Open Data and Open Science Policies in Europe - Analysis - v2 - …€¦ · Open Data and Open...

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AnAnalysisofOpenDataandOpenSciencePoliciesinEurope,v2.0(December2017)TABLEOFCONTENTS1. Introduction..................................................................................................................................................22. Executivesummary.......................................................................................................................................33. Overview.......................................................................................................................................................4

Overviewtable:Statusofnationalpolicies.......................................................................................................54. Statebystate................................................................................................................................................7

4.1 Summary.............................................................................................................................................7Overviewtable:countrieswithnationalpoliciesinplace.................................................................................74.2 Memberstateswithexistingnationalpolicies(10/28).......................................................................9

BELGIUM(BE)...............................................................................................................................................9CYPRUS(CY)................................................................................................................................................10DENMARK(DK)...........................................................................................................................................10FINLAND(FI)................................................................................................................................................11FRANCE(FR)................................................................................................................................................11GERMANY(DE)............................................................................................................................................12LITHUANIA(LT)...........................................................................................................................................13NETHERLANDS(NL).....................................................................................................................................14PORTUGAL(PT)...........................................................................................................................................14UNITEDKINGDOM(UK)..............................................................................................................................15

4.3 Memberstateswithnonationalpolicybutwhichareactiveinthisspace(12/28).........................15AUSTRIA(AT)..............................................................................................................................................16BULGARIA(BG)...........................................................................................................................................16CROATIA(HR)..............................................................................................................................................16CZECHREPUBLIC(CZ)..................................................................................................................................16ESTONIA(EE)...............................................................................................................................................16HUNGARY(HU)...........................................................................................................................................17IRELAND(IE)................................................................................................................................................17ITALY(IT).....................................................................................................................................................17POLAND(PL)...............................................................................................................................................18SLOVENIA(SI)..............................................................................................................................................19SPAIN(ES)...................................................................................................................................................19SWEDEN(SE)...............................................................................................................................................19

4.4 Memberstateswithnopolicyoractivity(6/28)...............................................................................194.5 Selectednon-EUcountries................................................................................................................20

ICELAND(IS)................................................................................................................................................20NORWAY(NO)............................................................................................................................................20SERBIA(RS).................................................................................................................................................20SWITZERLAND(CH).....................................................................................................................................20

5. Analysis/comparisonofexistingpolicies....................................................................................................216. Acknowledgements....................................................................................................................................23

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1. IntroductionTheDCCmaintainsawatchingbriefonfunderdatapolicies,andsince2016wehavebeencollaboratingwithSPARCEuropetoextendourcoveragetomakeitmorecomprehensiveatEuropeanlevel,andtocoveropenresearchpracticemoregenerally.Whilesomestudieshavebeendoneinthisarea,allareeitheroutofdateorconcentrateonopenaccesspublicationsoropengovernmentdataratherthanopenresearchdata.Themostrecentknownanalysisdatesfrom2013,andwhilethisisarelativelyshortperiodtheinterveningperiodhasbeenoneofconsiderablechangeinresearchdatapolicy.

Thisdocumentisthesecondoutputofourcollaboration,thefirstbeingourSnapshotofOpenDataandOpenSciencePolicies.ThisanalysisgoesmoreintodepthonthetypesofpolicyinplaceinEurope,theirprocessesofcreation,andsomeoftheirspecifics.ThisupdatedversionofthedeeperanalysisreflectschangesthathavebeenidentifiedbetweenJuneandNovember2017.Weconcentrateonthetwenty-eightEUmemberstates,butwealsoconsiderrelevantcountriesfromtheEuropeanResearchArea,namelyIceland,NorwayandSwitzerland.AswiththefirstversionofthisAnalysis,forthisfirstrevisionweonceagainreachedouttotheEuropeanresearchcommunityandreceivedextremelyhelpfulcommentsandpointers,particularlywheredocumentsarenotcurrentlyavailableinEnglishorworkinprogresshasnotyetbeenpublicised.WeareparticularlygratefultotheOpenAIRENationalOpenAccessDesks(NOADs)fortheirhelpinidentifyingrelevantdocumentsandinitiatives.Specificacknowledgementsaregivenattheendofthedocument.Tosummarisechangessincethefirstversion,nonewpoliciesareknowntohavebeenreleasedintheperiodbetweenJuneandNovemberthisyear.However,newactivityaroundnationalapproachestoopendataandopensciencehasbeennotedinseveraladditionalcountriessuchastheCzechRepublic,HungaryandSerbia.Summaryofchangesfromv1:

- Czechentryupdated;- Estonianentryamended;- Hungarianentryupdated;- Irishentryupdated;- Lithuanianentryupdated;- Polishentryupdated;- Serbianentryadded;- Slovenianentryupdated;- Swissentryupdated;- Overviewtablesupdated;- Analysis/comparisonsectionupdated.

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2. ExecutivesummaryIthaslongbeenacceptedthatnationalenergiesaregenerallydedicatedtoimplementingOpenAccesstopublicationsbeforeattentionturnstoresearchdata,notleastbecauseofthepotentialpenaltiesfornon-compliancewithfundermandates,whicharerareinthedatarealm.Thisstudyfoundthat,insomecountries,researchdatahashadtowaitinlinebehindpublicsectordata,i.e.thatproducedbygovernmentdepartments(andoftenre-usedbyHEresearchers)asopposedtodatacreatedorcapturedbyresearchersinthefieldorthelaboratory.

TheEuropeanCommission’sOpenResearchDataPilotforHorizon2020iscitedinmultiplepolicydocumentsasadriverandinfluencingforceinthedevelopmentofnationalapproaches.Atthesametime,theimportanceofunderpinninginfrastructureisclear,andwhilesignificanteffortshavebeentakentodevelopapan-EUresearchdatamanagementinfrastructureviaprojectssuchasEUDAT,thereisnoconsensuspositionsharedwithin,lessstillacross,thememberstates.TheUKcaseexemplifiesthis,withasinglesetofoverarchingprinciplesguidingtheindividualfunders,butawidediversityofapproachesandlevelsofsupportatdomain/disciplinarylevel.SomeoftheRCUKcouncilsoperateorsponsordedicateddatacentres,whileothersleavethistotheresearchersandtheirinstitutions,ortothedisciplinarycommunityatlarge.Thisunderscoresthedifficultyinproducinga“one-size-fits-all”approachtoresearchdatamanagement,whetheratapolicyleveloratapractical/procedurallevel:theDanishandGermanpolicies,tonametwo,arequiteexplicitonthispoint.

