MAKING OPEN SCIENCE A REALITY 1 ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT The OECD is a unique forum where governments work together to address the economic, social and environmental challenges of globalisation. The OECD is also at the forefront of efforts to understand and to help governments respond to new developments and concerns, such as corporate governance, the information economy and the challenges of an ageing population. The Organisation provides a setting where governments can compare policy experiences, seek answers to common problems, identify good practice and work to co-ordinate domestic and international policies. The OECD member countries are: Australia, Austria, Belgium, Canada, Chile, the Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea, Luxembourg, Mexico, the Netherlands, New Zealand, Norway, Poland, Portugal, the Slovak Republic, Slovenia, Spain, Sweden, Switzerland, Turkey, the United Kingdom and the United Sates. The European Union takes part in the work of the OECD. This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. © OECD 2015 The statistical data for Israel are supplied by and under the responsibility of the relevant Israeli authorities. The use of such data by the OECD is without prejudice to the status of the Golan Heights, East Jerusalem and Israeli settlements in the West Bank under the terms of international law. Photo credits: Cover © Getty Images International 2 TABLE OF CONTENTS FOREWORD ................................................................................................................................................... 5 GLOSSARY .................................................................................................................................................... 7 EXECUTIVE SUMMARY ............................................................................................................................. 9 Introduction .................................................................................................................................................. 9 The rationale for open science ................................................................................................................... 10 Key actors in open science ......................................................................................................................... 12 Policy trends in open science ..................................................................................................................... 13 Main findings and policy messages ........................................................................................................... 14 REFERENCES .............................................................................................................................................. 17 CHAPTER ONE THE RATIONALES AND THE IMPACTS OF OPEN SCIENCE: AN OVERVIEW ... 18 Accessing scientific publications ............................................................................................................... 20 Accessing data ........................................................................................................................................... 26 “Altmetrics”, an alternative way to measure scientific impact .................................................................. 28 REFERENCES .............................................................................................................................................. 31 CHAPTER TWO OPEN ACCESS TO SCIENTIFIC PUBLICATIONS ..................................................... 36 Defining open access ................................................................................................................................. 36 Open access publishing and IP protection ................................................................................................. 41 Open access publishing and its legal implications ..................................................................................... 48 REFERENCES .............................................................................................................................................. 51 CHAPTER THREE OPEN RESEARCH DATA .......................................................................................... 53 Data-driven scientific research .................................................................................................................. 53 Defining open data ..................................................................................................................................... 56 Data sharing: challenges and opportunities ............................................................................................... 58 Data protection frameworks in OECD countries ....................................................................................... 63 Unsolved legal issues: public-private partnerships and text and data mining............................................ 67 REFERENCES .............................................................................................................................................. 69 3 CHAPTER FOUR THE GOVERNANCE OF OPEN SCIENCE: ACTORS, TRENDS AND POLICIES . 73 The key actors ............................................................................................................................................ 73 Open science and citizen involvement ....................................................................................................... 86 Governance of open science: Recent policy trends ................................................................................... 88 REFERENCES ............................................................................................................................................ 100 BIBLIOGRAPHY ....................................................................................................................................... 102 4 FOREWORD Science is the mother of the digital age. And yet, twenty-two years after CERN placed the World Wide Web software in the public domain, effectively creating the open internet, science itself has struggled not only to “go digital” but also to “go open”. This report, Making open science a reality reviews the progress in OECD countries in making the results of publicly funded research, namely scientific publications and research data openly accessible to researchers and innovators alike. The report i) reviews the policy rationale behind open science and open data; ii) discusses and presents evidence on the impacts of policies to promote open science and open data; iii) explores the legal barriers and solutions to greater access to research data; iv) provides a description of the key actors involved in open science and their roles; and finally v) assesses progress in OECD and selected non-member countries based a survey of recent policy trends. The project was carried out as a part of the activities of the OECD’s Working Party on Innovation and Technology Policy (TIP) of the Committee for Scientific and Technology Policy (CSTP). It has been prepared jointly by the OECD Secretariat (Giulia Ajmone Marsan and Mario Cervantes, Directorate for Science, Technology and Innovation) and members of the TIP steering group on Open Science: Alexandre Bourque-Viens (Canada), Päivi Rauste and Pirjo-Leena Forsström (Finland), Wojtek Sylwestrzak, Lukasz Bolikowski and Krzysztof Siewicz (Poland), Dirk Meissner (Russian Federation), Fernando Mérida Martín (Spain), Nick Seaford and Micheal Reda (United Kingdom), and Jerry Sheehan (United States). Lucie Guibault and Thomas Margoni (University of Amsterdam) have prepared a background paper to this report, containing detailed analysis of the legal aspects of open science and open data; this has been used in drafting the sections on the legal aspects of open science in this report. Barbara Ubaldi (OECD Secretariat, Directorate for Public Governance and Territorial Development), Fernando Galindo-Rueda, Brunella Boselli, Claire Jolly and Brigitte Van Beuzekom (OECD Secretariat, Directorate for Science, Technology and Innovation) provided additional input. Salvatore Mele, Vasco Vaz, Bo-Christer Björk and Mikael Laasko provided comments and data. Dominique Guellec, Head of the OECD Science and Technology Policy Division provided overall guidance and comments. Katjusha Boffa prepared this report for publication. In addition to the above-mentioned authors, who also provided the country notes relative to their countries, additional country notes were prepared by: Eric Laureys (Belgium) Patricia Muñoz and Paula González Frías (Chile) Viktor Muuli (Estonia) Mark Asch, Alain Colas, Marie-Pascale Lizée, Laure Menetrier, Justin Quemener, Romain Tales and Frédérique Sachwald (France) The Federal Ministry of Education and Research (Germany) Evi Sachini (Greece) Usha Munshi and Devika Madalli (India) Claudio Artusio, Juan Carlos De Martin, Federico Cinquepalmi and Giulietta Iorio (Italy) 5 Kazuhiro Hayashi (Japan) Jeong Hyop Lee and Seokjong Lim (Korea) Margarita Ontiveros (Mexico) Rene Daane, Marjan van Meerloo and Dries van Loenen (the Netherlands) Rune Rambæk Schjølberg and Hanne Monclair (Norway) Luisa Henriques