The OECD Follow up Group on Issues of Access to Publicly Funded Research Data: A Summary of the Interim Report

1. The OECD Follow up Group on Issues of Access to Publicly Funded Research Data: A Summary of the Interim Report Peter Arzberger University of California San Diego Abstract: This talk will present a summary of the interim report of the OECD Follow up Group on Issues of Access to Publicly Funded Research Data. The Group�s efforts have origins in the 3rd Global Research Village conference in Amsterdam, December 2000. In particular, it will include issues of global sharing of research data. The Group has conducted case studies of practices across different communities, and looked at factors such as sociological, economic, technological and legal issues that either enhance or inhibit data sharing. The presentation will also address issues such as data ownership and rights of disposal, multiple use of data, the use of ICT for widening the scale and scope of data-sharing, effects of data-sharing on the research process, co-ordination in data management. The ultimate goal of the Group is to articulate principles, based on best practices that can be interpreted into the science policy arena. Some initial principles will be discussed. Questions such as the following will be addressed: �������� What principles should govern science policy in this area? �������� What is the perspective of social informatics in this field? �������� What role does the scientific community play in this? � It is intended that this presentation will generate discussion and feedback on key points of the Group's interim report. � Abstract: This talk will present a summary of the interim report of the OECD Follow up Group on Issues of Access to Publicly Funded Research Data. The Group�s efforts have origins in the 3rd Global Research Village conference in Amsterdam, December 2000. In particular, it will include issues of global sharing of research data. The Group has conducted case studies of practices across different communities, and looked at factors such as sociological, economic, technological and legal issues that either enhance or inhibit data sharing. The presentation will also address issues such as data ownership and rights of disposal, multiple use of data, the use of ICT for widening the scale and scope of data-sharing, effects of data-sharing on the research process, co-ordination in data management. The ultimate goal of the Group is to articulate principles, based on best practices that can be interpreted into the science policy arena. Some initial principles will be discussed. Questions such as the following will be addressed: �������� What principles should govern science policy in this area? �������� What is the perspective of social informatics in this field? �������� What role does the scientific community play in this? � It is intended that this presentation will generate discussion and feedback on key points of the Group's interim report. �

2. Access to Publicly Finance ResearchGlobal Research Village IIIAmsterdam 2000 Conference Conclusions, Hans Franken Highlights Issues Recommends OECD/CSTP explore formulating commonly agreed principles for consideration at GRV IV Steering group start, expand

3. Task of Working Group: Produce a Report Current practices and future trends of Access to and Sharing of Research Data from Public Funding Effects of current practices on quality of research and progress of science Principles of making data access policies on data produced from publicly funded research Present for consideration at GRV IV �������� Report on current practices concerning Access to and Sharing of Research data and their underlying principles on the basis of case studies; �������� Report on the effects of selected current data sharing practices on the quality of research and the progress of science; �������� Suggest principles for making policy on data sharing within the relevant national and international policies and regulatory frameworks. Unstated agenda is to promote US model throughout the world (full/open access) NSF should be interested. Our goals (speaking on behalf of the individuals gathered here) are actually two fold - Engage the research community - Have impact in policy arena Unique: - Considering social informatics perspective - Including broad set of communities - Working internationally on this issue - Working Multidisciplinarily�������� Report on current practices concerning Access to and Sharing of Research data and their underlying principles on the basis of case studies; �������� Report on the effects of selected current data sharing practices on the quality of research and the progress of science; �������� Suggest principles for making policy on data sharing within the relevant national and international policies and regulatory frameworks. Unstated agenda is to promote US model throughout the world (full/open access) NSF should be interested. Our goals (speaking on behalf of the individuals gathered here) are actually two fold - Engage the research community - Have impact in policy arena Unique: - Considering social informatics perspective - Including broad set of communities - Working internationally on this issue - Working Multidisciplinarily

