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The KAF framework is a model to monitor the implementation of Open Access Policy across funding body
See correspondence below
Dear David
After several months of exchanges with your staff members, including Ben Ryan (see some of our messages below), on the subject
of EPSRC and Open Access, I am very glad to receive an internal memo from the Director of Research informing us of the Policy Update
I am writing to find out how is EPSRC going to monitor the implementation of the Open Access Policy?
This is part of a review of OA implementation policy I carry out independently, and a report due for publication shortly.
The ongoing view is that any member of the public should be able to help monitor the OA policy, for example, when a
paper is 'not found' then there should be a reporting tool to alert the funding body to take some action.
As part of my research, and collaboratively with leaders in the field, I am devising a set of policy implementation monitoring instruments and guidelines that minimise the cost and effort required to monitor.
I ll be happy to provide you a copy of these guidelines
Let me know what is the plan, and how can our work help to make this important transition easy
Thanks in advance
Best regards
________________________________________
From: Ben Ryan (EPSRC,C&I) [Ben.Ryan@epsrc.ac.uk]
Sent: Thursday, September 09, 2010 5:46 PM
To: Paola Di Maio
Cc: Ben Ryan (EPSRC,C&I)
Subject: RE: knowledge reuse in systems engineering
Dear Paola,
Thanks for your further questions.
>>What do I do if I identify that EPRSC is falling short or providing misleading information when it comes to its open access policy?
As I hope is clear our policy on 'Open Access' relates to the availability of published research outputs arising from our funding, and I equally hope that you do not feel we are providing misleading information about this. However, if you do feel that we are falling short or providing misleading information please do provide further details and I would be happy to respond further.
>>Is there any open public consultation about the work that you are doing in relation to policy development?
There is not as yet a public consultation; this kind of development is typically initiated by a paper submitted to our governing Council setting out the issues and a range of options for consideration. As mentioned previously, we are taking advice in this initial work through targeted consultation with public and private research organisations and research publishers. It may be that Council recommends further and wider consultation before any proposed policy options are formally adopted.
>> In which legislation is this policy change based?
>> How is EPRSC responding to various EU actions, for example JRC plan 2010-2020
There are a three primary pieces of UK legislation in this area - the Data Protection Act, the Freedom of Information Act and the Environmental Information Regulations. We are of course also taking note of relevant EU legislation/directives as appropriate, e.g. the PSI directive (http://ec.europa.eu/information_society/policy/psi/docs/pdfs/directive/psi_directive_en.pdf).
>> Is this policy entirely your sole responsibility, or is there anyone else at EPRSC responsible for knowledge sharing policies?
Our governing Council has ultimate responsibility for setting new EPSRC policy. My role, with the advice and support and of senior colleagues and external stakeholders as noted above, is to describe the issues and set out the options.
>>How can I make a recommendation to EPRSC to include glossary for each research in the published data, which is minimum essential 'knowledge'
I am happy to take account of your views in my work; I agree that whenever research data is published then it is also good practice to provide contextual information which would include a glossary containing definitions of the data items. However, please note that EPSRC does not currently insist on the publication of specific research data. Individual researchers are free (subject to UK legislation) to decide which findings and supporting data to publish and when to do so (and when not to do so); in reaching their decisions they of course take into account a variety of factors - see the attached Nature article.
>> Note that this enquiry is part of wider research context in this field, see the next meeting I'll be attending next week
The meeting you refer looks as if it will be interesting and I hope it will assist you with your research.
With best wishes,
Ben (not Brian!)
Ben Ryan
Senior Evaluation Manager
EPSRC
-----Original Message-----
From: Paola Di Maio [mailto:paola.dimaio@strath.ac.uk]
Sent: 08 September 2010 18:47
To: Ben Ryan (EPSRC,C&I)
Subject: RE: knowledge reuse in systems engineering
Thanks Brian
A few more questions please:
How can I make a recommendation to EPRSC to include glossary for each research in the published data, which is minimum essential 'knowledge'
What do I do if I identify that EPRSC is falling short or providing misleading information when it comes to its open access policy?
