NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
SITUATION ANALYSIS In the development of this Strategy, strengths, potential threats, or weaknesses, as well as opportu- nities have been considered, and the SWOT analysis has showed: STRENGTHS • Political commitment with cultural and institutional change towards open science. • Supportive legislative framework for open science: Article 37 of the Law on Science, Technology and Innovation, and Article 12 of the Organic Law of the University System. • Support of open science and knowledge by funding, assessment, and accreditation agents within the national system of science, technology, and innovation. • Existing network of institutional repositories and national, European, and Ibero-American aggregation services. • Existence of institutional open science policies in a growing number of research performing organizations. WEAKNESSES • Lack of awareness of open science practices within the scientific community (both researchers and institutions) and concerns about the workload and implications for research assessments. • Absence of an assessment system that promotes open science practices. • Uncertainty about how research quality will be effectively ensured in the new context of open science. • Limited budget allocated specifically to developing a concrete open science policy. • Insufficient number of professionals specialized in data processing, analysis, and management. • Lack of coordination among key stakeholders within the SECTI regarding open science. OPPORTUNITIES THREATS • International and unstoppable movement towards a more transparent and open science driven by UNESCO and the OECD. • Actions in favor of open science being carried out by the European Union and its Member States: European Policy Agenda for ERA, the establishment of the EOSC, Horizon Europe program, and the creation of the Coalition for Advancing Research Assessment (CoARA). • Development of actions in favor of non-commercial academic publishing models in the European context: Open Research Europe. • Signing of reading and publishing license agreements (“transformative agreements”) between CRUE and CSIC and some commercial academic publishers. • Oligopoly of large publishers and distributors of scientific production. • Increase in publication costs due to the lack of national coverage of transformative agreements with commercial publishers. • Opportunistic behavior of certain commercial publishers. 9
NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
• • • • 1 STRATEGIC OBJECTIVES The Strategy recognizes the concept of open science and knowledge as a comprehensive paradigm, without disregarding any of its dimensions, although the specific measures are limited to the de- tailed strategic objectives below. Ensure the existence of suffciently robust and well-articulated interoperable digital infrastructures capable of absorbing the impact of implementing a national open science policy and facilitating its integration into the international ecosystem, including, where applicable, the European Open Science Cloud (EOSC). 3 Implement open and free access by default to publications and scientifc results directly or indirectly funded with public funds, for the entire population. 2 Promote the proper management of research data generated by the national R&I system through the FAIR principles (Findable, Accessible, Interoperable, Reusable). 4 Establish new research assessment mechanisms and a system of incentives and recognition aimed at promoting open science practices, as well as providing training to all personnel (researchers, managers, funders, evaluators) to align their professional performance with the principles of open science. 10
NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
• • • • STRATEGIC AXES The Strategy will be implemented through specific measures that ensure the effective involvement, awareness, training, and capacity building of the individuals who will be key in this cultural change: researchers, support staff, management, and citizens. These measures should be properly coordi- nated among funding, execution, and assessment agents of research activities, and supported by the current legal framework and the action of the Spanish government. The strategic axes on which the ENCA is structured are as follows: A B Digital infrastructures for open science. Management of research data following FAIR principles. C D Open access to scientifc publications. Incentives, recognition, and training. 11
NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
AXIS A Digital infrastructures for open science Digital infrastructures for open science are the platforms and services for generating, depositing, storing, and long-term pres - ervation of research outputs (scientific articles, research data, methodologies, code, protocols, software, etc.). Some of these infrastructures include data spaces defined in the European Data Strategy 31, institutional, regional, and thematic repositories for open access to scientific publications and research data 32, institutional research management systems, and publishing platforms provided by public institutions responsible for editing, reproducing, and disseminating scientific journals, books, and other publications. All initiatives proposed in this Strategy will be supported by plat- forms and technological resources developed with open-source software, enabling the achievement of European digital sover- eignty, and facilitating the use of specific licenses for content distribution and reuse. Expected outcome: Availability of interoperable and fully oper- ational digital infrastructures with sufficient capacity to imple- ment national, European, and international policies on open sci- ence, including integration into the international ecosystem and, where appropriate, the European Open Science Cloud (EOSC). 31 European Data Strategy: https://ec.europa.eu/info/strategy/priori- ties-2019-2024/europe-ft-digital-age/european-data-strategy_es 32 For these purposes, repositories are understood as infrastructures loca- ted in universities, organizations, and research centers, typically managed by libraries, that include a set of services provided by universities or research centers to their community to collect, manage, disseminate, and preserve their digital scientifc output through an organized open access, and interope- rable collection. 12 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
