Promoting Open Science in Japan—Opening up a new era for the advancement of science—

March 30, 2015
The Expert Panel on Open Science, based on Global Perspectives
Cabinet office, Government of Japan1

Table of Contents

Executive Summary

Introduction
I. The Importance of Open Science
1. The global expansion of open science
2. International movements toward greater openness
3. The evolution of research styles in the era of open science
4. The core structural elements of open science
II. The Need to Promote Open Science, based on Global Perspectives
1. Building a platform for the creation of innovations through application and reuse of
the results of scientific research
2. Ensuring the quality and transparency of research results
3. The increasing role of the humanities and social sciences in promoting open science
4. The disadvantages to Japan of falling behind global trends
III. Response to the Global Trends in Open Science
1. Clarifying Japan’s basic posture and basic policies
2. Japan’s basic philosophy toward the promotion of open science
3. On policies for implementing open science initiatives at key institutions
4. Issues to consider in the promotion of open science
5. Open questions for future study
Conclusions

Appendices
Appendix 1. The current state of open science in Japan
Appendix 2. Developments in foreign countries
Appendix 3. Data repositories for research data and other resources in foreign countries
Appendix 4. The current state of open access (data) journals in the academic publishing worldAppendix 5. About the Committee to Investigate Open Science Based on International Trends
Appendix 6. Committee Members
Appendix 7. Committee Meeting Schedule
Appendix 8. Glossary of Terms
References

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Executive Summary
It is vital for Japan to participate in international
discussions and to demonstrate a proactive
approach to the promotion of open science. The
Expert Panel on Open Science based on Global
Perspectives has discussed various relevant
issues of immediate importance for Japan. Basedon these discussions, the Panel presented theguiding principles for promotion of open science inJapan.

Research community, and to the decline of Japan’sinternational competitiveness.
Japan should keep
pace with the global
advancement of open science in a collaborative yet also
strategic manner, so that the value of Japan’s latest
research and development activities can lead tobusiness activities at the next stage.

II. The Need to Promote Open Science

Open science may change scientific research. It will not
replace traditional research methods, but will add newtools that help to advance science. It will make research
results widely available in digital formats to all users
including the scientific community, industry and thegeneral public. This will enable additional value to be
extracted from science and technology information,
which will not only improve our knowledge, but will also
reform innovation strategies.
For the scientific community, the acceleration ofdata-driven activities is expected to lead to newcollaborations and to the prevalence of new researchmethods among researchers within the same
research discipline and beyond. Industry andindividuals are also expected to gain as they develop
new products and services as a result of better useof scientific result data.
Japan is a country that is poor in natural resources.
Therefore, to continue its sustainable development,
it is vital to keep creating new values by combining
science, technology and innovation. Open science
provides a framework for this combination, which is
why it is necessary to form a shared view on open
science among stakeholders.

I. The Importance of Open Science“Open science” refers to a new approach to promoting
innovation through knowledge creation in science andtechnology. This will be realized by facilitating access toand use of publicly funded research results such as
scientific papers and their underlying data by thescientific community, industry and the general public.
The concept of open science is spreading rapidly. At theG8 Summit held in June 2013, G8 Science Ministers
issued a joint statement that endorsed the need forincreasing access to publicly funded research, including
peer-reviewed published research and research data.
The statement triggered discussions in various forums
worldwide.
Meanwhile, Japan has not formulated its position on
open science and has to date held very few officiallyorganized discussions on research data.
Consequently, Japan may be unprepared for international
discussions on the future framework of open science. In
addition, in the absence of guiding principles, theinternational visibility of Japan’s science and technology
may be weakened, which may lead to the loss ofopportunities for Japanese researchers in the global

1III. Response to the Global Trend in Open Sciencethe management of research results.
In particular, they must prevent damage to or
disappearance of research results.

1. Guiding principles of the Japanese Government
The core principle of promoting open science in Japan
is to enhance the utility of publicly funded research,
including research papers and research data.
Stakeholders such as relevant ministries, funding
agencies, universities and research institutions should
be responsible for the implementation of open science,and for the formulation of implementation plans andpolicies. For their reference, common items andpoints of attention are listed below.
The Cabinet Office and the Council for Science, Technology
and Innovation will coordinate the promotion of open
science within the government and follow the progressof each stakeholder.

