Strategies for Preservation of and Open Access to SCIENTIFIC DATA IN CHINA

Summary of a Workshop

Paul F. Uhlir and Julie M. Esanu, Rapporteurs

U.S. National Committee for CODATA

Board on International Scientific Organizations

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop Strategies for Preservation of and Open Access to SCIENTIFIC DATA IN CHINA Summary of a Workshop Paul F. Uhlir and Julie M. Esanu, Rapporteurs U.S. National Committee for CODATA Board on International Scientific Organizations NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, DC www.nap.edu

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. Support for this project was provided by the National Institutes of Health (under Grant No. 467-MZ-400266), the National Science Foundation (under Grant No. GEO-0407487), and the Open Society Institute (under Grant No. 40006515). Additional support was provided by the Ministry of Science and Technology of China, Chinese Academy of Sciences, Chinese National Natural Science Foundation, the Committee on Data for Science and Technology, the International Council for Science, and the United Nations Educational, Scientific and Cultural Organization. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-10230-8 Copies of this report are available from the Board on International Scientific Organizations, 500 Fifth Street, N.W., Washington, D.C. 20001; 202-334-2807; Internet, http://www7.nationalacademies.org/biso/. Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2006 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop STEERING COMMITTEE ON STRATEGIES FOR PRESERVATION OF AND OPEN ACCESS TO SCIENTIFIC DATA IN CHINA* WILLIAM ANDERSON (Co-Chair), Praxis101 XIAN’EN ZHANG (Co-Chair), Ministry of Science and Technology of China PETER ARZBERGER, University of California, San Diego ROBERT CHEN, Center for International Earth Science Information Network HUADONG GUO, Department of International Cooperation, Chinese Academy of Sciences HEATHER JOSEPH, BioOne CHUANG LIU, Global Change Information and Research Center, Chinese Academy of Sciences BAOPING YAN, Computer Network Information Center, Chinese Academy of Sciences Principal Project Staff PAUL UHLIR, Project Director JULIE ESANU, Program Officer VALERIE THEBERGE, Communications Associate AMY FRANKLIN, Program Associate Representatives of Chinese Program Committee JUN CHEN, China Association for Geographical Information Systems JIANGUO HAN, National Natural Science Foundation of China DINGCHENG HUANG, Institute of Geophysics, Chinese Academy of Sciences ZONGQI SHEN, Ministry of Science and Technology of China MIANZHEN TENG, Ministry of Science and Technology of China JINNING ZHU, Chinese Association for Science and Technology * Chinese names are presented here, and throughout the rest of this report, in the Western approach to personal names, with given name first and family name second.

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop U.S. NATIONAL COMMITTEE FOR CODATA ROBERTA BALSTAD (Chair), Center for International Earth Science Information Network WILLIAM ANDERSON, Praxis101 PETER ARZBERGER, University of California, San Diego KATE BEARD, University of Maine HELEN BERMAN, Rutgers University CHRISTINE BORGMAN, University of California, Los Angeles BONNIE CARROLL, Information International Associates JANET GOMON, Smithsonian Institute* SARA GRAVES, University of Alabama, Huntsville MYRON GUTMANN, Inter-University Consortium for Political and Social Research JAN HOPMANS, University of California, Davis* MAUREEN C. KELLY, Consultant* GARY KING, Harvard University* REYNALDO MORALES, Los Alamos National Laboratory, retired KRISHNA RAJAN, Iowa State University JAMES SWEENEY, Consultant* ALEXANDER SZALAY, The Johns Hopkins University Staff Paul Uhlir, Director Julie Esanu, Program Officer (until May 2005) Amy Franklin, Program Associate * Member until June 30, 2004.

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop Preface The U.S. National Committee for CODATA in collaboration with the Chinese National Committee for CODATA and the CODATA Task Group on Preservation of and Access to Scientific and Technical Data in Developing Countries, and together with the Chinese Ministry of Science and Technology, jointly organized an international workshop on “Strategies for Preservation of and Open Access to Scientific Data.” Local logistical support and meeting planning was provided by the Chinese Academy of Sciences and the Chinese Association for Science and Technology. The International Council for Scientific and Technical Information provided additional substantive expertise. The workshop, which was held June 22-24, 2004, in Beijing, China, served as an international and interdisciplinary forum to promote a deeper understanding of, and requirements for, long-term preservation and open access to digital scientific information resources. The meeting was organized into seven sessions, each led by two co-chairs and including several invited presentations. The first two sessions introduced the workshop participants to the Chinese strategies and initiatives for implementing scientific data sharing. The following sessions explored the policy and legal, institutional and economic, management and technical, and local and regional issues in preserving and providing open access to data in the life sciences and public health; data in the earth and environmental sciences; and scientific information, journals, and digital libraries. This publication presents a summary of the workshop.