Despitethedifficultiesinherentinattemptingtomakecomparisonsbetweenquitedifferenttypesofpolicydocument,theanalysismadesomeinterestingfindings.11ofthe28EuropeanUnionmemberstateshavenational,researchdata-relatedpoliciesinplace.IntheEuropeanResearchArea,twofurthernon-EUmembers(NorwayandSwitzerland)haveactivepolicies.Themajorityofthepolicieswelookedatareownedby,orheavilyinvolved,thenationalresearchfunders,andconsequentlythetypeofpolicythatweseemostoftenisthestandardfunderdatapolicy,layingoutexpectationsforgrantrecipients.Othertypesareavailable,rangingfromnationalplansorroadmapstocodesofethics,whitepapers,andevenlawspassedbynationalparliaments.Theyearsinwhichthepoliciescameintoeffectrangedfrom2009to2017,withapronouncedtendencytowardsmorerecentimplementation.Ofthethirteen,thereisroughlyanevensplit(ineachcase7vs6)betweencountrieswhereresearchdataiscoveredinthesamepolicyasOpenAccessorOpenScienceandthosewhereitisconsideredinisolation,andbetweencountrieswitha‘hard’(imperative)anda‘soft’(encouraging)approach.Formalapproachestomonitoringandcompliance,andindeedfairmechanismsforrewardandrecognition,seemrelativelylowontheprioritylist,althoughfourofthethirteenpoliciesdomakereferencetothese.

Wherepolicieshadbeeninplaceforareasonableperiodoftime,ouroriginalintentionwastosaysomethingabouttheirlevelsofuptakeandsuccess.Inpractice,noneofthepolicieswelookedatweremorethan7or8yearsold.Insomecases,thecurrentpoliciesstandas

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successorstopreviouspolicies;inothers,theyarethefirsttimethatanythinglikethishasbeenattemptedatanationallevel.Weexpecttorefreshthisreportatleasttwiceinthenexttwoyears,andwewillseektoidentifyevidenceofuptakeandengagementasandwhenitemerges.

Anotherpotentialareaforfurtherstudyisincodesofresearchethics.NumerousEuropeancountrieshavetheseinplace,oftenservingasaformofcommunity-deriveddefactopolicy.1Itmaybeworthfutureefforttolookattheseinmoredetail,particularlyascarryingoutcomparisonsbetweenthemwillbecomparinglikewithlike.Ontheotherhand,whilstcoveragemayvarybetweenthem,itseemsunlikelythattheirpositionsonspecificissueswouldvarygreatlyfromcountrytocountry,giventhegeneralscientificconsensusaboutthebenefitsofopenness.Whatdividesopinionnowislesswhetherornotopennessisagoodthing,butratherhowbesttoimplementit,whoseresponsibilityitshouldbe,andwhowillpay.

3. OverviewBypolicyherewemean“asetofideasoraplanofwhattodoinparticularsituationsthathasbeenagreedtoofficiallybyagroupofpeople,oranorganisation”(lightlyadaptedfromtheCambridgedictionarydefinition).Specifically,thismeansLawspassedbyParliament,nationalFunderPoliciesandResearchPlans/Roadmaps,Concordats/Agreementsbetweenmultipleinfluentialparties,andCodesofResearchPractice/Integrity/Ethics,etc.Manyofthedocumentsexaminedinthecourseofthisstudyarepitchedatahighlevel,withdetailaboutissuessuchasscopeandcompliancedevolvedtoindividualinstitutionsorfundingbodies,ortosupportingdocumentssuchasFAQs.Justasthereisno“one-size-fits-all”solutionforresearchdatamanagement(theneedsofasmall,specialistArtcollege,forexample,willbequitedifferentfromthoseofalarge,research-intensiveuniversity)thereisnosingleshapeandsizeof“aEuropeannationalRDMpolicydocument”.Howthesearearranged,andthelevelatwhichtheyarepitched,dependstoaconsiderabledegreeonseveralfactors,suchasexistingnationalinfrastructure,numberofpublicresearchfunders,numberofresearchorganisations,andthenationalculture–whichcanbedifficultforanoutsidertograsp.InsomecasesthedocumentsarenotyetavailableinEnglish,sowehaveusedourlocalcontactstobetterunderstandtheprocessofdevelopingthepolicies,theircurrentlevelofmaturityorengagement,andtheirpositionwithinthelargernationalandEuropeanpicture(s).

Wehavesoughttoidentifywherenationalopendatapoliciesarelinkedtootheragendas,suchasOpenAccessorOpenSciencemorebroadly.Naturally,inadditiontoaddressingthebenefitsofopenness,itshouldbesaidthatmanyofthesepoliciesarealsoexplicitaboutsituationswheredatashouldnotbeshared,forethical,commercialorsecurity-relatedreasons.

1Seeforexamplehttp://www.enrio.eu/codes-guidelines-3/national-codes

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Overviewtable:Statusofnationalpolicies

MEMBERSTATE/COUNTRY

EXISTINGPOLICY?(Y/N)2

IFNOEXISTINGPOLICY,ISTHEREWORKAFOOT?

WHATSORTOFWORK?

EUROPEANUNIONAT N Y PilotprogrammeonOpenDataBE Y - -BG N Y AcademicteamworkingonapolicyforOpenScienceand

OpenResearchDataHR N Y ResearchandInnovationInfrastructuresRoadmap

(undertheauspicesoftheMinistryofScience,EducationandSports)

CY Y - -CZ N Y NationalStrategyonOpenAccessToScientific

Information(2017-2020)released2017

DK Y - -EE N Y Recommendationsforthedevelopmentofanational

policyFI Y - -FR Y - -DE Y - -EL N N -HU N Y Jointcommitteeonopenscience,bringingtogether

representativesofvariousstakeholdergroups

IE N Y ‘Innovation2020’strategyundertheauspicesoftheDepartmentofJobs,EnterpriseandInnovation.

IT N Y Workinggroup(undertheauspicesoftheMinistryofResearchandEducation)

LV N N -LT Y - -LU N N -MT N N -NL Y - -PL N Y EncouragementwithinnationalOpenAccesspolicyPT Y - -RO N N -SK N N -SI N Y ActionplanonOpenAccess(currentlyawaiting

parliamentaryapproval)alsoaddressesdataES N Y DiscussionsatMinistrylevel

2Linkstothenationalpoliciesaregiveninthisdocument’spredecessor,ourSnapshotofOpenDataandOpenSciencePolicies

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MEMBERSTATE/COUNTRY

EXISTINGPOLICY?(Y/N)2

IFNOEXISTINGPOLICY,ISTHEREWORKAFOOT?

WHATSORTOFWORK?

SE N Y TheSwedishResearchCouncilhasproposedasetofnationalguidelinesforOA,withanintentiontocoverdataalso

UK Y - -NON-EUIS N Y AddressedwithintheMinistryofEducation,Scienceand

Culture’splanforIcelandicHE(2017-2012)NO Y - -RS N Y DraftpolicyatanadvancedstageCH Y - -

Table1–Statusofnationalpolicies

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4. Statebystate

4.1 Summary

Overviewtable:countrieswithnationalpoliciesinplace

MEMBERSTATE/COUNTRY

TYPEOFPOLICY(STATUTE,GOVERNMENTMINISTRY,FUNDERPOLICY)

YEARPOLICYCAMEINTOEFFECT

SPONSORINGORGANISATION(MINISTRY,FUNDER,ETC)

SCOPE/COVERAGEBEYONDDATA

LINKEDTOOA/OPENSCIENCEPOLICY?

SOFT/HARD3

COVERAGEOFSKILLSORTRAINING?

