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THE CASE FOR INTERNATIONAL SHARING OF SCIENTIFIC DATA: A FOCUS ON DEVELOPING COUNTRIES PROCEEDINGS OF A SYMPOSIUM Kathie Bailey Mathae and Paul F. Uhlir, Editors Committee on the Case of International Sharing of Scientific Data: A Focus on Developing Countries Board on International Scientific Organizations Board on Research Data and Information Policy and Global Affairs In collaboration with the Committee on Freedom and Responsibility in the Conduct of Science International Council for Science THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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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. This study was supported by the National Science Foundation (Award No. OISE-0614728 and OGI- 1040898). Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 13: 978-0-309-30157-2 (Book) International Standard Book Number 10: 0-309-30157-2 (Book) Additional copies of this report are available from the National Academies Press, 500 Fifth Street, NW, Room 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu. Copyright 2012 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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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. Charles M. Vest 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. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE ON THE CASE FOR INTERNATIONAL SHARING OF SCIENTIFIC DATA: A FOCUS ON DEVELOPING COUNTRIES FAROUK EL-BAZ (Chair), Boston University BARBARA ANDREWS, University of Chile ROBERTA BALSTAD, Center for International Earth Sciences JOHN RUMBLE, JR., Information International Associates, Inc. WILLIAM WULF, University of Virginia TILAHUN YILMA, University of California, Davis Staff KATHIE BAILEY MATHAE, Study Director PAUL F. UHLIR, Study Director LYNELLE VIDALE, Program Associate CHERYL WILLIAMS LEVEY, Senior Program Assistant v

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BOARD ON INTERNATIONAL SCIENTIFIC ORGANIZATIONS Cutberto Garza, MD (IOM), Chair, Boston College Marvin Geller, Stony Brook University Daniel Goroff, Alfred Sloan Foundation Priscilla Grew, University of Nebraska State Museum Melinda Kimble, United Nations Foundation Dennis Ojima, Colorado State University Kennedy Reed, Lawrence Livermore National Laboratory John Rumble, Jr., Information International Associates, Inc. Karen Strier (NAS), University of Wisconsin Tilahun Yilma (NAS), University of California, Davis EX OFFICIO Roberta Balstad, Retired Michael Clegg (NAS), University of California, Irvine Dov Jaron, Drexel University J. Bruce Overmier, University of Minnesota vi

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BOARD ON RESEARCH DATA AND INFORMATION Francine Berman, Cochair, Rensselaer Polytechnic Institute Clifford Lynch, Cochair, Coalition for Networked Information Laura Bartolo, Kent State University Philip Bourne, University of California, San Diego Henry Brady, University of California, Berkeley Mark Brender, GeoEye Foundation Bonnie Carroll, Information International Associates Michael Carroll, Washington College of Law, American University Sayeed Choudhury, Johns Hopkins University Keith Clarke, University of California, Santa Barbara Paul David, Stanford Institute for Economic Policy Research Kelvin Droegemeier, University of Oklahoma Clifford Duke, Ecological Society of America Barbara Entwisle, University of North Carolina Stephen Friend, Sage Bionetworks Margaret Hedstrom, University of Michigan Alexa McCray, Harvard Medical School Alan Title, Lockheed Martin Advanced Technology Center Ann Wolpert, Massachusetts Institute of Technology EX OFFICIO Robert Chen, Columbia University Michael Clegg, University of California, Irvine Sara Graves, University of Alabama in Huntsville John Faundeen, Earth Resources Observation and Science Center Eric Kihn, National Geophysical Data Center (NOAA) Chris Lenhardt, Oak Ridge National Laboratory Kathleen Robinette, Air Force Research Laboratory Alex de Sherbinin, Columbia University vii

