OSI POLICY PERSPECTIVES OPEN SCIENCE ROADMAP RECOMMENDATIONS TO UNESCO OSI POLICY PERSPECTIVE 3 JUNE 2020 EDITION OPEN SCHOLARSHIP INITIATIVE ABOUT OSI POLICY PERSPECTIVES The OSI Policy Perspectives series offers broad, common ground perspectives on key issues in scholarly communication. Each report summarizes the current state of a particular issue and what we know about it, and also attempts to articulate the per- spectives and lessons of experience from all stake¬holder groups in scholarly communication on this issue (particularly but not exclusively as expressed in OSI conversations) and identify what common ground might exist for building broadly acceptable policy. OSI is not a democratic body that speaks with one voice on any particular issue. Trying to reconcile the views, intentions, and motivations of all the different actors, communities and groups in the scholarly communication space—which are very rarely entirely aligned—is challenging. We acknowledge, therefore, that these reports may be (and in fact, probably are) an imperfect reflection of the many perspectives and ideas in this group. The fact that these reports sometimes need to be published in a rush, in response to policy commenting deadlines and other pressures only makes this imperfection more likely. We also acknowledge, however, that OSI often considers a wider range of perspectives than established policy making bodies in scholarly communication, and that our relative strength is showcasing this range of perspectives and noting how they differ, and importantly, how they share common ground. To this end, we hope it is valuable to produce these reports, however imper- fect, and share them with the scholarly communication community and beyond. © 2020 OSI. Except where otherwise noted, this article is licensed under a Creative Commons Attribution 4.0 International license. ABOUT THE AUTHORS: Glenn Hampson is the executive director of the Science Communication Institute and program director and principal investigator for OSI. Mel DeSart is the Head of the Engineering Library and Branch Libraries at the Uni- versity of Washington. Jason Steinhauer is the Director, Lepage Center for History in the Public Interest, Villanova University. Elizabeth Gadd is the Research Policy Manager at Loughborough University. Lisa Janicke Hinchliffe is Professor/Coordinator for Information Literacy Services and Instruction in the University Library at the University of Illinois at Urbana-Champaign. Micah Vandegrift is the Open Knowledge Librarian at North Carolina State University. Chris Erdmann is an Engagement, Support, and Training Expert at the University of North Carolina RENCI. Rob Johnson is the Founder and Director of Research Consulting Ltd. ACKNOWLEDGMENTS: Thank you to all OSI participants for creating the body of work summarized in this report. In the cre- ation and editing of this document, special thanks to the authors listed above as well as to Nina Collins and Margaret Winker. CONFLICT STATEMENT: Hampson is the program director and principal investigator for OSI, which receives funding from UNESCO, foundations, commercial publishers, and individual participants (by way of conference fees). DeSart, Steinhauer, Gadd, Vandegrift, Erdmann and Johnson are also active participants in OSI. In addition, OSI serves UNESCO in an official advisory capacity (see sidebar on page 1). In terms of explicit influence, no OSI funders, including UNESCO, have privileged input into OSI policy deliberations apart from being equal members of the OSI community. OSI has many voices contributing to documents such as this, and endeavors to maintain an inclusive and balanced perspective on scholarly communication issues. DISCLAIMER: In this report, the authors have attempted to accurately represent the perspective and ideas of OSI participants, alumni and observers. However, it is possible that this attempt is incomplete and/or inaccurate. Any responsibility for errors, omissions and/or misrepresentations rests solely with the lead author. Also, the findings and recommendations expressed herein also do not necessarily reflect the opinions of all authors or contributors, individual OSI participants, alumni, or observ- ers, or any institutions, trustees, officers, or staff affiliated with these individuals. PRIOR AND OTHER VERSIONS: There are no prior public versions of this document. CITATION: Hampson, G, M DeSart, J Steinhauer, EA Gadd, LJ Hinchliffe, M Vandegrift, C Erdmann, and R Johnson. 2020 (June). OSI Policy Perspective 3: Open science roadmap recommendations to UNESCO. Open Scholarship Initiative. doi 10.13021/ osi2020.2735 OPEN SCIENCE ROADMAP RECOMMENDATIONS TO UNESCO EXECUTIVE SUMMARY ..................................................................................................................................... 