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Open access policies and requirements in Horizon 2020

An internal presentation given on the day following ALLEA workshop "Ethical aspects of open access"

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Open access policies and requirements in Horizon 2020

  1. 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. 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. 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. 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. 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. 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. 7. How are European RPOs doing? Source: NPR 2nd Report 2017 (to be published in spring 2018)
  8. 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. 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. 10. "H2020 is forcing me to publish!"
  11. 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. 12. What about data in Horizon 2020?
  13. 13. What are we talking about?
  14. 14. What is FAIR data?
  15. 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. 16. What is required in Horizon 2020?
  17. 17. "H2020 is forcing me to disclose all of my results!"
  18. 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. 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. 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. 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. 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. 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/

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