The document discusses open access policies and requirements in Horizon 2020, the EU's research and innovation programme. It provides three main reasons for open access policies: to optimize the impact and reuse of publicly funded research, enable better and more efficient science, and promote broader access. It outlines Horizon 2020's requirements for open access to publications and data, including green or gold open access for publications and promoting open access to research data. The document also discusses challenges in implementing open data policies and the need for cultural change and adapted metrics to further develop open science.

1. Open access policies
and requirements
in Horizon 2020
Jean-François Dechamp
DG RTD A.6
Training Ethics in H2020, 2 February 2018, Brussels

2. Why do we do that?
We want to optimise the impact and re-use of publicly-
funded scientific research
• At European level (FP7 & Horizon 2020)
• At Member State level
 Open access is one way (among others) to get there!
 Open access is not an objective per se!
Expected benefits:
• Better and more efficient science
• Economic growth
• Broader, faster, more transparent and equal access for
the benefit of researchers, industry and citizens in the
EU and beyond

3. Who are we to do so?
We are a funding agency
• The EC sets its own rules for EC-funded
scientific research and innovation
We are a policy maker
• The EC proposes EU legislation
• It legislates with other Community
institutions (European Parliament,
Council...)
• It invites Member States to act
We are a capacity builder
• The EC funds projects that support its
own and EU policy

4. How do we do it?
Horizon 2020
• Requirements for open access to publications and data
• Funding for the uptake of such policies in MS
• Funding for the development interoperable infrastructures that support open
access and open science at the European level (primarily through the RI WP)
• Building on investments in infrastructures to develop the European Open Science
Cloud (EOSC), a trusted virtual environment to enable data driven science across
boundaries and disciplines (work in progress)
2012 Recommendation on Scientific Information
• Reports from National Points of Reference
• Upcoming review of the 2012 Recommendation in Spring 2018
2016 Council Conclusions
• Support for OA publications, data re-use & data management
Stakeholders and expertise
• Open Science Policy Platform, expert groups...

5. Are we isolated?
There are other robust policies around the world
• Strong US OA mandate for federally funded research (agencies
with budget of over 100 million €), most notably NIH
• Strong green open access mandate in Latin America (SCIELO)
• Strong open access policies also in Canada, Australia and
Japan
• Developing policies in other countries, e.g. China, Russia…
Key non-state funders also have robust mandates e.g.
the Wellcome Trust, the B&M Gates Foundation...
The EC did not invent Open Access ;-)

6. How are EU Member States doing?
AT BE BG HR
CY
CZ
DK EE
FI
FR
DE
EL
HU
IE
IT
LV
LT
LU
MT
NL
PL
PT
RO
SK
SI
ES
SE
UK
NO
CH
TR
0 2 4 6 8 10 12
Yes, implemented
Yes, Adopted
Yes, in discussion
No
A1.1a Government policies: Policies or overall strategies to encourage or mandate
dissemination of and OA to scientific publications are defined at the national level
Source: NPR 2nd Report 2017 (to be published in spring 2018)

7. How are European RPOs doing?
Source: NPR 2nd Report 2017 (to be published in spring 2018)

8. What about us?
FP7
OA Green or
Gold+Green
Pilot
H2020
OA Green or
Gold+Green
obligation
& ORD/DMP Pilot
H2020
OA Green or
Gold+Green
obligation
& ORD/DMP by
default
FP9
Will go beyond
OA embrace
and embed
Open
Science!?

9. Open access in Horizon 2020
Regulation establishing Horizon 2020
"To increase the circulation and exploitation of knowledge, open access to
scientific publications should be ensured. Furthermore, open access to
research data resulting from publicly funded research under Horizon 2020
should be promoted, taking into account constraints pertaining to privacy,
national security and intellectual property rights"
Rules for participation
Open access to scientific publications resulting from publicly funded
research under Horizon 2020 shall be ensured [...].
Open access to research data resulting from publicly funded research
under Horizon 2020 shall be promoted. [...].