3. Implementing Policies at Relevant Institutions(1) General Principles
Plans and Policies on open science must containthe following elements:- a plan for reinforcing innovation and competitiveness- a transparent process for stakeholders- a method for locating and accessing digital data
resulting from publicly funded research- an approach for optimizing search, archival anddissemination of information- a plan for notifying publicly funded researchers of
their obligations (new guidelines, revision of
relevant regulations, etc.)- a strategy for evaluating and enforcing compliancewith the plan
- procurement of resources within the existing
agency budget to implement the plan
- the formulation of roadmaps for implementing
the plans- a plan for developing data infrastructure such as
repositories(2) Access to Scientific Papers
Open access should be promoted in accordancewith the Budapest Open Access Initiative of 2002.
Scientific results arising from publicly funded researchshould be stored for long-term preservation andaccessible by any users for search, retrieval and analysis.
(3) Access to Digitized Research Data
Different scientific disciplines have varying methods ofpreserving and sharing research data. This should beconsidered when providing public access to digitizedoutcomes of publicly funded research.
(4) Implementation of Open Science Plans
Each respective institution should publicize its open
science plans by posting them on its website. This
activity will be monitored by the Cabinet Office and theCouncil for Science, Technology and Innovation.

2. Basic View regarding the Promotion of OpenScience(1) Objective and Significance of Promoting Open Science
The results of publicly funded research containnew discoveries and insights that help advancing
areas such as health, energy, environment andagriculture. Improving access to these results will
make them better known and understood, andwill consequently lead to the generation of new
discoveries, research concepts, industries, as well as
reinforcing competitiveness, promoting global-scale
research, and boosting economic growth.
(2) Scope
The outcomes of publicly funded research, such as
published results and underlying data, should beaccessible, unless they interfere with personal privacy,
national security or direct commercial interests.
(3) Definition of “Publicly funded” and Scope of Research
Data“Publicly funded” refers to research funding raised by
the government or via an open call.
“Research data” includes meta data, numerical data,text records, images and visual data.
(4) Responsibilities of Institutions Engaging in Research
Each respective institution must formulate regulations on

Correlation diagram of policy making and implementation2

Introduction

Open science is a concept that includes the notions of open access and open data; the items to bemade open include results, data, and new knowledge findings from research activities, and theconcept as a whole is interpreted in connection to creation of innovation.
With regard to the accomplishments and data that serve as wellsprings for new innovations, in recent
years, many foreign nations—aided by information and communication technologies (ICTs) that enable
rapid digitization and sophisticated networking—have begun to extend the availability of sciencebeyond the traditional audience of researchers to a wider range of participants. In particular, themovement toward open science, which encourages the sharing and collaborative utilization of theresults of research supported by public research funds, has been especially prominent.
Generally speaking, science consists of the discovery of objective principles and laws governing natural
phenomena, and it is only through repeatedly systematizing and offering open explanations of theseprinciples that the field can advance. One particularly dramatic advance in the establishment of theopen science paradigm was the 15th century communication revolution made possible by the printingpress. By enabling the production of large quantities of printed material, the printing press madepossible the efficient recording and communication of research processes and methods; this led to theformation of a scientific community and the gradual accumulation of carefully selected wisdom andinformation. In the 17th century, the Royal Society of London began publishing its PhilosophicalTransactions, which enabled the rapid announcement of research results and sharing of data. In the
19th century and the years that followed, the increasingly fine-grained specialization of science
ensured that the field became deeper as it developed. Some have begun to point out that science
today is facing an era of transition in terms of both quantity and methodology, and that the resources,
including research funding, that society as a whole can allocate to science are nearing their limits.
Moreover, the development and spread of ICTs, in contrast to paper media, have made it possible toaccumulate large quantities of information, which can be searched and retrieved instantaneously via
the Internet. By incorporating analytical tools, the nature of research methods has undergone
dramatic change. These developments have brought about an epochal transformation in the pathways
to scientific discovery, and methods for erecting knowledge continue to expand and diversify. The
traditional notion of the journal paper as the primary means by which research results arecommunicated, a tradition which began in the 17th century and endured for over 300 years, is also
undergoing transition. Changes in scientific methods and the environment surrounding science havebegun to change the very framework of scientific research activities, ushering in an era of worldwide
revolution in scientific communication. It is within this period of transitional foment, bridging the prenetwork practice of science with the future practice of science in an open and networked world, thatthe concept of open science has arisen as a process for the creation of new knowledge.
Within this open science paradigm, we can look forward to the efficient production of new value that
follows from exploiting, in ways that transcend boundaries between both scientific fields and nations,
results and data from research that has newly been made open thanks to the rapid development of
ICTs. Moreover, by increasing access to the results of research (including publications and data sets),
we can look forward not only to ripple effects throughout the scientific research system, but also,
more broadly, to a stronger innovation system permeating society as a whole.
The increasingly widespread nature of the notion of open science—an idea which might truly be said
to represent a paradigm shift in the sciences—has already exerted significant impact on theinternational discussion surrounding the question of the openness of the scientific enterprise. In
particular, at the meeting of G8 science ministers convened in the U.K. in June 2013, a joint statement3

