Taylor & Francis Open Access Survey Open Access Mandates

Taylor & Francis Open Access Survey Open Access Mandates Annex C European Union November 2014 November 2014 0

The results presented in this report are based on research carried out on behalf of Taylor & Francis by Will Frass, Research Executive; Jo Cross, Head of Research & Business Intelligence and Victoria Gardner, Open Access Publisher. Taylor & Francis / Routledge 2014 This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. The moral rights of the named author(s) have been asserted. The authors would like to acknowledge the contributions of Ray Tellis and Adam Stiles. November 2014 1

Contents Survey Methodology... 3 Survey Design... 3 Population Surveyed... 4 Response Rates... 4 Executive Summary... 5 Horizon 2020... 6 Awareness of the Policy... 8 Previous works published under the Policy... 12 Future works to be published under the Policy... 14 When publishing under this Policy, my work will be read by more people... 16 When publishing under this Policy, my work will reach people outside of my field... 18 When publishing under this Policy, my work will be more highly cited... 20 When publishing under this Policy, my work will have a greater impact... 22 This policy will help me secure grant funding for my research in the future... 24 It will be easy to comply with this policy... 26 November 2014 2

Survey Methodology Survey Design This is an Annex to the 2014 Taylor & Francis Open Access Survey report, available at Taylor & Francis Online: http://www.tandfonline.com/page/openaccess/opensurvey/2014 Towards the end of the survey, authors were asked to select the country they are primarily based in. Those authors selecting one of thirteen countries that have developed significant Open Access policies were directed to a page with a brief summary of their country s policies and some questions. Additionally, authors based in one of the 28 member states of the European Union were also directed to a page about Horizon 2020. This Annex covers the results from the sub-set of authors from both the Main Survey and the European Mandates Survey who are based in any of the 28 nations of the European Union answering questions about Horizon 2020 policy. After the section on Regional Questions, authors who said they were primarily based in the European Union were routed along the path highlighted in red below before re-joining the Main Survey for the section on Open Access Services: Regional Questions Austria Belgium Denmark Germany Netherlands Sweden United Kingdom All other Member States of the European * Union * Australia Canada Japan Norway United States Rest of the World National Mandates National Mandates European Union: Horizon 2020 Policy Open Access Services * Bulgaria, Croatia, Cyprus, Czech Republic, Estonia, Finland, France, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Poland, Portugal, Romania, Slovakia, Slovenia and Spain. November 2014 3

Survey Methodology Population Surveyed The 2014 Taylor & Francis Open Access Survey was sent throughout March 2014 to authors published during the year 2012 (the subsequent year to the 2013 Taylor & Francis Open Access Survey, which was sent throughout December 2012 to mid- January 2013 to all authors published during 2011), who had not previously opted out of receiving surveys sent by the Research and Business Intelligence Department. Any author who had published more than one article in 2012 had their subsequent articles removed from the list before mailing. In order to ensure a sufficient number of responses to the questions around Open Access policies, a separate survey comprising just the Open Access Mandates questions for European countries was compiled and sent to a further 15,000 non-corresponding European authors. Response Rates Both the Main Survey and the European Mandates Survey were sent via Survey Monkey s email distribution interface. The following methods were employed to maximize the response rates: The survey invites were sent in batches by region timed to hit close to optimal time for survey responses; The survey was incentivized with five prize draws, each for an Amazon Voucher to the value of 100 USD and the chance to win a 1000 USD travel grant to attend an academic conference (Main Survey only); Two follow-up emails were sent to non-respondents as a reminder. The following table gives a breakdown of the response rates for each survey: Population Emails sent Emails bounced Emails received Survey respondents Responses from European authors Main Survey 89,181 2,927 86,254 7,936 2,176 European Mandates Survey 15,565 0,891 14,674 0,596 591 Total 104,746 3,818 100,928 8,532 2,767 November 2014 4