4. Swimming in Data:Exploding ability to capture and manipulate data Across Scales, Disciplines, National Boundaries �Science and society are swimming in data, starting with our ability to collect it. We see that across all scales of physical and biological phenomena under investigation, across disciplines, and across national boundaries.� �And the handling of data just begins with it collection, often there are needs to refine, reduce, deposit in databases. Then the real work begins, of data federation, analysis, mining, and mediating across domain knowledge.� �As a side note, one of the challenges here is the ability to bring data together across various disciplines � this will be addressed in one of the discussion sections.� --------�Science and society are swimming in data, starting with our ability to collect it. We see that across all scales of physical and biological phenomena under investigation, across disciplines, and across national boundaries.� �And the handling of data just begins with it collection, often there are needs to refine, reduce, deposit in databases. Then the real work begins, of data federation, analysis, mining, and mediating across domain knowledge.� �As a side note, one of the challenges here is the ability to bring data together across various disciplines � this will be addressed in one of the discussion sections.� --------

5. �And this global connectivity allows scientists like Mark Ellisman to control and obtain information from a microscopy in Japan�. Actually, Mark has been a pioneer in telescience, leading the charge to take advantage of the network and the larger microscopes in Japan to advance our science.� Science, Technology, And Research Transit Access Point, or STAR TAP, Europeans are pursuing building the internet infrastructure very aggresively The Pacific Rim will be accelerating their growth in this arena. About STAR TAP The Science, Technology, And Research Transit Access Point, or STAR TAP, is a proving ground for long-term interconnection and interoperability of advanced international networking. STAR TAP is made possible by major funding from the US National Science Foundation to the University of Illinois at Chicago. See: http://www.startap.net �And this global connectivity allows scientists like Mark Ellisman to control and obtain information from a microscopy in Japan�. Actually, Mark has been a pioneer in telescience, leading the charge to take advantage of the network and the larger microscopes in Japan to advance our science.� Science, Technology, And Research Transit Access Point, or STAR TAP, Europeans are pursuing building the internet infrastructure very aggresively The Pacific Rim will be accelerating their growth in this arena. About STAR TAP The Science, Technology, And Research Transit Access Point, or STAR TAP, is a proving ground for long-term interconnection and interoperability of advanced international networking. STAR TAP is made possible by major funding from the US National Science Foundation to the University of Illinois at Chicago. See: http://www.startap.net

6. Global Grid Activities TeraGrid: 13.6TF, 6.8TB memory, 79 TB internal disk, 576 TB network disk, 40 Gbs optical backbone. �In a recent award by NSF, NSF has boldly move to expedite the building of this cyberinfrastructure, and build a TeraGrid�. �This teragrid will expand all of the technology components we discussed (compute, data, networking). The challenge will be the associated software development � by the PACI partnerships, and by associated projects by NSF and other agencies such as NIH�. NOTE: This is (part of) the US Investment in the grid. EU / UK are heavily investing in this, as are the Asian countries, through organizations such as APGrid, or an initiative we in California are launching. TeraGrid: 13.6TF, 6.8TB memory, 79 TB internal disk, 576 TB network disk, 40 Gbs optical backbone. �In a recent award by NSF, NSF has boldly move to expedite the building of this cyberinfrastructure, and build a TeraGrid�. �This teragrid will expand all of the technology components we discussed (compute, data, networking). The challenge will be the associated software development � by the PACI partnerships, and by associated projects by NSF and other agencies such as NIH�. NOTE: This is (part of) the US Investment in the grid. EU / UK are heavily investing in this, as are the Asian countries, through organizations such as APGrid, or an initiative we in California are launching.

7. Scope of Working Group Report Included: Data produced from 100% public funding, e.g., University research and data collected by governments (nonclassified, relevant to research ) Excluded: Data produced from private-sector (industry); Data produced from mixed sources for funding, restricted government data Minimal treatment in report: Data produced from mixed sources for funding, restricted government data Issues of integrating data from developing countries Impact of national security issues not been fully explore Note: Phase 1