called not only for the transition of scientific papers to an open-access format, but also for a transition
to the open availability of research data, an event which only accelerated the pace of global discussion.
In particular, the pace of discussion surrounding the open availability of research data has accelerated
in multiple ways: in some foreign countries, agencies responsible for the distribution of research funds
have begun clamoring for the results of research conducted with public funds to be made publicly
available, while large numbers of researchers from nations around the world now participate ininternational forums for discussing issues related to open access and open data.
However, to date, Japan has never had a unified, clearly articulated perspective toward open science.
In particular, there has been almost no organized debate in Japan regarding research data.
With discussions of scientific openness proceeding apace worldwide, Japan must become a world
leader in developing strategies, even within collaborations that enable the new value being created byresearch activities in Japan to be connected to the next stage of enterprise activities. If the present
situation continues with no clear activity or demonstration of intent from Japan, then Japan runs therisk of missing an opportunity to participate in the debate, perhaps resulting in the establishment ofde facto international standards within which Japan’s only role is to be a unilateral provider of data. In
that case, the transition to an open world may simply proceed around us, with no consideration ofJapan’s particular situation. Taking this to its logical conclusion, if, within the establishment ofinternational partnerships, there is no progress toward the sharing of data that truly needs to beshared, Japan may be excluded from participation in the types of research that are promoted on a
global scale. Japan’s international competitiveness will then plummet, and accordingly, global
recognition of Japanese science and technology will fall. This is a bleak prospect that should concern
us all.
For these reasons, it is essential that several steps be taken. First, personnel involved in science andtechnology policy must establish a common, shared sensibility, based on a global outlook, fordistinguishing the types of research data that should be made open from those that should not. Then,based on the unique characteristics of various fields of research, we must further the status of fruitful
discussions within Japan, organize Japan’s basic posture and basic policies, participate in the circle ofinternational debates, and make Japan’s presence known. In this spirit, the present report summarizes
the results of work by the Committee to Investigate Open Science Based on International Trends toinvestigate the initiatives that Japan should immediately move to implement.

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I. The Importance of Open Science
1. The global expansion of open science
Open science is a new paradigm for the advancement of science. This paradigm calls for the results(including publications and research data) of any research conducted using public funds to be madeeasily accessible to, and available for use by, not only the full scientific community but also theindustrial world and society at large. In addition to blazing new trails toward the creation of new
knowledge, the paradigm aspires to effectively achieve methods for promoting science and technology
research that lead to the creation of innovation. In recent years, the notion of open science has begun
to spread rapidly around the world.
Open science is an approach to modern science borne by marrying the traditional notion of openness,
namely, the open availability of publications, to the myriad ICT tools that have revolutionized society
as a whole. The concept is important for any policymaker seeking to promote long-term research andinnovation in science and technology.
The notion of open science has the potential to enact a major transformation in the long-standing
habitual way of thinking, which holds that research is based on the individual brainstorms of individual
researchers, and, while its results are to be made public in the form of journal papers, the actual data
underlying the journal papers are the intellectual property of the researcher, who owns it.
An additional possibility brought forth by the spread of open science is the notion that citizen scienceis important and must be recognized. Although this report will not address this topic in detail, theopen flow of information encourages the citizenry to participate in scientific research; this not only
improves scientific literacy among the Japanese population, but also gives rise to new researchmethods and new discoveries made possible by the participation of large numbers of citizens; thispoint deserves careful attention.

2. International movements toward greater openness
Organizations such as the G8, the Organisation for Economic Co-operation and Development (OECD),
the Global Research Council (GRC), and others have argued that publications and other results ofpublicly funded research should, by default, be public, and that data should be open as well, within
feasible limits.
We must take steps to respond to these developments. For example, we should increase the numberof exemplary situations that can serve as models to demonstrate the benefits of open access. At thesame time, paying due heed to international competition, we should take pains to distinguish suchcases from situations in which public availability can have harmful repercussions.

