Transcript Giulia Ajmone Marsan open sciencex

POLICIES TO PROMOTE OPEN SCIENCE:
EVIDENCE FROM OECD COUNTRIES
Giulia Ajmone Marsan
Directorate for Science, Technology and Innovation
OECD
Once upon at time at the OECD…
• OECD Principles and
Guidelines for Access to
Research Data from Public
Funding (2006-07)
• Initial discussion of Open
Science at CSTP in 2011
• Many open science related
activities on-going (PSI, open
gov data, open educational
resources, MOOCS…)
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…today … and tomorrow
• Decision to ask TIP WP to work on Open
Science over 2013-14 – first project on
Open Science at the OECD (focusing on
open access and open data mostly)
• Probably follow up activities in the near
future
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Science: an evolving scenario…
• ICTs offering new possibilities to share results
• Science is becoming increasingly data-driven
TDM-related scientific articles
1995-2014, per thousand article
Source: OECD (2014), Measuring the Digital
Economy: A New Perspective, OECD
Publishing, Paris.
Data mining
Big data (excluding data mining)
Text mining (excluding data mining)
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Main finding of forthcoming OECD
report on OS
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Some definitions...
There is no formal definition of open
science. In the OECD study, the term refers
to efforts by governments, research funding
agencies or the scientific community itself to
make the primary outputs of publicly
funded research results – publications and
the research data – publicly accessible in
digital format with no or minimal
restriction
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Some definitions…
Open data are data that can be used by anyone without
technical or legal restrictions. The use encompasses both access
and reuse. Whether such openness exists from the legal
perspective depends on the applicability of possible legal
restrictions (or otherwise, whether the restrictions are removed
by a free licence).
Research data are factual records used a primary sources for
scientific research, and that are commonly accepted in the
scientific community as necessary to validate research findings.
They are collected and produced in a wide range of formats:
digital spreadsheets and databases, compilations from surveys,
images, or objects. The consultation and usage of research data
often involves use of specific computer programmes, software,
etc.
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But open science is more than access
to research publications and data
• Open science is more than open access to
publications or data; it includes many
aspects and stages of research processes.
Open science is a broader concept that also
includes the interoperability of scientific
infrastructure, open and shared research
methodologies (such as open applications
and informatics code), and machine-friendly
tools allowing, for example, text and data
mining.
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Why do we care about Open Science?
• Improving efficiency in
science
• Increasing transparency
and quality
• Speeding the transfer of
knowledge
• Increasing knowledge
spillovers to the economy
and society
• Addressing global
challenges more effectively
• Promoting citizens’
engagement in science
• …
Open science is a means and not
an ends.
Policy makers need to promote
openness in science while at the
same time preserving
competition. Competition is a key
aspect of the scientific enterprise:
pushing for open access and open
data too early may be
counterproductive in some cases.
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OA can also contribute to innovation…but…
• PubMedCentral show that 25% of the daily unique
users are from universities, 17% from companies,
40% are individual citizens and the rest are
government or other categories (UNESCO 2012)
• A recent study on R&D-intensive SMEs in Denmark
(Houghton, Swan and Brown 2011) found that 48% of
those SMEs consider research outcomes very
important for their business activities and more than
2/3 reported difficulties in accessing research material
• Ware (2009) conducted a survey on UK SMEs and
found evidence that the equivalent of 10% to 20% of
articles were not easily accessible for his survey
respondents
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…the impacts of open science need to
be fully understood
• Open science a relatively new phenomenon (at least
for policy makers)
• Evidence on open access citation advantage (but
quantification of this advantage is subjected to debate)
• Different behaviours in different fields (why? Over
time?)
• Scientists tends to like open science in surveys (what
about in reality?)
• Many estimates of the economic impact of data
sharing (mostly on open gov data)
• Fewer estimates on research data sharing impact
especially on innovation
Need to assess these impacts (to whom and on
what?)