MONITORINGAND/ORCOMPLIANCE4

EU

BE CodeofEthics 2009LearnedSocieties,supportedbyFederalGovernment

Protocols No Hard No No

CYJointpolicyofGovernmentandFunder

2016Workinggroupinvolvinggovernmentministry,funderanduniversities

Publications Yes Soft No No

DK NationalPlan 2015

Steeringgroupinvolvinguniversities,librariesandnationalICTinfrastructureprovider

Software,protocols No Hard Yes No

FI NationalPlan 2014 MinistryPublications,tools,methodologies

Yes Hard Yes Yes

3Herewedefinea‘hard’policyasonethatemployslanguagesuchas“must”or“should”,asopposedtosoftpolicieswhichmoregentlyadviseorencourage.4Inthiscolumn,a“No”entrymeanseitherthatcomplianceisnotaddressedexplicitly,orisdevolvedtoalowerlevel.

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MEMBERSTATE/COUNTRY

TYPEOFPOLICY(STATUTE,GOVERNMENTMINISTRY,FUNDERPOLICY)

YEARPOLICYCAMEINTOEFFECT

SPONSORINGORGANISATION(MINISTRY,FUNDER,ETC)

SCOPE/COVERAGEBEYONDDATA

LINKEDTOOA/OPENSCIENCEPOLICY?

SOFT/HARD3

COVERAGEOFSKILLSORTRAINING?

MONITORINGAND/ORCOMPLIANCE4

FR Law 2016 ParliamentCoversdataalongsidemanyotherICTrelatedissues,includingOA

Yes Hard No No

DE FunderPolicy 2010 ResearchCouncil Software,methods No Hard No No

LT Law/FunderPolicy 2016 ResearchCouncil/Parliament Publications Yes Hard No Yes

NLNationalPlan/Concordat

2017 Ministry Publications Yes Soft Yes Yes

PT FunderPolicy 2014 ResearchCouncilSamples,software,models

No Soft No No

UKFunderPolicy/Concordat

2015/2016FundingCouncil,ResearchCouncils,Universities,PrivateFunder

Software(intheFAQsandConcordat)

No Hard Yes No

NON-EU

NO FunderPolicy 2014 ResearchCouncil Onlydata No Soft Yes No

CHWhitePaper(1)/FunderPolicy(2)

2014(1)/2017(2)

Universities(1)/NationalFunder(2)

CoversdataalongsidemanyotherICTrelatedissues,includingOA(1)

Yes(1)/No(2)

Hard(both)

Yes(1)/No(2)

Yes(both)

Table2–Countrieswithnationalpoliciesinplace

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4.2 Memberstateswithexistingnationalpolicies(10/28)BELGIUM(BE)PolicyspecificsPreservingandprovidingaccesstodatatoallowverificationofpublishedresearchisaddressedwithinthe“CodeofEthicsforScientificResearchinBelgium”,whichstatesthat“theprimarydataofaresearchprojectandtheprotocolsmustbekeptandmadeaccessibleduringadeterminedandsufficientperiodoftime.Whenpublications,especiallyreviewandsummaryarticles,donotcontainallthenecessarydataforverification,thedatashouldneverthelessbeavailable.”(p8.)TherationaleforRDMstemsfromtheneedforverifiabilityofresearchresults.

TheBelgianapproach,whichissimilarinsomewaystoEstonia’sStatementofPrinciples,wasledbytheLearnedSocietiesofBelgium,withthesupportoftheFederalGovernment,andcoversbothprimarydataandtheprotocolsandmethodsrequiredtoreplicatescholarlyfindings.ThedocumentdrawslegitimacyfromitsoriginswithintheBelgianlearnedsocieties,claimingthat:“Acodeofethicsoffersadvantagesinrelationtolegalorstatutorystandards.Indeed,itisimpossibletoelaboratepreciserulescoveringallcasesandcircumstances.Furthermore,acode,whichisbasedonthevaluessharedbyresearchers,hasagreatermorallegitimacythantherulesimposedtopdown.”

Itisnoteworthyforbeingthelongest-livedofthepoliciesconsideredinthisreport.Whilethisisa‘hard’policyintermsofitslanguage,thepolicyappealsmoretothescholar’ssenseofbeingpartofacommunitysharinghighstandardsthansomeother‘carrot-and-stick’typesapproaches.Thisisdemonstratedbytheprocessofitscreation,viatheLearnedSocieties.Skillsandtrainingareaddressedonlyinverygeneralterms,inthatresearchersmustbecomeskilledinalltechniquesnecessarytoconducttheirresearch,datamanagementbeingbutoneofthese.AdditionalinformationInadditiontotheCodeofEthics,“TheBrusselsDeclarationonOpenAccess”of2012(signedbythefederal,FlemishandBrussels-WalloniaScienceMinisters),commitsthesignatoriesto“investigatingpossibilitiesandnewopportunitiesinthebroadOpenAccessfield,allinfrequentcollaborationwithrelevantstakeholders,consideringOpenAccesstoscientificpublicationsaforerunnerofnewinitiativesinthe‘OpenData’and‘OpenScience’areas”.

Atasub-nationallevel,theFlemishresearchcouncil(FWO)hasintroduced“ResearchIntegrityProfiles”whichoutlinetherightsanddutiesofresearchers,supervisorsandtheirinstitutions,includingaresponsibilityto"securelyanddurablystore”researchdata.TheFWOiscurrentlyunderstoodtobeconsideringintroducingaDMPrequirementinlinewithotherresearchcouncilsinEurope,whichmayformpartofabroaderRDMpolicy.Furthermore,intheabsenceofhigher-levelresearchdatapolicies,individualresearch

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institutionshavealreadystartedadoptingordevelopingtheirownRDManddatasharingpolicies.CYPRUS(CY)TheCypriotnationalpolicyforOpenAccesswasdevelopedviaaworkinggroupincludinggovernment,nationalfunderanduniversities,andapprovedatGovernmentlevelin2016,although–aswiththePortugueseandNorwegianpolicies–itisimportanttonotethattheCypriotpolicyencourageswithoutmandating;theHorizon2020OpenDataPilotiscurrentlytheonly‘hard’mandategoverningHEresearchinCyprus.Thenationalpolicyhasalsobeenadoptedbythenationalfunder,theResearchPromotionFoundation(RPF),anduniversitiesareexpectedtofollowthenationalpolicy,butarealsofreetocreatetheirowninstitutionalpolicieswhichalignwithit.ThepolicycoversbothdataandOpenAccesspublications.Havingcomeintoeffectonlylastyear,thepolicy’sefficacyhasnotreceivedanyformalmonitoring,althoughthisexpectedtobeginwhenthefirstbatchoffundedprojectsbegintocomplete,althoughtheOpenAIRENOADinthecountryhasalreadyreportedcontactfromresearchersaskingforhelpinmeetingthepolicyexpectations:anencouragingsign,althoughobviouslyforalargercountry(Cyprushasapopulationof1.1M)suchanapproachwouldnotscale.5

