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LIBER	Joint	Workshop	
26	June	2019	
	
Vanessa	Proudman,	Director,	SPARC	Europe	
Policy	developments	in	Europe	
The	PSI	Dir...
LIBER	Workshop,	26	June	2019	
A	helicopter	view	
§  Public	Sector	Information	Directive	
§  Horizon	Europe	
§  Plan	S
LIBER	Workshop,	26	June	2019	
Directive	on	open	data	and	the	re-use	of	
public	sector	information	(PSI	Directive)		
https:...
LIBER	Workshop,	26	June	2019	
Definition	of	European	PSI	Directive		
Updates	a	2013	text	to	enhance	the	way	that	
publicly...
LIBER	Workshop,	26	June	2019	
PSI	Directive	approved	by		
European	Parliament	&	Council	
http://data.consilium.europa.eu/d...
LIBER	Workshop,	26	June	2019	
PSI:	The	scope	
“In	order	to	promote	the	use	of	open	data	and	
stimulate	innovation	in	produ...
LIBER	Workshop,	26	June	2019	
Open	Access	to	research	data	
“Open	access	is	understood	as	the	practice	of	providing	
onlin...
LIBER	Workshop,	26	June	2019	
PSI:	The	formats	
•  “… shall	make	their	documents	available	in	
any	pre-existing	format	or	...
LIBER	Workshop,	26	June	2019	
Article	10:	Research	data	
http://data.consilium.europa.eu/doc/document/PE-28-2019-INIT/en/p...
LIBER	Workshop,	26	June	2019	
Improving	access	to	research	data	
•  Requires	MS	to	establish	national	policies	and	
other	...
LIBER	Workshop,	26	June	2019	
Establishing	policies	for	RD	
“…it	is	appropriate	to	set	an	obligation	on	
Member	States	to	...
LIBER	Workshop,	26	June	2019	
Improving	access	to	research	data	
•  Follow	the	principle	of		
“As	open	as	possible,	as	clo...
LIBER	Workshop,	26	June	2019	
Improving	access	to	research	data	
•  “research	data	shall	be	re-usable	for	
commercial	or	n...
LIBER	Workshop,	26	June	2019	
Further	promoting	access	to	data	
across	borders	
  Open	APIs	should	be	used	where	possible	...
LIBER	Workshop,	26	June	2019	
Costs	for	libraries	
•  “Libraries	… should	be	able	to	charge	above	
marginal	costs	in	order...
LIBER	Workshop,	26	June	2019	
Digitisation	and	private	partnerships	
(49)	“… Where	an	exclusive	right	relates	to	
digitisa...
LIBER	Workshop,	26	June	2019	
PSI	amendments	not	approved	
When	data	is	restricted,	this	must	be	justified,	
recorded	and	...
LIBER	Workshop,	26	June	2019	
PSI	Directive	status	
http://data.consilium.europa.eu/doc/document/PE-28-2019-INIT/en/pdf	
C...
LIBER	Workshop,	26	June	2019	
EU	Framework	Horizon	Europe/FP9
LIBER	Workshop,	26	June	2019	
Horizon	Europe	status	
  Provisional	agreement	reached	20	Mar	2019	
Endorsed	by	the	European...
LIBER	Workshop,	26	June	2019	
HE	Programme	Key	OS	elements	
	
“fostering	open	science	and	ensuring	visibility	to	
the	publ...
LIBER	Workshop,	26	June	2019	
HE	Prog	on	OS	policy	development	
	“… Accelerating	the	transition	towards	open	
science,	by	...
LIBER	Workshop,	26	June	2019	
HE	Prog	and	realising	Open	Science	
	
“Horizon	Europe	will	provide	dedicated	support	
for	op...
LIBER	Workshop,	26	June	2019	
HE	Prog	on	research	OS	infrastructures	
•  Crucial	to	support	OA	to	research	infra	for	all	
...
LIBER	Workshop,	26	June	2019	
HE	Prog	on	reforming	research	system	
•  Encouraging	modernising	recognition	and	
reward	sys...
LIBER	Workshop,	26	June	2019	
1.		“The	programme	shall	encourage	open	science	as	
an	approach	to	the	scientific	process	ba...
LIBER	Workshop,	26	June	2019	
•  The	latter	shall	also	be	in	line	with	the	principle	'as	
open	as	possible,	as	closed	as	n...
LIBER	Workshop,	26	June	2019	
Rules	of	participation:		
OA,	IP	and	research	data		
	