Is there any open public consultation about the work that you are doing in relation to policy development?
In which legislation is this policy change based?
How is EPRSC responding to various EU actions, for example JRC plan 2010-2020
http://www.welcomeurope.com/en-interviews-JRC-and-its-new-2010-2020-JRC-Strategy-174.html
Note that this enquiry is part of wider research context in this field, see the next meeting I ll be attending next week
http://www.iskouk.org/events/linked_data_sep2010.htm#Booking
Is this policy entirely your sole responsibility, or is there anyone else at EPRSC responsible for knowledge sharing policies?
Let me know if at any stage a call would be useful
My research protocol will follow shortly
Thanks
Paola Di Maio
*************************************
DMEM, Room 106
University of Strathclyde
75 Montrose St
Glasgow, G1 1XJ
t: +44(0) 141 548 4308
paola.dimaio@strath.ac.uk
________________________________________
From: Ben Ryan (EPSRC,C&I) [Ben.Ryan@epsrc.ac.uk]
Sent: Wednesday, September 08, 2010 11:39 AM
To: Paola Di Maio
Cc: Ben Ryan (EPSRC,C&I)
Subject: RE: knowledge reuse in systems engineering
Dear Paola,
My job title is below my name at the end of my email.
You will find the answer to your question on what is meant by Gold if you study the report commissioned by RCUK published in 2009 - the page where you will find this ishttp://www.rcuk.ac.uk/access/default.htm (a link to this is on our own page covering our policy on access to research outputs).
The more you read reports in this area it will become clear that the 'Open Access' debate refers primarily to the research literature that we refer to as 'research outputs', and in particular to peer review journal articles. There is, however, increasing interest in the arrangements for access to and management of the data underpinning such research outputs, and this is the area in which I am helping to develop EPSRC policy, informed by targeted consultation with public and private research organisations and research publishers. I am afraid I do not see an individual role for you in this process.
Best wishes,
Ben
Ben Ryan
Senior Evaluation Manager
EPSRC
-----Original Message-----
From: Paola Di Maio [mailto:paola.dimaio@strath.ac.uk]
Sent: 06 September 2010 16:07
To: Ben Ryan (EPSRC,C&I)
Cc: Alex Duffy; Iain Boyle
Subject: RE: knowledge reuse in systems engineering
Dear Ben
cc. Alex Duffy, Iain Boyle Research advisors
thanks for your reply.
>>>>Simon Crook has forwarded me your enquiry, which I will do my best to respond to. You research topic is an interesting one and relates to an area that I am also engaged in.
Glad my research is of interest to you.
May I ask what is your job title/in what role and capacity are you replying to my enquiry?
>>>I would first like to ask you a couple of questions if I may? Before I do so it will help to be sure that I have correctly understood things: from the message trail below I gather that...
>>>1. You originally approached the Director of the NECTISE research programme seeking access to data generated by the NECTISE project in January this year;
Nope, In early 2009, when my Phd started - there have been a number of questions and answers sent back and forth between Laughborogh and BAE, but I never got any straigh answers
>>>2. You were informed that because of BAE's involvement in the project, and the relevant collaboration agreement between BAE and your University, BAE would need to agree to you having access to the project data. It is also clear that BAE (David Gunton) was asked >>>in January 2010 to agree (or not) to this access.
>>>3. Your PhD is funded at least in part through the doctoral training block grant we give to Strathclyde.
I think so, as far as I know, the DTA was part of the NECTISE project
>>>4. Your PhD research started 'in 2009'
yes, actually I was awarded the DTA in 2008 but deferred the start til December 2008 then actually started in 2009
>>>5. You first contacted EPSRC in relation to your research on 22 August 2010
yes
>>>If you could confirm that I haven't misunderstood anything I would be grateful, and it would also be helpful if you could answer the following two questions.
>>>Q1 - It is not clear from your message whether BAE responded to your request for access to the project data, but it is implied that access has been refused. Can you confirm this?