AXIS B Management of research data following FAIR principles Research data refers to any material that has been generated, collected, observed, or recorded during the lifecycle of a re- search project and serves as evidence of the research process. It is recognized by the scientific community and is used to vali - date research results and ensure their reproducibility. Access to data and other relevant digital objects for research, such as soft- ware, is essential for the reproducibility of scientific findings 33. It facilitates interdisciplinary collaboration, stimulates economic growth through better opportunities for innovation, enables data reuse in social innovation, improves resource efficiency, enhanc- es transparency, accountability, and the performance of public investment, fosters scientific research, ensures public support for research funding, and strengthens public trust in research (OECD 2021) 34. Unlike scientific publications, research data is a research out- put that does not always have a standardized dissemination cir- cuit, assessment system, citation method, academic credit, and standardized reuse. Therefore, this Strategy addresses the need to provide research data with the attributes that comprise the FAIR principles (Findable, Accessible, Interoperable, Reusable) 35, necessary to ensure their transparency and reproducibility. Findable: Research data should be easily locatable by both hu- mans and machines. Accessible: Data and metadata should be retrievable using their identifier, utilizing an open and standard- ized communication protocol. Interoperable: Data should be able to be used and combined with other data or tools. Reus- able: Data should be able to be reused, and to enable this, they should be published under clear and accessible reuse licenses. Expected outcome: Implementation of a research data man- agement methodology by the FAIR principles generated by SEC- TI, ensuring their findability, accessibility, interoperability, and reusability. 33 Research data can be experimental, observational, operational, third-par- ty, public sector, monitoring, raw, processed, or reused. For each discipline or scientifc domain, there is an interpretation of what research data is, its nature, and how it is collected. Examples include, among others, experimental results, measurements, feldwork observations, survey results, recordings of physical samples, documentation, code, instrument confgurations, statistics, and images. 34 OECD/LEGAL/0347. Recommendation of the Council concerning Access to Research Data from Public Funding. Adopted in 2006 and revised in 2021: https://legalinstruments.oecd.org/en/instruments/OECD-LEGAL -0347 35 Wilkinson, M., et al. (2016). The FAIR Guiding Principles for scientifc data management and Stewardship. Sci Data 3, 160018: https://www.nature.com/ articles/sdata201618 13 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
AXIS C Open access to scientifc publications Open access entails providing free online access to scientific literature under licenses that allow its use and exploitation by re- searchers, administrations, businesses, and the public, without economic, legal, or technological barriers. Open access increas- es and enhances the transparency of the scientific process and, consequently, access to knowledge, facilitating the direct and indirect dissemination of science to the public and empowering society to address the challenges of the 21st century. Spain has a policy of open access to scientific publications out- lined in Law 14/2011, of June 1, on Science, Technology, and In- novation, which has been amended by Law 17/2022, of Septem- ber 5. Article 37 establishes that researchers must deposit the scientific articles produced as a result of publicly funded pro - jects in institutional or thematic open-access repositories. Until now, assessments of compliance with the 2011 law have shown only symbolic compliance 36. These assessments have identified the main causes of this low level of compliance as a lack of coordination among key decision-makers and legal safeguards that prioritized agreements with scientific publishers over the obligation to deposit in open access. Both causes have been addressed in the amendment to the law, which came into effect on September 6, 2022, so that researchers in the public sector or whose research activities are predominantly funded by public funds and who choose to disseminate their research outputs in scientific publications must deposit a copy of the final accepted version for publication and the associated data in institutional or thematic open access repositories simultaneously with the publication date. Expected outcome: Fulfillment of the mandate for immediate open access by default in scientific publications, eliminating ac- cess barriers for the entire population. 36 https://www.recolecta.fecyt.es/documentacion/informe-de-la-comi- sion-de-seguimiento-sobre-el-grado-de-cumplimiento-del-articulo-37 14 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
