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2 | This content is made available by SPARC under a CC0 waiver. See cell A28. | ||||||||||||||||||||||||||
3 | For corrections, email nick@sparcopen.org | ||||||||||||||||||||||||||
4 | Principles and Implementation Approach | The AHRQ Public Access Policy promotes the following objectives: 1. Establish AHRQ's commitment to public access to scientific research results. 2. Ensure that the public can read, download, and analyze in digital format final published documents. 3 Facilitate easy public search, analysis of and access to peer-reviewed scholarly publications directly arising from research funded by AHRQ. 4. Ensure full public access to publications' metadata without charge. 5. Ensure the attributes to authors, journals, and original publishers are maintained. 6. Ensure that publications and metadata are in an archival solution. 7. Ensure that all extramural researchers receiving AHRQ grants, cooperative agreements, and contracts for scientific research and intramural researchers develop data management plans, as appropriate, describing how they will provide for long-term preservation of and access to scientific data in digital format. 8. Ensure the expedited translation of research results into knowledge, products, and procedures to improve health. 9. Facilitate the education of new researchers and enable the exploration of topics not envisioned by the initial investigators. 10. Permit the creation of new datasets when data from multiple sources are combined. (Section 1) | The ASPR Public Access Plan will: 1. Facilitate easy public search, analysis of, and access to peer-reviewed scholarly publications directly arising from research funded by ASPR via PubMed Central (PMC), as described in the National Institute of Health Draft Plan for Increasing Access to Scientific Publications and Digital Scientific Data from NIH Funded Scientific Research (NIH Plan) and no later than 12 months after publication. 2. Ensure full public access, via PMC and the NIH’s abstract and metadata service, PubMed, to such publications’ metadata without charge, in a data format that ensures interoperability with current and future search technology and to the full text via publisher-supplied links to the publisher site and a link to the PMC version when available, as described in the NIH Plan. 3. Ensure that attribution to authors, journals, and original publishers is maintained 4. Ensure the use of archival methods that provide for long-term preservation and access topublications, research data, and metadata, in formats consistent with Section 508 of the Rehabilitation Act of 1973. The metadata for scientific data will include, at a minimum, the common core metadata schema in use by the Federal government, found at https://project-open-data.cio.gov/. (1) | CDC believes the sharing of peer-reviewed research publications generated with CDC support will advance science and improve communication of peer-reviewed, public health-related information to scientists, public health and health care providers, policy makers, educators, and the public. The publication public access plan is intended to: 1) create a stable archive of peer-reviewed research publications resulting from CDC-funded research to ensure the permanent preservation of these vital published research findings; 2) secure a searchable compendium of these peer-reviewed publications that CDC and its awardees can use to manage more efficiently and to better understand their research portfolios, monitor scientific productivity, and help set research priorities; and 3) make published results of CDC-funded research more readily accessible to scientists, public health and health care providers, policy makers, 9 educators, and the public. The goal of publishing by CDC is to allow as many people as possible to read and use the science it produces. Providing free access to CDC publications increases the distribution and use of the publications. This increases the return on investment of the federal funds used to perform the research and publish the results. (Section II, A) | Through the approach described in this proposed plan, DoD intends to promote the following objectives: 1. Establish DoD’s commitment to public access to scientific research results. 2. Support governance of and best practices for managing scholarly publications and digitally formatted scientific data across the DoD. 3. Ensure effective access to and reliable preservation of DoD scholarly publications and digitally formatted scientific data for research, development, and education. 4. Preserve and increase the use of research results to enhance scientific discovery. (1) | In short, by providing public access to peer-reviewed scholarly publications and digital data, ED believes it maximizes the potential for creative reuse of research to enhance value to all stakeholders; avoids unnecessary duplication of research; and maximizes the impact of the Federal research investment. (1.0) | The Department proposes a model for ensuring public access to unclassified and otherwise unrestricted scholarly publications resulting from DOE funding that provides the public with access to the best available version of the article. The proposed model will enhance innovation and competitiveness for science- and research- driven businesses and other entities that drive the U.S. economy by increasing their access to the results of publicly-funded research. Under this proposal, the best version of the article is the VoR hosted by the publisher. In cases where this is not publicly accessible, the Department will provide access to accepted manuscripts in publicly accessible repositories. Specifically, DOE’s Office of Scientific and Technical Information (OSTI) will maintain a repository of accepted manuscripts and can make individual, unclassified and otherwise unrestricted manuscripts publicly accessible if there is no other publicly available version. (Public Access to Scientific Publications) | This plan establishes objectives to ensure public access to Publications and Digital Data Sets arising from DOT-managed research and development (R&D) programs. This plan promotes the following objectives: 1. Affirm and enhance DOT’s commitment to Public Access to Scientific Research results, including digitally formatted scientific data without charge to the maximum extent possible. 2. Support governance of and best practices for managing Public Access to peer-reviewed Publications and Digital Data Sets across DOT. 3. Ensure continuous access to and reliable preservation of DOT-funded Publications and Digital Data Sets for research, development and education purposes, within available resources. 4. Preserve and increase the use of Scientific Research results to enhance scientific discovery and deployment of research results. 5. Enhance the use of Scientific Research results to promote innovation and economic competitiveness. 6. Affirm DOT’s support for the reproducibility of Scientific Research results. 7. Make DOT’s research portfolio available to the public at the project level. (1.0) | Public access to the results of FDA-funded scientific research furthers the agency’s public health mission.The broad availability of scientific information and underlying data allows for the critical review, replication, and verification of findings that are central to the scientific method. Making research findings and the digital data supporting those findings accessible and analyzable promotes robust and open communication with the scientific community thereby bolstering the credibility of scientific findings and the regulatory decision-making based upon those findings. The availability of agency scientific information advances public health by sparking scientific discovery, including prompting the scientific community to address critical challenges in medical product development. Facilitating the free flow of information underlying the agency’s decision-making and advances in regulatory science, to the extent permitted by law, allows the public, Congress, media, and industry to better understand FDA’s decisions and the scientific basis for its regulatory decision-making. (I) | NASA’s strategy has led to an implementation that (1) is responsive to the memorandum and truly useful; (2) incorporates flexibility to take advantage of ongoing developments in publishing, research literature utilization, and mass information access; and (3) minimizes both cost and risk. (Part B, 1.2) | The NIH Public Access Policy ensures that the public has access to the published results of NIH-funded research. It requires scientists to submit final peer-reviewed journal manuscripts that arise from NIH funds to the digital archive PubMed Central (PMC) upon acceptance for publication. Scientists can also deposit papers through partnerships NIH has established with publishers. To help advance science and improve human health, the Policy requires that NIH supported papers are accessible to the public on PMC no later than 12 months after publication. (Executive Summary) | To the extent feasible and consistent with law, agency mission, resource constraints, U.S. national, homeland, and economic security, and the objectives listed below, NIST intends to make freely available to the public, in publicly accessible repositories, all peer-reviewed scholarly publications and associated data arising from unclassified research and programs funded wholly or in part by NIST. (1) | The following core principles apply to the NOAA plan: 1. Publications and environmental data funded through taxpayer dollars will be made publicly accessible in a timely fashion. 2. In the case of articles published by limited-access journals, NOAA will require an embargo period of no more than 12 months prior to free public access, consistent with guidance from OSTP. 3. Additional paperwork, administrative hurdles, and reporting requirements for researchers creating data or publications will be minimized. 4. Existing activities, systems, and approaches will be leveraged and reused to minimize duplicative, incompatible, or wasted effort. (1) | NSF will implement its public access requirements in stages. In the first implementation, the following products of NSF-funded research are in scope: 1. Articles in peer-reviewed journals in which the research is funded wholly or in part by NSF through new awards resulting from proposals submitted, or due, on or after the effective date of the NSF Proposal & Award Policies & Procedures Guide (PAPPG) that will be issued in January 2016 (January 2016 effective date). 2. Papers accepted as part of juried conference proceedings in which the research is funded wholly or in part by NSF through new awards resulting from proposals submitted, or due, on or after the January 2016 effective date. 3. Articles in peer-reviewed journals and juried papers accepted as part of conference proceedings authored entirely or in part by employees of NSF and by Intergovernmental Personnel Act assignees to NSF on or after the January 2016 effective date. (2.0) | This plan provides a framework for the sharing of FFRM [Federally Funded Research Materials] and promotes the following objectives: 1. Reaffirm the Smithsonian’s commitment to increasing public access to FFRM to enable the public to read, analyze, and download such FFRM. 2. Support the governance of and best practices for managing FFRM across the Smithsonian. 3. Ensure effective access to and reliable preservation of FFRM for research, development, and education. 4. Preserve and increase the use of FFRM to enhance discoveries. (2) | The USDA adopts a systematic approach to develop and implement a public access policy for scholarly publications that includes: 1. Establishment of an iterative process of policy design, planning, implementation, evaluation/impact assessment, and policy redesign. 2. Working in full and open consultation with stakeholders, including other federal organizing bodies, to maintain and improve this public access policy. 3. Establishing a file download monitoring mechanism, enforcing a practical file download limit, and posting appropriate fair use policies to help prevent, to the extent feasible, the unauthorized mass redistribution of scholarly publications. (II.A) | The results of USGS research, generally released in the form of publications, maps, data, and models, are used by policymakers at all levels of government and by the private sector to support appropriate decisions about how to respond to natural risks and manage natural resources (1.0). Since its establishment in 1879, the USGS has had a firm commitment to providing public access to scientific results through timely, technically sound, peer-reviewed, and professionally presented...data generated from unclassified research funded wholly or in part by USGS...USGS data are currently being used to spur economic growth, competitiveness and innovation in the private sector (1.0). | Within this context, VA and the Veterans Health Administration (VHA) recognize that Veterans and the public at large have a substantive interest in accessing the results of the research that VA funds. However, VA’s primary mission is to provide health care to the Nation’s Veterans, and the efforts of VA OI&T are focused first on that essential mission. VHA research efforts must operate within this context, and accordingly, the provisioning of VHA research data to the public at large will necessarily need to integrate into enterprise-wide VA OI&T patient-support data storage and access initiatives. Nevertheless, VA is committed to implementing the following principle articulated by OSTP. (3.a) | |||||||||
5 | Inclusions and Exclusions in Policy Scope | Implementation will be prospective and will not apply to any publication or digital data set arising from an AHRQ-sponsored grant, cooperative agreement, contract, or intramural research project funded prior to publication of the final AHRQ Public Access Policy. The AHRQ Public Access Policy will apply to all research funded by AHRQ, except where such research is administered or performed by a partner Agency with a comparable Public Access Policy, in which case AHRQ will defer to the partner Agency's policies on the management of scholarly publications and digital data sets. (Section 2) The AHRQ Public Access Policy will apply to the following groups: 1. All AHRQ intramural researchers. 2. Award recipients of AHRQ grants and cooperative agreements. 3. All AHRQ contractors conducting research (Section 5) | The ASPR Public Access Plan will apply to all research funded by ASPR, except where such research is administered or performed by a partner agency with a comparable Public Access Plan, in which case ASPR will defer to the partner agency’s policies on the management of scholarly publications and digital data sets. Implementation will be prospective and will not apply to any publication or digital data set arising from an ASPR-sponsored grant, cooperative agreement, contract, other transaction, or intramural research project funded prior to publication of the final ASPR Public Access Plan. (3) | The public access plan will be applicable to all peer-reviewed research publications funded by CDC, regardless of the funding mechanism used (e.g., grant, cooperative agreement, contract, or other funding mechanism) as well as peer-reviewed research publications authored or co-authored by CDC employees. Pursuant to the Public Access to CDC Funded Publications Policy, which was issued July 15 2013, this is applicable to all manuscripts published after this date. In its execution of the Public Access to CDC Funded Publications Policy, CDC will abide by or take into consideration law; agency mission; resource constraints; U.S. national, homeland, and economic security; and the objectives listed in the OSTP Memo. (Section II, B) The public access plan will be applicable to all peer-reviewed publications funded by CDC, regardless of the funding mechanism used (e.g., grant, cooperative agreement, contract, or other funding mechanism) as well as to all peer-reviewed publications authored or coauthored by CDC employees. (Section II, D) | The DoD Public Access plan is a draft approach that proposes to encompass any manuscript or digitally formatted scientific data set that: 1. Is publicly releasable; 2. For scholarly publications, is accepted for publication in a peer reviewed journal; and 3. Arises from: a. Any direct funding from a DoD grant or cooperative agreement; or b. Any direct funding from a DoD contract; or c. Any direct funding from any DoD Intramural Program; or d. Any clinical investigations from operations and maintenance appropriations. Implementation will be prospective and will not apply to any digitally formatted scientific data sets created or manuscripts published before a DoD policy has taken effect.