I would prefer to say that BAE has never answered the question whether a glossary exists in the first place,
I asked textually
'does a glossary exist? and if yes, can I access it?
never got an answer, will forward you the email
>>>Q2. Your statement that you are 'a DTA holder at Strathclyde University, the funding for my PhD part of NECTISE' is confusing. Please could you clarify whether the NECTISE project also provided funds at any stage for your PhD, and if so for how long (I note that the >>>NECTISE project closed on 30th April 2009).
As stated above, to the best of my knowledge, my DTA was part of NECTISE in relation to networked capabilities research project. Sometime in 2009 the project was 'suspended' but my doctoral research has already been granted the funding
so it is goind ahead, more or less researching the same topic, just not within the BAE led project, NECTISE
>>>Re. your questions
>>>1. '... what is the EPRSC policy in relation to access to knowledge...?'
>>>The Open Access policy pages you refer to (http://www.epsrc.ac.uk/about/infoaccess/Pages/roaccess.aspx) relates to academic publications rather than the data which underpins them.
Okay, could you please tell me where is such distinction specified? is it somewhere in the wording? I dont think a 'glossary' is data though. Perhaps EPRSC does not distinguish clearly enough what constitutes 'knowledge', in which case
I may be able to make a recommendation as part of my conclusions
>>> Although EPSRC council has agreed to open access publication, this has not yet been translated into policy. You are correct that we do not currently monitor whether academics are choosing the 'green' or the 'gold' options, but anecdotal feedback suggests few are >>>choosing 'gold'
Can you explain this a bit more? what do you mean gold? again, if there is no policy, then I would say this could be a critical gap when it comes to facilitating knowledge sharing in systems engineering
>>>Policy on the management of and access to research data (as opposed to publications) varies across the research councils - since most such data is now in digital format you may find the following site helpful in understanding the reasons behind this and the associated >>>issues:http://www.dcc.ac.uk/resources/policy-and-legal/overview-funders-data-policies) EPSRC is currently developing a more detailed policy in this area.
Considering my research is in this field, are there collaboration options where I can provide some input perhaps, and learn more about how EPRSC is developing such policy? (basically, who is doing it, how, and how can I help)
>>>What you have already been told is correct: we do not claim the intellectual property arising from research we fund and we expect collaborative research projects (which we support with one or more external partners) to have agreements in place setting out how any >>>Intellectual Property arising from the research will be managed. Even where there is no third party supporting the research we expect the grant holding university to take appropriate steps to protect and exploit any intellectual property that arises from research we >>>fund, and so a balance has to be struck between the benefits of free access and the need to restrict access in a way that allows effective exploitation.
I'd like to learn more about how this balance is struck, and any possible weaknesses affecting knowledge sharing that can be identified in this process
>>>2. 'I would like to carry out a case study around EPRSC Knowledge Sharing/Reuse policies...'
>>>It would be helpful if you could first forward the research protocol you are developing. And we could then discuss how best - if at all - EPSRC can help you further once I have been able to study it.
Thanks, I am currently refining/streamlining the research protocol, will forward it to you in a few weeks or so
Thanks a lot for your attention, look forward to be learning more and possibly contributing to better knowledge acess in systems engineering research
Best regards
Paola Di Maio
With best wishes,
Ben
Ben Ryan
Senior Evaluation Manager
EPSRC
-----Original Message-----
From: Paola Di Maio [mailto:paola.dimaio@strath.ac.uk]
Sent: 25 August 2010 22:05
To: Mandy Rea (EPSRC,C&I)
Cc: Simon Crook (EPSRC,BI)
Subject: RE: knowledge reuse in systems engineering
sorry, one sentence was truncated
resending with complete sentence below
Given the policy, can you please explain how can EPRSC committ to Open Access if, according to your statement below, you do not seem to monitor if the grants EPRSC awards to projects actually meet the Open Access policy guidelines?
________________________________________
From: Paola Di Maio
Sent: Wednesday, August 25, 2010 10:01 PM
To: Mandy Rea (EPSRC,C&I)
Cc: simon.crook@epsrc.ac.uk
Subject: RE: knowledge reuse in systems engineering
Dear Simon
With reference to my earlier enquiry, in relation to my current research, I am writing on two accounts
1. Please can you frame your statement below in relation to the EPRSC Open Access policy?
http://www.epsrc.ac.uk/about/infoaccess/Pages/roaccess.aspx
Given the policy, can you please explain how can EPRSC committ to Open Access if, according to your statement below, you do not seem to monitor if the grants EPRSC awards to projects actually meet the Open Access policy guidelines?