Executive Summary Introduction In 2011, European Union member states asked the European Commission to propose a framework which unified all the existing research funding into one structure. In November 2013, the European Parliament voted in favour of the new Horizon 2020 framework and the European Council adopted it in December 2013. Since January 2014, researchers who receive funding from Horizon 2020 must follow a two-stage process to ensure their articles and datasets are open access: Stage Compliance Deadline 1 2 Deposit a machine-readable version in an online repository Ensure open access by either one of two routes: Green route: by granting open access to repository Gold route: by publishing in an open access journal Overview No later than publication 6 months (STM) 12 months (SSH) No later than end of project Across the EU, just over 4 in 10 [42%] authors said they were already aware of the Horizon 2020 policy around half [51%] of whom said they understood what the policy meant, and a further third [] of whom said they were mid-way between those with a full understanding and those with none at all. However, when taking into account those authors who had not heard about Horizon 2020 policy until they completed the survey, the level of understanding drops to 3. It is unsurprising that three-quarters [74%] of respondents to a survey in March 2014 had not yet published work under a policy which only commenced in January that year. However, the fact 6 in 10 [61%] were unable to say whether or not they would publish work under this policy in the future is probably because researchers do not know if the EU s Horizon 2020 fund will provide a component of their research budget in the coming years. That said, one third [] of authors do envisage publishing work that needs to comply with this policy in the future. Most authors in the EU [55%] agree that the mandate which applies to published articles funded through this framework will mean their work is read by more people, although significantly fewer [40%] believe that it will enable their work to reach people outside their field. It remains to be seen whether authors feel Horizon 2020 will help them secure grant funding and how easy they feel it will be to comply with this policy; nearly as many disagreed as agreed on these topics, and the largest single group comprised those authors occupying the middle-ground who are currently undecided either way. Subject analysis Compared to authors in the Social Science and Humanities, authors in Science, Technical and Medical subjects are more likely to have a greater level of awareness and understanding of this policy; more likely to publish work under it in the future; and are more likely to think that doing so will increase their readership. However, there are no discernible differences between SSH and STM authors in their attitudes towards any of the other potential benefits. Age analysis Awareness of the policy is lower amongst authors in their 20s compared to most older age-brackets, yet their reported levels of understanding is very similar to authors in their 30s and 40s, although most [6] are unsure if they will publish work under this policy in the future. At least 4 in 10 authors in each age group between 30 and 69 are aware of the policy, with awareness highest amongst those in their 60s [4]. Yet more authors in their 50s and 60s admitted they did not understand the policy compared to authors under 40. The level of agreements about the four potential benefits readership, reaching outside the field, citations and impact steadily declines with each decade across these age brackets from 30 to 70. With less than a quarter [22%] of authors over 70 planning to publish work funded by Horizon 2020 in the future, it is understandable these authors have the lowest level of awareness and understanding of the policy of any age group. Gender analysis Gender plays no role in determining the level of an author s awareness or understanding of Horizon 2020, nor the likelihood they will publish under this policy in the future. However, female authors are more inclined to agree with each of the four potential benefits mentioned above, as well as its ability to help them secure grant funding, than their male counterparts. Years of Experience analysis Except for authors with less than 5 years, who are less likely to be aware of the policy than average, an author s level does not influence their awareness or understanding. Agreement about the benefits of this policy initially rises with experience peaking amongst authors with between 10 and 14 years before declining again thereafter. November 2014 5

European Union Horizon 2020 Introduction Policy overview: Horizon 2020 is the European Union Framework Research programme covering the period from 2014 2020. 80 billion in research funding will be made available during this period to grantees from member states. Open Access forms part of the policy documentation (Gold and Green). What do funded researchers have to do? Researchers should apply for publication funds as part of their grant proposal and the APC should be paid before their project ends. They should deposit their article in a repository. This can be the final published article or the accepted version of the article. They must do this within either 6 months (S&T) or 12 months (SSH) of publication. This article should be machine readable. Data related to the article should also be deposited in a data repository. Further information: This summary of the policy has been created by Taylor & Francis for this purpose of this survey. For complete and up to date information please follow the link below to visit the funder s website. Please note that not all OA policies for the country / region are listed here. http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2020-hi-oa-pilot-guide_en.pdf Awareness of the Policy Publishing work under this Policy Are you aware of this Policy? [n = 2,508] Have you published work under this Policy previously? [n = 2,494] Will you publish work under this Policy in the future? [n = 2,496] Yes 42% No 58% Yes 5% No 74% Unsure 20% Yes No Unsure 61% How well do you understand this Policy? [n = 2476 ] 2 Authors already aware of the act [n = 1038 ] 5 I fully understand the policy 4 3 2 1 I do not understand the policy November 2014 6

