OPEN SCIENCE BY DESIGN

Realizing a Vision for 21st Century Research

Committee on Toward an Open Science Enterprise

Board on Research Data and Information

Policy and Global Affairs

A Consensus Study Report of

THE NATIONAL ACADEMIES PRESS
Washington, DC
www.nap.edu

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This activity was supported by the Laura and John Arnold Foundation. Any opinions, findings, conclusions, or recommendations expressed in this publication do not necessarily reflect the views of any organization or agency that provided support for the project.

International Standard Book Number-13: 978-0-309-47624-9
International Standard Book Number-10: 0-309-47624-0
Library of Congress Control Number: 2018950760
Digital Object Identifier: https://doi.org/10.17226/25116

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Copyright 2018 by the National Academy of Sciences. All rights reserved.

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Suggested citation: National Academies of Sciences, Engineering, and Medicine. 2018. Open Science by Design: Realizing a Vision for 21st Century Research. Washington, DC: The National Academies Press. doi: https://doi.org/10.17226/25116.

COMMITTEE ON TOWARD AN OPEN SCIENCE ENTERPRISE

Alexa T. McCray (NAM) (Chair), Professor of Medicine, Harvard Medical School

Francine Berman, Edward P. Hamilton Distinguished Professor of Computer Science, Rensselaer Polytechnic Institute

Michael Carroll, Professor of Law, American University Washington College of Law

Donna Ginther, Professor, Department of Economics; Director, Center for Science, Technology and Economic Policy, University of Kansas

Robert Miller, Chief Executive Officer, LYRASIS

Peter Schiffer, Vice Provost for Research and Professor in Applied Physics, Yale University

Edward Seidel, Vice President for Economic Development and Innovation, University of Illinois System; Founder Professor of Physics, Professor of Astronomy and Computer Science, University of Illinois at Urbana-Champaign

Alex Szalay, Bloomberg Distinguished Professor of Astronomy, The Johns Hopkins University

Lisa Tauxe (NAS), Distinguished Professor of Geophysics, Scripps Institution of Oceanography, University of California, San Diego

Heng Xu, Associate Professor of Information Sciences and Technology, College of Information Sciences and Technology, The Pennsylvania State University

Principal Project Staff

Tom Arrison, Program Director, Policy and Global Affairs Division (from November 2017)

Emi Kameyama, Associate Program Officer, Board on Research Data and Information

George Strawn, Director, Board on Research Data and Information

Ester Sztein, Deputy Director, Board on Research Data and Information

Nicole Lehmer, Senior Program Assistant, Board on Research Data and Information

Alan Anderson, Consultant

Christine Liu, Senior Program Officer (until October 2017)

BOARD ON RESEARCH DATA AND INFORMATION

Alexa McCray (NAM) (Chair), Professor of Medicine, Harvard Medical School

Amy Brand, Director, MIT Press

Kelvin Droegemeier, Vice President for Research, University of Oklahoma

Stuart Feldman, Chief Scientist, Schmidt Futures

Salman Habib, Senior Physicist and Computational Scientist, Argonne National Laboratory

James Hendler, Director, Institute for Data Exploration and Applications, Rensselaer Polytechnic Institute

Elliot Maxwell, Chief Executive Officer, e-Maxwell & Associates

Barend Mons, Chair in Biosemantics, Leiden University Medical Center

Sarah Nusser, Vice President for Research, Iowa State University

Michael Stebbins, President, Science Advisors, LLC

Bonnie Carroll,^* Chairman and Chief Executive Officer, Information International Associates (CODATA Secretary General)

John Hildebrand (NAS),^* Regents Professor of Neuroscience, University of Arizona (NAS Foreign Secretary)

Paul Uhlir,^* Consultant, Data Policy and Management (CODATA Executive Committee Member)

Staff

George Strawn, Director

Tom Arrison, Program Director

Ester Sztein, Deputy Director

Emi Kameyama, Associate Program Officer

Nicole Lehmer, Senior Program Assistant

___________________

^* Denotes ex-officio member.

Preface

Just as society has been transformed by the digital revolution, so, too, have many aspects of the scientific enterprise. Publicly available data in federally sponsored databases serve as starting points for many research investigations. Collaborations are no longer hampered by geographic distance, and, in some cases, the majority or even all of the work is conducted by sharing digital research files, corresponding by email, and meeting virtually, with time zone differences being the only deterrent to the frequency of the meetings. Data are largely collected, stored, manipulated, and shared in electronic form. Research papers are prepared using word-processing software and are often formatted and submitted in camera-ready form to the publisher. The majority of published articles are no longer bound in print journals and disseminated by conventional postal delivery, but rather are available through the publisher’s database, most often mediated by contracts with institutional libraries.

This transformation has had economic, policy, and practical implications, many of which are still in the process of being fully addressed and resolved. An increasing number of scientists have begun to question the closed world of scientific publishing and have suggested that the results of their research should be openly available for all, to benefit not only fellow scientists, but also the general citizenry. Indeed, the pursuit of “citizen science” is now recognized as a valid and useful activity. Faculty at many universities have adopted university-wide “open access” policies that ensure that, at a minimum, their research papers are available through their institution’s repository.

New publishing venues have arisen, including open access journals, some of very high-quality and others not. Individual researchers, while interested in having their work broadly read and cited, are faced with competing pressures, including publishing in journals with high “impact factors,” such that they are in the best possible position for promotion and tenure.

