The session will start with questions like: why should research funders foster open access? What are the goals of switching to an open, transparent system for scholarly publishing? The German Research Foundation’s (DFG) researcher-oriented perspective on the ‘open’ paradigm and the Dutch Research Foundation’s (NWO) open access requirements will be depicted as national examples. Finally, the session will elaborate on recent international trends and developments regarding the need to better align policies, the attempts to invest already available resources for transitioning towards open access, and the growing awareness that a dedicated infrastructure is needed in order to implement any open access policy.

1. Open Access – the Funder Perspective
Ron Dekker (NWO), Johannes Fournier (DFG)

2. Contents
1. NWO
2. DFG
3. Science Europe
4. Global Research Council
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth2

3. Intro: Why would or should funders support OA?
1. Principle:
results op publicly funded research
should be publicly available
2. It‘s in the mission
e.g. NWO: our conviction is that scientific research contributes to our
prosperity and well-being and that it provides for our growing need for
knowledge: for facing societal challenges, for economic development and to
better understand ourselves and the world.
3. Maximise the results of the funded research
do not restrict sharing knowledge to peers only; valuable knowledge can be
utilised by researchers, businesses and civil society organisations
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth3

4. Open Access at NWO
1. NWO asks researchers
● to publish in a completely Open Access journal (Gold) or
● to deposit the article in a centrally managed, findable database of the university or
professional discipline (Green)
2. Researchers who have received NWO funding can apply to an incentive
funds for remuneration of the Gold APCs
3. Green route implies depositing the article in a so-called ‘trusted repository’
making this immediately accessible.
● NWO considers all repositories included in the Directory of Open Access
Repositories to be ‘trusted repositories’
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth4

5. Optimal Reuse of Research Data at NWO
Optimal Reuse of Research Data means that research results are available.
1. Others, primarily researchers, can then
• re-use the information and
• are able to verify the conclusions of their fellow researchers since they have access
to the underlying data.
2. NWO has started a data management pilot in preparation for its future policy
Open where possible, protected where needed
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth5

6. The DFG’s mission statement: the self-governing
The DFG
► serves all branches of science
and the humanities
► fosters scientific excellence through competition
► supports international cooperation
in research
► advises political and social decision-makers
► supports the transfer of knowledge between science
and industry
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth6
organisation for science and research in Germany
Research funding in 2014, awarded per
programme (in € m and %)
Individual grants
programme
835 (30.6%)
Research Centres
32 (1.2%)
Collaborative
Research Centres
594 (21.7%)
Priority Programmes
199 (7.3%)
Research Units
152 (5.6%)
Research Training Groups
172 (6.3%)
Infrastructure funding
172 (6.3%)
Prizes, other
58 (2,1%)
Excellence Initiative
516 (18.9%)

7. Amount of research funding* awarded by scientific discipline
for each calendar year 2011 to 2014 (in € m and %)
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth7
* Funding amounts refer to both new and ongoing projects in the individual grants and coordinated programmes that receive funding
in the year shown
318.3
(15.3%)
319.0
(15.5%)
316.3
(15.9%)
326.1
(16.2%)
808.1
(38.9%)
791.2
(38.6%)
774.0
(39.0%)
763.1
(38.5%)
498.8
(24.0%)
500.8
(24.4%)
477.4
(24.0%)
462.6
(23.3%)
451.9
(21.8%)
440.7
(21.5%)
419.3
(21.1%)
431.2
(21.7%)
0
100
200
300
400
500
600
700
800
900
1.000
2011 2012 2013 2014
Humanities and Social Sciences Life Sciences
Natural Sciences Engineering Sciences

8. ►Self-governance
● Policies need to be agreed upon by the DFG‘s Committees
● Support is more important than prescriptions
►Response Mode
● Promotion of open access where it leads to better research
● Open access needs to fulfil a function for the research activity
● Support of open access where a community articulates its need for open access
►Future-orientation
● Adress the basic conditions (e.g. financial, legal, structural) for enabling the open sharing and re-use of research
results
● Stimulate innovative developments in the information infrastructure
The Principles of DFG‘s Funding Philosophy
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in Interaction with Open Access

