Open Access Policy Alignment Strategies for European Research

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REGIONAL WORKSHOPS

Workshops report and lessons learned

Deliverable 4.2

April!2016!

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Alma Swan Enabling Open Scholarship

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1 Open Access Policy Alignment Strategies for European Research

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Deliverable)) !

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Grant Agreement number: 611742!

Project acronym: PASTEUR4OA! !

Project title: Open Access Policy Alignment STrategies for European Union Research!

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Funding Scheme: FP7 – CAPACITIES – Science in Society! !

Project co-ordinator! Organisation: EKT/NHRF! !

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E-mail: [email protected] ! !

Project website address: www.pasteur4oa.eu

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2 Open Access Policy Alignment Strategies for European Research

4.2! Deliverable No.!

Regional!workshop!series:!report!and!lessons!learned! Deliverable Name!

Lead Beneficiary! EOS!

PU! Dissemination Level!

Month!27!(30/4/2016)! Expected Due Date! Month!27!(x/xx/2016)! Actual submission date ! !

D!4.2!–!Regional!workshop!series:!report!and!lessons!learned!

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PASTEUR4OA!is!an!FP7!project!funded!by!the!EUROPEAN!COMMISSION!

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This!publication!reflects!only!the!author’s!views!–!the!Community!is!not!liable!for!any!use!that!may!be!made!of!the! information!contained!therein.!

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3 Open Access Policy Alignment Strategies for European Research

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Document!Change!Control!!

)Version)No) Date)of)Issue) Author(s)) Brief)Description)of) Change)

1.0! 26.04.2016! Alma!Swan! First!draft!

1.1! 28.04.2016! Alma!Swan! Included!additional! content!from!Nordic,! Eastern!and!South!east! regional!coordinators!

2.0! 29.04.2016! Alma!Swan! Final!revisions!made!

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Abstract:

PASTEUR4OA (Open Access Policy Alignment Strategies for European Union Research) has aimed to support the European Commission’s Recommendation to Member States of July 2012 that they develop and implement policies to ensure Open Access to all outputs from publicly-funded research.

PASTEUR4OA has helped develop and/or reinforce Open Access strategies and policies at the national level and facilitate their coordination among all Member States. It has built a network of centres of expertise in Member States that is carrying out a coordinated and collaborative programme of activities in support of policymaking at the national level under the direction of project partners. ! ! !

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4 Open Access Policy Alignment Strategies for European Research

! ! ! ! ! ! Table&of&Contents& ! ! ! ! ! ! ! ! ! ! ! !!!!!!!!!Page! ! 1.&&&Executive&summary& & & & & & & & & &&7& & 2.&&&Introduction& & & & & & & & & & 10& & 3.&&&The&workshops& & & & & & & & & & 11& 3.1!!!Dates!of!the!workshops! ! ! ! ! ! ! ! 11! 3.2!!!Brief!overviews!of!the!workshops!by!region!! ! ! ! ! 11! ! 3.2.1!!Overview! ! ! ! ! ! ! ! ! 11! 3.2.2!!North!West!region! ! ! ! ! ! ! ! 12! 3.2.3!!Nordic!region! ! ! ! ! ! ! ! ! 12! 3.2.4!!Eastern!region! ! ! ! ! ! ! ! ! 12! 3.2.5!!South!East!region! ! ! ! ! ! ! ! 12! 3.2.6!!South!West!region! ! ! ! ! ! ! ! 13! 3.3!!!Highlights!of!the!workshops! ! ! ! ! ! ! ! 13!! ! 3.3.1!!Overview! ! ! ! ! ! ! ! ! 13! 3.3.2!!North!West!region! ! ! ! ! ! ! ! 15! 3.3.3!!Nordic!region! ! ! ! ! ! ! ! ! 22! 3.3.4!!Eastern!region! ! ! ! ! ! ! ! ! 22! 3.3.5!!South!East!region! ! ! ! ! ! ! ! 26! 3.3.6!!South!West!region! ! ! ! ! ! ! ! 27! 3.4!!!Main!issues!and!key!conclusions! ! ! ! ! ! ! 31! ! 3.4.1!!Overview! ! ! ! ! ! ! ! ! 33! 3.4.2!!North!West!region! ! ! ! ! ! ! ! 33! 3.4.3!!Nordic!region! ! ! ! ! ! ! ! ! 36! 3.4.4!!Eastern!region! ! ! ! ! ! ! ! ! 36! 3.4.5!!South!East!region! ! ! ! ! ! ! ! 37! 3.4.6!!South!West!region! ! ! ! ! ! ! ! 38! ! ! ! ! ! ! ! ! !

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! 4.&&&Evaluation,&lessons&learned&and&dissemination& & & & & & 38& 4.1!!!Main!feedback!points!! ! !! ! ! ! ! ! 38! ! 4.1.1!!Overview! ! ! ! ! ! ! ! ! 38! 4.1.2!!North!West!region! ! ! ! ! ! ! ! 39! 4.1.3!!Nordic!region! ! ! ! ! ! ! ! ! 40! 4.1.4!!Eastern!region! ! ! ! ! ! ! ! ! 40! 4.1.5!!South!East!region! ! ! ! ! ! ! ! 40! 4.1.6!!South!West!region! ! ! ! ! ! ! ! 40! ! 4.2!!!Lessons!learned! ! ! ! ! ! ! ! ! 40! ! 4.2.1!!Overview! ! ! ! ! ! ! ! ! 40! 4.2.2!!North!West!region! ! ! ! ! ! ! ! 41! 4.2.3!!Nordic!region! ! ! ! ! ! ! ! ! 41! 4.2.4!!Eastern!region! ! ! ! ! ! ! ! ! 42! 4.2.5!!South!East!region! ! ! ! ! ! ! ! 42! 4.2.6!!South!West!region! ! ! ! ! ! ! ! 42! ! 4.3!!!Dissemination!! ! ! ! ! ! ! ! ! 42! ! 4.3.1!!Overview! ! ! ! ! ! ! ! ! 42! 4.3.2!!North!West!region! ! ! ! ! ! ! ! 43! 4.3.3!!Nordic!region! ! ! ! ! ! ! ! ! 43! 4.3.4!!Eastern!region! ! ! ! ! ! ! ! ! 43! 4.3.5!!South!East!region! ! ! ! ! ! ! ! 44! 4.3.6!!South!West!region! ! ! ! ! ! ! ! 44! ! 5.&&&Follow&up& & & & & & & & & & & 45& & 5.1.1!!Overview! ! ! ! ! ! ! ! ! 45! 5.1.2!!North!West!region! ! ! ! ! ! ! ! 45! 5.1.3!!Nordic!region! ! ! ! ! ! ! ! ! 46! 5.1.4!!Eastern!region! ! ! ! ! ! ! ! ! 46! 5.1.5!!South!East!region! ! ! ! ! ! ! ! 46! 5.1.6!!South!West!region! ! ! ! ! ! ! ! 47! ! Appendix&1:&Workshop&programmes&! ! ! ! ! ! ! 48! ! North!West!region!workshop!for!research!performing!organisations! ! 49! ! North!West!region!workshop!for!research!funders! ! ! ! ! 51! ! Nordic!region!workshop! ! ! ! ! ! ! ! 53! ! Eastern!region!workshop!Day!1! ! ! ! ! ! ! 54! ! Eastern!region!workshop!Day!2! ! ! ! ! ! ! 55! South!East!region!workshop!for!research!funders! ! ! ! ! 56! South!East!region!workshop!for!research!performing!organisations! ! 58! South!West!region!workshop!for!research!funders! ! ! ! ! 60! South!West!region!workshop!for!research!performing!organisations! ! 62! ! !

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& 1.&Executive&summary& ! The!PASTEUR4OA!project!organised!a!series!of!regional!workshops!in!five!regions!of!Europe!over!the!last! quarter!of!2015!and!the!first!of!2016.!Nine!regional!workshops!took!place!in!total:!two!in!each!of!four! regions!(North!West,!South!West,!South!East,!Eastern)!and!one!in!the!Nordic!region,!as!shown!below.! ! Region& City&& Date! Target&audience& Number& & attending& North!west! !!!Brussels! 9!February!2016! Institutional!policymakers! 22! ! 10!February!2016! Research!funder!policymakers! 30! Nordic! Copenhagen! 17!March!2016! Mixed! 48! Eastern! Budapest! 29!October!2015! Research!funder!policymakers! >50!on! 30!October!2015! Institutional!policymakers! each!day! South!east! Athens! 3!November!2015! Institutional!policymakers! 33! ! Istanbul! 1!April!2016! Research!funder!policymakers! 21! South!west! Madrid! 28!September!2015! Research!funder!policymakers! 20! Turin! 22!February!2016! Institutional!policymakers! 38! ! ! The&key&highlights&of&the&workshops& The!main!issues!highlighted!in!the!workshops!are!below:!this!is!a!very!high]level!summary!of!many! detailed!points!presented!in!the!body!of!this!report.! • There!is!a!need!for!better!ways!and!metrics!for!measuring!and!assessing!research! • In!all!regions,!the!number!of!OA!policies!is!rising!and!interest!is!rapidly!growing! • Open!Data!is!a!topic!of!growing!interest!and!policy!for!ensuring!that!research!data!are!freely! accessible!is!needed.!It!is!acknowledged!that!there!are!quite!some!challenges!associated!with!policy! development!in!this!area! • The!PASTEUR4OA’s!Knowledge!Net!is!generally!positively!regarded!and!the!hope!is!that!it!will!have!a! secure!and!successful!future!! • The!project’s!key!goal!of!raising!awareness!about!the!need!for!policy!alignment,!and!encouraging! policymakers!to!align!their!policies!with!that!of!H2020!as!much!as!possible,!is!seen!as!a!good!aim,! though!it!is!recognised!that!it!will!not!be!fully!achievable!! • It!is!of!note!that!in!a!number!of!countries!there!are!moves!to!change!or!create!laws!to!facilitate! Open!Access!to!research!information!where!currently!the!legal!framework!acts!as!a!barrier! • Policy!alignment!is!a!desirable!goal,!though!it!is!acknowledged!that!complete!alignment!may!not! always!be!achievable! & The&main&issues,&outcomes&and&conclusions& A!number!of!issues!stood!out!from!those!reported!in!detail!from!the!workshops.! • In!all!regions!there!is!still!a!need!for!more!OA!policies,!particularly!from!research!institutions! • Understanding!what!policy!conditions!help!to!make!a!policy!maximally!effective!is!crucial! • Linking!authors’!compliance!with!a!policy!to!research!assessment!is!a!critical!factor!in!a!policy’s! effectiveness! ! !

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• Awareness!of!supporting!actions!(e.g.!advocacy)!for!a!policy!that!increase!its!effectiveness!is!very! valuable!! • The!PASTEUR4OA!advocacy!materials!that!provide!guidelines,!checklists,!briefings!and!an!evidence! base!for!policy!design!are!very!useful!and!much!appreciated! • Policy!alignment!is!a!desirable!goal,!though!it!is!acknowledged!that!complete!alignment!may!not! always!be!achievable! • Monitoring!compliance!with!OA!policies!is!an!increasingly!important!and!challenging!issue!and!there! is!much!interest!in!methods!and!their!outcomes! • In!some!regions,!funder!interest!in!Open!Access!policy!is!still!low:!there!is!potential!in!continuing!to! bring!together!funders!from!different!regions!to!encourage!interest!and!action! • The!Knowledge!Net!is!recognised!as!a!beneficial!thing!for!policy!development!and!considerable! interest!in!ensuring!its!safe!future! • There!is!growing!concern!about!the!established!methods!of!evaluating!research!and!increasing! interest!in!developing!new!methods!that!are!more!appropriate.!It!is!recognised!that!this!needs!a! shared!approach!by!institutions,!funders!and!researchers!themselves!and!is!a!key!critical!factor!in! the!development!of!scholarly!communication!practices! ! Key&points&about&evaluation&of&the&workshops& The!workshops!were!evaluated!very!positively!by!people!who!attended.!There!were!also!useful! suggestions!from!participants!for!follow]up!actions!from!the!project.! • Where!measured!quantitatively,!70%!or!higher!of!participants!expressed!satisfaction!with!the! workshops!! • Where!measured!qualitatively,!satisfaction!was!apparently!high! • Positive!suggestions!for!follow]up!actions!by!PASTEUR4OA!were!offered!by!participants! ! Key&points&about&the&main&lessons&learned& Overall,!a!number!of!important!lessons!were!learned!from!organising!the!workshop!series,!both!about! the!process!of!organising!a!successful!event,!and!about!the!OA!policy!process!across!Europe.! • Securing!the!participation!of!key!senior!figures!or!organisations!in!the!process!of!inviting! policymakers!helps!to!ensure!high!levels!of!acceptances! • The!venue!and!host(s)!of!workshops!can!also!help!to!encourage!acceptances!if!invitees!perceive! them!to!be!significant!and!can!thus!imbue!the!whole!event!with!a!sense!of!importance! • Successful!programmes!include!presentations!from!key!figures!in!policymaking!circles!who!are!seen! as!OA!champions!by!other!policymakers!keen!to!learn!from!their!experiences!and!successes! • Allowing!plenty!of!opportunity!for!informal,!group]based!discussion!was!an!important!factor!in! making!a!workshop!successful.!Policymakers!do!not!often!get!such!opportunities!–!generally!where! they!do!meet!up!it!is!in!a!structured,!regulated!environment!that!does!not!facilitate!informal! exchange!of!information!–!and!they!appeared!to!value!it!highly! • Panel!sessions,!which!tend!to!be!a!little!less!formal!than!presentation!session,!were!also!highly!rated! where!they!occurred:!these!usually!provide!an!opportunity!for!more!extensive!exchange!between! audience!and!experts!and!in!this!they!offer!a!valued!further!mode!of!interaction!of!a!less!formal!kind! • While!most!workshops!were!aimed!at!one!type!of!policymaker!(funder!or!institutional)!workshops! with!mixed!audiences!can!also!be!very!successful,!given!the!right!programme!structure!and!mix!of! speakers! ! !

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• Regions!vary!considerably!in!respect!to!the!level!of!progress!on!OA!policy!development,!and! workshop!programmes!need!to!be!designed!to!take!this!into!account,!recognising!the!varying!needs! of!different!regions! • Including!presentations!from!other!regions!as!comparators!can!work!well,!providing!a!different! perspective!and!encouraging!debate!and!discussion,!as!well!as!further!action! & Dissemination&of&information&from&the&workshops& The!workshop!organisers!and!project!partners!carried!out!a!careful!programme!of!dissemination!of! information!from!the!workshops,!ensuring!that!people!who!could!not!attend!were!able!to!find!and! access!the!programmes!and!presentations!and!learn!what!the!main!discussions!were!about.! • All!workshops!were!reported!in!a!series!of!tweets!on!twitter! • All!workshops!were!reported!in!the!PASTEUR4OA!newsletter!series!and!on!the!PASTEUR4OA! Facebook!page! • Presentations!from!the!workshops!were!published!on!the!project!website! • Workshop!organisers!sent!emails!to!participants!and!to!those!who!had!been!unable!to!attend,! providing!links!to!the!presentations!and!other!workshop!materials! & FollowOup&& Follow]up!work!was!carried!out!in!all!regions.!The!form!of!this!follow]up!work!varied!as!it!was! dependent!on!the!needs!of!particular!regions!and!participants.! • In!all!regions,!workshop!participants!were!contacted!by!email!after!the!workshop!events!and!offered! further!materials,!help!or!guidance! • In!some!regions,!further!meetings!have!taken!place!between!project!partners!and!policymakers! • Some!Regional!Coordinators!have!had!teleconference!meetings!with!Key!Nodes!in!their!region! • A!webinar!was!hosted!by!the!South!West!Regional!Coordinator! • There!are!working!groups!on!OA!now!in!some!regions!as!a!result!of!the!workshops! • Some!additional!work!has!been!carried!out!by!the!project!on!advocacy!resources! & & ! &

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& & 2.&Introduction&& ! The!PASTEUR4OA!project!has!engaged!with!policymakers!in!three!main!ways!–!by!direct!contact! between!project!partners!and!policymakers!of!various!types,!through!the!expert!organisations!that!are! members!(Key!Nodes)!of!the!Knowledge!Net,!and!via!a!series!of!workshops!held!in!the!different!regions! of!Europe.!This!report!describes!these!workshops!and!their!outcomes.!! ! In!total,!nine!events!were!held,!spread!across!Europe.!In!most!regions!separate!events!were!organised! for!policymakers!from!research!funders!and!from!research!institutions,!but!in!some!cases!the!audiences! were!mixed.!! ! The!rest!of!this!report!documents!what!happened!at!the!workshops,!the!highlights,!main!issues!and! conclusions,!the!lessons!learned!about!the!most!effective!way!to!engage!policymakers,!and!the! feedback!from!those!who!attended.! ! ! & & ! &

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10 Open Access Policy Alignment Strategies for European Research

& & 3.&&&The&workshops& ! 3.1&&&Dates&of&the&workshops&& Nine!regional!workshops!took!place!in!total:!two!in!each!of!four!regions!(north!west,!south!west,!south! east,!eastern)!and!one!in!the!Nordic!region,!as!follows:! ! Region& City&& Date! Target&audience& Number& & attending& North!west! !!!Brussels! 9!February!2016! Institutional!policymakers! 22! ! 10!February!2016! Research!funder!policymakers! 30! ! Nordic! Copenhagen! 17!March!2016! Mixed! 48! ! Eastern! Budapest! 29!October!2015! Research!funder!policymakers! >50!on! 30!October!2015! Institutional!policymakers! each!day! ! South!east! Athens! 3!November!2015! Institutional!policymakers! 33! ! Istanbul! 1!April!2016! Research!funder!policymakers! 21! ! ! South!west! Madrid! 28!September!2015! Research!funder!policymakers! 20! Turin! 22!February!2016! Institutional!policymakers! 38! ! ! ! The!full!programme!for!each!event!is!provided!in!Appendix!1!of!this!report.! ! 3.2&&&Brief&overviews&of&the&workshops&by®ion& ! 3.2.1&&Overview& Each!workshop!was!unique,!but!there!was!also!considerable!commonality!between!them.!While!the! Open!Access!(OA)!policy!situation!varies!quite!a!lot!between!regions,!and!workshops!were!designed! with!that!in!mind,!there!was!also!a!shared!aim!across!all!the!events,!which!was!to!promote!evidence] based!good!practice!in!policy!development!and!to!help!policymakers!appreciate!the!need!for,!and! endeavour!to,!align!policy!with!that!of!Horizon!2020.!A!broad!overview!of!each!region’s!workshops! follows!below:! ! 3.2.2&&North&west®ion& On!9!and!10!February!2016,!the!PASTEUR4OA!project!hosted!the!North!West!Europe!Meetings!of! Research!Performing!Organisations!(RPOs)!and!research!funders.!The!meeting!for!RPOs!brought! together!22!participants.!The!agenda!for!the!meeting!included!presentations!delivered!by!the! PASTEUR4OA!project,!the!EC!and!EUA.!It!also!included!presentations!on!best!practices!in!OA!policy! development!and!implementation!from!the!University!of!Liège,!the!University!of!Kent!and!Trinity! College!Dublin.!This!was!followed!by!a!work!group!session!where!PASTEUR4OA!facilitated!discussions! on:!the!Knowledge!Net,!policy!effectiveness,!policy!alignment,!and!policy!compliance!and!monitoring.!! ! !