3. The evolution of research styles in the era of open science
Inspired by the cultures of globalization and information sharing and enabled by the astonishingprogress of ICTs, open science is a new wave of thinking that is now seeping into the scientific world.
This will inevitably bring about changes to traditional systems and styles for conducting research.
In traditional research, the production of knowledge proceeded in accordance with a system of finely
specialized disciplines. The attributes of research that were emphasized and evaluated included5contributions to the systematization of knowledge within disciplines, academic sophistication, andoriginality. A style of research with the following key pillars was developed and entrenched: (1) theestablishment of priority (announcement of research results); (2) the consolidation of science; (3)validation by third parties (peer review); and (4) the responsibility of the author to explain the work.
In contrast, modern science has experienced significant changes—spurred by the development andspread of ICTs, and accelerated by the progress of the Internet—to both the style and content ofresearch. Huge quantities of condensed data form the basis of scientific experiments and research,and the Internet has driven the appearance of a new approach to the production of knowledge inwhich “research data” is applied and reused in ways that transcend boundaries between specialized
fields. We have witnessed a paradigm shift from old-fashioned notions of open access—typified by
the disclosure and communication of results via journal papers—to a new world that emphasizes the
opening-up of the research process itself, including open access to research data and other results.
The creation of knowledge has accelerated in a way that transcends barriers between both individual
researchers and specialized fields, and new styles of collaborative research and research methods aretaking shape. As a result, we can look forward to the birth of new research paradigms and new
intellectual discoveries that would have been unimaginable within the research style of the past.
Moreover, as the research process is rendered increasingly transparent, we can anticipate newsources of research funding made possible by greater understanding and broader scientific awarenessamong society as a whole.

Figure: The evolution from open access to open science

4. The core structural elements of open science(A) Open AccessIn this section, we offer a brief description of the two key ingredients that play a central role inpromoting open science: open access and open data. We discuss the fundamentals of these two
philosophies and survey the present status of their adoption around the world.

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(i) The basic notion of open access
One definition of open access is that given by the Budapest Open Access Initiative (BOAI) in April 2002:“By ‘open access’ to peer-reviewed research literature , we mean its free availability on the public
internet, permitting any users to read, download, copy, distribute, print, search, or link to the full textsof these articles, crawl them for indexing, pass them as data to software, or use them for any otherlawful purpose, without financial, legal, or technical barriers other than those inseparable fromgaining access to the internet itself.”
Some background behind the origins of the open access movement(a) The serials crisis
The serials crisis refers to the inexorable rise in the cost of academic journals, due to a complex
interplay among various factors, that has made it difficult for university libraries and other research
institutions to continue to allocate the resources necessary for journal subscriptions, denying
researchers the freedom to publish their results and access those of others. Factors contributing to theserials crisis include: (1) the global increase in the number of journal articles; (2) the peculiarities of amarketplace in which there is often only one provider for a given need, ensuring the absence ofcompetition; (3) the fact that the publication of academic journals—the forum in which researcherspresent their research—depends on the commercial publishing industry; and (4) the fact that theconsumers (researchers) and purchasers (libraries and similar institutions) are two different sets ofpeople, giving rise to a moral hazard in which users who do not directly bear the burden of costs
create a usage environment characterized by excessive demand. One particularly prominent
illustration of the crisis posed by this situation is furnished by a 2012 report prepared by the steeringcommittee of the Harvard University Libraries. Harvard University was concerned by the fact that
subscription fees for online journals from two publishing companies rose 145% between the years
2006 and 2012; the report proposed that the best policy for defusing the serials crisis was to switch toonline open-access journals.
The serials crisis has also provoked a response from Japan in the establishment of JUSTICE (the Japan
Alliance of University Library Consortia for E-Resources), an organization whose goal is to ensure thestable ongoing provision of and access to electronic journals and other academic information forJapanese universities. Other movements in this direction include “An Urgent Appeal for a
Reorganization of the Access Environment for Electronic Journals,” a set of three proposals issued by
the Bussei Group (Material Properties Group), an organization in the field of material physics, that
include a call for the establishment of new information access systems.
(b) Advances in the digital environment and the increasing range of information transmission
Thanks to the development of the Internet and the resulting transition to electronic formats foracademic journals, the threshold cost for communicating scientific and technological information is
falling ever closer to zero, creating an environment in which the results of research can be readilyshared with the entire world. Cases in which researchers distribute articles through their own
personal websites have also begun to increase.
(ii) Expanding conceptions of open access: From journal articles to data and other research results
Open access has developed into a set of ideas that extend far beyond the background issues that
motivated the original discussion. A vast expansion in the opportunity to access research concepts
spanning a broad range of disciplines has stimulated efforts to find common ground between
disparate fields of research, thus ushering in an increasing diversity of scientific research; these7

developments are widely anticipated to spur the creation new innovations and new industries basedon the results of publicly funded basic research. Thus, the growth of the open-access paradigm has
proceeded in tandem with the development of ICTs, enabling access to the results of research not
only in the form of electronic journal articles, but also in actual data. As we witness the formation of ashared intellectual platform on a global scale, we can look forward to developments in research andthe creation of innovations that would have been simply unimaginable in a previous era.