European Union Horizon 2020 When publishing work under this Policy my work will......be read by more people [n = 2438] 21% 23%...reach people outside of my field [n = 2428] 28% 30%...be more highly cited [n = 2448] 2...have a greater impact [n = 2434] 3 Securing grant funding This policy will help me secure grant funding for my research in future [n = 2417] 1 Ease of compliance It will be easy to comply with this policy [n = 2416] 1 1 November 2014 7

Awareness of the Policy [n = 2508] Yes 42% No 58% Subject analysis Humanities and Social Science [n = 1392] Science, Technology and Medicine [n = 832] Yes 3 Yes 45% No 61% No 55% Age analysis 20-29 [n = 149] 30-39 [n = 857] 40-49 [n = 702] 50-59 [n = 490] 60-69 [n = 198] 70 and over [n = 47] Yes 3 Yes 41% Yes 42% Yes 43% Yes 4 Yes No 63% No 5 No 58% No 5 No 53% No 6 November 2014 8

Awareness of the Policy [n = 2508] Yes 42% No 58% Gender analysis Male [n = 1332] Yes 42% No 58% Female [n = 753] Yes 42% No 58% Experience analysis < 5 years [n = 142] 5-9 years [n = 447] 10-14 years [n = 516] 15-20 years [n = 392] 20 + years [n = 917] Yes 3 Yes 41% Yes 42% Yes 41% Yes 44% No 64% No 5 No 58% No 5 No 5 November 2014 9

Understanding the Policy [n = 2476] 2 5 I fully understand the policy 4 3 2 1 I do not understand the policy Subject analysis Humanities and Social Science [n = 1369] 22% 2 21% Science, Technology and Medicine [n = 828] 2 30% 5 I fully understand the policy 4 3 2 1 I do not understand the policy Age analysis 20-29 [n = 149] 30% 2 30-39 [n = 843] 25% 31% 40-49 [n = 693] 2 30% 50-59 [n = 483] 1 28% 23% 60-69 [n = 200] 22% 21% 22% 70 or over [n = 46] 4% 22% 2 5 I fully understand the policy 4 3 2 1 I do not understand the policy November 2014 10

Understanding the Policy [n = 2476] 2 5 I fully understand the policy 4 3 2 1 I do not understand the policy Gender analysis Male [n = 1324] 25% 2 1 Female [n = 744] 5 I fully understand the policy 4 3 2 1 I do not understand the policy Experience analysis < 5 years [n = 140] 28% 30% 1 5-9 years [n = 442] 10-14 years [n = 513] 23% 30% 1 1 15-20 years [n = 385] 2 31% 20 + years [n = 909] 22% 2 22% 5 I fully understand the policy 4 3 2 1 I do not understand the policy November 2014 11

Previous works published under the Policy [n = 2494] 5% No 74% Unsure 20% Subject analysis Humanities and Social Science [n = 1382] 4% No 75% Unsure 21% Science, Technology and Medicine [n = 833] No 73% Unsure 1 Age analysis 20-29 [n = 150] 3% No 71% Unsure 25% 30-39 [n = 851] 5% No 75% Unsure 20% 40-49 [n = 699] No 75% Unsure 1 50-59 [n = 488] No 74% Unsure 20% 60-69 [n = 199] Yes 8% No 73% Unsure 20% 70-79 [n = 46] Yes No 70% Unsure 22% November 2014 12