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Finally,!panel!sessions!were!held!with!invited!speakers!who!provided!an!overview!of!OA!developments! in!their!institutions:!the!University!of!Luxembourg,!University!of!Strasbourg,!and!Helmholtz!Association.!! ! The!meeting!for!research!funders!included!31!participants.!The!agenda!for!the!meeting!included! presentations!delivered!by!the!PASTEUR4OA!project,!the!EC,!and!Science!Europe.!It!also!included! presentations!on!best!practices!in!OA!policy!development!from!FRS]FNRS,!HEFCE!and!BELSPO.!This!was! followed!by!a!work!group!session!where!PASTEUR4OA!facilitated!discussions!on:!the!Knowledge!Net,! policy!effectiveness,!policy!alignment,!and!policy!compliance!and!monitoring.!Finally,!panel!sessions! were!held!with!invited!speakers!who!provided!an!overview!of!OA!developments!in!their! countries/organisations:!Austria’s!FWF,!France’s!INRIA,!Luxembourg’s!FNR,!the!Magna!Charta! Observatory,!and!UNESCO.!! ! 3.2.3&&Nordic®ion& The!Nordic!region!has!a!number!of!onYgoing!initiatives!on!Open!Access!in!the!different!constituent! countries.!They!vary!in!detail,!but!it!is!striking!how!great!the!degree!of!similarity!between!them.!Policy! work!and!practical!developments!are!happening!across!the!region,!and!one!key!highlight!is!the! commissioning!of!a!report!from!NordForsk!by!Norden,!the!Nordic!Council!of!Ministers,!on!Open!Data:! the!report!will!be!published!in!the!summer.!There!is!general!agreement!that!there!remains!a!low!level! of!awareness!about!OA!and!particularly!about!the!need!for!policy!alignment.!Nevertheless,!each! country!expressed!a!desire!to!be!amongst!the!leaders!in!research!openness.!One!key!issue!identified!for! action!is!the!need!to!reform!the!current!system!of!research!indicators,!which!all!agreed!is!a!major! barrier!to!the!adoption!of!Open!Access!practices.! ! 3.2.4&&Eastern®ion! Over!50!research!funders!and!representatives!of!research!performing!organizations!from!15&countries! (Austria,!Belgium,!Croatia,!Czech!Republic,!Estonia,!Hungary,!Latvia,!Lithuania,!Myanmar,!Poland,! Portugal,!Romania,!Slovakia,!Slovenia!and!the!UK)!have!met!in!Hungarian!Academy!of!Sciences! (Budapest)!on!October!29]30,!2015!to!revisit!the!Horizon!2020!Open!Access!(OA)!mandate,!examine!OA! policy!developments!in!Europe,!and!learn!from!the!best!practices!in!OA!policy!development!and! implementation!at!the!national,!funder!and!institutional!levels.!They!also!discussed!the!importance!of! aligning!national!OA!policies!with!the!Horizon!2020!OA!mandate.!And!as!a!result!of!the!meeting!research! funders!and!research!performing!organisations!in!Eastern!Europe!were!empowered!to!develop/fine] tune!their!OA!policies!aligned!with!the!Horizon!2020!OA!policy;!for!example,!Lithuania!has!adopted!the! Guidelines!for!Open!Access!to!Research!Results.!OA!policy!developments!in!most!of!these!countries!are! still!in!the!early!stages!and!the!workshops!created!a!good!opportunity!to!catch!up!quickly!with!other!EU! countries,!where!OA!policies!are!already!a!new!norm!in!scholarly!communication.!! ! 3.2.5&&South&east®ion& The!first!South]East!Europe!Workshop!on!3!November,!2015!was!primarily!for!research]performing! organisations.!Participants!included!policymakers!from!RPOs!in!Greece,!Cyprus,!Turkey,!Bulgaria,!Serbia! and!FYROM.!Presentations!and!subsequent!discussions!allowed!participants!to!familiarise!themselves! with!the!concept!of!Open!Access,!the!European!framework,!and!the!elements!required!for!an! institutional!policy!to!be!effective!and!to!exchange!ideas!and!share!their!(common)!concerns!in!relation! to!the!challenges!related!to!the!adoption!of!Open!Access!policies!in!their!institutions.!As!countries!in!the! region!are!newcomers!in!terms!of!Open!Access!policies,!lessons!from!other!regions!as!well!as!from!! !

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12 Open Access Policy Alignment Strategies for European Research institutions!in!SE!Europe!with!institutional!policies!are!expected!to!reinforce!related!efforts!through!the! creation!of!a!critical!mass.!The!second!workshop,!for!research!funders,!was!organised!by!EKT!in! cooperation!with!Hacettepe!University,!with!Bilgi!University!as!the!local!host.!The!workshop!brought!! together!policymakers!from!research!funding!organisations!such!as!the!General!Secretariat!for!Research! and!Technology!(Greece),!the!A.G.!Leventis!Foundation!(Cyprus),!the!Directorate!General!for!European! Programmes,!Coordination!and!Development!(Cyprus),!TUBITAK!(Turkey),!the!Ministry!of!Education!and! Science!of!Bulgaria!and!Serbia.!The!meeting!also!included!representatives!from!universities!and!research! institutions!like!EKT,!Hacettepe!University,!Bilgi!University!and!Izmir!Institute!of!Technology.!In!addition,! the!meeting!benefitted!from!the!participation!of!representatives!from!the!Higher!Education!Funding! Council!for!England!(HEFCE),!the!Belgian!Federal!Science!Policy!Office!(BELSPO)!and!the!Current! Research!Information!Systems!in!Norway!(CRIStin).! ! 3.2.6&&South&west®ion& At#the#first#SW#regional#workshop,#twenty!attendees'represented'relevant'national'research'funders,' including(the(National(Foundation(for(Science(and(Technology((FCT)(from(Portugal,*the*National* Research(Council((CSIC)(and(the(Ministry(for(Economy(and(Competitiveness((MINECO)(from(Spain;(the( Malta%Council%for%Science%and%Technology%(MCST)%and%the%National%Research%Council%(CNR)%from%Italy.% Apart&from&reporting&the&policy&developments)in)each)country)the)discussion)focused)on)the)issues)of) monitoring'compliance'and'impact'of'OA'policies,'and'on'how'to'deal'with'embargo'periods'and'APCs." Two$research$funders$reported$that$they$are$planning$or$developing$their$Open$Access$polices"–!the$ Malta%Council%for%Science%and%Technology%(MCST)%and%the%National%Research%Council%(CNR)%of%Italy.%& ! The!second!workshop!brought!together!a!total!of!38!participants!from!research!performing! organisations!of!Portugal,!Spain,!Malta!and!Italy.!The!aim!of!the!workshop!was!to!bring!together! policymakers!from!those!countries!to!allow!the!exchange!of!ideas!and!policy!practices!among! participants.!A!second!aim!was!to!promote!discussions!on!ways!to!improve!existing!policies!or!develop! new!Open!Access!policies,!ideally!aligned!with!the!Commission’s!Recommendation!on!Access!to!and! Preservation!of!Scientific!Information!and!the!Horizon!2020!(H2020)!Open!Access!policy!requirements.!! ! ! 3.3&&&&Highlights&of&the&workshops&& ! 3.3.1&&&&Overview&& All!the!workshops!featured!at!least!one!presentation!that!reported!on!the!PASTEUR4OA!project,!its!aims! and!achievements!and!some!detail!about!its!legacy!for!the!future.!All!workshops!also!heard!from! funders!and!institutions!in!their!region!about!progress!and!outcomes!of!Open!Access!policy.!These! presentations!set!the!scene!for!subsequent!discussions!about!topics!of!particular!interest!to!each! region.! ! There!were!some!issues!that!were!raised!in!all!regions.!One!of!the!most!important!examples!is!the! problem!of!evaluating!and!assessing!research,!the!poor!metrics!that!are!currently!most!commonly!used! and!the!need!for!new!metrics!that!can!measure!things!better.! ! ! !

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13 Open Access Policy Alignment Strategies for European Research

All!regions!were!able!to!report!encouraging!developments!in!terms!of!numbers!of!OA!policies!being! adopted!and!the!general!high!level!of!interest!in!this!issue.! ! All!regions!at!least!touched!upon!the!issue!of!Open!Data!and!discussed!policy!development!in!this!area! and!the!challenges!of!implementation.!In!some!countries,!the!link!between!opening!up!data!and!greater! general!innovation!and!enterprise!has!been!firmly!made.!! ! Another!topic!for!general!discussion!across!all!workshops!was!the!network!of!expert!organisations!built! by!PASTEUR4OA,!the!Knowledge!Net.!Many!of!these!organisations!(Key!Nodes)!were!represented!at!the! workshops!and!engaged!other!stakeholders!in!discussion!about!the!usefulness!and!future!potential!of! this!network.!This!was!useful!material!for!the!project!partners!to!work!on,!given!that!a!sustainable! future!for!the!Knowledge!Net!is!one!of!the!issues!the!project!is!now!working!on.! ! Policy!alignment,!one!of!the!main!goals!of!the!project,!was!also!a!topic!for!discussion!at!a!number!of!the! workshops.!The!general!consensus!seems!to!be!that!alignment!is!a!desirable!aim,!though!realistically!it!is! unlikely!to!be!fully!achieved!given!that!funders,!in!particular,!have!distinct!and!individual!goals!for!OA! and!in!some!cases!seem!more!inclined!to!pursue!these!than!to!join!collective!action!on!policy.! ! Discussions!on!the!legal!frameworks!within!which!OA!policy!has!to!be!made!were!also!common!to!a! number!of!workshops.!In!some!countries!there!appears!still!to!be!a!legal!barrier!to!designing!and! implementing!a!policy!that!will!be!effective,!particularly!the!crucial!mandatory!nature!of!such!policies.!In! other!countries,!though,!things!are!moving!quite!fast:!workshops!heard!from!speakers!or!other! participants!about!current!or!upcoming!new!laws!that!may!facilitate!more!openness!in!research! communication.! ! The!other!chief!highlight!is!the!optimistic!and!positive!one!of!people!looking!forward,!discussing!what! they!can!do!and!contribute!in!future!to!improving!OA!policymaking.!There!was!considerable!discussion! around!this!in!all!workshops!and!that!confirms!the!general!high!level!of!interest!now!in!this!issue!and! the!importance!it!is!being!accorded.! ! As!well!as!these!common!themes,!different!regions!emphasised!different!issues.!For!example,!in!the! North!West!region!focus!was!not!so!much!on!policy!development,!since!most!funders!and!many! institutions!already!have!policies.!Instead,!there!was!considerable!attention!on!the!design!of!policies!to! make!them!as!effective!as!possible!and!consideration!of!the!factors!responsible,!both!from!the! PASTEUR4OA!work!on!policy!analysis!and!from!case!studies!featuring!successful!policy!implementation.! In!other!regions!raising!awareness!about!good!policy!design!and!implementation!are!key.!In!many! regions,!monitoring!policies!is!a!topic!growing!in!importance!as!more!policies!are!put!in!place!and! policymakers!seek!to!understand!their!effectiveness.!! ! The!key!points!in!respect!of!the!highlights!of!the!workshops!are!shown!in!the!box!below!and!specific! points!are!then!listed!by!region.! !

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14 Open Access Policy Alignment Strategies for European Research

! Key&points&about&the&main&highlights&of&the&workshops& • There!is!a!need!for!better!ways!and!metrics!for!measuring!and!assessing!research! • In!all!regions,!the!number!of!OA!policies!is!rising!and!interest!is!rapidly!growing! • Open!Data!is!a!topic!of!growing!interest!and!policy!for!ensuring!that!research!data!are!freely! accessible!is!needed.!It!is!acknowledged!that!there!are!quite!some!challenges!associated!with! policy!development!in!this!area! • The!PASTEUR4OA’s!Knowledge!Net!is!generally!positively!regarded!and!the!hope!is!that!it!will! have!a!secure!and!successful!future!! • The!project’s!key!goal!of!raising!awareness!about!the!need!for!policy!alignment,!and!encouraging! policymakers!to!align!their!policies!with!that!of!H2020!as!much!as!possible,!is!seen!as!a!good!aim,! though!it!is!recognised!that!it!will!not!be!fully!achievable!! • It!is!of!note!that!in!a!number!of!countries!there!are!moves!to!change!or!create!laws!to!facilitate! Open!Access!to!research!information!where!currently!the!legal!framework!acts!as!a!barrier! • Policy!alignment!is!a!desirable!goal,!though!it!is!acknowledged!that!complete!alignment!may!not! always!be!achievable! ! ! 3.3.2&&North&west®ion& & Workshop(for(research-performing(organisations& • The!conditions!of!the!Horizon!2020!(H2020)!OA!policy!(i.e.!depositing!and!making!scientific! publication!Open!Access!and!its!subjacent!requirements)!as!well!as!of!the!Open!Research!Data!(ORD)! pilot!(i.e.!conditions!for!making!the!data!needed!to!validate!scientific!publications!available!in!an! Open!Access!form)! • The!preliminary!findings!from!a!survey!conducted!with!European!universities!(173!respondents! representing!22%!of!European!University!Association’s!members)!that!sought!to!understand!the! degree!of!implementation!of!institutional!OA!policies!for!research!publications!and!research!data,! and!the!EUA’s!Roadmap!on!Open!Access!to!Research!Publications,!its!objectives!and!priorities!! • The!University!of!Liège!OA!policy!and!the!factors!that!have!made!this!policy!succeed,!and! highlighting!the!need!to!change!practices!that!have!an!impact!on!OA:!the!need!to!change!the!mode! of!publication,!the!mode!of!peer]review,!the!mode!of!evaluation,!and!the!need!for!alternative! metrics!(‘the!impact!factor!deception’)!! • The!key!role!that!public!(i.e.!RCUK,!HEFCE)!and!private!funders!(e.g.!Wellcome!Trust)!have!been! playing!in!driving!the!transition!to!OA!in!the!UK!and!the!RCUK!and!HEFCE!OA!policies!in!more!detail.! He!highlighted!the!intricacies!resultant!from!the!existence!of!distinct!OA!policies,!the!workflows,!and! the!implications!these!have!for!researchers!and!their!universities!were!highlighted! • Ireland’s!National!Principles!for!Open!Access!Policy!Statement,!the!National!Open!Access!Steering! Group,!and!the!national!Open!Access!Repository!Network!(i.e.!RIAN).!OA!is!also!part!of!the! Government’s!Innovation!2020!Strategy!(Department!of!Jobs,!Enterprise!and!Innovation)!and! distinct!stakeholders!have!been!nominated!to!support!the!implementation!of!OA!policies!through! the!integration!of!OA!infrastructures!and!systems.!Next!steps!and!priorities!in!Ireland!include:! reinstating!the!OA!agenda;!establishing!internal!and!national!targets/path/timescale!for!achieving! OA;!determining!common!actions!among!funders!and!institutions!in!driving!OA;!implementing!! !

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15 Open Access Policy Alignment Strategies for European Research

monitoring!and!reporting!mechanisms;!and!enhancing!the!functionality!and!visibility!of!existing! infrastructure!by!developing!stronger!links!with!EU!infrastructure!(e.g.!OpenAIRE).! ! The!work!groups!session!covered!the!following!topics:! ! The!Knowledge!Net:! • There!have!been!different!levels!of!engagement!and!commitment!by!the!Key!Nodes;! • Some!participants!were!not!aware!of!the!Knowledge!Net!(e.g.!Germany)!and!found!the!structure!of! having!Key!Nodes!and!NOADs!complex! • Other!participants!expressed!that!there!have!been!communication!gaps!between!Key!Nodes!and! institutions:!information!not!being!transmitted!to!institutions!(e.g.!Austria)! • Others!also!expressed!that!there!were!communication!gaps!between!Key!Nodes!and!National!Points! of!Reference!(NPRs),!National!Contact!Points!(NCPs),!and!National!Open!Access!Desks!(NOADs)! • Regional!approach!to!organisation!of!the!Knowledge!Net!worked!well! • There!were!issues!raised!in!terms!of!the!priorities!of!different!institutions!but!also!in!terms!of!what! different!Key!Nodes!can!do.!For!example,!the!University!of!Strasbourg!is!at!one!end]point.!There!are! institutional!differences,!and!whilst!the!University!of!Strasbourg!concentrates!on!European!issues!it! does!sometimes!neglect!national/regional!levels!(e.g.!funding!streams).!Couperin!(the!French!Key! Node),!for!example,!negotiates!licenses!and!this!limits!what!it!can!do!in!terms!of!promoting!OA! policymaking! ! Policy!effectiveness:! • In!Germany,!the!clear!majority!of!stakeholders!are!against!OA!mandates.!Faculties!mention! academic!freedom!as!a!right!of!researchers!and!academics.!The!German!National!Library!of! Economics!has!an!old!OA!policy!which!is!now!being!revised!and!it!is!directed!towards!Open!Science! rather!than!just!OA.!Fraunhofer!is!also!updating!its!policy.!In!the!case!of!institutions,!they!are! competitive!and!this!is!particularly!the!case!when!EU!money!is!involved![Observation:!so!it!may!be! the!case!that!increased!competition!will!have!a!positive!effect!in!the!increase!of!the!number!of!OA! policies]! • In!Austria,!the!OA!Network!Austria!brings!together!all!the!relevant!stakeholders,!including! universities,!and!is!coordinated!by!FWF.!Almost!all!Austrian!universities!have!OA!policies!or! guidelines!but!none!has!policies!or!guidelines!for!OD.!In!2016,!Austria!started!a!working!group!for! policies!on!research!data!management.!This!is!a!large!group!and!includes!rectors.!Overall,!there!is!a! disappointing!level!of!engagement!with!OA!and!low!level!of!deposits!in!Austria:!only!11%!of! scientists!deposit!their!content!and!make!it!available!on!Open!Access! • In!Ireland,!CRIS!systems!are!used!to!collect!information!and!are!used!as!a!link!to!evaluation.!The!CRIS! systems!were!developed!in!a!way!that!they!could!be!as!beneficial!as!possible!for!the!academic! community.!OA!policies!are!used!to!highlight!the!benefits!of!making!research!outputs!openly! available!and!linked!to!academic!promotion.! • In!Germany,!these!approaches!are!counter]productive.!Switching!to!OA!is!acceptable!to!researchers! as!long!as!it!does!not!impact!on!changing!their!publishing!habits.!! • There!was!an!extensive!discussion!around!the!German!‘Right!for!Secondary!Publication’!law!which!is! going!through!parliament!again!and!the!idea!of!giving!the!author!a!legal!right!to!publish!again,! independent!of!the!publisher.!German!researchers!and!institutional!leadership!do!not!support!Green! ! OA!and!do!not!want!to!publish!in!'second!rate'!journals.!The!upcoming!‘right!for!green’!copyright!law!

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could!be!helpful!for!negotiations!with!publishers!in!terms!of!finding!a!better!price!for!Gold!OA.!A! similar!law!has!been!approved!in!France! • A!final!observation!was!made!about!deals!with!publishers!and!about!the!fact!that!such!deals!raise! challenges!in!countries!that!cannot!afford!Gold!OA.!!Ireland,!for!example,!has!gone!all!out!for!Green! OA!and!there!is!no!other!option!! ! ! Policy!alignment:! • The!need!to!engage!better!with!publishers,!or!the!need!to!‘speak!their!language’!and!to!use!‘their! terminology!in!their!game’.!Institutions!need!help!from!business!people!who!are!not!publishers.! There!is!a!need!to!understand!who!owns!the!publication!chain.!Institutions!also!need!to!share!their! expertise!and!to!change!the!terminology!being!used.!Some!institutions!have!sought!to!work!with! publishers!in!order!to!better!understand!their!role!in!the!publication!cycle.!For!example,!the! University!of!Vienna!held!a!workshop!with!Elsevier!to!understand!what!Elsevier!wants.!The!main! conclusion!from!the!workshop!was!that!some!important!universities!were!afraid!to!expose!their! ideas!to!publishers!and!that!publishers!also!had!concerns!but!also!wanted!to!discuss!ideas!and! requested!for!help.!!! • An!observation!was!made!on!the!fact!that!funders!and!institutions!have!different!foci:!whereas! institutions!may!be!happy!with!delayed!OA,!funders!want!immediate!access!to!research!outputs.!As! a!result,!there!is!a!need!to!bring!both!groups!of!stakeholders!(institutions!and!funders)!together!and! to!agree!on!homogeneous!strategies!to!make!OA!policies!more!effective.!! • A!final!comment!was!made!on!the!need!not!only!to!make!the!key!elements!of!OA!policies!clearly! defined!but!also!to!combine!OA!policies!and!strategies!with!the!wider!context!of!OD!(e.g.!DMPs)!and! Open!Science.!!!!! • Luxembourg!is!working!to!align!its!national!OA!policy!in!2017! • In!Ireland,!recommending!CC]BY!licences!is!avoided!in!order!to!encourage!industry!to!contact! researchers.!A!decision!in!terms!of!aligning!Irish!OA!policies!was!reached!in!two!weeks.!This!decision! was!based!on!policy!and!best!practice! • A!suggestion!was!made!that!policy!alignment!could!be!promoted!across!Europe!by!starting!with!the! alignment!of!OA!policies!by!academic!discipline!(i.e.!the!same!‘rules’!would!apply!by!academic! discipline!across!the!whole!continent)!!! ! Policy!compliance!and!monitoring:! • In!the!USA,!the!NIH!monitors!compliance.!In!the!UK,!with!HEFCE’s!OA!policy!revision!(i.e.!date!of! deposit)!there!are!no!metadata!fields!to!cover!this!in!the!off]the]shelf!repositories.!The!ideal! scenario!would!be!for!funders’!policies!to!specify!the!metadata!they!need!on!a!website!and! institutions!would!then!be!able!to!use!this!information!to!look!up!the!publications!and!show!if!they! are!compliant! • An!observation!was!made!about!problems!with!SCOPUS.!There!are!records!missing!in!fields.!There!is! information!such!as!author!details!missing.!Publishers!outsource!indexing.!A!solution!would!be!for! academics!to!use!ORCID!IDs!and!then!it!would!be!possible!to!collect!all!the!relevant!data! • In!Ireland,!Trinity!College!Dublin!keeps!track!of!all!the!information.!The!systems!are!integrated.! There!is!a!translational!system!and!a!standardised!mechanism!for!collection!of!information!about! research!outputs!and!for!reporting.!After!the!OA!policy!was!adopted!by!funders,!they!determined!! ! what!information!they!were!going!to!ask!for!monitoring!and!subsequently!they!have!started!to! request!for!the!URLs!to!be!provided!