Research funders have seen the value of openly sharing the results of the research that they have supported, not just in the form of publications, but also in the form of the data that have been produced in the course of the investigation. They have begun to require that applicants prepare data management plans as part of their grant proposals.

A number of legal and policy developments have facilitated broader access to scientific research. Recognizing the potential of the Internet to broadly and equitably disseminate scientific knowledge, a collaborative effort has created a legal framework that is consistent with U.S. copyright law, and that provides guidance to researchers who would like to have greater control over how their research results are used and disseminated. Several federal policies require that publicly

funded research results, in the form of data and publications, be deposited in public access repositories. Legislation is now also pending in Congress that would strengthen these policies.

To evaluate more fully the benefits and challenges of broadening access to the results of scientific research, described as “open science,” the National Academies of Sciences, Engineering, and Medicine appointed an expert committee in March 2017. Brief biographies of the individual committee members are provided in Appendix A. The committee was charged with focusing on how to move toward open science as the default for scientific research results, and to indicate both the benefits of moving toward open science and the barriers to doing so. This report presents the findings and recommendations of the committee, with the majority of the focus on solutions that move the research enterprise toward open science.

This Consensus Study Report was reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise. The purpose of this independent review is to provide candid and critical comments that will assist the National Academies of Sciences, Engineering, and Medicine in making each published report as sound as possible and to ensure that it meets the institutional standards for quality, objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process.

We thank the following individuals for their review of this report: Prudence Adler, Association of Research Libraries; David Allison, Indiana University, Bloomington; Geoffrey Boulton, University of Edinburgh; Anita de Waard, Elsevier; Michael Forster, Institute of Electrical and Electronics Engineers; Laura Greene, Florida State University; Heather Joseph, Scholarly Publishing and Academic Resources Coalition; Véronique Kiermer, Public Library of Science; Michael Lesk, Rutgers University; William Mobley, University of California, San Diego; Mark Musen, Stanford University; Sarah Nusser, Iowa State University; and George Schatz, Journal of Physical Chemistry.

Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations of this report nor did they see the final draft before its release. The review of this report was overseen by Carl Lineberger, University of Colorado, Boulder and Julia Phillips, Sandia National Laboratories (Retired). They were responsible for making certain that an independent examination of this report was carried out in accordance with the standards of the National Academies and that all review comments were carefully considered. Responsibility for the final content rests entirely with the authoring committee and the National Academies.

The report would not have been possible without the sponsor of this study, the Laura and John Arnold Foundation, whom we thank for their support. The committee gratefully acknowledges all of the speakers for their informative presentations at our meeting and public symposium. They are listed in Appendix E at the conclusion of the report. The information provided during the meeting and symposium is used throughout this report and provided important perspectives that were utilized in this report’s findings and conclusions.

The committee is also grateful for the assistance of the National Academies staff in preparing this report. Staff members who contributed to this effort are Tom Arrison, program director, Policy and Global Affairs; Emi Kameyama, associate program officer, Board on Research Data and Information; George Strawn, director, Board on Research Data and Information; Ester Sztein, deputy director, Board on Research Data and Information; Nicole Lehmer, senior program assistant, Board on Research Data and Information; Alan Anderson, consultant; Christine Liu, senior program officer (through October 2017); Adriana Courembis, financial officer; Marilyn Baker, director for reports and communication; and John Boright, interim executive director, Policy and Global Affairs.

Finally, I thank especially the members of the committee for their tireless efforts throughout the development of this report.

Alexa T. McCray, Chair
Committee on Toward an Open Science Enterprise

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Contents

ABBREVIATIONS AND ACRONYMS

SUMMARY

1 INTRODUCTION

Context for the Study

Study Process

Structure of the Report

2 BROADENING ACCESS TO THE RESULTS OF SCIENTIFIC RESEARCH

Summary Points

Origins and Significance of Open Science

Motivations for Open Science

Barriers to Open Science

3 THE STATE OF OPEN SCIENCE

Summary Points

General State of Open Science

Current Approaches to Open Science

4 A VISION FOR OPEN SCIENCE BY DESIGN

Summary Points

Principles of Open Science by Design

Practicing Open Science by Design

Enabling Technologies for Open Science by Design

Strengthening Training for Open Science by Design

Other Considerations

5 TRANSITIONING TO OPEN SCIENCE BY DESIGN

Summary Points

Barriers and Limitations

Legal Framework

Research Funder Policies

Strategies for Achieving Open Science by Design

6 ACCELERATING PROGRESS TO OPEN SCIENCE BY DESIGN

Recent Developments

Findings, Recommendations, and Implementation Actions

REFERENCES

APPENDIXES

A COMMITTEE MEMBER BIOGRAPHIES

B GLOSSARY

C OFFICE OF SCIENCE AND TECHNOLOGY POLICY (OSTP) 2013 MEMORANDUM: INCREASING ACCESS TO THE RESULTS OF FEDERALLY FUNDED SCIENTIFIC RESEARCH

D OFFICE OF SCIENCE AND TECHNOLOGY POLICY 2014 MEMORANDUM: IMPROVING THE MANAGEMENT OF AND ACCESS TO SCIENTIFIC COLLECTIONS

E COMMITTEE MEETING AGENDAS: OPEN SESSION

Abbreviations and Acronyms