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21.7.2012 Official
Journal
of
the
European
Union L
194/39
RECOMMENDATIONS
COMMISSION RECOMMENDATION
of 17 July 2012
on access to and preservation of scientific information
(2012/417/EU)
THE EUROPEAN COMMISSION,
scientific publishing and the preservation of research
results, examining relevant organisational, legal,
technical and financial issues.
Having regard to the Treaty on the Functioning of the European
Union, and in particular Article 292 thereof,
(4) The
Communication
was
followed
in
November
2007
by
Council Conclusions on scientific information in the
digital age: access, dissemination and preservation. The
Conclusions invited the Commission to experiment
Whereas:
with open access to scientific publications resulting
from projects funded by EU research framework
programmes and included a set of actions to be
undertaken by the Member States. There have been
(1) The
Communication
from
the
Commission
Europe
advances in some of the areas dealt with in the
2020 ( 1 ) puts forward the development of an economy
Conclusions, but not all targets have been met and
based on knowledge and innovation as a priority.
progress has been uneven among Member States. EU
action is needed to make the most of Europe’s research
potential.
(2) The
targets
set
by
the
Europe
2020
strategy
are
given
in
more detail in particular in the Flagship Initiatives ‘Digital
Agenda for Europe’ (
(5) Open
access
policies
aim
to
provide
readers
with
access

2 ) and ‘Innovation Union’ ( 3 ). Among
the actions to be taken under the ‘Digital Agenda’,
to peer-reviewed scientific publications and research data
publicly funded research should be widely disseminated
free of charge as early as possible in the dissemination
through open access publication of scientific data and
process, and enable the use and reuse of scientific
papers. The ‘Innovation Union’ initiative calls for a
research results. Such policies should be implemented
European Research Area (ERA) framework to be set up
taking into account the challenge of intellectual
to help remove obstacles to mobility and cross-border
property rights.
cooperation. It states that open access to publications
and data from publicly funded research should be
promoted and access to publications made the general
principle for projects funded by the EU research
(6) Policies
on
open
access
to
scientific
research
results
Framework Programmes.
should apply to all research that receives public funds.
Such policies are expected to improve conditions for
conducting research by reducing duplication of efforts
and by minimising the time spent searching for
information and accessing it. This will speed up scientific
(3) On
14
February
2007,
the
Commission
adopted
a
Communication on scientific information in the digital
progress and make it easier to cooperate across and
age: access, dissemination and preservation (
beyond the EU. Such policies will also respond to calls

4 ), accom
within the scientific community for greater access to
panied by a staff working paper. This provided an
scientific information.
overview of the state of play in Europe regarding

( 1 ) COM(2010) 2020 final of 3.3.2010, available at: http://eur-lex.
europa.eu/LexUriServ/LexUriServ.do?uri=COM:2010:2020:FIN:
(7)
EN:PDF
Enabling
societal
actors
to
interact
in
the
research
cycle
( 2 ) COM(2010) 245 final/2 of 26.8.2010, available at: http://eur-lex.
improves the quality, relevance, acceptability and sustain
europa.eu/LexUriServ/LexUriServ.do?uri=COM:2010:0245:FIN:
ability of innovation outcomes by integrating society’s
EN:PDF
expectations, needs, interests and values. Open access is
( 3 ) COM(2010) 546 final of 6.10.2010, available at: http://ec.europa.eu/
a key feature of Member States’ policies for responsible
research/innovation-union/pdf/innovation-union-communication_en.
research and innovation by making the results of
pdf#view=fit&pagemode=none
( 4 ) COM(2007) 56 final of 14.2.2007; available at: http://eur-lex.europa.
research available to all and by facilitating societal
eu/LexUriServ/LexUriServ.do?uri=CELEX:52007DC0056:EN:NOT
engagement.

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L 194/40
EN
Official Journal of the European Union
21.7.2012
(8) Businesses
will
also
benefit
from
wider
access
to
scientific
for e-Science’ ( 2 ), e-Infrastructures are understood to be
research results. Small and medium-sized enterprises in
‘an environment where research resources (hardware,
particular will improve their capacity to innovate. Policies
software and content) can be readily shared and
on access to scientific information should therefore also
accessed wherever this is necessary to promote better
facilitate access to scientific information for private
and more effective research’. The further development
companies.
of such infrastructures and their interconnection at
European level should therefore be recommended.
(9) The
Internet
has
fundamentally
changed
the
world
of
science and research. For instance, research communities
(14) The move towards open access is a worldwide
have been experimenting with new ways to register,
endeavour, demonstrated by the ‘Revised strategy on
certify, disseminate and preserve scientific publications.
UNESCO’s contribution to the promotion of open
Research and funding policies need to adapt to this
access to scientific information and research’ ( 3 ) and the
new environment. It should be recommended to
‘OECD Declaration on Access to Research Data from
Member States to adapt and develop their policies on
Public Funding’ ( 4 ). Member States should be part of
open access to scientific publications.
this global endeavour and should set an example by
enhancing an open, collaborative research environment
based on reciprocity.
(10) Open
access
to
scientific
research
data
enhances
data
quality, reduces the need for duplication of research,
speeds up scientific progress and helps to combat
scientific fraud. In its final report ‘Riding the wave:
(15) Given the transitional state of the publishing sector,
How Europe can gain from the rising tide of scientific
stakeholders need to come together to accompany the
data’ (
transition process and look for sustainable solutions for

