A comprehensive presentation of the Horizon Europe open science policy and its implementation

1. Open Science
in Horizon Europe:
a comprehensive approach
Dr Victoria Tsoukala, Policy Officer
Unit ‘Open Science’, DG RTD
NPR Meeting 2021
March 16th 2021

2. FP7
Open access
OA Pilot for publications
H2020
Open access
Mandatory OA to publications
+
ORD/RDM (pilot in 2014;
mainstreamed in 2017)
Horizon Europe
Open science
Open access to publications
and data ensured
(exceptions) –FAIR data-
DMP-long-term preservation
Open science practices
promoted and encouraged
(incentives+obligations)
Sufficient IPR to be
maintained
Evolution of the policies across the FPs
2008
2014
2021

3. The Regulation: Important elements for OS
• Open science encouraged as an approach to the scientific process
• OA to publications and data ensured (exceptions for latter)
• Responsible management of research data ensured in line with ‘Findability’, ‘Accessibility’,
‘Interoperability’ and ‘Reusability’ (FAIR). Attention to the long-term preservation of data. Data
Management Plan mandatory if generating data
• Other open science practices promoted and encouraged, including for the benefit of SMEs
• Beneficiaries/authors must retain sufficient intellectual property rights to comply with their
open access requirements
• The work programme may provide for additional incentives or obligations (including for EOSC)
to adhere to open science practices
• Reciprocity in open science shall be promoted and encouraged in all association and
cooperation agreements with third countries

4. Open Science mainstreamed in Horizon Europe
Policy
planning+implementa
tion
Work Programme
planning
Monitoring/evalu
ation of OS in FP

5. Proposal
submission
evaluation of
OS practices
(mandatory
and
encouraged)
Project phase
Implementation of
description of action
Monitoring
Reporting
(during and at
the end of
project)
Open Science throughout project lifetime
Novelty: OS practices
evaluated!!!

6. Open science is an approach based on open cooperative work and systematic
sharing of knowledge and tools as early and widely as possible in the process.
• early and open sharing of research (for example through preregistration,
registered reports, pre-prints, or crowd-sourcing)
• research output management
• measures to ensure reproducibility of research outputs
• providing open access to research outputs (e.g. publications, data, software,
models, algorithms, and workflows) through deposition in trusted repositories
• participation in open peer-review
• involving all relevant knowledge actors including citizens, civil society and
end users in the co-creation of R&I agendas and contents (such as citizen
science)
Open Science practices (explained in proposal
template)

7. Evaluation of proposals

8. • Quality of open science practices evaluated under ‘Excellence’
>methodology [both mandatory and encouraged practices]
• Up to 1 page to describe OS practices+up to 1 page to describe research data
management/research output management
• Capacity of participant/consortium +List of achievements evaluated
under ‘Quality of implementation’
• Explain expertise on OS
• List publications, software, data etc, as relevant to project with qualitative assessment,
PIDs; Publications expected to be open access; datasets are expected to be FAIR and ‘as
open as possible, as closed as necessary‘; significance of publications to be evaluated on
basis of proposers’ qualitative assessment and not per JIF.
Evaluation of proposals and open science

9. The Model Grant Agreement

10. Beneficiaries must ensure OA to peer-reviewed scientific publications relating to
their results. In particular, they must ensure:
• at the latest upon publication, deposition of the AAM or VoR in a trusted
repository + open access via the repository under CC BY or equivalent; CC
BY-NC and CC BY-ND are allowed for long-text formats
• information via the repository about any research output/tools/ instruments
needed to validate the conclusions of the scientific publication
Metadata must be open under CC 0 or equivalent, in line with the FAIR principles and
provide information about the licensing terms, amongst others.
Publication in venue of choosing but any publication fees are reimbursable only if
publishing venue is full open access (=hybrids not reimbursed)
Open access to publications

11. Research data management
Beneficiaries must manage the digital research data generated in the action responsibly,
in line with the FAIR principles and:
• establish + regularly update a data management plan (‘DMP’)
• as soon as possible and within the deadlines set out in the DMP, deposit the data in
a trusted repository (federated in the EOSC if required in the call conditions) +
ensure OA under CC BY, CC 0 or equivalent, following the principle ‘as open as
possible as closed as necessary’,
• provide information via the repository about any research output/tools/instruments
needed to re-use or validate the data
Metadata must be open under CC 0 or equivalent (to the extent legitimate interests or
constraints are safeguarded), in line with the FAIR principles and provide information
about the licensing terms, amongst others.

12. if providing open access is against the beneficiary’s legitimate interests,
including regarding commercial exploitation; if it is contrary to any other
constraints, such as data protection rules, privacy, confidentiality, trade
secrets, Union interests, security rules, intellectual property rights or
would be against other obligations under the Grant Agreement.
Exceptions to OA to research data

13. • Some calls may have additional obligations on OS practices- they must be
complied with
• Some calls may have additional obligations regarding the validation of
scientific publications they must be complied with (intended to be broadly
used, and likely already provided in general annexes of WP)
• Beneficiaries must provide (digital or physical) access to data or other results
needed for validation of the conclusions of scientific publications, provided legitimate
interests safeguarded and unless (open) access already provided at publication
• Additional obligations in cases of public emergency
• Next slide…….
Additional Open Science practices

14. Additional Open Science practices-
Public emergency
If imposed by the call conditions in case of a public emergency, beneficiaries must (if
requested by the granting authority) immediately deposit any research output in a
repository + provide open access to it under CC BY, CC 0 or equivalent.
As an exception, if the access would be against the beneficiaries’ legitimate interests,
beneficiaries must grant non-exclusive licenses — under fair and reasonable conditions — to
legal entities that need the research output to address the public emergency + commit to
rapidly and broadly exploit the resulting products and services at fair and reasonable
conditions.
This provision applies up to four years after the end of the action.

15. 1. Horizon Programme Guide
• For proposers and evaluators (extensive on os practices)
• Discusses extensively open science practices and evaluation of open science
• Provides useful resources to proposers for relevant planning
2. Annotated Grant Agreement
• annotations and guidance to the Model Grant Agreement;
• enriches understanding of requirements of the FP
Guidance for proposers and beneficiaries

16. Reporting/monitoring of
projects/FP and guidance

17. • Extensive reporting of open science practices:
• structured reporting of requirements regarding open access
• free-text reporting of encouraged open science practices
• Monitoring by project officers and reviewers in periodic reviews
• Monitoring of the FP through Key Impact Pathways (KIPs)
Reporting-Monitoring

18. KIPs 3 and 6