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Open Science and Horizon 2020


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Talk given at Repository Fringe 2015, August 4th 2015, Edinburgh, Scotland

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Open Science and Horizon 2020

  1. 1. Facilitate Open Science Training for European Research Open Science and Horizon 2020 Martin Donnelly Digital Curation Centre University of Edinburgh Repository Fringe Edinburgh, 4 August 2015
  2. 2. Overview 1.  Introduction (What is Open Science?) 2.  Policy context 3.  Open Science in Horizon 2020 a.  Overview b.  Focus on publications c.  Focus on data (and code…) 4.  Infrastructure and support a.  PASTEUR4OA b.  OpenAIRE c.  EUDAT d.  FOSTER
  3. 3. 1. INTRODUCTION •  Open Science is situated within a context of ever greater transparency, accessibility and accountability •  The impetus for Openness in research comes from two directions: •  Ground-up – OA began in the High Energy Physics research community, which saw benefit in not waiting for publication before sharing research findings (and data / code) •  Top-down – Government/funder support, increasing public and commercial engagement with research •  The main goals of these developments are to lower barriers to accessing the outputs of publicly funded research (or ‘science’ for short), to speed up the research process, and to strengthen the quality, integrity, impact and longevity of the scholarly record, as well as providing better ROI
  4. 4. 2. POLICY CONTEXT (i) UK •  RCUK has seven “Common Principles on Data Policy” •  Six of the the RCUK funders require data management plans, or equivalent, at the application stage, as do Wellcome and Cancer Research UK . The other (EPSRC) requires nothing short of an institutional data infrastructure (by May 2015). They also expect that DMP will be a key component of this USA •  National Science Foundation (NSF) announced a DMP requirement in 2010, effective 2011 •  White House Office of Science and Technology Policy requirement for DMPs announced March 2013 (programmes awarding >$100m annually). White House requirements include mechanisms covering compliance with plans and policies, and also cover costs of implementing plans AUSTRALIA •  In 2014 The Australian Research Council (ARC) released new instructions for applications for Laureate Fellowships and Discovery Grants. Both include the following requirements when describing a proposal… •  COMMUNICATION OF RESULTS: Outline plans for communicating the research results to other researchers and the broader community, including scholarly and public communication and dissemination •  MANAGEMENT OF DATA: Outline plans for the management of data produced as a result of the proposed research, including but not limited to storage, access and re-use arrangements
  5. 5. 2. POLICY CONTEXT (ii) SOUTH AFRICA •  Announced in January 2015 that (from March 2015) “authors of research papers generated from research either fully or partially funded by NRF, when submitting and publishing in academic journals, should deposit their final peer- reviewed manuscripts that have been accepted by the journals, to the administering Institution Repository with an embargo period of no more than 12 months.” •  In addition, the data supporting the publication should be deposited in an accredited Open Access repository, with the provision of a Digital Object Identifier for future citation and referencing. •  The NRF encourages its stakeholder community, including NRF’s Business Units and National Research Facilities, to: •  Formulate detailed policies on Open Access of publications and data from its funded research; •  Establish Open Access repositories; and •  Support public access to the repositories through web search and retrieval according to international standards and best practice.
  6. 6. Recap: Open Access in FP7 The EC’s Open Access pilot ran from August 2008 until the end of the Seventh Research Framework Programme (FP7) in 2013. It required grant recipients in certain areas to “deposit peer reviewed research articles or final manuscripts resulting from their FP7 projects into an online repository and make their best efforts to ensure open access to these articles.” Both green and gold OA were catered for. •  Rationale: •  to improve and promote the dissemination of knowledge, thereby •  improving the efficiency of scientific discovery, and •  maximising return on investment in R&D by public research funding bodies •  Coverage: Peer reviewed research articles in the following areas… •  Energy; Environment (including Climate Change); Health; Information and Communication Technologies (Cognitive Systems, Interaction, Robotics); Research Infrastructures (e-infrastructures); Science in society *; Socio-economic sciences and the humanities * •  Timing: Open access to these publications is to be ensured within six months after publication (* twelve months in the last two areas) •  Place of deposit: Institutional repository was first choice, failing that “an appropriate subject based/thematic repository” or the EC’s open repository for papers that would otherwise be homeless. •  Full guidelines:
