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Publication date: May 3, 2023 Edition: Technical General Secretariat of the Ministry of Science and Innovation. Design and layout: FECYT - Spanish Foundation for Science and Technology. e-NIPO: 831230208 The publication is included in the editorial program of the Technical General Secretariat of the Ministry of Science and Innovation for the year 2023. General catalog of official publications: https://cpage.mpr.gob.es Icons: Freepik This license allows others to remix, adapt, and build upon your work for non-commercial purposes. New creations must give credit to the original author, cannot be used for commercial purposes, and must be licensed under an equivalent license. https://creativecommons.org/licenses/by-nc-sa/4.0/legalcode.es
NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
INTRODUCTION Open science involves an evolution in the way scientific knowledge is produced, funded, commu - nicated, and assessed. It represents a significant shift paradigm in research activities, dissemina - tion of results, and measuring research performance that affects life sciences, physics, engineering, mathematics, social sciences, and humanities. The concept of open science refers to open access to research outputs (publications, data, proto- cols, code, methodologies, software, etc.), the use of digital platforms based on open-source code, and the opening up of the entire scientific process, as much and as soon as possible, including prac- tices such as open peer review, open educational resources, promotion of citizen science, and the development of new ways of research performance assessment, as summarized in Figure 1. The six dimensions of open science are: • Open access to research outputs: All publicly funded research available to society, to increase its visibility and dissemination, and to improve knowledge transfer. • Open data, protocols, and methodology: New sources of information available to the research community, enabling reproducibility of analyses, improving understanding and scope of results, and contributing to speeding up discoveries through the reuse of data. • Open-source platforms: Improved management and access to scientific information content databases ensuring the sustainability of digital infrastructures on which public R&D systems are based. • Open peer review: Provide greater scientific rigor to reviews and to ensure transparency and accountability of all involved parties. • Citizen science: Promote the participation of society in all phases of research activity, bringing scientific results closer to the public, and involving society in research design, data collection, and knowledge generation. • New ways of research performance assessment: Provide incentives and recognition mecha- nisms for scientific merit that encourage open science practices among researchers. 1 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027 Open science contributes to increasing transparency and encourages participation, cooperation, accountability, the ability to reuse research work, impact, and reproducibility of results. Likewise, it promotes the accessibility and sustainability of R&D systems and encourages the diversification of profiles in research groups and the incorporation of non-academic actors throughout the research process cycle, from project design to evaluation. NEW WAYS OF RESEARCH PERFORMANCE OPEN ACCESS TO RESEARCH OUTPUTS Developed to align incentives and recognition of Provides society with access to all research funded by scientifc merit with the practices that make up open public funds, increasing the visibility of research results science. This is aimed at facilitating the implementation and improving knowledge dissemination and transfer. of this paradigm within the academic community. OPEN DATA, PROTOCOLS, AND CITIZEN SCIENCE METHODOLOGY Bring research results closer to the public, Provide the research community with new both directly and indirectly, and involve sources of information, enable analysis society in research design, data collection, reproducibility, enhance understanding and and knowledge generation. scope of research results, and accelerate discoveries through data reuse. OPEN-SOURCE PLATFORMS Improved management and access to scientifc Brings greater scientifc rigor to the review process and information content databases ensuring the ensures transparency and accountability of the parties sustainability of digital infrastructures on which public R&D systems are based. ELEMENTS COMPRISING OPEN SCIENCE ASSESSMENT OPEN PEER REVIEW involved in the process. Figure 1: Elements comprising open science. Source: Adapted from Gallagher, R.V., Falster, D.S., Maitner, B.S. et al. Open Science principles for accelerating trait-based science across the Tree of Life. Nat Ecol Evol 4, 294–303 (2020). https://doi.org/10.1038/s41559-020-1109-6 2
NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
