OPEN SCIENCE : EXPANDING

FRONTIERS IN RESEARCH AND

ACCELERATING INNOVATION

World Congress on Information Technology (WCIT) “Global Perspectives of Open Access” Mexico, 30 September 2014 Mr. Andrew Wyckoff, Director, Directorate for Science, Technology and Innovation

• Open science – the goal

• Why is this a policy issue?

• Who are the actors?

• Open access and open data – what is the situation?

• Policy trends – enablers, carrots and sticks

• Country initiatives

• OECD work

Roadmap

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• Three main aspects:

– Open Access Publishing (OA)

– Open Data Platforms (OD)

– ICT based scientific collaboration between scientists, citizens, companies and society more broadly

• One single goal:

– Make the outputs of publicly funded research results more widely accessible in digital format for the benefit of the scientific community, the business sector and society more generally

Open Science: the evolution of science towards

a more open and data-driven enterprise

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Open science: a hot issue for OECD and non-

OECD countries

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National STI strategy or plan

• Efficiency of production and diffusion

– Reduce duplication

– Economies of scale (more research from the same data)

– Multiply opportunities for international participation

– Spillovers to science and innovation

The rationale for open science

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• Government itself is huge source of data – Public Sector Information (PSI)

• Greater openness = Opportunities for:

– New research

– Plus accountability, trust, transparency and better services

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Parallels a push for openness in the public sector

Recommendation of the Council for Enhanced Access and More Effective Use of Public Sector Information.

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There are positive impacts of OA on research

Source: Gentil-Beccot A., S. Mele and T. C. Brooks, 2009

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Collaboration also improves quality

The impact of scientific production and the extent of international scientific collaboration, 2003-11

Note: Whole counts of internationally co-authored documents

Source: OECD (2013), Science, Technology and Industry Scoreboard 2013, http://dx.doi.org/10.1787/888932890314

Not all science participates equally in OA

Source: UNESCO via Bjork et al 2010 -> Björk B.-C., Welling P., Laakso M., Majlender P., Hedlund T. et al. 2010, Open Access to the scientific journal literature: Situation 2009, PloS ONE 5(6)

• 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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OA can also contribute to innovation …but

Getting research results to SMEs is crucial…

Source: Criscuolo, Gal and Menon, 2014

…especially young SMEs

Source: Criscuolo, Gal and Menon, 2014

• Ownership of datasets

• Confidentiality

• Security issues

• Lack of incentives in the academic community

• Missing infrastructure and skills

• Adequate and sustainable funding?

Barriers to Open Access and Open Data remain

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What is the “right” balance between openness and protection?

Who are the main actors in Open Access and

Open Data?

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National open science

strategies

International guidelines

Not-for-profit

initiatives

Research funders’

requirements

Policy measures may include different efforts and initiatives, such as:

enablers, incentive mechanisms or mandatory rules

Open science policy trends: enablers,

carrots and sticks

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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.

Policy measures may include different efforts and initiatives, such as:

enablers, incentive mechanisms or mandatory rules

Open science policy trends: enablers,

carrots and sticks

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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.

Policy measures may include different efforts and initiatives, such as:

enablers, incentive mechanisms or mandatory rules

Open science policy trends: enablers,

carrots and sticks

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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.

Where are we now? Open Access policies…

• Open access refers to free electronic access to research publications

• More widespread in OECD countries than open open data policies

• 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

…Open Data policies…

• Open data refers to access to the data that constitute the primary inputs into new research, as well as the first-order results of that research

• Less developed than open access policies, probably because data are more difficult to “treat” and “protect”

• Currently, incentive mechanisms for researchers are lacking

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:

…and Open science: international efforts

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• OECD principles (2007) • UNESCO: Open Access Strategy 2011; 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

Open Access to scientific publications – a closer

look

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Investments in Infrastructure (both nationally and via international efforts)

• SciELO Chile (www.scielo.cl): a portal that includes over 98 titles of national journals available through open access. It includes about 90% of the Chilean scientific journals with the highest international visibility

• INSTITUTIONAL REPOSITORY CONICYT (RI2.0) (http://ri.conicyt.cl): is an institutional Open Access initiative, which includes a self-archiving function containing the results of projects and/or studies that have been funded by CONICYT (the National Commission for Science and Technology). It provides access to the whole content of more than 4,000 documents and over 1,400 theses