  7. 7. Open Access now •  The EC sees a real economic benefit to OA by supporting SMEs and NGOs that can’t afford subscriptions to the latest research. It removes financial barriers, and serves as a mechanism for transferring technology and knowledge to the knowledge-based SME sector, and contributing to economic growth (cf the EC’s Innovation Union objectives on fuelling economic growth through investment in research) •  Houghton, Swan and Brown ( offer quantifiable evidence of how much a lack of OA costs SMEs, both in terms of the time lost accessing documents and the delays in producing new products
  8. 8. 3. OPEN SCIENCE IN H2020 (i) PUBLICATIONS •  All projects receiving Horizon 2020 funding are obliged to ensure that any peer-reviewed journal article they publish is openly accessible, free of charge, via a repository •  The researcher chooses where to publish, and whether to use a ‘gold’ (APC) or ‘green’ (self- archiving) publication route •  No current price cap on fees for APCs – write them into your proposals under the dissemination budget, and acknowledge funding in publications A detailed description of the OA mandate and Open Research Data Pilot is provided on the Participants’ Portal
  9. 9. 3. OPEN SCIENCE IN H2020 (ii) DATA MANAGEMENT •  H2020 features an Open Research Data pilot, and it seems likely that it will become an across-the-board requirement in FP9… •  It applies to data (and metadata) needed to validate scientific results, which should be deposited in a dedicated data repository •  The Horizon 2020 Open Research Data pilot covers “Innovation actions” and “Research and Innovation actions”, and involves three iterations of Data Management Plan (DMP) •  6 months after start of project, mid-project review, end-of-project (final review) •  DMP contents •  Data types; Standards used; Sharing/making available; Curation and preservation •  There are certain opt-out conditions
  10. 10. The Open Access mandate •  The EC view is that the new H2020 OA mandate does not restrict publishing in any way; researchers can publish where they choose. The only requirement is that they ensure the publication is made openly available via a repository. This can be done by: •  publishing with an OA journal, which may or may not charge an APC; •  publishing with a subscription-based journal, and depositing a copy into a repository (with open access being usually delayed by an embargo period imposed by the publisher); or •  (if the option is provided by the publisher) pay an APC to have an immediate open access copy.  •  Requirements apply to peer-reviewed articles rather than monographs, technical reports and conference proceedings, though these can be included as desired. All peer-reviewed publications should be made OA via the green or gold routes; •  In Horizon 2020, a copy of the article must always be deposited in a repository, even if the gold (or hybrid) option is chosen. It is no longer sufficient to make publications available on the project website. Deposit in repositories is required in all cases (including under gold OA), so the bibliographic data is open and can be harvested by services such as OpenAIRE; •  When researchers are deciding where to publish, it’s useful to consult a service like SHERPA RoMEO to see what open access options are available. Researchers could start with a list of targeted journals and prioritise, or use a mix-and-match approach •  The EC does not currently impose any price cap on fees for publication costs. Researchers should plan OA from the proposal stage, and write any APCs into the proposal under the dissemination budget; •  The primary document is “Guidelines on Open Access to Scientific Publications and Research Data in Horizon 2020” (2013)
  11. 11. The H2020 Open Data Pilot (i) AIM The Open Research Data Pilot aims to improve and maximise access to and re-use of research data generated by projects. It will be monitored throughout Horizon 2020 with a view to further developing EC policy on open research. SCOPE  For the 2014-2015 Work Programme, the areas of Horizon 2020 participating in the Open Research Data Pilot are: •  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 This corresponds to about €3 billion or 20% of the overall Horizon 2020 budget in 2014-2015. COVERAGE The Open Research Data Pilot applies to two types of data: 1.  the data, including associated metadata, needed to validate the results presented in scientific publications as soon as possible; 2.  other data, including associated metadata, as specified and within the deadlines laid down in the data management plan.
  12. 12. The H2020 Open Data Pilot (ii) STEP 1 •  The data should be deposited, preferably in a dedicated research data repository. These may be subject-based/thematic, institutional or centralised. •  EC suggests the Registry of Research Data Repositories ( and Databib ( for researchers looking to identify an appropriate repository •  Open Access Infrastructure for Research in Europe (OpenAIRE) will also become an entry point for linking publications to data. STEP 2 •  So far as possible, projects must then take measures to enable for third parties to access, mine, exploit, reproduce and disseminate (free of charge for any user) this research data. •  EC suggests attaching Creative Commons Licence (CC-BY or CC0) to the data deposited (, •  At the same time, projects should provide information via the chosen repository about tools and instruments at the disposal of the beneficiaries and necessary for validating the results, for instance specialised software or software code, algorithms, analysis protocols, etc. Where possible, they should provide the tools and instruments themselves.
