Transcript The Role, Value, and Limits of Scientific Data and

International Experiences in Data Policy
Seminario Internacional
Santiago, Chile
9 July 2010
by
Paul F. Uhlir
Director, Board on Research Data and Information
The National Academies
Washington, DC
[email protected]
International Experiences in Data Policy
In this presentation I will:
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Provide some background context and rationale
Identify the principal stakeholders
Discuss some negative effects of excessive restrictions on data
access and reuse
Define what a digital commons is
Review various models and examples of such commons that
already exist online
Present the benefits of providing research data online without
reuse restrictions
Analyze some of the tensions that exist between open and
closed information systems
Provide some examples of international data policies, and
Conclude with some selected challenges and
recommendations
International Experiences in Data Policy
Comparison of some key characteristics of the print and digitally
networked paradigms
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PRINT
(pre) Industrial Age
fixed, static
rigid
physical
mostly local
linear
GLOBAL DIGITAL NETWORKS
post-industrial Information Age
transformative, interactive
flexible, extensible
“virtual”
global
non-linear, asynchronous, with
time/space collapsed
limited content and types
unlimited contents and multimedia
distribution difficult, slow
easy and immediate dissemination
copying cumbersome, not perfect
copying simple and identical
significant marginal distribution cost zero marginal distribution cost
single user (or small group)
multiple, concurrent users/producers
centralized production
distributed production
slow knowledge diffusion
accelerated knowledge diffusion
International Experiences in Data Policy
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Key stakeholders in the development of scientific data access
policies:
Government(s)
Research funding agencies
Universities and not-for-profit research institutes
Libraries/archives/data centers and informatics experts
Learned societies
International scientific organizations
Industry research institutions and partners
Individual researchers
General public
Foreign research peers and cooperating organizations
International Experiences in Data Policy
Broad implications of excessive restrictions (economic, legal,
technical) on access to and reuse of data and information
from public sources:
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Higher research costs
Lost opportunity costs
Barriers to innovation
Less effective scientific cooperation and education
Widening gap between OECD and developing countries
Openness thus should be the default rule, with the goal of
creating a digital commons, limited only by legitimate and
well-justified exceptions.
International Experiences in Data Policy
What is a digital commons?
Digital data and information originating principally from
government or publicly-funded sources;
 Made freely available for broad, common use online;
 With the material in the public domain, or with only some
rights reserved (using a common-use licenses, such as
Creative Commons); and
 Typically organized thematically through an institutional
mechanism.
International Experiences in Data Policy
Existing digital commons models and emerging open knowledge
environments:
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Open-source software movement (e.g., Linux and 10Ks of other
programs worldwide, many of which originated in academia for
research applications);
Distributed Grid computing or computational e-science (e.g.,
SETI@Home, LHC@Home);
Open data centers and archives (e.g., GenBank);
Federated open data networks (e.g., World Data Center Service, Global
Biodiversity Information Facility, NASA DAACs);
Open access journals (e.g., PLOS + > 5000 scholarly journals, many in
Latin America—SciELO, Bioline International);
Open repositories for an institution’s scholarly works (e.g., the Indian
Institute for Science, + > 400 formally registered globally)
Open repositories for publications in a specific subject area (e.g., the
physics arXiv, CogPrints, PubMedCentral);
Free university curricula and lectures online (e.g., the MIT
OpenCourseWare);
Emerging discipline or applications commons and integrated open
knowledge environments (e.g., neurocommons).
International Experiences in Data Policy
Advantages of open access and unrestricted reuse of scientific data:
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Promotes interdisciplinary, inter-institutional, and international research;
Enables automated knowledge discovery;
Avoids duplication of research and promotes new research and new types of
research;
Reinforces open scientific inquiry and encourages diversity of analysis and opinion;
Allows for the verification of previous results;
Makes possible the testing of new or alternative hypotheses and methods of analysis;
Supports studies on data collection methods and measurement;
Facilitates the education of new researchers;
Enables the exploration of topics not envisioned by the initial investigators;
Permits the creation of new data sets when data from multiple sources are combined;
Facilitates transfer of information North -> South and South <-> South;
Promotes capacity building in developing countries; and
Generally helps to maximize the research potential of new digital resources
and technologies, providing greater returns from public investments in
research.
Many other advantages and justifications outside research…
International Experiences in Data Policy
Compelling reasons for placing government-generated data and
information in the public domain or under common-use conditions:
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Legal. A government entity needs no legal incentives from exclusive
property rights to create information. Both the activities that the
government undertakes and the information produced by it in the course
of those activities are a [global] public good.
Socioeconomic. Many economic and non-economic positive externalities.
Network effects can be realized on an exponential basis through the open
dissemination of data and information online.
Ethical. The public has already paid for the production of the information.
Burden of additional access fees falls disproportionately on the
individuals least able to pay. Open access benefits the poor and
disadvantaged.
Political. Transparency of governance is undermined by restricting
citizens from access to and use of public data and information. Rights of
freedom of expression and information are compromised by restrictions
on re-dissemination of public information, particularly of factual data.
