Horizon 2020 Policy Support Facility

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1 Horizo 2020 Policy Support Facility Mutual Learig Exercise Ope Sciece, Challege Paper 3: Icetives ad Rewards for Ope Sciece 13 / 09 / 2017 Professor Sabia Leoelli Exeter Cetre for the Study of the Life Scieces Departmet of Sociology, Philosophy ad Athropology Uiversity of Exeter, UK

2 Outlie The Value of Ope Sciece Ope Sciece Challeges Icetives ad Rewards For researchers For research istitutios ad fudig bodies For atioal govermets Key poits from previous meetigs Objectives ad ageda for this workig meetig Horizo 2020 Policy Support Facility Page 2

3 Ope Sciece Variously defied by the use of ew digital tools a specific set of values practices of collaboratio ad sharig a specific view of the research workflow ad related goverace Horizo 2020 Policy Support Facility Page 3

4 Ope Sciece Widespread agreemet o three aspects: GLOBAL SCOPE: affects all stages of the research process, ad its implemetatio ivolves a wide set of goverace structures SYSTEMIC REACH: ivolves a systemic shift i curret practices of research, publishig ad evaluatio LOCAL IMPLEMENTATION: its implicatios for ay oe research systems eed to be cosidered with referece to its specific characteristics, ad thus the mechaisms through which OS is implemeted are likely to vary Horizo 2020 Policy Support Facility Page 4

5 Ope Sciece a ew approach to the scietific process based o cooperative work ad ew ways of diffusig kowledge by usig digital techologies ad ew collaborative tools.. [..].. sharig ad usig all available kowledge at a earlier stage i the research process Ope Iovatio, Ope Sciece, Ope to the World (2015) Horizo 2020 Policy Support Facility Page 5

6 Opeess as Fudametal (ad Widely Recogised) Scietific Value Log history of opeess as key orm for sciece: Comes from researchers: atural history, meteorology, geology, astroomy.. More recetly particle physics, geomics Public scrutiy, trasparecy ad reproducibility of results defie what sciece is, how it works, what couts as a research output So what has goe wrog? Horizo 2020 Policy Support Facility Page 6

7 Curret State ad Social Fuctio of Research Self-referetial, hypercompetitive academic system Devaluatio of quality ad reproducibility of research outputs i favor of high volume ad prestige Domiace of publicatio i high impact factors jourals over more desirable research goals Lack of icetives ad rewards for Ope Sciece practices Result: discoectio betwee kowledge productio ad the social role of research Horizo 2020 Policy Support Facility Page 7

8 Ope Sciece as A platform to debate what couts as sciece, scietific ifrastructures ad scietific goverace, ad how results should be credited ad dissemiated A opportuity to improve pathways to ad quality of discoveries uptake of ew techologies collaborative efforts across disciplies, atios ad expertises research evaluatio, debate ad trasparecy valuatio of research compoets beyod papers ad patets fight agaist fraud, low quality ad duplicatio of efforts legitimacy of sciece ad public trust public egagemet Horizo 2020 Policy Support Facility Page 8

9 Source: Jeroe Bosma ad Biaca Cramer, LSE Impact Blog, 2015 Horizo 2020 Policy Support Facility Page 9

10 Iteratioal cooperatio ad dialogue amog stakeholders: Ope Sciece Policy Platform Advisory body to EU Commissio, providig policy recommedatios to help further develop ad implemet ope sciece policy support policy formulatio: help idetify issues to be addressed ad provide recommedatios o policy actios required support policy implemetatio: review best practices, draw policy guidelies ad foster uptake by stakeholders Represetatives of Europea stakeholders, icludig sciece academies ad leared societies, uiversities, research orgaisatios, citize sciece orgaisatios, fuders, publishers, Ope Sciece platforms ad libraries Balace betwee differet stakeholders & iput* from idepedet experts ad relevat commuities Horizo 2020 Policy Support Facility Page 10

11 Horizo 2020 Policy Support Facility Page 11

12 Obstacles to Makig Sciece Ope 1. evaluatio ad credit systems 2. diversity i research cultures 3. costs ad accoutabilities 4. skills ad traiig 5. itellectual property regimes 6. sematic ambiguity 7. ethical ad social cocers 8. high resource bias Horizo 2020 Policy Support Facility Page 12