1 ) in October 2010, the High Level Expert Group
on Scientific Data emphasised the critical importance of
the scientific publishing process.
sharing and preserving reliable data produced during the
scientific process. Policy action on access to data is
therefore urgent and should be recommended to
Member States.
(16) On
12 December 2011 the Commission adopted a
package consisting of a Communication on open data,
a proposal for a Directive amending Directive
2003/98/EC of the European Parliament and of the
(11) Preservation of scientific research results is in the public
Council of 17 November 2003 on reuse of public
interest. It has traditionally been under the responsibility
sector information ( 5 ) and new Commission rules on
of libraries, especially national legal deposit libraries. The
the documents it holds. The package presented the
volume of research results generated is growing tremen
Commission’s strategy on open data in a single
dously. Mechanisms, infrastructures and software
coherent framework, encompassing actions including
solutions should be in place to enable long-term preser
this Recommendation.
vation of research results in digital form. Sustainable
funding for preservation is crucial as curation costs for
digitised content are still relatively high. Given the
importance of preservation for the future use of
research results, the establishment or reinforcement of
(17) This
Recommendation
is
accompanied
by
a
Communi
policies in this area should be recommended to
cation in which the Commission defines its policy and
Member States.
vision on open access to research results. It outlines the
actions the Commission will take as a body providing
funding for scientific research from the Union budget.
(12) Policies to be developed by Member States should be
defined at national or sub-national level depending on
the constitutional situation and the distribution of
(18) Together
with
this
Recommendation
and
the
accom
responsibilities for defining research policy.
panying Communication the Commission is adopting a
Communication on ‘A reinforced European Research
Area partnership for excellence and growth’ in which it
sets out the key priorities for completing the European
(13) Solid e-infrastructures underpinning the scientific
Research Area, one of which is the optimal circulation,
information system will improve access to scientific
access to and transfer of scientific knowledge,
information and the long-term preservation of it. This
can boost collaborative research. According to the
( 2 ) COM(2009) 108 final.
Communication of the Commission ‘ICT infrastructures
( 3 ) http://www.unesco.org/new/fileadmin/MULTIMEDIA/HQ/CI/CI/
images/GOAP/OAF2011/213342e.pdf
( 4 ) http://www.oecd.org/dataoecd/9/61/38500813.pdf
( 1 ) http://cordis.europa.eu/fp7/ict/e-infrastructure/docs/hlg-sdi-report.pdf
( 5 ) OJ L 345, 31.12.2003, p. 90.

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EN
21.7.2012 Official
Journal
of
the
European
Union L
194/41
HEREBY RECOMMENDS THAT MEMBER STATES:
— making the necessary funding available for dissemination
(including open access), allowing for different channels,
including digital e-infrastructures where appropriate, as
Open access to scientific publications
well as new and experimental methods of scholarly
1. Define clear policies for the dissemination of and open
communication,
access to scientific publications resulting from publicly
funded research. These policies should provide for:
— adjusting the recruitment and career evaluation system
for researchers and the evaluation system for awarding
— concrete objectives and indicators to measure progress,
research grants to researchers so that those who
participate in the culture of sharing results of their
research are rewarded. Improved systems should take
— implementation plans, including the allocation of respon
into account research results made available through
sibilities,
open access and develop, encourage and use new, alter
native models of career assessment, metrics and indi
— associated financial planning.
cators,
Ensure that, as a result of these policies:
— giving guidance to researchers on how to comply with
open access policies, especially on managing their intel
lectual property rights to ensure open access to their
— there should be open access to publications resulting
publications,
from publicly funded research as soon as possible,
preferably immediately and in any case no later than 6
months after the date of publication, and 12 months for
— conducting joint negotiations with publishers to obtain
social sciences and humanities,
the best possible terms for access to publications,
including use and reuse,
— licensing systems contribute to open access to scientific
publications resulting from publicly-funded research in a
balanced way, in accordance with and without prejudice
— ensuring that results of research that receives public
to the applicable copyright legislation, and encourage
funding are easily identifiable by appropriate technical
researchers to retain their copyright while granting
means, including through metadata attached to electronic
licences to publishers,
versions of the research output.
— the academic career system supports and rewards
Open access to research data
researchers who participate in a culture of sharing the
results of their research, in particular by ensuring open
3. Define clear policies for the dissemination of and open
access to their publications and by developing,
access to research data resulting from publicly funded
encouraging and using new, alternative models of
research. These policies should provide for:
career assessment, metrics and indicators,
— transparency is improved, in particular by informing the
— concrete objectives and indicators to measure progress,
public about agreements between public institutions or
groups of public institutions and publishers for the
supply of scientific information. This should include
— implementation plans, including the allocation of respon
agreements covering the so-called ‘big deals’, i.e.
sibilities (including appropriate licensing),
bundles of print and electronic journal subscriptions
offered at discounted price,
— associated financial planning.
— small and medium-sized enterprises and unaffiliated
researchers have the widest and cheapest possible
Ensure that, as a result of these policies:
access to scientific publications of the results of
research that receives public funding.
— research data that result from publicly funded research
2. Ensure that research funding institutions responsible for
become publicly accessible, usable and reusable through
managing public research funding and academic institutions
digital e-infrastructures. Concerns in particular in relation
receiving public funding implement the policies by:
to privacy, trade secrets, national security, legitimate
commercial interests and to intellectual property rights
shall be duly taken into account. Any data, know-how
— defining institutional policies for the dissemination of
and/or information whatever their form or nature which
and open access to scientific publications; establishing
are held by private parties in a joint public/private part
implementation plans at the level of those funding insti
nership prior to the research action and have been
tutions,
identified as such shall not fall under such an obligation,