Previous works published under the Policy [n = 2494] 5% No 74% Unsure 20% Gender analysis Male [n = 1331] 5% No 75% Unsure 20% Female [n = 750] No 73% Unsure 21% Experience analysis < 5 years [n = 142] No 70% Unsure 2 5-9 years [n = 443] 4% No 75% Unsure 21% 10-14 years [n = 517] 5% No 74% Unsure 21% 15-19 years [n = 391] No 73% Unsure 20% 20 + years [n = 914] No 7 Unsure November 2014 13

Future works to be published under the Policy [n = 2496] Yes Unsure 61% Subject analysis Humanities and Social Science [n =1385] Yes 30% Unsure 64% Science, Technology and Medicine [n =832] Yes 3 4% Unsure 5 Age analysis 20-29 [n = 150] Yes 2 Unsure 6 30-39 [n = 853] Yes Unsure 62% 40-49 [n = 697] Yes 35% Unsure 61% 50-59 [n = 491] Yes Unsure 60% 60-69 [n = 200] Yes 35% Unsure 5 70 or over [n = 46] Yes 22% No Unsure 6 November 2014 14

Future works to be published under the Policy [n = 2496] Yes Unsure 61% Gender analysis Male [n = 1334] Yes Unsure 60% Female [n = 751] Yes 4% Unsure 63% Experience analysis < 5 years of experience [n = 142] Yes 22% Unsure 72% 5-9 years of experience [n = 445] Yes 5% Unsure 62% 10-14 years [n = 518] Yes 4% Unsure 62% 15-19 years [n = 389] Yes 4% Unsure 62% 20 + years [n = 917] Yes Unsure 5 November 2014 15

When publishing under this Policy, my work will be read by more people All EU authors [n = 2438] 21% 23% Subject analysis Humanities and Social Science [n = 1348] 20% 21% 8% Science, Technology and Medicine [n = 826] 3 22% 5% Age analysis 20-29 [n = 148] 21% 38% 4% 30-39 [n = 832] 22% 3 20% 40-49 [n = 682] 23% 21% 50-59 [n = 476] 31% 60-69 [n = 200] 1 2 8% 70 or over [n = 44] November 2014 16

When publishing under this Policy, my work will be read by more people All EU authors [n = 2438] 21% 23% Gender analysis Male [n = 1301] 20% 23% 8% Female [n = 737] 23% 35% 23% 5% Experience analysis < 5 years [n = 138] 3 20% 1 5-9 years [n = 437] 1 3 22% 10-14 years [n = 502] 25% 35% 20% 15-20 years [n = 386] 23% 31% 20 + years [n = 896] 1 8% November 2014 17

When publishing under this Policy, my work will reach people outside of my field [n = 2428] 28% 30% Subject analysis Humanities and Social Science [n = 1342] 28% 2 Science, Technology and Medicine [n = 818] 28% 31% Age analysis 20-29 [n= 148] 1 30-39 [n= 829] 31% 2 40-49 [n= 682] 2 30% 50-59 [n= 472] 25% 60-69 [n= 196] 8% 8% 70 or over [n= 45] 4% 20% 38% November 2014 18

When publishing under this Policy, my work will reach people outside of my field [n = 2428] 28% 30% Gender analysis Male [n = 1300] 2 31% 5% Female [n = 730] 28% Experience analysis < 5 years [n = 138] 23% 35% 22% 5-9 years [n = 433] 31% 2 10-14 years [n = 502] 1 2 2 4% 15-20 years [n = 386] 30% 30% 20 + years [n = 888] 2 November 2014 19

When publishing under this Policy, my work will be more highly cited [n = 2448] 2 Subject analysis Humanities and Social Science [n = 1352] 2 Science, Technology and Medicine [n = 828] 2 35% Age analysis 20-29 [n = 148] 2 1 30-39 [n = 835] 2 40-49 [n = 687] 2 8% 50-59 [n = 477] 25% 60-69 [n = 200] 20% 40% 70 or over [n = 45] 4% 2 3 November 2014 20

