Presentation delivered during the Webinar organised by the NCP Academy on 21st November 2019

1. Open Science - from the
current policy context to
Horizon Europe
Alea López de San Román & Konstantinos Repanas, DG R&I
G.4, Open Science unit
NCP Academy Webinar, 21 November 2019

2. The policy context: Open Science
Open Science
=
Systemic transition of the
science system which affects
the way
● research is performed
● knowledge is shared/diffused/preserved
● research projects/results are evaluated
● research is funded
● researchers are rewarded
●future researchers are trained
Affecting the whole research cycle and all
its stakeholders
Illustration: Ron Dekker, CESSDA

3. Sharing knowledge and tools as early as
possible, not only between researchers and
between disciplines, but also with society at
large

4. Why is Open Science so important?
It's good for science: efficiency, verifiability, transparency,
inter-disciplinarity
It's good for the economy: access to and re-use of
scientific information by industry, innovation
It's good for society: broader, faster, transparent & equal
access for citizens, increased societal impact of science and
research

5. Main challenges and priorities
Improve the practice of
research and innovation
• Freely accessible scientific
publications
• Early sharing of all
research outputs
• All data FAIR
• Reproducible results
• Societal engagement and
responsibility
Develop proper enablers
• Infrastructures (including
EOSC)
• A research system that
rewards and incentivizes
researchers to adopt Open
Science practices, with
appropriate metrics
• Appropriate skills and
education, including for
research integrity

6. “The Open Science issue is […] an issue that is dear to my heart”
“Today, more than ever, we need researchers to share the results of their
projects with others, and to capitalize on the research of others”
“I will insist on having data that are […] reusable, accessible, of quality”
“There will be no strong European Union without our European citizens
understanding, supporting and sharing our common goals”
Commissioner-designate
Gabriel
EP Hearing (30/09/19)

7. Promoting Open Science as…
A policy maker
• We propose EU legislation
• We invite Member States to act
A funding agency
We set our own rules for EC-funded scientific research
and innovation
A capacity builder
We fund projects that support our policy

8. Open Science in the R&I
Framework Programmes

9. Open access
to scientific publications

10. Scientific publications in H2020
(Art. 29.2 MGA)
Mandatory open access to peer-reviewed
publications through repositories
What to do?
Deposit + open access

11. Open access
to research data

12. Research data in H2020
(Art. 29.3 MGA)
a.k.a. the Open Research Data Pilot (ORD)
Not so much a pilot any more! By default in!
• unless exception in WP
Addresses several things at once:
• Streamlining Research Data Management (RDM) as a standard
practice through Data Management Plans (DMPs)- required as
deliverable
• Open access to research data- as open as possible, as closed as
necessary!
Costs for open access to research data fully eligible during the
duration of the project

13. The Open Research Data Pilot will apply to all thematic
areas of Horizon 2020 from the start of the 2017 work
programme.
However, not all instruments are suitable for research data
sharing. The following instruments are excluded:
●"co-fund" and "prizes" instruments
●"ERC proof of concept" grants
●"ERA-Nets" that do not produce data
●SME instrument, phase 1
Coordination and support actions are included in the Open Research Data
Pilot, as many of them produce relevant data.
For 2-stage calls, information on participation in the Pilot will be requested
only at stage 2.

14. Which types of data?
1.●'underlying data'
(the data needed to validate the results presented in scientific
publications), including the associated metadata (i.e.
metadata describing the research data deposited), as soon
as possible
1.●any other data
(for instance curated data not directly attributable to a
publication, or raw data), including the associated
metadata, as specified and within the deadlines laid
down in the DMP – that is, according to the individual
judgement by each project/grantee.

15. Data Management Plans (DMPs)
●Projects need to create a DMP, except if they opt-out
(although they still can on a voluntary basis).
●DMP=early deliverable within 6 months of the start of the
project
●Living document! To be updated

16. But not all data can be open
“as open as possible, as closed as necessary!”
Projects can therefore partially or totally opt out at any stage
(either before or after signing the grant) or stay in and have their
data closed (and “just” have a DMP) if they explain that:
• ●participation is incompatible with the obligation to protect results
that can reasonably be expected to be commercially or
industrially exploited
• ●participation is incompatible with the need for confidentiality in
connection with security issues
• ●participation is incompatible with rules on protecting personal
data

17. • ●participation would mean that the project's main aim might not
be achieved
• ●the project will not generate / collect any research data or
• ●there are other legitimate reasons (you can enter these in a
free-text box at the proposal stage)

18. Participation in the Open Research Data Pilot
is not part of the project evaluation.
In other words, proposals will not be penalised for
opting out.