“3.	… In	particular,	the	beneficiarie...
LIBER	Workshop,	26	June	2019	
“Beneficiaries	shall	manage	all	research	data	
generated	in	a	Horizon	Europe	action	in	line	...
LIBER	Workshop,	26	June	2019	
Rules	of	participation	on	RD	costs	
“Costs	related	to	open	access	including	data	
management...
LIBER	Workshop,	26	June	2019	
HE	amendments	not	approved	
  Open	access	to	research	data	and	its	
preservation	shall	be	th...
LIBER	Workshop,	26	June	2019	
Next	important	step:		
HE	Grant	Agreement	
  European	Commission	currently	working	on	
devel...
LIBER	Workshop,	26	June	2019	
Horizon	Europe	status	
  Provisional	agreement	reached	20	Mar	2019	
Endorsed	by	the	European...
LIBER	Workshop,	26	June	2019	
Plan	S	and	cOAlition	S	
Neil	Jacobs,	Jisc.	Interim	programme	manager		
https://www.coalition...
LIBER	Workshop,	26	June	2019	
12	June:	12	Plan	S	Ambassadors,	e.g.
LIBER	Workshop,	26	June	2019	
Plan	S	Implementation	Guidance,		
SPARC	Europe	feedback	
Influencing	process	
•  Extensive	c...
LIBER	Workshop,	26	June	2019	
The	10	principles:	The	key	principle	
“With	effect	from	2021,	all	scholarly	publications	on	...
LIBER	Workshop,	26	June	2019	
Plan	S
LIBER	Workshop,	26	June	2019	
SPARC	Europe	Plan	S	analysis,		
June	2019
LIBER	Workshop,	26	June	2019	
Plan	S:	Key	changes	
•  Start	date:	1	Jan	2021	
•  Not	only	public	but	also	private	funders	...
LIBER	Workshop,	26	June	2019	
Plan	S:	Key	changes	
•  Repositories	=	venue	w	OA	journals	&	platforms	
•  Several	repositor...
LIBER	Workshop,	26	June	2019	
Plan	S:	Key	changes	on	open	licensing	
•  Authors	or	institutions	retain	copyright.		
At	no	...
LIBER	Workshop,	26	June	2019	
Plan	S:	Key	changes	on	costs	
•  Hybrid	not	supported,	but	not	banned	outright	
•  Limit	cos...
LIBER	Workshop,	26	June	2019	
Next	steps	
  SPARC	Europe	Board	Meeting	discussing		
Plan	S	
  Deciding	on	where	to	support...
LIBER	Workshop,	26	June	2019	
The	proof	of	the	pudding	is	…	
	 	in	the	eating	
cOAlition	S	will	need	to	grow	and		
enable,...
LIBER	Workshop,	26	June	2019	
Thank	you	
www.sparceurope.org	
info@sparceurope.org	
	
Please	join	us	if	you	aren’t	yet	a	m...
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Policy developments in Europe. The Open Data / PSI Directive, Horizon Europe & Plan S

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Presented by SPARC Europe's Vanessa Proudman in Dublin on 26 June 2019 at a LIBER pre-conference workshop.

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Policy developments in Europe. The Open Data / PSI Directive, Horizon Europe & Plan S