8. Working Group Participants Members Peter Arzberger, USA, Chair Peter Schroeder, Netherlands, Vice-Chair; Geoffrey Bowker, USA Sigrun Eckelmann, Germany Tim Hubbard, England Koji Kamitani, Japan Leif Laaksonen, Finland Gudrun Maass, OECD/CSTP Doug McEachern, Australia David Moorman, Canada Masamitsu Negishi, Japan Adminstrative Coordinator Teri Simas, USA Members (cont.) Paul Uhlir, USA Mitsutoshi Wada, Japan Andrzej Wierzbiki, Poland Jan Windmuller, Denmark Experts Anne Beaulieu, Netherlands Kathleen Casey, USA Colin Reddy, Netherlands Paul Wouters, Netherlands Observers Tony Mayer, ESF Jackie Bax, Netherlands Hugo von Linstow (now at GBIF), Denmark (obs) David Schindel, NSF (obs) Eleven countries Peter Arzberger, Executive Director, National Partnership for Advanced Computational Infrastructure, UCSD, USA Geoffrey Bowker, Professor of Communications, UCSD, USA Kathleen Casey, Department of Communications, UCSD, will do research for group. USA Hugo von Linstow, Advisor, Analyses and Strategies Division, Ministry of Research and Information Technology, Denmark Doug McEachern, Executive Director Social and Behavioral Science of the Australian Research Council, Australia Peter Schroeder, Co-ordinator Information Policy, Ministry of Education, Culture and Science, Directorate for Research and Science Policy, Netherlands Paul Uhlir, Director of International Scientific and Technical Information Programs at the U.S. National Academy of Sciences/National Research Council, USA Andrzej Wierzbiki, Director National Institute of Telecommunications, Poland More countries: Canada, others Eleven countries Peter Arzberger, Executive Director, National Partnership for Advanced Computational Infrastructure, UCSD, USA Geoffrey Bowker, Professor of Communications, UCSD, USA Kathleen Casey, Department of Communications, UCSD, will do research for group. USA Hugo von Linstow, Advisor, Analyses and Strategies Division, Ministry of Research and Information Technology, Denmark Doug McEachern, Executive Director Social and Behavioral Science of the Australian Research Council, Australia Peter Schroeder, Co-ordinator Information Policy, Ministry of Education, Culture and Science, Directorate for Research and Science Policy, Netherlands Paul Uhlir, Director of International Scientific and Technical Information Programs at the U.S. National Academy of Sciences/National Research Council, USA Andrzej Wierzbiki, Director National Institute of Telecommunications, Poland More countries: Canada, others

9. Activities Web and e-mail Surveys: Data Sharing Policies Case Studies: Specifics European Organization for Nuclear Research (CERN) European Bioinformatics Institute (EBI) fMRI Data Center (Dartmouth, New Hampshire) Global Biodiversity Information Facility (GBIF) and biodiversity science Committee�s contacts Dissemination and Input: Publications: D-Lib Magazine Web Site: http://dataaccess.ucsd.edu Presentations (CODATA, GRV IV, Society for Social Studies of Science Conference) * Two studies on the international state of affairs by Paul Wouters from the Netherlands Institute for Scientific Information Services (NIWI): -�������� a Quick Scan of the current relevant regulation on data sharing as formalised and practised by a selection of research organisations in the United States. -�������� a 'Mini Survey' of the member organisations of ESF, and similar organisations in Japan, Australia and Canada) to define the issues in data sharing currently felt as most urgent in the other OECD countries. (published in March and September 2002.) * The start of a research project combining scientific research and policy research into data-sharing (treating ao. The Global Biodiversity Information Facility GBIF) by Geof Bowker and Kathleen Casey (University of California, San Diego) funded by NSF. It treats the subject from the viewpoint of science policy as well as from a social informatics perspective.(The Report shall be finalised in Spring 2003.) � * The start of two NIWI follow up studies: -�������� A study by Colin Reddy on data policies and management at the international �Big Science� organisations CERN (European Organisation for Nuclear Research) and the European Bioinformatics Institute (EBI) subsidiary of EMBL (European Molecular Biology Laboratory). -�������� A study by Anne Beaulieu on the role of inter-collegial trust in data sharing in the practice of small scale data sets at the fMRI Data Center in Dartmouth, New Hampshire; (To be published finished by the end of September 2002.) * Two studies on the international state of affairs by Paul Wouters from the Netherlands Institute for Scientific Information Services (NIWI): -�������� a Quick Scan of the current relevant regulation on data sharing as formalised and practised by a selection of research organisations in the United States. -�������� a 'Mini Survey' of the member organisations of ESF, and similar organisations in Japan, Australia and Canada) to define the issues in data sharing currently felt as most urgent in the other OECD countries. (published in March and September 2002.) * The start of a research project combining scientific research and policy research into data-sharing (treating ao. The Global Biodiversity Information Facility GBIF) by Geof Bowker and Kathleen Casey (University of California, San Diego) funded by NSF. It treats the subject from the viewpoint of science policy as well as from a social informatics perspective.(The Report shall be finalised in Spring 2003.) � * The start of two NIWI follow up studies: -�������� A study by Colin Reddy on data policies and management at the international �Big Science� organisations CERN (European Organisation for Nuclear Research) and the European Bioinformatics Institute (EBI) subsidiary of EMBL (European Molecular Biology Laboratory). -�������� A study by Anne Beaulieu on the role of inter-collegial trust in data sharing in the practice of small scale data sets at the fMRI Data Center in Dartmouth, New Hampshire; (To be published finished by the end of September 2002.)