19. Some misconceptions…..
about Horizon 2020 and OA

20. "H2020 is forcing me to publish!"

21. "H2020 is forcing me to disclose all
of my data!"

22. Participant Portal H2020
Online Manual
Resources
http://ec.europa.eu/research/participants/doc
s/h2020-funding-guide/index_en.htm

23. What about Horizon Europe?

24. The evolution of the EU funding
programmes for R&I
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
(exceptions)
Horizon Europe
OA Mandatory
Deposit and open
access
DMP in line with
FAIR Mandatory
OD by default
(exceptions)
& Open Science
embedded

25. Horizon Europe goes beyond OA (publications & data)
to embrace & incentivise Open Science as modus
operandi for science

26. Articles setting Open Science
obligations in Horizon Europe
Article 2 defines open access and open science
Article 10 sets the obligations for Open Science with regard
to Open Access, RDM, FAIR and other open science practices.
It also sets the principle of reciprocity in Open Science.
Article 35 foresees further obligations in terms of IPR, Data
Management Plans, FAIR and use of European Open Science
Cloud and certain exceptions (“as open as possible as closed
as necessary”)
Open Science in
Horizon Europe

27. Article 2- Definitions
(4) 'open access' means the practice of providing online
access to research outputs resulting from actions funded
under the Programme, free of charge to the end-user, in
accordance with Article 10 and 35(3) of this Regulation;
(4a) 'open science' means an approach to the scientific
process based on open cooperative work, tools and diffusing
knowledge, including the elements of article 10.
Open Science in
Horizon Europe

28. Article 10- Open science
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.
These elements shall be ensured in accordance with Article
35(3) of this regulation. The latter shall also be in line with
the principle 'as open as possible, as closed as necessary';
Open Science in
Horizon Europe

29. Article 10- Open science
1a. The principle of reciprocity in open science shall be
promoted and encouraged in all association and cooperation
agreements with third countries, including agreements signed by
funding bodies entrusted for indirect management of the
Programme.
2. Responsible management of research data shall be
ensured in line with the principles ‘Findability’, ‘Accessibility’,
‘Interoperability’ and ‘Reusability’ (FAIR). Attention shall also be
paid to the long-term preservation of data.
3. Other open science practices shall be promoted and
encouraged, including for the benefit of SMEs.
Open Science in
Horizon Europe

30. Article 35- Exploitation and dissemination
3. Beneficiaries shall ensure that open access to scientific publications
applies under the terms and conditions laid down in the grant agreement. 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’, taking into consideration the legitimate interests of the
beneficiaries including commercial exploitation and any other constraints,
such as data protection rules, privacy, confidentiality, trade secrets, Union
competitive interests, security rules or intellectual property rights.
The work programme may provide for additional incentives or
obligations to adhere to open science practices.
Open Science in
Horizon Europe

31. Article 35- Exploitation and dissemination
4. 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.
Open Science in
Horizon Europe

33. Possible implementation of Plan S in HE
• Publication in hybrid journals allowed but not funded (already
announced in Horizon Europe´s Impact Assessment)
• Immediate open access: embargoes not accepted (already announced
in Horizon Europe´s Impact Assessment)
• Copyright retention and open license: copyright retention already in
the HE Regulation. Open license to be required in MGA

34. « The transition to Open Science is complex
and multifaceted, which means it is unlikely to
be immediate and will require substantive
resources and decision-making by all
stakeholders involved in supporting,
performing and using research. »
MLE on Open Science: Altmetrics and Reards – Incentives and Rewards to Engage in Open
Science Activities, Thematic Report No 3, November 2017

35. EUA, Research
Asssessment in the
Transition to Open
Science, October 2019

36. « The exclusive use of bibliometric parameters as
proxies for excellence in assessment by most
funding agencies and universities/research
organisations does not facilitate Open Science.
Researchers´ engagement in Open Science will
increase through encouragement and incentives
from employers and funders through
assessment. »
Evaluation of Research Careers fully acknowledging Open Science practices; Rewards, Incentives
and/or recognition for rseearchers practicing Open Science, July 2017