(2) The Department fully recognizes proprietary interests, business confidential information, and intellectual property. The DoD will structure the implementation of its public access plan accordingly. (6) | The ED PPDG applies to peer-reviewed scholarly publications and digital research data, particularly digital research data underlying peer-reviewed scholarly publications, produced in whole or part, by ED grantees or ED contractors. ED grantees and contractors include but are not limited to non-profit and for-profit organizations, public and private agencies and institutions, such as colleges and universities, and individuals. While ED normally does not conduct intramural research, per se; to the extent that ED Federal employees produce peer-reviewed scholarly publications and digital research data as part of their Federal duties, the ED PPDG will also apply to them, as will the requirements of OMB Memo M-13-13. (4.0) | All researchers receiving DOE funding will be required to submit metadata and a link to the full-text accepted manuscript (or the full text itself) to OSTI. Publishers who participate in DOE’s public access activity will submit article metadata and links to OSTI. Classified or protected data and research will not be made publicly available. (Requirements) | “Publications,” for the purpose of this plan, will be defined as any final peer-reviewed manuscript accepted for publication, any intramural technical or final reports, and any Scientific Research project written deliverable (e.g., technical/final reports) that arises from extramural research funded, either fully or partially, by federal funds awarded through a DOT-managed contract, grant, or other agreement. (2.0) This DOT Public Access Plan applies to the following individuals: 1. All DOT employees, including full- and part-time employees; as well as support service contract employees, consultants and temporary and special government employees. 2. Awardees from non-DOT organizations that publish Scientific Research material or compile Digital Data Sets resulting from research and development programs conducted under a DOT grant, contract, or other agreement. This includes but is not limited to states, localities, regulated parties, non-profit and volunteer organizations, contractors, cooperative agreement holders, grantees, cooperating federal agencies, intergovernmental organizations, universities and other educational institutions. (3.0) This plan requires that authors and/or Operating Administrations submit to the DOT National Transportation Library (NTL) digital repository all Publications that meet the Scope criteria above, unless specifically precluded by privacy, confidentiality, or National/Homeland security concerns. (4.1) | The policies related to public access to scientific publications described in the plan below will apply to peer-reviewed articles accepted for publication on or after October 1, 2015 and authored i. in whole or in part, as a result of funding from FDA through a grant, contract, or cooperative agreement first awarded on or after October 1, 2015, or ii. by an FDA employee as part of his or her assigned duties. (III) | The scope of applicability of this plan includes all peer-reviewed scientific research publications authored or coauthored by investigators funded for this research by NASAappropriated funds. This includes both civil servant and non–civil servant investigators. Publications that contain material governed by personal privacy, export control, proprietary restrictions, or national security law or regulations are excluded. Patents are excluded. (Part B, 2.0) The plan is applicable to peer-reviewed publications authored or coauthored by NASA civil servants or other researchers who perform research and publish results that are funded by NASA directly or indirectly (e.g., as Government employees or via grants, contracts, or cooperative agreements), including subawards. The defined applicability to “peer-reviewed publications” focuses on journal articles. Applicability to peer-reviewed conference abstracts and proceedings, which may experience a less rigorous standard of review, will be determined. (Part B, 4.0) The NASA Public Access Policy requirement should be incorporated into sub-recipient agreements, and the primary awardee remains responsible for compliance. (Publications FAQs, II.13) | The Policy applies to any manuscript that: 1. Is peer-reviewed; 2. Is accepted for publication in a journal on or after April 7, 2008; and 3. Arises from: a. Any direct funding from an NIH grant or cooperative agreement active in Fiscal Year 2008 or beyond, or; b. Any direct funding from an NIH contract signed on or after April 7, 2008, or; c. Any direct funding from the NIH Intramural Program, or; d. An NIH employee. (Section II.1) | The NIST Public Access Plan applies to the results of research funded wholly or in part by NIST, presented in peer-reviewed scholarly publications and as research data, defined in Circular A-110 of the Office of Management and Budget as the “recorded factual material commonly accepted in the scientific community as necessary to validate research findings.” (2). Implementation will be prospective and will not apply to NIST peer-reviewed scholarly publications published and research data created before NIST’s Public Access Policy takes effect. However, NIST will endeavor to make legacy information publicly available and ensure its preservation as soon as practicable. A process will be created to engage with customers to help facilitate and prioritize information release. (2) | 1. The NOAA PARR Plan [NOAA Plan for Increasing Public Access to Research Results] applies to research results, defined by the OSTP PARR Memo as (1) the results of unclassified research directly arising from Federal funding that are published in peerreviewed publications and (2) digitally formatted scientific data resulting from unclassified research supported wholly or in part by Federal funding. "Federal funding" is as defined in OMB Circulars A-11 and A-21. 2. For NOAA-produced research results, the Plan applies to all future results, and to all past, current and future results from current or future Programs. The Plan also applies to all legacy results archived at one of the NOAA National Data Centers. The OSTP PARR Memo states that agencies must protect "confidentiality and personal privacy [and] intellectual property rights" and must consider "the balance between the relative value of long-term preservation and access and the associated cost and administrative burden." Therefore, the NOAA PARR Plan recognizes that some results may not be readily accessible or permanently archived, but that decisions to withhold access or omit long-term preservation must be explicit and justified. 3. For research results produced by NOAA grantees, cooperative institutes, and contractors, the Plan applies to results produced after the effective date of the Plan and is not retroactive. 4. For NOAA, "publications" shall also include NOAA technical reports and professional papers issued or sponsored by NOAA, in addition to peer-reviewed publications as covered by the OSTP PARR Memo. (2) | NSF requires that either the version of record or the final accepted manuscript in peer-reviewed scholarly journals and papers in juried conference proceedings or transactions (also known as “juried conference papers”) be deposited in a public access compliant repository designated by NSF; be available for download, reading and analysis free of charge no later than 12 months after initial publication; possess a minimum set of machine-readable metadata elements in a metadata record to be made available free of charge upon initial publication; be managed to ensure long-term preservation; and be reported in annual and final reports during the period of the award with a persistent identifier that provides links to the full text of the publication as well as other metadata elements. For more information, see section 3.1 of “Today’s Data, Tomorrow’s Discoveries: Increasing Access to the Results of Research Funded by the National Science Foundation,” at https://www.nsf.gov/pubs/2015/nsf15052/nsf15052.pdf. (FAQ, 1) | Covered publications that are: 1. Peer-reviewed; and 2. Results of any research funded, in whole or in part, by a federal funding source on or after the effective date of this plan; and 3. Submitted for publication in a periodical, serial, or book on or after the effective date of this plan; and 4. Authored or co-authored by a Smithsonian: o Federal employee; or o Academic appointee, to include emeritus, research associate, fellow or intern, whose publication is based on research arising from a federal research funding source and conducted as part of his/her appointment; or o Trust employee, where the manuscript at issue arose, in whole or in part, from a federal research funding source. Excluded Materials: This plan does not apply to the following types of works (“Excluded Materials”): Publications that are: 1. Not peer-reviewed; 2. Not the result of work funded, in whole or in part, by a federal research funding source; 3. Prepared, marketed, and sold by Smithsonian Enterprises, its contractors, licensees, and other authorized third parties; 4. To be published as exhibition catalogues, collections surveys, or similar publications; 5. To be published as scholarly books by the Smithsonian Institution Scholarly Press; 6. Authored by multiple authors and the contribution of federal employees or authors whose research arises from a federal research funding source comprises an insubstantial amount of the publication; 7. Produced solely by resident employees of affiliated agencies, whose scholarly research and publications are governed by the policies of their respective agencies (e.g., USDA, USGS); 8. Subject to a demonstrated special circumstance in accordance with an allowable restriction category included in Smithsonian Directive 609. (4.A.B) | The USDA Public Access Policy for scholarly publications will apply to any manuscript that: 1. Is peer-reviewed; and 2. Is accepted for publication in a journal on or after the USDA approval of a final public access policy; and 3. Arises from USDA funds, as defined in relevant OMB circulars A-21 and A-11, on or after the USDA public access policy’s effective date. Extramural projects with previously established USDA funding instruments lacking a public access requirement are exempt unless amended, but are encouraged to follow the policy. (II.A) | This plan applies to scholarly publications and unclassified or otherwise unrestricted digital research data (i.e. digital data required to validate research findings) produced in whole or in part by the USGS, contract employees, financial assistant awardees, other grantees, and other contractor entities where the publication and data are produced with complete or partial USGS funding, unless otherwise prohibited by law, regulation or policy.This plan builds on existing USGS policy, summarized in appendix A, which requires public access be provided for any scholarly publications and associated data that: 1) Arise from research conducted directly by USGS or by others using USGS funding 2) Published by the USGS, with no embargo 3) Published externally by USGS scientists or extramural USGS funded scientists, with embargo. (Section 2.0) Specifically, this plan requires that an electronic copy of either the final accepted manuscript (AM) or the final publication (i.e., publication of record (PoR)) shall be available free-of-charge for public access not more than twelve months after the official publication date. (3.0) Upon the effective date of this plan these requirements will apply to all publications of research results and digital data arising from complete or partial USGS funding, unless otherwise prohibited by law, regulation, or policy. These information products and data must be provided free-of-charge.Currently the USGS requires public access for all approved peer-reviewed science information products, including associated data, regardless of media, whether published and disseminated by the USGS or by an outside entity, if the author has full time, part time, volunteer, or emeritus USGS affiliation or shared affiliation (for example, between the USGS and a university) (4.0) | The requirements of this Plan for Public Access to Scientific Publications and Digital Data from Research Funded by the Department of Veterans Affairs will apply to all VA-funded research, including all research funded by ORD [VHA Office of Research and Development] and all research funded by all VHA Program Offices, as well as to all research funded by any VA entity that may acquire research funding authority in the future. (4.a) | |||||||||
6 | Effective Date | Beginning in December 2014, AHRQ will require all intramural projects and new grant and contract research awards to submit manuscripts to PMC. This policy will be effective for research funded in February 2015. (Section 10) | Any ASPR-sponsored research grant, cooperative agreement, contract or other transaction awarded on or after October 1, 2014. (3) | Pursuant to the Public Access to CDC Funded Publications Policy, which was issued July 15 2013, this is applicable to all manuscripts published after this date. (Section II, B) | The Department anticipates that implementation of the proposed public access policy in contract, and grant and agreement regulations will be completed in the fourth quarter of FY16. (8.2) | Beginning in FY 2012, IES awards that support research are covered by the IES Policy Regarding Public Access to Research (http://ies.ed.gov/funding/researchaccess.asp), and a Policy Statement on Data Sharing in IES Research Centers (http://ies.ed.gov/funding/datasharing_policy.asp). (8.1) | Beginning in August 2014, DOE will implement a publicly accessible “beta” version of PAGES for demonstration and socialization purposes within its DOE-funded author communities. Starting October 1, 2014, the Department will begin to include requirements for the submission of accepted manuscripts and publication metadata in award agreements. (Timeline for implementation) | December 31, 2015 (8.1) | The policies related to public access to scientific publications described in the plan below will apply to peer-reviewed articles accepted for publication on or after October 1, 2015 and authored i. in whole or in part, as a result of funding from FDA through a grant, contract, or cooperative agreement first awarded on or after October 1, 2015. (III.a.i) | The public access requirement will apply to new awards resulting from proposals submitted, on or after January 2016. (NASA Data Management Plan FAQs, I.7) | The Policy applies to any manuscript that: Is accepted for publication in a journal on or after April 7, 2008 (Section II.1) | All NIST scholarly and technical publications with a publication date of October 1, 2015 or later must be submitted to the NIST public access archive system (see Section IV. Definitions) no later than 12 months following publication. (Managing Public Access to Results of Federally Funded Research, V, 2) | Intramural: This policy will take effect on October 1, 2015. It will apply to all digital NOAA research publications that are issued by a NOAA office after that date, and to such publications that are issued by cooperative institutes and grantees pursuant to agreements that have an effective date of October 1, 2015 or later. (NOAA Public Access Policy for Scholarly Publications, V) Extramural: FY 2016: Q2: New provisions related to extramural data (§7.1.1) and publications (§7.2.1) take effect. (13) | The public access requirement will apply to new awards resulting from proposals submitted, or due, on or after January 25, 2016, which will be the effective date of the updated Proposal & Award Policies & Procedures Guide (PAPPG). For further information, see the GPG, Chapter II.C.2.j and https://www.nsf.gov/bfa/dias/policy/dmp.jsp. (FAQ, 8) | This plan is effective as of October 1, 2015; only Federally Funded Research Materials submitted for publication on or after the effective date shall be covered. (1) | The policy will be in effect on January 1, 2016. (II.A) | The effective date for full implementation of this plan is October 1, 2016. (15.0) | Effective date: December 31, 2015 (4.d) | |||||||||
