Open access policiesand requirementsin Horizon 2020

Victoria Tsoukala, DG RTD G4 (Open Science)ITN 2019 – Coordinators Info Day, Brussels, 22 November

Why open access?

To optimise the impact and re-use of publicly-funded scientific research

Expected benefits:

• Better and more efficient science (incl. reproducibility)

• Economic growth

• Broader, faster, more transparent and equal access for the benefit of researchers, industry and citizens in the EU and beyond

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

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...

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 private funders also have robust mandates e.g. the Wellcome Trust, the B&M Gates Foundation...

The EC did not invent Open Access ;-)

Open Access in the FPs: stronger and stronger

FP7

OA Pilot

Deposit and open access

H2020

OA Mandatory

Deposit and open access

& ORD/DMP Pilot

H2020

OA Mandatory

Deposit and open access

& ORD/DMP by default (opt-out)

Horizon Europe

OA MandatoryDeposit and open access

DMP + FAIR data Mandatory

OD by default (opt-out)

& Open Science embedded

Requirements in Horizon 2020 for publications and data

Why MSCA & ITN publications are important for us!

Your numbers matter!

• MSCA is the second biggest producer of publications in H2020 with 21%

• MSCSA produces 6.2% of all H2020 publications

• MSCA produces close to 24% of H2020 peer-reviewed publications (total ca. 60K)

• ITN produces close to 1/3 of MSCA publications

Source: H2020 dashboard; Data capture: November 2019

Myth to get rid of: "H2020 is forcing me to publish!"

Scientific publications in H2020 (Art. 29.2)

• The rule: mandatory deposit and open access to peer-reviewed publications

What to do?

1. publish

2. deposit (always deposit) and

3. open access

learn this little song and you will always remember what to do

It’s called publish, depositand open access!

Subscription Publisher

Open accessPublisher

In summary, for publications

• Open access is mandatory, and in particular

Open access through repository is mandatory

• No opt-out of open access to publications

• Embargo acceptable for up to 6 or 12 months (SSH)

• APCs eligible costs

Leave me alone, isn’t it enough that I publish in an open access venue/journal? Why do I need to deposit and provide oa through repository?

By depositing and providing open access through your institutional or other appropriate repository you empower your institution to manage its intellectual output, as well as support the availability of research and knowledge for the public good for the future.

What about data in Horizon 2020?

Research data in H2020 (Art. 29.3) I/IIformerly known as the Open Research Data Pilot (ORD)

• Not so much a pilot any more! All projects by default in! • unless exception in WP

• you may choose to opt-out at any stage, under specific

conditions (not recommended)

• In reality ORD is about streamlining Research Data Management (RDM), of which open access only a part; aim: FAIR data• Don’t be afraid of article 29.3!

• It is possible to have the requirement of the article but still keep your data closed, if this is necessary

• Don’t opt-out unless absolutely necessary

What does article 29.3 require?1. Projects must produce a Data Management Plan

• Explains provisions for data curation, including access to it

• Repeated deliverable; must include some provisions at proposal stage

2. Projects must deposit in a data repository data needed to validate results in publications and other data

3. Projects must provide open access to data underlying publications and other data • This means ability to access, mine, exploit, reproduce and disseminate — free of charge

for any user;

• Open access is the default, under the principle ‘as open as possible, as closed as necessary’;

• If you cannot provide open access you can explain in the DMP the reasons; they to be specific and can be used to opt-out of the article entirely (next slide).

4. Provide information, via the repository, about tools and instruments for validating the results. • Where possible, the beneficiaries should provide those tools and instruments (e.g.

specialised software or software code, algorithms, analysis protocols, etc.).

You may keep your data closed and/or opt out of article 29.3 if:

1. Participation/OA is incompatible with the obligation to protect results (see Article 27)

2. Participation/OA is incompatible with the security obligations (see Article 37)

3. Participation/OA is incompatible with rules on protection of personal data

4. Participation/OA would mean that the project's main aim might not be achieved

5. The project will not generate/collect any research data

6. There are other legitimate reasons not to take part

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!

Participant Portal: online guide on open access https://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/open-access-dissemination_en.htm

***FAQs at bottom of page

Resources 1/3

https://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/amga/h2020-amga_en.pdf

Resources 2/3

Openaire and helpdesk. Ask questions!!! Get resources!!!

Resources 3/3

Thank you!

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