DENMARK(DK)TheDanishGovernment’s2012paper“Denmark–anationofsolutions,Enhancedcooperationandimprovedframeworksforinnovationinenterprises.MinistryofScience,InnovationandHigherEducation”providesthecontextforrecentICTinnovationsinDanishHE.Followingthis,agroupcomprisingtheDanishRectors’College,theDanishe-InfrastructureCooperation(DeIC)andDenmark’sElectronicResearchLibraryestablishedaSteeringGroupforNationalDataManagement,whichpresentedastrategyondatamanagementin2015(inDanish.)Thisadvocatesastructured,holisticapproachtodatamanagement,datapreservationanddatainfrastructures,withabottom-upprocessbasedonstakeholdercollaboration.(Source:NordForsk(2016),“OpenAccesstoResearchData–Status,IssuesandOutlook”).ANationalForumforDataManagement(Danishlanguage)wasformedin2015,withrepresentativesfromtheDanishuniversitiesandnationallibrariesandasecretariatfromDeIC.Itsvisionis“topromoteacademicandresearchinitiativesinresearchdatamanagementwithinuniversities,andlinktheminanationalandinternationalcooperation.”

TheDanishpolicyemploystermssuchas“should”and“shall”,althoughpracticalimplementationandmonitoringaredevolvedtoindividualresearchorganisationsviatheirownpoliciesandprocedures.Thestrategy,beinganationalone,isquitewide-ranging,coveringbothdataandthesoftware/protocolsnecessarytore-runexperiments(although5ThepolicyiscurrentlyavailableonlyinGreek,althoughcolleaguesinCyprushaveofferedtoproduceanEnglishtranslationasaresultofthisstudy’sinterestintheCypriotnationalapproach.

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notpublications,whicharementionedonlyinpassing),notingalsotheneedtofosterresearchdatamanagementskills.Thestrategyisclearlytheproductofconsiderableliaisonacrossandbetweenstakeholdergroups,andissensitivetothedifferencesbetweenacademicdisciplinesintermsofhowresearchdatamanagementshouldbeorganisedinpractice.

Finally,thestrategynotestherelatednessofpolicyandsupportinginfrastructure,aswellasgivinganinsightintosomeofthebenchmarkingcarriedoutinitsproduction:

TheSwedishexperiencethatanationaltop-downpolicywithouttheprovisionofinfrastructureandsupportfunctionsandwithoutadaptationtoandinvolvementofresearchcommunitiesareactuallyineffective.Ontheotherhand,theAustralianexperienceshowsthataparallelandgradualbuildingoflocalandnationalpolicies,infrastructuresandsupportfunctionscoupledwithstrongcooperation-organizationandsignificantnationalfinancialsupport-areextremelyeffective.(ViaGoogleTranslate)6

FINLAND(FI)ThedevelopmentofFinland’s“OpenScienceandResearchRoadmap2014–2017”wasledbythegovernment’sMinistryofEducationandCulture,andsetsoutthepolicyframeworkforanationalapproach.Thedocumentisbothambitious–itsaimis“tomakeFinlandtheleadingcountryforopennessinscienceandresearchby2017,andfortheopportunitiesaffordedbyopensciencetobeextensivelyharnessedinFinnishsociety”–anditisconsequentlybroadinscope,coveringpublications,data,methodsandtools.ItislinkedtothenationalOpenAccessstrategy,andiscomplementedbyanOpenScienceHandbookandaDataManagementGuideforFinnishresearchers.

Thelanguageusedisrelativelyhard,usingtermssuchas“will”ratherthan“should”.Monitoringandcomplianceresponsibilitiesaredividedamongststakeholdergroups,andresponsibilityforskillsandtrainingisdelegatedtotheDoctoralTrainingCentres,placingitfirmlywithintheacademicdomain,andputtingtheemphasisonsharedbestpracticeasopposedtoatop-downmandate.TheRoadmapreferstoaforthcomingCertificateofOpenResearch,duein2017.FRANCE(FR)TheFrenchapproachis,togetherwithLithuania,themosthighlevelofall:the“LawforaDigitalRepublic”(Loin°2016-1321pouruneRépubliquenumérique,)passedbytheFrenchSenatein2016.DesignedbytheFrenchgovernmentasaframeworkforthedevelopmentoftheentirenationaldigitaleconomy,thisisalsothemostwide-rangingofallthepoliciesexaminedinthisstudy,coveringamultitudeofdigitalissues,includingbothOpenAccess

6https://www.deic.dk/sites/default/files/uploads/PDF/National%20Strategi%20for%20Forskningsdata%20Management%202015-2018.pdf

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publicationsandresearchdata.Article30ensuresthere-usabilityofopendataderivingfrompublicfunding:

WhendataresultfromaresearchactivityfundedforatleasthalfbytheState,localauthoritiesorpublicinstitutions,bynationalagenciesorbyEuropeanUniongrantarenotprotectedbyaspecificrightoraparticularregulationandhavebeenmadepublicbytheresearcher,theinstitutionortheresearchagency,theirreuseisfree.Thepublisherofascientificpublication[…]cannotlimitthereuseoftheresearchdatamadepublicinthepublication.7

TheFrenchlawisunlikemostoftheotherpoliciesinthatitfocusesonrights,ratherthanobligations,suchastherighttoaccessresearchdataandtherighttodepositpublicationsinanOpenAccessrepository.Inpracticalterms,itseemssomewhatobvioustosaythatimplementationandmonitoringwillnotbethedutyoftheFrenchparliamentbutratherdevolvedtoindividualresearchorganisationsandpublishers,althoughtheultimatearbiterofanydisputeswillbetheFrenchlegalsystem.Beingalaw,itisverymuchahardpolicy.Trainingisaddressedinasense,althoughassuchawide-rangingdocumentthisisnotspecificallyinthecontextofdata,butratherabouttheroleoftradeorganisationsindevelopingskills,whichcouldconceivablybeextrapolatedtoaLearnedSocieties/HEcontext.AdditionalinformationAsamemberoftheG8,togetherwithGermany,ItalyandtheUK,FranceispartytotheG8scienceministersstatement,madeinLondonon12June2013.8Thisstatement“proposestotheG8forconsiderationnewareasforcollaborationandagreementonglobalchallenges,globalresearchinfrastructure,openscientificresearchdata,andincreasingaccesstothepeer-reviewed,publishedresultsofscientificresearch.”GERMANY(DE)PolicyspecificsDFG(themainGermanresearchfunder)has“GuidelinesontheHandlingofResearchData,”whichalsopointtowardsasetof“PrinciplesfortheHandlingofResearchData,”developedinpartnershipbetweenanumberofhighprofileGermanresearchorganisationsandadoptedbytheAllianceofGermanScienceOrganisationsinJune2010.TheDFGpolicyfocusesonresearchdata,althoughitalsoaddressesthesoftwareandmethodsnecessaryforvalidationand/orreplication.Itisahardpolicy,anddoesnotexplicitlyaddressskillsortraining,butdoesmakereferencetothenecessityofnationalinfrastructurefunding,whichcouldbeseentocoverhumanaswellastechnicalinfrastructure.(Theaccompanying

7https://blogs.openaire.eu/?p=16028G8ScienceMinistersStatement(2013),URL:https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/206801/G8_Science_Meeting_Statement_12_June_2013.pdf

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Principlesdocument,ananalogueofwhichtheUKalsousesinitsFAQs,doesaddressskillsexplicitly.)

