Horizon 2020 Ian Devine European Advisor – UK Research Office University of Manchester, 11 September 2014

 What is Open Access & EU Policy  Open Access: Publications  Open Access: Research Data  Summary and Links

Horizon 2020

OA = online access at no charge to the user to peer-reviewed scientific publications to research data Two main OA publishing business models Green OAimmediate/delayed OAGreen OA: deposit of manuscripts immediate/delayed OA: provided by author Gold OAimmediate OAGold OA: costs covered (e.g. by 'authors') immediate OA: provided by publisher I. Not an obligation to publish / not at odds with patenting II. OA publications go through the same peer review process

 The EU aims to optimise the impact of publicly-funded scientific research At European level (Framework Programmes) At Member State level  Horizon 2020  European Research Area  Expected impacts: Economic growth (accelerated innovation)  OA is part of the innovation union flagship initiative (commitment 20) Better science (build on previous results) More efficient science (avoid duplication) Improved transparency (involving citizens & society) Wider dissemination with retained quality

 Policy maker It proposes EU legislation & legislates with other EU institutions It invites Member States to act  Funding agency It sets its own access and dissemination rules for EC- funded research  Capacity builder It funds projects that support EC/EU policy

Horizon 2020

 Pilot in 7 areas and >1300 projects to date 20% of total FP7 budget ( )  OA publishing costs eligible in FP7 Since the beginning of FP7 & for all projects  Details in the FP7 model Grant Agreement  Costing limited to duration of project  EC funds OpenAIRE (Open Access Infrastructure for Research in Europe) OA infrastructure and national helpdesks. Currently identifies over FP7 publications

 EC Survey (Summer 2011) >50% did not know of the possibility of costing OA  Only 8 projects out of 194 answers reported they used costing option For 72% of respondents, reimbursement of Gold OA is restricted by the fact that most publishing activities occur after the project end Almost 70% of respondents thought it better to use self- archiving (‘Green’ OA) to satisfy OA requirements

29.1 General obligation to disseminate results Unless it goes against their legitimate interests, each beneficiary must — as soon as possible — ‘disseminate’ its results by disclosing them to the public by appropriate means (other than those resulting from protecting or exploiting the results), including in scientific publications (in any medium). Horizon 2020 Model Grant Agreement

 FP7  OA to publications Green open access pilot in 7 areas of FP7 with 'best effort' stipulation  Allowed embargos: 6/12 months Gold open access costs eligible for reimbursement as part of the project budget while the project runs  Horizon 2020  OA to publications Obligation to provide OA, either through the green or gold way  Allowed embargos: 6/12* months All areas Gold open access costs eligible for reimbursement as part of the project budget while the project runs, other support being considered New! *12 month embargo for SSH publications

Source: European Commission

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. 189 (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 ’]; - the name of the action, acronym and grant number; - the publication date, and length of embargo period if applicable, and - a persistent identifier.

Horizon 2020

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.

 FP7 OA to data ERC guidelines, otherwise no action Other Funding of projects and studies on OA relevant issues  Horizon 2020 OA to data Pilot currently covering selected  Opt-out possible  Opt-in for other areas possible Other Funding of projects and studies on OA relevant issues New!

“…aims to improve and maximise access to and re-use of research data generated by projects.”

Horizon 2020  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 and 2015.

 Projects may opt out of the Pilot on Open Research Data in Horizon 2020 in a series of cases: If the project will not generate / collect any data Conflict with obligation to protect results Conflict with confidentiality obligations Conflict with security obligations Conflict with rules on protection of personal data If the achievement of the action’s main objective would be jeopardised by making specific parts of the research data openly accessible (to be explained in data management plan) Note: Participation in the pilot not considered as part of the evaluation process and opting out remains an option throughout project.

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). This does not change the obligation to protect results in Article 27, the confidentiality obligations in Article 36, the security obligations in Article 37 or the obligations to protect personal data in Article 39, all of which still apply. As an exception, the beneficiaries do not have to ensure open access to specific parts of their research data if the achievement of the action’s main objective, as described in Annex 1, would be jeopardised by making those specific parts of the research data openly accessible. In this case, the data management plan must contain the reasons for not giving access. Article included in Grant Agreement if part of the Pilot

New to Horizon 2020! Application stage:  Where relevant, Horizon 2020 project proposals must include a section on data management which is evaluated under the criterion 'Impact'. Award Stage:  A first version of the data management plan must be provided as an early deliverable within six months of the project (to be mentioned in proposal)

DMPs should include:  What types of data will the project generate/collect?  What standards will be used?  How will this data be exploited and/or shared/made accessible for verification and re- use? If data cannot be made available, explain why.  How will this data be curated and preserved? To be detailed in Part B of the application form

DMP Template provided in data management guidance annex 1: Includes:  Data set reference and name  Data set description  Standards and metadata  Data sharing  Archiving and preservation (including storage and backup)

DMP throughout the project lifespan:  The DMP is not fixed  It evolves and gains substance through the project  Initial version should adhere to template, more elaborated versions can be developed later  DMP to be fine-tuned at mid-term and final report  DMP should be developed when important changes occcur

 Incentives: Costs relating to the implementation of the pilot will be eligible.  Support: Specific technical and professional support services will also be provided (e- Infrastructures WP).

Horizon 2020

Open access as a means to improve knowledge circulation in the ERA and beyond Green GoldOpen access to publications: a general principle in H2020 (both Green and Gold open access measures supported) Open access to data: a limited pilot under development, though all welcome to opt-it Next challenges: OA to data, alternative metrics, Text and Data Mining

Guidelines on OA (publications and research data) ts_manual/hi/oa_pilot/h2020-hi-oa-pilot-guide_en.pdf Guidelines on Data Management ts_manual/hi/oa_pilot/h2020-hi-oa-data-mgt_en.pdf EC OA website European Research Area (ERA) Study to measure growth of OA Innovation Union