Andrew Wyckoff, Director, Directorate for Science Technology and Innovation. Open Acess - Special Events WCIT 2014

1. OPEN SCIENCE : EXPANDING
FRONTIERS IN RESEARCH AND
ACCELERATING INNOVATION
World Congress on Information Technology (WCIT)
“Global Perspectives of Open Access”
Mexico, 30 September 2014
Mr. Andrew Wyckoff, Director, Directorate for Science,
Technology and Innovation

2. • Open science – the goal
• Why is this a policy issue?
• Who are the actors?
• Open access and open data – what is the
situation?
• Policy trends – enablers, carrots and sticks
• Country initiatives
• OECD work
Roadmap
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3. • Three main aspects:
– Open Access Publishing (OA)
– Open Data Platforms (OD)
– ICT based scientific collaboration between
scientists, citizens, companies and society more
broadly
• One single goal:
– Make the outputs of publicly funded research results
more widely accessible in digital format for the
benefit of the scientific community, the business
sector and society more generally
Open Science: the evolution of science towards
a more open and data-driven enterprise
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4. Open science: a hot issue for OECD and non-
OECD countries
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National STI strategy
or plan

5. • Efficiency of production and diffusion
– Reduce duplication
– Economies of scale (more research from the
same data)
– Multiply opportunities for international
participation
– Spillovers to science and innovation
The rationale for open science
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6. • Government itself is huge source of data –
Public Sector Information (PSI)
• Greater openness = Opportunities for:
– New research
– Plus accountability, trust, transparency and
better services
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Parallels a push for openness in the public sector
Recommendation of the Council
for Enhanced Access and More
Effective Use of Public Sector
Information.

7. 7
There are positive impacts of OA on research
Source: Gentil-Beccot A., S. Mele and T. C. Brooks, 2009

8. 8
Collaboration also improves quality
The impact of scientific production and the extent of international scientific
collaboration, 2003-11
Note: Whole counts of internationally co-authored documents
Source: OECD (2013), Science, Technology and Industry Scoreboard 2013,
http://dx.doi.org/10.1787/888932890314

9. Not all science participates equally in OA
Source: UNESCO via Bjork et al 2010 -> Björk B.-C., Welling P., Laakso M., Majlender P.,
Hedlund T. et al. 2010, Open Access to the scientific journal literature: Situation 2009, PloS ONE
5(6)

10. • PubMedCentral show that 25% of the daily unique
users are from universities, 17% from companies,
40% are individual citizens and the rest are
government or other categories (UNESCO 2012)
• A recent study on R&D-intensive SMEs in Denmark
(Houghton, Swan and Brown 2011) found that 48% of
those SMEs consider research outcomes very
important for their business activities and more than
2/3 reported difficulties in accessing research material
• Ware (2009) conducted a survey on UK SMEs and
found evidence that the equivalent of 10% to 20% of
articles were not easily accessible for his survey
respondents
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OA can also contribute to innovation …but

11. Getting research results to SMEs is crucial…
Source: Criscuolo, Gal and Menon, 2014

12. …especially young SMEs
Source: Criscuolo, Gal and Menon, 2014

13. • Ownership of datasets
• Confidentiality
• Security issues
• Lack of incentives in the academic community
• Missing infrastructure and skills
• Adequate and sustainable funding?
Barriers to Open Access and Open Data remain
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What is the “right” balance
between openness and protection?

14. Who are the main actors in Open Access and
Open Data?
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National
open science
strategies
International
guidelines
Not-for-profit
initiatives
Research
funders’
requirements

15. Policy measures may include different efforts
and initiatives, such as:
enablers, incentive mechanisms or
mandatory rules
Open science policy trends: enablers,
carrots and sticks
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Enablers are, for example, the infrastructure developed to share
articles or data, initiatives undertaken to develop an open science
culture, amendments to the legal framework to make them
increasingly open-science friendly or the development of the skills
necessary for researchers to share and re-use the research outputs
produced by others.

16. Policy measures may include
different efforts and initiatives,
such as:
enablers, incentive
mechanisms or mandatory
rules
Open science policy trends: enablers,
carrots and sticks
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Carrots (incentive mechanisms) may be in the form of financial incentives to
cover open access publishing or the release of datasets. They may also be in the
form of proper acknowledgment of open science efforts of researchers
and academics, for instance in the form of data set citations or career
advancement mechanisms partly based on metrics that take into account open
science or data sharing efforts.