2. I would like to carry out a case study around EPRSC Knowledge Sharing/Reuse policies, as part of my doctoral research. it consists of carrying out an audit to assess the sharability of knowledge generated by EPRSC funding Is there a process you would like me to follow, or shall I just email you my research protocol (the case study procedure I am writing out?)
Thanks a lot in advance
Best regards
Paola Di Maio
*************************************
DMEM, Room 106
University of Strathclyde
75 Montrose St
Glasgow, G1 1XJ
t: +44(0) 141 548 4308
paola.dimaio@strath.ac.uk
________________________________________
Hi Mandy,
The only information we carry on the research is the grant proposal, he really ought to speak to the prinicipal investigator Michael Henshaw, which he has.
As for IP, EPSRC never owns IP on grants, it gives all the funded responsibility to the univeristies to negotiate with the companies. AS Nectise was funded jointly with BAE Systems, this is what has happened. It seems the standard kind of arrangement has been put in place, work can be published subject to commercial concerns of BAE Systems. This really is between the university and BAE Systems.
Simon Crook
(Senior Sector Manager for Aerospace and Defence, EPRSC)
-----Original Message-----
From: Mandy Rea (EPSRC,C&I) On Behalf Of Infoline - EPSRC External Help Line
Sent: 23 August 2010 12:02
To: Simon Crook (EPSRC,BI)
Subject: FW: knowledge reuse in systems engineering
Hello Simon
Please can you help with questions 1 & 2, I will forward to Andrea Bertram for help with question 3.
Regards
Mandy
-----Original Message-----
From: Paola Di Maio [mailto:paola.dimaio@strath.ac.uk]
Sent: 22 August 2010 13:52
To: Infoline - EPSRC External Help Line
Subject: knowledge reuse in systems engineering
Dear Sirs
I am a DTA holder at Strathclyde University, the funding for my Phd part of NECTISE
http://gow.epsrc.ac.uk/ViewGrant.aspx?GrantRef=EP/D505461/1
I am writing on three different issues as follows:
1. nectise glossary
Nectise project was terminated last year, however in order for me to proceed with my research i needed basic access to some of NECTiSE knowledge, for example the glossary, or controlled vocabulary
Although my DTA started in 2009, as of today i have been unable to find out
a) whether such a glossary exist
b) why despite this project being eprsc funded, all the relevant IP belongs to BAE Sustems
I am therefore making enquiry as to what is the EPRSC policy in relation to access to knowledge, should a research project which is funded under EPRSC not make at least some deliverables/outcomes of the research available to the public in general? or at a minimum. to other researchers working on the project?
Please refer to the email trail below for background
Note this email is part of an inquiry into 'knowledge reuse in systems engineering' whih is the main tpic of my doctoral research
2. I would like to carry out a case study to investigate how EPRSC facilitate knowledge reuse in the systems engineering field this would consist of a knowledge audit and some interviews, who can I talk to? is there anyone in charge of knowledge exchange?
3. As an experienced professional and invited expert I'd like to make a contribution to EPRSC technical committees listed here Please let me know who to contact, thankshttp://www.epsrc.ac.uk/about/partner/Pages/getinvolved.aspx
Thanks for your prompt attention
Paola Di Maio
*************************************
DMEM, Room 106
University of Strathclyde
75 Montrose St
Glasgow, G1 1XJ
t: +44(0) 141 548 4308
paola.dimaio@strath.ac.uk
________________________________________
From: Mike Henshaw [M.J.d.Henshaw@lboro.ac.uk]
Sent: Friday, January 29, 2010 10:36 PM
To: Paola Di Maio; David.Gunton@baesystems.com
Cc: Alex Duffy; Natalie Pugh
Subject: Re: Paola Di Maio
Dear Paola,
All NECTISE work is covered by agreements between BAE Systems and the individual universities.