When publishing under this Policy, my work will be more highly cited [n = 2448] 2 Gender analysis Male [n = 1310] 2 4% Female [n = 737] 2 8% Experience analysis < 5 years [n = 138] 30% 2 21% 5-9 years [n = 439] 2 10-14 years [n = 504] 25% 15-20 years [n = 388] 2 20 + years [n = 898] 35% 5% November 2014 21

When publishing under this Policy, my work will have a greater impact [n = 2434] 3 Subject analysis Humanities and Social Science [n = 1347] 25% Science, Technology and Medicine [n = 821] 38% Age analysis 20-29 [n = 148] 20% 30-39 [n = 829] 2 40-49 [n = 686] 38% 50-59 [n = 473] 25% 60-69 [n = 198] 1 41% 70 or over [n = 44] 5% 50% 5% November 2014 22

When publishing under this Policy, my work will have a greater impact [n = 2434] 3 Gender analysis Male [n = 1301] 3 5% Female [n = 734] 2 3 Experience analysis < 5 years [n = 138] 1 3 21% 5-9 years [n = 435] 25% 3 10-14 years [n = 503] 28% 15-20 years [n = 387] 38% 20 + years [n = 890] 23% 3 November 2014 23

This policy will help me secure grant funding for my research in the future [n = 2417] 1 Subject analysis Humanities and Social Science [n = 1336] 20% 1 Science, Technology and Medicine [n = 816] 1 Age analysis 20-29 [n = 145] 1 35% 21% 30-39 [n = 820] 22% 40-49 [n = 680] 50-59 [n = 472] 30% 1 8% 1 60-69 [n = 199] 1 38% 70 or over [n = 44] 5% 3 25% November 2014 24

This policy will help me secure grant funding for my research in the future [n = 2417] 1 Gender analysis Male [n = 1290] 8% Female [n = 729] 22% 5% Experience analysis < 5 years [n = 135] 23% 20% 5-9 years [n = 432] 8% 23% 5% 10-14 years [n = 497] 1 1 15-20 years [n = 384] 1 35% 20 + years [n = 889] 31% November 2014 25

It will be easy to comply with this policy [n = 2416] 1 1 Subject analysis Humanities and Social Science [n = 1336] 1 1 Science, Technology and Medicine [n = 815] 1 35% Age analysis 20-29 [n = 148] 25% 35% 8% 22% 30-39 [n = 823] 35% 40-49 [n = 683] 20% 50-59 [n = 466] 1 30% 1 60-69 [n = 197] 3 8% 70 or over [n = 42] 1 1 November 2014 26

It will be easy to comply with this policy [n = 2416] 1 1 Gender analysis Male [n = 1289] 1 1 Female [n = 730] 1 3 5% Experience analysis < 5 years [n = 137] 2 8% 5-9 years [n = 434] 38% 10-14 years [n = 497] 1 15-20 years [n = 385] 3 20 + years [n = 884] 1 November 2014 27

Appendix Distribution of Respondents by Country in the European Union November 2014 28

This appendix provides the frequency with which each of the 28 countries in the European Union by our respondents. Please note not all of these authors completed the entire Horizon 2020 section in full. Taylor & Francis / Routledge 2014 This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. The moral rights of the named author(s) have been asserted. November 2014 29

Distribution of Respondents by Country in the European Union UK United Kingdom 927 IT Italy 331 DE Germany 199 ES Spain 193 NL Netherlands 168 PT Portugal 124 SE Sweden 115 FR France 99 GR Greece 98 IE Ireland 66 DK Denmark 60 BE Belgium 57 FI Finland 56 PL Poland 53 RO Romania 43 AT Austria 36 HU Hungary 26 CZ Czech Republic 22 HR Croatia 17 LT Lithuania 14 CY Cyprus 13 SI Slovenia 10 EE Estonia 8 LV Latvia 8 SK Slovakia 8 BG Bulgaria 7 MT Malta 6 LU Luxembourg 3 November 2014 30