AswiththeDutchapproach,theGermanpolicyemphasisestheneedtoformallyrecognisetheeffortandtimerequiredfordatamanagement:

Thecommitmentandeffortsofresearcherstomakeresearchdataavailable,forexamplethesubject-specificfurtherdevelopmentofthediscussionprocessorthetechnicalpossibilitiesofarchiving,evaluatingandnetworkingresearchdatashouldbegivengreateremphasisintheappraisalofscientificqualificationsandachievements.

AdditionalinformationIn2016theHelmholtzAssociation,aunionof18Germanscientific-technicalandbiological-medicalresearchCentres,adoptedapositionpaperonthemanagementofresearchdata.Thisincludesacommitmentto“storeresearchdatafromtheCentreswithinsuitabledatainfrastructuresandmakethemavailableopenlyandfreeofchargeforsubsequentusebyscienceandsociety.”9

AsamemberoftheG8,togetherwithFrance,ItalyandtheUK,GermanyispartytotheG8scienceministersstatement,madeinLondonon12June2013.10Thisstatement“proposestotheG8forconsiderationnewareasforcollaborationandagreementonglobalchallenges,globalresearchinfrastructure,openscientificresearchdata,andincreasingaccesstothepeer-reviewed,publishedresultsofscientificresearch.”LITHUANIA(LT)PolicyspecificsAlthoughLithuaniahasaLawonHigherEducationandResearch(2009,revised2015and2016)whichcoversOpenAccessandresearchdata,stipulatingthat“theresultsofallresearchworkscarriedoutinstatehighereducationandresearchinstitutionsmustbecommunicatedtothepublic,”inpracticethemorerelevantpolicydocumentistheResearchCouncilofLithuania’s“GuidelinesonOpenAccesstoScientificPublicationsandData”(2016).Theseguidelineslikewisecoverbothpublicationsanddata.Skillsarenotaddressed,butresponsibilitiesforvariousaspectsofOpenAccessandOpenDataarecoveredindetail,indeedinmoreexplicitdetailthanmostoftheothernationalpolicies.AswithFrance,theonlyotherEUcountryknowntohaveenshrinedOAandresearchdatainlaw,thefocusismoreonrightsthanonobligations,andtheinferenceisthatuniversitieswillberesponsiblefordevelopingtheirownpolicies,procedures,guidanceandmonitoringsystems.9Thisarticledescribesthecurrentstateofplayandtheneedfornationalinitiatives:https://www.hrk.de/themen/forschung/forschungsdaten-management/(inGerman)10G8ScienceMinistersStatement(2013),op.cit.

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AdditionalinformationSomeresearchinstitutionsinLithuania,includingKaunasUniversityofTechnology,areunderstoodtohaveadoptedinstitutionalpoliciesalignedwiththeResearchCouncilguidelines,theHorizon2020OpenAccessMandateandOpenResearchDataPilot,andtheGuidelinesonDataManagementinHorizon2020.11

NETHERLANDS(NL)Opendataisaddressedwithinthe“NationaalPlanOpenScience”whichdealswithdataaswellasotherresearchoutputs.ThereisalsoaNationalCoordinationPointforResearchDataManagement.TheNationalPlanissponsoredbythegovernment’sMinistryofEducation,CultureandScience,andcoversOApublicationsanddataindetail.Mentionisalsomadeofother“Open”components,suchassoftwareandmethods,butthesearedeferred/devolvedtotheNationalPlatformforOpenScience.)Thisisarelativelysoftpolicy,speakingofambitionsratherthanrequirements,andaddressesboththeneedforevaluation/monitoringapproaches,andalso–encouragingly–incentivesandrewardsforengagementandeffort.PORTUGAL(PT)PolicyspecificsFCT(thenationalresearchfunder)hasapolicyonmanagementandsharingofdataandotherresultsarisingfromFCT-fundedresearch,butinpracticethisisageneral,aspirationalcallforresearcherstosharetheirdata,andnotamandatorypolicy.Thepolicydocumentisbrief,atundertwopagesinlength,andverymuchonthesoft(suggestandencourage)endofthescale.It“encouragesresearcherstomakeavailablethedataresultingfromR&DprojectsitfinancesinappropriateOpenAccessdatabases,wherepossible,”withscopeforoptingoutifthenatureofthedatadoesnotlenditselftoopensharing.Thefocusisonsharingdata(andotherresearchoutputs,suchassamplesandsoftwaremodels)“withotherresearchers.”[ouritalics]

Thepolicysuggeststhatadatamanagementplanshouldbeproduced,proposingabasictemplate/tableofcontents,andthatbestpracticebefollowedforwhicheverscientificdisciplinetheresearchsitsclosestto.TheonlymandatoryelementofthepolicyisthatFCTmustbecreditedasafunderofanydatasetmadeopenlyavailable.Skillsarenotaddressedinthedocument,and–giventhesoft,aspirationalapproach–complianceisnotcoveredeither,butthedocumentisclearthatthepolicywillcontinuetobedevelopedinorderto“convergewithinternationalbestpractices,inparticularwiththeinitiativesofthisdomainthatmaybeestablishedwithintheEuropeanUnion.”

11Furtherinformationisavailableintheblogpostathttp://www.eifl.net/news/kaunas-university-technology-adopts-oa-policy.

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AdditionalinformationThePortugueseMinistryofSciencehasestablishedanExpertGrouponnationalOpenSciencePolicy.Thegroupisproducingrecommendationsthatwillincluderecommendationsonopenresearchdatapolicies.Atthesametimetherearediscussionsunderwayforconcretenationalinitiatives,bothattheinfrastructurelevelandatcapacitybuildingandtraininglevels.Furthermore,aconsortiumoftheUniversityofMinho,theMinistryofScienceandFCThaveorganisedperiodicResearchDataManagementForumeventstohelpimprovecommunicationandunderstandingbetweenresearchandgovernment.UNITEDKINGDOM(UK)12PolicyspecificsTheUKapproachismultilevel,comprisingaconcordat,asetofcommonprinciples,andindividualresearchfunderpolicies.Thehighestlevelofthese,the“ConcordatonOpenResearchData”(2016)issignedbythe(non-research)HEfundingcouncil(HEFCE),theumbrellagrouprepresentingthesevennationalresearchfunders(RCUK),theumbrellagrouprepresentingc.135ofthec.1964UKuniversities(UniversitiesUK),andonelargeandinfluentialprivatefunder(theWellcomeTrust).