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop The statements made in this summary are those of the individual rapporteurs based on presentations made at the workshop and do not necessarily represent the views of the steering committee, the U.S. or Chinese National Committees for CODATA, or the sponsoring organizations in China or the United States. This volume does not contain summaries of all of the presentations. Paul F. Uhlir Director, U.S. National Committee for CODATA Julie M. Esanu Program Officer, U.S. National Committee for CODATA (until May 2005) William L. Anderson Praxis101 Planning Committee Co-Chair Chuang Liu Chinese Academy of Sciences Planning Committee Co-Chair

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop Acknowledgments The U.S. National Committee for CODATA and the Board on International Scientific Organizations of the National Research Council of the National Academies wish to express their sincere thanks to the many individuals who played significant roles in planning the International Workshop on Strategies for Preservation of and Open Access to Scientific Data. The Workshop Steering Committee was chaired by Xian’en Zhang, Ministry of Science and Technology, China, and William Anderson, Praxis101, United States. Additional members of the Steering Committee were Peter Arzberger, University of California at San Diego, United States; Jun Chen, China Association for Geographical Information Systems; Robert Chen, Columbia University, United States; Huadong Guo, Chinese Academy of Sciences; Jianguo Han, National Natural Science Foundation, China; Dingcheng Huang, Chinese Academy of Sciences; Heather Joseph, BioOne, United States; Chuang Liu, Chinese Academy of Sciences; Zongqi Shen, Ministry of Science and Technology, China; Mianzhen Teng, Ministry of Science and Technology, China; Baoping Yan, Chinese Academy of Sciences; and Jinning Zhu, Chinese Association for Science and Technology. We also would like to thank the following individuals (in order of appearance) who made presentations during the workshop (see Appendix A for symposium agenda): Jinpei Cheng, Ministry of Science and Technology, China; Roberta Balstad, Columbia University, United States; William Anderson; Zhihong Xu; Xian’en Zhang; QIN Dahe, China Meteorological Administration; Depei Liu, Chinese Academy of Medicine, Chinese Acad-

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop emy of Engineering; Qiheng Hu, Chinese Association of Science and Technology; Yasuyiki Aoshima, UNESCO; Peter Schröder, Ministry of Education, Culture, and Science, The Netherlands; Carthage Smith, International Council for Science; Michael Clegg, U.S. National Academy of Sciences; Peter Weiss, U.S. National Weather Service; Raymond McCord, Oak Ridge National Laboratory, United States; Menas Kafatos, George Mason University, United States; Qinmin Wang, Fujian Province, China; Jun Chen, Basic Geographical Information Center, China; Jerome Reichman, Duke University Law School, United States; Paul Uhlir, U.S. National Academies; Panqin Chen, Chinese Academy of Sciences; Tieqing Huang, Chinese Academy of Sciences; Lan Zeng, National Macro Economic Research Institute, China; Jun Li, National Macro Economic Research Institute, China; John Willinsky, University of British Columbia, Canada; Chuang Liu, Chinese Academy of Sciences; Belinda Seto, National Institutes of Health, United States; Yun Xiao, Chinese National Committee for CODATA; Shunbao Liao, Chinese Academy of Sciences; Theodore Carl Bergstrom, University of California at Santa Barbara, United States; Yixue Li, Shanghai Biomedical Center, China; Anne Linn, U.S. National Academies; Chengquan Sun, Chinese Academy of Sciences; Zukang Feng, Protein Data Bank, United States; Helen Doyle, Public Library of Science, United States; Shuichi Iwata, University of Tokyo, Japan; Honglie Sun, CODATA; Ling Yin, Chinese PLA General Hospital; Yiyuan Tang, Dalian Polytech University, China; Baoyan Liu, Chinese Academy of Medicine; Donglie Qin, The Capital Hospital University, China; James Edwards, Global Biodiversity Information Facility, Denmark; Xiaofeng Fu, Administrative Center for China’s Agenda 21; Khudulmar Sodov, National Remote Sensing Center, Mongolia; Dingsheng Liu, Chinese Academy of Sciences; Jiansheng Qu, Chinese Academy of Sciences; Zhengxing Wang, Chinese Academy of Sciences; Paul Richards, Columbia University, United States; Raymond Willemann, GEM Technologies, United States; Dake Yang, China Earthquake Administration; Xiaolin Zhang, Chinese Academy of Sciences; Lulama Makhubela, National Development Agency, South Africa; Liansheng Meng, Chinese Academy of Sciences; and Pippa Smart, International Network for the Availability of Scientific Publications, United Kingdom. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Academies’ Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop sound as possible and to ensure that the report meets institutional standards for quality and objectivity. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of this report: Heather Joseph, SPARC; Goetz Oertel, Consultant; John Rumble, Consultant; and Wang Zhengxing, Global Change Information and Research Center. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the content of the report, nor did they see the final draft before its release. Responsibility for the final content of this report rests entirely with the authors and the institution. The U.S. National Committee for CODATA would like to recognize the contributions of National Research Council staff and consultants. Paul Uhlir, Director of International Scientific and Technical Information Programs, was project director of the symposium and served as the primary editor of this report. Julie Esanu helped to organize the symposium and edit the report. Valerie Theberge organized and coordinated the logistical arrangements, and Amy Franklin assisted with the production of the manuscript. In addition, the committee would like to thank the other individuals who contributed to the success of the workshop: Wenneng Zhou, secretary-general of the local organizing committee, and Kathleen Cass, executive director of CODATA.