1 PART 1: GENERAL RECOMMENDATIONS FROM OSI’S CONSULTATIONS ...................................... 3 KEY RESOURCES CREATED BY OSI .................................................................................................3 OSI2016 OUTCOMES .............................................................................................................................4 OSI2017 OUTCOMES .......................................................................................................................... 11 OSI2016-17 SYNTHESIS .................................................................................................................... 23 OSI2018 AND OSI2019 SUMMIT MEETINGS ............................................................................. 24 PART 2: ANSWERS TO UNESCO’S QUESTIONS ABOUT OPEN SCIENCE ...................................... 27 WHAT IS OPEN SCIENCE? ................................................................................................................ 27 WHAT ARE THE MAIN ELEMENTS OF OPEN SCIENCE? ....................................................... 32 WHO ARE THE ACTORS IN OPEN SCIENCE? ............................................................................ 33 WHAT ARE THE GUIDING PRINCIPLES FOR IMPLEMENTING OPEN SCIENCE? .......... 35 WHAT OPPORTUNITIES EXIST FOR OPEN SCIENCE? ........................................................... 41 WHAT ARE THE INCENTIVES FOR OPEN SCIENCE? .............................................................. 43 WHAT ARE THE FINANCIAL CONSIDERATIONS FOR OPEN SCIENCE? ......................... 49 POLICY RECOMMENDATIONS ......................................................................................................... 50 SHORTCOMINGS OF THIS INQUIRY .............................................................................................. 54 THE POSSIBLE UNINTENDED CONSEQUENCES OF ‘OPEN SCIENCE’ ............................ 55 THANK YOU ............................................................................................................................................ 56 CITED REFERENCES ........................................................................................................................................57 ANNEX 1: OSI’s COMMON GROUND OBSERVATIONS ......................................................................... 60 ANNEX 2: OSI’S PLAN A ................................................................................................................................... 67 ANNEX 3: OSI PARTICIPANTS, ALUMNI AND OBSERVERS ............................................................... 91 OPEN SCIENCE ROADMAP RECOMMENDATIONS TO UNESCO ABOUT OSI The Open Scholarship Initiative (OSI) is a diverse, inclusive, global network of high-level experts and stakeholder rep- UNESCO is designing an open science plan for review resentatives working together by the UN General Assembly in late 2021, and has in partnership with United Nations Educational, Scientif- requested input from the Open Scholarship Initiative. ic and Cultural Organization (UNESCO) to develop broadly OSI has worked in partnership with UNESCO since early accepted, comprehensive, sustainable solutions to the 2015 to forge a workable, equitable, and sustainable future of open scholarship that path for improving the openness of all research, not work for everyone everywhere. OSI is managed by the Science only science. OSI advises that UNESCO follow the open Communication Institute (SCI), a US-based 501c3 nonprofit science roadmap recommendations described herein, charity. OSI serves in an advi- sory capacity to UNESCO as and that this path culminate in either the outright the agency’s Network for Open adoption of OSI’s Plan A as UN policy; the use of Plan A Access to Scientific Informa- tion and Research (NOASIR). as a blueprint for eventual United Nations policy; or the For more information about use of these roadmap recommendations and/or Plan A OSI, please visit osiglobal.org. as the foundation for a similar United Nations policy that has the benefit of broader global input. EXECUTIVE SUMMARY any organizations are committed to improving the future of open science, and many ideas and policies have been put in place to try to achieve this goal. Yet no single agency is leading the Mcoordination of this effort; there are innumerable ideas about how best to achieve the various goals and outcome; and scientists themselves have not been well represented in most of the reforms to date. OSI has been studying open scholarship (which includes open science) since late 2014, working in partnership with UNESCO to better understand the broad range of perspectives and understand how the world might be