7 | When Authors are to Deposit Articles | The AHRQ Policy requires that AHRQ-funded authors submit an electronic version of the author’s final peer-reviewed accepted manuscript to the National Library of Medicine's PubMed Central (PMC) upon acceptance by the journal (AHRQ Announces New Policy) | Eligible ASPR-funded research and require that ASPR-funded investigators submit an electronic version of final peer-reviewed journal manuscripts to the digital archive PubMed Central (PMC) upon acceptance for publication. (4) | A CDC-funded author must submit an electronic version of the author's manuscript upon acceptance for publication. (Section II, C) | Formal regulations and issuances will be promulgated requiring authors to submit to the DoD public access archive system final peer reviewed manuscripts that meet the Prospective Scope criteria described in Section 2, once the manuscript is accepted for publication. (3.1) | Under the requirements currently applied by IES, which may be form the basis for the requirements that will be imposed on other ED grantees, PIs are required to submit the electronic version of their final peer-reviewed scholarly manuscripts upon acceptance for publication in a peer-reviewed journal or upon completion of an institution’s internal peer-review process. (8.2.2) | Policy or guidance not found. | Terms and conditions will require sub-awardees, principal investigators and authors to submit metadata and final peer-reviewed manuscripts upon acceptance for publication (7.3.1) | The final published article should be submitted to PMC within 10 business days of the date on which the final published article is available to either the journal’s readership in print form or online, if the journal is electronic only. (FDA Staff Manual Guildes, Volume III.3.A.1) | Metadata should be made accessible as soon as possible after final acceptance of a paper, even if the full text is subject to an embargo period. (Part B, 7.4.1) | The Director of the National Institutes of Health shall require that all investigators funded by the NIH submit or have submitted for them to the National Library of Medicine’s PubMed Central an electronic version of their final, peer-reviewed manuscripts upon acceptance for publication (Executive Summary) | All NIST scholarly and technical publications with a publication date of October 1, 2015 or later must be submitted to the NIST public access archive system (see Section IV. Definitions) no later than 12 months following publication. (Managing Public Access to Results of Federally Funded Research, V, 2) | Both intramural and extramural researchers shall be required to submit their final pre-publication manuscripts to the NOAA Institutional Repository upon acceptance of the paper by a journal. (7.2.1) | 1. Be available for download, reading, and analysis free of charge no later than 12 months after initial publication; 2. Possess a minimum set of machine-readable metadata elements in a metadata record to be made available free of charge upon initial publication (3.1) | This plan requires that an electronic copy or a link to a copy of the final accepted manuscript or the final publication (i.e., version of record) of each covered publication that meets the scope criteria above, as well as its supporting digital research data, shall be submitted to one or more Smithsonian-managed or Smithsonian-approved repositories either twelve months or another negotiated embargo period following official publication date unless a demonstrated special circumstance prevents the covered publication or supporting digital research data from being made publicly available. (5) | The USDA public access policy for scholarly publications will require that authors submit to the USDA public access archive system all final peer-reviewed journal manuscripts that meet the above criteria once the manuscript is accepted for publication (II.A) | Upon completion of peer review, Bureau approval, and production, USGS series publications will be submitted to the USGS Publications Warehouse for cataloging and public release in both PDF and XML formats. (7.0) | Investigators are responsible for depositing manuscripts in PubMed Central, operated by the National Institutes of Health's National Library of Medicine (NLM), upon the manuscripts' acceptance for publication. (Office of Research & Development, Public Access) | |||||||||
8 | When Articles Are to be Publicly Shared (Maximum Embargo) | Provide full public access to publications no later than 12 months after the official date of publication. AHRQ will contract with the NLM to archive its publications in PubMed Central (PMC). (Section 8) | ASPR-supported investigators will be required to submit an electronic version of their final, peer-reviewed manuscripts to PMC upon the acceptance of such manuscripts for publication, with the understanding that these manuscripts (or the final scholarly publication, if available) will be made publicly available no later than 12 months after the official date of publication. (8) | The Public Access to CDC Funded Publiations Policy allows for a maximum 12-month embargo of the manuscript from publication date. (Section II, C, 3) | Final peer reviewed journal articles will be available without charge following a 12-month embargo period starting on the date of publication. DoD will provide a mechanism for accepting petitions for changes to the 12-month embargo, including email, phone, and mailing address. Such petitions should present compelling, statistically based evidence that a change is necessary to promote the quality and sustainability of scholarly publications with due consideration of taxpayer rights. DoD will work with other federal science agencies to promote consistent implementation of embargoes for specific scientific fields. (9.3.1) | Access to the full text of the article is available after an embargo period of not more than 12 months, from the date of publication, from the ERIC record for the author’s final peer reviewed manuscript. (8.2.2) ED has established a maximum embargo period of 12 months for public access to the full-text of publications produced as a result of ED funded research. Stakeholders can petition to change the embargo period for a specific field by sending an email request to ERICrequests@ed.gov. In this petition, stakeholders must present evidence that the current embargo period is inconsistent with the objectives articulated in the February 22, 2013, OSTP memo and present evidence for changing the embargo to a shorter period of time. By law, the maximum embargo period allowable for articles reporting on ED-funded research is 12-months after the official data of publication. ED will coordinate with other relevant Departments and Agencies as well as OMB and OSTP on requests to change the embargo period consistent with the requirements of the February, 2013, OSTP memo. (8.2.4) | During an “administrative interval” of up to twelve months, PAGES will not provide access to full-text manuscripts. During this time, metadata including links to the publishers’ VoR will be discoverable through the PAGES search interface and via PAGES application programming interfaces (APIs). After one year, PAGES will link to a full text version of the accepted manuscript and then link to the publisher’s VoR when and if it becomes available. (Implementation) | This plan further requires, to the extent feasible and consistent with applicable law, policy, or agency mission, Publications to be freely available to the Public no later than 12 months following publication. (4.1) DOT will utilize an electronic online methodology to be developed for allowing the public to petition for alterations to the proposed embargo period. Requestors will fill out a web form with details about their embargo change request for decrease or increase. The petition will be received and coordinated within the Department by the National Transportation Library (NTL). NTL will forward the petition for review to the appropriate Operating Administration (OA) or Secretarial Office, which will provide a decision within one (1) month of request. If the decision is granted and would result in immediate release of a publication, the publication will be made public within two (2) weeks of the decision to allow for processing time needed by NTL. While DOT will work with other government agencies to determine the most appropriate period of embargo for specific fields of research and technology, it will not alter (i.e., decrease or increase) its then existing embargo period by more than six (6) months based on any single approved petition. (4.1) | To the extent feasible and consistent with law, agency mission, resource constraints, and US national, homeland, and economic security, FDA will develop and update policies and procedures to ensure that peer-reviewed articles as defined above and within the scope of this plan are freely available to the public in a centralized article repository no later than 12 months after publication. The policies will further ensure that article metadata are immediately publicly available upon publication. (IV) At this time, FDA sees no reason to depart from the 12 month embargo. As described in the HHS’s Guiding Principles and Common Approach for Enhancing Public Access, the Department will set out specific procedures for interested stakeholders to petition for a change to the embargo period for a specific scientific field by demonstrating that the current embargo period for research in that field would be inconsistent with the principles of the OSTP Memo. FDA will contribute (along with other HHS Operating Divisions as appropriate) to the resolution of petitions regarding embargo periods for peer-reviewed articles in scientific fields in which FDA conducts or funds research. (IV, iii) | NASA allows an embargo or administrative delay for access of up to 12 months from the date of publication for journal articles or juried conference papers. Individual journal titles (or proceedings or transactions) may institute shorter periods. (NASA Data Management Plan FAQs, I.14) | Per the Consolidated Appropriations Act of 2008, NIH must make papers public on PMC no later than 12 months after the official date of publication. This statute does not authorize NIH to embargo materials longer than 12 months. The rights holder (author or publisher) has the option to set a shorter embargo. NIH will rely on the Health and Human Services (HHS) petition process for considering requests to shorten the embargo period for publications in a specific field. (Section II.4.a) | Public access to the full text will be provided without charge no later than a 12-month embargo period following publication, although NIST reserves the right to shorten or extend the embargo period. Providing annual notice in the Federal Register to allow NIST's customers to petition for changing the embargo period in the following year, for publiations in a specific field, by providing evidence that the current embargo period does not provide a public benefit and is inconsistent with the objectives articulated in the OSTP memo. (7) | In the case of articles published by limited-access journals, NOAA will require an embargo period of no more than 12 months prior to free public access, consistent with guidance from OSTP. (1) Any stakeholder may petition for a change in the embargo period by emailing the Executive Secretariat of the NOAA Research Council with the details of the change requested at oar.rc.execsec@noaa.gov ; a decision will be made and communicated to the requesting stakeholder within 120 days. Requests to change the embargo period must include evidence that outweighs the public benefit of having the embargo remain at one year. Given the interdisciplinary nature of research today, NOAA may contact other agencies or departments to coordinate embargo policies. Researchers who wish their papers made freely available prior to expiration of the embargo period may publish in journals where open or earlier access is the norm, or may pay for open access in journals which offer that option. (7.2.1) | NSF will follow the recommended guideline of an embargo of up to 12 months following initial publication. Modification of the 12-month guideline would constitute a change in NSF policies and procedures and would, therefore, be subject to the annual cycle of revision and public notice, described in Section 11.0. (7.5.1) | The Smithsonian will use a twelve-month post-publication embargo period as a guideline and will determine alternate embargo periods based on discipline, negotiated publisher agreements, and/or demonstrated special circumstances. (2) This plan requires that an electronic copy or a link to a copy of the final accepted manuscript or the final publication (i.e., version of record) of each covered publication that meets the scope criteria above, as well as its supporting digital research data, shall be submitted to one or more Smithsonian-managed or Smithsonian-approved repositories either twelve months or another negotiated embargo period following official publication date unless a demonstrated special circumstance prevents the covered publication or supporting digital research data from being made publicly available. (5) | The USDA will ensure easy search and download of scholarly publications resulting from USDA funds without charge no later than 12 months following publication. (II.A) USDA will adopt a systematic approach to implement the public access policy that will: Provide a mechanism for stakeholders to petition for changing the 12 month embargo period for a specific field by presenting clear evidences demonstrating that the USDA implementation plan would be inconsistent with the objectives articulated in the OSTP memorandum. Evidences can be emailed to the National Agricultural Library. Evidence presented will be weighed against the benefits of public access. The USDA will work with other Federal agencies that also fund research in that field to coordinate consistent cross-agency policies. (II.B) | Timely search, discovery and access to all publications subject to this plan will be provided by the USGS Publications Warehouse. USGS series publications (including historical publications) are made publicaly available free-of-charge in digital form as PDF for download through the Warehouse immediately upon public release. All other scholarly publications by USGS authors are cataloged in the USGS Publications Warehouse with appropriate bibliographic metadata shortly after their publication in the respective journals, and links are provided to the full text of those scholarly publications. The full text will be made available free-of-charge to the public to read, download, and analyze in digital form not later than 12 months after the official date of publication from either the publisher’s website or from USGS. In either case, USGS will maintain a full-text archive of all peer reviewed publications resulting from its research. (8.0) For journals not partnered with CHORUS or partnered but not complying with the 12-month (maximum) embargo, the version of the manuscript held in the IPDS will be made bright (i.e., publicly accessible at no charge). (8.1.1) | No later than December 31, 2015, VA will: (2) Require that all publications based on VA-funded research be made available to the public through the NLM PMC open public access web site within one year of the date of publication. (8.b.2) | |||||||||
9 | How Articles are to be Publicly Shared | For scholarly publications, the AHRQ Public Access Policy will require that authors submit the final peer-reviewed accepted journal manuscripts to PubMed Central (PMC). In lieu of the final peer-reviewed manuscript, AHRQ will accept the final published article, provided the awardee can ensure AHRQ has the rights to make the published version public. AHRQ's Public Access Policy is subject to law; Agency mission; resource constraints; U.S. national, homeland, and economic security; and the objectives listed in the OSTP directive. (Section 3) | ASPR will adapt the National Institutes of Health (NIH) Public Access Policy for eligible ASPR funded research and require that ASPR-funded investigators submit an electronic version of final peer-reviewed journal manuscripts to the digital archive PubMed Central (PMC) upon acceptance for publication. (4) | A CDC-funded author must submit an electronic version of the author's manuscript upon acceptance for publication. 1. Manuscripts resulting from extramural work must be electronically submitted to the National Institutes of Health Manuscript Submission System (NIHMS) http://www.nihms.nih.gov/. 2. Manuscripts resulting from intramural work must be electronically submitted to the NIHMS http://www.nihms.nih.gov/. The PubMed Central identification (PMCID) of the manuscript will then be entered into the CDC’s eClearance system. 3. At time of submission, the submitting author must specify the date the manuscript will be publicly accessible through PubMed Central (PMC). The submitting author must also post the manuscript through PMC within 12 months of the publisher's official date of publication; however, the author is strongly encouraged to make the manuscript available earlier if possible. It is recommended that authors review the publisher’s instructions to authors to determine if the publisher’s required embargo time is 12 months or less. Embargo times greater than 12 months will not be allowed. (Section II, C) CDC peer-reviewed publications will be dual-hosted in CDC Stacks and in PubMed Central. This broadens dissemination methods while inheriting the archival benefits of PubMed Central. Most documents hosted in CDC Stacks were not published in peer-reviewed publications. Adding peer-reviewed publications to CDC Stacks increases access and archival capabilities at a very minimal cost. (Section II, F, a, i) | The DoD plans to establish a system to enable the submission of final, peer reviewed manuscripts or final published articles that includes the following functionalities: 1. Enable users to submit and manage manuscripts. 2. Allow submission by the author, the publisher, or the manager of the funding agreement. 3. Accept manuscripts in a range of common electronic formats. 4. Accept any additional files of figures, tables, or supplementary information included with the manuscript. 