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop Contents 1   Introduction   1 2   Presentations on China’s Scientific Data Sharing Policy and Project   6      The Development of China’s Scientific Data Sharing Policy, Jinpei Cheng, Vice Minister, Ministry of Science and Technology of China   6      Introduction to the China Scientific Data Sharing Project, Xian’en Zhang, Director General of the Division of Basic Research, Ministry of Science and Technology of China   12 3   Summaries of Presentations on International Perspectives   21      Trends in Development of International Scientific Data and Information, Yasuyuki Aoshima, United Nations Educational, Scientific and Cultural Organization   21      Towards International Guidelines for Access to Research Data from Public Funding, Peter Schröder, Ministry of Education, Culture, and Science, The Netherlands   25      International Perspectives on Data and Information for Science, Carthage Smith, International Council for Science, France   26

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop                 Inter-Academy Panel Initiatives on Promoting Access to Scientific Information, Michael Clegg, Inter-Academy Panel and the U.S. National Academy of Sciences   29      Future Role of the Committee on Data for Science and Technology, Shuichi Iwata, University of Tokyo, Japan, and President, CODATA   31      China’s National Committee for CODATA, Zhihong Xu, Chinese National Committee for CODATA, China   33      U.S. National Committee for CODATA, Paul F. Uhlir, U.S. National Academies   34 4   Summaries of Presentations on Cross-Disciplinary Issues   35      Panel Discussion on Legal and Policy Issues,   35      Introduction, Paul F. Uhlir and Julie M. Esanu, U.S. National Academies   35      Global Trends to Restrict Access to Data from Government-Funded Research, Jerome Reichman, Duke University School of Law, United States   37      A Contractually Reconstructed Research Commons for Scientific Data in a Highly Protectionist Intellectual Property Environment, Jerome Reichman, Duke University School of Law, United States   38      Balancing the General Public Interests and Copyright in Scientific Information Management, John Willinsky, University of British Columbia, Canada   39      Borders in Cyberspace: Maximizing Social and Economic Benefit from Public Investment in Data, Peter Weiss, U.S. National Weather Service   40      Policy Considerations on Government Information Sharing in China, Jun Li, National Macro Economic Research Institute, China   42      Comparative Aspects of Policies for Open Access to Scientific Data in the United States, European Union, and China, Chuang Liu, Global Change Information and Resource Center, Chinese Academy of Sciences   43

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop                 Data Sharing in Scientific Databases of the Chinese Academy of Sciences, Yun Xiao, Computer Network Information Center, Chinese Academy of Sciences   44      The Data Sharing Policy of the Chinese Ecosystem Research Network, Panqin Chen and Tieqing Huang, Bureau of Science and Technology for Resources and Environment, Chinese Academy of Sciences   45      Data Sharing Policy of the National Institutes of Health, Belinda Seto, National Institute of Biomedical Imaging and Bioengineering, National Institutes of Health, United States   45      Panel Discussion on Economic and Institutional Issues,   47      Introduction, Paul F. Uhlir and Julie M. Esanu, U.S. National Academies   47      The Peculiar Economics of Scientific Information, Theodore Carl Bergstrom, University of California, Santa Barbara, United States   47      Launching an Open-Access Journal, Helen Doyle, Public Library of Science, United States   49      Involving the Private Sector in the Environmental Enterprise, Anne Linn, U.S. National Academies   50      Panel Discussion on Management and Technical Issues,   52      Introduction, Paul F. Uhlir and Julie M. Esanu, U.S. National Academies   52      Operating a Twenty-First-Century Data Center, Roberta Balstad, Center for International Earth Science Information Network, United States   52      Managing the Effects of Programmatic Scale and Enhancing Incentives for Data Archiving, Raymond McCord, Oak Ridge National Laboratory, United States   53      Managing the Effects of Change on Archiving Research Data, Raymond McCord, Oak Ridge National Laboratory, United States   54      Special Considerations for Archiving Data from Field Observations, Raymond McCord, Oak Ridge National Laboratory, United States   56