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The open science ecosystem:
a complex picture
Researchers
Private no
profit
organisations
and
foundations
Businesses
Government
ministries
Private
scientific
publishers
Universities
and PROs
Research
funding
agencies
Libraries,
repositories,
data
centers…
IGOs
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As a consequence:
•
Open science policies should be principle-based but adapted to local
realities. Open science policies require a diversity of approaches, taking into
account the needs of the different actors involved in research projects. For
example, if a research project involves business sector partners and
commercial interests are present, the requirements for sharing research
results may be different from the case in which only public actors are
involved. In other cases, privacy or confidentiality concerns may apply to
the treatment of certain classes of individual data.
•
Consultative approaches that involve all relevant actors for open science
are a key component of successful open science strategies. Open science
efforts involve different communities and different actors: researchers,
governmental institutions, universities and research centres, libraries and
data centres, private non-profit organisations, business sector organisations
including private academic publishers, supra-national entities, citizens, etc.
These actors do not necessarily have the same incentives, goals or
expectations. A successful strategy needs to take into account this diversity,
and react accordingly.
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Open science: a hot issue for OECD and nonOECD countries
National STI strategy
or plan
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Open data policies and initiatives
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Chile
The National Policy on Management of Research Data
and Scientific Information:
•
developed in order to implement the OECD
Recommendations on Access to Research Data from Public
Funding,
• designed in 2012 in order to optimize and rationalize the
use of public resources involved in the generation and
manage of knowledge; increase the access to research data
and scientific information; reach international standards in
the matter of access to research data, considering OECD
recommendations
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China
• Scientific Data Sharing Programme since 2001
– To break the “data barrier” before 1990s.
– To date, supported by the Programme, 24 platforms have
been established to share scientific data from public
funding, especially the observational data and basic data.
– ＞ 1500 S&T projects and engineering projects benefited
from the data sharing.
– Data exchange with foreign organizations and institutions.
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Finland
• The Open Science and Research Initiative
was established in 2014 by the Finnish Ministry
of Education and Culture focuses also on
research data
• Focus on data management plans, data storage
and preservation in the long run
• Skills are a key component of the strategy:
guidelines for data management have been
developed for researchers and scientist
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Germany
In the Priority Initiative “Digital Information” of the
Alliance of the German Science Organisations has dedicated
working group focusing on research data. In June 2010, the
Alliance of German Science Organisations adopted “Principles
for the Handling of Research Data”, to establish structures
to enable the collection, archiving and subsequent reuse of
primary research data in all applicable disciplines.
Focus on Skills
The major research organisations are actively contributing to
strengthen OA and OD. This includes rising awareness and providing
information for scientists as well as offering support and advice:
e.g. the Helmholtz Association has established regular training
courses on managing research data with regard to Open Science.
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Portugal
• Sharing research data is encouraged but
not mandatory: the Foundation for Science
and Technology encourages (although it
does not mandate) researchers to share the
data resulting from research activities
partially or totally funded by FCT, while
assuring the protection of privacy and
confidentiality
• Researchers are also encouraged to develop
data management plans to ensure
preservation
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The United Kingdom
Open research data
• Research Councils’ (RCUK’s) Guidance on Open Access states that all research papers, if
applicable, should include a statement on how underlying research materials
(such as data) can be accessed. However, the policy does not require that the data
must be made open
Focus on Skills
• Much skills policy in the UK surrounds providing skills training to students in numerical
subjects. These skills policies are focused more around teaching students and
academics how to use the big data sets that will emerge out of open data, rather
than skills necessary for open science policies per se
Large scale projects:
• The Open Data Institute: this £10m project will provide data from across the public
sector on an open access basis to enable industrial and academic exploitation
• £160m investment in high-performance computing and networks (2011): the
investments included high capacity networking, a national supercomputing facility and
for the Hartree centre, offering leading edge supercomputing capabilities alongside
software development expertise for industrial, academic, governmental and research
organisations.