(B) Open Data(i) The transition to open availability of administrative data and research data
In the past, activities related to open data were frequently interpreted as public disclosures ofadministrative data and other data possessed by governments. In this report, we consider a topic thatis separate from the openness of administrative data, namely, the openness of research data. In
contrast to the former subject, which is sometimes known as open government, the openness of
research data is an area involving judgments to be made by researchers, experts, and the scientificcommunity regarding questions such as the benefit and harm to scientific research activity andcertain decisions regarding the handling and fine points of data relating to research applications. Thus,in establishing Japan’s basic policies, we must conduct our investigations with a clear understandingof the differences between the openness of research and government data.
(ii) 5 principles for an open data infrastructure
These principles were agreed upon by the Group of Senior Officials positioned within the G8.
(a) Discoverable
All required data (or data sets) should be easy to find with the most widely used search methods ofthe day.
Specific technical steps include: Implementation of appropriate persistent identifier frameworks
 Adoption of descriptive metadata standards
 Appropriate data formats
 Data taxonomies
 Metadata searching and expert APIs (application programming interfaces)(b) Accessible
Research data should be made openly available, subject to constraints that ensure ethical, legal, andcommercial protections. Users of accessible data are obligated to clarify the source of the data in thesame way that citations from articles or other sources would be acknowledged. These citations record
the contributions of research data. Users of data may be required to agree to terms of use or licenses
associated with particular data. Examples include consideration of the protection of privacy of humansubjects, preservation of intellectual property, or agreement to an embargo approach. In addition, as
citations for research data, preparations must be made to specify landing pages and data identifiers;
these must follow international standard specifications such as those that apply to Digital Object
Identifiers (DOIs).
(c) Understandable
A set of numbers, texts, pictures or even videos alone cannot be understandable without additional
context, semantics, data analysis tools, and algorithms. Observational and experimental data must be
accompanied by metadata specifying the conditions under which the data was generated (time,8location, observational equipment, experimental procedure). With regard to data quality, a set ofrules must be established to ensure the integrity and provenance of the data throughout the entire
process, from the creation of the data to its public release. These rules should be broadly recognizedwithin the field of research appropriate for the data in question.
(d) Manageable
In order for research data to be managed in an efficient and effective manner, data management
policies and plans must exist for all data at both project and institutional levels. Making research data
available in a form that can be effectively used by others requires considerable and continued efforts
over and above those that are necessary to undertake the primary research itself. Data management
policies and plans must make clear who is responsible for maintaining the availability of data and how
the associated costs are to be met; these policies must also address issues associated with curation,
storage, and services. Plans and processes that consider the full range of potential uses for the data ina cross-disciplinary context must also be in place, and data with acknowledged long-term value must
be preserved and remain usable for future research.
(e) People
A global approach to research data infrastructure such as that described above requires a highly
skilled and adaptable workforce and organizational culture that is able to capture the available data
and make it available to those that are able to use it appropriately. Specialized data custodians who
can work across complex data sets and with diverse data protocols are also needed, as are changes in
the culture of research data management within the research community.
Source: White Paper: 5 Principles for an Open Data Infrastructure Draft v2.0, 21 May 2013: G8 Global
Data Infrastructure WG(iii) The significance and objective of electronic administration of open data
The significance and objectives of electronic administration of open data in Japan are as follows.
 Improved transparency and reliability
When public data are provided in a form suitable for secondary use, the Japanese population, either
independently or through private-sector services, will be sufficiently well informed to allow analysis
and decision-making regarding government policy and other matters. This will increase thetransparency of and enhance the trust in government among the population.
 Progress in citizen engagement and cooperation between the public and private sectors
As the utilization of public data via wide-area channels develops, data sharing between the public andprivate sectors will increase. This will promote public-private cooperation to provide public services,
as well as the creation of new private-sector services using the information provided by thegovernment. As a result, we will see the rapid and efficient provision of a wide variety of public
services utilizing creative innovations. This will allow an optimal response to a variety of challenging
circumstances facing Japan, including difficult economic circumstances, the diversification of values
and needs in a variety of areas, and the increasing sophistication of information and communication
technologies.
 Stimulating economic activity and administrative efficiency
The provision of public data in a form suitable for secondary use will stimulate the creation of avariety of new businesses, and make corporate activity more efficient, at various stages in themarketplace, including the compilation, processing, and analysis of data; this will stimulate Japan’s
9economy as a whole. Moreover, when national and regional governments use public data to conduct
analyses of policy decisions, more efficient and sophisticated administration can be expected.
Source: e-Government Open Data Strategy (Ratified on July 4, 2012, by the Strategic Headquarters for the Promotion of an
Advanced Information and Telecommunications Network Society)