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• In!the!UK,!there!is!a!challenge!to!identify!the!best!approach!to!this!issue.!There!are!now!many! different!service!providers!for!compliance.!It!would!be!easier!to!monitor!and!report!on!compliance!if! there!was!just!one!system!from!one!agency!–!‘even!if!not!perfect!at!least!it!is!the!same’.! & The!panel!session!provided!the!opportunity!for!three!speakers!to!give!an!update!about!the!OA!policy! landscape!in!three!countries/institutions.!The!session!also!sought!to!encourage!discussions!on!the! strengths!and/or!challenges!that!the!different!stakeholders!faced!during!the!processes!leading!to!policy! implementation:! • The!University!of!Liège!model!and!was!developed!with!the!support!of!the!PASTEUR4OA!project.!The! University’s!President!issued!a!communication!about!the!OA!mandate!and!the!institutional! repository!(ORBiLu)!to!the!university’s!research!community.!The!communication!stressed!that! making!scientific!information!openly!available!increased!the!visibility!of!research.!The!deposit!of! research!outputs!in!the!institutional!repository!is!also!used!as!a!tool!for!evaluation.!In!Luxembourg,!a! national!OA!mandate!is!being!developed!and!it!should!become!aligned!with!H2020! • Alain!Beretz,!Rector!of!the!University!of!Strasbourg!and!Chair!of!LERU,!has!firstly!given!an!update!on! the!development!of!the!University’s!OA!policy!for!publications!and!research!data.!The!policy!follows! the!University!of!Liège!model.!It!is!still!in!prototype!but!will!be!officially!announced!next!year.!The! infrastructure!is!in!place!and!an!OD!repository!is!being!developed.!Beretz!is!also!following!the! example!of!Liège!and!has!been!involved!in!advocating!for!OA!in!the!University! • There!is!general!support!for!OA!in!Germany!from!the!federal!government!and!also!from!the!state! governments!(responsible!for!education!and!related!issues).!For!example,!the!state!of!Baden] Wurttemberg!has!had!an!Open!Science!policy!for!a!few!years!and!has!changed!the!law!pertaining!to! the!universities!in!that!state.!The!law!says!that!if!someone!has!the!right!to!Green!OA!(under! copyright!law)!then!the!state!law!obliges!the!University!to!mandate!on!this.!The!first!University!to! adopt!an!OA!policy!was!the!University!of!Konstanz!(which!is!waiting!to!be!sued,!and!want!to!hear! from!judges!that!this!is!OK,!so!that!other!universities!can!follow).!A!federal!policy!is!also!awaited!in! Germany,!which!has!been!under!development!for!a!long!time,!but!it!should!be!released!this!year.! The!Alliance!of!German!Research!Organisations!is!working!on!a!deal!for!all!researchers!to!have! access!to!all!articles!published!in!journals.!This!initiative!is!strongly!supported!by!the!rectors’! conference:!information!is!collected!on!subscriptions!and!this!is!the!basis!for!negotiations!with! publishers.!Right!now!the!Alliance!is!selecting!which!publishers!it!will!approach!first.!The!Alliance!has! been!asked!to!negotiate!on!openness!as!well!as!subscriptions!in!an!offsetting!contract.!This!will!help! monitor!OA!compliance!in!Germany.!Overall,!rectors!are!pro]OA!but!they!do!not!want!to!change! their!publishing!habits! !! Workshop(for(research(funders& • The!conditions!of!the!Horizon!2020!(H2020)!OA!policy!(i.e.!depositing!and!making!scientific! publication!Open!Access!and!its!subjacent!requirements)!as!well!as!of!the!Open!Research!Data!(ORD)! pilot!(i.e.!conditions!for!making!the!data!needed!to!validate!scientific!publications!available!in!an! Open!Access!form)! • Belgium’s!funding!agency!role!(FRS]FNRS:!In!April!2013,!the!regulation!(i.e.!mandate)!on!the! implementation!of!the!policy!of!"free!access"!to!scientific!publications!resulting!from!FNRS!funding! ! was!adopted!and!became!effective!from!1!October!2013.!In!theory,!this!is!a!strong!mandate,!like!the! one!in!vigour!at!the!University!of!Liège!but!in!practice!there!are!difficulties!because!universities!in! the!Wallonia!region!were!not!as!ready!as!Liège!to!enforce!the!policy.!The!overall!compliance!rates!in!

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universities!(excluding!Liège)!are!around!15]30%! • Science!Europe!is!trying!to!raise!the!level!of!play!on!OA!and!to!help!members!that!are!still!on!a! learning!phase!to!gain!understanding!from!those!further!ahead.!SE!conducted!a!survey!that!has! shown!that!70%!of!members!had!some!sort!of!formal!OA!policy!in!2014!and!18%!were!planning!to! implement!one.!Science!Europe!does!not!propose!the!harmonisation!of!OA!policies!but!aims!to! inform!policy!implementation.!Science!Europe!considers!that!the!publication!and!dissemination!of! results!are!an!integral!part!of!the!research!process,!that!the!move!towards!OA!implies!replacing!the! current!subscription!system,!that!transactions!need!to!be!efficiently!managed,!and!that!costs!should! become!more!transparent.!S!Science!Europe!advocates!for!a!smooth,!swift!and!scholarly]oriented! transition!and!considers!that!it!is!not!possible!to!move!to!OA!without!considering!moving! subscription!money!to!OA! • Higher!Education!Funding!Council!for!England’s!OA!policy!in!the!post]2014!Research!Excellence! Framework!(REF):!HEFCE’s!policy!requires!that!to!be!submitted!to!the!REF,!research!outputs!must!be! deposited!in!a!repository.!But,!the!mechanics!of!the!process!are!still!inadequate!and!as!a!result,! universities!have!been!developing!mechanisms!to!do!what!the!authors!should!do!themselves.!A! study!conducted!by!HEFCE!in!2014,!has!shown!that!96%!of!journal!articles!are!published!in!venues! with!permissible!embargoes!but!that!out!of!these!only!12%!of!articles!were!being!deposited.!As!a! result,!HEFCE!is!trying!to!make!sure!that!all!universities!can!implement!its!policy!and!not!be! penalised.!Sweeney!recognised!that!there!are!challenges!related!to!the!effective!implementation! and!monitoring!of!OA!policies:!‘stability!vs.!harmony;!ambition!vs.!realism;!long]term!trajectory!for! UK!OA’.! • A!federal!policy!is!in!the!making!in!Belgium!and!will!be!issued!by!BELSPO.!This!policy!will!enforce! Green!OA!and!foster!fair!Gold!OA.!The!policy!is!aligned!with!the!H2020!OA!policy!but!it!also!includes! some!unique!requirements:!immediate!deposit!of!BELSPO!project!reports;!immediate!OA!for!articles! published!before!1993;!and!negotiated!(with!publisher)!monograph!embargo!allowed,!but!embargo! duration!has!to!be!established!before!publication!and!must!be!observed.!BELSPO’s!OA!policy!will!be! backed!by!infrastructure,!Orfeo,!which!is!a!central!repository!for!14!research!institutions,! administered!by!the!Royal!Library.!In!terms!of!compliance,!BELSPO!will!base!research!evaluation! solely!on!repository!bibliography,!where!compliance!with!APC/embargo/licence/copyright!is!not! observed!the!publication!will!be!withdrawn!from!bibliography,!and!full!text!accessibility!will!provide! the!edge!for!evaluation!! ! The!work!groups!session!covered!the!following!topics:! ! The!Knowledge!Net:! • In!Belgium,!there!are!working!groups!dedicated!to!several!OA!topics.!For!example,!BELSPO!has!an! Interfederal!and!International!Coordination!directorate!(chaired!by!Eric!Laureys).!There!is!a!top!level! group!and!a!sub]group!with!experts!from!funding!organisations,!universities,!etc.!(consultation! group)!that!discuss!issues!that!Belgium!must!address!something!as!a!single!entity.!So,!in!Belgium!the! Knowledge!Net!is!superfluous.!Also,!the!OA!structure!in!Belgium!came!together!from!the!bottom!up.! • In!Ireland,!the!Knowledge!Net!was!used!to!jump]start!OA!issues!nationally.!There!is!an!Irish!network!! ! that!meets!regularly!but!it!has!lost!some!impetus.!There!is!no!national!mandate!from!the! Government.!Progress!in!Ireland!has!plateaued!and!needs!a!bit!more!structure.! • French!participants!explained!that!ANR!has!a!very!light!OA!policy,!that!there!is!a!mixed!system!in! France!(funders!and!research!organisations),!and!that!funding!is!not!necessarily!provided!through!

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grants!but!more!through!units.!There!is!still!a!lot!to!do!with!regards!to!OA!in!France!and!it!is! important!to!get!all!stakeholders!together!! • French!participants!requested!for!more!information!on!the!role!of!the!Knowledge!Net.!They!were! aware!about!OpenAIRE’s!NOADs!but!not!of!PASTEUR4OA’s!Key!Nodes! • The!UK!participant!remarked!that!it!has!had!no!discussions!with!UK!Key!Node!and!said!that!MRC’s! policy!is!aligned/more!stringent!than!H2020.!The!UK!participant!has!received!information!about! PASTEUR4OA!but!it!considers!it!to!be!more!pertinent!for!RPOs!than!for!funders! ! Policy!effectiveness:! • In!Belgium,!OA!was!in!the!policy!notes!from!the!ministry!and!originally!in!the!new!government’s! policy!agenda.!So,!the!federal!agency!(BELSPO)!has!support!at!a!high!level!and!the!country!can!really! move!forward!on!OA.!There!is!also!a!joint!effort!between!the!Royal!library!and!BELSPO!to!promote! compliance.!There!is!a!Steering!Committee!for!the!national!repository!(Orfeo).!All!institutions!will! have!to!deposit!their!work.!The!Steering!Committee!will!not!get!involved!in!policy!at!federal!level! but!it!will!name!experts.!A!helpdesk!will!be!set!up!but!there!are!resource!implications!to!ensure! compliance! • Mandates!without!reporting!are!not!very!good.!Technical!solutions!were!discussed:!for!example,! H2020!requires!grant!number,!project!name!and!link!to!the!OA!version.!Every!funder!should!have! this!as!the!bottom!line.!In!Ireland,!it!would!be!possible!to!do!a!mini]REF!and!ask!for!the!five!most! relevant!publications,!with!links.!In!Belgium,!however,!the!CRIS!system!is!complex,!it!has!a!lot!of! problems,!and!technical!infrastructure!is!out!of!date.!Therefore,!establishing!a!Research!Information! Space!independent!from!institutions!that!would!become!the!main!monitoring!system!would!be! relevant!! • Concerns!were!expressed!about!systems!that!show!numbers!that!could!be!misused!between! academic!disciplines! • Research!evaluation!is!a!key!problem.!In!some!cases,!young!researchers!try!to!align!to!get!the!best! profile!for!evaluation.!Whatever!you!tell!them,!they!will!do!it.!The!shift!to!OA!should!also!lead!to! changes!in!evaluation!and!changes!in!the!mode/format!of!publication! • Funders!act!like!brands!and!can!imply!quality!with!a!stamp!on!publications.!However,!the!‘funder! stamp’!would!be!extra!work!for!funders:!they!are!quite!happy!with!publishers!doing!the!job!for!them!! • There!is!a!need!to!bring!the!argument!about!OA!back!to!the!good/benefit!of!society.!HEFCE,!for! example,!has!asked!for!case!studies!on!societal!impact!for!the!REF,!so!it!has!already!moved!along! that!route!! • Universities!must!keep!doing!their!work!and!that!publishers’!fates!are!not!their!business.!There!is!a! need!for!another!evaluation!system!where!people!who!review!get!credit!for!that:!liquid!digital! publications!that!can!evolve.!This!must!be!taken!into!account!in!the!CVs!of!authors!and!reviewers.! There!must!be!a!transparent!review!process:!the!process!should!be!like!a!congress!(i.e.!scientific! conversation).!However,!in!academia!not!everyone!agrees!with!this!approach!and!that!if!you!push! this!too!much!people!will!be!scared!away! ! ! • The!Austrian!Key!Node!remarked!that!PASTEUR4OA!legitimised!FWF’s!actions!with!politicians!by! showing!that!its!OA!policy!is!an!effective!type!policy!! • French!participants!explained!that!the!policy!context!is!diverse.!As!a!funder,!CNRS!cannot!say!what! the!policy!will!look!like.!CNRS!does!not!have!a!mandate,!it!only!allows!researchers!to!deposit.!CNRS! has!been!focusing!on!infrastructure!development!(i.e.!repositories).!France!is!doing!well!in!terms!of!

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self]archiving!infrastructure.!There!are!no!funds!to!pay!for!APCs.!There!has!been!strong!resistance! from!publishers!on!the!H2020!OA!policy.!Support!from!the!EC!is!needed!to!demonstrate!that!France! is!part!of!the!OA!movement.!TDM!(text]!and!data]mining)!was!introduced!against!the!advice!of!the! government.!The!publisher!lobby!is!currently!as!strong!as!that!of!academics! • The!EUA!(European!University!Association)!is!engaged!in!supporting!its!members!when!developing! policies!and!negotiating!with!publishers.!There!is!a!risk!of!overlapping!work!on!OA!policymaking!by! different!stakeholders!(PASTEUR4OA,!OpenAIRE,!EUA,!Science!Europe,!etc).!There!is!a!need!for!more! clear!cooperation!that!is!well!connected,!visible,!and!non]partisan.!There!is!a!need!to!develop!a! solid,!visible!platform:!a!non]partisan!platform!is!needed!that!promotes!networking,!establishes! standards,!and!monitors!compliance!and!makes!the!results!visible! • There!is!a!need!to!define!standards!on!how!to!deal!with!publishers,!such!as!the!case!of!Max!Planck! [observation:!would!this!platform!work!on!this!too?].!There!is!a!need!for!a!cross]institutional/cross] border!organisation!(but!this!requires!money):!‘We!need!an!international!publication!infrastructure! to!compete!with!commercial!publishers’.!Such!an!organisation!should!have!a!clear!and!stable! agenda:!‘one!that!does!not!change!with!the!mood!of!the!minister!in!charge’! - Policy!alignment:! • The!‘absence!of!sanctions!is!biggest!flaw!of!H2020’! • There!is!a!need!for!a!sound!legal!and!economic!framework!at!the!EU!level!to!deal!with!publishers.!CK! argued!that!there!need!to!be!explicit!principles!–!to!be!able!to!control!the!data!is!essential.! Publishers!are!trying!to!control!knowledge:!!the!principle!should!be!to!control!data!from!the!public! side.!OA!policies!should!be!based!on!principles:!good!to!share!policies/compare,!etc! • There!is!a!need!to!share!information!among!countries,!it!is!not!just!a!matter!of!policies:!there!is!a! need!to!work!together.!!There!are!a!lot!of!public!repositories:!can!we!get!them!to!share!their! information?!Services!working!on!integrated!archives!(e.g.!OpenAIRE)!must!collaborate!and!develop! services!for!everyone:!researchers,!institutions,!funders,!etc!! • Organisations!such!as!LERU!play!a!role!in!promoting!OA!to!publications:!leadership!is!needed.!A! systemic!change!is!needed:!publishers!should!be!again!service!providers!and!ownership!should! return!to!the!academic!atmosphere! • In!the!UK,!the!concordat!initiative!for!Open!Research!Data!seeks!consensus!from!academic! institutions,!and!is!based!on!a!collection!of!key!principles!from!the!scientific!community! • In!terms!of!alignment!with!H2020!OA!policy,!each!country!has!its!own!policy!landscape,!and! alignment!between!policies!seems!to!be!difficult!to!reach!! ! The!panel!session!was!chaired!by!Georg!Botz!(Science!Europe)!and!discussed!the!most!interesting!policy! developments!over!the!last!year!and!the!biggest!challenges!preventing!action:!! • LERU!and!EUA!have!given!new!prominence!to!OA.!They!have!brought!it!to!the!fore!again,!with!more! energy!and!vigour.!Collaboration!between!Science!Europe,!EUA!and!LERU!would!be!ideal!to!create!a! ! ! platform!for!change!and!would!be!very!important!for!OA.!The!platform!would!share! data/information,!support!initiatives!and!be!more!daring!about!mandates!and!sanctions! • The!Dutch!universities!initiative:!rejecting!offers!from!publishers!has!changed!the!game.!!Publishers! are!coming!to!them!now!! • OA!journals!as!a!new!means!to!publish!and!the!importance!of!the!Dutch!presidency!in!choosing! Open!Science!as!a!main!priority!

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• There!is!too!much!time!and!energy!spent!in!the!details.!Stay!at!the!simplest!policy!level!of!debate:! commercial!interests,!researchers!fear!and!the!disinterest!of!universities!are!what!is!keeping!us! away!from!OA.!Stakeholders!should!follow!the!same!aim:!different!countries!are!at!different!policy! development!levels,!it!is!not!possible!to!align!all!policies!at!the!same!time!but!it!is!possible!to!start! from!different!points! • The!revenue!of!big!publishing!houses!which!is!roughly!10!billion.!Funders!and!university!revenues! combined!are!roughly!150!billion:!so!try!to!find!ways!to!work!together!and!win!! • There!is!a!disconnection!between!experts!and!policymakers!and!a!disconnection!at!the!action!level.! Policymakers!see!the!benefits!but!when!it!comes!down!to!implementation!there!are!stumbling! blocks! • Scientific!sovereignty:!in!5!years!we!will!still!not!be!able!to!produce!scientific!outcomes!at!the!top! level!if!we!carry!on!with!closed!access.!Do!not!close!the!doors!to!that.! • One!of!the!strengths!of!the!moment!is!the!Dutch!presidency!putting!OA!on!the!agenda.!All!fears!will! be!reduced!by!OA!becoming!the!mainstream.!It!would!be!good!if!every!country!could!embark!on!this! stream.!Alignment!that!we!can!all!use.! ! ! 3.3.3&&Nordic®ion& • The!Nordic!Council!of!Ministers!presented!its!Open!Access!policy!! • Both!Sweden!and!Norway!reported!on!progress!on!national!guidelines!in!those!countries.!The! Swedish!guidelines!are!in!the!implementation!phase!and!the!Norwegian!guidelines!are!in!the! planning/strategy!phase! • The!Nordic!Research!Council!NordForsk!presented!a!forthcoming!report!on!Open!Access!to!research! data!that!is!scheduled!to!be!published!in!June! • The!Finnish!Ministry!of!Culture!and!Higher!Education!presented!the!Finnish!Open!Science!and! Research!Initiative! • The!University!of!Uppsala!talked!about!Open!Access!policies!from!a!research!performing!institutions! point!of!view& ! ! 3.3.4&&Eastern®ion& Highlights!from!the!Eastern!region!workshops!are!presented!by!country:! - Croatia- • The!Rectors!Council!has!issued!new!recommendations!strongly!promoting!OA!and!open!science!and! suggesting!a!new!look!at!research!evaluation!in!the!country!! • OA!mandate!at!Ruđer!Bošković!Institute:!On#April#14th,"2015"the!first!institutional!OA!mandate!in! Croatia!has!been!adopted!at!the!Ruđer!Bošković!Institute!(the!largest!Croatian!research!institute)! ! Czech-Republic- • OA#policy#at#the#Czech#Academy#of#Sciences#(CAS):!The$OA$policy$was$adopted$in$2010$and$requires$ authors(to(deposit#in#the#repository#and#make#the#best#effort#to#provide#OA#via#the#CAS#OpenAIRE# compatible+repository.+Currently+44%#articles#of#CAS#researchers#are#OA#(published#in#2012]2015)! • CAS$repository$has$been$used$in$research$assessment$and$evaluation$exercise$that#covers#a#five#year% period'–!currently)2010]2014!and$includes$evaluation$of#selected#research#outputs#(articles#and# books).'CAS'repository'provides'publications'to'referees.''