4. Provide flexible and multiple approaches to manuscript submission. (8.3.1) | Access to the full text of the article is available after an embargo period of not more than 12 months, from the date of publication, from the ERIC record for the author’s final peer reviewed manuscript. If the publisher has agreed that ERIC can provide access to the publisher’s version of the article at the end of the embargo period then this will also be available. The link to the publisher’s version remains on a separate ERIC record from the manuscript and, in addition, there will is a “download PDF” link to the copy of the publisher’s version ERIC will house. (8.2.2) | Submission of accepted manuscripts is done through the corporate E-Link System. Please refer to information included in your award package for additional information and points of contact, and questions related to E-Link may also be sent to 241user@osti.gov. Through E-Link, you will submit metadata/citation information for the journal article as well as either an upload of the accepted manuscript in PDF format or a link to your institutional repository that is hosting the manuscript. (DOE PAGES FAQ) All researchers receiving DOE funding will be required to submit metadata and a link to the full-text accepted manuscript (or the full text itself) to OSTI. Publishers who participate in DOE’s public access activity will submit article metadata and The Department proposes to host a portal, PAGES, which will provide metadata and abstracts for publications resulting from DOE funding. In cases where the publisher’s VoR is publicly available, PAGES will direct the user to this VoR with a direct link to the publisher’s website. In cases where the publisher does not provide public access, PAGES will direct the reader to the accepted manuscript hosted in an institutional repository (e.g. at a national laboratory or grantee institution) with a link provided by the author. In cases where the full text is not publicly accessible through publisher or institutional repositories, OSTI will host the accepted manuscript, submitted by the author, available through PAGES. Classified or protected data and research will not be made publicly available. (Implementation) | NTL maintains an OAI-PMH compliant repository that serves as its central clearinghouse and archive for public access to transportation information. In many cases, publications arising from DOT-funded scientific research are already made freely available to the public through the NTL repository. Under DOT's Public Access Plan, all final peer reviewed manuscripts accepted for publication will now be archived in the NTL repository. Additionally, when you apply for research funds from the USDOT under a contract, grant, cooperative agreement, or other funding agreement, you will be required to submit a data management plan for approval. Your plan must identify a repository for the preservation of your data that is accessible by NTL. Your dataset's metadata will be included in DOT Enterprise Data Inventory. Through these mechanisms, datasets will be discoverable through data.gov, NTL, internet search engines and other tools leveraging open formats and standards. (NTL FAQ) The DOT will use the NTL Digital Repository as a central portal to access full-text Scientific Research Publications and link to the DOT federated search capability. The NTL repository system has the capability to store, organize, and manage collections; uses open architecture; integrates easily into DOT Operating Administrations’ and Secretarial offices’ websites; and 11 United States Department of Transportation adheres to industry standards for integration and interoperability. It will be expanded to search multiple DOT repositories of full-text Publications and enable monitoring of compliance with this plan. (7.4.1) | FDA will use PubMed Central (PMC)—the NIH digital archive of biomedical and life sciences journal literature, developed and operated by the National Library of Medicine—as its designated scientific article repository in complying with the requirements in the Section 3 of the OSTP Memo. Moreover, FDA will use the NIH Manuscript Submission System (NIHMS) as a mechanism for allowing researchers to submit the final, peer-reviewed version of their articles for inclusion in PMC. (IV, ii) | NASA requires principal investigators who publish peer-reviewed journal articles or juried conference papers to deposit a copy of the item (either the final accepted version or the version of record, as defined in NASA's public access plan) in the NASA public access repository hosted by the National Institutes of Health at Pubmed Central. The NASA public access repository (PubSpace) is expected to be available for voluntary compliance by October 2016. (NASA Data Management Plan FAQs, I.8) You must use the NIH Manuscript Submission (NIHMS) system when submitting the final peer-reviewed manuscript. a. You deposit the final peer-reviewed manuscript files (e.g., Microsoft Word document and figures) in the NIHMS. b. You indicate the NIH award(s) to which the final peer-reviewed manuscript is related. c. After the NIHMS converts your deposited files to a standard PubMed Central (PMC) format, NIHMS will email you to review the PMC-formatted final peer-reviewed manuscript to approve its release. (Publications FAQs, II.B.1) | There are four methods to ensure that an applicable paper is submitted to PMC in compliance with the NIH Public Access Policy. Authors may use whichever method is most appropriate for them and consistent with their publishing agreement. Submission Methods A and B Methods A and B are where the publisher agrees to post the final published article directly to PMC (in XML) around the time of publication. Approximately 1,900 journals have signed agreements with NIH to post content routinely, in compliance with the Policy. Further, more than 20 publishers, representing thousands of journals, have signed agreements with NIH to post the final published article on request of the author (usually for a fee, reimbursable from the supporting NIH grant). Submission Methods C and D Methods C and D require final peer-reviewed manuscripts to be deposited to the NIH Manuscript Submission System (NIHMS) upon acceptance for publication. The NIHMS takes these manuscripts and converts them from their original format to PMC’s XML standard. Under Method C, authors initiate the submission process by depositing a final peer-reviewed manuscript. Under Method D, the publisher deposits the manuscript for the author. Method D publishers include most of the major commercial publishers and represent thousands of journals (Section II.3) | NIST will partner with the National Institutes of Health (NIH) to utilize the existing PubMed Central (PMC) repository system to serve as the repository of full-text peer-reviewed scholarly publications for NIST, leveraging off of the well-established search, archival, and dissemination features of PMC. (7) Authors of peer-reviewed scholarly publications are required to submit to the NIST public access archive system metadata and their copies of final peer-reviewed journal manuscripts within the scope of this plan once the manuscript is accepted for publication. In lieu of the author’s version of the final peerreviewed manuscript, NIST will also accept the final published article, as formatted by the journal, provided the author has the right to submit the published version. (4) | NOAA reviewed the functionality of the Centers for Disease Control (CDC) repository system known as CDC Stacks. NOAA and CDC will enter into an interagency agreement and begin implementation of the new NOAA Institutional Repository in January 2015. The agreement will state that CDC will be the systems provider and NOAA Central Library will be the contact manager. (7.2.1) | NSF requires principal investigators who publish peer-reviewed journal articles or juried conference papers to deposit a copy of the items (either the final accepted version or the version of record, as defined in NSF's public access plan) in the NSF public access repository hosted by the Department of Energy (DOE). (FAQ, 14) DOE accommodates both the widely used non-proprietary PDF and PDF/A formats and can convert material in PDF to PDF/A, should the need arise. (FAQ, 14) | Smithsonian Research Online (SRO) is the Institution’s primary repository for Federally Funded Research Materials (FFRM) and is managed by Smithsonian Libraries. SRO will permanently archive all final accepted manuscripts and supporting digital research data submitted under this plan. After embargo, SRO will link to publisher websites for FFRM published by CHORUS Publisher Members. All FFRM deposited in SRO that is not made available to read, analyze, and download via CHORUS Publisher Members will be available at SRO for the public to read, analyze, and download. (7) Publication of FFRM in an established open access journal or periodical that makes the final publication available immediately, without embargo, is considered compliant under this plan. (5) | The USDA public access policy for scholarly publications will require that authors submit to the USDA public access archive system all final peer-reviewed journal manuscripts that meet the above criteria once the manuscript is accepted for publication. In lieu of the final peer-reviewed manuscript, USDA will accept the final published article, provided the author has the right to submit the published version. The USDA will ensure easy search and download of scholarly publications resulting from USDA funds without charge no later than 12 months following publication. (II.A) A beta version of the PubAg system (http://pubag.nal.usda.gov) has been developed and became publicly available October 1, 2014. The current PubAg system supports the submission of articles from authors, data management, article indexing, search and discovery of articles, and preservation mechanisms. (II.C) | 1) Upon completion of peer review, Bureau approval, and production, USGS series publications will be submitted to the USGS Publications Warehouse for cataloging and public release in both PDF and XML formats. 2) As part of the USGS Bureau approval process, the full-text of all USGS final manuscripts will reside in the Information Product Data System (IPDS), a National Archives and Records Administration (NARA)-certified repository that functions in part as a dark archive for all USGS-funded information products. This includes electronic copies of all USGS-funded publications by scientists extramural to the USGS. Publications by intramural scientists will be entered in the IPDS dark archive by those scientists, and publications by extramural scientists funded by the USGS will be provided to the USGS project scientist responsible for the USGS funded extramural research, who will place the publication into the IPDS dark archive. 3) Upon release, all USGS series publications and scholarly publications published externally (resulting from both intramural and extramural research) will be cataloged in the USGS Publications Warehouse. Associated data will be cataloged in USGS Science Data Catalog prior to, or concurrent with the release of either the AM or PoR (that is, irrespective of any embargo period). Links will be provided to the full text of all information products regardless of publisher (USGS or non-USGS) and type of access (publicly accessible or accessible only to subscribers). 4) As part of this plan the USGS has contracted with Clearinghouse for the Open Research of the United States (CHORUS), to provide notification to the USGS of the release of USGS-funded extramural publications on non-USGS publishers’ websites for those publishers participating in the CHORUS service. These extramural publications (i.e., not published as USGS series reports using the USGS in-house publishing process of the USGS Science Publishing Network) and their metadata will then be cataloged in the USGS Publications warehouse, and a link provided to the full-text of the article on the publisher’s website, where free public access will be provided after the embargo period has expired. 5) For those publications for which the full text cannot be accessed through CHORUS (publisher not part of CHORUS) or because the publishers embargo period is longer than 12 months, the accepted manuscripts stored in the IPDS dark archive will be made bright via USGS internal servers and accessible through the USGS Publications Warehouse. (7.0) | VA has established an agreement with HHS to make the results of ORD-funded research accessible to the public through the National Library of Medicine (NLM) PubMed Central (PMC) archive, a firmly established public-private partnership that currently provides access to publications of research supported by NIH. Use of PMC ensures that members of the public can read, download, and analyze final manuscripts or final published documents in digital form. (4.b.1) | |||||||||
10 | Submission Portal Link | https://www.nihms.nih.gov/db/sub.cgi | https://www.nihms.nih.gov/db/sub.cgi | https://www.nihms.nih.gov/db/sub.cgi | http://www.dtic.mil/dtic/submit/submit.html | http://eric.ed.gov/submit/ | https://www.osti.gov/elink/ | https://rip.trb.org | https://www.nihms.nih.gov/db/sub.cgi | https://www.nihms.nih.gov/db/sub.cgi | https://www.nihms.nih.gov/db/sub.cgi | https://www.nihms.nih.gov/db/sub.cgi | https://repository.library.noaa.gov/contact | https://identity.research.gov/sso/UI/Login | http://research.si.edu/author_instructions.cfm | Specific URL not found | Publications by intramural scientists will be entered in the IPDS dark archive by those scientists, and publications by extramural scientists funded by the USGS will be provided to the USGS project scientist responsible for the USGS funded extramural research, who will place the publication into the IPDS dark archive. (7.0) | https://www.nihms.nih.gov/db/sub.cgi | |||||||||
11 | Metadata and/or Documentation to be Included with Articles (and Access to Metadata) | The AHRQ Public Access Policy development process will include the following: Maintain attribution to authors, journals, and original publishers through the use of PMC and PubMed. PubMed abstracts include a publisher-supplied link to the paper on a publisher site and a link to the PMC version if available. PubMed metadata, like the full text of PMC, are permanently archived. Full text displays of papers on PMC always include publisher-supplied links to the publisher site, authors, journal name and the other information required for a complete academic citation. (Section 8) | Ensure the use of archival methods that provide for long-term preservation and access to publications, research data, and metadata, in formats consistent with Section 508 of the Rehabilitation Act of 1973. The metadata for scientific data will include, at a minimum, the common core metadata schema in use by the Federal government, found at https://project-open-data.cio.gov/. (1) | The CDC Stacks repository system stroes both Metadata Object Description Schema (MODS) and Dublin Core (DC) metadata for each item. The MODS schema provides flexibility, precision, and specificity when taggin documents. This enables the creation of new metadata fields tailored to specific document needs in many fields that DC does not support . CDC Stacks aslo supports the less detailed DC to ensure the repository is compliant with the Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH). This ensures metadata records stored in CDC Stacks can be harvested and repurposed by other repository systems. (Section II, 3, b) | The public will have access to journal article metadata without charge upon first publication through the public-facing DTIC website, the author and/or the publisher. The metadata will ensure attribution to authors, journals and original publishers, and provide a link to the full text at the publisher’s website, if available. After the embargo period the full text will be posted on the public-facing DTIC website together with the associated supplemental materials. (9.3.1) | The metadata for the author’s final manuscript is posted by ERIC for public access as soon as possible after the manuscript or article has been accepted for publication. Metadata in ERIC are available for free download on a monthly basis from http://eric.ed.gov/?download. Metadata elements that are gathered include: Unique, persistent ID Author name(s) Title and abstract of article or paper Journal or serial title with identifier (ISSN) or other relevant publishing information Name(s) of funding agency or agencies with award numbers When possible and appropriate, links to the underlying data including but not limited to the Supplementary Material published with the journal article, will be included. (8.2.2) | To ensure long-term preservation and access, all DOE-funded authors will be required to submit accepted manuscript metadata to OSTI along with a document or link to a publicly accessible, full text version of the accepted manuscript available on an institutional repository. The metadata will include a DOI for the VoR. (Implementation) (The content creator would direct users to United States Department of Energy E-Link System Announcement Notice 241.3 Instructions for metadata field requirements listed under INSTRUCTIONS FOR JOURNAL ARTICLE: ACCEPTED MANUSCRIPT: https://www.osti.gov/elink/F2413instructC.jsp#JAcontractno) | DOT will establish a step-by-step process for submission of Publications to the repository upon acceptance for publication. This will include submission of metadata describing authors, journals, and original publishers for any peer-reviewed articles subject to the terms of this plan. This metadata will be searchable and displayed in the records for the Publications in the NTL digital repository. NTL uses an international standard structured metadata format for interoperability and export in XML to enable compatibility with future search technology. (7.3.1) | Article metadata covered by this policy must be made freely available