Criteria for using the term “Open Data”
1) Data exist in formats appropriate for machine reading
2) Data released in accordance with usage rules allowing secondary use
The Five Stages of Open Data (Source: XX) and Data Formats
Stage

State of public availability

Example data
formats

Reference: Linked Open Data 5star

1

Data released from thesource of the open license

PDF, JPG

OL -- Open License (accessible bycomputer; readable)

Publicly released
Documents for humanComprehension (noteditable)

2

Stage 1 + release of datathat may be processed bycomputers

XLS, DOC

RE -- Readable (Human andMachine) (Data may be edited by acomputer)

Publicly released
documents (editable)

3

Stage 2 + release of data
allowing open use

XML, CSV

OF -- Open Format (applicationindependent format)

4

Release of data in webstandard formats (such as
RDF)

RDF, XMLURI -- Universal Resource Identifier(Unique resources; web links)

5

Data are released with thepossibility of externalinterface to Stage 4

LoD, RDF,
SchemaLD -- Linked Data (Searchable;
conforms to rules for merging
information between data sets)

Publicly released data
In machine – readable
Formats

The 5 Stages of Open Data
Source: Prepared with reference to the Open Data site (http://5stardata.info/) and the website of Tim Berners-Lee
regarding linked data (http://www.w3.org/DesignIssues/LinkedData.html).

10II. Japan Must Respond to International Developments by
Promoting the Paradigm of Open Science
Open science is a concept with the potential to bring about a major transformation in the traditionalframework of scientific research activity. Still, this will not be a replacement for the research methods
used in the past; instead, traditional methods will be complemented by a new set of researchtechniques that will enable new scientific progress.
By making the results of research widely available in digital formats to all users, including the scientificcommunity, the industrial world, and the general population, open science will allow scientific andtechnological information to be put to use in new ways. Moreover, the ensuing ripple effects will not
be limited to the processes by which knowledge is created, but will extend further to revitalize theinnovation system throughout society as a whole.
Within the scientific community, we can anticipate an acceleration of data-driven initiatives thattranscend the boundaries between both individual researchers and fields of research; this will lead tothe diffusion of new collaborations and new research methods. In turn, we can look forward to thebirth of new products, new services, and new markets that arise when corporations and individual
citizens apply and reuse the results of scientific research.
In particular, for nations such as Japan that lack plentiful natural resources, it is essential to design anenvironment in which the scientific and technological innovation can lead to a constant production of
new value in order to ensure an ongoing continuation of sustainable progress. We must seek a sharedrecognition among all stakeholders that the promotion of open science is a crucial element in theinfrastructure underlying such an environment, and we must design a framework for promoting open
science on the basis of this recognition.

1. Building a platform for the creation of innovations through application
and reuse of the results of scientific research(1) If changes in the traditional framework of scientific research activity lead to increased access toscientific data, the efficiency and productivity of scientific research will improve. As the sharing(consolidation) of data proceeds, there will be greater opportunity for participation in the
research process both within and outside of Japan, enabling more complex and varied researchthan what would have been possible through traditional initiatives. We must design a framework
for ensuring that these effects are effectively realized. In addition, to ensure that future
generations of researchers avoid repeating the research of the past, we must build a platform forthe application and reuse of the results of scientific research, including articles and research data.
(2) Even without a direct connection to the producers of research data, the application of those data
to other areas of research may be stimulated (pioneering new fields of research) by publicannouncement of the existence of data. We must create a framework in which suchannouncements lead to the creation of new knowledge and innovations.
(3) We must build platforms that enable all users to apply and reuse data produced as the fruit ofresearch activity, either by making it easy to discern the location of the data or by improving
situations in which the data are inaccessible (after the end of a project).

11(4) We must design platforms for collecting and storing data that improve on the present situation, in
which the departure of an important researcher from a workplace or from a project often leaves
behind no successor who can understand and maintain valuable data, whereupon the data are
ignored or destroyed.
(5) We must design a framework for ending the serials crisis, that is, for improving the current
situation in which access to research results (articles) has become difficult at many universities
and similar institutions due to the skyrocketing cost of subscriptions to online journals.
(6) To stimulate innovation, it is essential to train personnel capable of solving problems and to treat
the newest knowledge and data in other fields, together with the latest research findings, on acomprehensive, unified footing. To this end, from the perspective of personnel development, thedesign of foundational platforms for sharing results and data must be considered an essential
imperative for Japan’s future.