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22 Open Access Policy Alignment Strategies for European Research

- Estonia-- • Support!from!the!government!and!national!Open!Science!consultation:&“OA!should!be!made!a! prerequisite!for!research!using!public!funding!and!OA!policies!should!be!aligned!in!EU,”!is!the! position!of!the!government!of!Estonia.!“Open!Data!developments!are!to!be!supported,!but!the! investments!in!infrastructure!have!to!be!weighed,!and!Open!Data!has!to!have!clear!added!value.!But! OA!should!not!be!taken!into!account!in!career!evaluation.”! • The!Research,!Development!and!Innovation!strategy!‘Knowledge]based!Estonia!2014]2020’! encourages!OA!to!public]funded!research!results!and!research!data!/.../!and!ensures!access!to!the! most!important!research!databases.”!For!personal!and!institutional!research!funding:!self]archiving! is!mandatory!(Green!OA),!but!article!processing!charges!(APC)!are!also!eligible!costs!!! • Most!scholarly!journals!in!Estonia!are!OA!and!all!Estonia!Academy!of!Sciences!journals!are!OA.!These! journals!are!subsidized!by!the!government,!not!a!singe!journal!charges!APCs!! • There!is!no!OA!national!policy!document,!but!there!is!a!layer!of!openness!going!through!the!R&D! system.!Estonian!Research!Council!has!issued!draft!OA!policy!recommendations,!work!in!progress.! And!public!consultations!on!Open!Science!Recommendations!have!been!launched:! http://www.etag.ee/teadusagentuur/olulised]teemad]ja]dokumendid/avatud]teadus/!(English! version!is!forthcoming)!! • Flexibility!is!one!of!the!good!practice!recommendations:!the!researcher!chooses!the!way!of! dissemination!(gold!or!green).!And!in!research!assessment/evaluation!the!Journal!Impact!Factor!is! not!taken!into!account!! ! Hungary- • OA#mandate#at#Magyar#Tudományos#Akadémia#(MTA)/Hungarian#Academy#of#Sciences:!The$OA! mandate'at'Magyar'Tudományos'Akadémia'(MTA)/Hungarian'Academy'of'Sciences'is'the'oldest'and! still%the%most%efficient%and%the%strongest%OA%mandate%in%the%region%with%about%60%%compliance%rate% in#2014! • The$MTA$OA$mandate$(effective$since$January$1st,"2013)"features:"! o Deposit(mandate(for(postprints(or(publishers(PDFs(in(REAL((Repository(of(the(Academy's%Library),% embargo(possible,(monitoring(is(a(part(of(the(OA(policy;(! o Support'efforts:'advocacy'and'helpdesk;'! o Proposed(amendment:(longer(embargoes(for(HSS((Hungarian(language(market(is(small!),(waivers( by#the#directors#of#institutes#and#research#centres,#CC#BY#NC#ND#licence! • The$MTA$OA$policy$for$journal$and$book$publishing$grants:$! o OA#for#journals:#mandatory#archiving#either#article#by#article#or#for#the#whole#issue,#OA#with# embargo(possible#–!1"/"2"years"or"2"/"3"years!! o OA#for#books:#deposit#mandate#with#long#embargoes#(closed'access'is'also'possible)!! • Other&national&OA&mandates&in&the&country:&Hungarian(Scientific(Research(Fund((OTKA)(mandate(and( state%mandate%for%PhD%theses.%An#overview#of#the#OA#policy#landscape#in#Hungary#is#available#in# PASTEUR4OA*case%study!and$2015$updates$to$MTA$mandate$are$described$here.! - Latvia- • Open!Science!Agenda:!The!Latvian!EU!Presidency!in!2015!was!a!good!catalyst!for!the!Ministry!of! Education!and!Science!to!start!thinking!about!OA!policy!and!strategy.!Policy!debates!in!March!2015! (when!EU!Member!States!research!ministers!renewed!Digital!Single!Market!Strategy)!resulted!into! the!COMPET!Council!May!conclusions!!“Towards!open!and!data!intensive!research!as!a!driver!for!

!

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faster!and!wider!innovation”!emphasising!a!strong!support!from!many!EU!Member!States!to!the! idea!of!developing!a!European!Open!Science!Agenda.!! o The!ministers!highlighted!the!relation!between!Open!Science!and!the!Digital!Single!Market!and! called!to!reaffirm!the!broad!political!support!from!EU!Member!States!for!setting!better! framework!conditions!for!data]driven!research]based!innovations.!And!the!Council!stressed!the! need!to!foster!cooperation!along!the!whole!data!value!chain!in!Europe.!! o The!ministers!have!also!recognised!a!need!for!further!reflection!on!the!current!science!metrics! and!incentives!for!researchers!to!publish!in!OA!and!noted!the!need!to!promote!innovation!driven! by!Text!and!Data!Mining.!! o They!also!welcomed!the!development!of!the!European!Science!Cloud,!and!highlighted!the! importance!of!open!standards,!especially!in!the!global!research!data!exchange.!Ministers! underlined!the!importance!of!appropriate!e]infrastructure!and!better!coordination.!The!Council! conclusions!“Open,!data]intensive!and!networked!research!as!a!driver!for!faster!and!wider! innovation”!have!been!adopted!at!the!Conference!OPENING!UP!TO!AN!ERA!OF!INNOVATION! BRUSSELS!on!22]23!June,!2015! • OA#mandate#at#Riga%Technical%University%(RTU):"RTU$OA$policy$has$been$ratified$by$the$Vice]Rector' for$Research$on$10$December,$2012$and$requires$that$RTU$researchers$deposit$their$research$articles$ published*in*peer*reviewed*journals,*conference*proceedings&and&books&in&the&RTU&Publication& Register(ORTUS(as(soon(as(possible(after(they(have(been(published(and,(where(copyright(allows,( made%them%publicly%available%at%the%RTU%OA%Repository%(complying%with%publishers%embargoes)! o RTU!uses!its!Research!Information!Management!System!http://science.rtu.lv!(CERIF!compliant,! integrated!with!SCOPUS!and!ORCID)!as!an!OA!repository.!Currently!it!includes!17,022! publications!(4,391!are!OA),!366!doctoral!thesis!(138!are!OA),!457!patents!and!10! commercialisation!proposals! o RTU!also!maintains!an!Open!Journal!Systems!platform!that!hosts!12!OA!journals!and!four! conference!proceedings!with!DOIs!and!authentication!with!ORCID!! ! Lithuania- • The!Lithuanian!Research!Council!(RCL)!OA!policy!discussions:&at!the!time!of!the!workshop,!RCL!was! still!drafting!its!OA!and!Open!Research!Data!Policy!and!used!this!meeting!as!an!opportunity!to! discuss!the!drafts!with!the!audience.!Subsequently,!the!policy!was!formally!adopted!and!can!be! found!here:&http://www.pasteur4oa.eu/news/200#.Vx8sXTB97cs!& o Green!OA!is!mandatory!with!6/12!months!embargo!periods!(sciences/social!sciences!and! humanities)!and!support!will!be!provided!for!Gold!OA! o Legal!aspects!of!re]use!and!licensing!are!addressed!as!well:!search!for!and!re]use!of!the!content! of!published!papers!both!manually!and!using!automated!tools!(such!as!those!for!text!and!data! mining)!provided!that!any!such!re]use!is!subject!to!full!and!proper!attribution!and!does!not! infringe!any!copyrights!to!third]party!material!included!in!the!paper! o RCL!requires!data!management!plans!with!strategies/policies!for!the!long]term!curation!and! preservation!! o Planned!approaches!to!compliance!and!monitoring:!a!certain!degree!of!flexibility!in!OA!policy! implementation!is!allowed!(the!length!of!embargo!periods!during!transition,!negotiations!with! publishers,!waiving!of!OA!requirement!in!some!special!cases).!Evidence]based!review!of!the! implementation!is!planned!and!there!will!be!subsequent!periodical!reviews.!The!RCL!has!the! right!to!withhold!funding!if!OA!policy!is!ignored!! o The!policy!is!mandatory!for!RCL,!but!all!researchers!and!their!institutions!in!the!country,! regardless!of!the!source!of!their!funding!support,!will!be!encouraged!to!adhere!to!this!policy!!! !

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o RCL!maintains!a!national!website!on!OA:!http://www.lmt.lt/lt/atviroji_prieiga.html!(in!Lithuanian! language)! ! Poland- • Recommendations!on!OA!and!open!data:!The!Ministry!of!Science!and!Education!released!OA!and! open!data!recommendations!(Kierunki!rozwoju!otwartego!dostępu!do!publikacji!i!wyników!badań! naukowych!w!Polsce)!on!October!26,!2015!encouraging!universities!and!research!organizations!to! develop!their!OA!and!open!data!policies.!! • As!a!result!of!FOSTER!co]funded!training,!National!Science!Centre!(one!of!major!research!funding! agencies!in!Poland)!included!mandatory!OA!into!one!of!its!funding!programmes.!! ! Romania- • OA!as!a!part!of!Open!Government!Partnership!(OGP)!National!Action!Plan:!The#National#Action#Plan# for$OGP$together$with$the$National'Strategy'for'Research,'Development'and'Innovation'created'a' framework)for)OA)policy)developments.)See)a)blog%post!about&the&National&Strategy’s&priorities&to& ensure&and!sustain'OA'to'research'results!! • The$case$for$OA$in$the$country$has$been$presented$using$good$practice$examples$from$open$public$ sector&information&and&open&data! ! Slovakia- OA!and!Open!Research!Data!as!a!part!of!the!OGP!initiative:&&the!OGP!Action!Plan!2012]2013&had!a!focus! on!Open!Data!and!the!Open!Data!Portal!has!been!launched.!In!2015,!new!areas!–!Open!Education!and! OA!to!the!results!of!scientific!research!have!been!included!into!the!National!Action!Plan!prepared!by!the! Office!of!the!Plenipotentiary!for!the!Development!of!the!Civil!Society!(more!details!are!here).!!! Current!activities:! • Mapping!of!existing!OA!repositories,!evaluating!conditions!for!creation!of!centralised,!nationwide! OA!repository!! • Identification!of!barriers!to!full!OA!implementation!in!Slovakia!! • Making!major!Slovak!publications!(full!texts)!recorded!in!the!central!registries!freely!accessible!to! the!public!! • Propose!a!mechanism!for!voluntary!publication!of!data!related!to!scientific!publications!as!Open! Data!! • Raising!awareness!on!OA!benefits!to!researchers!and!society!! • Formulation!of!OA!strategy!in!Slovakia,!using!experiences!of!other!European!countries!! ! ! • Slovak!Centre!of!Scientific!&!Technical!Information!negotiates!OA!conditions!as!a!part!of!subscription! negotiations& !!& Slovenia- • A!national!strategy!of!OA!to!scientific!publications!and!research!data:&A!national!strategy!of!OA!to! scientific!publications!and!research!data!in!Slovenia!2015]2020&has!been!adopted!by!the! government!in!September!2015!as!a!result!of!the!following!strategy!development!process:!! ◦ Nomination!of!an!NPR!in!2013!(requirement!in!EC!Recommendation!of!17.!7.!2012!on!access!to! and!preservation!of!scientific!information)! ◦ Nomination!of!OA!working!group!(composed!of!different!stakeholders)!in!2014!

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◦ The!first!draft&of!the!Strategy!released!in!May!2015!! ◦ Public!consultation&(report!on!the!public!consultation!produced)!! ◦ Consultation&with!all!the!ministries!! ◦ Adoption&of!the!Strategy!in!September!2015!! • The!national!strategy!is!fully!aligned!with!the!EC‘s!OA!policy&in!Horizon!2020:!publicly!funded! research!beneficiaries!must!ensure!OA!to!all!peer]reviewed!scientific!publications! • The!national!strategy!proposes!that!80%!of!scientific!publications!resulting!from!publicly!funded! research!and!published!in!2017!become!OA!by!2018.!All&publicly!funded!scientific!publications,! published!in!2020,!become!openly!accessible!in!2021! • A!national!pilot!programme!on!OA!to!research!data&will!be!carried!out!and!research!data!presented! in!research!articles!must!also!become!openly!available.!Journal!publishers&based!in!Slovenia!that! receive!national!public!funding!for!their!activities!have!to!make!their!research!articles!openly! accessible.!More!details!about!this!are!here! • Next!steps:!further!promoting!of!importance!of!OA!(conferences,!workshops);!integration!into!Act! on!Research!and!Development!Activities;!and!developing!an!Action!plan!(with!all!measures,! responsible!entities!and!deadlines)!!! • The!Slovenian!Research!Agency!has!a!mandate!that!e]versions!of!publicly!co]financed!printed! Slovenian!subscription!journals!and!the!final!reports!of!research!projects!should!be!deposited!in!the! Digital!Library!of!Slovenia! ! All!presentations!from!the!Eastern!region!workshops!are!available!here:! http://openaccess.mtak.hu/en/meeting]presentations! ! ! 3.3.5&&South&east®ion& ! Workshop-for-research@performing-organisations! • The!introductory!presentations!gave!an!overview!of!the!project’s!aims!and!major!achievements,!but! most!importantly!highlighted!the!increase!regarding!the!adoption!of!Open!Access!policies!at!both! European!and!global!level:!! • On!the!basis!of!research!conducted!within!the!project,!while!institutions!have!adopted!more!policies! than!funders,!the!latter’s!policies!are!more!aligned!with!the!Horizon!2020!requirements,!even! though!further!effort!is!still!required!for!strengthening!alignment! ! ! • The!presentations!highlighted!the!three!key!elements!for!effective!Open!Access!policies:!! o mandatory!deposit! o deposit!that!cannot!be!waived! o linking!of!deposit!with!research!evaluation! • These!elements!formed!the!basis!of!subsequent!discussions!among!workshop!participants!! • The!first!session!also!comprised!short!presentations!from!the!Key!Nodes!focusing!on!policy! developments!in!their!countries,!allowing!participants!to!identify!common!challenges!and!concerns! as!well!as!views!on!ways!of!moving!forward:! o Key!Node!presentations!confirmed!that!in!all!SE!Europe!countries!progress!in!relation!to!the! adoption!of!Open!Access!policies!has!mainly!taken!place!at!institutional!level,!while!funders!have! only!recently!started!to!discuss!the!development!of!related!policies!

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o Significant!progress!is!expected!in!the!near!future!at!funder!level!in!Greece,!and!Turkey,!and!at! national!level!in!Cyprus,!Serbia!and!Bulgaria! o Most!countries!have!already!developed!necessary!infrastructure,!with!the!exception!of!Serbia! where!infrastructure!is!still!considered!as!an!important!challenge! o Participants!also!acknowledged!the!key!role!played!by!libraries!during!the!initial!phase.!The! results!of!a!survey!conducted!by!TUBITAK!in!Turkey!confirmed!a!finding!common!in!all!SE! countries,!i.e.!the!low!levels!of!awareness!among!the!research!community!in!relation!to!Open! Access! • Workshop!participants!from!other!countries!provided!interesting!insights!in!relation!to!challenges! and!the!degree!of!development!of!Open!Access!policies! o In!the!case!of!Belgium,!the!federal!system!has!resulted!in!the!federal!level!having!recently!taken! steps!in!the!development!of!Open!Access.!Belgium!will!not!support!publications!in!hybrid! journals,!as!it!does!not!support!double!dipping! o In!the!UK,!HEFCE’s!policy!enters!into!force!from!April!1st.!While!the!policy!focuses!on!journal! articles!and!conference!papers,!HEFCE!would!like!to!extent!it!to!books!too.!HEFCE!is!at!the!same! time!looking!into!ways!of!encouraging!Open!Access!to!research!data.!As!to!key!challenges,!HEFCE! has!grouped!them!in!the!following!three!categories:!cultural!(acknowledging!that!Open!Access!is! not!just!a!library!or!technical!issue,!but!has!instead!moved!to!the!top!of!the!University),!technical! (examining!the!extent!at!which!repositories!are!fully!equipped!for!undertaking!this!task)!and! finally!policy!related!ones! o In!terms!of!the!Nordic!countries,!the!picture!is!more!complex!than!initially!thought.!For!example,! while!Finland!has!set!the!goal!of!becoming!the!leading!country!for!Open!Access,!Iceland!is! currently!working!on!establishing!a!national!repository,!while!it!lacks!national]level!policies!and! guidelines!in!contrast!to!Sweden!and!Norway!who!have!already!developed!national!guidelines!! ! ! 3.3.6&&South&west®ion& ! Workshop(for(research-performing(organisations( In!the!first!session,!a!series!of!presentations!focused!on!highlighting!best!practices!from!each!country!in! terms!of!development!and!implementation!of!Open!Access!policies.!Common!points!were!identified! which!are!relevant!to!implement!Open!Access!policies:!! • The!importance!of!undertaking!advocacy!activities!within!the!institutions!in!order!to!create! awareness!about!the!benefits!of!Open!Access!and!informing!researchers!about!how!they!can!deposit! their!research!outputs!in!the!institutional!repositories! • The!importance!of!linking!the!deposit!of!publications!in!institutional!repositories!with!the!internal! performance!evaluation!of!researchers.!For!example,!Carlos!III!University!of!Madrid!is!doing!some! significant!work!in!terms!of!raising!awareness!about!and!advocating!for!Open!Access!and!the! Polytechnic!Institute!of!Bragança!is!linking!the!deposit!of!research!outputs!with!performance! evaluation!! • These!presentations!stimulated!discussions!about!different!issues!such!as:!copyrights!where!it!was! agreed!that!authors!should!retain!rights;!infrastructure,!workflows,!and!human!resources!allocated! to!the!management!of!institutional!repositories;!research!evaluation!at!institutional!and!national! level;!and!cost!issues!(i.e.!how!much!does!it!cost!to!an!institution!to!develop!an!infrastructure!and!to! implement!an!OA!policy)!! !

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The!second!session!of!the!workshop!was!devoted!to!the!wider!European!Open!Access!landscape,! including!presentations!on:!!! • The!initiatives!of!the!European!Universities!Association,!in!particular!of!the!EUA!Expert!Group!on! Science!2.0/Open!Science.!Those!initiatives,!aim!to!issue!recommendations!and!guidelines;!to! support!institutions!in!negotiations!with!scientific!publishers;!to!raise!awareness!of!the!importance! of!Open!Science!for!researchers!and!university!leaders;!and!to!make!efforts!to!accelerate!the! transition!towards!a!more!open!research!system.!The!Open!Science!concept!and!how!it!will!impact! on!research!performing!organisations!was!also!emphasised.&The!EUA!Roadmap!on!Open!Access!to! Research!Publications!was!presented!! • An!overview!of!the!University!of!Liège!(ULg)!Open!Access!policy!was!made!and!the!conclusions!from! an!assessment!on!the!deposit!efficiency!and!the!strength!of!this!University’s!Open!Access!policy! were!presented.!The!results!show!that!using!the!ULg!mandate!there!is!87%!of!deposit!rate!(50%!in! restricted!access!and!37%!in!Open!Access)!! • The!outcomes!of!the!2015!Berlin!Conference!on!Open!Access!were!discussed!! • This!was!followed!by!a!presentation!on!Open!Access!business!models!where!an!economic!approach! to!science!was!discussed!and!issues!regarding!certification!provided!by!publication!in!prestigious! scientific!journals!were!stressed.!It!was!emphasised!that,!on!the!one!hand,!Green!Open!Access! raised!publishers!pressure!to!reduce!the!costs!of!access!to!scientific!knowledge!whilst,!on!the!other! hand,!Green!Open!Access!has!had!no!effect!on!the!demand!for!the!quality!of!research!certification!! provided!by!scientific!journals.!As!a!result,!this!has!fostered!the!emergence!of!publishers’!policies! towards!Gold!Open!Access!! • Finally,!the!highlights!of!the!North!West!Europe!workshop!of!PASTEUR4OA!were!briefly!presented.! Key!issues!discussed!in!that!workshop!included!policy!development,!policy!implementation,! monitoring!and!reporting,!and!evaluation,!peer]review!and!metrics.!In!most!North!West!countries,! infrastructure!is!already!in!place!to!support!the!deposit!of!research!outputs!but!further!work!is! needed!to!promote!Open!Access!policy!development,!effectiveness!and!alignment.!Discussions!held! during!that!workshop!highlighted!that!there!is!a!need!to!‘change!the!publication,!review!and! evaluation’!systems! ! The!third!session!of!the!workshop!was!dedicated!to!work!group!discussions.!The!workshop!participants! split!into!two!groups.! !! ! The!first!group!focused!on!discussing!how!to!design!and!approve!an!effective!institutional!OA!policy.!The! basic!starting!point!of!the!first!work!group!was!that!research!publicly!funded!should!be!open!by! construct!not!by!contract.!The!main!discussion!topics!covered!the!following!issues:! • Awareness!and!research!literacy:!many!researchers!are!not!aware!of!the!publication!processes!and! its!contradictions!(for!example:!that!the!cost!of!the!review!process!is!entirely!on!the!university).!! Young!researchers!do!not!know!what!Open!Access!is!and!how!copyright!issues!should!be!treated.!A! policy!should!include!also!educational!aspects!(e.g.!courses!on!research!literacy),!targeting!PhD! students!and!post]doctoral!researchers.!!It!was!considered!that!the!OpenCon!conference!series! community!is!an!interesting!community!which!could!provide!support!in!raising!awareness!about! Open!Access!! • Tools!for!reshaping!the!scholarly!communication!principles:!right!now!we!accept!the!status!quo!in! the!scholarly!communication!model,!which!is!not!a!fair!model!!