37. Evaluation of HE proposals
We´re currently exploring how to integrate Open
Science practices in the evaluation of HE proposals

38. The Open Research Europe
publishing platform
• Help H2020 beneficiaries and their researchers comply with
the open access mandate without paying APCs during and
after the grant
• Improve uptake of OA in H2020
• Promote OA as THE mode for publishing from now on
• Support open science and lead by example
 Early sharing of research (pre-prints + peer-reviewed articles)
 Open peer-review+ post publication commenting
 New generation metrics
• Explore business models in OA publishing and sustainability
• Tenders under evaluation

39. Open Science in the EU legislation
Revision of the Recommendation on access to and preservation
of scientific information (2018)
• Setting the landscape for OS with a view to tackle disparities
• Also covers infrastructure, metrics, rewards, skills…
Revision of the EU Copyright Directive (2018)
• Provides for an exception for research organisations to carry out Text
and Data Mining (data analytics)
Revision of the Open data and the re-use of public sector
information Directive (2018)
• Applies to publicly funded research data that are publicly available
through repositories
• ‘As open as possible, as closed as necessary
European Cloud Initiative (2016) Communication
• Tapping into the wealth of data in Europe
• European Open Science Cloud (EOSC)

40. 12
EOSC Concertation Meeting
• On 9-10 September 2019, the Commission organized a workshop
in Brussels to discuss the future of the EOSC with over 30 current
EOSC related projects of DGs CNECT and RTD and the EOSC
Executive and Governance Boards.
• The meeting was the first of its kind, and allowed for a dynamic
exchange between all participants to identify synergies, areas for
improvement and to prepare joint activities to benefit the whole
EOSC community.
www.eoscsecretariat.eu/news-opinion/eosc-concertation-report-public

41. EOSC Concertation Meeting: Key Conclusions
• User requirements should guide the development of EOSC through an open
and transparent process.
• The added value of EOSC relies on a serious and reliable AAI system, services
to facilitate the discoverability and use of data and computing resources,
availability of on-demand compute and storage capacity, common data
repository for long-term preservation of data, high speed connectivity for
efficient data transfer, and alignment with Euro High Performance Computing
(HPC) for processing big data sets.
• EOSC should first prioritise availability and access to data, interoperability
and federation and provide generic core services.
• On governance, EOSC should provide a clear framework with identified
priorities and guidance at both EU and Member State level. This will require a
strong coordination process.
• Sustainability and business models, rules of participation should be
addressed. Efforts should be channelled into building an EOSC brand through
targeted communication and outreach activities.
13

42. Work Plan is published!
Contents
• A first EOSC iteration
by end 2020
• Timeline
• Procedures and
required inputs
http://doi.org/10.2777/972843

43. A first EOSC iteration by end 2020
• Agreed and tested Rules of Participation
• Analysis of the existing national infrastructures and policies
• Financing model, legal entity & post 2020 governance structure
• Functioning federated core
• Initial set of EOSC data and services
• EOSC Interoperability Framework
• Persistent Identifier policy
• Metrics for FAIR data and certified services

44. Procedures and inputs
Governance Board EU funded projects National initiatives Coalition of Doers
WG
Landscape
WG
Sustainability
WG
Architecture
WG FAIR
WG Rules of
Participation
Define
Build
Coordinate
Endorse
Consult
Test
Iterate
Executive Board

45. EOSC Exec Board Working Groups
https://www.eoscsecretariat.eu/eosc-working-groups

46. How initial 5 WGs were formed
Members
• Nominations by Governance Board (all WGs)
• Nominations by Executive Board (FAIR WG)
• Nominations by H2020 projects (Architecture WG)
Contributors
• All WGs seeking inputs from existing projects and initiatives
• Architecture WG members have nominated experts to Task Forces
• WGs may invite presentations from H2020 projects, have experts
join meetings/telecons, and commission consultancy reports

47. WGs by numbers
Landscape
15 male
9 female
RoP
9 male
8 female
Architecture
37 male
3 female
FAIR
18 male
11 female
Sustainability
12 male
10 female
Experts represent 20 of the
EU Member States and
Associated Countries