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L 194/42
EN
Official Journal of the European Union
21.7.2012
— datasets are made easily identifiable and can be linked to
— leveraging and building on existing resources to be econ
other datasets and publications through appropriate
omically efficient and to innovate in the areas of analysis
mechanisms, and additional information is provided to
tools, visualisations, decision-making support, models
enable their proper evaluation and use,
and modelling tools, simulations, new algorithms and
scientific software,
— institutions responsible for managing public research
funding and academic institutions that are publicly
— reinforcing the infrastructure for access to and preser
funded assist in implementing national policy by
vation of scientific information at national level, and
putting in place mechanisms enabling and rewarding
earmarking the necessary funds,
the sharing of research data,
— ensuring the quality and reliability of the infrastructure,
— advanced-degree programmes of new professional
including through the use of certification mechanisms for
profiles in the area of data-handling technologies are
repositories,
promoted and/or implemented.
— ensuring interoperability among e-infrastructures at
Preservation and reuse of scientific information
national and global level.
4. Reinforce the preservation of scientific information, by:
6. Ensure synergies among national e-infrastructures at
— defining and implementing policies, including an allo
European and global level by:
cation of responsibilities for the preservation of scientific
information, together with associated financial planning,
in order to ensure curation and long-term preservation of
— contributing to the interoperability of e-infrastructures, in
research results (primary research data and all other
particular addressing scientific data exchange, taking into
results, including publications),
account experiences with existing projects, infrastructures
and software developed at European and global level,
— ensuring that an effective system of deposit for electronic
scientific information is in place, covering born-digital
— supporting transnational cooperative efforts that promote
publications and, where relevant, the related datasets,
the use and development of information and communi
cation technologies infrastructure for higher education
and research.
— preserving the hardware and software needed to read the
information in future, or by migrating the information to
new software and hardware environments on a regular
Multi-stakeholder dialogue at national, European and
basis,
international level
7. Participate in multi-stakeholder dialogues at national,
— fostering the conditions for stakeholders to offer value-
European and/or international level on how to foster open
added services based on the reuse of scientific
access to and preservation of scientific information.
information.
Participants should in particular look at:
E-infrastructures
— ways of linking publications to the underlying data,
5. Further develop e-infrastructures underpinning the system
for disseminating scientific information by:
— ways of improving access and keeping costs under
control, e.g. through joint negotiations with publishers,
— Supporting scientific data infrastructures for dissemi
nation of knowledge, research institutions and funding
— new research indicators and bibliometrics encompassing
entities to address all stages of the data life cycle. These
not only scientific publications but also datasets and
stages should include acquisition, curation, metadata,
other types of output from research activity and the
provenance, persistent identifiers, authorisation, authenti
individual researcher’s performance,
cation and data integrity. Approaches need to be
developed to provide a common look and feel to data
discovery across disciplines, thus reducing the learning
— new reward systems and structures,
curve required to achieve productivity,
— the promotion of open access principles and implemen
— supporting the development and training of new cohorts
tation at international level, especially in the context of
of data-intensive computational science experts, including
bilateral, multilateral and international cooperation
data specialists, technicians and data managers,
initiatives.

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EN
21.7.2012 Official
Journal
of
the
European
Union L
194/43
Structured coordination of Member States at EU level
Reviewing and reporting
and follow-up to the Recommendation
9. Inform the Commission 18 months from the publication of
8. Designate by the end of the year a national point of
this Recommendation in the Official Journal of the European
reference whose tasks will be:
Union, and every two years thereafter, of action taken in
response to the different elements of this Recommendation,
in accordance with formalities to be defined and agreed. On
— coordinating the measures listed in this Recommen
this basis, the Commission will review the progress made
dation,
across the EU to assess whether further action is needed to
achieve the objectives laid down in this Recommendation.
— acting as an interlocutor with the European Commission
on questions pertaining to access to and preservation of
scientific information, in particular better definitions of
Done at Brussels, 17 July 2012.
common principles and standards, implementation
measures and new ways of disseminating and sharing
research in the European Research Area,
For the Commission
Neelie KROES
— reporting on the follow-up to this Recommendation.
Vice-President

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