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28 Open Access Policy Alignment Strategies for European Research

• Green!policies:!Open!Access!policies!have!a!key!role!in!re]shaping!the!current!scholarly! communication!model,!which!is!obviously!not!fair.!From!such!a!perspective,!the!achievements!made! in!last!year’s!OA!conference!in!Berlin!were!not!very!good,!because!they!do!not!change!the!substance! of!the!current!model.!Therefore!inconsistencies!in!the!current!model!(i.e.!private!business!built!on! top!of!public!funded!research)!should!be!cancelled!with!more!courage!(this!does!not!endanger! researchers’!academic!freedom!to!publish!wherever!they!want).!Green!policies!are!supported!by!the! current!paradigm!shift!where!researchers!first!share!data,!code,!working!papers,!and!pre]print! papers!before!publishing!peer]reviewed!publications!!! • Overlay!journals!and!open!peer]review:!They!share!openly!papers,!and!everybody!can!review!them! (e.g.!http://lexicon.cnr.it/!,!http://www.sjscience.org/!)! • Gold!OA:!includes!subscription!journals!that!publish!articles!in!Open!Access.!Some!of!these!journals! are!owned!by!University!presses! • Link!internal!evaluation!with!OA:&this!is!clearly!an!incentive!and!the!key!success!of!OA.!However,! how!the!Liège!case!study!showed,!this!implies!that!authors!should!learn!how!to!deal!with!copyrights,! embargoes,!and!basic!OA!principles.!Being!everything!transparent!by!construct,!OA!is!also!an! incentive!to!upload!only!material!which!is!scientific!valid,!because!that!helps!the!researcher’s! evaluation.!!If!Peer!review!occurs,!it!should!be!indicated!because!it!is!an!indicator!of!quality.!In!this! context,!it!should!be!considered!that!papers!are!not!the!only!research!output:!source!code,!teaching,!! proof!of!impact!on!society,!are!other!valuable!outputs!that!should!be!taken!into!account!and!made! available!in!a!transparent!way!! • Attention!to!the!context!of!policy!application:&Open!Access!principles!are!universal,!however! implementing!them!via!a!university!policy!is!a!complicate!and!iterative!process!that!shall!be!done! taking!into!account!the!local!context!and!its!needs.!Designing!a!policy!is!an!intensive!effort!because! it!is!bottom]up:!it!implies!talking!with!all!the!stakeholders!in!a!university!(also!those!who!do!not!fully! agree!to!the!OA!principles)!and!making!gradual!changes!at!every!step!to!the!policy!implementation! process!(that!may!imply!adopting!several!versions!of!the!policies)!& ! The!second!work!group!looked!at!the!implementation!and!monitoring!of!an!effective!institutional!Open! Access!policy,!mainly!discussed!practical!issues!related!to!the!Portuguese!and!Spanish!monitoring! processes!and!how!these!experiences!can!be!replicated!in!other!countries!such!as!Italy.!! ! ! • In!Portugal!researchers!funded!by!FCT!are!asked!to!deposit!their!publications!on!one!of!the!RCAAP! network’s!repositories.!On!making!the!deposit,!the!RCAAP!system!is!prepared!so!that!the! researchers!can!easily!find!their!research!project’s!reference!and!associate!this!reference!to!the! publication!to!be!deposited.!On!the!first!deposit!associated!with!a!given!project,!a!project!page!is! created!automatically!in!the!RCAAP!portal.!Every!further!deposited!publication!associated!with!the! project!adds!up!to!this!page,!where!all!publications!resulting!from!the!project!are!registered.!When! the!time!comes!to!produce!the!research!project’s!intermediate!or!final!evaluation!reports,!instead!of! the!highly!inefficient!method!of!writing!down!every!single!publication!or!output!that!that!project!has! generated,!all!the!researcher!has!to!do!is!simply!to!access!the!project!page!within!RCAAP!and!click! on!the!button!named!“Generate!report”.!This!produces!an!HTML!time]stamped!report!with!all!the! publications!deposited!on!RCAAP!repositories!associated!to!the!FCT]funded!project.!The!researcher! then!simply!has!to!copy!the!link!of!this!HTML!report,!access!FCT’s!report!management!system!–!FCT] SIG!–!and,!in!the!specific!field!(designed!for!that!effect),!insert!the!copied!link.!From!then!on,!FCT’s! system!is!populated!with!the!information!relevant!for!evaluation!purposes!!

!

29 Open Access Policy Alignment Strategies for European Research

• In!Spain,!the!national!legal!mandate!has!been!included!in!the!last!R&D!projects!calls,!launched!in!the! summer!2015.!So!far!there!are!no!penalties!associated!with!a!potential!non]observance!of!such! obligation.!An!official!document!titled!“Recommendations&for&the&Implementation&of&Article&37&of& the&Spanish&Science,&Technology&and&Innovation&Act:&Open&Access&Dissemination”!was!prepared!by! an!expert!group,!where!an!implementation!roadmap!was!depicted!for!research!and!development!for! public!funding!agencies,!for!universities!and!research!centres,!for!researchers!and!for!institutional! subscribers!to!scientific!journals.!The!Recommendations!were!published!in!October!2014!and! distributed!to!the!relevant!stakeholders.!With!regards!to!monitoring,!the!Ministry!has!requested! FECYT!for!an!evaluation!exercise!on!how!researchers!are!complying!with!the!OA!mandate.!FECYT!is! comparing!the!number!of!articles!in!the!repositories!with!the!number!of!national!papers!indexed!in! WoS!and!Scopus.!The!task!is!not!being!easy!since!it!cannot!be!automatized.!FECYT!is!about!to!finish! and!expect!to!find!a!level!of!compliancy!between!10%!and!15%! • In!Italy,!the!lack!of!national!orientation!makes!policy!implementation!and!monitoring!processes! more!difficult.!However,!efforts!are!being!made!in!order!to!build!a!shared!vision!to!implement! aligned!OA!policies! ! The!regional!workshop!concluded!with!a!presentation!on!the!way!forward!after!the!end!of!the! PASTEUR4OA!Project.!!In!the!final!presentation,!the!role!of!Knowledge!Net!was!explained:!a!coordinated! network!of!expert!organisations!across!Europe!to!work!together!to!promote,!coordinate!and!contribute! to!aligning!policies.!This!network!has!been!facilitating!an!understanding!of!the!current!status!quo!in! different!regions!and!member!states.!It!supports!coordinated!policymaker!engagement!and!maintains! minimum!shared!levels!of!expertise.! ! Workshop(for(research(funders& The!first!presentation!focused!on!the!work!of!the!PASTEUR4OA!project!with!presentations!on!the! project’s!work!on!the!Knowledge!Net!and!policy!effectiveness.!It!was!followed!by!updates!from!the! region’s!Key!Nodes!on!progress!in!their!countries!on!Open!Access.! ! There!were!then!presentations!on!the!following:! • Ireland’s!policy!on!Open!Access.!In!2014!the!Health!Research!Board!policy!became!mandatory.!The! national!principles!for!Open!Access!policy!statement!includes!the!definition!of!Open!Access,!and!also! ! reaffirm!the!freedom!of!researchers,!increase!visibility!and!access,!support!international! interoperability,!link!to!teaching!and!learning,!and!Open!Innovation.!The!policy!defines!research! output!as!peer]reviewed!publications,!research!data!and!other!research!artefacts!which!feed!the! research!process! • The!RECODE!project’s!Policy!Recommendations!for!Open!Access!to!Research!Data.!Policy! recommendations!on!Open!Access!to!research!data!in!Europe!are!targeted!at!key!stakeholders!in! the!scholarly!communication!ecosystem!(funders,!research!institutions,!data!managers,!publishers)! and!consist!of!a!number!of!points! • The!Open!Access!Policy!of!the!Fundação!para!a!Ciência!e!a!Tecnologia!(Portugal).&The!OA!policy!is!a! mandated!green!Open!Access!full!aligned!with!EC!recommendations!and!H2020!OA!policy! • Legal!framework!for!Open!Access!policies!in!Spain:!in!Spain!the!legal!framework!regulating!nationally! the!Open!Access!deposit!of!scientific!publications!is!the!Act!14/201!(June!1)!on!Science,!Technology! and!Innovation,!which!urges!researchers!to!deposit!the!final!digital!version!of!their!contributions!to! journals!in!an!Open!Access!repository.!The!national!calls!for!R&D!projects!carried!out!within!the!

!

30 Open Access Policy Alignment Strategies for European Research

framework!of!the!National!Plan!of!Scientific!Technical!and!Innovation!Research!2013]2016!are!based! on!this!article.!The!national!legislation!is!fully!in!line!with!the!EU!mandate!(Horizon!2020),!with!the! progress!made!by!some!regional!governments,!such!as!Madrid,!Asturias!and!Catalonia,!and!with!the! increasing!number!of!universities!and!research!centres!that!are!making!determined!steps!forward! regarding!Open!Access.! ! The#third#part#of#the#workshop#was#dedicated#to#a"work%group%session.%As%the%group%was%small%and%all# attendees'were'very%interested%in%participating%in!all#discussions,#it#was#decided#not$to$split&the&group.&! ! From%the#discussion#three#themes#clearly'emerged"as"critical"aspects"needing"further"discussion"and" work:&1)&Monitoring(compliance(and(measuring(impact(of(OA(policies;(2)(APCs"(how"to"consider"them"in" OA#policies),#and#3)"Embargo"periods"(how"to"deal"with"longer"embargo"periods)."! • Participants*expressed"their"concerns"about"monitoring"publications"and"compliance"during"and" after&the&end&and&formal&evaluation&of&the&project/grant.&There&is&a&need&to&research&about&different& ways%to%monitor%Open%Access%policies,%considering%strategies,%tools,%sanctions,%and#ways#to#track# publications.-! • Regarding)APCs"the"main"issues"were"about"the"existence"(or"not)"of"specific"funds"to"support"APCs,# the$definition$(or$not)$of$a$cap$value$for"APCs,"and"the"payment"of"APCs"of"hybrid"journals."How"to"! deal%with%long%embargo%periods,)and)the)move)of)some)publishers)to)extend)the)embargo)periods,) was$another$discussed$issue.! ! ! 3.4&&&Main&issues&and&outcomes,&and&key&conclusions& ! 3.4.1&&&&Overview&& Because!there!is!considerable!variation!between!regions!on!progress!in!Open!Access!policy!and!its! implementation,!the!main!issues!tended!to!vary!between!workshops.!In!the!North!West!and!Nordic! regions,!where!policies!are!generally!well]established,!emphasis!is!shifting!to!implementation!tactics!–! those!that!best!increase!effectiveness!–!and!to!the!issue!of!monitoring!the!success!of!policies.!In!the! Eastern!region,!emphasis!is!on!policy!development!and!adoption,!with!some!countries!already!having! ! adopted!a!policy!and!others!keen!to!learn!from!them.!There!are!few!policies!in!the!South!West!region,! so!the!focus!here!is!on!raising!awareness!and!understanding,!providing!good!examples!and!comparator!! case!studies!from!other!regions,!and!an!evidence!base!for!good!policy!making.!In!the!South!West!region! there!are!some!long]standing,!effective!policies!and!a!clear!growth!in!policymaker!interest!and! willingness!to!act!to!develop!and!implement!policies.!Focus!is!also!developing!in!this!region!to!the! challenges!of!monitoring!policies!and!measuring!compliance.! ! With!respect!to!policy!development,!the!main!lessons!learned!across!the!board!were!around!the!value! of!bringing!people!together!and!the!sharing!of!experiences.! ! There!is!significant!variation!in!the!state!of!play!with!respect!to!OA!policy!across!Europe,!and!regional! differences!are!quite!pronounced.!To!take!two!neighbouring!examples,!in!the!North!West!region!there! are!national!funder!policies!in!all!countries,!though!they!differ!in!strength!and!effectiveness.!Though!the! Netherlands!and!UK!are!trying!together!to!encourage!a!common!approach!focused!on!the!Gold!route!to! OA,!there!is!no!real!regional!coordination.!In!contrast,!in!the!Nordic!region,!while!individual!countries!

!

31 Open Access Policy Alignment Strategies for European Research are!developing!their!own!policies,!there!is!also!a!more!defined!concerted!effort!around!sharing! understanding!and!goals,!coordinated!by!the!Nordic!Council!of!Ministers!(which!hosted!the!regional! workshop)!whose!role!is!to!guide!and!coordinate!Nordic]level!approaches!to!strategic!issues!where! possible.!This!may!not!result!in!identical!policies!in!all!the!Nordic!countries,!but!the!level!of!commonality! may!be!quite!marked!once!all!the!policies!are!finalised!and!implemented.! ! There!is!huge!value!to!policymakers!in!being!able!to!be!part!of!a!comparative!exercise:!they!like!to!learn! what!other!policymakers!are!doing!–!or!already!have!done!–!and!to!be!able!to!discuss!what!has!worked! well!and!why.!Opportunities!to!exchange!this!kind!of!information!in!a!relatively!informal!setting!are!very! valuable!and!can!act!as!catalysts!for!further!action!on!the!part!of!those!learning.!In!several!cases,!steps! in!policy!development!have!happened!as!a!direct!result!of!policymakers!being!at!the!workshops!(see! below).! ! The!workshops!in!some!regions!seem!to!have!encouraged!conversation!about!collaborative!approaches! to!various!issues!related!to!OA!policy.!For!example,!the!North!West!region!workshops!engendered! considerable!discussion,!particularly!among!funders,!about!how!to!move!forward!with!plans!for!shared! infrastructure!and!shared!overall!aims,!in!the!process!making!a!deliberate!and!determined!attempt!to! ignore!differences!and!focus!on!common!overall!goals.!One!of!the!issues!discussed!was!research! assessment!and!evaluation!and!the!poor!metrics!that!are!currently!most!used!for!this!purpose:!there!is!a! need!for!the!development!of!new!metrics!that!do!the!job!better,!and!a!recognition!that!this!will!need!to! involve!all!stakeholders!–!funders,!institutions!and!authors.! ! The!workshops!also!provided!an!excellent!opportunity!for!useful!discussions!about!the!Knowledge!Net! and!its!future.!PASTEUR4OA!Key!Nodes!were!well]represented!across!the!workshop!series!and!were! able!to!voice!their!opinions!and!to!engage!other!policymakers!in!discussing!the!value!of!the!high]level! network!that!the!project!has!built.!In!virtually!all!cases!there!was!agreement!that!the!Knowledge!Net! (and!its!future!incarnation)!has!an!important!role!to!play!in!helping!effective!OA!policy!development! across!Europe:!it!is!a!network!which!is!self]helping!in!the!sense!that!members!can!learn!from!each!other! and!share!success!stories,!offer!advice!and!generally!provide!mutual!support.! ! ! ! Finally,!the!workshops!were!an!opportunity!to!promote!the!advocacy!materials!developed!by!the! project,!to!encourage!their!use!and!to!ask!if!there!were!any!more!that!the!project!could!produce!to!help! policymakers.!On!the!latter!point,!some!suggestions!were!received!in!some!workshops,!and!the!project! has!responded!accordingly.! ! The!key!points!with!respect!to!issues!and!outcomes!from!the!workshops!as!a!whole!are!shown!in!the! box!below.!Detailed!points!from!specific!workshops!are!then!reported!by!region.!

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32 Open Access Policy Alignment Strategies for European Research

!

! Key&points&about&the&main&issues,&outcomes&and&conclusions& • In!all!regions!there!is!still!a!need!for!more!OA!policies,!particularly!from!research!institutions! • Understanding!what!policy!conditions!help!to!make!a!policy!maximally!effective!is!crucial! • Linking!authors’!compliance!with!a!policy!to!research!assessment!is!a!critical!factor!in!a!policy’s! effectiveness! • Awareness!of!supporting!actions!(e.g.!advocacy)!for!a!policy!that!increase!its!effectiveness!is!very! valuable!! • The!PASTEUR4OA!advocacy!materials!that!provide!guidelines,!checklists,!briefings!and!an! evidence!base!for!policy!design!are!very!useful!and!much!appreciated! • Policy!alignment!is!a!desirable!goal,!though!it!is!acknowledged!that!complete!alignment!may!not! always!be!achievable! • Monitoring!compliance!with!OA!policies!is!an!increasingly!important!and!challenging!issue!and! there!is!much!interest!in!methods!and!their!outcomes! • In!some!regions,!funder!interest!in!Open!Access!policy!is!still!low:!there!is!potential!in!continuing! to!bring!together!funders!from!different!regions!to!encourage!interest!and!action! • The!Knowledge!Net!is!recognised!as!a!beneficial!thing!for!policy!development!and!considerable! interest!in!ensuring!its!safe!future! • There!is!growing!concern!about!the!established!methods!of!evaluating!research!and!increasing! interest!in!developing!new!methods!that!are!more!appropriate.!It!is!recognised!that!this!needs!a! shared!approach!by!institutions,!funders!and!researchers!themselves!and!is!a!key!critical!factor!in! the!development!of!scholarly!communication!practices! ! ! ! 3.4.2&&North&west®ion& ! Workshop(for(research-performing(organisations( The!main!issues!and!conclusions!from!this!meeting!were!as!follows:! • PASTEUR4OA’s!Knowledge!Net:!several!meeting!participants!expressed!an!interest!in!learning!more! about!the!network!and!in!seeing!a!greater!role!being!played!by!its!members!at!the!policy!level.!Key! Nodes!need!to!have!clear!work!objectives!and!must!engage!more!frequently!with!all!relevant! stakeholders!(institutions,!funders,!NPRs,!NPCs)!in!their!countries!! ! ! • Policy!development:!a!series!of!presentations!showed!examples!of!best!practice!on!OA!policy! development.!For!example,!the!cases!of!the!Universities!of!Liège,!Luxembourg,!Strasbourg,!Kent,! and!Trinity!College!Dublin! • Policy!effectiveness:!other!presentations!highlighted!how!to!develop!effective!OA!policies!and! illustrated!which!universities!(e.g.!Minho,!Liège)!are!doing!so.!In!the!work!group!session,!comments! were!made!about!how!well]planned!advocacy!strategies!and!solid!infrastructure!(e.g.!Trinity!College! Dublin’s!CRIS!system)!also!play!a!role!in!supporting!the!effectiveness!of!OA!policies! • Policy!alignment:!some!presentations!emphasised!how!complex!the!OA!policy!landscape!can!look!for! researchers!and!academic!support!staff!in!some!countries!(e.g.!UK).!This!example!shows!the!