  1. 1. LIBER Joint Workshop 26 June 2019 Vanessa Proudman, Director, SPARC Europe Policy developments in Europe The PSI Directive, Horizon Europe & Plan S
  2. 2. LIBER Workshop, 26 June 2019 A helicopter view §  Public Sector Information Directive §  Horizon Europe §  Plan S
  3. 3. LIBER Workshop, 26 June 2019 Directive on open data and the re-use of public sector information (PSI Directive) https://bit.ly/2Kz4MU3
  4. 4. LIBER Workshop, 26 June 2019 Definition of European PSI Directive Updates a 2013 text to enhance the way that publicly funded research data is made available, accessed and shared
  5. 5. LIBER Workshop, 26 June 2019 PSI Directive approved by European Parliament & Council http://data.consilium.europa.eu/doc/document/PE-28-2019-INIT/en/pdf 6 June 2019 adopted by European Council Comes into force in July 2019 To be published in the Official Journal of the EU (OJEU) 2 years to implement national legislation
  6. 6. LIBER Workshop, 26 June 2019 PSI: The scope “In order to promote the use of open data and stimulate innovation in products and services, this Directive establishes a set of minimum rules governing the re-use and the practical arrangements for facilitating re-use of: … (c) research data pursuant to the conditions set out in Article 10.” (Article 1) Emphasis added by VProudman
  7. 7. LIBER Workshop, 26 June 2019 Open Access to research data “Open access is understood as the practice of providing online access to research outputs free of charge for the end user and without restrictions on use and re-use beyond the possibility to require acknowledgement of authorship. Open access policies aim in particular to provide researchers and the public at large with access to research data as early as possible in the dissemination process and to facilitate its use and re- use.” (Recital 27) (Emphasis added by VProudman)
  8. 8. LIBER Workshop, 26 June 2019 PSI: The formats •  “… shall make their documents available in any pre-existing format or language and, where possible and appropriate, by electronic means, in formats that are open, machine- readable, accessible, findable and re-usable, together with their metadata. Both the format and the metadata shall, where possible, comply with formal open standards.” (Art 5, 1) •  Via suitable APIs •  High-value datasets (of socio-economic value)
  9. 9. LIBER Workshop, 26 June 2019 Article 10: Research data http://data.consilium.europa.eu/doc/document/PE-28-2019-INIT/en/pdf
  10. 10. LIBER Workshop, 26 June 2019 Improving access to research data •  Requires MS to establish national policies and other actions to make publicly funded research data openly available •  Policies addressed to research orgs & funders •  Following the principle of “open by default” & •  FAIR principles (Article 10) Emphasis added by VProudman
  11. 11. LIBER Workshop, 26 June 2019 Establishing policies for RD “…it is appropriate to set an obligation on Member States to adopt open access policies with respect to publicly funded research data and ensure that such policies are implemented by all research performing organisations and research funding organisations.” “subsidised by public funding or co-funded by public and private-sector entities.” (Recital 28) (Emphasis added by VProudman)
  12. 12. LIBER Workshop, 26 June 2019 Improving access to research data •  Follow the principle of “As open as possible, as closed as necessary” •  Take into account: “privacy, protection of personal data, confidentiality, national security, legitimate commercial interests, such as trade secrets, and to intellectual property” (Article 10) •  Excluding “national security, defence or public security” data (Recital 28)
  13. 13. LIBER Workshop, 26 June 2019 Improving access to research data •  “research data shall be re-usable for commercial or non-commercial purposes …” •  “ …insofar as they are publicly funded…” •  “have already made them publicly available through an institutional or subject-based repository” (Article 10) Emphasis added by VProudman
  14. 14. LIBER Workshop, 26 June 2019 Further promoting access to data across borders   Open APIs should be used where possible (32)   Member States to make practical arrangement to help find data (59)   MS should shall encourage the preservation of documents for re-use (59)
  15. 15. LIBER Workshop, 26 June 2019 Costs for libraries •  “Libraries … should be able to charge above marginal costs in order not to hinder their normal running.” Income should not exceed costs and a reasonable ROI. (38) •  Libraries do not need to recover costs to make reproduction, provision and dissemination of documents as well as for anonymisation of personal data and measures taken to protect commercially confidential information (Art 6, 1, 2)