  13. 13. The H2020 Open Data Pilot (iii) COSTS Costs relating to the implementation of the pilot will be eligible. Specific technical and professional support services will also be provided (e- Infrastructures WP), e.g. EUDAT, OpenAIRE, and FOSTER. OPT-OUTS Opt outs are possible, either total or partial. Projects may opt out of the Pilot at any stage, for a variety of reasons, e.g.  •  if participation in the Pilot on Open Research Data is incompatible with the Horizon 2020 obligation to protect results if they can reasonably be expected to be commercially or industrially exploited; •  confidentiality (e.g. security issues, protection of personal data); •  if participation in the Pilot on Open Research Data would jeopardise the achievement of the main aim of the action; •  if the project will not generate / collect any research data; •  if there are other legitimate reasons to not take part in the Pilot (to be declared at proposal stage)
  15. 15. •  PASTEUR4OA supports the aim of encouraging the development of compatible and coherent policies on Open Access and Open Data in the European Union, according to the European Commission’s Recommendation on “Access to and preservation of scientific information” (July 2012) and in view of maximizing alignment with the Horizon 2020 policy on access to the research funded by the Commission. •  The project supports the development and/or reinforcement of Open Access strategies and policies at the national level and facilitate their coordination among all Member States. It will build a network of centres of expertise in Member States that will develop a coordinated and collaborative programme of activities in support of policymaking at the national level under the direction of project partners. •  Specifically, PASTEUR4OA will improve coordination in developing OA policies that align to the European Commission’s Recommendations and Horizon2020 rules by realizing the following measurable and verifiable objectives: •  The identification of Key Node organisations throughout Europe and in accession/associated states, on the basis of their institutional profile, record and ability to influence policymaking, and the development of a network of expert organisations •  The development of a programme for engaging policymakers •  A Europe-wide project meeting of national experts •  Establish the foundations of a Knowledge Net by the end of the project through continuous engagement of the Key Node organisations. •  Recording policies and policy types in order to develop a policy typology •  Policy analysis: effectiveness and growth •  A mapping of existing policies to policymakers •  Development of advocacy materials •  The identification of policymakers in the MS and accession/associated states •  Policymaker engagement •  The project’s final conference which will bring together Key Node members and policymakers, as well as provide the opportunity for a wider presentation of project achievements  PASTEUR4OA
  16. 16. •  A large scale initiative, with 50 partners from all EU countries, collaborating to promote open scholarship and improve the discoverability and reusability of research publications and data. •  Brings together stakeholders from research libraries, open scholarship organisations, national e- Infrastructure and data experts, IT and legal researchers •  National Open Access Desks (NOADs) will collect H2020 project outputs, and support research data management. The OpenAIRE platform is the technical infrastructure that pulls together and joins these large-scale collections of research outputs across Europe. The project will create workflows and services on top of this valuable repository content, enabling an interoperable network of repositories via the adoption of common guidelines, and easy upload into an all-purpose repository (i.e. Zenodo). •  OpenAIRE2020 will assist in monitoring H2020 research outputs and will be a key infrastructure for reporting H2020’s scientific publications as it will be loosely coupled to the EC’s IT backend systems.  •  Supports the H2020 Research Data Pilot through European-wide outreach for best RDM practice, and Zenodo, providing long-tail data storage. •  Other activities include: collaboration with national funders to reinforce the infrastructure’s research analytic services; an APC Gold OA pilot for FP7 publications with collaboration from LIBER; novel methods of review and scientific publishing (via; a study and a pilot on scientific indicators related to open access with CWTS’s assistance; legal studies to investigate data privacy issues relevant to the Open Data Pilot; international alignment with related networks elsewhere with the involvement of COAR. OpenAIRE
  17. 17. •  EUDAT offers common data services through a geographically distributed, resilient network of 35 European organisations. These shared services and storage resources are distributed across 15 European nations and data is stored alongside some of Europe’s most powerful supercomputers. •  The EUDAT services address the full lifecycle of research data, covering both access and deposit, from informal data sharing to long-term archiving, and addressing identification, discoverability and computability of both long-tail and big data •  The vision is to enable European researchers and practitioners from any academic discipline to preserve, find, access, and process data in a trusted environment, as part of a Collaborative Data Infrastructure (CDI) conceived as a network of collaborating, cooperating centres, combining the richness of numerous community-specific data repositories with the permanence and persistence of some of Europe’s largest scientific data centres •  Seeks to bridge the gap between research infrastructures and e-Infrastructures through an active engagement strategy, using the communities in the consortium as EUDAT beacons, and integrating others through innovative partnership approaches •  Jisc and DCC are partners, and we’re working to integrate DCC’s DMPonline tool with the EUDAT suite of services / infrastructure EUDAT
  18. 18. OBJECTIVES •  To support different stakeholders, especially younger 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 •  To integrate open access principles and practice in the current research workflow by targeting the young researcher training environment •  To strengthen institutional training capacity to foster compliance with the open access policies of the ERA and Horizon 2020 (beyond the FOSTER project) •  To facilitate the adoption, reinforcement and implementation of open access policies from other European funders, in line with the EC’s recommendation, in partnership with PASTEUR4OA project Facilitate Open Science Training for European Research The project
  19. 19. METHODS •  Identifying already existing content that can be reused in the context of the training activities and repackaging, reformatting them to be used within FOSTER, and developing/creating/enhancing contents as required •  Developing the FOSTER Portal to support e-learning, blended learning, self-learning, dissemination of training materials/contents and a Helpdesk •  Delivery of face-to-face training, especially training trainers/ multipliers who can deliver further training and dissemination activities, within institutions, nations or disciplinary communities •  The EU is also funding other specific technical and professional support services via the e-Infrastructures WP, e.g. EUDAT and OpenAIRE Facilitate Open Science Training for European Research The project
  20. 20. THANK YOU •  For more information about the FOSTER project: •  Website: •  Principal investigator: Eloy Rodrigues ( •  General enquiries: Gwen Franck ( •  Twitter: @fosterscience •  My contact details: •  Email: •  Twitter: @mkdDCC •  Slideshare: martindonnelly This work is licensed under the Creative Commons Attribution 2.5 UK: Scotland License.