federal funding agency's public access policies and you

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Federal Funding Agency Public Access Polices & You Presented by Margaret Janz at the Science & Engineering Library at Temple University, May 7, 2015

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Federal Funding Agency Public Access Polices

& You

Presented by Margaret Janz at the Science & Engineering Library at Temple University, May 7, 2015

Agency Responses• Agency for Healthcare Research and Quality (AHRQ)• Assistant Secretary for Preparedness and Response

(ASPR)• Center for Disease Control and Prevention (CDC)• Department of Agriculture• Department of Defense• Department of Energy• Department of Health and Human Services• Department of Transportation• Department of Veterans Affairs• Food and Drug Administration (FDA)• National Aeronautics and Space Administration (NASA)• National Institute of Standards and Technology (NIST)• National Institutes of Health (NIH)• National Oceanic and Atmospheric Administration

(NOAA)• National Science Foundation (NSF)• US Agency for International Development (USAID)• US Geological Survey (USGS)

Still Waiting for:• Department of Commerce• Department of Education• Department of Homeland Security• Department of Housing and Urban Development• Department of Interior• Department of Labor• Environmental Protection Agency (EPA)• Institute for Museum and Library Services (IMLS)• Smithsonian Institution

Basic Themes

Articles Data• Most agencies cite PubMed Central

as a model for depositing publicly accessible versions of articles

• Almost all of the released documents indicate that agencies will be requiring grant recipients make final versions of their research articles available freely within 12 months of publication

• Many will require that the underlying data associated with those articles be made publicly available at the time of the article is published or within 12-30 months of the final set’s compilation

• Most agencies will be, if they are not already, requiring that a data management plan (DMP) be submitted with all grant proposals

Basic Themes• If your publications and/or data cannot be made

available, you’ll need to provide an explanation.

• Most agencies specify that costs of depositing and sharing data and/or articles can be written into grant proposals

• Public access requirements for many agencies are already in place while others are planned to be implemented in the coming months or years (depending on the agency)

NSF NIH NASA

• Piggy backing on DOE PAGES repository for articles

• Investigating data repository options

• Continue to use PubMed Central for articles

• Existing NIH-funded data repositories or existing, appropriate, publicly accessible repositories

• Plan to use NASA-branded portal like PubMed Central

• Investigating data repository options

• Will create a catalog to point to data sets

Options for Deposit

NSF NIH NASA

• Takes effect Jan. 2016

• ≤ 12 mo. After initial publication for articles, considering accepting petitions to extend

• Think about at time of publication for data

• In effect for articles, partially for data. Data more formed by Dec. 2015

• ≤ 12 mo. After initial publication for articles

• At the time of article publication for data (appropriate timelines being explored)

• Takes effect Oct. 2015

• ≤ 12 mo. After initial publication for articles

• At time of publication or a “reasonable time frame” for data

Timelines for Deposit

http://bit.ly/FedOASummary

ARTICLES

[Potential] Options

• Publish your article in an open access journal or a journal that complies with agency policies

Ex: http://publicaccess.nih.gov/select_deposit_publishers.htm http://publicaccess.nih.gov/submit_process_journals.htm

• Deposit version of record in agency’s specified

repository or one that meets their requirements

Important!

• Keep your copyright!

• Read your contracts with publishers to make sure you’ll have the rights to make the version of record public

Most agencies want articles in nonproprietary formats, and most specify PDF/A.

This is how you can save your document as a PDF/A.

MetadataNSF will require at least these metadata fields for articles:

1. Persistent identifier (e.g., DOI, NSF identifier created by DOE, etc.), which links the metadata record with the associated content

2. Author names(s) with associated persistent identifiers (such as the NSF investigator ID or, eventually, ORCID or a similar system)

3. Title of the article4. Journal or serial title, preferably with identifiers (e.g., ISSN) 5. Name(s) of agency/agencies and award number(s)6. Representation of intellectual property rights7. Link(s) to underlying data including but not limited to the

Supplementary Material published with the journal article itself 8. Author - or publisher - supplied Abstract

Other Things to Note

• Some agencies imply that keeping a link to your articles on your website is ok.– Read your contracts to make sure it is– You’ll need to maintain site– Keep backup copies of the articles just in case

• You’re responsible for compliance – Read your contracts with publishers!

Only articles/juried conference proceeding that have been deposited will be

used for annual and final reports.

DATA

OMB Circular A-110Research data is defined as the recorded factual material commonly accepted in the scientific community as necessary to validate research findings, but not any of the following: preliminary analyses, drafts of scientific papers, plans for future research, peer reviews, or communications with colleagues. This "recorded" material excludes physical objects (e.g., laboratory samples). Research data also do not include: (A) Trade secrets, commercial information, materials necessary to be held confidential by a researcher until they are published, or similar information which is protected under law; and (B) Personnel and medical information and similar information the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, such as information that could be used to identify a particular person in a research study.

https://www.whitehouse.gov/omb/circulars_a110/

You’re going to need a DMP

Typical DMP Elements• Types of data

• Standards for your data

• Standards for documenting your data (metadata)

• Policies for access & sharing

• Policies for re-use

• Plans for long-term storage

• Roles & Responsibilities for all parties throughout the life of the data

Unlike articles, most agencies say data will need to be available at the time the article it

supports is published.