to the public upon publication. Article metadata will be made available via NLM’s PubMed index. For final published articles in journals that are ordinarily indexed by MEDLINE, article metadata will appear automatically within PubMed without action by FDA or the authors. For final published articles in journals that are not ordinarily indexed by MEDLINE, article metadata will appear within PubMed after the final published article is submitted to PMC via NIHMS. (FDA Staff Manual Guide) FDA employee authors of scientific articles covered by the scope of this plan and grantees and contractors receiving FDA funds resulting in scientific articles covered by the scope of this plan, will be responsible for ensuring that a final version of the peer reviewed article—either the final published article or the final peer-reviewed manuscript—and a set of standard article metadata (to be identified by the agency) are deposited into an FDA-designated scientific article repository. (IV, ii). For the purposes of this plan, the phrase “article metadata” is defined as information that describes a peer-reviewed article, generally making the article uniquely identifiable and more easily searchable. Article metadata often include the article author, article title, publication title, publication date, article abstract, and unique identifying numbers or codes. (II) | The metadata standard will conform to requirements of the designated repository and is expected to be coded in XML. These responsibilities will be established in provisions of the award that supports the investigation. The corresponding author may satisfy this requirement either by submitting or having his or her NASA Center STI office submit an exact copy of the as-accepted manuscript on acceptance by the publisher; or, if the publisher has an agreement in place with the repository to later transmit the edited and formatted Version of Record (VoR) to the repository, by this means without other action. (Part B, 3.0) | PMC makes the abstract and citation information available to NIH’s abstract and metadata service, PubMed, where it can be accessed without charge. PubMed makes metadata available upon first publication and combines them with any indexing terms or key words (for example Medical Subject Headings assigned by the Medline indexing service for certain journals). For articles subject to the NIH Public Access Policy, PubMed abstracts include a link to the PMC version and to the version of the paper on the publisher site, if provided. PubMed metadata, like the full text of PMC, are permanently archived. Full text displays of papers on PMC always include publisher-supplied links to the publisher site, authors, journal name and the other information required for a complete academic citation. (Section II.5.a) | Full public access to publications’ metadata upon first publication will be provided through PMC in a format that ensures interoperability with current and future search technology. (7) | NOAA will include sufficient metadata to allow for creation of collections within the Repository to meet specific retrieval needs, including specific programs, provenance of resources, topical areas, funding sources, and other areas for which NOAA determines a need. The NOAA Central Library will capture or create metadata for NOAA-funded peer-reviewed publications through a variety of methods. Specifically, Library staff will perform automated searches of online databases such as Web of Science that contain bibliographic information for most NOAA publications and capture metadata for these items in a local EndNote database. Library staff will manually cross-check this listing against a listing of upcoming publications issued by NOAA Office of the Undersecretary. In addition, library staff will establish workflows with NOAA offices that produce manuscripts to obtain the digital objects and metadata required to archive these objects in the Repository. Library staff will establish these collection networks via librarians, authors, or other contacts within each Line Office, as appropriate. The Library staff will load these submission packages (metadata + manuscripts + additional files) into the Repository. The metadata for each article will feature digital object identifiers (DOIs) for the published version of the article, as well as an embargo end date. Prior to the embargo end date the system will block access to the manuscript but permit access to the published version. (7.2.1) | The DOE PAGES system offers centralized metadata and indexing together with the flexibility of a distributed system of linking to authoritative copies of the full-text of the material (either the final accepted manuscript or the publisher’s version of record). PAGES also accepts manual upload of PDF/Acompliant documents, which will be required of all NSF-funded authors. In the initial implementation, NSF expects to rely on DOE’s hosting capability, possibly augmented by other services in future implementations. In later implementations, NSF expects to add additional partners (discussed in the next paragraphs), leveraging DOE PAGES’ capability to maintain centralized metadata records and link to other repository systems. This enables NSF to maintain management control of the information without unnecessary duplication of submission and the associated burden on the awardees and investigators, or the risk of multiple and inconsistent versions. A list of designated public access repository systems will be maintained on the NSF website (Sections 7.1.4 and 7.1.5). (7.3.1) | The Smithsonian Institution considers metadata to be in the public domain, therefore metadata related to FFRM will be made available in a Smithsonian-managed and/or Smithsonian-approved repository as soon as possible after FFRM is deposited or published, regardless of publisher or embargo period, and absent a demonstrated special circumstance. (4) | Adopt industrial metadata standards and full-text formats for manuscripts and final published articles. Ensure full public access of publications’ metadata without charge upon first publication in a data format that ensures interoperability with 10 current and future search technology. Where possible, the metadata will provide a link to the location where the full text and associated supplemental materials will be made available no later than the 12 month embargo period. (II.C) | After the effective date of this plan, metadata for USGS series publications and all journal articles from publishers outside the USGS that result from USGS-funded research will be included in the USGS Publications Warehouse and publicaly available free-of-charge at the time of publication. (8.1.2) Metadata associated with USGS data products are released free to the public with no embargo through the USGS Science Data Catalog coincident with or before the publication dependent on that data. (8.1.2) | VA will ensure full public access to relevant metadata without charge, availability in machine readable data formats that ensure interoperability with current and future search technology. (5.f.2) | |||||||||
12 | Recommendations or Requirements for Terms of Article 'Licensing' (e.g. Re-use/Re-distribution/Derivatives) | Policy or guidance not found. | Authors may own the original copyrights to materials they write and should work with the prospective publisher as necessary before any rights are transferred to ensure that all conditions of the NIH Public Access Policy can be met. Authors should avoid signing any agreements with publishers that do not allow the author to comply with the NIH Public Access Policy. (4) | Licensing metadata will be stored for each document in the repository. This licensing metadata will be stored as part of the repository digital object and will donate what rights the public has concerning the use of the document. (Section II, F,b, iii). Users can request copies of publications that can be freely redistributed based on publication licenses. (Secion II,F,c,iii) | Use of the articles will be subject to copyright and related license terms. (9.3.1). Bulk downloads will be permitted only as authorized and by special arrangement. DoD web usage monitoring protocols will alert system administrators of potentially improper practices. These will be investigated as they occur. DoD will publish a warning regarding copyright and prohibitions under the terms of use statement. (9.3.2) | ERIC will ensure, for current IES grantees and contractors and, after the adoption of appropriate regulations, grants made by other ED offices, that the public can read, download, and analyze in digital form the final peer reviewed manuscript or the final published article resulting from research funded by ED. ERIC will allow easy human or machine search, analysis and download of peerreviewed scholarly publications without charge no later than 12 months following publication. ERIC permits the download of all citation records in the database and monthly update files will be posted regularly. The ERIC website permits crawling and is indexed in all major commercial search engines. (8.2.4) | Regarding copyright transfer, for Financial Assistance Awardees, the Government retains nonexclusive and irrevocable rights to use the works published under an award for federal purposes (2 CFR § 200.315(b) (d)). As per the DOE Terms and Conditions for Grants and Cooperative Agreements, DOE requires an acknowledgement of awarding agency support to be marked on the publication of any material, whether copyrighted or not. OSTI continues to work closely with procurement points of contact regarding additional guidance related to DOE's Public Access Plan. (DOE PAGES FAQ) Publishers retain their rights under copyright to their VoR. The metadata contained in PAGES will be in the public domain and available for unlimited use and downloading, and will be made available via API. Classified or protected data and research will not be made publicly available.(Implementation) | As a new term and condition of all DOT funding agreements, the DOT Public Access Plan requires that a license to "all rights under copyright" is granted to DOT for any written deliverables, including the supporting data. The copyright license will be non-exclusive, non-transferrable, and royalty free. Contractor and grantee's rights to other forms of intellectual property will continue to be governed by statue and regulation. The copyright license will provide DOT the same rights as it would otherwise have under its rights in data provisions included in the Federal Acquisition Regulations: the rights to copy, distribute, publicly display and perform, and create derivative works, or to have others do so on behalf of DOT. (NTL FAQ) DOT will establish new terms and conditions for all DOT funding agreements requiring both the immediate grant of a comprehensive non-exclusive, paid-up, royalty-free copyright license to the DOT and the submission of any Publications to the NTL Digital Repository. The copyright license must include “all rights under copyright,” including, but not limited to: 1. Right to copy; 2. Right to distribute; 3. Right to prepare derivative works; 4. Right to display; and 5. Right to perform in public. (7.2) | Use of NIHMS, PMC, and the association of PMC with the PubMed citation catalog, will satisfy...maximize potential for...public reuse of article text by stakeholders consistent with applicable licenses. (IV.a.ii) | The Federal Government has a non-exclusive, irrevocable, worldwide, royalty-free license to exercise or authorize others to exercise all rights under copyright to use a federally-funded work for Federal purposes. The Federal Government license includes the right to have the copyrighted material included in a repository where the public can search, read, download, and analyze the material in digital form. (NASA Data Management FAQs, II.11) | Awardees must ensure that any publishing agreement allows the paper to be posted to PMC in accordance with the NIH Public Access Policy. NIH does not dictate the means by which awardees must do so, but does offer guidance in an FAQ on suggested wording for publishing agreements. NIH is also exploring the possibility of using the government use license specified in 45 CFR 74.36 to help make papers public. Under these terms, the government has a royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use the work for federal purposes, and to authorize others to do so. NIH employees must use a publishing agreement cover sheet, which ensures the paper can be posted to PMC in accordance with the policy. (Section II.4.b.i) | Policy or guideance not found. | The CDC Repository system is designed to freely share the metadata records associated with a publication. There is no automated system for downloading all publications in CDC Stacks, which limits unauthorized redistribution. Users can request a copy of the publications that can be freely redistributed based on the publication’s license. (7.2.1) | Unless otherwise provided in the award, grantees own or may permit others to own copyright, subject to the Federal Government's license. The Federal Government has a non-exclusive, irrevocable, worldwide, royalty-free license to exercise or authorize others to exercise all rights under copyright to use a federally-funded work for Federal purposes. The Federal Government license includes the right to have the copyrighted material included in a repository where the public can search, read, download, and analyze the material in digital form. (FAQ, 37) Consistent with OMB’s Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Award (UG), effective December 26, 2014, NSF will hold a Federal purpose license for articles published based on its research awards. (7.1.3) | FFRM must be made available to the public to read, analyze, and download consistent with the end-user license. All appropriate rights will be negotiated directly with publishers of covered publications by an authorized contracting officer of the Smithsonian as part of the contract negotiation process. (5) | Policy or guideance not found. | In addition, 2 CFR § 200.315 Intangible property provides the Federal awarding agency the right to reserve a royalty-free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use any work that is subject to copyright and was developed, or for which ownership was acquired, under a Federal award for Federal purposes, and to authorize others to do so; and pursuant to 2 CFR 215.36 Intangible Property, the Federal government has the right to: (1) Obtain, reproduce, publish, or otherwise use the data produced under a Federal award; and (2) Authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes. (5.0) The full text will be made available free-of-charge to the public to read, download, and analyze in digital form not later than 12 months after the official date of publication from either the publisher’s website or from USGS. (8.0) | Use of PMC ensures that members of the public can read, download, and analyze final manuscripts or final published documents in digital form. Use of PMC also ensures that texts and their associated content will be stored in nonproprietary and/or widely-distributed archival, machine readable formats (4.b.1) | |||||||||