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop                 Toward a Balanced Performance Appraisal System in the Digital Era for Data Archiving and Sharing in China, Zhengxing Wang, Global Change Information and Research Center, Chinese Academy of Sciences   58      Earth Science Data and Information Management in Western China, Chengquan Sun, Scientific Information Center for Resources and Environment, Chinese Academy of Sciences   59      Data Integration and Management: The Protein Data Bank Perspective, Zukang Feng, Protein Data Bank, United States   60 5   Summaries of Presentations on Thematic Issues   62      Examples of Life Sciences and Public Health Data Activities,   62      The Chinese Management and Sharing System of Scientific Data for Medicine, Depei Liu, Chinese Academy of Medicine and Chinese Academy of Engineering   62      International Medical Scientific Data Sharing, Ling Yin, People’s Liberation Army General Hospital and Graduate Medical School, China   64      China’s Contributions to the Organisation for Economic Co-operation and Development’s Neuroinformatics Data Sharing Initiative, Yiyuan Tang, Institute of Neuroinformatics, Dalian University of Technology; Ling Yin, Neuroinformatics Center, PLA General Hospital and Graduate Medical School; and Xiaowei Tang, Neuroinformatics Center, Zhejiang University, China   65      Long-Term Studies of Human Anatomy Using the Digital Human and Scientific Data Sharing, Donglie Qin, BME College, Capital University of Medical Sciences, China   67      The Protein Data Bank: A Key Biological Resource, Zukang Feng, Protein Data Bank, United States   68      The Safeguarding and Sharing of Traditional Chinese Medicine Database Resources, Baoyan Liu and Meng Cui, China Academy of Traditional Chinese Medicine   69

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop                 Open Access to Scientific Data on Biological Diversity: An Urgent Need for China, James Edwards, Global Biodiversity Information Facility, Denmark   70      The NIH Roadmap for Medical Research,Belinda Seto, National Institute of Biomedical Imaging and Bioengineering, National Institutes of Health, United States   72      Examples of Earth Sciences, Environmental, and Natural Resources Data Activities,   73      Progress in Meteorological Data Sharing in China, Dahe Qin, China Meteorological Administration   73      The World Data Center for Renewable Resources and Environment, Shunbao Liao, Geosciences and Natural Resources Institute, Chinese Academy of Sciences   75      Information System for Earth Science Data of China, Jiansheng Qu, Scientific Information Center for Resources and Environment, Chinese Academy of Sciences   76      Present Status and Future Development Strategy of China’s Sustainable Development Information Network, Xiaofeng Fu, Administrative Centre for China’s Agenda 21, Ministry of Science and Technology, China; and Xintong Li, State Key Laboratory of Resources and Environment Information System, Chinese Academy of Sciences   76      Progress Toward a National Spatial Data Infrastructure in China, Jun Chen, National Geomatics Center, China   77      Uses of Seismic Data and the Importance of Open Access to Major Data Centers in Seismology, Paul Richards, Columbia University, United States   78      Existing Infrastructure for International Exchange of Seismic Data, Raymond J. Willemann, GEM Technologies, United States   80      Digital Fujian, Qinmin Wang, Department of Science and Technology, Fujian Province, China   81

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop                 Local and Regional Earth System Science Applications and Associated Infrastructure: The Mid-Atlantic Geospatial Information Consortium, Menas Kafatos, George Mason University, United States   82      Thematic Issues in Scientific Information, Journals, and Digital Libraries,   84      Policies and Mechanisms for Literature Resource Sharing— The Practice of the Chinese National Scientific and Technical Library, Qiheng Hu, Chinese Association for Science and Technology   84      Perspectives on the Future of the Library and on the Economics of Open Access, John Willinsky, University of British Columbia, Canada   87      An Open-Access Future, Helen Doyle, Public Library of Science, United States   88      Other Opportunities in the Changing Information Environment, Pippa Smart, International Network for the Availability of Scientific Publications, United Kingdom   90      Scientific Information and Digital Libraries: Can Developing Countries Become Key Players in the Information Society?, Lulama Makhubela, National Development Agency, South Africa   91     Appendixes          A  Workshop Program   97      B  Biographical Summaries of Workshop Speakers and Steering Committee Members   111

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Strategies for Preservation of and Open Access to Scientific Data in China: Summary of a Workshop This study is dedicated in fond memory of Peter Weiss, National Weather Service

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