Open Science – Principles and Practices

Open Science – Principles and Practices Carl-Zeiss-Stiftung, Mainz, 21.11.2025 Prof. Dr. Heinz Pampel Humboldt-Universität zu Berlin, Berlin School of Library and Information Science (IBI) Einstein Center Digital Future Helmholtz Association, Helmholtz Open Science Office 22 Years Ago 2 •Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities, 2003 Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities. (2003). Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities . https://openaccess.mpg.de/Berliner-Erklaerung From Grassroots Movement to International Law 3 •International legal text adopted by 193 countries in 2021 •Broad definition of Open Science •Identification of fundamental values and guiding principles •Recommendations on action areas UNESCO. (2021). UNESCO Recommendation on Open Science . https://unesdoc.unesco.org/ark:/48223/pf0000379949.locale=en From Grassroots Movement to International Law 4 •International legal text adopted by 193 countries in 2021 •Broad definition of Open Science •Identification of fundamental values and guiding principles •Recommendations on action areas UNESCO. (2021). UNESCO Recommendation on Open Science . https://unesdoc.unesco.org/ark:/48223/pf0000379949.locale=en 5 •International legal text adopted by 193 countries in 2021 •Broad definition of Open Science •Identification of fundamental values and guiding principles •Recommendations on action areas From Grassroots Movement to International Law v UNESCO. (2021). UNESCO Recommendation on Open Science . https://unesdoc.unesco.org/ark:/48223/pf0000379949.locale=en 6 •Open scientific knowledge From Grassroots Movement to International Law UNESCO. (2021). UNESCO Recommendation on Open Science . https://unesdoc.unesco.org/ark:/48223/pf0000379949.locale=en 7 •Open science infrastructures From Grassroots Movement to International Law v UNESCO. (2021). UNESCO Recommendation on Open Science . https://unesdoc.unesco.org/ark:/48223/pf0000379949.locale=en 8 •Open engagement of societal actors From Grassroots Movement to International Law v UNESCO. (2021). UNESCO Recommendation on Open Science . https://unesdoc.unesco.org/ark:/48223/pf0000379949.locale=en 9 •Open dialogue with other knowledge systems v UNESCO. (2021). UNESCO Recommendation on Open Science . https://unesdoc.unesco.org/ark:/48223/pf0000379949.locale=en From Grassroots Movement to International Law Funder Policies: Example Horizon Europe 16 •Open Access to Publications •Mandatory deposit of an electronic copy in a trusted repository •Immediate open access (CC BY; for monographs also CC BY-NC/ND) •Disclosure of information on tools and outputs needed for validation •Metadata must be open under CC0 and follow FAIR principles •Only fees for fully open access journals are eligible •Research Data Management •Create and update a Data Management Plan (DMP) •Deposit data in a trusted repository (EOSC-compliant if required) •Provide open access to data (CC BY/CC0), unless legitimate constraints apply •Provide information needed for data reuse and validation •Metadata must be open under CC0 European Commission. (2025). EU Grants: AGA - Annotated Grant Agreement . https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/common/guidance/aga_en.pdf Open Access 1717 •Zugangsmodelle (Artikel-Ebene) Open Access Monitor . (n.d.). Retrieved November 15, 2025, from https://open-access-monitor.de/ •Geschäftsmodelle (Journal-Ebene) Open Access 1818 •DEAL as a structure-shaping collaborative initiative •Transformation effect of the so-called transformative agreements (e.g., DEAL) is low •Pricing based on publication volume poses challenges for publication-intensive institutions •Cost increases at the level of article processing charges (APCs) •APCs as a potential barrier to publishing •Publication and cost monitoring presents challenges for institutions •Monopolization in the publishing sector •Diamond is increasingly discussed as a potential solution •Scalability and sustainability as challenges Ancion, Z., Borrell-Damián, L., Mounier, P., Rooryck, J., & Saenen, B. (2022). Action Plan for Diamond Open Access . https://doi.org/10.5281/zenodo.6282402 Open Research Data 1919 •Paradigm: “as open as possible, as closed as necessary” •National Research Data Infrastructure (NFDI) and the European Open Science Cloud (EOSC) as major (infrastructure) initiatives •Discipline-specific approaches are essential •FAIR principles as the foundation (FAIR ≠ open) •Cultural shift needed to recognize data management as scholarly work •Growing requirements: data management plans, data availability statements •(New) publication forms: data journals, data papers Bundesministerium für Bildung und Forschung. (2020). Aktionsplan Forschungsdaten . https://www.bildung-forschung.digital/digitalezukunft/shareddocs/Downloads/files/163_20_faktenblatt_aktionsplan_3_final.pdf Open Research Data 20 To be Findable To be Accessible To be Interoperable To be Reusable F1. (meta)data are assigneda globally unique and persistent identifier A1. (meta)data are retrievable by their identifier using a standardized communications protocol I1. (meta)data use a formal, accessible, shared, and broadly applicable language for knowledge representation R1. meta(data) are richly described with a plurality of accurate and relevant attributes F2. data are described with rich metadata (defined by R1 below) A1.1 the protocol is open, free, and universally implementable I2. (meta)data use vocabularies that follow FAIR principles R1.1. (meta)data are released with a clear and accessible data usage license F3. metadata clearly and explicitly include the identifier of the data it describes A1.2 the protocol allows for an authentication and authorization procedure, where necessary I3. (meta)data include qualified references to other (meta)data R1.2. (meta) data are associated with detailed provenance F4. (meta)data are registered or indexed in a searchable resource A2. metadata are accessible, even when the data are no longer available R1.3. (meta)data meet domain-relevant community standards •FAIR Principles Wilkinson, M. D., Dumontier, M., Aalbersberg, Ij. J., Appleton, G., Axton, M., Baak, A., Blomberg, N., Boiten, J.-W., da Silva Santos, L. B., Bourne, P. E., Bouwman, J., Brookes, A. J., Clark, T., Crosas, M., Dillo, I., Dumon, O., Edmunds, S., Evelo, C. T., Finkers, R., … Mons, B. (2016). The FAIR Guiding Principles for scientific data management and stewardship. Scientific Data , 3 (1), Article 1. https://doi.org/10.1038/sdata.2016.18 Open Research Software 2121 •Broad spectrum of software types •Requirements for access to research software can be found in the DFG Code of Conduct •Awareness of good software practices remains necessary •version control, documentation, testing, standards, and open licenses ensure software quality and sustainability (FAIR4RS) •Research Software Engineering (RSE): professional software development in academia •Reproducible software enables the reuse of scientific methods •A cultural shift is needed to recognize research software as a scholarly contribution Chue Hong, N. P., Katz, D. S., Barker, M., Lamprecht, A.-L., Martinez, C., Psomopoulos, F. E., Harrow, J., Castro, L. J., Gruenpeter, M., Martinez, P. A., & Honeyman, T. (2021). FAIR Principles for Research Software (FAIR4RS Principles) . https://doi.org/10.15497/RDA00068 Deutsche Forschungsgemeinschaft. (2025). Guidelines for Safeguarding Good Research Practice. Code of Conduct . https://doi.org/10.5281/zenodo.14281892 Open Research Software 2222 •Broad spectrum of software types •Requirements for access to research software can be found in the DFG Code of Conduct •Awareness of good software practices remains necessary •version control, documentation, testing, standards, and open licenses ensure software quality and sustainability (FAIR4Software) •Research Software Engineering (RSE): professional software development in academia •Reproducible software enables the reuse of scientific methods •A cultural shift is needed to recognize research software as a scholarly contribution Helmholtz Software Directory, https://helmholtz.software/software/fastsurfer Implementing Open Science 23 Nosek, B. (2019). Strategy for Culture Change . https://www.cos.io/blog/strategy-for-culture-change UNESCO. (2023). Open science outlook 1: Status and trends around the world . UNESCO. https://doi.org/10.54677/GIIC6829 Implementing Open Science 24 Nosek, B. (2019). Strategy for Culture Change . https://www.cos.io/blog/strategy-for-culture-change UNESCO. (2023). Open science outlook 1: Status and trends around the world . UNESCO. https://doi.org/10.54677/GIIC6829 Implementing Open Science 25 •UNESCO key areas of action 1. promoting a common understanding of open science, associated benefits and challenges, as well as diverse paths to open science 2. developing an enabling policy environment for open science 3. investing in open science infrastructures and services 4. investing in human resources, training, education, digital literacy and capacity building for open science 5. fostering a culture of open science and aligning incentives for open science 6. promoting innovative approaches for open science at different stages of the scientific process 7. promoting international and multi-stakeholder cooperation in the context of open science and with view to reducing digital, technological and knowledge gaps UNESCO. (2021). UNESCO Recommendation on Open Science . https://unesdoc.unesco.org/ark:/48223/pf0000379949