13 | Article Preservation | Preservation is one of the Public Access Policy's primary objectives. As discussed in NIH's Public Access Policy, NLM maintains multiple backup copies of the PMC database, both onsite and at a remote, secure location. Further, content on PMC is actively curated in that all article views are generated dynamically from the XML record of an article. In this way, every use of an article validates that the archival record is still usable and viable. (Section 8) | ASPR will ensure the permanent preservation and long term accessibility of peer-reviewed scholarly publications and data in digital format by: 1. Adopting sound, non-proprietary preservation standards and archival formats for publications and associated content, as described in the NIH Plan. 2. Developing practical backup, migration, and technology refreshing strategies. 3. Partnering with PMC, PubMed, and other appropriate scholarly data and metadata archives across the federal, academic, non-profit, and business communities. 4. Ensuring data and metadata are securely stored and safeguarded. (8) | Documents stored in CDC Stacks are stored on servers on the East Coast, West Coast, and in Atlanta, Georgia. The original scans of documents are stored for archival requirements. (Section II, F, 3, a, i) | The DoD will ensure the permanent preservation and long term accessibility of peer reviewed scholarly publications by adopting sound, non-proprietary preservation standards and archival formats; and developing practical backup, migration, and technology refreshing strategies. (9.4) | ED shall ensure the permanent preservation and long term accessibility of peer-reviewed scholarly publications through ERIC by: Adopting sound, non-proprietary preservation standards and archival formats such as PDF for publications and reviewing these practices as technology evolves. Implementing practical backup, migration, and technology refreshing strategies on a periodic basis. Partnering with other appropriate scientific publication archives across the Federal, academic, and business communities. (8.2.5) | In all cases, OSTI will maintain a dark archive of manuscripts to be used in the event links become broken or full-text access is otherwise interrupted or discontinued. This dark archive will be part of the Department’s Enterprise Data Inventory. (Implementation) | The NTL Digital Repository will use best practices in digital preservation and search to optimize archiving, dissemination, and search features which will ensure long-term stewardship of the results of federally-funded research. (7.5) The DOT will expand NTL repository functionality to ensure the system meets trusted digital repository requirements for long-term preservation. DOT will explore opportunities to engage in digital preservation networks. (7.6) | Use of NIHMS, PMC, and the association of PMC with the PubMed citation catalog, will satisfy the following publication repository requirements in the OSTP Memo: provide for long-term preservation and access to article content without charge (OSTP Memo Section 3.f.i); use widely-available and nonproprietary archival formats for text and associated content (OSTP Memo Section 3.f.ii). (IV.a.ii) | Publications and metadata will be stored in a NASA domain within the PMC system, which will provide long-term preservation and access to the content without charge. An advantage of storage in XML format is its technology independence and reliable migration as technology evolves. (Part B, 7.5) | Preservation is one of the Public Access Policy’s primary objectives. NLM maintains multiple backup copies of the PMC database, both onsite and at a remote, secure location. In addition, most of the content in PMC, including NIH-funded author manuscripts, are redistributed to PMC Canada and PMC Europe. They, in turn, share their content with PMC. Further, content on PMC is actively curated in that all article views are generated dynamically from the XML record of an article. In this way, every use of an article validates that the archival record is still usable and viable. (Section II.6.a) | NIST’s responsibilities to ensure public access include: 1. Properly maintaining the interface system to the PMC archive system to ensure that it is reliably available through the Internet. 2. Using existing archives that are trusted, reliable providers of peer-reviewed scholarly and technical literature and are available through the Internet. (7) | Once a manuscript is placed in the Institutional Repository it will be preserved there as an archival copy; format migration may be performed as technologies evolve, but the content will not be otherwise changed. The Repository will be backed up on a regular basis and stored on a redundant site. (7.2.1) | As outlined in NSF's public access plan (section 7.7), "DOE stores and preserves the information in a dark archive in a climate-controlled, appropriate environment in Oak Ridge, Tenn., with redundant, backup systems in geographically distinct locations. (FAQ, 14) | The Smithsonian-managed and Smithsonian-approved repositories should include sound, non-proprietary preservation standards and archival formats for FFRM. (5) | USDA will adopt a systematic approach to implement the public access policy that will: Ensure that publications be stored for long-term preservation while remaining publicly accessible for discovery, retrieval, and analysis; Adopt sound, non-proprietary preservation standards and archival formats for publications and associated content. (II.B) | USGS series publications are currently stored as 508 compliant and downloadable files from a system that is both replicated and accessible. This system, the USGS IPDS, is part of the USGS Records Disposition Schedule and therefore meets NARA requirements for digital preservation, that is, publications and metadata are stored in an archival solution that provides for long-term preservation and access to the content without charge to the public. Final versions of both intramural and extramural publications retained in the USGS IPDS are identified as permanent records in the USGS NARA Records schedule. The text and associated data for USGS series publications are currently stored in nonproprietary formats requiring no specialized software for access. (8.1.6) | Through its partnership with NLM PMC, require that publications and related metadata resulting from VA-funded research be stored in archival solutions that provide for long-term preservation and access to the content without charge. (8.b.3) | |||||||||
14 | Current or Planned Partnerships in Policy Enactment | AHRQ will collaborate and cooperate with [the Department of Health and Human Services] HHS and Federal Government-wide agencies to use a transparent process for soliciting views from stakeholders, including federally funded researchers, universities, libraries, publishers, users of federally funded researcher results, and civil society groups, and take such views into account. AHRQ will contract with NLM to use PMC. PMC will allow AHRQ to engage in public-private partnerships, since PMC is a public-private partnership. (Section 8) | ASPR will adapt the National Institutes of Health (NIH) Public Access Policy for eligible ASPR-funded research and require that ASPR-funded investigators submit an electronic version of final peer-reviewed journal manuscripts to the digital archive PubMed Central (PMC) upon acceptance for publication. (4) | The nature of open access software encourages public and private collaboration. CDC will be working with other federal agencies that have an interest in using a similar repository system. This includes sharing code and security documentation. This will significantly reduce the effort required to bring a new repository online. Once the systems are online, code improvements can easily be shared among federal agencies. CDC has already engaged with the Fedora Commons community. Working with the Fedora Commons project managers, CDC was able to commit CDC-generated code back to the Fedora community. These improvements are now available to anyone at no cost. CDC will continue to foster this public-private collaboration. (Section II, F, 3, iii) | DoD works with CENDI, an interagency working group of senior federal government STI managers from 13 U.S. federal agencies. Member capabilities are shared and challenges are faced together so that the sum of accomplishments is greater than each individual agency can achieve on its own. (12) | IES modeled its existing data sharing policy and implementation procedures after research agencies most similar in their research missions, the National Institutes of Health and the National Science Foundation. Each agency has now had some experience with implementing this process, and ED plans to continue to coordinate with these agencies to share what works, what doesn’t, and strategies for improving the implementation of the ED PPDG. (12.0) | Following the issuance of the OSTP memorandum in 2013, the publishing community developed a multi-publisher portal approach, the Clearinghouse for Open Research of the United States (CHORUS), to provide access to metadata for journal articles resulting from government funding. Currently under development, DOE's PAGESBeta portal will link to publishers' articles via CHORUS-supplied metadata. In the future, CrossRef's Funding Data service will simplify the identification of government-funded articles which will be included in CHORUS. While DOE's PAGESBeta will link to publisher content via CHORUS for DOE-funded articles, DOE PAGESBeta can meet the requirements for public access, and operate successfully independent of CHORUS. This is important to note since (1) not all publishers will choose to participate in CHORUS and (2) DOE must be able to fulfill its past and future public access requirements if CHORUS is ever discontinued or if individual publishers ever discontinue their participation. (DOE PAGES FAQ) Crossref's Funding Data is a publisher-agency collaboration to add funding agency identifiers to manuscript/article metadata. Once fully functional, FundRef will provide a standard metadata element to identify agency funding sources for published articles. Specifically, FundRef will facilitate the tracking of publications resulting from DOE funding (as well as publications from other agencies) and therefore assist DOE in assessing and addressing gaps in the DOE PAGESBeta repository. FundRef is facilitated by CrossRef, a collaborative reference linking service; please reference http://www.crossref.org/fundref/ for additional information. (DOE PAGES FAQ) | Policy or guidance not found. | FDA will use PubMed Central (PMC)—the NIH digital archive of biomedical and life sciences journal literature, developed and operated by the National Library of Medicine—as its designated scientific article repository in complying with the requirements in the Section 3 of the OSTP Memo. Moreover, FDA will use the NIH Manuscript Submission System (NIHMS) as a mechanism for allowing researchers to submit the final, peer-reviewed version of their articles for inclusion in PMC. (IV.a.ii) | Based on the criteria listed in the OSTP memo dated February 22, 2013, and the need for flexibility in incorporating future upgrades, NASA has chosen the NIH PMC platform. NIH has led in information retrieval for many years, and the PMC is a capable, mature, and low-risk platform that has evolved over time. (Part B,1.2) | PMC is a public-private partnership to preserve and make public full-text journal articles. It was established in 2000 and is operated by the National Library of Medicine (NLM) of the NIH. The bulk of its papers are voluntarily contributed by publishers. Thousands of journals voluntarily submit peer-reviewed author manuscripts to PMC to assist authors in complying with the public access process. Several hundred journal publishers also voluntarily automatically deposit final published versions of articles on behalf of their authors, relieving them of the need to directly submit their manuscripts. Finally, publishers representing about 1,200 journals voluntarily submit the full content of their journals to PMC, regardless of whether the issue contains an article subject to the NIH Public Access Policy. (Executive Summary) Over the years, PMC and its partner archives have become host archives for dozens of research funders, and have developed arrangements to mirror content. This means that if a funder requires a paper to be posted to PMC or its international partners within 12 months of publication, compliance with the NIH policy can also count as compliance with other funder policies. (Section II.5.c) | NIST will take advantage of PubMed Central, which is an existing and accepted public-private partnership. (9) | NOAA and CDC will enter into an interagency agreement and begin implementation of the new NOAA Institutional Repository in January 2015. The agreement will state that CDC will be the systems provider and NOAA Central Library will be the contact manager. (7.2.1) Because it is important that federal engagement with external stakeholders be coherent and effective, NOAA does not envision establishing new, NOAA-specific partnerships for PARR. Instead, NOAA will participate in existing multi-agency public-private partnerships and stakeholder engagement activities of relevance to PARR. In particular, as discussed elsewhere in this Plan, NOAA will encourage participation in the Clearinghouse for the Open Research of the United States (CHORUS)7 by journal publishers as a method for providing access to final publications (with NOAA Institutional Repository providing access and archiving for pre-publication manuscripts). (9.2) | In the initial implementation, NSF has identified the DOE PAGES system to support managing journal articles and juried conference papers. In the future, NSF may add additional partners and repository services in a federated system. (7.0) NSF supports these public-private, cross-agency activities and will incorporate new infrastructure capabilities as they mature. The Foundation’s incremental approach allows NSF to evolve its systems as new capabilities become available. Over time, NSF expects to expand the range of eligible repositories as follows: Systems operated by third parties. A coalition of publishers (Clearinghouse for Open Research of the United States (CHORUS) and a group of institutions of higher education in combination with the research libraries under the leadership of AAU/ARL/APLU (e.g., SHARE) have also proposed potential solutions. NSF will continue discussions with these groups (and others that may come forward) with the expectation that information from them may be incorporated into subsequent implementations of the proposed system. (7.3.1) | To fulfill the requirements of this plan, Smithsonian will utilize two principal public access systems, one internal and one external: Smithsonian Research Online (SRO; http://research.si.edu) and Clearinghouse for Open Research of the United States (CHORUS; www.chorusaccess.org). Together, SRO and CHORUS will allow the Institution to achieve a comprehensive approach to increased public access and ensure the use of systems that align with the current publication practices of its researchers. Use of SRO and CHORUS to fulfill the requirements of this plan shall not affect Smithsonian’s continued use and/or management of various systems that may provide access to metadata of covered publications or additional links to publishers’ sites. (7) | USDA will adopt a systematic approach to implement the public access policy that will: Explore new approaches and partnerships with authors, federal agencies, publishers, publishing organizations such as CrossRef and FundRef , and other stakeholders to obtain final peer-reviewed manuscripts or published articles. (II.B) | As part of this plan the USGS has contracted with Clearinghouse for the Open Research of the United States (CHORUS), to provide notification to the USGS of the release of USGS-funded extramural publications on non-USGS publishers’ websites for those publishers participating in the CHORUS service. These extramural publications (i.e., not published as USGS series reports using the USGS in-house publishing process of the USGS Science Publishing Network) and their metadata will then be cataloged in the USGS Publications warehouse, and a link provided to the full-text of the article on the publisher’s website, where free public access will be provided after the embargo period has expired. (7.0) | VA has established an agreement with HHS to make the results of ORD-funded research accessible to the public through the National Library of Medicine (NLM) PubMed Central (PMC) archive, a firmly established public-private partnership that currently provides access to publications of research supported by NIH. Use of PMC ensures that members of the public can read, download, and analyze final manuscripts or final published documents in digital form. Use of PMC also ensures that texts and their associated content will be stored in nonproprietary and/or widely-distributed archival, machine readable formats; provide access to persons with disabilities in accordance with Section 508 of the Rehabilitation Act of 1973; enable interoperability with other Federal public access archival solutions and other appropriate archives; and ensure that attribution to authors, journals, and original publishers will be maintained. VA is currently negotiating with NIH PMC to provide the same public access to the results of research funded by VHA Program Offices (or by any other VA entity with funding authority) and expects to have a completed agreement in place prior to the effective dates provided in Section 8 of this plan. (4.b.1) | |||||||||