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PREFACE AND ACKNOWLEDGMENTS Scientific research and problem solving are increasingly dependent for successful outcomes on access to diverse sources of data generated by the public and academic research community. Global issues, such as disaster mitigation and response, international environmental management, epidemiology of infectious diseases, and various types of sustainable development concerns, require access to reliable data from many, if not all, countries. Digital networks now provide a near-universal infrastructure for sharing much of this factual information on a timely, comprehensive, and low-cost basis. There also are many compelling examples of data sharing in different research and application areas that have yielded great benefits to the world community, although many more could be similarly facilitated. Many countries that are members of the Organisation for Economic Co-operation and Development (OECD) and some emerging economies already have implemented national policies and programs for public data management and access, while others are in the process of developing them. Nevertheless, many developing countries do not have formal mechanisms in place. The topic of “data sharing” is broad and complex, and developing countries have different infrastructure, human resource, and access needs that must be addressed. (For purposes of this report, “developing” countries are defined as non-OECD countries, recognizing that there is a broad range of economic development among the non-OECD nations.) There are various specific barriers to the access and sharing of scientific data collected by governments or by researchers using public funding. Such obstacles include scientific and technical, institutional and management, economic and financial, legal and policy, and normative and sociocultural barriers, as well as limitations in digital infrastructure. Some of these barriers are possible to diminish or remove, whereas others seek to balance competing values that impose legitimate limitations on openness. Despite such challenges, however, there could be much greater value and benefits to research and society, particularly for economic and social development, from the broader use and sharing of existing factual data sources. Many researchers in developing countries, in particular, lack the norms and traditions of more open data sharing for collaborative research and for the development of common research resources for the benefit of the entire research community. Moreover, the governments in many developing countries treat publicly generated or publicly funded research data either as secret or commercial commodities. Even if governments do not actively protect such data, many lack policies that provide guidance or identify responsibilities for the researchers they fund concerning the conditions under which researchers should make their data available for others to use. Finally, developing countries frequently do not have data centers or digital repositories in place to which researchers can submit their data for use by others. In those cases where such repositories do exist, they tend to be managed as black archives—that is, not open to most researchers or the general public. Because of the importance of data access and sharing in the developing world, an ad hoc committee of the Board on International Scientific Organizations (BISO) and the Board on Research Data and Information (BRDI), in consultation with the Committee on Freedom and Responsibility in the Conduct of Science (CFRS) of the International Council for Science (ICSU), organized a 2-day international symposium in Washington, D.C., on April 18–19, 2011. The main objective of the symposium was to gain better understanding of the data access and sharing situation in the developing world, with a focus on barriers, opportunities, and future actions. Part One of the proceedings addresses the following questions: Why is the international sharing of publicly funded scientific data important, especially for development? What are some examples of past ix

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x THE CASE FOR INTERNATIONAL SHARING OF SCIENTIFIC DATA successes, and what are the types of global research and applications problems that can be addressed with more complete access to government data collections and government-funded data sources? Part Two provides an overview of the status of public data access internationally, particularly in developing countries. Part Three explores the principal barriers and limits to sharing public data across borders. Finally, Part Four discusses the rights and responsibilities of scientists and research organizations in providing and getting access to publicly funded scientific data. It also provides some insights on how international scientific organizations, government agencies, and scientists can more successfully improve sharing of publicly funded data to address global challenges, particularly in less economically developed countries. This proceedings contains edited versions of the symposium presentations. As such, they vary in length, formality, and style. Some are more scholarly than others. In addition, language usage varies, since many of the international presenters are nonnative English speakers. The proceedings is intended primarily for government policy makers, researchers in the developing world, and managers in public and private institutions that fund research and development activities in developing countries. We hope it will enrich their understanding of the importance of data access and reuse from publicly funded research, especially in the developing world, and that it will advance discussions about future actions. This volume has been reviewed in draft form by individuals chosen for their technical expertise, in accordance with procedures approved by the National Research Council’s 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 sound as possible and to ensure that the report meets institutional standards for quality. 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 The Case for International Sharing of Scientific Data: A Focus on Developing Countries Proceedings of a Symposium: William Anderson, Praxis 101; Peter Arzberger, University of California, San Diego; R. Stephen Berry, University of Chicago; Anita Eisenstadt, National Oceanic and Atmospheric Association; and Kamran Naim, University of Tennessee. Although the reviewers listed above have provided constructive comments and suggestions, they were not asked to endorse the content of the individual papers. Responsibility for the final content of the papers rests with the individual authors. Farouk El-Baz, Chair, Committee on the Case for International Sharing of Scientific Data: A Focus on Developing Countries Kathie Bailey Mathae, Director, Board on International Scientific Organizations Paul F. Uhlir, Director, Board on Research Data and Information

