Access to Digital Research Data from Public Funding : towards Principles and Guidelines from OECD
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Transcript of Access to Digital Research Data from Public Funding : towards Principles and Guidelines from OECD
Access to Digital Research Data from Public Funding:
towards Principles and Guidelines from OECD
Peter Schröder
Ministry of Education, Culture and Science -The Netherlands
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
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
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.
Wave motion & Information Revolution
The effectiveness of the US DMCA and the EU Database Directive regimes on the newly emerging Information relations
comparable toThe effectiveness of the innovative wave
motion measures on the raising see level ?
Access to Digital Research Data from Public Funding:
towards Principles and Guidelines from OECD
WhatWhyWhenWhereWhom ?
Reports from US National Research Council:
• Bits of Power (1997)
• A Question of Balance (1999)
• The Digital Dilemma (2000)
Principles and Guidelines from National Institutes of
Health
• Sharing of Research Tools (2001)• Sharing of Research Data (2003)
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.
December 2000 Amsterdam:Global Research Village
Conference
Busquin (EC Commisioner Research)
Johnston (OECD Secretary General)
Haank (Elsevier)
Bajcsy (NSF)
Van Duinen (ESF)
Drenth (Allea)
December 2000 Amsterdam:Global Research Village
Conference
Limits on access to:
Network infrastructures
Electronic publications
Digital research data
What was wrong?
Inaccessibility of digital research data
Digital research data:
digitised factual records used as sources in scientific research
SCIENTIFIC RESEARCH
Human resources + facilities (instruments) processing Data into Information and
Knowledge
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?)
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
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
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
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)
In what fields of research?
1 Scientific research in general
2 Specific areas
- Life sciences
- Health sciences
- Atmospheric sciences
- Social sciences
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
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)
(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
Socio-political (value chain) complications
• Aspects of public good vs. proprietary knowledge?- Open research / commercial
excludability- Network economy,
property/access- Commercial monopolies
Who should act? (1)
• Actors responsible for science policy and innovation
• Inter governmental organisations (UN, OECD)
• National governments
Who should act ? (2)
• Actors responsible for the allocation of public research funds
• Research funding organisations
• Research institutes, universities
- Regulation on funding
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
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
Principles for Data Access Regimes
• Core Principle:
OPEN ACCESS
• Publicly funded research data should be openly availbale to society subject only to legitimate restrictions
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
General Principles to establish specific Data Access Regimes
2.IV. Professionalism
Building on the values and standards of the communities
V. Respecting Intellectual Property
Arranging IPR to realise Open Access
VI. Interoperability
Meeting technical requirements for multiple use
General Principles to establish specific Data Access Regimes
3VII. 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.
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
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.
2003
February - Global Science Forum workshop Tokyo
March – NIWI Studies 2.March - Draft Principles at CSTP March
meeting May – MERIT/NWO Expert Meeting Data
EconomiesSeptember- Final draft Guidelines
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
Example 2:governing sunset
• Another interesting regulatory experiment:
• Governmental control over the time of sunset