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33 Open Access Policy Alignment Strategies for European Research

challenges!faced!in!observing!compliance!with!distinct!OA!policies!requirements!on!criteria!such!as! date!of!deposit,!version!of!deposit,!licences,!embargo!periods,!etc.,!raising!the!importance!of!making! OA!policies!increasingly!aligned.!In!the!case!of!Ireland!the!OA!agenda!is!more!aligned!at!the!national,! funder!and!institutional!levels,!with!a!shared!understanding!about!the!benefits!of!aligned!OA!policies! and!alignment!between!different!organisations’!OA!policies!will!make!it!easier!to!monitor! compliance.!In!the!work!group!session,!it!was!possible!to!observe!that!smaller!countries!find!it! relatively!easier!to!align!OA!policies!(e.g.!Luxembourg,!Ireland)!when!compared!to!larger!countries! (e.g.!Germany,!the!UK)!where!there!are!multiple!stakeholders!involved!on!OA!(e.g.!regional!and/or! national!governments,!multiple!funders,!numerous!RPOs)! • Monitoring!compliance:!Lessons!can!be!learned!from!the!example!of!the!UK!and!these!can!be! replicated!in!other!countries.!However,!it!was!acknowledged!that!the!current!systems!and!services! that!support!in!monitoring!compliance!still!need!to!be!improved!and!become!more!interoperable! During!the!day,!participants!discussed!issues!around!how!to!monitor!and!report!on!policy! compliance!and!demonstrated!how!this!is!being!done!is!some!RPOs!(e.g.!Trinity!College!Dublin).!On! a!less!positive!note,!the!OA!policy!landscape!in!Germany!is!complex:!this!is!partly!due!to!legislative! issues!and!partly!because!researchers!do!not!want!to!change!their!publishing!habits,!because!there! are!various!stakeholders!involved!(multiple!institutions,!funders)!that!may!have!a!preference!for! different!policy!models!(therefore!alignment!is!a!challenge)!and!that!do!not!want!to!collect!or!share! data!on!compliance!! • Open!Research!Data/Open!Data:!discussions!took!place!on!how!institutions!are!implementing!or! could!implement!OA!policies!which!apply!both!to!peer]reviewed!articles!and!research!data!(e.g.!the! case!of!the!University!of!Strasbourg’s!draft!OA!policy)!and!considerations!were!made!on!the!EC’s! Open!Research!Data!pilot!becoming!the!default!for!all!H2020!funded!programmes!in!the!near!future! • Evaluation,!peer]review!and!metrics:!stakeholders!in!the!Higher!Education!sector!share!some! concerns!about!the!current!evaluation!system,!the!transparency!of!the!peer]review!system,!and!the! reliability!of!bibliometric!data.!There!was!a!clear!understanding!among!participants!that!alternative! metrics!should!become!part!of!the!career!evaluation!process! ( Workshop(for(research(funders( The!main!issues,!conclusions!and!outcomes!from!this!meeting!were!as!follows,!organised!by!the!issues! addressed:! • PASTEUR4OA’s!Knowledge!Net:!as!a!result!of!the!discussions!held,!it!was!observed!that!there!is!a! need!to!raise!awareness!about!the!Knowledge!Net!in!all!the!countries!from!the!region,!to!encourage! engagement!between!the!Key!Nodes!and!funders,!and!to!inform!institutions!and!funders!about!how! the!Key!Nodes!can!support!them!in!developing,!revising!or!aligning!OA!policies! ! • Policy!development:!as!a!result!of!the!discussions!held!during!the!day,!it!was!acknowledged!that! there!is!a!need!to!engage/involve!distinct!national!stakeholders!in!coordinated!actions!to!advance! the!development!and!effective!implementation!of!OA!policies.!The!PASTEUR4OA!project!has!helped! in!this!area!but!there!is!still!a!lot!of!work!to!be!done! • Policy!implementation:!the!discussions!showed!that!there!is!a!need!to!address!issues!evolving! around!the!implementation!of!OA!policies!such!as!benefit/value,!quality,!sustainability,!licensing,! and!reward/evaluation!mechanisms.!There!is!also!a!need!for!funders’!policies!(e.g.!H2020)!to! request!for!systematic!reporting!and!to!apply!sanctions!to!the!authors!that!do!not!comply!with! policies!in!order!to!make!OA!a!reality!! • Policy!effectiveness:!presentations!demonstrated!which!funders’!OA!policies!are!effective!(e.g.!

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34 Open Access Policy Alignment Strategies for European Research

H2020,!HEFCE)!and!what!requirements!are!present!in!those!policies!that!make!them!succeed.! Discussions!during!the!day!indicated!that!a!change!in!the!evaluation!system!would!contribute!to! advance!OA!more!effectively!and!speedily!! • Policy!alignment:!participants!acknowledged!that!different!funders!and!institutions!and!even! countries!follow!different!routes!to!OA!and!that!it!will!be!difficult!to!align!all!policies!in! simultaneous.!Nonetheless,!there!are!examples!of!OA!policies!and!of!policies!in!the!making!that!are! substantially!aligned!with!H2020!(e.g.!HFECE,!FNRS,!BELSPO,!Luxembourg’s!FNR).!Discussions!held! during!the!day!raised!the!question!about!the!effect!that!PASTEUR4OA!can!have!in!terms!of! advancing!policy!alignment!and!the!role!it!can!play!in!helping!politicians,!policymakers!and!funders! to!align!their!OA!policies! • Monitoring!compliance:!UK!funders!are!taking!the!lead!in!requesting!for!policy!compliance!to!be! monitored.!Other!funders!could!learn!about!the!processes!and!procedures!implemented!in!the!UK! and!apply!some!of!these!practices!in!their!organisations!and/or!at!the!national!level.!Interoperability! between!national!systems!and!infrastructure!can!contribute!to!monitor!compliance!more!effectively! but!there!is!a!need!to!commit!financial!resources!in!order!to!make!it!work!! • Funders’!role:!it!was!acknowledged!that!the!challenges!faced!in!advancing!OA!are!collective! problems!and!funders!can!play!a!role!in!addressing!some!of!these!challenges.!They!can!do!this,!for! example,!by!acting!collectively!in!imposing!short!embargo!periods!(Green!OA),!in!setting!funding! caps!for!publication!in!hybrid!journals!(Gold!OA)!in!order!to!drive!publication!costs!down,!and!by! supporting!offsetting!mechanisms!to!avoid!double]dipping! • Platform!for!OA!policies:!it!was!suggested!that!a!non]partisan!platform!could!be!established!to! encourage!engagement!between!distinct!stakeholders!(institutions,!funders,!international! organisations,!etc.),!to!establish!standards,!to!monitor!policies!and!make!those!results!visible! • The!FNRS!(Belgium)!OA!policy!has!been!updated!following!recommendations!made!at!the!NW! Region!PASTEUR!workshop!for!funders! & & 3.4.3&&Nordic®ion& • There!was!a!consensus!that!here!needs!to!be!better!monitoring!of!Open!Access.!In!addition!to!the! Danish!OA]barometer!other!Nordic!countries!are!working!on!similar!services.!! • There!was!great!interest!in!a!Nordic!collaboration!on!evaluation!of!publication!channels.!Several!of! the!Nordic!countries!have!programmes!for!result]based!funding!depending!on!approved!publication! channels.!CRIStin,!the!Norwegian!Key!Node!organisation,!has!established!contact!between!NSD!(the! organisation!responsible!for!the!Norwegian!list!of!approved!channels)!and!DOAJ.!In!order!to!! ! minimise!the!effort!and!duplication!of!work!and!also!maximise!the!effect,!similar!contact!will!be! initiated!between!the!Nordic!countries!! & & 3.4.4&&Eastern®ion& • Subsequent!to!the!workshops,!a!national!OA!Working!Group!in!the!Czech!Republic,!coordinated!by! the!Technology!Centre!ASCR!(NPR!and!NCP!in!Czech!Republic!who!attended!the!event),!has!drafted!a! national!OA!policy!document!for!the!Research!Council!and!the!Ministry!of!Education,!Youth!and! Sports,!based!on!Slovenian!OA!strategy!(Daniela!Tkacikova,!VŠB]Technical!University!of!Ostrava! [PASTEUR4OA!Key!Node]!translated).!! • Daniela!Tkacikova!from!the!VŠB]Technical!University!of!Ostrava!(PASTEUR4OA!Key!Node!in!Czech!

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35 Open Access Policy Alignment Strategies for European Research

Republic),!translated!the!PASTEUR4OA!institutional!OA!policy!template!and!discussed!with!the!vice] rector:!as!a!result!he!decided!to!start!with!the!OA!policy!recommendations!first!(in!effect!from! December!1st,!2015),!OA!mandate!is!currently!under!discussion! • Brno!University!of!Technology!and!Czech!Academy!of!Sciences!(Czech!Republic),!Kaunas!University! of!Technology,!Mykolas!Romeris!University!and!Vilnius!Gediminas!Technical!University!(Lithuania)! and!University!of!Szeged!(Hungary)!made!a!public!commitment!to!refine!their!OA!policies!using! PASTEUR4OA!templates!! • The!Ministry!of!Science,!Education!and!Sports!of!Croatia!(whose!representative!attended!the!event)! has!launched!the!OA!policy!development!working!group!and!this!is!working!on!a!national!OA!policy! • Contacts!were!established!with!Croatian!Science!Foundation!and!OA!policy!work!planned!! • The!Executive!Agency!for!Higher!Education,!Research,!Development!and!Innovation!Funding! (UEFISCDI)!of!Romania!expressed!commitment!for!OA!policy!development!! ! ! 3.4.5&&South&east®ion& Policy!change!is!a!process!that!requires!time!and!immediate!change!was!not!expected!as!a!result!of!the! workshops.!Nonetheless,!the!discussions!that!have!taken!place!will!permit!the!design!of!better! strategies!tailored!to!the!needs!of!different!audiences!and!to!different!disciplines.!In!addition,!policy! makers!have!a!better!understanding!of!the!different!steps!and!supporting!activities!that!are!required!for! the!adoption!and!the!effective!implementation!of!an!Open!Access!policy.!Participants!have!also! understood!the!difference!between!the!Green!and!Gold!Route!and!the!fact!that!Open!Access!is!not!an! initiative!centred!on!promoting!Open!Access!publications.!Other!specific!issues!discussed!at!the! workshops!were:! • The!role!of!funders!in!the!development/!adoption!of!Open!Access!policies:!Funders!are!not!yet!fully! aware!of!the!significance!of!Open!Access.!Nonetheless,!funders!have!a!key!role!in!supporting!Open! Access!policies!during!various!phases!(policy!formulation,!awareness]raising!activities,!funding!of! infrastructure,!monitoring!of!compliance!etc.)!! • Policy!development/!adoption!strategy:!Participants!agreed!that!for!the!south!east!region!a!‘soft’! approach,!i.e.!one!in!which!the!introduction!of!Open!Access!clauses!in!funding!grants!is!followed!by! the!development!of!a!comprehensive!strategy!at!national!level,!would!be!best!suited.!It!was!also! agreed!that!Open!Access!clauses!in!research!grants!do!not!constitute!a!national!policy.!Participants! agreed!that!south!east!countries!might!opt!for!a!different!approach!than!that!used!in!other! countries!involving!more!“hard]type”!approaches,!essentially!mandating!Open!Access! ! • Policy!effectiveness:!The!majority!of!the!participants!agreed!on!the!importance!of!linking!deposit!to! evaluation!as!a!key!element!for!an!effective!policy! • Incentives:!Incentivising!researchers!requires!an!approach!that!places!more!emphasis!on!rewards! than!on!sanctions!! • Training:!Participants!discussed!the!importance!of!training!as!a!critical!element!for!changing! research!cultures.!The!UK’s!example!brought!an!interesting!insight!in!the!discussion:!in!particular,! while!the!UK!has!dedicated!significant!resources!in!training,!the!effect!will!still!be!small!if!deposit!is! not!linked!to!evaluation.!Training!is!expected!to!raise!awareness!around!Open!Access!as!a!significant! number!of!stakeholders!involved!lack!a!good!understanding!of!what!Open!Access!is!about!! • Infrastructure:!While!the!existence!of!appropriate!infrastructure!is!an!important!element,!for!many! participants!infrastructure!is!not!a!real!obstacle!as!infrastructure!can!be!shared!through!the!use!of! collaborative!models!

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36 Open Access Policy Alignment Strategies for European Research

& & 3.4.6&&South&west®ion& The!main!conclusions!from!the!workshops!were:!! • There!is!still!room!for!improving!existing!or!developing!new!Open!Access!policies!in!South!West! European!countries.!In!terms!of!policy!design!and!approval,!international!standards!and!guidelines! should!be!followed!to!ensure!the!alignment!of!the!policies!! • Policies!should!link!the!deposit!of!publications!with!internal!performance!evaluation!of!researchers! to!ensure!the!effective!deposit!of!research!output!! • In!terms!of!policy!implementation!and!monitoring!there!should!be!a!stronger!institutional! commitment!to!ensure!an!effective!implementation!of!policies!! • In!addition,!advocacy!activities!and!resources!should!be!provided!to!raise!awareness!about!Open! Access! • In!most!cases,!researchYperforming!organisations!do!not!have!monitoring!processes!in!place!and!if! they!have,!they!are!being!done!in!a!rudimentary!way! • At!the!time!of!writing,!a!draft!OA!policy!is!waiting!for!approval!of!the!legal!officer!of!the!University!of! Malta!(UoM).!In!January!2016,!after!reviewing!internally!the!feedback!received!from!the!UoM’s! Legal!Office,!the!University!forwarded!the!draft!policy!to!the!University!of!Minho!in!Portugal!(SW! regional!leaders!in!the!PASTEUR4OA!project)!for!review!and!feedback.!!The!policy!was!revised! accordingly!and!is!in!line!with!the!PASTEUR4OA!model!policy.!The!UoM!Open!Access!Policy!is! currently!on!hold!due!to!change!in!Rectorate.!!The!new!Rector,!Prof!Alfred!Vella!(currently!Designate!! Rector)!will!take!office!on!1st!July!2016,!and!the!UoM!Open!Access!Policy!will!be!presented!during! his!1st!Senate! • The!UoM!Open!Access!Policy!will!lead!to!the!drafting!of!a!National!Open!Access!Policy!in!conjunction! with!the!Malta!Council!for!Science!and!Technology!(MCST).!!In!March!2016,!the!UoM!Library!had! been!informed!that!MCST!requested!a!budget!for!2017!for!the!compilation!of!a!National!Open! Access!Policy.!The!National!Research!Council!(CNR)!from!Italy!is!also!developing!an!OA!policy!for! Open!Science!with!focus!on!Research!Data.!PASTEUR4OA!will!be!in!touch!with!CNR’s!Open!Access! policy!very!soon!! ! & ! &

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37 Open Access Policy Alignment Strategies for European Research

& 4.&&&&Evaluation,&lessons&learned&and&dissemination&& ! 4.1&&&&Evaluation&of&the&workshops&& & 4.1.1&&Overview& Most!workshops!circulated!feedback!forms!to!help!assess!the!value!of!the!events!to!participants.!The! detailed!results!are!reported!below,!but!in!general!terms!there!seems!to!have!been!good!satisfaction! with!the!workshops!and!the!materials!provided.!Where!formal!feedback!forms!were!not!used,! satisfaction!was!assessed!from!comments!made!by!participants.! ! Key!points!from!the!evaluation!exercises!are!presented!in!the!box!below.!Specific!points!are!then!listed! by!region.! ! ! Key&points&about&evaluation&of&the&workshops& • Where!measured!quantitatively,!70%!or!higher!of!participants!expressed!satisfaction!with!the! workshops!! • Where!measured!qualitatively,!satisfaction!was!apparently!high! • Positive!suggestions!for!follow]up!actions!by!PASTEUR4OA!were!offered!by!participants! ! ! ! 4.1.2&&North&West®ion& ! Workshop(for(research-performing(organisations( ! Feedback!forms!circulated!to!participants!showed!that:! • 92%!of!respondents!were!very!satisfied!with!the!event! • 97%!of!respondents!found!the!workshop!materials!to!be!highly!relevant! ! The!qualitative!feedback!collected!from!participants!that!attended!the!meeting!for!RPOs!showed!that:! • From!this!event,!participants!expected!to!share!experiences,!get!inspiration!for!further!action,!get! updates!on!OA!policies!and!their!implementation!in!Europe,!discuss!ideas!on!the!way!forward,!get! ! information!on!PASTEUR4OA,!and!to!network!with!OA!activists! • The!workshop!helped!86%!of!respondents!to!identify!actions!that!can!further!assist!them!in! developing,!reinforcing!or!aligning!OA!policies! • The!aspects!of!the!event!that!respondents!found!most!valuable!included:!a!good!selection!of! presentations!and!speakers;!the!work!group!session;!the!PASTEUR4OA!survey;!the!panel!session;!the! exchange!of!expertise;!the!opportunity!to!learn!from!experiences!in!a!wide!range!of! countries/organisations;!the!opportunity!to!learn!about!OA!mandates,!DMPs!and!the!views!from!the! EC;!and!the!possibility!to!learn!about!national!views!on!OA!policies!and!the!European!level;! • The!aspects!that!could!be!improved!included:!involving!practitioners!from!Eastern!European! countries;!identifying!ways!to!contact!funders!and!bringing!them!to!joint!meetings!between!

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38 Open Access Policy Alignment Strategies for European Research

institutions!and!funders;!discussing!more!about!‘the!revolution’![within!the!research!community!to! disrupt!and!improve!scholarly!communication];!and!promoting!a!closer!communication!at!the! national!and!European!level! • The!ways!in!which!PASTEUR4OA!can!further!help!in!aspects!related!to!policy!development,! reinforcement!or!alignment!included:!organising!follow]up!discussions;!continuing!work!on!policy! harmonisation!and!advocacy;!following]up!on!the!suggestions!made!during!the!sessions;!getting!in! touch!with!similar!initiatives! • The!suggestions!made!for!PASTEUR4OA!to!write!other!advocacy!materials!included:!study!on! metadata!systems!interoperability!and!on!APCs! ! Workshop-for-research-funders- Feedback!forms!were!circulated!to!the!participants!and!the!results!showed!that:! • 86%!of!respondents!were!very!satisfied!with!the!event! • 80%!of!respondents!found!the!workshop!materials!to!be!highly!relevant! ! The!qualitative!feedback!collected!from!participants!that!attended!this!meeting!showed!that:! • From!this!event,!participants!expected!to:!get!help!and!information!on!monitoring!and! implementation!of!OA!policies;!get!an!insight!into!best!practices!about!funders'!OA!compliance! monitoring!and!reporting!requirements;!to!understand!the!current!status!of!OA!across!member! countries;!find!out!about!PASTEUR4OA!and!where!other!funders!were!in!their!journey!to!implement! OA!policies;!share!views!on!the!complexities!and!conflicting!objectives!linked!to!policy!alignment;! and!learn!about!the!Knowledge!Net! • The!workshop!helped!all!the!respondents!to!identify!actions!that!can!further!assist!them!in! developing,!reinforcing!or!aligning!OA!policies! • The!aspects!of!the!event!that!respondents!found!most!valuable!included:!good!group!discussions! and!networking;!work!group!discussion!with!other!funders!(valuable!to!hear!other!experiences!and! viewpoints);!the!presentations;!learning!about!implementation!and!monitoring!practices!in!other! countries;!and!the!panel!session! • The!aspects!that!could!be!improved!included:!fewer!presentations!in!the!morning!session;!fewer! presentations!on!the!basics!of!OA;!more!case!studies!on!smaller!countries;!the!focus!of!the! presentations!could!have!been!better!defined!and!more!focused;!presentations!were!too!generic! and!should!have!concrete!work!actions;!better!time!keeping!! • The!ways!in!which!PASTEUR4OA!can!further!help!in!aspects!related!to!policy!development,! reinforcement!or!alignment!included:!keeping!in!touch!with!the!workshop!participants;!getting!Alma! Swan!on!the!National!OA!Steering!Group;!demonstrating!the!societal!and!cultural!benefits!of!OA!in! support!of!funders!(researchers!and!institutions!priorities;!case!studies!on!smaller!countries;! providing!more!information!about!methods!implemented!by!funders!and!organisations!to!monitor! compliance!and!how!they!can!be!used!by!others! • The!suggestions!made!for!PASTEUR4OA!to!write!other!advocacy!materials!included:!study!on!new! approaches!to!research!evaluation,!new!approaches!to!track!impact!and!to!report!based!on!OA;!case! studies!of!smaller!countries!on!implementation;!methods!implemented!to!monitor!compliance!and! how!efforts!to!monitor!national!compliance!are!monitored!and!where!outcomes!can!be!found;! studies!on!evaluation!and!monitoring!processes;!and!studies!on!APCs! & & 4.1.3&&Nordic®ion&

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39 Open Access Policy Alignment Strategies for European Research

• All!feedback!from!the!participants!has!been!positive,!and!several!have!reported!that!it!was!a!very! educational!and!informative!workshop!& • It!is!still!too!early!to!include!measurable!and!outcomes!and!concrete!results!of!the!workshop.! However,!the!feedback!has!been!very!positive.!It!has!been!reported!back!that!the!workshop!helped! set!the!agenda!for!the!Finnish!Ministry!of!Research,!and!that!this!body!has!made!great!use!of!the! PASTEUR4OA!advocacy!material! & 4.1.4&&Eastern®ion& Feedback!forms!were!circulated!to!participants!of!the!two!Eastern!region!workshops!and!the!data! collected!showed!the!following:!! ! Day!1:!!Of!those!who!filled!in!the!event!evaluation!form:!! • 71%!of!participants!have!been!very!satisfied!with!the!event!! • 29%!of!participants!have!been!satisfied!with!the!event!! • 77%!of!participants!have!found!the!material!highly!relevant!! • 23%!of!participants!have!found!the!material!relevant!