  16. 16. LIBER Workshop, 26 June 2019 Digitisation and private partnerships (49) “… Where an exclusive right relates to digitisation of cultural resources, a certain period of exclusivity might be necessary in order to give the private partner the possibility to recoup its investment…. ”
  17. 17. LIBER Workshop, 26 June 2019 PSI amendments not approved When data is restricted, this must be justified, recorded and made public, ideally through public metdata   Promote the consistent use of DMPs   APIs shoudl be FAIR compatible: using open protocols   Data should be available through other local, national or international data infrastructure “Member States may extend the application of this Directive to research data made publicly available through other data infrastructures than repositories.” (28) Art 1, 1 “this Directive establishes a set of minimum rules governing the re-use and the practical arrangements for facilitating re-use of …”
  18. 18. LIBER Workshop, 26 June 2019 PSI Directive status http://data.consilium.europa.eu/doc/document/PE-28-2019-INIT/en/pdf Comes into force in July 2019 To be published in the Official Journal of the EU (OJEU) 2 years to implement national legislation Your help is needed to ensure that it is implemented optimally in your country
  19. 19. LIBER Workshop, 26 June 2019 EU Framework Horizon Europe/FP9
  20. 20. LIBER Workshop, 26 June 2019 Horizon Europe status   Provisional agreement reached 20 Mar 2019 Endorsed by the European Parliament on 17 April 2019   Budget still under negotiation Programme Rules for participation http://www.europarl.europa.eu/doceo/document/TA-8-2019-0396_EN.html
  21. 21. LIBER Workshop, 26 June 2019 HE Programme Key OS elements “fostering open science and ensuring visibility to the public and open access to scientific publications and research data, including appropriate exceptions” (Article 2, Operational Objectives)
  22. 22. LIBER Workshop, 26 June 2019 HE Prog on OS policy development “… Accelerating the transition towards open science, by monitoring, analysing and supporting the development and uptake of open science policies and practices, including the FAIR principles, at the level of Member States, regions, institutions and researchers, in a way that maximises synergies and coherence at EU level.” (2 Reforming and enhancing the EU research and innovation system) Emphasis added by VProudman
  23. 23. LIBER Workshop, 26 June 2019 HE Prog and realising Open Science “Horizon Europe will provide dedicated support for open access to scientific publications, to knowledge repositories and other data sources.” (Annex I, Dissemination and Communication)
  24. 24. LIBER Workshop, 26 June 2019 HE Prog on research OS infrastructures •  Crucial to support OA to research infra for all researchers, e.g. through EOSC •  Stimulates OS practise (3 Research infrastructures)
  25. 25. LIBER Workshop, 26 June 2019 HE Prog on reforming research system •  Encouraging modernising recognition and reward systems on national levels •  Promoting adoption of OS practices for researchers
  26. 26. LIBER Workshop, 26 June 2019 1. “The programme shall encourage open science as an approach to the scientific process based on cooperative work and diffusing knowledge, in particular in line with the following elements: -  open access to scientific publications resulting from research funded under the Programme; -  open access to research data, including those underlying scientific publications… (Article 10) Emphasis given by VProudman Rules of participation on Open Science
  27. 27. LIBER Workshop, 26 June 2019 •  The latter shall also be in line with the principle 'as open as possible, as closed as necessary';” •  Asking for reciprocity in OS in all agreements with third countries and indirect managers of the HE prog •  2. “Responsible management of research data shall be ensured” in line with the FAIR principles “Attention shall also be paid to the long-term preservation of data” •  3. “Other OS practices shall be promoted and encouraged, incl. for the benefit of SMEs.” (Article 10) Rules of participation on Open Science
  28. 28. LIBER Workshop, 26 June 2019 Rules of participation: OA, IP and research data “3. … In particular, the beneficiaries shall ensure that they or the authors retain sufficient intellectual property rights to comply with their open access requirements. Open access to research data shall be the general rule under the terms and conditions laid down in the grant agreement, ensuring the possibility of exceptions following the principle ‘as open as possible, as closed as necessary’ …” (Exploitation and dissemination (Art 35, 3)) Emphasis given by VProudman
