European IPR Helpdesk

Open access in the European Research Area: FP7 and Horizon 2020

The European IPR Helpdesk is managed by the European Commission’s Executive Agency for Small and Medium-sized Enterprises (EASME), with policy guidance provided by the European Commission’s Enterprise and Industry Directorate - General. Even though this document has been developed with the financial support of the EU, the positions expressed are those of the authors and do not necessarily reflect the official opinion of EASME or the European Commission. Please see our full disclaimer at www.iprhelpdesk.eu.

Author: Daniel Spichtinger Policy Officer Open Access, DG Research & Innovation, European Commission. Open access can be defined as the practice of providing on-line access to scientific information that is free of charge to the end-user. In the context of R&D, “scientific information” can refer to either peer-reviewed scientific research articles (published in academic journals) or scientific research data (data underlying publications, curated data and/or raw data). Open access is not a requirement to publish, as researchers are free to publish or not, nor does it interfere with the decision to exploit research results commercially e.g. through patenting. Indeed, the decision on whether to publish open access documents must come after the more general decision on whether to go for a publication directly or to seek first protection using Intellectual Property Rights 1. This is illustrated by the graph here below.

Graphic 1: Decision tree on dissemination and exploitation of research results 1

More information on this issue is available in the European IPR Helpdesk fact sheet “Publishing vs. patenting” available in the library

European IPR Helpdesk

Not open access Dissemination: Research results publication

Research results

'Green' open access Open access

Decision on IP protection (patenting or other forms of protection)

'Gold' open access

Exploitation: Research results commercialisation

Two main and non-mutually exclusive routes towards open access to publications exist: 

The “Green” open access (also called self-archiving) which means that the published article or the final peer-reviewed manuscript is archived by the researcher in an online repository before, after or alongside its publication. The access to the article is often delayed (“embargo period”), allowing publishers to recoup their investment by selling subscriptions and charging pay-per-download or view fees during this exclusivity period.

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The “Gold” open access (also called open access publishing, or author-pays publishing) in which a publication is immediately provided in open access mode by the scientific publisher. The associated costs are shifted from readers to the university or research institute to which the researcher is affiliated, or to the funding agency supporting the research.

Potential benefits of open access All research builds on previous work and depends on scientists' ability to access and share scientific information. The advent of the Internet and electronic publishing has resulted in unprecedented possibilities for the dissemination and exchange of information. In today's

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“information economy” where knowledge is a source of competitive advantage, open access can potentially realise a variety of benefits, including: 

Acceleration of the research and discovery process, leading to increased returns on R&D investment;

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Avoidance of the duplication of research efforts, leading to savings in R&D expenditure;

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Enhanced opportunities for multi-disciplinary research, as well as inter-institutional and inter-sectorial collaborations;

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Broader and faster opportunities for the adoption and commercialisation of research findings, generating increased returns on public investment in R&D and the potential for the emergence of new industries based on scientific information.

 One study2 estimated the overall economic benefit from increased access to scientific information for the EU 27 at €5 billion a year. This implies potential economic benefits from increased access to the scientific information emanating from public funding at €1.8 billion a year. The effect of limited access to scientific information on the competitiveness of SMEs was documented by a Danish Ministry for Research and Innovation report on access to scientific and technical information for innovative SMEs.3 It illustrates the difficulties that SMEs in Denmark face in accessing research articles, patent information, scientific and technical standards, technical information, and market intelligence. The report states that it takes 2.2 years longer to develop or introduce new products without speedy access to up-to-date scientific research. For new products, a delay of 2.2 years means an average revenue loss of about 36 million DKK ((around € 4,825 million) for Danish SMEs. The report concludes that there is a need for easier and cheaper access to research articles, patents, laws and regulations, and market information. The potential benefits of better access to scientific information should be seen in the context of the high investment in R&D across the EU. This reached €245,673 billion in 2010 (2% of GDP)4, a rise of 43.5 % in ten years.5 A large part of investment in research in the EU is publicly funded (35%)6, which gives the public sector an important say in determining how results should be disseminated for the benefit of economic growth and

