Open Science and European Access Policies in H2020

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  GEOTEC UJI and FOSTER project organized a training seminar in the context of GEO-C ESR entitled “Open Science and European Open Access policies in H2020”. The seminar took place in Castellon (Spain), Feb 12th from 9.30 to 14.00.
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  • 1. Facilitate Open Science Training for European Research Licensed under Creative Commons By 4.0 internacional
  • 2. FOSTER……Quick facts • Project Name: FACILITATE OPEN SCIENCE TRAINING FOR EUROPEAN RESEARCH • Project Acronym: FOSTER • Project number: 612425 • Start Date: 01/02/2014 • Duration: 30 months • Funding from the EC: 1.499.860,00€ • Website:
  • 3. Partners - Universidade do Minho – Portugal (coordinator) - Georg-August-Universitaet Goettingen Stiftung Oeffentlichen Rechts – Germany - Danmarks Tekniske Universitet – Denmark - Stichting – Netherlands - SPARC-Europe – UK - Stichting LIBER – Netherlands - University of Glasgow – DCC – UK - Technische Universiteit Delft – Netherlands - The Open University – UK - ICM - Uniwersytet Warszawski – Poland - Consortium Universitaire de Publications Numériques Couperin – France - Consejo Superior de Investigaciones Científicas – Spain - University of Edinburgh - DCC – UK
  • 4. General objectives • Support different stakeholders, especially young researchers, in adopting open access in the context of the European Research Area (ERA) and in complying with the open access policies and rules of participation set out for Horizon 2020; • Integrate open access principles and practice in the current research workflow by targeting the young researcher training environment; • Strengthen the institutional training capacity to foster compliance with the open access policies of the ERA and Horizon 2020 (beyond the FOSTER project); • Facilitate the adoption, reinforcement and implementation of open access policies from other European funders, in line with the EC’s recommendation.
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  • 7. FOSTER Courses
  • 8. Remedios Melero Consejo Superior de Investigaciones Científicas (CSIC), FOSTER partner Obra licenciada con Creative Commons By 4.0 internacional Open Science and European Access Policies in H2020
  • 9. Open access breakfast…20 min, take advantage of your time, however our seminar will be longer
  • 10. By "open access" to this literature (scholarly publications), we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited. Budapest Open Access Initiative (14 February 2002)
  • 11. “Open-access (OA) literature is digital, online, free of charge, and free of most copyright and licensing restrictions” Peter Suber’s definition:
  • 12. Open Access Policies: An Introduction from COAPI Open Access Explained!
  • 13. Gratis Libre +
  • 14. OA Green route… OA repositories Gold route …OA journals
  • 15. “Outputs behind paywall”
  • 16. “open outputs”
  • 17. Arbeck (2013). ess.svg
  • 18. “Open Science (OS) offers researchers tools and workflows for transparency, reproducibility, dissemination and transfer of new knowledge” “The conduction of science in a way that others can collaborate and contribute, where research data, lab notes and other research processes are freely available, with terms that allow reuse, redistribution and reproduction of the research. ( Open science, “Open science is the idea that scientific knowledge of all kinds should be openly shared as early as is practical in the discovery process.” (Michael Nielsen, ) Open Science Definitions
  • 19. Principles of Open Science Open Methodology (Methods, processess, relevant documents) Open Source (Soft- und Hardware) Open Data (data free to re-use) Open Access to scholarly outputs (gratis and libre) Open Peer Review (transparency in evaluation and quality criteria) Open Educational Resources (MOOCs, OERs)
  • 20. Open Science: One Term, Five Schools of Thought. ht.html Technological architecture Accessibility of knowledge creation Alternative impact measurement Access to knowledge Collaborative research
  • 21. Research Life Cycle and vs “opens” ……….