AXIS D Incentives, recognition, and training Incentives are an essential element within the ENCA. The im- plementation of the open science paradigm requires a cultural shift, both from institutions dedicated to funding, executing, and evaluating scientific activity, and from researchers associated with the science, technology, and innovation system. Regarding institutions, they need to integrate a new set of values into their daily operations, which should translate into the development of norms and procedures and the implementation of specific ac- tions that promote the cultural change of individuals involved in research. Incentives for change serve to guide, align, and reward practices, breaking long-established inertia in on how research is conducted and measured that does not reflect the standards and objectives of open science, and should be aligned with the research assessment reform advocated by the European Coun- cil in its Conclusions on research assessment and the imple- mentation of open science policies. Expected outcome: Establishing a new assessment system for research activities within the national science, technology, and innovation system that aligns with the principles of open sci- ence and provides the necessary training for its implementation. 15
NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
MEASURES OF ACTION BY AXIS AXIS A Digital infrastructures for open science Each of the action axes defined in the ENCA 2023-2027 will be translated into specific action measures, establishing how they will be carried out and the expected timeframe for their imple- mentation (short, medium, or long term 37). A1. Identification of digital infrastructures, both national and international, necessary for the implementation of the ENCA. HOW: Existing national digital infrastructures (large, medium, and small) not included in the ICTS map, as well as internation - al infrastructures (e.g., OpenAIRE, ESFRI Roadmap38) in which Spain participates or should participate, will be mapped to deter- mine the investments in digital infrastructures required for the successful implementation of the ENCA. TIMEFRAME: Short term. A2. Generation and maintenance of new digital infrastructures for storage and preservation of research outputs necessary for the implementation of the ENCA. HOW: Digital infrastructures for storage, cataloging, access, and preservation of research data and data produced by public ad- ministrations that can be used for research will be created to provide full coverage to the SECTI. TIMEFRAME: Long term. A3. Financing of digital infrastructures for open science. HOW: Public funding calls included in the PEICTI 2024-2027, and institutional financing plans will be strengthened, and new fund- ing lines will be created to ensure the creation, maintenance, and development of open science digital infrastructures and the nec- essary personnel for their proper functioning. TIMEFRAME: Medium-term. A4. Interoperability of all open science digital infrastructures to guarantee their sustainability and facilitate the integration of data and services into the European Open Science Cloud (EOSC). 37 Short-term is considered as 12 months, medium-term as 24 months, and long-term as 36 months and beyond. 38 European Strategy Forum on Research (ESFRI) http://www.esfri.eu 16 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
AXIS B Management of research data following FAIR principles HOW: An Interoperability Plan for open science digital infra- structures will be developed in coordination with the guidelines of EOSC and OpenAIRE, the repository certification services of RECOLECTA, the Normalized Curriculum Vitae (CVN), and the journal evaluation services of FECYT. TIMEFRAME: Medium-term. B1. Creation, recognition, and promotion of professional pro - files to support research data management within the SECTI as support figures for research teams, adding specific and neces- sary expertise and alleviating the workload of research teams. HOW: Funding will be provided, within research support person- nel calls, for the creation of professional profiles to support the FAIR management of research data, such as data stewards and research data analysts, among others. TIMEFRAME: Short term. B2. Improvement of the communication of scientific results, overcoming the current limitations of the scientific results communication system, and including adequate assessment of other research outputs such as data and other digital objects of the scientific process, as well as the adoption of new forms of scientific communication based on them. HOW: Scientific publications should be linked to their under- lying research data. The development of a Data Management Plan (DMP) will be mandatory as an integral part of research projects funded by public funds, including the evaluation of this plan within project monitoring activities, whenever the research discipline involves the existence of data. This DMP will have a standard that facilitates its assessment and monitoring, accord- ing to an appropriate procedure and protocol. TIMEFRAME: Medium-term. B3. Strengthen the implementation of the legal framework and mechanisms that facilitate open access to research data. HOW: Interministerial coordination and coordination between the General State Administration and the Autonomous Commu- nities will be reinforced to ensure that the application and mon- itoring of national regulations on open data and reuse of public 17 NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
AXIS C
Open access to scientifc
publications
sector information are aligned with the objectives of the ENCA
and allow access to public research data and data generated by
public administrations for research purposes.