Day!2:!Of!those!who!filled!in!the!event!evaluation!form:!! • 64%!of!participants!were!very!satisfied!with!the!event!and!found!the!material!highly!relevant!! • 27%!of!participants!were!satisfied!with!the!event!and!indicated!that!the!material!was!relevant!! • 9%!of!participants!were!in!some!ways!satisfied!with!the!event!and!found!the!material!somewhat! relevant! ! 4.1.5&&South&east®ion& The!workshops!organiser!reported!that!feedback!has!been!positive!on!the!overall!approach,!the! individual!presentations!and!the!workshop!materials.!! ! 4.1.6&&South&west®ion& Overall,&the&meetings&went&well&and&the#feedback#received#from#participants#was#positive.#From# institutions'that!are$developing$Open$Access$policies$the$feedback$received$indicated(the(need(for! support'and'follow]up#by#the#project.!!The$University$of$Minho$(project$partner)$has$contacted$all$ participants)offering)help)and)guidance,"has"reviewed"the"University"of"Malta’s"draft"policy"and"has"been" in#contact#with#CNR#(Italian#funder)#offering#help#and#materials.& ! ! 4.2&&&Lessons&learned&& ! 4.2.1&&&Overview& Overall,!a!number!of!important!lessons!were!learned!from!organising!the!workshop!series,!both!about! the!process!of!organising!a!successful!event,!and!about!the!OA!policy!process!across!Europe.!The!key! general!points!are!presented!in!the!box!below!and!then!the!specific!lessons!reported!from!each!region! are!listed.! !

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40 Open Access Policy Alignment Strategies for European Research

! Key&points&about&the&main&lessons&learned& • Securing!the!participation!of!key!senior!figures!or!organisations!in!the!process!of!inviting! policymakers!helps!to!ensure!high!levels!of!acceptances! • The!venue!and!host(s)!of!workshops!can!also!help!to!encourage!acceptances!if!invitees!perceive! them!to!be!significant!and!can!thus!imbue!the!whole!event!with!a!sense!of!importance! • Successful!programmes!include!presentations!from!key!figures!in!policymaking!circles!who!are! seen!as!OA!champions!by!other!policymakers!keen!to!learn!from!their!experiences!and!successes! • Allowing!plenty!of!opportunity!for!informal,!group]based!discussion!was!an!important!factor!in! making!a!workshop!successful.!Policymakers!do!not!often!get!such!opportunities!–!generally! where!they!do!meet!up!it!is!in!a!structured,!regulated!environment!that!does!not!facilitate! informal!exchange!of!information!–!and!they!appeared!to!value!it!highly! • Panel!sessions,!which!tend!to!be!a!little!less!formal!than!presentation!session,!were!also!highly! rated!where!they!occurred:!these!usually!provide!an!opportunity!for!more!extensive!exchange! between!audience!and!experts!and!in!this!they!offer!a!valued!further!mode!of!interaction!of!a!less! formal!kind! • While!most!workshops!were!aimed!at!one!type!of!policymaker!(funder!or!institutional)! workshops!with!mixed!audiences!can!also!be!very!successful,!given!the!right!programme! structure!and!mix!of!speakers! • Regions!vary!considerably!in!respect!to!the!level!of!progress!on!OA!policy!development,!and! workshop!programmes!need!to!be!designed!to!take!this!into!account,!recognising!the!varying! needs!of!different!regions! • Including!presentations!from!other!regions!as!comparators!can!work!well,!providing!a!different! perspective!and!encouraging!debate!and!discussion,!as!well!as!further!action! ! ! The!specific!lessons!learned!from!the!workshops!in!the!different!regions!were:! ! 4.2.2&&North&West®ion& • Using!the!partnership!with!the!Belgian!funder!FNRS!to!invite!participants!resulted!in!a!high!level!of! acceptance! • Top!grade,!experienced!speakers!meant!that!the!audience!was!able!to!learn!from!key!players! • Since!learning!from!other!countries!is!often!voiced!as!a!useful!outcome!of!such!events,!the! programme!was!designed!to!facilitate!this,!and!the!work!groups!sessions!maximised!it! & 4.2.3&&Nordic®ion& • CRIStin’s!partnership!with!the!Nordic!Council!of!Ministers!and!NordForsk!was!of!great!benefit!for!the! workshop!and!crucial!to!its!success.!It!is!believed!that!this!collaboration!is!one!of!the!reasons!the! workshop!achieved!such!high!attendance!and!from!such!high!level!participants! • Another!strong!contributing!factor!was!the!work!and!effort!CRIStin!has!put!into!the!Berlin!12! Conference!2015,!the!communication!and!interaction!with!several!regional!funders!and!universities! at!a!very!high!level! & & & &

!

41 Open Access Policy Alignment Strategies for European Research

4.2.4&&Eastern®ion& • Key!partnership!with!the!Hungarian!Academy!of!Sciences;!the!President!signed!all!invitation!letters!! • High!level!speakers!and!good!practice!presentations!from!the!European!institutions!with!the!most! successful!OA!policies ! 4.2.5&&South&east®ion& • Regional!workshops!have!been!designed!on!the!basis!of!each!region’s!needs!and!in!that!sense!each! one!is!unique!in!terms!of!its!content,!despite!the!fact!that!regional!coordinators!have!agreed!on! some!common!elements!that!should!be!present!in!each!of!them.!The!introductory!presentations! from!the!Key!Nodes!that!allowed!participants!to!have!from!the!beginning!of!the!workshop!an! overview!of!the!Open!Access!situation!in!the!rest!of!the!countries!of!the!region!is!nonetheless!an! element!that!could!be!used!by!other!workshop!organisers.!This!overview!allows!participants!to! understand!better!the!regional!aspect!of!the!workshop!and!also!highlights!the!common!challenges!! • At!the!same!time,!a!presentation!of!the!general!challenges!to!the!promotion!of!Open!Access!and! those!that!are!region]specific!is!best!understood!with!the!help!of!contributions!from!project! participants!! • The!success!of!the!workshops!were!to!an!extent!related!to!the!extensive!work!that!has!been!taking! place!with!regional!Key!Nodes!who!have!in!turn!undertaken!the!task!of!identifying!high]level! participants!and!of!working!with!them!on!the!development!of!Open!Access!policies.!Therefore,!work! was!done!both!within!national!representations!and!between!Key!Nodes!to!ensure!that!the!workshop! agenda!would!benefit!them!the!most.!The!workshop’s!success!is!reflected!in!the!fact!that! participants!have!not!only!asked!for!the!presentations,!but!more!importantly!participants!have! expressed!their!interest!in!the!organisation!of!regional!Skype!calls!! & 4.2.6&&South&west®ion& • Initially!the!University!of!Minho!planned!to!organise!two!regional!workshops!separately,!targeted!to! research!funders!in!Madrid!(Spain)!and!research!performing!organisations!in!Turin!(Italy).!The!fact!is! that!the!SW!Region!of!Europe!includes!a!small!number!of!countries!and!consequentially!a!small! number!of!participants.!Most!of!them!are!representatives!of!institutions!that!are!at!the!same!time! research!funders!and!research!performing!organisations.!In!this!case,!the!solution!which!would!have! best!suited!the!region!would!have!been!to!organise!mixed]audience!workshops!! • Particular!needs!of!the!region!were!identified!from!the!workshops.!From!sharing!experiences!about! the!implementation!process!of!both!the!Portuguese!and!Spanish!OA!mandates,!it!was!noticed!that! further!information!about!implementation!and!monitoring!processes!of!OA!mandates!is!needed.!To! address!this!issue!PASTEUR4OA!has!contributed!by!developing!appropriate!advocacy!resources! ! ! 4.3&&&Dissemination& ! 4.3.1&&&Overview& All!Regional!Coordinators!made!efforts!to!ensure!effective!dissemination!of!information!from!the! workshops.!All!workshops!were!reported!as!a!series!of!tweets,!and!all!of!them!were!featured!in!short! reports!in!the!PASTEUR4OA!newsletter!series.!In!some!regions,!subsequent!OA!events!referred!to!and! discussed!the!prior!PASTEUR4OA!workshops.!In!others,!Coordinators!or!Key!Nodes!contacted!all!! !

!

42 Open Access Policy Alignment Strategies for European Research participants!or!other!interested!parties!(including!those!who!had!been!unable!to!attend)!by!email!to! provide!links!to!the!programme,!presentations!and!main!outputs.! ! The!key!dissemination!points!are!presented!in!the!box!below!and!specific!points!are!then!listed!by! region.! ! ! Key&points&about&dissemination&of&information&from&the&workshops& • All!workshops!were!reported!in!a!series!of!tweets!on!twitter! • All!workshops!were!reported!in!the!PASTEUR4OA!newsletter!series!and!on!the!PASTEUR4OA! Facebook!page! • Presentations!from!the!workshops!were!published!on!the!project!website! • Workshop!organisers!sent!emails!to!participants!and!to!those!who!had!been!unable!to!attend,! providing!links!to!the!presentations!and!other!workshop!materials! ! ! ! 4.3.2&&North&west®ion& • A!report!of!the!events!was!circulated!via!the!PASTEUR4OA!newsletter!to!462!people! • Twitter!comments!were!published!by!various!people!(PASTEUR4OA!partners!and!workshop! participants)!during!the!events!themselves! • News!from!the!workshops!was!posted!on!the!PASTEUR4OA!Facebook!page! • The!programmes,!presentations!and!reports!of!the!two!workshops!were!published!on!the!project! website! & & 4.3.3&&Nordic®ion& • The!workshop!has!been!mentioned!in!several!newsletters!and!articles,!both!already!published!and! currently!in!production! • NordForsk!and!CRIStin!have!published!newsletter!articles!about!the!workshop! • Accounts!of!the!workshop,!in!addition!to!advocacy!material!produced!by!PASTEUR4OA,!has!been! requested,!distributed!and!discussed!by!the!Finnish!Ministry!of!Education,!Culture!and!Research!as! well!as!some!Finnish!universities! • The!workshop!was!also!a!topic!for!discussion!at!the!NOAF!meeting!(Nordic!Open!Access!Forum)! & & 4.3.4&&Eastern®ion& • After!the!event,!Mojca!Kotar!(University!of!Ljubljana!and!PASTEUR4OA!Key!Node)!sent!the!links!to! the!presentations!to!the!persons!that!were!invited!to!come!to!Budapest,!but!for!some!reason!could! not!come!or!were!replaced,!and!to!some!other!high!level!people,!alerting!them!to!the!presentations! concerting!their!type!of!stakeholder.!The!information!on!the!event!is!published!as!news!and!in!the! list!of!EU!activities!at!openaccess.si!portal.!She!will!also!write!a!report!in!Slovenian!and!distribute!it! ! ! ! ! !

43 Open Access Policy Alignment Strategies for European Research

• Centrum!Cyfrowe!(PASTEUR4OA!Key!Node!in!Poland)!published!a!summary!of!the!discussions!(in! Polish)!asking!where!Poland!is:&http://centrumcyfrowe.pl/praktyki]naukowe]zmieniaja]sie]szybciej] niz]system]nauki/!& ! ! 4.3.5&&South&east®ion& On!the!basis!of!the!positive!feedback!received!from!workshop!participants!and!their!interest!in!the! presentations,!the!Regional!Coordinator!uploaded!all!presentations!to!the!project!website.!In!addition,!a! summary!of!the!workshop!featured!in!one!of!the!PASTEUR4OA!Newsletters.!EKT,!the!workshops! organiser,!has!also!disseminated!the!workshop!results!in!Greece!through!its!website,!the!openaccess.gr! platform.!!Similar!actions!have!been!asked!of!the!Key!Nodes!in!the!region.!& & & 4.3.6&&South&west®ion& The!workshop!results!were!distributed!to!all!participants!by!email!and!are!available!online!on!the!event! webpage!(http://openaccess.sdum.uminho.pt/?page_id=3897).!In!addition,!a!piece!was!prepared!to!be! included!in!the!news!section!of!the!project!website!and!disseminated!through!social!networks!and!on! the!Open!Access!web!pages!of!the!project!partners,!the!University!of!Minho!and!the!Politecnico!di! Torino.!& ! & ! ! & & ! &

!

44 Open Access Policy Alignment Strategies for European Research

& 5.&&Follow&up&& ! 5.1.1&&Overview& The!PASTEUR4OA!project’s!Regional!Coordinators!carried!out!some!follow]up!work!after!the!workshops.! One!main!action!that!was!undertaken!was!to!communicate!with!participants!by!email!and!offer!further! help,!guidance!and/or!materials.!In!some!cases,!requests!came!back!for!these!things.!In!some!cases,!Key! Nodes!or!Regional!Coordinators!had!further!meetings!with!policymakers,!some!of!which!have!resulted! in!the!refinement!of!existing!policies!(e.g.!that!of!FNRS!in!Belgium)!or!the!development!of!draft!policies! or!action!plans!on!OA.! ! In!the!South!East!region,!teleconferences!were!held!with!Key!Nodes!and!actions!planned!as!a! consequence.!In!Portugal,!the!Regional!Coordinator!hosted!a!webinar!for!research!institutions!on!policy! design!and!implementation.!In!the!Nordic!region!a!working!group!will!be!set!up!to!aid!collaborative! approaches!between!the!Nordic!countries,!particularly!on!research!evaluation!and!on!aspects!of!the! research!publication!system.!! ! Some!additional!advocacy!materials!were!developed!as!a!result!of!requests!from!workshop!participants! and!others!were!revised!or!refined.! ! The!key!points!with!respect!to!following!up!the!workshops!are!presented!in!the!box!below!and!specific! points!are!then!listed!by!region.!

! Key&points&about&followOup&to&the&workshops& • In!all!regions,!workshop!participants!were!contacted!by!email!after!the!workshop!events!and! offered!further!materials,!help!or!guidance! • In!some!regions,!further!meetings!have!taken!place!between!project!partners!and!policymakers! • Some!Regional!Coordinators!have!had!teleconference!meetings!with!Key!Nodes!in!their!region! • A!webinar!was!hosted!by!the!South!West!Regional!Coordinator! • There!are!working!groups!on!OA!now!in!some!regions!as!a!result!of!the!workshops! • Some!additional!work!has!been!carried!out!by!the!project!on!advocacy!resources! ! ! !! 5.1.2&&North&west®ion& • An!email!was!sent!to!all!participants!a!week!after!the!workshops,!giving!links!to!the!presentations,! the!project!website!and!advocacy!materials.!It!also!invited!participants!to!register!for!the!final! conference!in!May,!and!included!a!leaflet!describing!the!Knowledge!Net.!Finally!it!asked!participants! to!contact!the!project!team!if!they!needed!any!further!information,!though!no!such!requests!were! received! • The!project!has!followed!up!on!suggestions!received!from!participants!for!further!advocacy! materials! • A!teleconference!with!Key!Nodes!was!hosted!by!the!Regional!Coordinator! ! !

!

45 Open Access Policy Alignment Strategies for European Research

5.1.3&&Nordic®ion& • The!PASTEUR4OA!workshop!was!discussed!at!the!NOAF!meeting!in!April!(Nordic!Open!Access! Forum,!a!meeting!of!key!OA!personnel!in!the!Nordic!countries!that!take!place!twice!a!year).!The! feedback!was!once!again!very!positive,!and!there!were!discussions!on!how!NOAF!could!contribute!to! keeping!the!momentum!of!the!PASTEUR4OA!workshop!going!& • The!representative!from!the!Nordic!Council!of!Ministers!suggested!a!working!group,!to!coordinate! and!aid!in!cementing!and!elevating!the!level!of!collaboration!between!the!Nordic!research!ministries!& • Norway,!Sweden,!Denmark!and!Finland!have!initiated!a!collaboration!on!a!Nordic!list!of!approved! publication!channels!& • A!similar!collaboration!is!being!discussed!for!alternative!ways!to!evaluate!research,!i.e.!moving!away! from!Impact!Factor& ! & 5.1.4&&Eastern®ion& • The!Research!Council!of!Lithuania!(major!research!funder!in!the!country)!adopted!the!Guidelines!for! OA!to!Research!Results!on!February!29!(aligned!with!the!EC!OA!policies) • There!are!active!national!OA!working!groups!in!Croatia,!Czech!Republic,!Hungary,!Slovakia!and! Slovenia!aligning!institutional!and!drafting!national!OA!policies;!and!there!are!institutional!OA!policy! working!groups!in!the!VŠB]Technical!University!of!Ostrava!(Czech!Republic),!University!of!Latvia;! Kaunas!University!of!Technology,!Mykolas!Romeris!University,!Vilnius!University!and!Vilnius! Gediminas!Technical!University!(Lithuania)!! • UEFISCDI!in!Romania!is!drafting!a!national!open!science!policy!! • The!Ministry!of!Science!and!Higher!Education!in!Poland!is!drafting!a!national!open!research!data! policy!! • Slovenia!is!finalising!the!action!plan!to!implement!a!national!OA!strategy!adopted!last!year & & 5.1.5&&South&east®ion& • EKT!organised!a!teleconference!with!the!Key!Nodes!to!discuss!the!workshop!results!with!them!and! also!to!plan!in!cooperation!with!them!future!steps!and!actions.!Some!national!activities!were! planned!in!Greece!and!Cyprus!as!a!result.!In!particular,!a!meeting!took!place!with!the!Vice]Rector!for! Academic!Affairs!of!the!University!of!the!Aegean!and!other!members!of!the!academic!community!in! March!2016!during!which!we!discussed!with!the!academic!community!an!approach!for!the!adoption! of!an!Open!Access!policy.!Skype!meetings!have!since!been!held!with!the!Key!Node!from!Cyprus! which!has!provided!extensive!comments!for!the!Cyprus!national!Open!Access!strategy!during!the! public!consultation!process.!Finally,!in!the!context!of!a!workshop!organised!by!EKT!with!Greek! funders!we!had!the!opportunity!to!have!an!initial!discussion!about!funder!Open!Access!policies.! • A!significant!number!of!workshop!participants!expressed!their!interest!in!keeping!communication! channels.!On!the!basis!of!this!suggestion!the!Regional!Coordinator!examined!the!possibility!of! organising!Skype!conference!calls!with!workshop!participants!(in!addition!to!those!held!with!SE! Europe!Key!Nodes).!! • On!the!basis!of!the!feedback!received!from!workshop!participants,!subsequent!work!has!focused! (among!others)!on!the!following!themes:!! • Giving!more!practical!information!to!stakeholders! ! • Providing!more!practical!information!about!repositories!

!

46 Open Access Policy Alignment Strategies for European Research

• Strengthening!nascent!collaborations! • In!relation!to!the!above!topics!meetings!have!been!held!(such!as!with!the!University!of!the!Aegean)! or!EKT!has!been!in!contact!via!e]mail!with!university!libraries,!providing!them!with!practical! information!on!how!to!adopt!an!Open!Access!policy!and!providing!more!technical!guidance! regarding!repositories!! • On!a!different!level,!work!also!focused!on!the!organisation!of!the!second!workshop!targeting! research!funders,!taking!into!consideration!the!feedback!received!from!the!first!workshop! & 5.1.6&&South&west®ion& • Key!Nodes!from!Italy!and!Malta!will!collaborate!more!closely!with!national!research!funders,! respectively,!National!Research!Council!(CNR)!from!Italy!and!The!Malta!Council!for!Science!and! Technology!(MCST)!in!order!to!foster!the!development!of!national!Open!Access!Policies!in!both! countries.!Already,!the!MCST!has!sought!advice!from!the!University!of!Malta!Library!on!how!to! improve!Open!Access!in!the!country!!! • Plans!were!made!for!the!regional!coordinator!of!the!SW!region!of!Europe!together!with!Key!Nodes! to!support!Italy!and!Malta!in!developing!their!Open!Access!policies.!It!was!planned!to!maintain! regular!contacts!with!the!National!Research!Council!(CNR)!from!Italy!and!the!Malta!Council!for! Science!and!Technology!(MCST)!and!provide!them!advocacy!resources!to!ensure!the!alignment!of! both!policies!! • Regarding!Portugal!and!Spain!the!focus!will!be!to!strengthen!existing!Open!Access!policies,!enriching! these!policies!with!detailed!information!that,!in!most!cases,!is!not!specified!in!the!policy!text!at!the! moment:! o Portugal:!in!March!2016,!the!University!of!Minho!organised!a!webinar!for!37!repository! managers!and!university!representatives!on!implementation!of!effective!OA!policies.!The! PASTEUR4OA!project!work!and!guidelines!on!this!topic!were!presented.!In!addition,!the! University!has!regular!contact!and!meetings!with!key!people!at!the!Portuguese!Ministry!of! Science!&!Technology,!which!has!recently!published!its!‘Guiding!Principles!for!Open!Access’!and! established!a!list!of!goals!on!OA! o Spain:!FECYT!(national!funder)!has!measured!compliance!with!the!national!OA!mandate!(finding! that!8%!of!Spanish!researchers!have!complied).!This!gives!Spanish!policymakers!a!baseline!point! on!making!progress!with!compliance!monitoring! • Advocacy!resources!about!policy!implementation!and!monitoring!will!be!developed!by!the!project! ! &

!

47 Open Access Policy Alignment Strategies for European Research

& & & & & & & & & & & & Appendix&1:&&Workshop&programmes! ! & &

!