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CONTENTS 1. Welcoming Remarks 1 Charles Vest, National Academy of Engineering United States PART ONE: SETTING THE STAGE 3 2. Background and Purpose of the Symposium: Historical Perspective 4 Farouk El-Baz, Boston University United States 3. Why Is International Scientific Data Sharing Important? 7 Dr. Atta-ur-Rahman, UNESCO Science Laureate Pakistan 4. Discussion of Part One by Symposium Participants 15 PART TWO: STATUS OF ACCESS TO SCIENTIFIC DATA 17 5. Overview of Scientific Data Policies 18 Roberta Balstad, Columbia University United States 6. Implementing a Research Data Access Policy in South Africa 21 Michael Kahn, University of Stellenbosch South Africa 7. Access to Research Data and Scientific Information Generated with Public 24 Funding in Chile Patricia Muñoz Palma, National Commission for Scientific and Technological Research Chile 8. The Management of Health and Biomedical Data in Tanzania: The Need for a 27 National Scientific Data Policy Leonard E. G. Mboera, National Institute for Medical Research. Tanzania 9. The Data-Sharing Policy of the World Meteorological Organization: 29 The Case for International Sharing of Scientific Data Jack Hayes, U.S. Permanent Representative to the World Meteorological Organization United States xi

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xii THE CASE FOR INTERNATIONAL SHARING OF SCIENTIFIC DATA 10. Discussion of Part Two by Symposium Participants 32 PART THREE: COMPELLING BENEFITS 37 11. Developing the Rice Genome in China 38 Huanming Yang, BGI China 12. Data Sharing in Astronomy 41 Željko Ivezić, University of Washington United States 13. Sharing Engineering Data for Failure Analysis in Airplane Crashes: Creation of 46 a Web-based Knowledge System Daniel I. Cheney, Safety Program at the Federal Aviation Administration United States 14. Integrated Disaster Research: Issues Around Data 49 Jane E. Rovins, Integrated Research on Disaster Risk Program of ICSU China 15. Understanding Brazilian Biodiversity: Examples Where More Data Sharing 54 Makes the Difference Vanderlei Canhos, Reference Center on Environmental Information (CRIA) Brazil 16. Social Statistics as One of the Instruments of Strategic Management of 58 Sustainable Development Processes: Compelling Examples Victoria A. Bakhtina, International Finance Corporation United States 17. Remote Sensing and In Situ Measurements in the Global Earth Observation 65 System of Systems Curtis Woodcock, Boston University United States 18. Discussion of Part Three by Symposium Participants 69 PART FOUR: THE LIMITS AND BARRIERS TO DATA SHARING 73 19. Data Sharing: Limits and Barriers and Initiatives to Overcome Them – An 74 Introduction Roger Pfister, Swiss Academies of Arts and Sciences Switzerland 20. Consideration of Barriers to Data Sharing 78 Elaine Collier, National Institutes of Health United States