• £189m investment in Big Data: these investments included energy efficient
computing, establishing a network of Administrative Data Research Centres (the
‘ADRN’), and the Square Kilometre Array (SKA) platforms.
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The United States
• the White House Office of Science and
Technology Policy (OSTP) memo explicitly refers to
access to digital data
Focus on Skills
• The OSTP Memo directs federal science agencies to
coordination with other agencies and the private sector
to support training, education, and workforce
development related to scientific data
management, analysis, storage, preservation, and
stewardship
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Open science policy trends: enablers,
incentives and requirements
Policy measures may include different efforts
and initiatives, such as:
enablers, incentive mechanisms or
mandatory rules
Enablers are, for example, the infrastructure developed to share
articles or data, initiatives undertaken to develop an open science
culture, amendments to the legal framework to make them
increasingly open-science friendly or the development of the skills
necessary for researchers to share and re-use the research outputs
produced by others.
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For example…
ICT Infrastructure:
•
Argentina has developed the SICyTAR database with information on the CVs, publications and
affiliations of researchers
•
In Spain, RECOLECTA is the national repositories and main infrastructure that allows researchers and
other stakeholders to freely archive and access research publications
•
in Mexico, CONACYT supports the creation of institutional repositories
Skills:
•
the Finnish Ministry of Education and Culture created a Data Management Guide to teach
researchers to develop data management plans
•
in the UK, the Data Capability Strategy focuses on human capital and skill development for data
analytics as well as data accessibility and data sharing skills in consumers, business and academia. The
creation of centers for doctoral training on big data has been announced in several universities and higher
education institutions in the country
Legal framework:
•
Australia, Finland are currently discussing modifications of the existing legal framework around the
publication of publicly funded research results to make the copyright legislation increasingly open science
friendly
•
Germany has modified the national copyright law to grants scientists the right to upload publications on
the internet even if they have transferred all exploitation rights to the publisher
•
the UK has recently passed a series of amendments to its copyright legal framework (coming into force in
2014), which include a greater freedom of re-use of copied or recorded material for education and noncommercial research purposes
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Policy messages in the OECD report
•
Data-related skill development is essential. Researchers’ skills needed for sharing articles or data
sets openly on line are unevenly distributed. Some disciplines such as computer science or physics
may have a longer tradition of uploading research material on repositories and curating and
maintaining large data sets. Researchers in other disciplines, however, may need to be trained to
develop the necessary skills to make open science happen. At the same time, students and citizens
need to acquire the skills to take advantage of, use and reuse data set shared by the research
community. Some countries are currently developing data science curricula to address this issue.
•
Clear legal frameworks for the sharing of publications and reuse of data sets are needed at the
national and international levels. A lack of clarity on the interpretation of national and
international legal frameworks may prevent the sharing or reuse of research results. In addition,
clear guidelines around text and data mining are needed, as this tool will become increasingly
used by researchers in the future. Some OECD countries are currently discussing or have recently
modified national legal frameworks to make them increasingly open science-friendly.
•
Training of and awareness-raising among researchers is important for the development of an
open science culture. Recent surveys on the behaviour of scientists reveal that not all researchers
are necessarily aware of the possibilities offered by open science. In some countries, different
institutions regularly organise workshops and training sessions to make researchers aware of
these possibilities.
•
Repositories and online platforms will not have impact if the information they contain is not of
good quality. If repositories are not user-friendly and the data sets they contain have not been
properly cleaned and curated, or the metadata have not been sufficiently developed, it may be
difficult to maximise their usage.
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Open science policy trends: enablers,
incentives and requirements
Policy measures may include
different efforts and initiatives,
such as:
enablers, incentive
mechanisms or mandatory
rules
Carrots (incentive mechanisms) may be in the form of financial incentives to
cover open access publishing or the release of datasets. They may also be in the
form of proper acknowledgment of open science efforts of researchers
and academics, for instance in the form of data set citations or career
advancement mechanisms partly based on metrics that take into account open
science or data sharing efforts.
