The Future of Taxpayer-Funded Research Who Will Control

The Future of Taxpayer-Funded Research: Who Will Control Access to the Results and the Underlying Data Elliot E. Maxwell BRDI 9 th Meeting Washington, D. C. September 24, 2013

Outline n n n Some thoughts on openness Recent research on the impact of greater openness in scholarly publications Going beyond Open Article 1. 0 Access to data—more complex, more dynamic, and increasingly more important References 2

A Few Thoughts on Openness n n …openness is not binary; information or processes are not open or closed. They sit on a continuum, based on their “accessibility” and “responsiveness” if information is not available or available only under restrictive conditions it is less accessible and therefore less “open. ” …if information can be modified, repurposed, and redistributed freely it is more responsive, and therefore more “open. ” Wilbanks adds “leverage” and “ease of mastery” 3

…but greater openness is not always the best solution… n n n Privacy, security, protecting the rights of creators, fostering competition, are among values that might limit openness The purpose and context are critical to determine the appropriate degree of openness The Internet is driving us toward openness 4

Openness and Value Creation n n Traditional intellectual property (IP) theory sees control as central to value creation and, therefore, innovation. It focuses on the first creator Giving control to the creator (or the rights holder) provides the opportunity for innovation to be monetized through licensing, etc. The greater the control (longer terms, higher penalties for infringement) the more incentives for innovation by first creators; incentives for followon innovators, however, are reduced Controlling access is costly and never absolute Follow-on innovators outnumber first creators 5

Openness and Value Creation (2) n n Creating value from sharing offers a mirror image to the traditional view of IP The wider the sharing, the greater the openness, the more potential value from follow-on innovators Modifying, copying, and distributing are easy and cheap “With enough eyeballs, all bugs are shallow. ” But which eyeballs will find it? Recognizing the role of the unforeseen contributor 6

The Future of Taxpayer. Funded Research n n n Committee for Economic Development report examined four years of evidence from NIH Public Access Policy increased access to NIH-funded research In all the documents and hearings there was no credible evidence of substantial harm predicted by proprietary publishers 7

Greater Access to Research n n Accelerates progress in science by speeding up and broadening diffusion of knowledge, allowing quicker movement to the scientific frontier Facilitates exploration of more diverse research paths including “entirely new research lines, ” and increases “intensity of research” moving toward applications Fiona Murray et. Al, “Of Mice and Academics: Examining the Effects of Openness on Innovation” 8

Greater Access (2) n n n Intellectual property protection reduces the “diversity of scientific experimentation” Greater access fosters the movement from basic research to applied research to commercialization. IP protections had negative effects that persisted over time Human Genome Project results generated 30% more commercial diagnostic tests than those of Celera Heidi Williams, “Intellectual Property Rights and Innovation: Evidence from the 9 Human Genome”

Greater Access (3) n n By broadening readership and stimulating more diverse research, greater access expands the solution set and increases potential for contributions from unforeseen sources outside the field “Local search phenomenon” or the “proximity paradox”— some alternatives are ignored or never even perceived Karim Lakhani, “Scientific Problem Solving through Broadcast Search: Inno. Centive. com” 10

Greater Access (4) n n Draft of study by Bryan and Ozcan using journal articles and patent applications 2005 -2012 provides evidence on the impact of open access on new inventions Open access increases probability of citation in patent applications by 37% with stronger effect for more applied journals, even with disincentives for citing 11

Increased Access Has Real and Demonstrable Benefits n n n n Speeds progress in science Promotes diversity in follow-on research and pursuit of new research pathways Increases contributions from unanticipated contributors Stimulates innovation, economic growth Heightens return on public investment; taxpayer doesn’t pay twice as subscriber Reduces duplicative/dead-end research Facilitates oversight/accountability of research funding and focus on priorities 12

Going Beyond Open Article 1. 0 What Can Be Done With the “Open” Article? What limits remain? n n n Access to article’s sub-parts, data and tools? Machine-readable requirement, data and text mining, analysis using tools of one’s choice? Display, copying, distribution, translation? Linking and interoperability? Re-use and mash-ups/ What about: ¡ ¡ ¡ Author’s rights? Attribution? Impact on incentives? Integrity? Privacy? Security? Licensing? 13

Significant Issues Remain Regarding Journal Articles n n n Reward systems-tenure and advancement --require reform in order to recognize rather than discourage sharing/immediate disclosure Many scholarly societies still rely on subscriptions for 85%-95% of funding What customization is necessary for different fields? One size does not fit all 14

OSTP Memo Also Launched Review of Access to Data n n Issues regarding scholarly publications are reasonably well understood Issues regarding access to data are more complex, more dynamic, and are becoming more important with the rise of data-intensive science and “big data” 15

Uhlir and Schroder Detail Benefits of Open Data n n n n Reinforces open scientific inquiry Encourages diversity of analysis Promotes new research Enables use of automated tools online Allows verification of results Makes possible testing of alternative hypotheses Provides greater return on public 16

Benefits of Open Data (2) n n n Supports studies on data collection and measurement Facilitates education of new researchers Enables exploration of topics not envisioned by initial investigators Permits creation of data sets when combined Helps transfers to developing countries 17

The List of Issues Regarding Data Generated by Taxpayer Funding is Long n n n n What should be available? Everything? Priorities Where should it go? Accrediting repositories When is it available? Upon publication? Who will pay what costs? Business models How will it be found? Persistent identifiers and metadata Will there be limits on access and what can be done? Licenses, contracts, Bayh-Dole How to deal with privacy, security, IP? 18

The List Goes On…. n n n How to improve quality? Provenance, validity, verification, relevance, timeliness, freshness, authenticity, integrity Interoperability and standardizationformats, organization, structures etc. Incentives-recognition, $. Bibliometrics Mandates-governmental and institutional Metrics for success 19

The Hardest Changes May Be Cultural n n Scholarly reward system needs to recognize data-related achievements, new forms of contribution, and address fears of preemption Data funders and hosts need to support research on economic/societal benefits 20

References n The Future of Taxpayer-Funded Research ¡ n Of Mice and Academics ¡ n http: //www. ced. org/reports/single/thefuture-of-taxpayer-funded-research-who-will -control-access-to-the-resul http: //www. nber. org/papers/w 14819 Intellectual Property Rights and Innovation ¡ http: //www. nber. org/papers/w 16213. pdf 21

References (2) n Scientific Problem Solving Through Broadcast Search ¡ n n Harvard Business School Case 608 -170 Open Access and the Commercialization of Medical Research by Kevin A. Bryan and Yasin Ozcan Draft dated August 27, 2013 Open Data for Global Science ¡ https: //www. jstage. jst. go. jp/article/dsj/6/0/ 6_0_OD 36/_pdf 22

Contact Information Elliot E. Maxwell emaxwell@emaxwell. net www. emaxwell. net 23