48. Introduction
Background
Inventory -
stocktaking and
synthesis from
existing documents
Mechanisms,
modus operandi,
trends and
developments
Analysis and
generalization, good
practice examples,
preparedness of MS
A)EOSC related
infrastructures with
referenceframework
B) policies + legislation
A) operations of
infrastructures
B) policiesevolvement
in collaboration with the other
WGs and the projects (external
subcontractor)
JAN HRUŠÁK
Landscape WG Chair: Jan Hrusak
Independent Expert
• Initial document drafted. Presented to EB on 25 October & GB thereafter
• Second phase inputs to come in Q4 2019 from the INFRAEOSC-5B projects
• Plan to subcontract analytical work on MS preparedness
• Validation workshop foreseen for January 2020

49. Sustainability WG
´”Strawman
Document”
Sept 2019
Studies
End 2019/early 2020
Results/
Recommendations
Q3 2020
Co-Chairs RupertLueck
EMBL
Lidia Borrell-Damian
Science Europe
Strawman document
• Iterative approach – gradual growth of EOSC
• Start with MVP for publicly-funded researchers
• Further iterations, establishing Digital
Marketplaces to include additional services for
researchers, public sector and industry
• Plan studies on legal entity and business models

50. Architecture WG
• WG members have identified 5 key areas of work
• Authentication & Authorization Infrastructure (AAI)
• Persistent Identifier policy (with FAIR WG)
• Glossary (with Landscape WG)
• Metadata
• Data Access
• Two initial task forces launched – AAI & PID
Chair: Jean-Francois Abramatic
Independent Expert

51. FAIR WG progress
• All Task Forces have defining scope and reviewing
existing work/planned inputs
• Key outputs / progress to date
• Defining matrix map FAIR practice / maturity
• Drafting initial PID policy to consult at events
• Liaising with FAIRsFAIR and RDA on metrics & certification
• Considering what the EOSC Interoperability Framework
should cover and how it should be formed
Chair: Sarah Jones
Independent Expert

52. FAIR WG task forces (and leaders)
FAIR practice Interoperability
PID policy
Metrics &
certification
Dynamic duo
- Rob Hooft
- Marta Teperek
Identifier nerds
- Peter Wittenburg
- Rachael Kotarski
Research leads
- Francoise Genova
- Magnus Aronsen
Semantic specialists
- Oscar Corcho
- Krzys Kurowski

53. Rules of Participation WG
Working on scoping and partitioning the scope
Different RoP will be required for different roles (users, providers)
Questions for discussion:
1. How should the RoP constrain what service providers can require of users?
2. How should users discover and access EOSC services?
3. How should EOSC minimise the barriers to service providers taking part?
4. To what extent should all of the above apply to Non-European users and
service providers?
Chair: Juan Bicarregui
RDA representative

54. Engage with us!
https://www.eoscsecretariat.eu/events/
eosc-symposium-2019
https://www.eoscsecretariat.eu/events/international-
research-data-community-contributing-eosc

55. Open Science:
Main challenges and priorities
Improve the practice of
research and innovation
• Freely accessible scientific
publications
• Early sharing of all
research outputs
• All data FAIR
• Reproducible results
• Societal engagement and
responsibility
Develop proper enablers
• Infrastructures (including
EOSC)
• A research system that
rewards and incentivizes
researchers to adopt Open
Science practices, with
appropriate metrics
• Appropriate skills and
education, including for
research integrity

56. CC BY-SA 4.0
www.rd-alliance.org - @resdatall
The FAIR Principles
FINDABLE ACCESSIBLE INTEROPERABLE REUSABLE
discoverable with machine
readable metadata,
identifiable and locatable
by means of a standard
identification mechanism
available and
obtainable to
both human and
machines by open
protocols
sufficiently described and
shared with the least
restrictive licences, allowing
the widest reuse possible
across scientific disciplines
and borders, and the least
cumbersome integration
with other data sources
both syntactically parseable
and semantically
understandable, allowing
data exchange and reuse
among scientific disciplines,
researchers, institutions,
organisations and countries

57. CC BY-SA 4.0
FAIR data maturity model
www.rd-alliance.org - @resdatall
FAIR
The principles are not strict
➔ Ambiguity
➔ Wide range of interpretations of FAIRness
Different FAIR Assessment Frameworks
➔ Different metrics
➔ No comparison of results
➔ No benchmark
Solution
• Set of core assessment criteria for FAIRness
• FAIR data maturity model & toolset
• RDA recommendation
• FAIR data checklist
Join the RDA Working Group: RDA WG web page | GitHub