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http://ec.europa.eu/information_society/policy/psi/docs/pdfs/opendata2012/reports/Vickery.docx http://www.fi.dk/publikationer/2011/adgang-til-forskningsresultater-og-teknisk-information-i-danmark http://epp.eurostat.ec.europa.eu/statistics_explained/index.php/R_%26_D_expenditure http://epp.eurostat.ec.europa.eu/statistics_explained/index.php/R_%26_D_expenditure http://epp.eurostat.ec.europa.eu/statistics_explained/index.php/R_%26_D_expenditure 3

the society at large.7 It is therefore crucial for public authorities to define ways to improve public access to the results of publicly funded research, in order for the maximum benefit to be drawn from Europe's investment in science. A recent report by Science Metrix8 suggests that open access has grown faster than expected with around 50% of the papers published in 2011 being available for free in 2013. This study looked at the availability of scholarly publications in 22 fields of knowledge in the EU, Brazil, Canada, Japan, and the United States. Free availability of the majority of articles has been reached in the fields of general science and technology, biomedical research, biology and mathematics and statistics.

The activities of the European Commission The European Commission sees open access not as an end in itself but as a tool to facilitate and improve the circulation of information in Europe. Open access will also increase openness and transparency and thereby contribute to better policy making and ultimately benefit society and citizens. The Commission is concerned with open access in its capacities as a policy maker (proposing legislation), a funding agency (the FP7 and Horizon 2020 framework programmes for research and innovation) and a capacity builder (through funding of specific projects for open access infrastructure and policy support actions). The dossier is shared between the Directorate-General for Research and Innovation and the DirectorateGeneral for Communications Networks, Content and Technology. Open access to scientific peer reviewed publications is backed by a growing number of universities, research centres and funding agencies across the continent. However, national initiatives and practices are still fragmented, thus preventing the European Union from realising its full research and innovation potential. This is why open access is taken up in the policy context of the European Research Area (ERA), a unified research area open to the world based on the Internal Market, in which researchers, scientific knowledge and technology circulate freely. One of the key actions foreseen to achieve the ERA is to optimise the circulation, access to and transfer of scientific knowledge

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Publicly funded research refers to research undertaken by the government itself, or through grants to academic and other researchers outside the government. 8

http://europa.eu/rapid/press-release_IP-13-786_en.htm

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In a wide-ranging online public consultation on scientific information in the digital age, which was conducted in 2011, respondents identified a strong need for better access to scientific publications and data in Europe. 90% of respondents supported the idea that publications resulting from publicly funded research should, as a matter of principle, be in open access mode and that data from publicly funded research should be available, for reuse, free of charge, on the internet. Furthermore, 83% called for policy formulation at the EU level. Therefore, in July 2012 the European Commission adopted a policy package containing a series of measures to improve access to scientific information produced in Europe: 

Firstly, the Communication “A Reinforced European Research Area Partnership for Excellence and Growth”9 and the joint agreements with some of the biggest research stakeholder organisations aiming at completing the European Research Area and optimising the circulation, access to and transfer of scientific knowledge.

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Secondly, the Communication, “Towards better access to scientific information”10, which set out the action that the Commission intended to take with stakeholders and Member States to improve access to scientific information and to boost the benefits of public investment in research.

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Thirdly, a Recommendation to European Union Member States 11 calling for improved policies and practices on open access to scientific publications and research data, preservation and re-use of scientific information.

Follow up activities in the ERA have focused primariliy on three groups of actors: (i) Member States, (ii) Stakeholder Organisations and (iii) the European Commission itself. Member States are putting strategies in place regarding access and dissemination, but their approaches vary considerably, with the recent ERA progress report noting ""gradual yet visible" progress12. Therefore, Member States were asked to nominate a national Point of Reference to faciliate exchange of information and enable mutural learning. The EC will continue to follow up on this actvity and organise a first meeting of the National Points of Reference for exchange of lessons learned and best practice. As for Stakeholder Organisations, there is significant interest in the subject and a variety of events have been organised by the community itself in a "bottom up" fashion (the Commission has participated and contributed to many of those, for instance the LERU