The“RCUKCommonPrinciplesonDataPolicy”,publishedin2011andlastrevisedin2015,applytothesevendomain-alignedpublicresearchcouncils,andserveasafoundationfortheirindividualapproaches,whichvaryconsiderablyintermsofimplementationandsupportinginfrastructure.Thedocuments’coverageislargelyfocusedonresearchdata,althoughtheFAQswhichaccompanythecommonprinciplesdoalsomentionsoftware.NeithertheconcordatnorthecommonprinciplesmakesanexplicitlinkbetweenOpenAccesstopublicationsanddata,althoughtheintroductiontotheConcordatsituatesdataas“thenextstep[followingOA]inachievingtheUK’sopenscienceambitions.”AdditionalinformationAsamemberoftheG8,togetherwithFrance,GermanyandItaly,theUKispartytotheG8scienceministersstatement,madeinLondonon12June2013.13Thisstatement“proposestotheG8forconsiderationnewareasforcollaborationandagreementonglobalchallenges,globalresearchinfrastructure,openscientificresearchdata,andincreasingaccesstothepeer-reviewed,publishedresultsofscientificresearch.”4.3 Memberstateswithnonationalpolicybutwhichareactiveinthisspace(12/28)TwelvefurtherEUstatesdonotyethaveactivepoliciesinplace,butareknowntobedevelopingnationalapproaches.

12TheUnitedKingdomisexpectedtoleavetheEuropeanUnioninMarch2019.13G8ScienceMinistersStatement(2013),op.cit.

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AUSTRIA(AT)Austriahasnonationalpoliciesatpresent,buttheAustrianScienceFund(FWF)includesOpenDataonitsroadmapofOpenSciencepolicies(mid-term)andcurrentlyhasacalloutforapilotprogrammeonOpenData.BULGARIA(BG)AccordingtotheMinistryofEducationandScienceofBulgaria,anacademicteamisworkingonapolicyforopenscienceandopenresearchdata,andeventshavebeenheldtoformulateanationalapproach(e.g.atSofiaTechparkin2015,andoneintheBulgarianAcademyofSciencesin2016),butthereareatpresentnoactivenationalpoliciesgoverningresearchdatainBulgaria,andlittleinformationispubliclyavailableregardingtheworkthatisinprogress.CROATIA(HR)Nonationalpolicyisyetinplace,butthereismuchon-goingworkinthisarea.Nationalpoliciesonaccessandpreservationofscientificinformation(bothpublicationsanddata)areundertheresponsibilityoftheMinistryofScience,EducationandSports.TheMinistrystronglysupportsopenaccesstoscientificinformationtoprovidemaximumimpactfromtheresearchtheysupport.TheCroatian“ResearchandInnovationInfrastructuresRoadmap2014-2020”addressesthepromotionofopenaccesstoresearchdata,“especiallydatafundedfrompublicsources.”(Seep.8,paragraphsgtoj.)CZECHREPUBLIC(CZ)ANationalStrategyonOpenAccessToScientificInformation(2017-2020)wasreleasedin2017,whichcoversbothresearchpublicationsandresearchdata.ThisdocumentoriginatesfromtheofficeoftheDeputyPrimeMinisterandispitchedatquiteahighlevel.ThenextstepisexpectedtobeamoredetailedActionPlan.ESTONIA(EE) ResponsibilityforresearchdatalieswiththeEstonianResearchCouncil,whohostawebpagededicatedtoit(availableinbothEstonianandEnglish).Theirreport“OpenScienceinEstonia-OpenScienceExpertGroupoftheEstonianResearchCouncil,PrinciplesandRecommendationsforDevelopingNationalPolicy”outlinesthecurrentstateofplay.Theexpertcommitteebehindthisreportcompriserepresentativesofgovernmentministries,Estonianuniversitiesandthenationallibrary,sohereagainweseeanexampleofacollaborative,consultativeandcollegiateapproach.

Thedocumentiswide-rangingintermsofitsscope,coveringpublications,data,codeandmethodologies,andaddressestherelationshipbetweendataandOApublications.Itisnotamandateassuch,butratherlaysoutaseriesof(fairlystronglyworded)recommendations

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foranationalpolicy.Skillsareexplicitlyaddressed,withresponsibilityfordevelopingresearcherabilitiesandunderstandingplacedatthedooroftheresearchlibraries.AsintheDanishcase,monitoringandcomplianceareexpectedtobedevolvedtoindividualinstitutions’policydocuments.Inpracticalterms,RDMinEstoniaremainsaworkinprogress.Mostresearchprojectswilldeposittheiroutput,includingdata,withinternationalpublishersandthird-partyserviceproviders.Universitylibraries–suchasTartuandTallinn-havejoinedtheDataCiteconsortiumandoffer(orarebeginningtooffer)dataarchivingservices.SomeresearchcentresarealsomembersofCLARINandDARIAH,andthenationaldataarchiveforsocialsciencedata(ESTA)isaCESSDAmember.HUNGARY(HU)Nopolicyisyetinplace,butfirststepsarebeingtakeninAutumn2017,withtheformationofajointcommitteeonopensciencebe.Thecommittee’sfirstmeetingwasscheduledtobeheldon31October2017,withanationalworkshoponopensciencefollowingsoonafteron7November,includingaround-tablediscussionwithdifferentstakeholders.IRELAND(IE)Thereisnomandatorypolicyasyetatgovernmentorresearchcouncillevel,althoughtheintroductionoftheEC’sHorizon2020DataManagementGuidelineshaveinfluencedamovetowardsanationalopenresearchpolicy.Thisiscoveredaspartofthe“Innovation2020”strategy(2015)oftheIrishGovernmentDepartmentofJobs,EnterpriseandInnovation,undertheActionentitled“SupportnationalandEuropeanopenaccesspoliciesandprinciples.”TheEPA(EnvironmentalProtectionAgency)isthesoleIrishfunderrequiringdatadepositfromprojectswhichtheyfund.“AllsignificantdatasetsproducedduringtheresearchprojectmustbesubmittedtotheEPAattheendoftheprojectforarchivingintheEPAResearchDataArchive.Someotherfunders’OApublicationspoliciesalsomentionarchivingdatawherepossible,andafewHEIs,includingTrinityCollegeDublinandUniversityCollegeCork,haveintroducedRDMpolicies.14ITALY(IT)Thereisnoknownnationalpolicyasyet,buttherehavebeenannouncementsaboutanationalpolicyonOpenScienceandresearchdatafromtheMinistryofResearchandEducation.ArecentreportfromtheMinistry(June2016)makesreferencetoit:

14Inadistantbutstillnoteworthyinitiative,theIrishgovernment’sGovernmentReformUnithasrecentlypublishedits“OpenDataStrategy2017–2022”whichnotesanintentionto“ExplorethepossibilitytobroadentheinitiativetoincludeOpenResearchData,inlinewiththerequirementsoftheHorizon2020researchprogrammes,andwithemergingpolicyinIrishresearchfundingbodies.Whereresearchispublicly-funded,maketheresearchfindingsavailableinOpenDataformats.”Thisexploratoryworkisanticipatedtobeginin2021.

