lead to greater use of the science and hence greater innovation from scientific outputs, and more falsifiable, and hence reliable, scientific outputs.


Where the Research Councils (RCUK) fund APCs (Gold OA), the license must be CC-BY (fully reusable). For Green Open Access, there are allowed to be restrictions on commercial re-use of the science.

8) data or results of evaluations that demonstrate results of open access initiatives, if any

According to the UK Publishers’ association, within one year of the current RCUK policy being announced, 70% of journals now publish Gold or include a Gold option.

The Research Councils (RCUK) are planning to review the effectiveness of their policy in the second half of 2014.

9) how the policy/programme is being monitored/enforced

For the RCUK policy, the universities receive money specifically to fund OA. Beyond that the enforcement of the policy relies on the fact that academics are unlikely to receive repeat funding from the Research Councils if they do not comply with the policy.

The Funding Councils’ policy states that academic articles cannot be submitted as examples of excellent research in order to gain further funding at all in future if they are not openly available.

The policy therefore enforces itself; universities are unlikely to allow articles not to be published on an open access basis if they want to receive block grant public funding in future.

10) does the policy/programme differentiate between free and libre open access models ?

For the Research Councils, Gold is preferred to Green, but Green is allowed. Gold (APCs) is often funded as mentioned above. For the Funding Councils, only free (gratis, or green) open access is required. c) Skills for open science and open data.

Much skills policy in the UK surrounds providing skills training to students in numerical subjects.

These skills policies are focused more around teaching students and academics how to use the big data sets that will emerge out of open data, rather than skills necessary for open science policies per se. Some key initiatives include:



One of the Research Councils, the Engineering and Physical Sciences Research Council

39


(EPSRC) has announced a number of new Centres for Doctoral Training that will be focused on big data that will open for students in Autumn 2014; including at the University of

Nottingham, University of Edinburgh and the University of Oxford.



The business analytics firm, SAS, have launched the SAS Student Academies, which give educational institutions the ability to train students in real-life big data skills. There are now sixteen academies in universities across the UK



The Nuffield Foundation, the Economic and Social Research Council (ESRC) and the Higher

Education Funding Council for England (HEFCE) have launched Q-Step, a £19.5 million initiative designed to promote a step-change in quantitative social science training. Over a five year period from 2013, 15 universities across the UK are delivering specialist undergraduate programmes, including new courses, work placements and pathways to postgraduate study.

In your response, you may consider discussing the following:


2) programme beneficiaries,

3) policy or programme design,

4) expected outcomes of the policy/programme (s),

6) the annual or long-term budgets allocated to promoting skills for open science and open data,

7) evaluations, if any


The UK is an active member of the e-Infrastructure Policy Forum, a forum for debate and early exchange of information between members with a view to align national initiatives and promote an enhanced cooperation between national e-infrastructures and stakeholders. It is similarly active in the e-Infrastructure Reflection Group, which recently published a White Paper on a European einfrastructure Commons1. This paper addresses the integration of services for research communities and interoperability and coordination of e-Infrastructures. Follow-up aspects are Open

Science, data management, big data, cloud computing and legal issues that arise from the commercial use of e-Infrastructures.

The UK is a partner in a number of large e-infrastructure projects funding through the European

‘Framework 7’ programme. For example it is a partner in PRACE for HPC, European Grid

Infrastructure for distributed computing and EUDAT for data-sharing and management. It hosts the headquarters for the Square Kilometre Array (SKA) project as well as leading several technical work packages around its e-infrastructure. The UK is involved in a large number of ESFRI (European

Strategy Forum on Research Infrastructures) projects. For example it hosts the headquarters hub of the ELIXIR project, tasked with building a sustainable European infrastructure for biological information. The building for the hub was funded by the UK government and sits alongside EMBL-

EBI, the European Molecular Biology Laboratory and European Bioinformatics Institute. In addition, sectoral research data initiatives are emerging to complement the UK’s national and international approach, such as those being initiated by the Royal Society of Chemistry.

1

http://www.e-irg.eu/publications/white-papers.html.

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