CONTEXT The set of actions encompassed within open science is having a significant impact on scientific policy in Europe and globally. In the European Union context, the development of the new frame- work for the European Research Area and Innovation 1 (ERA) is based on the idea of a common area for research, innovation, and technology in Europe for a free circulation of knowledge. The collective construction of a stronger research area is based on prioritizing investments and reforms, ensuring the quality of science and universal access to it, as well as its valorization and communication to society, the economy, and industry, where open and transparent science plays a fundamental role 2. In this European context, open science is being promoted through various actions. On the one hand, the European Union’s Horizon Europe research and innovation framework program for the period 2021-2027 includes open science in various work pro- grams, it identifies open science practices as excellent science, and introduces specific obligations regarding open access to scientific literature and research data management for its ben- eficiaries. On the other hand, the European Open Science Cloud (EOSC) is being constructed, aiming to create a federation of existing re- search data infrastructures in Europe and to establish a network of data and related services for science, so they are interopera- ble, reusable, accessible, and open. Furthermore, the Council Conclusions on Research Assess - ment and Implementation of Open Science 3, adopted on June 10, 2022, provide a straightforward detailed defense of the need to modify the research assessment system, and advocate for 1 Communication from the Commission to the European Parliament, the Coun- cil, the European Economic and Social Committee, and the Committee of the Regions. A new ERA for Research and Innovation (2020) https://eur-lex.europa. eu/legal-content/ES/TXT/HTML/?uri=CELEX:52020DC0628&from=EN 2 Section 2.4 of Communication SWD (2020) 214 fnal. 3 Conclusions of the Council on Research Evaluation and Implementation of Open Science https://www.consilium.europa.eu/media/56958/st10126-en22. pdf 3 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
strengthening the non-commercial model of publication and communication of research results. Additionally, initiatives are being im- plemented to improve research assessment, including the recognition of open science practices by researchers and institutions 4. The Organization for Economic Cooperation and Development (OECD) has been working since 2004 to make open science a reality 5 by provid- ing recommendations and incentivizing public policies that eliminate obstacles for a free circu- lation of data and knowledge and accelerate sci- entific research process 6. Its recommendations to enhance data sharing and access7 and its rec- ommendations for the use of publicly funded re- search data 8 are particularly noteworthy, as they are aimed at improving open science. Lastly, in November 2021 the United Nations Ed- ucational, Scientific and Cultural Organization (UNESCO) developed and approved the Recom- mendation on Open Science 9. In this text, open science is presented as an inclusive construct that combines various movements and practic- es to make scientific knowledge openly avail - able, accessible, and reusable by all citizens. Likewise, UNESCO emphasizes increased scien- tific collaboration and information exchange for the benefit of science and society, as well as the opening of the processes of creating, evaluat - ing, and communicating scientific knowledge to the public beyond the traditional scientific com - munity. Many countries in our environment have im- plemented open science strategies. Countries such as the Netherlands 10, Finland 11, France 12, Ireland13, Switzerland14, Portugal15, Latvia16, and Italy17 have formally established policies, work programs, and teams, and allocated budgets to carry them out. Norway 18, Sweden 19, and Den - mark20, on the other hand, have strong open ac- cess policies that include additional measures in favor of open science. Furthermore, several European countries, such as Germany, are in - vesting in the creation of national research data infrastructures and networks for reproducibility 4 Process towards an agreement on reforming research assessment https://ec.europa.eu/info/news/pro- cess-towards-agreement-reforming-research-assessment-2022-jan-18_en 5 OECD. Making Open Science a Reality (2015): https://doi.org/10.1787/5jrs2f963zs1-en 6 OECD. Open Science: https://www.oecd.org/sti/inno/open-science.htm 7 Recommendation of the Council on Enhancing Access to and Sharing of Data (2021) https://legalinstruments.oecd.org/ en/instruments/OECD-LEGAL -0463 8 Recommendation of the Council concerning Access to Research Data from Public Funding https://legalinstruments. oecd.org/en/instruments/OECD-LEGAL -0347 9 Recommendation on Open Science (UNESCO, 2021) https://unesdoc.unesco.org/ark:/48223/pf0000379949_spa 10 Netherlands. National Programme Open Science: https://www.openscience.nl/en 11Finland. Declaration for Open Science and Research 2020-2025: https://avointiede.f/en/policies/declaration-open-scien- ce-and-research-2020-2025 12 France. The National Plan for Open Science: https://www.ouvrirlascience.fr/the-national-plan-for-open-science 