17. Policy measures may include
different efforts and
initiatives, such as:
enablers, incentive
mechanisms or mandatory
rules
Open science policy trends: enablers,
carrots and sticks
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Sticks (mandatory rules) are often implemented in the
form of requirements in research grant agreements
or in some cases are defined in national strategies or
institutional policy frameworks.

18. Where are we now? Open Access policies…
• Open access refers to free electronic
access to research publications
• More widespread in OECD countries than open
open data policies
• Many funding agencies are introducing open
access requirements
• However, few policies targeting incentives other
than funding are in place
• Many initiatives to invest in open access
“enablers” (online platform, repositories, …) but
less attention to skills development

19. …Open Data policies…
• Open data refers to access to the
data that constitute the primary
inputs into new research, as
well as the first-order results of
that research
• Less developed than open access
policies, probably because data
are more difficult to “treat” and
“protect”
• Currently, incentive
mechanisms for researchers are
lacking

20. Science and research do not stop
at borders. Co-ordinated
international efforts facilitate
transfer of knowledge.
Examples of international efforts
to promote open science and
overcome barriers include:
…and Open science: international efforts
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• OECD principles (2007)
• UNESCO: Open Access Strategy 2011; Charter for the Preservation of the
Digital Heritage
• In Europe, Horizon2020 open science requirements, as promoted by the
European Commission
• LAC countries: LA Referencia, a federated network of national repositories of
scientific documentation for 9 LAC countries, financed by Inter American Bank