• LA Referencia (http://lareferencia.redclara.net): is a federated network of national repositories of scientific documentation for LAC (members are Argentina, Brazil, Chile, Colombia, Ecuador, El Salvador, Mexico, Peru and Venezuela) financed by the Inter American Bank

Chile

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Development of ICT infrastructure and repositories

• LATINDEX, an information system on scientific and technical journals published in the LAC area, Spain or Portugal. LATINDEX mission is to disseminate and make journals available as well as to provide information on bibliographic data and contacts.

• SciELO México is part of the SciELO regional network, i.e. a network that collects academic publications from 15 countries: Argentina, Bolivia, Chile, Colombia, Costa Rica, Cuba, Spain, etc. SciELO México is developed by the General Directorate of Libraries of the National Autonomous University of Mexico.

• Redalyc is an open access online scientific library and an online scientific information system and was launched in 2002 by a group of researchers concerned by the low intensity of research results produced in Latin America

On the 20th of May 2014 new statements to the Science and Technology Law, the General Education Law and to the Organic CONACYT law were created to support open access. CONACYT will support the creation of Institutional Repositories, operated by Repositorios Nacionales (RN) using international standards. Mexico is also involved in international efforts to promote open science.

Mexico

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• National repositories for green open access: public actors are developing repositories (RECOLECTA, www.recolecta.fecyt.es) to be connected with similar initiatives nationally and internationally. A digital version of papers have to be uploaded not later than twelve months after the official date of publication

• Together with the National mandate, in Spain there are 3 Regions (out of 17) that have their own regional Open Access mandate: Madrid, Asturias and Cataluña. Moreover, there are 16 universities that have their own institutional Open Access mandates

Spain

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• February 2013, the White House Office of Science and Technology Policy (OSTP) issued a memorandum to federal government science agencies directing them to develop plans for increasing public access to the results of federally funded research, in particular to scientific publications and digital data

• The OSTP Memorandum applies to federal agencies with more than $100 million in annual spending on research and development. This includes agencies within the Department of Agriculture; Department of Commerce; Department of Defense; Department of Energy; Department of Health and Human Services; Environmental Protection Agency; National Aeronautics and Space Administration; and National Science Foundation, but other agencies may voluntarily comply with the policy

• Funding for implementation and operation of these policies will come from existing agency budgets. Some agencies, including the National Institutes of Health (NIH), already have policies for increasing public access to publications and digital data that will form the basis of their plans; others will create policies de-novo

The United States

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• UK Government’s commitment to Open Access (OA) was stated in its Innovation & Research Strategy for Growth, December 2011, as a key part of BIS’s (Department for Business’s) contribution to the UK Government’s Transparency Agenda

• The UK policy position is a strong preference for Gold OA and an acceptance of Green OA. Gold is preferred because of its advantages in terms of providing freely to the user: immediate access to the final peer reviewed published article, compatibility with data mining, and unrestricted access and re-use

The United Kingdom

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Open data policies and initiatives

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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 management 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

Chile

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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. A Priority Initiative “Digital Information” has a dedicated working group focusing on research data.

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.

Germany

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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

• £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.

• £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.

The United Kingdom

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• 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

The United States

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• Open access and open data can support better quality science, collaboration, innovation and public sector transparency.

• There is a plethora of (overlapping) initiatives, mostly on open access (less on open data), driven by governments, universities and researchers

• Skills development is essential and there is scope for further action to improve both open access capabilities AND the capacity to make use of open data

• Ensuring researchers face the right incentives for openness is also essential – this includes clarity on intellectual property

Repositories are necessary but not sufficient conditions for openness

OECD study of policy trends to promote open access and open data, and their impact, will be finalised by end-2014.

OECD study on “big data” also being finalised.

In conclusion

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Contact: Andrew.Wyckoff@oecd.org

Find us at:

http://www.oecd.org/sti/

Selected links:

https://innovationpolicyplatform.org/content/open-science-0

http://ipp.p2devcloud.com/open-science-oecd-project

http://www.csc.fi/csc/kurssit/arkisto/openscienceforum

Thank you

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