13 Obstacles to Makig Sciece Ope 1: Evaluatio ad Credit Systems Withi curret publish or perish model, icreasig trasparecy i research practices ca have uiteded cosequeces. Aythig that is ope to public scrutiy ca be used to assess the practices i questio, which may be premature for ogoig projects that eed time to yield clear ad widely itelligible results. It may also compoud researchers fears of beig scooped. It is ot hard to imagie that researchers forced to reder lab or field otes, protocols or software freely accessible to others will feel the eed to create shadow procedures ad ifrastructures for those parts of their practice that they do ot wat, or caot share (Leoelli et al 2015) Ope Data ca be a threat to researchers, particularly early career: Lack of rewards Risks of scoopig Resources required Horizo 2020 Policy Support Facility Page 13

14 Obstacles to Makig Sciece Ope 2: Diversity i Research Cultures Eormous variatio i methods, outputs ad criteria for assessig excellece ad quality Betwee research fields Withi research fields Betwee publicly fuded ad privately fuded research OS eeds to foster trust amog researchers, which i turs requires mechaisms to guaratee reliability of outputs Crucial to address field-specific worries aroud research quality Horizo 2020 Policy Support Facility Page 14

15 Obstacles to Makig Sciece Ope 3: Costs ad Accoutabilities OS ot quick or cheap Implemetatio through coordiatio amog may differet stakeholders, both locally ad iteratioally Who takes resposibility for what? Who pays? E.g. archives ad log-term repositories Horizo 2020 Policy Support Facility Page 15

16 Obstacles to Makig Sciece Ope 4: Skills ad Traiig Cofusio amog researchers over What opeess meas i practice How ca it be implemeted What is legal What is recommeded by whom (fuders, leared societies, publishers, research istitutios, govermets..) Horizo 2020 Policy Support Facility Page 16

17 Obstacles to Makig Sciece Ope 4: Skills ad Traiig Low awareess of curret OS activities ad tools (source: EU Workig Group o Educatio ad Skills uder Ope Sciece, 2017) Horizo 2020 Policy Support Facility Page 17

18 Obstacles to Makig Sciece Ope 4: Skills ad Traiig Complexity of tools ad skills required to implemet OS (source: Leoelli et al 2017) Horizo 2020 Policy Support Facility Page 18

19 Obstacles to Makig Sciece Ope 5: Itellectual Property Regimes Multiple itellectual property regimes Multiple ad coflictig layers of accoutability for researchers (from local to iteratioal) Authorship cultures Publishers uclear licesig agreemets ad coditios Horizo 2020 Policy Support Facility Page 19

20 Obstacles to Makig Sciece Ope 6: Sematic Ambiguity OS is uderstood by differet researchers to mea free of licese free of owership uder CC-BY licese commo good good eough to share urestricted access ad/or use accessible without paymet (Grubb ad Easterbrook 2011, Levi et al 2016) Uclear how opeess applies to commercially or security sesitive research Horizo 2020 Policy Support Facility Page 20

21 Obstacles to Makig Sciece Ope 7: Ethical ad Social Cocers Aim: huma flourishig (Royal Society/British Academy 2017) Who decides what couts as commo or public good, ad how? What role do social goals play i research assessmet? Role of ethics i Ope Data: Privacy ad owership cocers Relatio to Geeral Data Protectio Regulatio Horizo 2020 Policy Support Facility Page 21

22 Obstacles to Makig Sciece Ope 8: High Resource Bias OS as playgroud for powerful research groups Most OS iitiatives are led by rich, Eglish-speakig labs withi visible ad popular research traditios, which deal with tractable data formats ad lead the way i methods ad istrumetatio Ivolvemet of poor/ufashioable labs, developig coutries & o-scietists is low ad at the receivig ed Systematic disadvatage of low-resource research eviromets Vulerability to predatory behaviors Horizo 2020 Policy Support Facility Page 22

23 Icetives ad Rewards for Researchers 1. Assessmet ad Promotio Criteria 2. Traiig o OA Guidelies ad Implemetatio Tools 3. Citatio ad Authorship Cultures 4. Guaratees of Iteratioal ad Sustaiable Nature of OS Iitiatives ad Related Ifrastructures 5. Ope Sciece Prizes: Establishig Champios ad Role Models Horizo 2020 Policy Support Facility Page 23

24 Icetives ad Rewards for Researchers 1: Assessmet ad Promotio Criteria For researchers at all levels Horizo 2020 Policy Support Facility Page 24

25 Ope Sciece Career Assessmet Matrix (OS-CAM) Horizo 2020 Policy Support Facility Page 25

26 Ope Sciece Career Assessmet Matrix (OS-CAM) Horizo 2020 Policy Support Facility Page 26

27 Icetives ad Rewards for Researchers 2: Traiig Systematic, comprehesive traiig is crucial For both researchers ad professioal services Icludig data sciece, ethics ad goverace cocers Exteral support eeded: ifrastructures, qualified library staff, iformatio maagemet ad egagemet Categories of traiig (EU Report): for OA publishig for Ope Data sharig for social relevace ad itegrity for public egagemet Horizo 2020 Policy Support Facility Page 27