  29. 29. LIBER Workshop, 26 June 2019 “Beneficiaries shall manage all research data generated in a Horizon Europe action in line with the FAIR principles and in accordance with the terms and conditions laid down in the grant agreement and shall establish a Data Management Plan. The work programme may provide, where justified, for additional obligations to use the European Open Science Cloud (EOSC) for storing and giving access to research data.” (Exploitation and dissemination (Art 35, 4)) Emphasis given by VProudman Rules of participation: RD and EOSC
  30. 30. LIBER Workshop, 26 June 2019 Rules of participation on RD costs “Costs related to open access including data management plans shall be eligible for reimbursement as further stipulated in the grant agreement.” (Article 32, 4b) Emphasis given by VProudman
  31. 31. LIBER Workshop, 26 June 2019 HE amendments not approved   Open access to research data and its preservation shall be the default When data is restricted, this must be justified and documented   Retain copyright in particular   Mandate the uptake of the EOSC
  32. 32. LIBER Workshop, 26 June 2019 Next important step: HE Grant Agreement   European Commission currently working on developing the HE Grant Agreement Contains the specific requirements for grantees   To be discussed with Member States in the autumn
  33. 33. LIBER Workshop, 26 June 2019 Horizon Europe status   Provisional agreement reached 20 Mar 2019 Endorsed by the European Parliament on 17 April 2019   Budget still under negotiation Programme Rules of participation http://www.europarl.europa.eu/doceo/document/TA-8-2019-0396_EN.html 17 April 2019 significant part adopted by European Parliament Grant agreement summer 2019 /MS autumn 2019 Still to be finalised (budget/interinstit. negotiations) Comes into force in 2021
  34. 34. LIBER Workshop, 26 June 2019 Plan S and cOAlition S Neil Jacobs, Jisc. Interim programme manager https://www.coalition-s.org/
  35. 35. LIBER Workshop, 26 June 2019 12 June: 12 Plan S Ambassadors, e.g.
  36. 36. LIBER Workshop, 26 June 2019 Plan S Implementation Guidance, SPARC Europe feedback Influencing process •  Extensive comments prior to open consultation •  Formal feedback on open consultation •  Discussion / mails: members of the task force
  37. 37. LIBER Workshop, 26 June 2019 The 10 principles: The key principle “With effect from 2021, all scholarly publications on the results from research funded by public or private grants provided by national, regional and international research councils and funding bodies, must be published in Open Access Journals, on Open Access Platforms, or made immediately available through Open Access Repositories without embargo.”
  38. 38. LIBER Workshop, 26 June 2019 Plan S
  39. 39. LIBER Workshop, 26 June 2019 SPARC Europe Plan S analysis, June 2019
  40. 40. LIBER Workshop, 26 June 2019 Plan S: Key changes •  Start date: 1 Jan 2021 •  Not only public but also private funders •  Assess research based on the work’s merit •  Calls on institutions to revise assessment procedures for early career researchers
  41. 41. LIBER Workshop, 26 June 2019 Plan S: Key changes •  Repositories = venue w OA journals & platforms •  Several repository requirements downgraded •  Exploration of risks to learned societies •  Tool to help researchers ID Plan S compliant venues
  42. 42. LIBER Workshop, 26 June 2019 Plan S: Key changes on open licensing •  Authors or institutions retain copyright. At no extra cost. A ‘License to publish’. Funders incl. © retention & rights to article in contracts & agreements where possible •  Repository deposit of VoR /AAM only route subscr. journals not part of trans agreemts •  CC BY 4.0 the default for art. 2nd: CC BY-SA 4.0 & CC0, CC BY-ND on request & with justification
  43. 43. LIBER Workshop, 26 June 2019 Plan S: Key changes on costs •  Hybrid not supported, but not banned outright •  Limit costs for some researchers or those from middle or low income countries. Waiver details •  Greater transparency on publishing. Fees: Publishers to break down prices on a publisher level and journal level where possible Editorial process / decision-making: annual stats Alignment: govt, unis, research orgs, libraries, academies, learned societies •  More collective support for non APC models and other established mechanisms
  44. 44. LIBER Workshop, 26 June 2019 Next steps   SPARC Europe Board Meeting discussing Plan S   Deciding on where to support libraries, funders and researchers in the implementation of Plan S   Plan of action
  45. 45. LIBER Workshop, 26 June 2019 The proof of the pudding is … in the eating cOAlition S will need to grow and enable, monitor and demonstrate change
  46. 46. LIBER Workshop, 26 June 2019 Thank you www.sparceurope.org info@sparceurope.org Please join us if you aren’t yet a member: https://bit.ly/2Ul2PAV

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