TIMEFRAME: Short to medium term.
C1. Compliance with the legal mandate for open access to fa -
cilitate the deposit of all scientific publications.
HOW: It will be ensured that public sector research personnel,
or researchers whose research activities are predominantly
funded by public funds and who choose to disseminate their re-
search results in scientific publications, deposit a copy of the
final accepted version for publication and associated data in in-
stitutional or thematic open access repositories simultaneously
with the publication date. Depositing all works, including those
by research personnel, in open access repositories will be con-
sidered a best practice for merit assessment, promotion, etc.,
within research institutions (universities, public research organ-
izations, and research centers). Compliance will be considered
as an assessment criterion in public calls.
TIMEFRAME: Short to medium term.
C2. Evaluation of the national open access policy to assess the
effectiveness of measures and strengthen incentives if neces-
sary.
HOW: The degree of compliance with the national policy of open
access, as stated in the Law on Science, Technology, and Inno-
vation, will be periodically measured. Additionally, the publica-
tion in open access will be included among the regular indica-
tors monitored by the SECTI, in coordination with the monitoring
bodies of the EECTI 2021-2027 and the PEICTI for the periods
2021-2023 and 2024-2027, as well as the SICTI.
TIMEFRAME: Short to medium term.
18
NATIONAL STRATEGY FOR OPEN SCIENCE (ENCA) 2023 – 2027
C3. Negotiation of agreements for transforming the scientific communication model to ensure equal conditions for research personnel across the SECTI regarding access to scientific con- tent, options for open-access publishing, and depositing their publications in open-access repositories. HOW: Negotiations will be conducted with relevant parties to reach national agreements with major commercial scientific publishers, allowing research personnel from across the SECTI to self-archive and provide immediate open access to their publi- cations in duly accredited repositories without additional costs. TIMEFRAME: Long term. C4. Diversification of mechanisms for publishing research results, supporting a non-commercial model of research out- come communication through complementary or alternative dissemination tools to commercial scientific journals, such as research outcome publication platforms, institutional publish- ing services, and open access repositories. Compliance with the peer review process will be ensured, and mechanisms to guarantee publication quality will be strengthened. HOW: Ensuring that publishing research outcomes funded by public funds in open access publication platforms (e.g., Open Research Europe, ORE39) and in reputable journals not indexed in commercial bibliographic databases are adequately consid- ered in the curricular assessment exercises carried out by the AEI, ISCIII, and ANECA, considering the value of the contribution rather than the publication journal itself. TIMEFRAME: Medium-term. C5. Strengthening the implementation of the legal framework and mechanisms that facilitate open access to scientific pub- lications. HOW: Interministerial coordination will be reinforced to ensure the application and monitoring of national regulations regarding open access to scientific publications, without prejudice to the application of intellectual property rights regulations. TIMEFRAME: Short to medium term. 39 Open Research Europe https://open-research-europe.ec.europa.eu 19