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COM(2012)392) COM(2012)401 11 Commission Recommendation on access to and preservation of scientific information (C(2012)4890). 10

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http://ec.europa.eu/research/era/progressreport2013_en.html 5

Conference of 2012, the Nordforsk Open Data Workshop, a COST workshop, and the Science Europe ERA Europe High Level Workshop). Open access is also one of the topics for regular discussion in the ERA High Level Stakeholder Platform and the associated doers network. . Since 2008 the European Commission has been running the Open Access Pilot in FP7 (with the adoption of the ‘green’ model), which concerns peer-reviewed scientific publications from research funded in seven themes of the cooperation programme.13 It is implemented in the Grant Agreement through the Special Clause 39, which asks grantees to make their 'best effort' to provide open access to peer-reviewed publications with embargo periods of 6 to 12 months. Open access publication costs (where the ‘gold’ model is used) are eligible in FP7 during the length of the grant agreement as part of the total grant. Open access to scientific research data is not addressed in FP7 (except for ERC Guidelines, which address open access to primary data). The e-Infrastructure project OpenAIRE14 (Open Access Infrastructure for Research in Europe) provides technical support to the Pilot and is a useful source of statistical information. The Commission will continue to

lead by example and will implement open access in

Horizon 2020: open access to scientific publications will be anchored as an underlying principle in the Regulation and the Rules of Participation and consequently implemented through relevant provisions in the grant agreement. As is the case in FP7, Horizon 2020 will include both 'Green' and 'Gold' open access measures. The Commission will also continue to fund relevant open access projects (research, coordination and support) and infrastructure support. As for open access to scientific data, the Commission will launch a limited pilot. However, data related to privacy, trade secrets, national security, legitimate commercial interests and intellectual property rights shall not be requested in open access mode. Daniel Spichtinger Policy Officer Open Access, DG Research & Innovation, European Commission

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Energy, environment, health, part of ICT (cognitive systems, interaction & robotics), einfrastructures, Science in Society and Socioeconomic Sciences and Humanities 14 www.openaire.eu 6

Further information The Commission provides updated information and background documentation on its website.15

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ABOUT THE EUROPEAN IPR HELPDESK The European IPR Helpdesk is the official IP service initiative of the European Commission providing free-of-charge, professional first-line advice and information on Intellectual Property (IP) and Intellectual Property Rights (IPR). The service targets researchers and European Small and Mediumsized Enterprises (SMEs) participating in EU-funded collaborative research projects, but also addresses SMEs involved in international technology transfer processes. Whether you need personal assistance on a specific IPR issue, would like to be informed about latest developments in the world of IP and R&D in Europe, or are interested in training sessions on IPR – the European IPR Helpdesk is the right partner to turn to. Helpline The Helpline service is operated by a team of experienced IP experts. It offers tailored advice on individual IP & IPR questions, and provides written answers within three working days. The service also includes the revision of working papers, agreements or other documents regarding IPR matters (e.g. licensing or manufacturing agreements, joint ventures, consortia agreements etc.). Awareness Raising & Training The European IPR Helpdesk team participates in brokerage events or conferences to inform about its services, and organises individual IPR training sessions throughout Europe: either as in-house training or as web-based seminars, which participants can join conveniently from their own computers. Publications & Informative Material Various publications such as guides, fact sheets or case studies provide useful information and practical guidance on how to tackle IP issues in business or during an EU-funded collaborative research project. All documents can be found at the online library on the European IPR Helpdesk website. In addition, a bi-weekly e-mail Newsletter, and a quarterly Bulletin make sure that you are kept up to date on the latest IP and IPR news. The team also provides informative material upon request, which can be distributed at events or during daily business interactions. Want to know more about the EU IPR Helpdesk? Please visit the European IPR Helpdesk website or get in touch directly with the Helpdesk team: Phone: +352 25 22 33 333 Fax: +352 25 22 33 334 Email: [email protected] For specific questions regarding training, please send an email to [email protected].

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