13 Ireland. National Framework on the Transition to an Open Research Environment: https://www.gov.ie/en/publication/508e31-national-framework-on-the-transition-to-an-open-research-environment/ 14 Switzerland. Open Science 2021-2024: https://www.swissuniversities.ch/en/topics/digitalisation/open-scien- ce-2021-2024 15 Portugal. Política Nacional de Ciência Aberta: https://www.ciencia-aberta.pt/pnca 16 Latvian Open Science Strategy 2021-2027 https://www.izm.gov.lv/en/article/latvian-open-science-strategy-2021-2027- now-english 17 Piano Nazionale per la Scienza Aperta https://www.mur.gov.it/sites/default/fles/2022-06/Piano_Nazionale_per_la_ Scienza_Aperta.pdf 18 Norway. Open Access: https://www.openaccess.no/english 19 Swedish Research Council (Open Access): https://www.vr.se/english/mandates/open-science.html 20 Denmark’s National Strategy for Open Access: https://ufm.dk/en/research-and-innovation/cooperation-between-re- search-and-innovation/open-access/Publications/denmarks-national-strategy-for-open-access 4 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
to ensure the quality of their research and the reuse of data 21. Across the board, Plan S22 has led European funding agencies from various countries to firmly position themselves in sup- port of open access, driving an urgent transition to open science. The Ministry of Science and Innovation and the Ministry of Universities acknowledge that open science and open knowledge increase trans - parency and foster participation, cooperation, accountability, the reusability of research work, and reproducibility of its results. They acknowl- edge that it also improves the quality and reli - ability of research through principles such as inclusion, equity, impartiality, research integrity, and participation. The Spanish Science, Technology, and Inno- vation Strategy (EECTI) 2021-2027 makes a commitment to open science in its objective 4 “Knowledge generation and scientific lead - ership,” as well as in action axis 14 “Science and innovation in society.” Similarly, the State Scientific, Technical, and Innovation Research Plan (PEICTI) 2021-2023 includes different ini- tiatives within the State Subprogram for Insti - tutional Strengthening aimed at implementing open and inclusive science models. In the legal area, the Law 17/2022, of Septem- ber 5 23, amending Law 14/2011, of June 1, on Science, Technology, and Innovation, emphasiz- es the value of science as a common good and advocates for open access to publicly funded research outputs. Article 37, “Open Science,” promotes the development of open infrastruc- tures and platforms, requires the open access through archive of publications, data, codes, and methods in repositories, and encourages the open participation of civil society in scientific processes. Besides, Organic Law 2/2023 of March 22 on the University System (LOSU) 24 includes Article 12, “Promotion of Open Science and Citizen Sci- ence”, which strengthens the mandate of open access of all research outputs in the university open institutional repository. The ENCA 2023-2027 is based on all previous commitments related to open science adopt- ed by different agents in the system, including those contained in Law 17/2022, in LOSU, in the EECTI 2021-2027, and in the PEICTI 2021-2023. The ENCA also relies on the declaration of the Ministry of Science and Innovation regarding open science and knowledge 25, and on specific actions by funding agencies such as the State Research Agency (AEI) 26 and the Carlos III Health Institute (ISCIII)27, as well as education, institu - tions, teaching, research, and knowledge trans - fer assessment agencies such as the National Agency for Quality Assessment and Accredita - tion (ANECA) 28. It also relies on the commitment 21 National Research Data Infrastructure (NFDI): https://www.dfg.de/en/research_funding/index.html 22 Plan S and cOAlitionS: https://www.coalition-s.org 23 Law 17/2022 on Science, Technology, and Innovation https://www.boe.es/eli/es/l/2022/09/05/17/con 24 Organic Law 2/2023 on the university system https://www.boe.es/eli/es/lo/2023/03/22/2/con 25 Appearance of the Minister of Science and Innovation before the Committee on Science, Innovation, and Universities of the Congress of Deputies (February 20, 2020) https://www.congreso.es/public_ofciales/L14/CONG/DS/CO/DSCD-14- CO-38.PDF 26 The State Research Agency adheres to the San Francisco Declaration on Research Assessment https://www.congreso. es/public_ofciales/L14/CONG/DS/CO/DSCD-14-CO-38.PDF 27 The Carlos III Health Institute (ISCIII) has undertaken actions directly related to open science as a funding body for the Strategic Action on Health, such as incorporating non-scientifc individuals in the evaluation process of the independent clinical research projects call or requiring research personnel benefting from knowledge generation funding calls since 2021 to develop a data management plan. 28 ANECA’s position in the Open Science Commission COS-Gob https://www.aneca.es/-/postura-de-aneca-en-la-comi- sion-open-science-cos-gob 5 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