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ThecurrentItalianNationalResearchProgramaimstoencouragethedevelopmentanddisseminationofOpenScienceandBigData[.]Theplanistoadoptanationalpolicyonthedeposit,openaccessandthereuseofproductsandresearchdata,inconsiderationalsoofbigdata.Inthisregard,aworkinggroupwillbesetuptodefineandproposeshortstrategies,guidelines,implementationplansandsharedtoolsatinter-institutionallevel,Europeanandinternationallevel[.](Translatedfromp.74.)

TheConferenceofRectorsofItalianUniversities,CRUI,hasaWorkingGrouponOpenAccess,whichisplanningtotakeactioninthisarea.Atthesametime,severalindividualuniversitiesandresearchcentresarecreatingtheirownpoliciestomanageresearchdataandprovidesupporttoresearchers;someresearchcentreshaveconsolidatedexperienceinresearchdatamanagementintheirownspecificsdomains.Asmallworkinggroup(comprisingIT,librariansandresearchadministratorsfromfiveItalianuniversities)hasproducedtemplatesforinstitutionalresearchdatapolicy,togetherwithimplementationguidelines.InrecentyearsseveralRDMworkshopshavebeenorganisedundertheauspicesofOpenAIRE,RDAandtheItalianAssociationforthePromotionofOpenScience,butthelackofasingle,centralbodytocoordinatetheseeffortshasbeennoted.

Furthermore,asamemberoftheG8,togetherwithFrance,GermanyandtheUK,ItalyispartytotheG8scienceministersstatement,madeinLondonon12June2013.15Thisstatement“proposestotheG8forconsiderationnewareasforcollaborationandagreementonglobalchallenges,globalresearchinfrastructure,openscientificresearchdata,andincreasingaccesstothepeer-reviewed,publishedresultsofscientificresearch.”POLAND(PL)ThenationalOpenAccesspolicyinPoland,“DirectionsofthedevelopmentofopenaccesstoresearchpublicationsandresearchresultsinPoland”(2015),addressesdatabriefly,inasingleparagraphstatingthat,inlinewithECrecommendations,OpenAccessshouldalsobeextendedtoresearchdata,andrecommendsthatresearchinstitutionsandindividualresearchersshouldopenresearchdatatakingintoconsiderationworldtrendsandbestpractices.Theserecommendationsarenon-binding.

Inparallel,thePolishMinistryofScienceandHigherEducationhasalsoundertakento:

- Analysehowdataareprocessed,preserved,curatedandsharedinthePolishresearchenvironment;

- Identifybestpractices,strategiesandpoliciesforOpenDataworldwide;- Consultwithkeystakeholderstoidentifynoteworthydifferencesbetweenspecific

disciplines.16

15G8ScienceMinistersStatement(2013),op.cit.16Furtherinformationisavailableintheblogpostathttps://blogs.openaire.eu/?p=877

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SLOVENIA(SI)Therearecurrentlynodedicatedpoliciesondatamanagementorsharing,butapilotisplannedforthenearfuture,andanactionplanonopenaccessisintheprocessofbeingacceptedbythenationalparliament.TheSloveniangovernmenthasanofficialpolicyonOpenAccess,whichcontainsachapteronanopendatapilot,moreorlessinlinewiththeEUH2020pilot.ItcontainsarequirementforOpenAccessbydefault,theproductionofadatamanagementplan,andrecommendationsaboutwheretostoredataforthelongterm.Thegovernmentstrategyistobefollowedbyanactionplan,whereinthenationalresearchagencywilladapttheregulationandspecifythescopeanddetailsoftheopendatapilot.Itisexpectedthatthecoverageoftheinfrastructurewillbebroadenedtoincludepreservationandaccessaswellasdatastorageandarchiving. SPAIN(ES)NopoliciesarecurrentlyinplaceforSpanishresearchdata,althoughdiscussionsarebeingundertakenatMinistrylevel.Furthermore,twoHEconsortia(“ConsorcioMadroño”inMadridandCSUCinCatalonia)havedevelopedRDMservicestosupporttheirresearchers.WorkiscurrentlyunderwaytocreateguidanceandpoliciesformemberinstitutionsbasedontheLEARNmodelpolicy.17 SWEDEN(SE)Whilenopoliciesareyetinplace,theSwedishResearchCouncilproposedasetofnationalguidelinesforopenaccesstoscientificinformationinJanuary2015.ThisproposalincludesasectiononGuidelinesforOpenAccesstopublications,andadescriptionofaprocesstowardsprovidingOpenAccessalsotoresearchdata.Theintentionisthatallresearchdata,producedinwholeorinpartthroughpublicfunding,shouldbemadeopenlyavailableassoonaspossible,withthedefaultresponsibilityforarchivingandpreservationofdatafallingontheshouldersoftheSwedishHEIs,withpathfinderworkcurrentlyunderwaycoordinatedbytheSwedishResearchCouncil,inasimilarwaytotheNationalLibrary’scoordinationofOpenAccessimplementation.(Source:NordForsk(2016),op.cit.)4.4 Memberstateswithnopolicyoractivity(6/28)ThoseEUmemberstateswhicharenotcoveredaboveareunderstoodtohavenonationalopenscienceoropendatapoliciesinplace,noranynationalactivitiesunderway,althoughthereareindividualresearchorganisationsinthesecountrieswhichareleadingthewaybysettingupinstitutionallevelworkinggroups,andbyorganisingandhostingsymposia.

17http://learn-rdm.eu/en/highlights-of-the-fifth-learn-workshop-in-barcelona/

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4.5 Selectednon-EUcountriesICELAND(IS)DiscussionsonOpenAccesstoresearchdatahaverecentlybeeninitiatedbothwithintheMinistryofEducation,ScienceandCultureandattheNationalandUniversityLibrary,andawarenessoftheimportanceofissuesrelatingtoopenaccesstodigitalresearchresults,especiallyforsmallercountries,isgrowing.TheMinistryiscurrentlydrawingupaplanforIcelandichighereducationandresearchfortheyears2017–2021,andtheimportanceofstructureddatamanagementandopenaccesstoresearchdataislikelytobeincludedthere.Currently,norequirementson(e.g.)providingadatamanagementplanareimposedwhenapplyingforagrantinthepubliccompetitivefunds.(Source:NordForsk(2016),op.cit.)NORWAY(NO)TheResearchCouncilofNorwayreleasedapolicyonOpenAccesstoResearchDatain2014.Thisfocusessolelyonresearchdata,and–likethePortuguesepolicy–itisexplicitthatitconstitutesaseriesofrecommendations,ratherthanrequirements.Theresponsibilityforskillsandtrainingisacceptedbytheresearchfunderitself,and–inkeepingwiththesoftapproach–issuesofmonitoringandcompliancearenotcovered.SERBIA(RS)Nopolicyisyetinplace,butworkisunderwayatanationallevel.AnofficialgroupwasformedbytheMinistryofSciences,whichfundsthemajorityofSerbianresearch,inJuly2017.Thisfollowedinformaldiscussionsdatingbacktoapproximately2013.Adraft“PlatformforOpenScienceinSerbia”documenthasbeenproduced,andalthoughthisisnotyetpubliclyavailableitishopedthatitwillreceiveanofficialreleasebytheendof2017.SWITZERLAND(CH)Theprogramme“Scientificinformation:access,processingandsafeguarding,”initiatedbytheRectors’ConferenceofSwissUniversities(ProgramSUC2013-2016P-2),addressesresearchdatainits“WhitePaperforaSwissInformationProvisioningandProcessingInfrastructure2020”.TheSwissapproachistheleast“policy-like”ofthedocumentsexamined,andthemostlikeaprojectplan.Labelledasawhitepaper,andledbytheumbrellagrouprepresentingtheheadsoftheSwissuniversities,thedocumentiswide-ranginginscope,addressingdataamongstanumberofotherICTinfrastructureissues,includingOpenAccesspublications.Itisdifficulttocategorisethisdocumentashardorsoft,asitismoreofaprojectplan,settingoutwhatwillbedone.Non-compliancedoesnotseemtobealikelihood,althoughreferenceismadetoapotentialfuturemonitoringrolefortheSwissNationalScienceFoundation(SNSF).Furthertothis,in2017theSNSFreleaseditsResearchPolicyonOpenResearchData.