9. Self-Governance and Open Access
The DFG expects that research results are published
… if possible also in Open Access,
… via subject-based or institutional repositories (in
addition to the officially published article),
… via publishing through dedicated, renowned open
access journals,
… references to discipline-specific embargo periods
between 6 and 12 months.
(Source: DFG Guidelines for Use of Funds, p. 7)
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth
The DFG‘s Open Access Policy (2006)
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10. ►Notes that research data are essential for scientific work
►Calls on all applicants for DFG-project funding to
● describe how they ensure that data are made re-usable;
● make research data available as soon as possible;
● take care for the long-term archiving of research data.
►Points out how the DFG assists researchers by
● providing information on research data management;
● granting money to cover expenses for preparing data for future re-use.
►Appeals to scholarly and scientific societies to
● initiate discipline-specific conversations to develop data guidelines;
Self-Governance and Research Data
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth
DFG-Guidelines on Handling of Research Data (2015)
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11. ►DFG programme guidelines published in early 2014
►Motivated by rather recent developments in the
presentation of research results
● Digital, openly accessible, re-usable
● Texts, audiovisual material, research data – interconnected
● Formal and informal communication, social media
● Computer-based analyses on digital „corpora“
►Focused on Open Access to publications
►Targeted at (community-specific) projects on producing,
using and disseminating openly accessible „publications“
Response Mode and Open Access
Infrastructure for Electronic Publications and Science Communication
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12. Response Mode and Research Data
►Establishment of a new funding opportunity (2011)
►Development of standards and concepts for research data management
►Establishment of supra-regional, discipline-specific research data
respositories
● In accordance with communities‘ needs;
● Compatible with international infrastructures;
● In cooperation of researchers and information infrastructure.
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Information Infrastructures for Research Data

13. ►Design the transition from the reader-pays to a producer-pays model
● Money which is already in the system should pay for open access
● Shifting of budgets can be initiated with additional money
● Permanent, reliable infrastructure to deal with APCs as objective
►Establish Open Access Publication Funds
● Only universities as institutions are eligible
● APCs must not exceed 2.000 €
● No funds to cover APCs for hybrid open access
● Since 2009, grants awarded to more than 32 universities
Future Orientation and Open Access
R. Dekker / J. Fournier: Funder Perspective on Open Access
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The Funding Programme Open Access Publishing

14. Future Orientation and Open Access
►Archiving Rights in so-called „Alliance Licenses“
● Permission to deposit articles from licensed journals
● Granted to authors and their respective institutions
● Publisher’s format, maximal embargo of one year
● Repository of author’s or institution’s choice
►Right for Self-Archiving in German Copyright Law
● §38,4 UrhG became law on January 1st, 2014
● Entitles, yet does not oblige authors to self-archive
● Granted even after exclusive copyright transfer
● Numerous specific limitations will impede the law‘s application
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Adress Copyright Issues

15. Future Orientation and Open Access
►Aims at ensuring the legitimate re-use of research results by third parties
►Recommendation to make clear explicitly what readers and users are
allowed to do with open available research information – by using explicit
licenses
►Refers to Creative Commons licenses as standard
►Differentiates according to various research outputs
● Text publications (journal articles, books, edited volumes)
● Research data
● Software
● Metadata
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Appeal to Make Use of Open Licenses

16. The Importance of International Cooperation
R. Dekker / J. Fournier: Funder Perspective on Open Access
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Open Access at Science Europe
Taken from
http://www.scienceeurope.org/uploads/PublicDo
cumentsAndSpeeches/WGs_docs/SE_POA_Po
s_Statement_WEB_FINAL_20150617.pdf
Principles on the Transition to Open Access to
Research Publications
Require that funding of Open Access publication
fees is part of a transparent cost structure,
incorporating a clear picture of publishers’ service
costs (principle number 7).
Science Europe, April 2013