58. CC BY-SA 4.0
www.rd-alliance.org - @resdatall
Stakeholders
FAIR data maturity
model WG
Members
3 Co-
Chairs
(EU, USA,
AU)
Support
TARGET AUDIENCE
• Researchers, data stewards, other data professionals
• Data service owners, e.g. infrastructure, repositories
• Organisations that manage research data
• Policymakers

59. CC BY-SA 4.0
FAIR data maturity model in the context of Open Science
www.rd-alliance.org - @resdatall
1 I Solution for research policy monitoring
Clear set of indicators and levels associated with them
Interoperability of existing/emerging FAIR assessment frameworks
Pushing data owners to the next level of FAIRness
2 I Foster innovation and societal impact
Better data quality
More data can be processed
Clear context and provenance of data
Accelerate innovation in a global digital economy
Savings in money and in time

60. Cost of NOT having FAIR research data
(PwC study 2018, commissioned by the European Commission)

61.  FAIR Digital Objects: FAIR requires a model for
FAIR digital objects: outputs (data, software and
other research resources) have appropriate PIDs
(persistent and unique identifiers), use standard
formats, rich metadata, licenses
 FAIR ecosystem: FAIR requires an ecosystem of
components, including policies, DMPs, PIDs,
specifications and standards, repositories and
registries of these components
 Interoperability frameworks: Essential to
support research communities to develop
interoperability frameworks defining practices for
data sharing, data formats, metadata standards,
tools and infrastructure, within disciplines and for
interdisciplinary research
Turning FAIR into reality
https://tinyurl.com/y4ce7vrm

62. 2019
Policy
implementation
Policy context
2020
EC proposal for FAIR building blocks
Target groups
Demonstrate the
financial case
- Cost of not having FAIR
data
- Cost-benefit analysis
- Recommendations for
sustainability
Support
implementation
- Turning FAIR data into
reality
- FAIR data action plan
Provide
guidance
- European Research
Interoperability
Framework
Maximize
efficiencies
- Annual FAIR data
Work Plan
Promote
certification
- Accreditation /
certification scheme
Measure
readiness
- Core assessment
criteria
- FAIR data maturity
model
Ensure
governance
- FAIR data Working
Group
2018
Policy makers
Researchers
Funders
Infrastructures
Coordination Fora
European Cloud
Initiative
- Make open research
data the default option
- FAIR DMPs
EOSC
Declaration
- Commitments to
change towards FAIR
- Data culture and skills
- Rewards & incentives
- Data tools and services
Implementation
Roadmap
- FAIR related actions,
milestones and
resources
EOSC Council
Conclusions
- Foster FAIR data
- Make optimal use of
existing initiatives

63. May 2019 │ Version 25
Open Science across the programme
 Support to researcher skills and reward systems for open science
 Use of European Open Science Cloud
Mandatory Open Access to publications: beneficiaries shall ensure that
they or the authors retain sufficient intellectual property rights to comply with
open access requirements
Open Access to research data ensured: in line with the principle "as open as
possible, as closed as necessary"; Mandatory Data Management Plan for FAIR
(Findable, Accessible, Interoperable, Re-usable) and Open Research Data
Open Science
Better dissemination and exploitation of
R&I results and support to active
engagement of society

64. Open access to scientific publications to be
ensured
Open access to research data to be
ensured in line with principle 'as open as
possible, as closed as necessary'
Responsible research data management to
be ensured in line with FAIR principles
Other open science practices to be
promoted and encouraged
Reciprocity in open science to promoted and
encouraged in all association and cooperation
agreements with third countries
Open access to scientific publications
obligatory: sufficient IPR to be retained
Open access to research data, 'as open as
possible, as closed as necessary' : exceptions
Responsible research data management in
line with FAIR principles; Data Management
Plan mandatory; possible obligations (in
specific WPs) to use the European Open
Science Cloud for storing and providing
access to data
Possible additional incentives or obligations
through work programmes for other open
science practices
Open science across the programme
Art. 10 - Open Science
The approach
Art. 35 - Exploitation and Dissemination
The modalities