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Policy messages in the OECD report
• Better incentive mechanisms to promote data-sharing
practices among researchers are needed. While all public
sector researchers have an interest in maximising the sharing
of published research articles, the same is not true for
research data sets, especially at the pre-publication stage. In
addition, data cleaning and curation (for example, by
developing metadata) is a time-consuming activity that is
rarely acknowledged in evaluation mechanisms or grant
allocation procedures. Most evaluations of universities and
researchers are almost entirely based on teaching and
bibliometric indicators, attributing little value to the sharing
of pre-publication inputs and post-publication outcomes, such
as data and other relevant information. Extending citation
mechanisms to data sets can partly address this issue.
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Open science policy trends: enablers,
incentives and requirements
Policy measures may include
different efforts and
initiatives, such as:
enablers, incentive
mechanisms or mandatory
rules
Sticks (mandatory rules) are often implemented in the
form of requirements in research grant agreements
or in some cases are defined in national strategies or
institutional policy frameworks.
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For example…
• major funding agencies in Australia, Costa
Rica, Denmark, Estonia, Germany,
Switzerland, the United Kingdom and the
United States have mandated public access to
the results of the research they fund
• More countries are also considering adopting
rules for mandatory open access and data
management plans
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Policy messages in the OECD report
• The long-term preservation costs of openly
available research output need to be considered.
Open access is not without costs. Many
governments and research institutions are
currently bearing the costs of offering open access
to articles and to data, as well as the costs of
storage and the preservation of data sets on line.
Given the rapidly increasing amounts of data,
public institutions will be challenged to find
sustainable funding and business models. Publicprivate partnerships with private service providers
may offer innovative solutions.
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…and Open science: international efforts
Science and research do not stop
at borders. Co-ordinated
international efforts facilitate
transfer of knowledge.
Examples of international efforts
to promote open science and
overcome barriers include:
• OECD principles (2007)
• UNESCO: Open Access Policy Guidelines 2012; Charter for the Preservation
of the Digital Heritage
• In Europe, Horizon2020 open science requirements, as promoted by the
European Commission
• LAC countries: LA Referencia, a federated network of national repositories of
scientific documentation for 9 LAC countries, financed by Inter American Bank
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Policy messages in the OECD report
• International collaboration in the area of open science is necessary
to address global challenges. International collaboration is
becoming more important than ever, as publications and data in
electronic form travel across national frontiers. Shared and
interoperable infrastructure is necessary to disseminate research
results and promote scientific collaboration. Such efforts can help
avoid the duplication of effort, as well as helping share the risks or
the associated investments. In addition, BRIC countries Brazil,
China and India are also adopting open science policies and data
infrastructure roadmaps. International co-ordination and cooperation in this area will become even more important as the global
production of knowledge and R&D increasingly shifts towards the
emerging economies. Furthermore, tackling global challenges will
require greater access to and sharing of national public research
data sets – and consequently, greater co-operation at a global level.
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Summing up…
• Policies to promote open data are less mature than those to
promote open access to scientific publications. While the principle
of open access to scientific data is well established in OECD
countries, the scope of access varies greatly across countries. This is
due to the fact that data sets are not as easily identified and defined
as scholarly research articles. Diversity of scientific data and
differing traditions and standards in their treatment are also issues.
Some of the additional challenges related to data sets include the
definition of ownership of large-scale data sets, potentially collected
by machines or software providers; privacy; confidentiality; and
even national security issues. In addition, certain classes of data,
such as medical and biological records, are particularly sensitive
due to privacy issues.
• Many funding agencies are introducing open access requirements
however, few policies targeting incentives other than funding are
in place
• Many initiatives to invest in open access “enablers” (online
platform, repositories, …) but less attention to skills development
Thank you
OECD report on Open Science Policy Trends will
be released soon on:
https://www.innovationpolicyplatform.org/
[email protected]
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