10. Importance of ICT for Research and Science: Science Policies for Economies in Transition Session 4 Access to and sharing of research data from public funding (http://www.kbn.gov.pl/GRV/) Background and Principles: The WhatWhyWhereWhenWhom, P.Schroeder Data Sharing Policies: Social and Organizational Issues and Challenges. Anne Beaulieu, Geoffrey Bowker, Kathleen Casey, Colin Reddy, Paul Wouters Preliminary Report on the Recommendations of the CSTP Follow Up Group on Sharing of Publicly Funded Research Data, David Moorman and Peter Arzberger � * The SYMPOSIUM ON THE ROLE OF SCIENTIFIC AND TECHNICAL DATA AND INFORMATION IN THE PUBLIC DOMAIN organised by the US NAS on 5-6 September 2002 in Washington, � * The 18th International CODATA Conference on 29 September � 3 October 2002 in Montreal � * The 4th Global Research Village Conference in Warsawa on 10-11 October 2002 � * The Society for Social Studies of Science Conference in November 2002. � * The SYMPOSIUM ON THE ROLE OF SCIENTIFIC AND TECHNICAL DATA AND INFORMATION IN THE PUBLIC DOMAIN organised by the US NAS on 5-6 September 2002 in Washington, � * The 18th International CODATA Conference on 29 September � 3 October 2002 in Montreal � * The 4th Global Research Village Conference in Warsawa on 10-11 October 2002 � * The Society for Social Studies of Science Conference in November 2002.

11. Building Upon Previous Work Bits of Power: 1997 assesses state of international exchange (natural sciences), trends, pressure toward commercialization of scientific data. Treats to public good uses of scientific data Question of Balance: The New Economy: Beyond the Hype: many factors, interacting - Strengthen economic and social fundmental (encouraing openness) - facilitate diffusion of ICT by increasing compeition - foster innovation - Invest in human capital - Stimulate firm creationBits of Power: 1997 assesses state of international exchange (natural sciences), trends, pressure toward commercialization of scientific data. Treats to public good uses of scientific data Question of Balance: The New Economy: Beyond the Hype: many factors, interacting - Strengthen economic and social fundmental (encouraing openness) - facilitate diffusion of ICT by increasing compeition - foster innovation - Invest in human capital - Stimulate firm creation

12. CODATA Principles In November 2000, CODATA formulated six �principles for science in the internet era� to support �full and open access to data needed for research and education�. These principles are: ��������� science is an investment in the public interest ��������� scientific advances rely on full and open access to data ��������� a market model for access to data is unsuitable for research and education ��������� publication of data is essential to scientific research and the dissemination of knowledge ��������� the interests of database owners must be balanced with society�s need for open exchange of ideas ��������� legislators should take into account the impact intellectual property laws may have on research and education.

13. Data Sharing Policies Reviewed US Policy; Surveyed ESF and other agencies about data sharing policies Findings Significant proportion of OECD countries has no policies on sharing of data from publicly funded research, however most national research organizations expect that data sharing will become a policy issue in the next five years US ahead of other countries in policies regarding data access and sharing International and national laws and policies directly affect data access and sharing practices

14. NIH Draft Statement on Sharing Research Data The NIH will expect investigators supported by NIH funding to make their research data available to the scientific community for subsequent analyses. The NIH will require that data sharing be addressed in grant applications (e.g., in sections related to significance, budget, and the end of the research plan) and in the review of applications. Applicants whose research will produce data that are not amenable to sharing should include in the application reasons for not making the data available.