of research agents, particularly universities and Public Research Organizations (OPIs). Furthermore, the recent deployment of the Stra- tegic Project for Economic Recovery and Trans- formation (PERTE) “New Language Economy,” which includes actions aimed at strengthening science in Spanish and promoting investments in artificial intelligence with a focus on multilin - gualism 29, and reflects the Spanish government’s commitment to measures that seek to eliminate barriers to accessing science for society. This commitment is also evident in other mea- sures such as the implementation of the Open Government Plan with the creation of the Data Office 30 to promote the sharing and use of data in all productive sectors; the transposition of EU Directive 2019/1024 on open data and the reuse of public sector information; and the National Statistical Plan 2021-2024, which includes an in- crease in the exploitation of administrative data and the establishment of a common data archi- tecture from different administrative sources. 29 See also on multilingualism: Conclusions of the Council on Research Evaluation and Implementation of Open Science https://www.consilium.europa.eu/media/56958/st10126-en22.pdf 30 The Data Offce is attached to the State Secretariat for Digitalization and Artifcial Intelligence (SEDIA) https://portal. mineco.gob.es/es-es/digitalizacionIA/ofcina-del-dato/Paginas/ofcina-del-dato-se-digitalizacion-ia.aspx 6 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
MISSION The Spanish National Open Science Strategy (ENCA, the Strategy) 2023-2027 has the mis- sion of strengthening the quality, transparency, and reproducibility of scientific activity in Spain, improving dissemination among the scientific community and knowledge transfer to society, and designing how Spain responds to the chal- lenges faced by the Spanish scientific communi- ty in this new global paradigm. VISION closely linked to researchers’ and institutions’ assessment processes. The ENCA will provide support for the prepa- ration of the upcoming State Plan for Science, Technology, and Innovation 2024-2027 to be aligned with national, European, and internation- al policies on open science. Through the ENCA, the aim is to ensure that by 2027 the funding, execution, communica - tion, and assessment processes of scientific research in Spain incorporate the principles of open science. In other words, these processes should be more open and transparent and based on criteria of scientific and social impact; communicable and evaluable research outputs should be expanded beyond academic publications; public, decen- tralized, and non-commercial infrastructures for communication, access, and preservation of re - search results should be strengthened; and op- portunities for societal participation in research activities should be open at all stages, including citizen science as well as free and open access to all outcomes funded with public funds. The ENCA aims to promote a significant cultural change in the Spanish Science, Technology, and Innovation System (SECTI). To achieve this, the ENCA encourages a profound debate with exter- nal stakeholders (mainly large publishers and scientific information service providers) and urges all actors to find a global alternative to the established academic communication system, 7 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
METHODOLOGY FOR THE DESIGN OF THE STRATEGY Science and Innovation, the Ministry of Univer- sities, the Ministry of Economic Affairs and Dig- ital Transformation, the State Research Agency (AEI), and the National Agency for Quality As- sessment and Accreditation (ANECA). Addition- ally, research performing organizations repre- senting the research community and involved in project funding and personnel hiring, including the Spanish National Research Council (CSIC), Carlos III Health Institute (ISCIII), the Severo Ochoa Centers and María de Maeztu Units of Ex- cellence Alliance (SOMMA), and the Conference of Spanish University Rectors (CRUE), were also represented. The collaborative work of these groups and in - stitutions ensured the proper coordination and design of an open science policy, considering the perspectives of decision-makers, technical experts, and major research entities. The drafting of this document has incorporated contributions received through consultations with experts and stakeholders in the SECTI, along with interaction with other ministries. The Ministry of Science and Innovation, through its General Secretariat for Research, established the Comission for Open Science (COS) in late 2018 and was coordinated by the Spanish Foun- dation for Science and Technology (FECYT). The main objective of COS has been to define, through a participatory process, the principles and objectives of the National Strategy for Open Science. COS was structured into two groups: COS-Gob, comprised of high-level R&I policy decision mak- ers, and COS-Tec, composed of technical exper- tise to contribute to the R&I decision-making processes. Each group included representatives from key national-level funding and research as- sessment institutions, such as the Ministry of 8