2. Ensuring the quality and transparency of research results(1) We must acknowledge the simple fact that the increasing complexity and specialization of scienceand technology has made it difficult to attract understanding and support from society as a whole.
We must design systems for making the results of research publicly available as a means of
ensuring societal trust.
(2) We must acknowledge the possibility of avoiding problems such as the inability of future
generations, working in eras at which science and technology have progressed further, to confirm
or falsify past results. For this purpose, it is essential to build platforms capable of providing longterm storage of articles and research data.
(3) The open disclosure of articles and research data is also important from the standpoint ofpreventing research improprieties. We must take steps to ensure the transparency and fairness ofscientific and technological progress, as well as research activities.

3. The increasing role of the humanities and social sciences in promoting
open science
Japan’s Fourth Science and Technology Basic Plan calls for a “unified rollout of science and technology
innovation policies” that would advance scientific and technological policies and policies to promote
innovations related to science and technology in a unified manner. Moreover, as the relationship ofscience and technology to society becomes increasingly intimate, it is essential to view scientific andtechnological innovation policy as but one piece of social and public-interest policy as a whole. These
policies must be advanced with the understanding and trust of the citizenry, based on broad
participation from the general population. To this end, we must carry out the planning, enactment,
and promotion of policies based on objective evidence, such as steps to make the societal effects andinfluences of scientific and technological innovation more visible, therefore ensuring a morereasonable policy-formation process. Moreover, we must accept a higher level of responsibility for
explaining things to the nation’s population.
From this perspective, one way to promote open science is to encourage research by scholars in thehumanities and social sciences on the problems surrounding the relationship between science andtechnology and society, including science and technology for the benefit of society and science and12technology as part of society. We can expect such an initiative to lead to active intervention efforts
based on the results of this research.

4. The disadvantages to Japan of falling behind global trends
Although Japan has seen some initiatives toward open access to journal articles, to date, there has
been inadequate organized discussion surrounding research data; this may lead to some unfortunate
consequences for Japan. If Japan is to retain its authority as a communicator on the international
stage, it must actively seek collaborations with foreign countries, such as the nations of Europe, North
America, and Asia, while retaining its unique strengths. We must be aware of the fact that, if Japan’sscientific community falls behind the curve on open science, Japanese researchers may be left behind,leading to a decline in the quality of Japanese science as a whole. If Japan does not demonstrateadequate compliance with the transition to open research data, the sharing of research data whichrightly deserve to be shared will be impeded; in this case, Japan will be unable to participate inresearch pursued on a global scale, resulting in negative consequences such as a decline in Japan’sinternational competitiveness. If this happens, the achievements of Japanese researchers will not beproperly reflected on the international stage, and Japan may be left behind by the rest of the world,
ensuring a decline in international awareness of Japanese science and technology.

(A) Disadvantages of failing to advance the paradigm of open science(i) Deleterious impacts on global-scale research
If Japan does not demonstrate adequate compliance with the transition to open research data, thesharing of research data which rightly deserve to be shared will be impeded; in this case, Japan will be
unable to participate in research pursued on a global scale, resulting in negative consequences suchas a decline in Japan’s international competitiveness. If this happens, the achievements of Japanese
researchers will not be properly reflected on the international stage, and Japan may be left behind by
the rest of the world, ensuring a decline in international awareness of Japanese science and technology.
(ii) Deleterious impacts on the efficiency of research activity in Japan and on Japanesecommunication with the rest of the world
If Japan is unable to demonstrate clear intentions regarding basic policies and other measures, thenthe formation of de facto standards for the transition to open science will be driven by foreigncountries, which may result in disadvantages for research activities in Japan, as well as forinternational communication.
(iii) Japan’s descent into invisibility on the world’s stage
As the transition to open science proceeds worldwide, and the bidirectional exchange of publishedresults and data becomes increasingly active, research that remains closed off within Japan may
experience a relative decline in importance.
Consequently, the achievements of Japanese researchers may not be properly appreciated, andJapanese researchers may lose opportunities for overseas research and international researchcollaborations.