Alex Duffy will hold the BAES-Strathclyde agreement should you wish to consult it. This has specific restrictions on use of IP and defines the conditions under which information is published.
The agreement is the same for all universities, except Loughborough where it covers a wider set of conditions. Specifically, the Loughborough agreement includes PhD students, but those for the other universities cover only employees.
BAES require PhD students to be covered through a separate agreement for use of NECTISE material.
Your award is through a separate funding stream and is not subject to the original partnership agreement.
The publications are listed in www.nectise.com
The release of all NECTISE deliverables is subject to BAES permission.
There are probably two courses of action you may wish to chose between.
1. Strathclyde establish a separate agreement for named individuals (students) to access all deliverables, 2. Request for specific deliverables should be made to David Gunton
This probably sounds a bit bureaucratic, but only BAES can determine the commercial sensitivity of information and we all signed the agreement with the restrictions.
You should deal directly with David on this issue.
I hope this clarifies the position for you.
Regards
Michael Henshaw
--
Michael J de C Henshaw
Professor of Systems Engineering
Loughborough University
On Fri, 29 Jan 2010 21:57:32 +0000
Paola Di Maio <paola.dimaio@strath.ac.uk> wrote:
> Dear Mike
>
> thanks a lot for reply
>
> I wait to hear from David accordingly at his convenince
>
> In the meantime, for further analysis of knowledge access to NECTISE
>please provide some information to the following points
>
> a) if you are (are) were the NECTISE consortium Director (as it
>appears on the website) why do you have to ask David (BAE) for
>permission to access?
> what is the relationship between NECTISE management and BAE? Who is
>making this decision? Based on what process/procedure?
>
> b) Where can I access the policy that defines who qualifies as a
>consortium member? do we have to rely on the decision of an individual?
>what guidlelines will David follow in granting/not granting
>permission?
>
> c) does the fact that I am a NECTISE DTA researcher, not automatically
>qualify me as a consortium partner?
> if not, why not? (what document /directive is being consulted or what
>decision making process is David
>following)
>
> e) What NECTISE deliverables to date are availabel for public access?
> what NECTISE deliverables are avaialble for academic research?
>
>
> Thanks in advance for any questions you may be able to answer
>
>
> best regards
>
> PDM
>
>
>
>
>
> Paola Di Maio
> *************************************
> DMEM, Room 106
> University of Strathclyde
> 75 Montrose St
> Glasgow, G1 1XJ
> t: +44(0) 141 548 4308
> paola.dimaio@strath.ac.uk
> ________________________________________
>From: Mike Henshaw [M.J.d.Henshaw@lboro.ac.uk]
> Sent: Wednesday, January 27, 2010 4:51 PM
> To: Gunton, David (UK)
> Cc: Paola Di Maio; Alex Duffy; Natalie Pugh
> Subject: Paola Di Maio
>
> Dear David,
>
> I have received various messages from Paola Di Maio today concerning
>access to the SDE for NECTISE.
>
> I think the situation is that she wants access, but doesn't currently
>have it. She is working on a NECTISE DTA project.
>
> I know that there is a special situation with regard to PhD students,
>because they are not covered by the standard agreement between BAES
>and its partner universities.
>
>From my point of view, we can set up access if required.
> The only information Natalie and I need is whether BAES grant access
>to Paola - i.e. we don't need to know any details about the agreement,
>just yes or no.
>
> If you can confirm by email that BAES gives permission, then we shall
>enable the access. If 'no' then we won't.
> Please let us know.
>
> Regards
>
> Michael Henshaw
>
>
> Michael J de C Henshaw BSc(Hons), MBA, PhD, MRAeS, MIEEE, MINCOSE
>Professor of Systems Engineering Engineering Systems of Systems (ESoS)
>Group Dept. of Electronic and Electrical Engineering Garendon Wing,
>Holywell Park Loughborough University
> LE11 3TU
>
> +44(0)1509 635 269
>
> http://www.lboro.ac.uk/departments/el/people/Henshaw-Michael-Professor
> .html
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