15. National Science FoundationSocial Behavioral and Economic Sciences NSF is committed to the principle that the various forms of data collected with public funds belong in the public domain Purpose of policy is to advance science by encouraging data sharing among researchers Grantees �will develop and submit specific plans to share materials collected with NSF support Include how and where these materials will be stored at reasonable cost, and how access will be provided to other researcher, generally at their cost. Policy explicitly recognizes that many complexities arises across the range of data collection supported by SBE programs, and that unusual circumstances may require modifications or even full exemptions. http://www.nsf.gov/sbe/ses/common/archive.htmhttp://www.nsf.gov/sbe/ses/common/archive.htm

16. Core Principle Publicly funded research data should remain publicly available, subject only to compelling superseding considerations and policies The National Academy of Sciences, the National Academy of Engineering, the Institute of Medicine and the American Association for the Advancement of Science gave a joint statement in the same House discussion on database protection (Lederberg 1999). �Thus, freedom of inquiry, the open availability of scientific data, and the open publication of results are cornerstones of our research system that US law and tradition have long upheld�. Hence, full and open access to data is the basic principle for many scientific institutions in the U.S. Lederberg, citing the Bits of Power report (NAS 1997), defined full and open as follows: �by full and open we mean that data and information derived from publicly funded research are made available with as few restrictions as possible, on a non-discriminatory basis, for no more than the cost of reproduction and dissemination�. The National Academy of Sciences, the National Academy of Engineering, the Institute of Medicine and the American Association for the Advancement of Science gave a joint statement in the same House discussion on database protection (Lederberg 1999). �Thus, freedom of inquiry, the open availability of scientific data, and the open publication of results are cornerstones of our research system that US law and tradition have long upheld�. Hence, full and open access to data is the basic principle for many scientific institutions in the U.S. Lederberg, citing the Bits of Power report (NAS 1997), defined full and open as follows: �by full and open we mean that data and information derived from publicly funded research are made available with as few restrictions as possible, on a non-discriminatory basis, for no more than the cost of reproduction and dissemination�.

17. Premises Publicly funded data are a public good Should be as open as possible and available free of charge or at the lowest possible cost (subject to restrictions) Good stewardship of public knowledge Data are central to the scientific research process Data is basis of value chain of science and technology, optimum return on public investment Strong value chains of innovation Data sharing issues are international in scope ICT makes multidisciplinary and international collaborations possible Key scientific and social problems are global: health, environment The creation of value from international cooperation Public good: (i.e., nonrivalrous and nonexcludable), an inexhaustible, indivisible, and ubiquitous component of the public domain Public good: (i.e., nonrivalrous and nonexcludable), an inexhaustible, indivisible, and ubiquitous component of the public domain

18. Framework for DiscussionSynthesize from Case Studies; Interdependent Technical: Hardware, software, equipment, people. Grid, cyberinfrastructure, e-science vision. Data integration, interoperability. Quality (security, authenticity) Institutional and Management: Funding agencies, government departments, governing boards of large activities; universities and research institutes Budgetary: Infrastructure upgrade, sustainability of data resources Legal and Policy: International and national laws and policies directly affect data access and data sharing practices Cultural and Behavioral: Reward structures, incentives, career paths; community value of sharing Note that these are interdependent contexts that need consideration for policy (as you do in the summary page) � Technical: Robustness and flexibility of infrastructure; integration of data (semantic mediation), interoperability and metadata standards, infrastructure development (hardware, database design, grid software) Institutional and Management: Funding Agencies, government departments, governing boards of large activities; universities and research institutes Budgetary: Infrastructure upgrade, sustainability of data resources, Legal and Policy: International and national laws and policies directly affect data access and data sharing practices Cultural and Behavioral: Rewards (promotion, financial) within university systems; in community (value of sharing) HaNote that these are interdependent contexts that need consideration for policy (as you do in the summary page) � Technical: Robustness and flexibility of infrastructure; integration of data (semantic mediation), interoperability and metadata standards, infrastructure development (hardware, database design, grid software) Institutional and Management: Funding Agencies, government departments, governing boards of large activities; universities and research institutes Budgetary: Infrastructure upgrade, sustainability of data resources, Legal and Policy: International and national laws and policies directly affect data access and data sharing practices Cultural and Behavioral: Rewards (promotion, financial) within university systems; in community (value of sharing) Ha