(B) Ramifications for Japan as seen in the key features of the RDA (Research Data
Alliance) discussions
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The RDA has been a global leader of discussions regarding the openness of research data. Japan must
not only familiarize itself with the latest developments in these discussions, but also take steps toclarify the basic Japanese positions on these matters. We must join the circle of discussions andestablish our nation as a participant whose footing is equivalent to that of other nations.
(i) Key features of RDA discussions(a) They proceed rapidly.
Working groups established within the RDA are expected to produce results, such as the preparationof technical papers summarizing their recommendations, at intervals of 12-18 months.
(b) They have significant ripple effects.
The discussions include participation from U.S. and European Commission, Australia, the U.K., Canada,
the International Council for Science (ICSU), various government institutions, various internationalorganizations, universities, and other groups.
(This was also reported at a meeting of G8 science ministers)(c) Disadvantages and risks of non-participation by Japan
Discussions in the direction of forming de facto global standards are proceeding at an accelerated
pace. At present, input from Japan is not being adequately incorporated into this process.
(ii) Ramifications for JapanFor areas and technologies for which discussions are not conducted outside of the RDA, the findingsof RDA investigations are used as highly influential inputs for the rule-making process, and have a highlikelihood of becoming effective rules. If, outside the RDA, there is no forum for investigation, the RDA
effectively controls discussions in the relevant areas, and may become the de facto rule-maker.

14III. Japan’s Response to International Developments in Open Science
1. Clarifying Japan’s basic posture and basic policies
The basic posture of open science promotion in Japan is to expand the promotion of the applied useof the results of publicly funded research, including articles and research data. To this end, allstakeholders, including government agencies, funding institutions, universities, and other research
institutions, must bear responsibility for both implementing open science initiatives and formulating
policies and plans for its implementation. In this process, the common points and issues worthy ofnote will be clarified as the basic policy regarding open science. Stakeholders such as government
agencies must carefully select areas and projects in which open science should be promoted, andthen take pains to incorporate the viewpoints of experts, researchers, and engineers in individual
fields of research regarding questions such as the benefits and harms of scientific research activities
and decisions regarding the handling and fine points of research applications. The objective must be
to maximize activity and research results within each area, and for this purpose, open science
implementation policies must be established. With regard to the promotion of open science, theCabinet Office and the Council for Science, Technology, and Innovation, working through thegovernment as a whole, can play a core role as a standard bearer, monitoring the status of eachstakeholder’s progress.

Figure: Schematic diagram depicting the applied use of research results and the promotion of open science15

2. Japan’s basic philosophy toward the promotion of open science(A) The significance and objectives of open science promotion
Research supported by public research funds has produced new discoveries and insights that lend
strong impetus to progress in many fields, including medicine, energy, the environment, andagriculture. Providing access to the articles and research data that emerge from this publicly funded
research can promote greater understanding of those results, inspire new discoveries based on theirreuse, and accelerate the pace of innovation and the creation of new research paradigms. This will
stimulate the creation of new industries, strengthen competitiveness, and contribute to promoting
the causes of research and economic growth around the world.

(B) The range of public disclosure to be promoted by open science
Among the results of publicly funded research, published results and underlying data that serve as
evidence for the findings of those published results shall, by default, be publicly disclosed. It is
desirable for all other research data obtained as the results of research and development activities tobe made public as well, to the extent that this is possible. This will promote data access and data
sharing among researchers, universities, and other research institutions both inside and outside Japan,
enabling all users to freely apply and reuse the results of research and the creation of new knowledge
and value.
Among the results of research considered here, items that are to be considered as not subject to the
public disclosure imperative include the following: (a) items related to confidentiality, corporate
secrecy, national interest or national defense; (b) data collected for the purposes of commercializing
or industrializing research results; (c) data possessed by private sector corporations; and (d) the
results of research conducted under collaborative research agreements for which disclosure
restrictions exist.
In addition, we must design restrictions on the access and use of data that accommodate personalprivacy protections and the protection of results for which property rights exist.

(C) The definition of “publicly funded research” and the scope of research data
subject to public disclosurei) The definition of “publicly funded research”
We will define “publicly funded research” to mean research supported by competitive research funds
or research funds subject to a public application process. This definition also includes research
activities that employ 100% utilization of operational funding grants provided to independentadministrative organizations, national universities, or other institutions by the national government.
ii) The scope of research data subject to public disclosure
Research data shall be deemed equivalent to original articles or other results of research anddevelopment activity. Research data subject to public disclosure include metadata, numerical data,text records, images, visual data, and various other types of data. By default, the following items are
not included: research notes, preliminary analyses, drafts of articles, future research plans, private
communication with colleagues, physical items (laboratory samples, bacteria strains, experimental
animals), and any items for which disclosure is conditional upon agreements with affiliatedinstitutions.
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