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5. Analysis/comparisonofexistingpoliciesThissectionlooksinmoredetailatthetenEUmemberstateswithnationalopendatapoliciesinplace,aswellastwonon-EUERAmembers(NorwayandSwitzerland),hencetwelvecountriesintotal.Typesofpolicy/leadorsponsoringorganisationThedocumentsconsideredheredonotreadilylendthemselvestoclassification,butnonethelesswehaveattemptedtodoso.Seetheprevioustablesforthefulloverview.Acrossthetwelvecountrieswithexistingpoliciesinplace,weidentified:

- Sevenfunderpolicies(CY,DE,LT,PT,UK,NO,CH)- Threenationalplansorroadmaps(DK,FI,NL)- Twoconcordat-typedocuments(NL,UK)- Twolaws(FR,LT)- Onecodeofethics(BE)- Onewhitepaper(CH)

Similarly,identifyingthelead,rankingorotherwise‘sponsoring’organisationwasnotalwaysstraightforward;atothertimesthedocumentswereco-signedbymultipleorganisationsonanequalfooting:

- Sevenwereledby(orotherwiseinvolved)nationalpublicresearchfunders(CY,DE,LT,PT,UK,CH,NO)

- Fourinvolveduniversityrepresentativebodies(suchasUniversitiesUK)- (CH,CY,DK,UK)- Fourwereledby,orhadtheexplicitsupportof,governmentministries

(BE,CY,FI,NL)- Twowerelawspassedbythenationalparliament(FR,LT)- Twoapproacheswereledbytheacademiccommunity(RectorsandLearned

Societies)(BE,CH)Thefollowingwerealsoinvolved(asasignatory,oraspartofoneormoreworkinggroups):nationallibrary,nationalICTinfrastructureprovider,national(nonresearch)HEfunder,andprivateresearchfunder.

Theyearsinwhichthepoliciescameintoeffectrangedfrom2009to2017,withaheavytendencytowardsmorerecentyears:onlytwopolicies(BEandDE)datefrombefore2014,althoughmanyhavetheirrootsinearlierdocuments,notalwaysoriginatingfrompreciselythesameorganisationasthecurrentpolicydoes.Scope/coverage/relationshipwithOpenAccess/OpenScienceBydefinition,allofthepoliciesaddressresearchdata.SixofthetwelvecountrieshavepolicieswhichalsoaddressOpenAccesspublicationsexplicitly.Sixaddresssoftware,code,

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toolsormodels.Fiveaddressmethods,workflowsorprotocols,andoneaddressesphysical(non-digital)samples.Thereisanevensplitbetweencountrieswithpolicieswhichaddressopenresearchdataissuesinisolation(6),andthosewhichdealwithdataunderabroaderumbrellasuchas“OpenScience”or“OpenAccess”(6).18‘Soft’vs‘Hard’/MonitoringandcomplianceFourofthenationalapproachescanbeconsidered‘soft’,inthattheyareexplicitlyrecommendations,anddonotmandatecompliance(CY,NL,PT,NO).Oftheremainder,i.e.thosethatcanbeconsidered‘hard’policies,onlyfourmakereferencetomonitoringcompliance,orraisethequestionofsanctionsfornon-compliance(FI,LT,NL,CH).Thisisperhapsunsurprisinggiventheyouthofmanyofthepolicies,thedevelopmentofwhichtendstofollowapatternsuchas:Encourage>Expect>Require>Mandate.Itisalsoencouragingtoseeacoupleofnationalpolicies(DEandNE)whichnotonlyaddressthepotentialofpenaltiesfornon-compliance,butalsorewardandrecognitionforworkwelldone.SkillsandtrainingThereisanevensplitbetweencountrieswithpolicieswhichrefertotheneedtodevelopskillsandtraining(6),andthosewhichdonot(6).Thismaywellbeconsideredtobemoreofaproceduralissuethanapolicyone,andassuchitmaybemoreappropriatetoaddresstrainingandskillsinsubsidiarydocuments,suchasimplementationplans,FAQsandfurtherinformation.

18SeeTable2,OverviewTable:Countrieswithnationalpolicies

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6. AcknowledgementsManythanksareduetoseveralcolleaguesfromacrossEuropewhohavehelpedtoidentifyrelevantpolicies,orconfirmedtheirabsence:the‘AdditionalInformation’sectionsarelargelydowntoinformationandinsightthattheyprovided.ThanksinparticularareduetoAnthonyRoss-HellauerandAnjaOberlaender(Austria&Germany),MyriamMertensandGwenFranck(Belgium),MilenaDobreva(Bulgaria&Malta),AntonGerunov(Bulgaria),VasilikiKoukounidou(Cyprus),LenkaNemeckova(CzechRepublic),JesperBoserupThestrup(Denmark),RaivoRuusaleppandPriitTamm(Estonia),VictoriaTsoukalaandMarinaAngelaki(Greece),GyöngyiKarácsony(Hungary),BreedaHerlihy(Ireland),PaolaGargiuloandLiiseLehtsalu(Italy),DainaOstrovska(Latvia),GintareTautkevičienė(Lithuania),RyanScicluna(Malta),IngridDillo,MarjanGrootveldandJustdeLeeuwe(Netherlands),LidiaStępińska-Ustasiak(Poland),EloyRodrigues(Portugal),BiljanaKosanovic(Serbia),RemeMelero(Spain),IrenaVipavcBrvar,JanezŠtebeandMojcaKotar(Slovenia),AndréHoffmann(Switzerland).TheinformationheldwithinthisreportisaccuratetothebestofDCC’sknowledgeasofNovember2017.WewillcontinuetoinvestigatetheopendatapolicylandscapeacrossEurope,updatingthisdocumentperiodically.Itisalivingdocument.Ifyouareawareofexistingpoliciesorrelevantnationalinitiatives,orhavecorrectionstoshare,pleasegetintouch:[email protected]

ThisworkwascommissionedbySPARCEurope,co-financedbySPARCEuropeandtheDigitalCurationCentre(DCC),andcarriedoutbyDCC.

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