19. Global Biodiversity Information Facility (GBIF) In the long term, GBIF will provide a portal that enables simultaneous queries against biodiversity, molecular, genetic, ecological and ecosystem level databases, which will facilitate and enable "data mining" of unprecedented utility and scientific merit. Since GBIF is not yet operating, the researchers also researched other biodiversity access facilities to understand issues of access to biodiversity data and issues regarding the implementation of GBIF�s aims. In the long term, GBIF will provide a portal that enables simultaneous queries against biodiversity, molecular, genetic, ecological and ecosystem level databases, which will facilitate and enable "data mining" of unprecedented utility and scientific merit. Since GBIF is not yet operating, the researchers also researched other biodiversity access facilities to understand issues of access to biodiversity data and issues regarding the implementation of GBIF�s aims.

20. GBIF: Contexts Technical Protocols for interoperability; quality of data Institutional and Managerial Coordination [responsibility] within countries (nodes) for national institutions for funding and activities, e.g. funding to digitize data and develop interoperable databases. Done by country [flexibility]. Budgetary Funding levels and cycles need to be substantial enough to develop software for heterogeneous users and uses (e.g. the public)[efficiency, sustainability]] Legal and Policy Issues of ownership and IPR are barriers to moving data across boundaries. Non technical. Cultural and Behavioral Access to biodiversity data - benefit to the community but the value of data access needs to be reflected in reward and incentive structures; attribution, trust. These contexts are overlapping: for each of these issues to be solved, the overlapping contexts must be addressed.These contexts are overlapping: for each of these issues to be solved, the overlapping contexts must be addressed.

21. Key Findings Technical: Broad access to data and optimum exploitation of data sharing opportunities require an appropriately designed infrastructure Institutional and Management: Heterogeneous data require tailored data management approaches Budgetary: Scientific data infrastructure requires continued and separate budgetary support Social Informatics research suggests mismatch in research review applied to infrastructure

22. Key Findings (2) Legal and Policy: International and national laws and policies directly affect data access and data sharing practices Cultural and Behavioral: Reward structures and mechanisms are a necessary component for promoting data access and data sharing practices

23. Desired OutcomesMore details in Report Governments of OECD member countries and International Organizations Continue discussions at Ministerial Endorse core principle Research Funding Organizations Adopt core principle, design flexibly Revise review and funding mechanisms for infrastructure Research Institutes, Professional and Scholarly Associations Value data sharing and management Data sharing is the default For more on the Role of Governments in the Digital Age, see Stiglitz, Orzag and Orzag at http://www.ccianet.org/govt_comp.php3. In particular note the following threePrinciple 1: Providing public data and information is a proper governmental rolePrinciple 2: Improving the efficiency with which governmental services are provided is a proper governmental rolePrinciple 3: The support of basic research is a proper governmental role For more on the Role of Governments in the Digital Age, see Stiglitz, Orzag and Orzag at http://www.ccianet.org/govt_comp.php3. In particular note the following threePrinciple 1: Providing public data and information is a proper governmental rolePrinciple 2: Improving the efficiency with which governmental services are provided is a proper governmental rolePrinciple 3: The support of basic research is a proper governmental role

24. Integrating Knowledge Compelling applications Global Warming and Change (understanding the ocean flow of the Pacific) Biomedical Applications (functioning of the brain, the design of pharmaceuticals) Environmental Informatics Infrastructure a step on the road called for by National Research Council publication. And my word of encouragement: think globally in your deliberations. �Today, more than ever, the traditional boundaries between politics, culture, technology, finance, national security and ecology are disappearing. You often cannot explaining one without referring to the others, and you cannot explain the whole without reference to them all� (Friedman, p20) .. It�s the connections that matter Compelling applications Global Warming and Change (understanding the ocean flow of the Pacific) Biomedical Applications (functioning of the brain, the design of pharmaceuticals) Environmental Informatics Infrastructure a step on the road called for by National Research Council publication. And my word of encouragement: think globally in your deliberations. �Today, more than ever, the traditional boundaries between politics, culture, technology, finance, national security and ecology are disappearing. You often cannot explaining one without referring to the others, and you cannot explain the whole without reference to them all� (Friedman, p20) .. It�s the connections that matter

25. Acknowledgements CODATA Netherlands' Ministry of Education, Culture and Science and the Netherlands Institute of Scientific Information Services (NIWI-KNAW) National Science Foundation http://dataaccess.ucsd.edu