17. “Minimum expected services from publishers, which are applicable when providing payments /
subsidies for open access”
►Indexing
Journal is listed in standard databases like PMC, DOAJ, Web of Science
►Copyright and Re-use
Copyright remains with authors; publication with open licenses, preferably CC-BY
►Sustainable Archiving
Deposit of copy by publisher in third-party repository; persistent accessibility
►Machine Readability
Required for full text, metadata, supporting data, and open access status information
(Principles adopted by Science Europe in May 2015)
SE Principles on Open Access Publisher Services
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18. ►Add open access requirements to subscription costs,
yet be aware of the problematic nature of any „big deals“ which are easily perpetuated
►Accelerate the transition through offsetting,
yet be aware that it is not only about money, yet about publication services
►Capture key data and contribute to increasing transparency,
yet be aware of the many funding streams towards OA to possibly pool resources.
►Explore novel approaches towards OA platforms,
● yet take into account what kind of publication services authors ask for.
SE Briefing on Current Trends in OA Business Models
R. Dekker / J. Fournier: Funder Perspective on Open Access
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19. The Global Research Council
Action Plan towards Open Access
►Encouragement of open access to increase research council’s return of
investment
►Education of researchers regarding the importance, the benefits, and the
various approaches towards open access
►Provision of support for grantees through open access policies, through
addressing copyright, or through dedicated open access funding
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Principles for Transitioning towards Open Access

20. Open Access at the Global Research Council
►Review of Implementation of the GRC „Action Plan
towards Open Access“ (May 2014)
● Revisions of actual policies go for stronger mandates
● Willingness to (more precisely) measure the outcomes of
open access policies
● Concerns and issues with regard to APCs
►Clear tendency to open access monographs and
research data besides journal articles
►Growing awareness that open access is not only a
matter of business models, yet of an entire, dedicated
infrastructure
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth20
Taken from the Review of Implementation of
the GRC Action Plan

21. Open Access at the Global Research Council
1. Funders, clearly articulate your
targets and set a clear time path for a
transition worldwide, e.g. “OA for 94%
of the journals by January 1, 2020”.
2. Research Funding Organisations and
Research Performing Organisations,
incl. libraries, stand united in the
transition to full OA.
3. Funders, please do share and
promote good practices on a global
level, do share information, make your
policies known worldwide.
R. Dekker / J. Fournier: Funder Perspective on Open Access
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Workshop 21-22 March 2016 in The Hague NL

22. Open Access at the Global Research Council
4. Funders and other stakeholders,
please do support sustainable, linked
infrastructures
5. Publishers, provide clarity on pricing
for your products, incl. APC’s
6. Funders, be committed towards a
general direction of Open Access, yet
act prudently when implementing it
but do not use this as an excuse for
leaning back or delaying the matter.
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bornemouth22
Workshop 21-22 March 2016 in The Hague NL

23. Open Access at the Global Research Council
Funders should take the lead to drive the
change, to get people to appreciate and
work on Open Access.
It is crucial to do this together with the
universities.
Do not pursue a ‘one size fits all’
approach over countries and over
disciplines (cultural and financial)
Do not take ‘iconic’ journals as the
standards for scholarly publishing
R. Dekker / J. Fournier: Funder Perspective on Open Access
UKSG Conference 2016, Bournemouth23
Workshop 21-22 March 2016 in The Hague NL

24. NL Presidency of the European Council
Two important pan-European goals for 2020:
1. Full open access for all scientific publications
2. A fundamentally new approach towards optimal reuse
of research data
Flanking policy
3. New assessment, reward and evaluation systems
4. Alignment of policies and exchange of best practices
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Focus on Open Science

25. NL Presidency of the European Council
Twelve Action Lines:
Removing barriers to open science
1. Change assessment, evaluation and reward systems in science
2. Facilitate text and data mining of content
3. Improve insight into IPR and issues such as privacy
4. Create transparency on the costs and conditions of academic communication
Developing research infrastructures
5. Introduce FAIR and secure data principles
6. Set up common e-infrastructures
R. Dekker / J. Fournier: Funder Perspective on Open Access
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Focus on Open Science

26. NL Presidency of the European Council (2)
Fostering and creating incentives for open science
7. Adopt open access principles
8. Stimulate new publishing models for knowledge transfer
9. Stimulate evidence-based research on innovations in open science
Mainstreaming and further promoting open science policies
10. Develop, implement, monitor and refine open access plans
Stimulating and embedding open science in science and society
11. Involve researchers and new users in open science
12. Encourage stakeholders to share expertise and information on open science
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Focus on Open Science

27. Thank you for your attention!
More information
► on the DFG: http://www.dfg.de
► on the DFG‘s funding atlas: http://www.dfg.de/foerderatlas
► on all DFG-funded projects: http://www.dfg.de/gepris
► on all German research institutes: http://research-explorer.de
► on NWO: http://www.nwo.nl/en
► on Open Access in The Netherlands http://www.openaccess.nl/en
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