28 Icetives ad Rewards for Researchers 3: Citatio ad Authorship Cultures What labour is recogised as research, ad what warrats authorship? Citatio of datasets Empirically foud to ehace visibility of research Valuig work that does ot udergo peer review Authorship of peer reviews ad evaluatios Horizo 2020 Policy Support Facility Page 28

29 Icetives ad Rewards for Researchers 4: Guaratees of Iteratioal ad Sustaiable Nature of OS Iitiatives ad Ifrastructures Serious cocers aroud log-term sustaiability of OS ifrastructures, e.g. data repositories Who is resposible? Trouble both with cetralised ad with local iitiatives Federated, coordiated models: Europea Ope Sciece Cloud ELIXIR Horizo 2020 Policy Support Facility Page 29

30 Icetives ad Rewards for Researchers 5: Ope Sciece Prizes Establishig Champios ad Role Models Good way to Evidece iteratioal recogitio of OS activities Brig attetio to exemplars ad role models Demostrate value of OS for researchers Horizo 2020 Policy Support Facility Page 30

31 Research Istitutios ad Fudig Bodies Horizo 2020 Policy Support Facility Page 31

32 Figure 4. Europea fuder policies o Ope Access (source: Europea Ope Sciece Moitor, accessed August 2017). Horizo 2020 Policy Support Facility Page 32

33 Icetives ad Rewards for Research Istitutios ad Fudig Bodies Fosterig Iterdiscipliary ad Traslatioal Research Combiig excellece with impact ad egagemet Promote collaboratio ad service Ehace speed of respose to social challeges [e.g. Zika, Ebola] Promotig Social Egagemet ad Resposible Iovatio Ehacig Educatioal Resources Research-led teachig ad problem-based reasoig Better resources, more coordiatio across coutries Improved measures of studet egagemet Horizo 2020 Policy Support Facility Page 33

34 Icetives ad Rewards for Research Istitutios ad Fudig Bodies Improvig Maagemet Practice Measurig research performace Evaluatios based o OS repositories Forward-lookig assessmet (ot just o published track record) HR good practice across Europe Positio of libraries i research istitutios ad fudig bids Improvig Trasparecy ad Exteral Accoutability Improved documetatio of research processes ad ivestmets Moitorig of OS trasitio ad swift idetificatio of cocers Ope Peer Review (but challeges therei!) Ehacig Iteratioal Visibility ad Reputatio Especially for local, o-eglish-speakig cotributios Horizo 2020 Policy Support Facility Page 34

35 Icetives ad Rewards for Natioal Govermets Crucial role of govermet i settig ageda ad providig geeral framework Strog iterest, but lack of moitorig, ageda ad cotact poits Particularly relevat where state regulates research istitutios (e.g. Italy, Moldova, Sloveia) Good examples: Netherlads ad Filad: Natioal Ope Sciece Pla UK Research Excellece Framework Moldova, Croatia, Sloveia: cetralised repository Horizo 2020 Policy Support Facility Page 35

36 Icetives ad Rewards for Natioal Govermets Improvig Trasparecy ad Exteral Accoutability Promotig Social Egagemet ad Resposible Iovatio Ehacig Iteratioal Relatios Sciece diplomacy Horizo 2020 Policy Support Facility Page 36