  • 22. Scheme from University of California- Irvine
  • 23. Univ. Queensland management
  • 24. Planning Implementation Publishing Discovery / Impact Preservation Reuse Research Life Cycle • OA resources (data, content) • Open software • Compliance with an OA policy? • Digital management plan (DMP)? • Open data • Open research data (Danton principles) • Open citizen science • Open Notebook science • Data sharing • OA repositories • OA journals • Data journals • Open peer review• OA servers providers/Search engines • Metrics • Altmetrics ( see Leiden Manifesto, DORA) • Social media • Data mining (see The Hague Declaration) • OA repositories • DCC centres • OA licences • Ethics • Codes of conduct
  • 25. Europe vs open access
  • 26. The Commission has carefully analysed the effects of open access policies on the scientific publishing market, both by means of a study and of a public consultation in 2006. These are available at: society/page_en.cfm?id=3185 In August 2008 The EC announce which parts of FP7 will be covered by the open access pilot? The pilot covers approximately 20% of the FP7 budget and will apply to specific areas of research under the 7th Research Framework Programme (FP7): Health; Energy; Environment; Information and Communication; Technologies (Cognitive Systems, Interaction, Robotics); Research Infrastructures (e-Infrastructures); Socio- economic Sciences and Humanities; Science in Society
  • 27. How was Open Access implemented in FP7? • General framework: EC and ERC Guidelines • Special Clause 39 in Grant Agreements • Best effort to achieve open access to publications • Choice between the two routes: GREEN and GOLD OA • Deposit in repository is mandatory (through author or publisher) • Maximum embargo of 6 months (science, technology, medicine) and 12 months (humanities and social sciences) • Support provided by OpenAIRE, IPR Helpdesk, others • Support activities developed during the running of FP7
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  • 30. Horizon2020
  • 31. society/index.cfm?fuseaction=public.topic&id=1301
  • 32. recommendation-access-and-preservation-scientific-information_en.pdf
  • 33. In Horizon 2020, both the ‘Green’ and ‘Gold’ models are considered valid approaches to achieve open access. All projects will be requested to immediately deposit an electronic version of their publications (final version or peer-reviewed manuscript) into an archive in a machine-readable format. The Commission will allow an embargo period of a maximum of six months, except for the social sciences and humanities where the maximum will be twelve months (due to publications’ longer ‘half-life’) The Commission encourages authors to retain their copyright and to grant licences to publishers, according to the rules applying in Member States. In addition, the Commission will to set up a pilot scheme on open access to and re-use of research data generated by projects in selected areas of Horizon 2020 In designing and implementing the pilot the Commission will take into account possible constraints on making research data openly accessible which may pertain to privacy, national security or data, and know-how and knowledge brought into projects as inputs.
  • 34. HEREBY RECOMMENDS THAT MEMBER STATES: Open access to scientific publications 1. Define clear policies for the dissemination of and open access to scientific publications resulting from publicly funded research. These policies should provide for: – concrete objectives and indicators to measure progress; – implementation plans, including the allocation of responsibilities; – associated financial planning. Ensure that, as a result of these policies: – there should be open access to publications resulting from publicly funded research as soon as possible, preferably immediately and in any case no later than six months after the date of publication, and twelve months for social sciences and humanities; – licensing systems contribute to open access to scientific publications resulting from publicly-funded research in a balanced way, in accordance with and without prejudice to the applicable copyright legislation, and encourage researchers to retain their copyright while granting licences to publishers;
  • 35. What changes in Horizon2020? • Update of Guidelines • New clauses in Grant Agreements • OA to publications is mandatory for all projects • OA to data piloted for 7 selected areas • Member States are requested to develop and align national OA policies and infrastructures ot/h2020-hi-oa-pilot-guide_en.pdf
  • 36. Grant Agreement: 29.2 Open access to scientific publications Each beneficiary must ensure open access (free of charge, online access for any user) to all peer-reviewed scientific publications relating to its results. In particular, it must: (a) as soon as possible and at the latest on publication, deposit a machine-readable electronic copy of the published version or final peer-reviewed manuscript accepted for publication in a repository for scientific publications; Moreover, the beneficiary must aim to deposit at the same time the research data needed to validate the results presented in the deposited scientific publications. (b) ensure open access to the deposited publication — via the repository — at the latest: (i) on publication, if an electronic version is available for free via the publisher, or (ii) within six months of publication (twelve months for publications in the social sciences and humanities) in any other case. (c) ensure open access — via the repository — to the bibliographic metadata that identify the deposited publication. The bibliographic metadata must be in a standard format and must include all of the following: - the terms ["European Union (EU)" and "Horizon 2020"]["Euratom" and Euratom research and training programme 2014-2018"]; - the name of the action, acronym and grant number; - the publication date, and length of embargo period if applicable, and - a persistent identifier.