Best Practices

• Open file formats such as CSV– See list here:

http://guides.temple.edu/datamgmt/formats

Best Practices

• Have a ReadMe file, data dictionary, code book, and/or metadata file associated with data files

Best Practices

• Use open file formats and update

• Keep folders and files organized well

• Have logical, descriptive, and consistent folder and file names– Ex: 20150507OSTPRespPresentation.pdf

Best Practices

• Keep back up copies of your articles and data files - One copy stored off site if possible

Lost & Found

Best Practices

• All these things can go into your Data Management Plan, which, in turn, will help you keep organized if you follow it

• When in doubt, talk to your librarian!

Resources• Blog post: Public Access to Research Findings: New Agency Guidelines and Requirements:

http://sites.temple.edu/selresearch/2015/04/13/public-access-to-research-findings/• Public access mandates for federally funded research: implementation plans (Columbia

University Libraries): http://scholcomm.columbia.edu/open-access/public-access-mandates-for-federally-funded-research/

• Data Management Guide: OSTP Responses (University of Washington Libraries): http://guides.lib.washington.edu/ostp-responses

• Research Funder Open Access Requirements (MIT Libraries): http://libraries.mit.edu/scholarly/publishing/research-funders/research-funder-open-access-requirements/

• Overview of OSTP Responses: http://figshare.com/articles/Overview_of_OSTP_Responses/1367165

• Information from SPARC: http://sparc.arl.org/advocacy/national/directive• US Agency Public Access Plans (CHORUS):

http://www.chorusaccess.org/resources/us-agency-public-access-plans/• White House Directive on Public Access to Federally Funded Research and Data (ARL):

http://www.arl.org/focus-areas/public-access-policies/federally-funded-research/2696-white-house-directive-on-public-access-to-federally-funded-research-and-data#agency-policies

• Data Management guidelines from Temple University Libraries: http://guides.temple.edu/datamgmt

• #OSTPResp on the Twitter

Agency Resources• AHRQ: http://www.ahrq.gov/funding/policies/publicaccess/index.html• ASPR: http://www.phe.gov/Preparedness/planning/science/Pages/AccessPlan.aspx• CDC: http://www.cdc.gov/od/science/docs/Final-CDC-Public-Access-Plan-Jan-2015_508-Compliant.pdf• DOD: http://www.dtic.mil/dtic/pdf/DoD_PublicAccessPlan_Feb2015.pdf• DOE: http://www.energy.gov/sites/prod/files/2014/08/f18/DOE_Public_Access%20Plan_FINAL.pdf• DOT: http://www.dot.gov/open/plan-chapter3#sec3-2-1• FDA: http://www.fda.gov/downloads/ScienceResearch/AboutScienceResearchatFDA/UCM435418.pdf• NASA:

http://science.nasa.gov/media/medialibrary/2014/12/05/NASA_Plan_for_increasing_access_to_results_of_federally_funded_research.pdf

NASA DMP FAQ Roses: http://science.nasa.gov/researchers/sara/faqs/dmp-faq-roses/ • NIH: http://grants.nih.gov/grants/NIH-Public-Access-Plan.pdfNIST

http://www.nist.gov/data/upload/NIST-Plan-for-Public-Access.pdf• NOAA: http://docs.lib.noaa.gov/noaa_documents/NOAA_Research_Council/NOAA_PARR_Plan_v5.04.pdf• NSF: http://www.nsf.gov/pubs/2015/nsf15052/nsf15052.pdf • USDA: http://www.usda.gov/documents/USDA-Public-Access-Implementation-Plan.pdf• USAID: http://blog.usaid.gov/2014/10/announcing-usaids-open-data-policy/• USGS: http://www.usgs.gov/usgs-manual/im/IM-OSQI-2015-01.html• VA: http://www.research.va.gov/resources/policies/public_access.cfm

Additional Reading• NOAA’s Data Heads for the Clouds:

https://www.whitehouse.gov/blog/2015/05/04/noaa-s-data-heads-clouds

• Better Academia - How the NIH, FDA, CDC, AHRQ & ASPR guidelines will define open science in the USA: http://figshare.com/blog/Better_Academia_How_the_NIH_FDA_CDC_AHRQ_ASPR_guidelines_will_define_open_scienc/151

• An Inside View of the OSTP Memo Responses on Research Data Management: http://esciencecommunity.umassmed.edu/2015/04/03/an-inside-view-of-the-ostp-memo-responses-on-research-data-management/