48 Open Access Policy Alignment Strategies for European Research

& &

NW Region: Meeting of Research-Performing Organisation policy managers

9 February 2016 Fondation Universitaire, 11 rue d’Egmont (Egmontstraat 11), 1000 Brussels

Aims of the North West Europe Regional Meeting: • To bring together representatives from RPOs in the region to facilitate the exchange of ideas and policy practices among participants • To discuss ways of improving existing or developing new Open Access policies that are aligned with the European Commission’s Recommendation to Member States and the H2020 Open Access requirements

Draft programme

09:30 – 10:00 Arrival & Registration

10:00 – 10:05 Welcome to participants Dr Alma Swan, Enabling Open Scholarship

10.05 – 10:15 The Horizon 2020 Open Access policy – setting the scene: Dr Jean-Francois Dechamp / Dr Celina Ramjoue, European Commission

10:15 – 10:30 The EUA and Open Access: Dr Lidia Borrell Damian, Director for Research & Innovation, European University Association

10:30 – 10:45 Introduction to the PASTEUR4OA project: Dr Victoria Tsoukala (Project Coordinator and Director), Greek National Documentation Centre, Athens

10:45 – 11:00 OA Policies and their effectiveness: results of a study by the PASTEUR4OA project Dr Alma Swan, Enabling Open Scholarship

11:00 – 11:30 Coffee

11:30 – 12:00 Universities and Open Access policy-making Prof Bernard Rentier, Enabling Open Scholarship and University of Liège (Belgium)

12:00 – 12:30 British universities and Open Access policies Speaker: Dr Simon Kerridge, University of Kent (UK)

12:30 – 13:00 Open Access policy in Ireland: progress and promise Speaker: Niamh Brennan, TCD (Ireland)

13:00 – 14:00 Lunch

14:00 – 15:00 Work Group Session (participants discuss their Open Access policies and the issue of alignment with H2020)

15:00 – 15:30 Tea/coffee

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49 Open Access Policy Alignment Strategies for European Research

15:30 – 16.20 Panel session: speakers and discussion (Chair: Bernard Rentier) Panel members: Dr Marie-Pierre Pausch (University of Luxembourg), Prof Alain Beretz (University of Strasbourg, France), Dr Christoph Bruch (Helmholtz Association, Germany)

16:20 – 16:30 Wrap up & End of Meeting

& &

!

50 Open Access Policy Alignment Strategies for European Research

& &

NW Region: Meeting of Research-Performing Organisation policy managers

10 February 2016 Fondation Universitaire, 11 rue d’Egmont (Egmontstraat 11), 1000 Brussels

Aims of the North West Europe Regional Meeting: • To bring together representatives from RPOs in the region to facilitate the exchange of ideas and policy practices among participants • To discuss ways of improving existing or developing new Open Access policies that are aligned with the European Commission’s Recommendation to Member States and the H2020 Open Access requirements

Draft programme

09:30 – 10:00 Arrival & Registration

10:00 – 10:05 Welcome to participants Dr Alma Swan, Enabling Open Scholarship

10.05 – 10:15 The Horizon 2020 Open Access policy – setting the scene: Dr Jean-Francois Dechamp / Dr Celina Ramjoue, European Commission

10:15 – 10:30 Open Access – a research funder’s perspective: Professor Bernard Rentier, Past President, FNRS

10:30 – 10:45 Introduction to the PASTEUR4OA project: Dr Victoria Tsoukala (Project Coordinator and Director), Greek National Documentation Centre, Athens

10:45 – 11:00 OA Policies and their effectiveness: results of a study by the PASTEUR4OA project Dr Alma Swan, Enabling Open Scholarship

11:00 – 11:30 Coffee

11:30 – 12:00 Science Europe and Open Access: (i) Science Europe’s interest in Open Access: Dr Stephan Kuster, Head of Policy Affairs (ii) Science Europe’s Open Access Principles and Guidelines: Dr Georg Botz, Chair, Working Group on Open Access

12:00 – 12:30 Open Access policy in the UK Speaker: Dr David Sweeney, HEFCE (UK)

12:30 – 13:00 Open Access policy for Belgian research Speaker: Dr Eric Laureys, BELSPO (Belgium)

13:00 – 14:00 Lunch

14:00 – 15:00 Work Group Session (participants discuss their Open Access policies and the issue of alignment with H2020)

15:00 – 15:30 Tea/coffee

!

51 Open Access Policy Alignment Strategies for European Research

15:30 – 16.20 Panel session: speakers and discussion (Chair: Georg Botz) Panel members: Dr Falk Reckling (FWF, Austria), Dr Michele Weber (FNR, Luxembourg), Prof Claude Kirchner (INRIA, France), Dr Bhanu Neupane (UNESCO)

16:20 – 16:30 Wrap up & End of Meeting

& &

!

52 Open Access Policy Alignment Strategies for European Research

& & Workshop&on&Nordic&Open&Access&Policy&Alignment& 17!March!2016!! Nordic!Council!of!Ministers,!Ved!Stranden!18,!Copenhagen,!Denmark- ( Agenda( & 0930&O&1000& & Registration&and&Light&Breakfast&& & 1000&O&1120& & First&Session:& 1000!]!1010! Welcome!by!NordForsk! Prof-Sverker-Holmgren!(NordForsk)! 1010!]!1020! Introduction!! Prof-Curt-Rice!(CRIStin/Oslo!and!Akershus!University!College!]!Norway)! 1020!]!1120! PASTEUR4OA!]!Policy!Alignment!and!Effectiveness!! Dr-Alma-Swan!(PASTEUR4OA!]!UK)! & 1120&O&1140& & Short&Break& & 1140&O&1230& & Second&Session:&& 1140!]!1150! Summary!and!Report!from!the!Southwest!Policy!Alignment!Workshop!! Eloy-Rodrigues!(University!of!Minho!]!Portugal)! 1150!]!1210! Nordic!Council!of!Ministers!Policy!! Niels-Stern!(Nordic!Council!of!Ministers)! 1210!]!1230! Swedish!National!Guidelines!! Dr-Lisbeth-Söderqvist!(Swedish!Research!Council)! & 1230&O&1330& & Lunch& & 1330&O&1450& & Third&Session:& 1330!]!1350! Norwegian!National!Guidelines!! Prof-Torkel-Brekke!(University!of!Oslo!]!Norway)! 1350!]!1410! Institutional!Policy!]!Uppsala!University!! Prof-Lars-Burman!(Uppsala!University!]!Sweden)! 1410!]!1430! Open!Access!to!Research!Data!! Prof-Sverker-Holmgren!(NordForsk)! 1430!]!1450! Finnish!Open!Science!and!Research!Initiative!! Eeva-Kaunismaa!(Ministry!of!Culture!and!Higher!Education!]!Finland)! & 1450&O&1520& & Coffee,&Cake&and&Conversation& & 1520&O&1620& & Panel&Discussion&on&Open&Access&Policy& & 1620&O&1635& & Summary&and&Finishing&Remarks! &

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53 Open Access Policy Alignment Strategies for European Research

& PASTEUR4OA!Eastern!European!Meeting!of!Research!Funders!and!Research!Performing! organizations& “Working&Together&to&Promote&Open&Access&Policy&Alignment&in&Europe”! Library!and!Information!Centre,!Hungarian!Academy!of!Sciences! Arany!J.!street!1,!Budapest,!Hungary! ! Programme& & October&29,&2015:&Day&1&(with&a&special&focus&on&research&funders)& ! 9:00&O&9:15!Welcome!–!the!President!of!the!Hungarian!Academy!of!Sciences! ! 9:15&O&9:30!Introduction!to!PASTEUR4OA!and!setting!up!the!scene!for!the!seminars!–!Iryna!Kuchma,!EIFL!and!the! PASTEUR4OA!project! ! 9:30&O&10:00!OA!in!H2020!and!EC!Recommendations!from!July!2012!–!Jean]Francois!Dechamp,!European! Commission!!! ! 10:00&O&11:00!Good!practice!examples!from!the!region!–!Martin!Eessalu!(Ministry!of!Education!and!Research,! Estonia);!Rūta!Petrauskaitė!(Lithuanian!Research!Council);!and!Lubomir!Bilsky,!Slovak!Centre!of!Scientific!and! Technical!Information! ! 11:00&O&11:20!Coffee!break! ! 11:20&O&11:50!Good!practice!examples!from!the!region!(cont.)!–!Urban!Krajcar!(Ministry!of!Education,!Science!and! Sport,!Slovenia)! ! 11:50&O&13:20!Good!practice!examples!from!other!regions!–!Austrian!Science!Fund!(FWF)!–!Katharina!Rieck;!FCT,! Fundação!para!a!Ciência!e!a!Tecnologia!–!Eloy!Rodrigues!(University!of!Minho);!and!FRS/FNRS!Belgium!–!Bernard! Rentier! ! 13:20&O&14:15!Lunch! ! 14:15&O&14:35!Presentation!of!tools!and!resources!provided!by!the!project!–!briefing!papers,!good!practices! collected,!updated!ROARMAP,!etc.!–!Gwen!Franck,!EIFL!and!the!PASTEUR4OA!project! 14:35&O&14:50!Report!from!other!PASTEUR4OA!Southern!Europe!regional!meeting!for!the!research!funders!–!Eloy! Rodrigues!(University!of!Minho)! ! 14:50&O&16:50!How!to!design!an!effective!OA!policy!for!a!funder!–!wording,!implementation,!etc.!–!a!presentation! and!a!group!work,!including!a!coffee!break,!at!15:30!]!15:50!–!Iryna!Kuchma,!EIFL!and!the!PASTEUR4OA!project! ! 16:50&O&17:30!A!closing!panel!on!the!lessons!learnt!and!the!way!forward!with!Nicolaie!Constantinescu!(Kosson,! Romania),!Iveta!Gudakovska!(University!of!Latvia!and!NPR!for!Latvia),!Ewa!Majdecka!(Centrum!Cyfrowe,!Poland)! and!Jadranka!Stojanovski!(Rudjer!Boskovic!Institute!and!NPR!for!Croatia)! ! ! & & &

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54 Open Access Policy Alignment Strategies for European Research

October&30,&2015:&Day&2:&(with&a&special&focus&on&research&performing&organizations)& ! 09:00&O&09:15!Summarizing!the!achievements!of!the!Day!1!and!setting!up!the!scene!for!the!Day!2–!Iryna!Kuchma,! EIFL!and!the!PASTEUR4OA!project! ! 09:15&O&11:&00!Good!practice!examples!of!institutional!OA!policies!from!the!region!–!Magyar!Tudomanyos! Akadémia!(MTA)!Hungarian!Academy!of!Sciences!Open!Access!policies!updated!–!Gábor!Makara,!Sándor!Soós,! András!Holl;!University!of!Szeged!(Hungary)!–!Peter!Mezei;!Rudjer!Boskovic!Institute!(Croatia)!–!Bojan!Macan;! Brno!University!of!Technology!–!Jan!Skupa!and!the!Czech!Academy!of!Sciences!–!Martin!Lhoták!(Czech!Republic);! Riga!Technical!University!–!Daina!Ostrovska;!and!Mykolas!Romeris!University!(Lithuania)!–!Natalija!Popkova.!! ! 11:00&O&11:30!Coffee!break! ! 11:30&O&13:00!Good!practice!examples!from!other!regions:!Liege!Open!Access!policy!–!Bernard!Rentier,!UCL!Open! Access!policy!–!Paul!Ayris,-University!of!Minho!Open!Access!policy!!–!Eloy!Rodrigues! ! 13:00&O&14:00!Lunch! ! 14:00O15:30!How!to!design!an!effective!OA!policy!for!a!research!performing!organization!–!wording,! implementation,!etc.!–!a!presentation!and!a!group!work!–!Iryna!Kuchma,!EIFL!and!the!PASTEUR4OA!project! ! 15:30&O&16:00!Coffee!break! ! 16:00&O&17:00!A!closing!panel!on!the!lessons!learnt!and!the!way!forward!with!Leonas!Balasevicius!(Kaunas! Technical!University,!Lithuania),!Edit!Görögh!(University!of!Debrecen,!Hungary)!and!Mojca!Kotar!(University!of! Ljubljana,!Slovenia)! ! !! & &

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& ! PASTEUR4OA SE EUROPE Regional Workshop for Research Funders “Working Together to Promote Open Access Policy Alignment in Europe”

April 1st, 2016, Istanbul

AGENDA

09.00-09.30 Registration 09.30-10.00 Welcome and Introduction to PASTEUR4OA Victoria Tsoukala (National Documentation Centre/NHRF) Yasar Tonta (Hacettepe University) Sami Cukadar (Bilgi University) 10.00-11.00 Aligning Open Access Policies with the European framework Marina Angelaki (National Documentation Centre/NHRF)

Introducing the workshop participants

11.00-11.30 Coffee Break 11.30-13.00 Presentations of Policy Initiatives

Open Access initiatives at TUBITAK Mehmet Mirat Satoglu (TUBITAK ULAKBIM)

Key messages and lessons learned from the Nordic Regional Meeting Jens Harald Aasheim (CRIStin)

Open Access in Belgium Eric Laureys (BELSPO)

Open Access in the UK Ben Johnson (HEFCE) ! 13.00-14.00 Lunch break

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14.00-15.00 Break out Groups: Developing effective Open Access policies in SE Europe ) 15.00-16.00 Panel Discussion: Key issues in developing effective Open Access policies in SE Europe and ways of moving forward

Wrap-up !

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57 Open Access Policy Alignment Strategies for European Research

& & PASTEUR4OA SE EUROPE Regional Workshop for research institution policymakers “Working Together to Promote Open Access Policy Alignment in Europe”

November 3rd, 2015 National Hellenic Research Foundation/ NHRF, 48 Vas. Konstantinou Avenue, Athens

AGENDA

09.00-09.30 Registration 09.30-10.00 Welcome and Introduction Evi Sachini (National Documentation Centre/NHRF)

10.00-11.00 Open Access and the European context Victoria Tsoukala and Marina Angelaki (National Documentation Centre/NHRF)

Introducing the workshop participants

11.00-11.30 Coffee Break

11.30-13.00 Opportunities and Challenges in promoting Open Access policies Mafalda Picarra, Jisc Good practice examples from Eastern Europe and Lessons from the Eastern Europe Regional Meeting Andras Hall, Hungarian Academy of Sciences ! 13.00-14.00 Lunch break

14.00-16.00 Developing and implementing an effective policy Guidelines on how to develop and implement Open Access policies for research performing organizations Victoria Tsoukala & Marina Angelaki (National Documentation Centre/ NHRF)

A good practice example: The UMinho Open Access policy (via skype) Eloy Rodrigues, UMinho Group discussion))

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PASTEUR4OA support in promoting Open Access policies A presentation of the support that PASTEUR4OA offers to policy makers Victoria Tsoukala & Marina Angelaki (National Documentation Centre/NHRF)

16.00-16.30 Closing Session: Q&A Session and Exploring ways of moving forward

& ! !

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! ! ! PASTEUR4OA&SW&Region&Meeting&of&Research&Funders&“Working&Together&to&Promote&Open&Access& Policy&Alignment&in&Europe”& & September!28,!2015! Venue:!Building!Iberia!Mart!II.!Calle!Orense!34,!Madrid!(Spain)! & https://www.google.es/maps/place/Calle+de+Orense,+34,+28020+Madrid/@40.4545529,] 3.6945827,17z/data=!3m1!4b1!4m2!3m1!1s0xd4229029014936b:0xd799e6a085c28bfb&& ! Aim&of&the&Regional&Meeting:&to!bring!together!research!funders!from!the!region!in!a!specialised! meeting!that!will!allow!the!exchange!of!ideas!and!policy!practices!among!participants!and!more! importantly!discuss!ways!to!improve!existing!or!develop!new!Open!Access!policies!aligned!with!the! Commission’s!Recommendation!and!the!H2020!requirements.!! ! Programme& & 09:30&–&10:00&Arrival&&&Registration& ! 10:00&–&10:15!Welcome!! Speaker:!Cristina!González!Copeiro!–!Director!of!the!Department!for!Scientific!Information! management,!FECYT,!Spain! ! 10:15&–&10:45&Introduction&to&PASTEUR4OA! Speaker:!Dr.!Victoria!Tsoukala&–&PASTEUR4OA!Project!Coordinator,!EKT,!Greece! ! 10:45&–&11:00&Presentation&of&national&participants! Speakers:!Key!Nodes! ! 11:00&–&11:30&Coffee&break&& & 11:30&–&12:00&OA&Policies&(ROARMAP&&&Policy&Effectiveness)& Speaker:!Eloy!Rodrigues!]!Director!of!the!University!of!Minho!Documentation!Services,! Portugal! ! 12:00&–&12:30&Health&Research&Board&policy&on&Open&Access:&a&funder’s&perspective& Speaker:!Dr.!Patricia!Clarke!]!Senior!Policy!Analyst/!National!Delegate!for!H2020!Health,! Ireland! ! 12:30&–&13:00&Policy&Recommendations&for&Open&Access&to&Research&Data& Speaker:!Dr.!Victoria!Tsoukala!]!Head,!ePublishing!and!Social!Sciences!and!Humanities!Unit! National!Documentation!Centre,!EKT,!Greece! ! & &

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& 13:00&–&14:00&Lunch& & 14:00&–&14:15&Introduction&to&Work&Group&Session& Speaker:!Eloy!Rodrigues! 14:15&–&15:45&Work&Group&Session&& All!participants!discuss!the!alignment!of!OA!mandates! 15:45&–&16:45&Reporting&Back:&discussion! 16:45&–&17:00&Wrap&up&&&End&of&Meeting! ! !

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! !

PASTEUR4OA&Regional&Workshop&for&Research&Performing&Organisations&of&SW&Europe& countries& “Working&Together&to&Promote&Open&Access&Policy&Alignment&in&Europe”& ! 22!February!2016!]!Nexa!Center!for!Internet!and!Society!Via!Pier!Carlo!Boggio!65/A,!10138!Torino,!Italy! & 9:00&O&9:15!Welcome! Speaker:!Juan!Carlos!de!Martin!–!Co]Director!of!the!NEXA!Center!for!Internet!&!Society!at!the! Politecnico!of!Torino,!Italy! ! 9:15&O&9:30&Introduction&to&PASTEUR4OA& Speaker:!Eloy!Rodrigues!]!Director!of!the!Documentation!Services!at!the!University!of!Minho,!Portugal! ! 9:30&–&10:00&Presentation&of&participants&& & 10:00&O&11:15&Good&practice&examples&from&the®ion& Italy&–&University&of&Turin& Speaker:!Elena!Giglia!]!Open!Access!Projects!leader!at!the!University!of!Turin! Portugal&–&Polytechnic&Institute&of&Bragança&(IPB)& Speaker:!Clarisse!Pais!–!Coordinator!of!the!Documentation!Services!and!Library!at!IPB! Malta&–&University&of&Malta& Speaker:!Kevin!J.!Ellul!]!Director!Library!Services!at!University!of!Malta! Spain&–&Carlos&III&University&of&Madrid& Speaker:!Eva!Méndez!]!Deputy!Vice!President!for!Strategy!and!Digital!Education,!Carlos!III!University!of! Madrid! ! 11:15&–&11:45&–&Coffee&Break& 11:45&–&13:00&O&The&European&OA&landscape! Speaker:!Bernard!Rentier!]!Rector!of!the!University!of!Liège! Speakers:!Alberto!Franco!Pozzolo!–!Italian!delegate!at!Open!Access!Berlin!Conference!2015!and!Roberto! Delle!Donne!–!Coordinator!Open!Access!Group!CRUI!(Conference!Rectors!Italian!Universities)! Speaker:!Mafalda!Picarra!]!Project!Officer!at!Jisc! ! 13:00&–&14:15&Lunch& & & & & & & & & 14:15&–&15:45&How&to&design,&approve,&implement&and&monitor&an&effective&OA&policy&

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62 Open Access Policy Alignment Strategies for European Research

Group!1!–!Chair:!Elena!Giglia!]!Open!Access!Projects!leader!at!the!University!of!Turin! Designing-and-approving-an-effective-institutional-OA-policy- Group!2!–!Chair:!Paola!Galimberti!]!Responsible!of!the!Research!Institutional!Archive!at!the! !! University!of!Milano! Implementing-and-monitoring-an-effective-institutional-OA-policy- & 15:45&–&16:45&Reporting&from&the&group&work,&discussion&&&commitment&of&the&institutions&in& developing&future&work& & 16:45&–&17:00&PASTEUR4OA:&the&way&forward& Speaker:!Marina!Angelaki!]!National!Documentation!Centre/NHRF!& & 17:00&End&of&Meeting&

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