  • 37. What to deposit • The final peer-reviewed manuscript, accepted for publication, including all modifications from the peer review process OR • A machine-readable copy of the published version (usually a PDF document). In principle this applies to all kinds of publications, but emphasis is on peer- reviewed journal articles Where to deposit • Institutional repository OR • Disciplinary repository (arXiv, Europe PubMed Central, etc.) OR • Zenodo ( if none of the above is available – a ECcofunded, multidisciplinary repository, for publications & data
  • 38. When to deposit • Each beneficiary must deposit as soon as possible and at the latest on publication. • Open access must be ensured immediately or after an embargo period: GREEN – 6-12 months depending on the research area and the choice of journal GOLD – inmediately
  • 39. Research Data Pilot in H2020 A novelty in Horizon 2020 is the Open Research Data Pilot which aims to improve and maximise access to and re-use of research data generated by projects. The legal requirements for projects participating in this pilot are contained in the optional article 29.3 of the Model Grant Agreement. a_pilot/h2020-hi-oa-data-mgt_en.pdf
  • 40. OA Publication Infrastructure Open Data Infrastructures Covering ‘European Knowledge’
  • 41. H2020 areas participating in the pilot • Future and Emerging Technologies • Research infrastructures – part e-Infrastructures • Leadership in enabling and industrial technologies – Information and Communication Technologies • Societal Challenge: 'Secure, Clean and Efficient Energy' – part Smart cities and communities • Societal Challenge: 'Climate Action, Environment, Resource Efficiency and Raw materials' – except raw materials • Societal Challenge: 'Europe in a changing world – inclusive, innovative and reflective Societies' • Science with and for Society Projects in other areas can participate on a voluntary basis
  • 42. References to research data management are included in Article 29.3 of the Model Grant Agreement (article applied to all projects participating in the Pilot on Open Research Data in Horizon 2020). 29.3 Open access to research data [OPTION for actions participating in the open Research Data Pilot: Regarding the digital research data generated in the action (‘data’), the beneficiaries must: (a) deposit in a research data repository and take measures to make it possible for third parties to access, mine, exploit, reproduce and disseminate — free of charge for any user — the following: (i) the data, including associated metadata, needed to validate the results presented in scientific publications as soon as possible; (ii) other data, including associated metadata, as specified and within the deadlines laid down in the ‘data management plan’ (see Annex 1); (b) provide information — via the repository — about tools and instruments at the disposal of the beneficiaries and necessary for validating the results (and — where possible — provide the tools and instruments themselves). gga-multi_en.pdf
  • 43. Requirements of the open data pilot 1. Develop (and update) a Data Management Plan ( deliverable within first 6 months, see previous guidelines) 2. Deposit in a research data repository 3. Make it possible for third parties to access, mine, exploit, reproduce and disemínate data – free of charge for any user 4. Provide information on the tools and instruments needed to validate the results (or provide the tools)
  • 44. Exemptions – reasons for opting out • If results are expected to be commercially or industrially exploited • If participation is incompatible with the need for confidentiality in connection with security issues • Incompatible with existing rules on the protection of personal data • Would jeopardize the achievement of the main aim of the action • If the project will not generate / collect any research data • If there are other legitimate reason to not take part in the Pilot Can opt out at proposal stage OR during lifetime of project. Should describe issues in the project Data Management Plan
  • 45. Annex 1: Data Management Plan (DMP) template The purpose of the Data Management Plan (DMP) is to provide an analysis of the main elements of the data management policy that will be used by the applicants with regard to all the datasets that will be generated by the project. DMP has to include: • Data set reference and name • Data set description • Standards and metadata • Data sharing • Archiving and preservation (including storage and backup) How to create a DMP
  • 46. Annex 1: Data Management Plan (DMP) template The purpose of the Data Management Plan (DMP) is to provide an analysis of the main elements of the data management policy that will be used by the applicants with regard to all the datasets that will be generated by the project. The DMP should address the points below • Data set reference and name Identifier for the data set to be produced • Data set description Description of the data that will be generated or collected, its origin (in case it is collected), nature and scale and to whom it could be useful, and whether it underpins a scientific publication. Information on the existence (or not) of similar data and the possibilities for integration and reuse. • Standards and metadata Reference to existing suitable standards of the discipline. If these do not exist, an outline on how and what metadata will be created.
  • 47. • Data sharing Description of how data will be shared, including access procedures, embargo periods (if any), outlines of technical mechanisms for dissemination and necessary software and other tools for enabling re-use, and definition of whether access will be widely open or restricted to specific groups. Identification of the repository where data will be stored, if already existing and identified, indicating in particular the type of repository (institutional, standard repository for the discipline, etc.). In case the dataset cannot be shared, the reasons for this should be mentioned (e.g. ethical, rules of personal data, intellectual property, commercial, privacy-related, security-related). • Archiving and preservation (including storage and backup) Description of the procedures that will be put in place for long-term preservation of the data. Indication of how long the data should be preserved, what is its approximated end volume, what the associated costs are and how these are planned to be covered.
  • 48. DMP online has been developed by the Digital Curation Centre (UK)
  • 49. Example: RoaDMaP-DMPs.pdf
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  • 51. Correspondence between Annex 1 from EU and DCC-DMP
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  • 55. DMPTOOL has been developed by the University of California Curation Center
  • 56. Open Science and Research Data Management Workshop for researchers and PhD students
  • 57. data-%E2%80%93-heres-why
  • 58. Accessible Data must be located in such a manner that it can readily be found and in a form that can be used. Useable In a format where others can use the data or information. Data should be able to be reused, often for different purposes, and therefore will require proper background information and metadata. Assessable In a state in which judgments can be made as to the data or information’s reliability. Intelligible Comprehensive for those who wish to scrutinise something. Open data must be accessible, useable, assessable and intelligible ( extracted from Science as an Open Enterprise, 2012 )
  • 59. Sharing data, a challenge? • “The best thing to do with your data will be thought of by someone else.” This thought by Rufus Pollock may be inspiring to some, but scary to others. • Research has shown that those who share data tend to get more citations for their articles ( Alan Hyndman ) • While publishing the result
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