21. Open Access to scientific publications – a closer
look
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22. Investments in Infrastructure (both nationally and via international efforts)
• SciELO Chile (www.scielo.cl): a portal that includes over 98 titles of national
journals available through open access. It includes about 90% of the Chilean
scientific journals with the highest international visibility
• INSTITUTIONAL REPOSITORY CONICYT (RI2.0) (http://ri.conicyt.cl): is an
institutional Open Access initiative, which includes a self-archiving function
containing the results of projects and/or studies that have been funded by CONICYT
(the National Commission for Science and Technology). It provides access to the
whole content of more than 4,000 documents and over 1,400 theses
• LA Referencia (http://lareferencia.redclara.net): is a federated network of national
repositories of scientific documentation for LAC (members are Argentina, Brazil,
Chile, Colombia, Ecuador, El Salvador, Mexico, Peru and Venezuela) financed by the
Inter American Bank
Chile
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23. Development of ICT infrastructure and repositories
• LATINDEX, an information system on scientific and technical
journals published in the LAC area, Spain or Portugal.
LATINDEX mission is to disseminate and make journals available
as well as to provide information on bibliographic data and
contacts.
• SciELO México is part of the SciELO regional network, i.e. a
network that collects academic publications from 15 countries:
Argentina, Bolivia, Chile, Colombia, Costa Rica, Cuba, Spain, etc.
SciELO México is developed by the General Directorate of
Libraries of the National Autonomous University of Mexico.
• Redalyc is an open access online scientific library and an online
scientific information system and was launched in 2002 by a
group of researchers concerned by the low intensity of research
results produced in Latin America
On the 20th of May 2014 new statements to the Science and
Technology Law, the General Education Law and to the Organic
CONACYT law were created to support open access. CONACYT will
support the creation of Institutional Repositories, operated by
Repositorios Nacionales (RN) using international standards. Mexico
is also involved in international efforts to promote open science.
Mexico
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24. • National repositories for green open access: public
actors are developing repositories (RECOLECTA,
www.recolecta.fecyt.es) to be connected with similar
initiatives nationally and internationally. A digital
version of papers have to be uploaded not later than
twelve months after the official date of publication
• Together with the National mandate, in Spain there
are 3 Regions (out of 17) that have their own
regional Open Access mandate: Madrid, Asturias
and Cataluña. Moreover, there are 16 universities
that have their own institutional Open Access
mandates
Spain
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25. • February 2013, the White House Office of Science and
Technology Policy (OSTP) issued a memorandum to federal
government science agencies directing them to develop plans for
increasing public access to the results of federally funded research,
in particular to scientific publications and digital data
• The OSTP Memorandum applies to federal agencies with
more than $100 million in annual spending on research
and development. This includes agencies within the Department of
Agriculture; Department of Commerce; Department of Defense; Department of
Energy; Department of Health and Human Services; Environmental Protection
Agency; National Aeronautics and Space Administration; and National Science
Foundation, but other agencies may voluntarily comply with the policy
• Funding for implementation and operation of these policies will
come from existing agency budgets. Some agencies, including the
National Institutes of Health (NIH), already have policies for
increasing public access to publications and digital data that will
form the basis of their plans; others will create policies de-novo
The United States
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26. • UK Government’s commitment to Open Access (OA) was stated
in its Innovation & Research Strategy for Growth,
December 2011, as a key part of BIS’s (Department for
Business’s) contribution to the UK Government’s
Transparency Agenda
• The UK policy position is a strong preference for Gold OA and
an acceptance of Green OA. Gold is preferred because of its
advantages in terms of providing freely to the user: immediate
access to the final peer reviewed published article, compatibility
with data mining, and unrestricted access and re-use
The United Kingdom
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27. Open data policies and initiatives
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28. The National Policy on Management of Research Data
and Scientific Information:
• developed in order to implement the OECD
Recommendations on Access to Research Data from Public
Funding,
• designed in 2012 in order to optimize and rationalize the
use of public resources involved in the generation and
management of knowledge; increase the access to research
data and scientific information; reach international
standards in the matter of access to research data,
considering OECD recommendations
Chile
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29. In June 2010, the Alliance of German Science Organisations
adopted “Principles for the Handling of Research Data”,
to establish structures to enable the collection, archiving and
subsequent reuse of primary research data in all applicable
disciplines. A Priority Initiative “Digital Information” has
a dedicated working group focusing on research data.
Focus on Skills
The major research organisations are actively contributing to
strengthen OA and OD. This includes rising awareness and providing
information for scientists as well as offering support and advice:
e.g. the Helmholtz Association has established regular training
courses on managing research data with regard to Open Science.
Germany
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30. Focus on Skills
• Much skills policy in the UK surrounds providing skills training to students in numerical
subjects. These skills policies are focused more around teaching students and
academics how to use the big data sets that will emerge out of open data, rather
than skills necessary for open science policies per se
Large scale projects:
• The Open Data Institute: this £10m project will provide data from across the public
sector on an open access basis to enable industrial and academic exploitation
• £189m investment in Big Data: these investments included energy efficient
computing, establishing a network of Administrative Data Research Centres (the
‘ADRN’), and the Square Kilometre Array (SKA) platforms.
• £160m investment in high-performance computing and networks (2011): the
investments included high capacity networking, a national supercomputing facility and
for the Hartree centre, offering leading edge supercomputing capabilities alongside
software development expertise for industrial, academic, governmental and research
organisations.
The United Kingdom
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31. • The White House Office of Science and
Technology Policy (OSTP) memo explicitly refers to
access to digital data
Focus on Skills
• The OSTP Memo directs federal science agencies to
coordination with other agencies and the private sector
to support training, education, and workforce
development related to scientific data
management, analysis, storage, preservation, and
stewardship
The United States
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32. • Open access and open data can support better quality science,
collaboration, innovation and public sector transparency.
• There is a plethora of (overlapping) initiatives, mostly on open access (less
on open data), driven by governments, universities and researchers
• Skills development is essential and there is scope for further action to
improve both open access capabilities AND the capacity to make use of
open data
• Ensuring researchers face the right incentives for openness is also essential
– this includes clarity on intellectual property
Repositories are necessary but not sufficient conditions for openness
OECD study of policy trends to promote open access and open data,
and their impact, will be finalised by end-2014.
OECD study on “big data” also being finalised.
In conclusion
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33. Contact: Andrew.Wyckoff@oecd.org
Find us at:
http://www.oecd.org/sti/
Selected links:
https://innovationpolicyplatform.org/content/open-science-
0
http://ipp.p2devcloud.com/open-science-oecd-project
http://www.csc.fi/csc/kurssit/arkisto/openscienceforum
Thank you
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