10. "H2020 is forcing me to publish!"

11. In summary, for publications
Depositing in repositories to make a paper open
access or publishing directly in open access are
both supported, however…
Depositing in a repository and providing open
access is a requirement
That is: Green or Gold+Green obligation
Note: Article Processing Charges (APCs) for open
access publishing are eligible costs

12. What about data in Horizon 2020?

13. What are we talking about?

14. What is FAIR data?

15. "It's complicated"
Yes and no. In the past our policy mainly addressed
'openness', which is connected to the 'accessibility'
part of FAIR (A = Accessible)
• Started off with 'open access to research data'
• Moved towards open research data with the ORD
Pilot (which also covered further aspects)
• We are now seeing openness as one component of
FAIR data and aim to address all of the FAIR
aspects in Horizon 2020
Key document: Data Management Plan (DMP)
Key practice: opting-out

16. What is required in Horizon 2020?

17. "H2020 is forcing me to disclose all
of my results!"

18. How are EU Member States doing?
AT
BE BG HR
CY
CZ
DK
EE
FI
FR
DE EL
HU
IE IT
LV
LT LU
MT
NL
PL
PT RO
SK
SI
ES SE
UK
NO
CH
TR
0 2 4 6 8 10 12 14 16
Yes, implemented
Yes, adopted
Yes, in discussion
No
3.1a National Policies or overall strategies to encourage or mandate dissemination of
and OA to research data are defined at the national level
Source: NPR 2nd Report 2017 (to be published in spring 2018)

19. How about DMPs in Europe?
AT
AT BE
BG
HR
CY CZ
DK
EE FI
FR DE
EL
HU
IE
IT
LV
LT LU
MT
NL PL PT RO SK SI
ES
SE UK
NO
CH
TR
0 2 4 6 8 10 12 14 16 18
Yes
No
Not applicable
3.2 Data Management Plans (DMPs) are included or considered as an element of the
policies or overall strategies at country level
Source: NPR 2nd Report 2017 (to be published in spring 2018)

20. And FAIR data?
AT BE
BG
HR
CY
CZ
DK
EE
FI FR
DE EL
HU
IE
LV LT
LU
MT
NL
PL
PT RO
SK
SI
ES
SE UK
NO
CH TR
0 2 4 6 8 10 12 14 16
Yes
No
Not applicable
3.3 The concept of FAIR data (Findable, Accessible, Interoperable, Re-usable) or
equivalent is included or considered as an element of the policies or overall strategies at
country level:
Source: NPR 2nd Report 2017 (to be published in spring 2018)

21. How are European RPOs doing?
AT BE BG
HR CY
CZ DK EE FI FR DE
EL HU IE IT
LV LT LU
MT
NL
PL
PT
RO
SK SI
ES SE UK NO
CH
TR
0 2 4 6 8 10 12 14 16 18 20
All of them in the country
Some of them
None
4.1 Policies or overall strategies of academic institutions and/ or research centres
encourage or mandate dissemination of and OA to research data
Source: NPR 2nd Report 2017 (to be published in spring 2018)

22. Conclusion: challenges & tools
Open access to publications
• Reinforced monitoring & incentives
• Authors: care for your papers!
Open access to research data
• Mainstreaming FAIR data requires a change in scientific culture
• Yes to 'excellence' in research but no to DMP: seriously?
Tools to further develop/adapt policy
• Open Science Policy Platform (OSPP)
• Commission Expert Groups on FAIR data, on Future of scholarly
communication, on New Generation Metrics
• Continuing dialogue & cooperation with Member States
• More adapted metrics / reward academics for sharing results!

23. Pointers
Participant Portal: an entire
section with info/FAQs and
guidelines on Open Access and
Data Management in H2020
OpenAIRE: always helpful to
H2020 grantees & POs
Twitter: @OpenAccessEC
Mail: RTD-open-access@ec.europa.eu
Web: http://ec.europa.eu/research/swafs/