37 Required coditios OS-CAM Research Evaluatio Overhaul of evaluatio procedures at research istitutios & fudig bodies OS Traiig Provisio & Educatio Resources Resources ad persoel to provide traiig locally ad atioally Shifts i Citatio & Authorship Overhaul of evaluatio procedures ad publishig formats Log-Term Sustaiability Complex coordiatio amog stakeholders ad log-term commitmet Ope Sciece Role Models Establishmet of criteria for successful ope sciece withi each field; buy-i from leared societies ad sciece academies Resposible Iovatio & Public Egagemet Rewards for social iteractio ad otraditioal outputs; codesig of research with relevat stakeholders Trasparecy & Accoutability Systems for trackig, visualizig ad discussig the orgaizatio, outputs ad fudig of research. Iteratioal Coordiatio & Sciece Diplomacy Clear poits of cotact ad commuicatio chaels/veues to debate Ope Sciece implemetatio. Pros Most importat set of icetives ad rewards for researchers Eables researchers to practice Ope Sciece effectively; produces iovative educatio tools Recogitio of curretly ivisible efforts to support Ope Sciece Crucial icetive for researchers; esures the logterm fruitfuless of curret ivestmets Exemplifyig advatages of Ope Sciece, ad ways to successfully implemet it; ehace iteratioal status of research istitutios. Embeddig of research i society, towards devisig ethical ad resposible solutios to global challeges. Improved documetatio ad scrutiy of research processes ad resources. Improved reproducibility ad evaluatio of accoutabilities for give outcomes. Ehaced iteratioal visibility, etworkig ad diplomatic relatios across istitutios ad atio states. Cos Time-itesive evaluatio procedures Ivestmet i traiig provisio ad related staff; eeds iclusio i researchers workload Requires ew policies tailored to each publicatio veue Complex coordiatio amog stakeholders ad log-term fiacial support Mobilize leared societies ad sciece academies to actively promote Ope Sciece. Risk of less ivestmet i fudametal research. Icreased accoutability for all research activities Icreased admiistratio ad more ivestmet i data aalysis ad qualitative assessmets. Icreased atioal research budgets; eed for coordiatio betwee sciece ad foreig policy. Challeges Admiistrative, cultural ad fiacial Admiistrative, fiacial ad cultural Cultural ad logistical Logistical ad fiacial Logistical Cultural, admiistrative, logistical, fiacial Admiistrative, cultural, logistical Admiistrative, logistical, political Who implemets this? Research istitutios, fudig bodies, researchers Fudig bodies, libraries Horizo 2020 Policy Support Facility Research istitutios, fudig bodies, editors, publishers EU, Natioal govermets, research istitutios, libraries Natioal govermets, fudig bodies, leared societies Fudig bodies, research istitutios, EU, Natioal govermets Fudig bodies, research istitutios, EU, Natioal govermets Natioal govermets, policymakers, research maagers Page 37

38 Questioaire Resposes: Key Poits 1 Success of Ope Access archives: the vast majority of the success stories cocer Ope Access iitiatives Very few member states have provisios cocerig research compoets other tha publicatios The icorporatio of Ope Sciece goals i research evaluatio ad assessmet lags far behid Majority of coutries relyig o quatitative assessmets of publicatios icludig impact factors Ofte uclear who holds resposibility for discussig ad implemetig Ope Sciece policies at the atioal level. Urget eed for opportuities ad veues to deliberate o Ope Sciece implemetatio ad ivestmet at the atioal level Horizo 2020 Policy Support Facility Page 38

39 Questioaire Resposes: Key Poits 2 Give iteratioal ature of OS, member states expect much of the support to come from Europea agecies Researchers ad research orgaisatios eed to be ivolved i ay decisio-makig process mappig future OS, so as to esure uptake by the research commuity However, cocer aroud coservatism characterizig seior academics Imperative to provide traiig ad icetives Trasitio to OS likely to yield temporary difficulties. Need close moitorig clear poits of cotact withi each member state to address challeges Horizo 2020 Policy Support Facility Page 39

40 Questioaire resposes: Mai challeges Lack of kowledge, iterest ad/or commitmet Lack of Natioal Ope Sciece ageda Uclear resposibilities Academic culture Public-private aims ad iterests Horizo 2020 Policy Support Facility Page 40

41 Questioaire Resposes: Icetives Grats specifically for publishig OA (Switzerlad) Assessmet grouded o OA repository (istitutes ad uiversities i Belgium, Croatia, UK) Poits for depositig research data (Sloveia) Grats specifically for OS projects (Filad, UK) Horizo 2020 Policy Support Facility Page 41

42 Questioaire Resposes: Traiig Most ofte supplied by libraries Sometimes metioed i actio plas, but uclear implemetatio ad resources as yet OA Helpdesk ad traiig sessios for istitutios ad youg researchers (Belgium) Networkig with ogoig EU projects (e.g. Croatia ad FOSTER, though short-time) Self-orgaised by researchers (Austria s Ope Kowledge Network, though short-time ad reliat o voluteerig) Ope Educatio as major iterest for several respodets Horizo 2020 Policy Support Facility Page 42

43 Objectives for the 4th Workig Meetig Discuss ad provide feedback to challege paper ad presetatio o icetives ad rewards. Defie scope of the fourth ad fial reports, ad provide additioal examples ad materials o which to structure the challege paper o experieces, models ad strategies. Horizo 2020 Policy Support Facility Page 43

44 Questios to cosider i break-out groups Afteroo of Day 1: What icetives would work best i your coutry, ad why? What do you see as the key obstacles to implemetig those icetives? Afteroo of Day 2: Discussio of lessos leart ad questios raised by expert presetatios. How would you evisage a roadmap for Ope Sciece implemetatio i your coutry? Horizo 2020 Policy Support Facility Page 44

45 Thak you for your attetio! Questios ad discussio Feedback: Page 45