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CONTENTS xiii 21. Artificial Barriers to Data Sharing – Technical Aspects 81 Donald R. Riley, University of Maryland United States 22. Scientific Management and Cultural Aspects 85 David Carlson, University of Colorado United States 23. Political and Economic Barriers to Data Sharing: The African Perspective 89 Tilahun Yilma, University of California, Davis United States 24. Discussion of Part Four by Symposium Participants 93 PART FIVE: HOW TO IMPROVE DATA ACCESS AND USE 97 25. Government Science Policy Makers’ and Research Funders’ Challenges to 98 International Data Sharing: The Role of UNESCO Gretchen Kalonji, UNESCO France 26. International Scientific Organizations: Views and Examples 102 Bengt Gustafsson, CFRS/ICSU Sweden 27. Improving Data Access and Use for Sustainable Development in the South 107 Daniel Schaffer, Academy of Sciences for the Developing World Italy 28. How to Improve Data Access and Use: An Industry Perspective 112 John Rumble, Information International Associates United States 29. Production and Access to Scientific Data in Africa: A Framework for Improving 115 the Contribution of Research Institutions Hilary I. Inyang, African Continental University System Initiative University of North Carolina, Charlotte United States 30. The ICSU World Data System 118 Yasuhiro Murayama, National Institute of Information and Communication Technology Japan 31. Libraries and Improving Data Access and Use in Developing Regions 120 Stephen Griffin, National Science Foundation United States xiii

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xiv THE CASE FOR INTERNATIONAL SHARING OF SCIENTIFIC DATA 32. Developing a Policy Framework to Open up the Rights to Access and Reuse 125 Research Data for the Next Generation of Researchers Haswira Nor Mohamad Hashim, Queensland University of Technology Australia 33. Discussion of Part Five by Symposium Participants 143 APPENDIXES 147 A: Symposium Agenda 148 B: Biographies of Symposium Chairs and Presenters 151 C: CFRS Advisory Note 162 LIST OF FIGURE AND TABLES FIGURE 3-1 Distribution of Approved Project Cost 10 FIGURE 3-2 Articles Downloaded 11 TABLE 3-1 Ph.D. Output in Pakistan 13 FIGURE 15-1 speciesLink Network Architecture 55 FIGURE 15-2 Access to CRIA’s Online Systems in 2010 56 FIGURE 16-1 HDI Index Adjustments Due to Inequality 59 FIGURE 16-2 Six African Countries: Overall Satisfaction with Life 60 FIGURE 16-3 Multidimensional Poverty Index of Six African Countries 61 FIGURE 16-4 Six African Countries: Overall Satisfaction with Life 62 TABLE 17-1 Image Acquisitions by Country 65 FIGURE 17-1 Landsat Web-enabled Monthly Statistics 66 TABLE 19-1 Daily Newspapers per 1,000 People 75 TABLE 19-2 Television Receivers per 1,000 People 75 TABLE 19-3 Radio Receivers per 1,000 People 75 TABLE 19-4 Internet Growth 2000-2010 76 TABLE 21-1 2010 Internet World Statistics 81 FIGURE 21-1 World Internet Penetration Rates by Geographic Region in 2010 82 FIGURE 21-2 The International Reach of the Internet2 Network 83 FIGURE 21-3 Sample Bandwidth for African Universities 84 FIGURE 31-1 The World’s Capacity to Store Information 121

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CONTENTS xv FREQUENTLY USED ACRONYMS BISO Board on International Scientific Organizations BRDI Board on Research Data and Information CERN European Organization for Nuclear Research CFRS Committee for Freedom and Responsibility in the Conduct of Science CODATA Committee on Data for Science and Technology GEOSS Global Earth Observation System of Systems HDI Human Development Index ICSU International Council for Science ICT Information and Communication Technology ICTP International Center for Theoretical Physics IPY International Polar Year IRDR Integrated Research on Disaster Risk NIMR National Institute for Medical Research NOAA National Oceanic and Atmospheric Administration NREN National Research and Education Networks OECD Organisation for Economic Co-operation and Development SDSS Sloan Digital Sky Survey TWAS The Academy of Sciences for the Developing World USGS United States Geological Survey WMO World Meteorological Organization xv

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