15 | Compliance Measures for Policy Enforcement | Papers will be compliant when they are posted to PMC. This will form the numerator of an Agency-wide compliance measure. AHRQ's denominator for overall compliance will be determined by the number of papers AHRQ estimates fall under the policy. AHRQ will generate this number from papers linked to specific AHRQ awards by: 1. Authors in the AHRQ Manuscript Submission system. 2. Authors and principal investigators in the My NCBI bibliography management system. 3. Principal investigators and institutions in electronic progress reports. 4. Authors and publishers in the acknowledgement section of the text of papers, as indexed in Medline. (Section 8) | ASPR will ensure compliance with and evaluate the success of its Public Access Plan by Utilizing HHS-wide metrics of compliance with ASPR’s Public Access Plan and disseminating compliance information to ASPR grant, cooperative agreement, and contract program officials by July 1, 2015. Manually checking applications, proposals, and reports for compliance with the Public Access Plan (ASPR will explore mechanisms for automating this process) and delaying processing for all non-competing continuation awards with a start date of October 1, 2016, and beyond that are not compliant Utilizing ASPR intramural research databases to assess and monitor compliance by intramural researchers Measuring and reporting compliance publicly on an annual basis (9) | Extramural compliance will be monitored through RPPRs. Grantees will be asked to report either the NIHMSID or the PMCID for any publication associated with their grant. Additional compliance systems and procedures are being developed in collaboration with NIH. (Section II, G, 2a.) Intramural compliance will be measured using the CDC eClearance scientific clearance system. Peer-reviewed research publications published by CDC authors must first obtain clearance through the eClearance system. Once clearance is achieved, the manuscript moves into a pending publication state. After peer-review, the author will submit the manuscript to the NIHMS system then return either the NIHMSID or the PMCID to the eClearance system. This will complete all eClearance tasks. By monitoring this function of eClearance, it is apparent how many publications have been sent to the publishers. The cleared published state will tell CDC how many publications have been released. This will make monitoring the intramural compliance percentage straightforward. (Section II, G, 1a.) | DoD proposes to design, develop, and execute a web-based compliance monitor that issues certification tokens to authors who submit digitally formatted scientific data and articles. DTIC will establish compliance metrics in FY15. DoD will explore the use of a database and federal data sources such as usaspending.gov and the Federal Data Procurement System as the basis for the compliance and tracking system for both journal articles and digitally formatted scientific data sets from research. (10) | Initial compliance with the requirement to submit final peer-reviewed manuscripts to ERIC will be measured with IES grantees beginning with those awarded in FY 2012. IES grantees use the Federal Research Performance and Progress Report form for annual reports, in which grantees are required to identify which publications have been produced from an IES grant, and to indicate if the publication is available on ERIC. In addition, IES is currently developing an electronic tracking system for all IES awards, the IES Catalog of Education Research (ICER), through which IES will be able to identify how many of the peer-reviewed scholarly publications have metadata available in ERIC, and are available in full-text after the 12-month embargo period. The research centers are currently in conversation with the ERIC team to identify ways to coordinate on the compliance process. During FY 2016, IES prepared tracking spreadsheets drawn from ICER, in which IES identifies the percentage of publications generated by research grants funded in FY 2012 and beyond which are (a) indexed in ERIC, (b) have completed the 12-month embargo period, and (c) have full-text available. Current and former grantees whose scholarly publications are not in compliance are contacted and guided through the process of submitting publications to ERIC. These spreadsheets will be shared with other offices as requested. Compliance strategies for other ED offices will be consistent with those outlined in the ED PPDG, including not finalizing new awards without reviewing the potential grantee’s compliance with public access requirements that applied under previous awards. (8.2.6) | The DOE Public Access Plan includes a section on "Metric, compliance, and evaluation", (reference page 7 of the plan). Initially, OSTI will use various citation sources, mining "acknowledgement" and "affiliation" fields, to identify any gaps in PAGES metadata submissions. Ultimately, at full maturity, FundRef will facilitate the tracking of publications resulting from DOE funding and therefore assist DOE in assessing and addressing any gaps in the PAGES repository and will be the primary tool for identifying the full universe of accepted manuscripts that PAGES should contain for a given year. Comparison of this figure to actual receipts in PAGES will identify specific gaps. OSTI will then work with STI managers at labs and with procurement officials for grants to acquire any missing manuscript links and metadata. In addition, in talking with STI managers, many labs also plan to use various citation sources to manage submissions of Accepted Manuscripts for their respective sites. Note: Reference additional FAQs provided here for information on FundRef and how DOE support should be acknowledged when submitting articles for publication. (DOE PAGES FAQ) FundRef, a publisher-agency collaboration to add funding agency identifiers to manuscript/article metadata, will facilitate the tracking of publications resulting from DOE funding and therefore assist DOE in assessing and addressing any gaps in the PAGES repository. While FundRef matures, OSTI will use various citation sources, mining “acknowledgement” and “affiliation” fields, to identify any gaps in PAGES metadata submissions. At full maturity, FundRef will be the primary tool for identifying the full universe of accepted manuscripts that PAGES should contain for a given year. Comparison of this figure to actual receipts in PAGES will identify specific gaps. OSTI will then work with STI managers at labs and with procurement officials for grants to acquire any missing manuscript links and metadata. Similarly, for the participating publishers in the Clearinghouse for Open Research of the United States (CHORUS), the FundRef tool will serve to identify any articles not properly represented and available through PAGES. (Metrics, compliance, and evaluation) | See ntl.bts.gov/publicaccess/howtocomply.html. Report your research to TRB's RiP database at: http://rip.trb.org. (your project(s) will be automatically reported in the USDOT Research Hub at: http://www.rita.dot.gov/researchhub) (NTL How to Apply) DOT will contact institutions to request outstanding requirements be fulfilled or an explanation of why an institution feels that the public access policy does not apply. Non-compliance will be taken into consideration in evaluation of future grants and awards. Non-compliance alone is not a reason to be denied a future funding agreement, for example a grant, contract or cooperative agreement. (NTL FAQ) Develop an enforcement and compliance mechanism for this Public Access Plan which ensures that we measure and report on the Publication and Digital Data Set submission activity associated with all intramural and extramural activities. The mechanism includes tracking unique researcher IDs and funding agreement numbers in major research indices, such as the Transportation 9 United States Department of Transportation Research Board’s TRID database, the SHARE (the SHared Access Research Ecosystem) database, and FundRef database (which tracks funding agreement numbers for research published in peer-reviewed publications) to determine what has been published. (7.1) | To facilitate monitoring of compliance with agency data access policies and to assist the agency in maintaining an inventory of agency datasets as required by the Open Data Executive Order and the accompanying memorandum from Office of Management and Budget (OMB), beginning on December 29, 2015 researchers will submit to the Internal Article Catalog metadata describing the research digital datasets supporting peer-review published research. (FDA Staff Manual) Extramural Research: FDA will ensure grantee and contractor compliance with planned publication access and data management requirements by requiring, as a term and condition of the grant or contract award, periodic reporting to contracting officer representatives and program officers as a part of regular grants and contract management. Extramural researchers will periodically report • all published articles resulting from research funding and the unique FDA manuscript repository identifier associated with the article; and • the status of data collection and preservation, including deviation from the approved data management plan. Intramural Research: FDA will develop policies and mechanisms to require the reporting of the final publication citation and the unique identifier assigned by PMC, the FDA-designated scientific article repository, for employeeauthored articles covered by the scope of this plan. (V.b) Center management will consider compliance with public access requirements in evaluating an employee’s subsequent research proposals. (V.b) | Compliance with the NASA Public Access Policy is not a factor in the scientific and technical merit evaluation of grant applications. Non-compliance will be addressed administratively, and may delay or prevent awarding of funds. (FAQ, II.A.11) | A grantee’s failure to comply with the terms and conditions of award may cause NIH to take one or more enforcement actions, depending on the severity and duration of the non-compliance. NIH will undertake any such action in accordance with applicable statutes, regulations, and policies. NIH generally will afford the grantee an opportunity to correct the deficiencies before taking enforcement action unless public health or welfare concerns require immediate action. However, even if a grantee is taking corrective action, NIH may take proactive action to protect the Federal government’s interests, including placing special conditions on awards or precluding the grantee from obtaining future awards for a specified period, or may take action designed to prevent future non-compliance, such as closer monitoring. See Enforcement Actions in the NIH Grants Policy Statement (10/12): http://grants.nih.gov/grants/policy/nihgps_2012/nihgps_ch8.htm#_Toc271264977 (Public Access FAQ) NIH staff manually checks applications, proposals, or reports for compliance with the Public Access Policy. They confirm that a citation includes the appropriate reference number that indicates compliance, such as the PubMed Central Identifier (PMCID). NIH has begun to automate this reporting process by integrating the NLM’s Bibliography tool, My NCBI, with our electronic grants management system. My NCBI tracks the public access compliance status of every paper associated with an award, generates a citation with the current identifier and clearly indicates its compliance status. It also allows awardees to collaborate with their colleagues to associate publications with NIH awards. (Section II.7.a) | Non-compliance with requirements by staff and funding recipients will result in penalties; policies will evolve over time. (4) NIST will utilize data from PubMed Central, other reference sources, grant and cooperative agreements, and contract reports to determine compliance; compliance will be enforced through annual performance reviews at both staff and management levels. (8) | For NOAA research results produced internally or via contracts, enforcement of the provisions of the Plan shall be the responsibility of NOAA Programs for the research results they produce or fund. Performance Plans of relevant Program Managers, or their designees, shall be revised as necessary to explicitly assign responsibility and to enable enforcement as part of annual performance reviews. For research results funded by one NOAA operating unit but produced by another unit (such that there is not direct supervisory control by the funder), the Program Manager (or designee) of the unit providing the funding shall be responsible for collecting metrics on compliance with data accessibility and final manuscript submission by funding recipients, and for determining whether investigators who do not comply shall be prohibited from future funding or otherwise sanctioned. For extramural grant-funded research results, the Grants Management Division shall be responsible for collecting metrics on grantee compliance and determining whether investigators that do not comply shall be prohibited from receiving future funding or otherwise sanctioned. (8.2) | You must deposit a copy of any peer-reviewed journal publication (either the final accepted version or the version of record) or any juried conference paper in NSF’s designated public access repository for articles (eligible publications or conference papers) resulting from an award made for a proposal submitted, or due, on or after January 25, 2016 in order to report that publication or conference paper in your annual or final project report. We are developing a streamlined process to support the entry of publications and related metadata in annual and final project reports. (FAQ, 27) Enforcement of the public access requirement for journal publications and juried conference papers has been built into the deposit and reporting systems, with minimal additional burden for either investigators or program staff. (8.3) Consistent with long-standing policies and internal processes, NSF has relied on Cognizant Program Officers to monitor activities and to ensure that all terms and conditions of awards, including deposit of data and verification of publications, are met. (8.3) In instances of non-compliance, the Foundation can exercise a range of administrative options depending on the specific circumstances, including withholding future funding, if warranted. (8.3) | Smithsonian has entered into an agreement with CHORUS to assist with compliance with this plan for FFRM that is published by CHORUS Publisher Members. The evolution of CHORUS as a service, including integration of CrossRef, including FundRef, for data capture, specifically for intramural research, has progressed in a way that complements the Smithsonian’s existing research publication practices and its public access goals. CHORUS Publisher Members publish a significant percentage of Smithsonian research annually, and use of CHORUS for that portion of covered publications will result in higher compliance levels as well as serve to mitigate the potential impact of implementation of this plan on the Institution’s research community and responsibilities. (7) | Compliance mechanisms – Establish proper mechanisms (e.g., Digital Object Identifiers, PubAg ID, FundRef interfaces, and APIs) to facilitate compliance. Current oversight of grants and other financial assistance allows for withholding or adjustment of funds at the end of each performance period. Failure to comply will negatively influence future funding opportunities. (II.C) | In addition, compliance is ensured through progress reporting as required in the funding agreement and the Financial Assistance Monitoring Protocol used by USGS pursuant to 2 CFR 200.205(c)(3). Starting in January 2016, USGS will be required to report such recipients to Federal Awardee Performance and Integrity Information System (FAPIIS) as required by 2 CFR 200.212. Funds are withheld if an awardee is in noncompliance. (10.0) | (1) Compliance oversight and enforcement of requirements for data access plans, access to publications from VA-funded research, and access to digital data from VA-funded research will be exercised under ORO’s independent statutory authority at 38 USC 7303 to monitor, review, and investigate matters of regulatory compliance in VA research, halt VA research where warranted, and require corrective actions to ensure compliance with all applicable requirements related to the conduct of VA research. (2) ORO will be responsible for incorporating VA’s research public access requirements into its existing compliance oversight inspection and enforcement programs. Every VA research facility receives proactive onsite compliance reviews at 3-4 year intervals, for-cause onsite compliance reviews as needed, remote compliance reviews of reported noncompliance, mandatory audits by facility-based research compliance officers, annual facility director certifications of research oversight, and annual collection and monitoring of research compliance performance metrics. (6.b) No later than December 31, 2015, VA will: (8) Require that investigators of all VA-funded research be held accountable for sharing publications and data in accordance with the approved data management plan and specify that failure to implement the approved plan may result in loss of current or future funding or other restrictions on the investigator’s research activities. (8.b.8) | |||||||||