International Experiences in Data Policy
Legitimate restrictions on public access to government data
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National security, law enforcement, and public safety
Personal privacy
Confidentiality
Respecting proprietary rights of private-sector parties
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International Data Policy Developments
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OECD Recommendation on Principles and Guidelines for Access to
Research Data from Public Funding (2007)
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Openness
Flexibility
Transparency
Legal conformity (with other existing laws)
Protection of intellectual property
Formal responsibility
Professionalism
Interoperability
Quality
Security
Efficiency
Accountabilty
Sustainability
International Experiences in Data Policy
OECD Recommendation of the Council for Enhanced Access
to and More Effective Use of Public Sector Information (2008)
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Openness
Access and transparent conditions for re-use
Asset lists
Quality
Integrity
New technologies and long-term preservation
Copyright
Pricing
Competition
Redress mechanisms
Public private partnerships
International access and use
Best practices
International Experiences in Data Policy
Data Policy Developments in the European Union
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Infrastructure for Spatial Information in the European Community
(INSPIRE) Directive (2007)
Directive on Public Access to Environmental Information (2003)
Directive on the Reuse of Public Sector Information (2003)
Directive on the Legal Protection of Databases (1996, reviewed 2006)
Many national policies by Member States
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National Data Policy Developments
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Data policy developments in the United States
White House Inter-Agency Working Group on Digital Data
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National coordination
International coordination
Education and workforce
Data research
Data systems development and deployment
Data assurance
Data quality
Integration and interoperability
Data.gov Portal
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Selected Data Policy Developments in Countries with
Transitional Economies
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China Scientific Data Sharing Program (2003)
South African National Policy on Access to Public Research
Data (2008)
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Data Policies in Scientific Disciplines or Sectors
International Experiences in Data Policy
Data Sharing Principles of the Group on Earth Observations
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There will be full and open exchange of data, metadata, and products
shared within GEOSS, recognizing relevant international instruments and
national policies and legislation.
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All shared data, metadata, and products will be made available with minimum
time delay and at minimum cost.
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All shared data, metadata, and products being free of charge or no more than
cost of reproduction will be encouraged for research and education.
GEOSS 10-Year Implementation Plan, adopted 16 February 2005
(emphasis added)
International Experiences in Data Policy
Implementation Guidelines for GEO Data Sharing Principles
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Promoting implementation of the principle of full and open exchange of data
in accordance with the GEOSS Data Sharing Principles
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Encouraging GEOSS users to reuse and re-disseminate shared data,
metadata, and products
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Ensuring consistency in the implementation of the GEOSS Data Sharing
Principles with relevant international instruments and national policies and
legislation
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Implementing pricing policies consistent with the GEOSS Data Sharing
Principles
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Reducing the time delays for making data available through GEOSS
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Promoting research and education uses of GEOSS data
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Developing metrics and indicators for GEOSS data sharing activities
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Developing effective coordination and outreach mechanisms for
implementing the GEOSS Data Sharing Principles
International Experiences in Data Policy
Continuing Challenges and Some Recommendations
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Openness
Intellectual property rights for data
Public-private partnerships
Hyper-secrecy and classification of data
Socio-cultural norms and attitudes
Long-term sustainability of data collections
Automated knowledge discovery
Integrated open knowledge environments
Data for decision making and development
International Experiences in Data Policy
Openness
Recommendations:
1. Make open access the default rule.
2. Have positive requirements for open e-government.
3. Require access to data from publicly funded research within a
set period (end of grant) or with publication of research results.
4. Protect legitimate interests only (e.g., national security, privacy,
business proprietary concerns, scientific progress)
International Experiences in Data Policy
Intellectual property rights in data
Recommendations:
1. Put government data in public domain or under liberal (e.g.,
Creative Commons) licenses.
2. Use liberal licenses for access and use of publicly funded data.
International Experiences in Data Policy
Public-private partnerships
Recommendation:
Promote public-private partnerships for innovation in research
that has commercialization potential, but protect public-interest
educational and public knowledge mission of universities.
International Experiences in Data Policy
Hyper-secrecy and data classification
Recommendation:
Conduct a review national security classification of data,
especially for spatial data, with non-military stakeholders (e.g.,
researchers, major private-sector users).
International Experiences in Data Policy
Socio-cultural norms and attitudes
Recommendations:
1. Use a mix of incentives and requirements to change attitudes
and behavior.
2. Work with university faculties, scientific societies, libraries, and
public-interest organizations to promote education and training
in key elements of data management and policy.
International Experiences in Data Policy
Long-term sustainability of data collections
Recommendations:
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Consider national data collections as essential scientific
infrastructure and national patrimony.
Examine and adopt least-restrictive options for sustainable
preservation and use.
Plan adequately for digital preservation to avoid large losses
of information.
Focus on the development of human capital.
International Experiences in Data Policy
Automated (computational) knowledge discovery
Recommendations:
1. Make open data discoverable, interoperable (technically and
semantically), and quality controlled.
2. Adjust peer-review approaches for assessing large scale data
integration research results.
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Integrated open knowledge environments
Recommendation:
Deconstruct and reconstruct research processes and scholarly
communication models, to move from print paradigm
assumptions and practices to optimizing for the digitally
networked environment.
International Experiences in Data Policy
Data for decision making and socioeconomic
development
Recommendation
Work with stakeholders outside the research community—
policymakers, business leaders, non-governmental
organizations, journalists—to make relevant data usable for
important non-research purposes.
International Experiences in Data Policy
Some works by the author on this topic (all available freely online):
 Bits of Power: Issues in Global Access to Scientific Data (NAS, 1997)
 The Role of S&T Data and Information in the Public Domain (NAS,
2003)
 Reichman, J.H. and Paul F. Uhlir, “A Contractually Reconstructed
Research Commons for Scientific Data in a Highly Protectionist
Intellectual Property Environment, 66 Law & Contemporary Problems
315-462 (2003)
 UNESCO Policy Guidelines for the Development and Promotion of
Governmental Public Domain Information (2004)
 Open Access and the Public Domain in Digital Data and Information
for Science (NAS, 2004)
 Strategies for Open Access to and Preservation of Scientific Data in
China (NAS, 2006)
 Uhlir & Schröder, “Open Data for Global Science”, Data Science
Journal, CODATA (2007).
 Uhlir, et al, “Toward Implementation of the GEOSS Data Sharing
Principles”, Journal of Space Law (2009).