Access to Digital Research Data from Public Funding : towards Principles and Guidelines from OECD

1. Access to Digital Research Data from Public Funding:towards Principles and Guidelines from OECD Peter Schröder Ministry of Education, Culture and Science -The Netherlands

2. ASIDE: The unbearable lightness of IPR policy making and legislation?

3. Policy making and legislation: Trying to cope with powerful natural and social processes A balancing act of governments, somewhere between: • Active steering and • Passive codification of real life

4. Policy making and legislation: Trying to cope with powerful natural and social processes A balancing act of governments, somewhere between: • Protecting vested interests and • Promoting innovation

5. Example:Protecting The Netherlands located below sea level - Traditional reactive measures: physical coercion against waves by dykes • Looking for active alternatives: developing a mix of advice, incentives and new rules to be adopted by waves.

6. Experiment: Ruling the waves

7. Wave motion & Information Revolution The effectiveness of the US DMCA and the EU Database Directive regimes on the newly emerging Information relations comparable to The effectiveness of the innovative wave motion measures on the raising see level ?

8. Access to Digital Research Data from Public Funding:towards Principles and Guidelines from OECD WhatWhyWhenWhereWhom ?

9. Reports from US National Research Council: • Bits of Power (1997) • A Question of Balance (1999) • The Digital Dilemma (2000)

10. Principles and Guidelines from National Institutes of Health • Sharing of Research Tools (2001) • Sharing of Research Data (2003)

11. 14 March 2000Clinton-Blair statement To realize the full promise of genome research, raw fundamental data on the human genome, including the human DNA sequence and its variations, should be made freely available to scientists everywhere.

12. December 2000 Amsterdam:Global Research Village Conference Busquin (EC Commisioner Research) Johnston (OECD Secretary General) Haank (Elsevier) Bajcsy (NSF) Van Duinen (ESF) Drenth (Allea)

13. December 2000 Amsterdam:Global Research Village Conference Limits on access to: Network infrastructures Electronic publications Digital research data

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15. What was wrong? Inaccessibility of digital research data Digital research data: digitised factual records used as sources in scientific research

16. SCIENTIFIC RESEARCH Human resources + facilities (instruments) processing Data into Information and Knowledge

17. Yesterday’s scientists studied nature Today’s scientists study digital data

18. Inaccessibility of digital data

19. Background • Use of ICT has raised capacity of digital data processing - Spectacular growth of demand & supply of digital data - Friction in institutional framework • (problems of upscaling; pressures to redesign research?)

20. December 2000 Amsterdam:Global Research Village Conference Conference Recommendations: CSTP, in accordance with ESF, NSF and CODATA, : Establish international guidelines for access to publicly funded research data

21. March 2001 CSTP Working Group Co-chaired by Peter Arzberger (University of San Diego) and Peter Schröder (OcenW) (membership from SF, Can, DK, PL) Participation from ESF and CODATA

22. Policy Studies NIWI Studies 1. Quick Scan of US legislation and Regulation Mini Survey among ESF members, and funding agencies in Canada, Australia and Japan

24. June 2002 Outcome NIWI Studies 1 1. DataAccess recognised as a major issue in science policy among ESF members 2. US Legislation and regulation decisive in US access (FOIA, BAYH-Dole Act)

25. In what fields of research? 1 Scientific research in general 2 Specific areas - Life sciences - Health sciences - Atmospheric sciences - Social sciences

26. October 2002: Final Arzberger Report submitted at CSTP October meeting

27. Unnecessary Obstacles

28. Bottom line:flaws in data access causing: • Diminishing return on scientific and social investments • Insufficiencies in - Stewardship of public knowledge - Value chain of innovation - Creation of value from international scientific co-operation

29. Within the science system: Technical and procedural complications • Interoperability (technical, methodological standards) • Cost distribution (business models, avoiding free riding) • Legal complications (privacy, national security, IPR)

30. (Within the science system)Policy and management complications • Upscaling and rising cost of research • Organisational problems • Rules on funding • Cultural problems • Attitudes towards sharing in the communities, the profession • Monopolies as a result of (lack of) funding rules

31. Socio-political (value chain)complications • Aspects of public good vs. proprietary knowledge? - Open research / commercial excludability - Network economy, property/access - Commercial monopolies

32. Who should act? (1) • Actors responsible for science policy and innovation • Inter governmental organisations (UN, OECD) • National governments

33. Who should act ? (2) • Actors responsible for the allocation of public research funds • Research funding organisations • Research institutes, universities - Regulation on funding

34. Who should act? (3) • Actors responsible for the scientific norms and values • Professional scientific organisations • Research communities - Professional ethics - Co-operative arrangements - Disciplinary standards - Scientific methods and techniques

35. Towards What? Data Access Regimes • An appropriate mix of incentives in policy making and research management conducive to additional - Advisory support - Funding conditions (grants etc.) - Investment in durable infrastructural facilities

36. Principles for Data Access Regimes • Core Principle: OPEN ACCESS • Publicly funded research data should be openly availbale to society subject only to legitimate restrictions

37. Open Access

38. General Principles to establish specific Data Access Regimes 1. I. Transparency Systematic visibility and traceability of data II. Legal conformity Lawful use, respecting National Security, Privacy and Trade Secrets III Formal Responsibility Explicit institutional rules on data management

39. General Principles to establish specific Data Access Regimes 2. IV. Professionalism Building on the values and standards of the communities • Respecting Intellectual Property Arranging IPR to realise Open Access VI. Interoperability Meeting technical requirements for multiple use

40. General Principles to establish specific Data Access Regimes 3 • Quality Explicit control of data quality in terms of Autheticity, Integrity and Security of data VIII. Efficiency Promoting cost effectiveness in data management and support servives IX. Accountability Rendering public account for the performance of data access regimes.

41. Risks?(when not acting) 1 Inefficiencies in the research production - Unnecessary duplication as well as scarcity of resources 2 Loss of quality - Insufficient validation - Unnecessary limits in scope and depth - Barriers to multidisciplinary co-operation

42. October 2002:CSTP Drafting Group - CSTP assigns Drafting Group to prepare the access issues for the Ministerial in 2004 - Group chaired by (NL) Broesterhuizen, with membership from US, UK, F, D, Jap, B, S, Can, Aus, SA, P.

44. NIWI Studies 2 Case studies: CERN EMBL Neuroinformatics Biodiversity

45. 2003 February - Global Science Forum workshop Tokyo March – NIWI Studies 2. March - Draft Principles at CSTP March meeting May – MERIT/NWO Expert Meeting Data Economies September- Final draft Guidelines

46. 2003-2004 Drafting Group: Consensus Engineering in formulating Principles and Guidelines Balancing general guidelines with contextual specifics Balancing legislation with self regulation Proposal for Ministerial Declaration

47. Example 2:governing sunset • Another interesting regulatory experiment: • Governmental control over the time of sunset

48. Sunset Control