16 | Guidance and Support to Researchers in Following Policy | Policy or guidance not found. | Policy or guidance not found. | Training on the NIHMS system will be accomplished through a combination of CDC/OADS sponsored in-person training, as well as automated online training provided by NIH.(Section II, F) | Policy or guidance not found. | Training for awardees on the IES Public Access Policies is completed through a number of venues. All IES awardees participate in a post-award meeting (by phone or in person) within 30 days of the award being obligated. During this meeting, IES staff provide detailed information on the terms and conditions of awards, as well as reporting requirements (including compliance to stated terms and conditions). Training about the IES Public Access Policies is incorporated into that post-award meeting, and awardees are directed to the ERIC webinar referenced above. New FY 2016 IES awardees participated in post-award meetings in Spring and Summer 2016. IES holds annual New Grantee Webinars in which information about current public access requirements are included. In addition, IES staff monitor awards throughout the duration of a project, and review products and reports from their award. Discussion with awardees during these monitoring meetings includes updates on awardee compliance with IES public access requirements and provides opportunities to discuss any anticipated issues or problems. (8.1) | Questions are always welcomed and, as with any new initiative, are expected. Please send questions/suggestions/feedback to stip@osti.gov. Additions will be made to the FAQs provided here as needed. (DOE PAGES FAQ) Going forward, DOE will continue to solicit the views and input of stakeholders and will use multiple channels for such feedback, including e-mail, phone, and mailing addresses on the PAGES website. DOE will take stakeholder feedback into account, through various channels including a PAGES user focus group, in revising and improving its public access model. (Public consultation experience) | DOT will develop guidance for awardees, sub-awardees, principal investigators and authors submitting manuscripts to peer-reviewed publications. Terms and conditions will require sub-awardees, principal investigators and authors to submit metadata and final peer-reviewed manuscripts upon acceptance for publication. (7.3.1) | FDA will post the final agency publication and data access plan on the FDA website and will welcome any comments or feedback on the plan. Furthermore, FDA will comply with any public consultation requirements that may arise during plan implementation. (VII.a) | NASA will use its established Federal Advisory Committee Act (FACA)-chartered advisory committees and its standing committees at the National Research Council to inform its constituent communities and obtain guidance relevant to the selected PMC public access system. (Part B, 9) | See https://publicaccess.nih.gov/ | In coordination with other agencies and the private sector, awareness and support training, education, and workforce development related to NIST’s plans to provide public access to the results of federally funded scientific research, including scientific data management, analysis, storage, preservation, and stewardship, will be provided to NIST staff and those outside NIST who are working on NIST-funded scientific research. (7) | Policy or guidance not found. | See NSF 16-009 Public Access: Frequently Asked Questions: https://www.nsf.gov/pubs/2016/nsf16009/nsf16009.jsp | Policy or guidance not found. | Public access to federally-supported research results presents a new challenge for many USDA science professionals, awardees, and other stakeholders. As such, outreach to these stakeholders that includes proper education and training are critical to the success of public access implementation. (II.D) Outreach activities will take several forms: Awareness presentations and electronic communications to staff, professional organizations and scientific societies. (II.D) | Policy or guidance not found. | Policy or guidance not found. | |||||||||
17 | Guidance on Article Sharing for Researchers Using Multiple Funding Sources | The AHRQ Public Access Policy will apply to all research funded by AHRQ, except where such research is administered or performed by a partner Agency with a comparable Public Access Policy, in which case AHRQ will defer to the partner Agency's policies on the management of scholarly publications and digital data sets. (Section 2) | The ASPR Public Access Plan will apply to all research funded by ASPR, except where such research is administered or performed by a partner agency with a comparable Public Access Plan, in which case ASPR will defer to the partner agency’s policies on the management of scholarly publications and digital data sets. (3) | Policy or guidance not found. | Policy or guidance not found. | In the event that there are multiple sources of funding for a single research project during a single time period, ED intends to defer to the requirements for the agency committing the most resources to the project. Staff responsible for oversight of the awards from each agency will be involved in assuring that the requirements are clear to the awardee. ED also intends to explore whether there are automated sharing options, so that articles available in one repository (e.g., ERIC) may be automatically shared and made available in the repository of another funding agency (e.g., PubMed). (12.0) | This section applies to scholarly publications (i.e., final, peer-reviewed and accepted manuscripts or, for participating publishers, the corresponding published journal article) produced in whole or in part by Department of Energy federal employees, National Laboratory and other Management and Operating (M&O) contractor employees, financial assistance awardees, other grantees, and other contractor entities where the publication describes unclassified and otherwise unrestricted research findings produced with complete or partial DOE funding, unless otherwise prohibited by law, regulation, or policy. (Scope) | Policy or guidance not found. | FDA recognizes the burdens for researchers that may arise where research is subject to public access policies from multiple federal agencies. Duplicative or conflicting publication access and data management requirements might result from interagency research collaboration, multiple funding sources, or where FDA provides funds to another agency for the purposes of awarding a grant, contract, or cooperative agreement. In the course of implementing this plan, FDA will consider how, when, and whether to apply the FDA policy to research that is otherwise subject to public access policies from other agencies. Interagency public access implementation working groups could provide a forum to consider and address these issues government-wide. (III.c) | Deposit of a copy, either the final accepted version or the version of record, in the designated NASA repository is required if NASA has supported part of the research. You should consult the policies of the other funders to determine if deposit in another repository is also required. (NASA Data Management Plan FAQs, II.14) | Over the years, PMC and its partner archives have become host archives for dozens of research funders, and have developed arrangements to mirror content. This means that if a funder requires a paper to be posted to PMC or its international partners within 12 months of publication, compliance with the NIH policy can also count as compliance with other funder policies. (Section II.5.c) | For activities funded by multiple sources with differing public access requirements, the provisions of this plan will apply unless otherwise specified by NIST in its funding documents. (3) | Policy or guidance not found. | Deposit of a copy, either the final accepted version or the version of record, in the designated NSF repository is required if NSF has supported part of the research. You should consult the policies of the other funders to determine if deposit in another repository is also required. (FAQ, 44) NSF investigators typically have multiple funding sources. Since a given item may be based on funding from more than one agency, NSF expects to allow submissions of articles and papers to public access repositories operated by other Federal agencies that meet the standards of the OSTP February 22, 2013, memorandum and for which the investigator can provide a persistent identifier as an element in annual or final reports. Implementation of this expansion is likely to begin no earlier than FY 2016. (7.3.1) | Policy or guidance not found. | Policy or guidance not found. | This plan applies to scholarly publications and unclassified or otherwise unrestricted digital research data (i.e. digital data required to validate research findings) produced in whole or in part by the USGS, contract employees, financial assistant awardees, other grantees, and other contractor entities where the publication and data are produced with complete or partial USGS funding, unless otherwise prohibited by law, regulation or policy. (2.0) | Policy or guidance not found. | |||||||||
18 | Plans for Future Development of Article Sharing Policy | Policy or guidance not found. | 1. Q1 FY2016: Include model language for use with generic data templates will also be developed and incorporated into any ASPR-sponsored grant, cooperative agreement, contract, other transaction, or intramural funding deriving from Funding Opportunity Announcements or Requests for Proposals 2. FY2016: Include terms and conditions in contracts, grants, cooperative agreements, and other transaction awards deriving from Funding Opportunity Announcements (including Broad Agency Announcements) and Requests for Proposals 3. Annually Review the status of implementation of ASPR Public Access Plan (14) | Future plans a. Complete business plan including evaluation of infrastructure, resource requirement, and task assignments. b. Identify resources to begin implementation of plan FY2016. This will be at the agency level and by each CIO. c. Develop model language for use with generic data templates by December 2015. d. Update to CDC Data Policy and release no later than June 2015, with an effective date of October 1, 2015 (FY2016). e. CDC-wide guidance development will be initiated in FY2016 after the publishing of the revised policy set for June 2015. The development of such guidance may take 6-12 months. f. Any changes for extramural research will take effect FY2016 at the earliest because of fiscal award timelines. Additionally, the use of electronic generic templates that will facilitate uptake into a metadata catalog may be delayed due to OMB/PRA approval processes. g. Implementation timeline for IT solution to increase access and discoverability will be dependent upon the solution. 41 h. HHS is convening a workgroup to work with OPDIVs to develop common acquisition language. i. Program Directors will review metadata catalog to evaluate compliance annually. This compliance will be addressed in the policy revision currently underway. j. For publications, piloting with a division at CDC will begin soon after publishing the final plan, with the hopes of moving to the rest of CDC in the subsequent months. (Section II, N) | The DoD expects to initiate a rulemaking process that will put the proposed plan, subject to revisions determined appropriate, into effect in accordance with DoDI 5025.01. Current projections estimate the start date to be in fiscal year (FY) 15. The DoD will aggressively pursue a course of action to ensure that the infrastructure for managing public access assets will be in place and ready for voluntary submissions by the end of calendar year 2015. At the same time, the Department will initiate processes for DoD intramural programs. The rulemaking process including the public comment period takes approximately 24 months. The Department anticipates that implementation of the proposed public access policy in contract, and grant and agreement regulations will be completed in the fourth quarter of FY16. (8.2) | As required in the February 22, 2013, memo from OSTP Director John Holdren, ED will provide updates on the implementation of the ED PPDG to the Directors of OSTP and OMB twice yearly, on January 1 and July 1, for two years after the effective date of ED’s final ED PPDG. As a result of the information learned from implementing the ED PPDG, information obtained from collaborating with other agencies, and from feedback received from OSTP and OMB review, ED will update and reevaluate the ED PPDG twice yearly in line with the dates above. Thereafter, ED will update and reevaluation the ED PPDG yearly, as appropriate, to accommodate changes in technology, as well as the nature and volume of the data collected. (14.0) | DOE’s public access plan will be reviewed and revised as part of the periodic reporting requirements to OSTP and OMB. Principally, the Plan will be a tool for documenting and communicating the ongoing improvement and evolution of public access in DOE. (Update and re-evaluation of the Plan) | Policy or guidance not found. | 1. Oct. 2016 Begin annual reporting of public access compliance rates. 2. 2017 and following: Agency assessment of data management practices and identification of opportunities for additional data sharing (beyond compliance with M-13-13) 3. Ongoing: Participation in HHS Operating Division efforts regarding identification of data management needs and strategies for leveraging data management resources 4. Ongoing: Participation in interagency data and publication access plan implementation working groups (VI.c) | Policy or guidance not found. | Policy or guidance not found. | Policy or guidance not found. | NOAA intends to have intramural publications and data comply first, followed by extramural results. This will enable NOAA to test new requirements and processes internally before imposing them externally. (13) | In future implementations, NSF expects to expand the scope to include additional products such as technical reports, white papers, instructional materials and other items currently reported as part of the annual and final project reporting requirements. This timing of future implementations will depend upon experience with the initial implementation; planning will begin no sooner than FY 2015. (2.0) | Policy or guidance not found. | Phase II (2016) 1. Cost model – Develop a practical cost model to record and report the operational cost of implementing public access to scholarly publications. The cost model could be publicationor annual-based and will be developed and determined by the USDA Science Council. 2. Operation funding mechanisms – Develop practical and sustainable funding mechanisms to ensure the permanent operation, preservation and long-term accessibility of USDA’s scholarly publications. 3. Terms and conditions – Develop proper copy right languages for grant terms and conditions. 4. Publisher agreements – Establish agreements for automatic article ingestion, preprocessing, and access with major publishers and journal titles. 5. Submission flows and mechanisms – Establish flexible flows for manuscript submission. Accept manuscripts in a range of common electronic formats. 6. Compliance reporting – Develop processes to collect and report compliance information. Phase III (2017 and beyond) 1. Collaboration arrangements – Collaborate with partners to maximize the potential for interoperability between public and private platforms and creative reuse to enhance value to all stakeholders, and thereby maximize the impact of the Federal research investment. 2. Publication and dataset linkage – Define processes and identify resources to facilitate the linkage between scholarly publications and corresponding scientific datasets. (II.B) | FY 2017 and beyond will comprise monitoring, and improvement activities. (15.0) | Policy or guidance not found. | |||||||||
19 | Related Documents Not Cited | HHS Guiding Principles and Common Approach | HHS Guiding Principles and Common Approach | CDC Public Access to Publications | DoD Public Access Memo | None | DOE PAGES About | How to Meet Requirements of DOT Public Access Plan | FDA Staff Manual Guides | NASA PubSpace | HHS Guiding Principles and Common Approach | None | None | Smithsonian Research Bibliography Frequently Asked Questions | National Institute of Food and Agriculture Research Terms and Conditions, Agency-Specific (USDA) | Public Access to Results: USGS | Checklist for publishing VA research | ||||||||||
20 | HHS Public Access | DTIC Submitting FAQ | DOE PAGES Public Access Policy and Communications | HHS Guiding Principles and Common Approach | NAO 201-32G: Scientific and Technical Publications | Open Government at USDA | Access Plan FAQs | ||||||||||||||||||||
21 | Accepted Manuscript Submissions for DOE PAGES(Beta) | VA Public Access | |||||||||||||||||||||||||
22 | Documents Cited | AHRQ Public Access to Federally Funded Research | Office of the Assistant Secretary for Preparedness and Response Public Access to Federally Funded Research: Publications and Data | CDC Plan for Increasing Access to Scientific Publications and Digital Scientific Data Generated with CDC Funding | Department of Defense: Plan to Establish Public Access to the Results of Federally Funded Research | U.S. Department of Education Plan and Policy Development Guidance for Public Access | U.S. Department of Energy Public Access Plan | U.S. Department of Transportation Public Access Plan | Plan to Increase Access to Results of FDA-Funded Scientific Research | NASA Plan for Increasing Access to the Results of Scientific Research | Plan for Increasing Access to Scientific Publications and Digital Scientific Data from NIH Funded Scientific Research | NIST Plan for Providing Public Access to the Results of Federally Funded Research | NOAA Plan for Increasing Public Access to Research Results | NSF's Public Access Plan: Today's Data, Tomorrow's Discoveries | Smithsonian Institution Plan for Increased Public Access | Implementation Plan to Increase Public Access to Results of USDA-funded Scientific Research | Public Articles Articles Articles to Results of Federally Funded Research at the U.S. Geological Survey: Scholarly Publications and Digital Data | Policy and Implementation Plan for Public Access to Scientific Publications and Digital Data from Research Funded by the Department of Veterans Affairs | |||||||||
23 | AHRQ Announces New Policy | DOE PAGES Frequently Asked Questions (FAQ) | National Transportation Library (NTL) Public Access Plan FAQs | NASA-Funded Research Results Frequently Asked Questions (Publications FAQs & NASA Data Management Plan FAQs) | Frequently Asked Questions about the NIH Public Access Policy | Managing Public Access to Results of Federally Funded Research | NOAA Public Access Policy for Scholarly Publications | Public Access: FAQs | |||||||||||||||||||
24 | NTL How to Apply | NIH: When and How to Comply | |||||||||||||||||||||||||
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