Open Access and Beyond: Policy and Best Practices NFAIS Open Access - PowerPoint PPT Presentation

Open Access and Beyond: Policy and Best Practices NFAIS Open Access and Beyond Conference October 2-3, 2017 | Alexandria, VA Jerry Sheehan Deputy Director National Library of Medicine, NIH, HHS

Public Access Well-Established PMC articles available and retrieved, by month PMC Users and PMC Articles Retrieved Per Day January 2012 – August 2017 April 2017 2,500,000 5.0 6.0 Total Articles Retrieved Unique Users Articles Retrieved 2,250,000 4.5 110 100 5.0 2,000,000 4.0 90 1,750,000 3.5 Articles Retrieved - Millions 80 4.0 Articles available -Millions 1,500,000 3.0 Retrieval - Millions 70 Unique Users 1,250,000 2.5 60 3.0 50 1,000,000 2.0 40 2.0 750,000 1.5 30 500,000 1.0 20 1.0 250,000 0.5 10 0 0.0 0 0.0 1 8 15 22 29 Day 03 OCT 2017 NFAIS Beyond Open Access 2

Public Access – 22+ Completed Agency Plans Department of Veterans Affairs (Mar 2015) Department of Agriculture (Nov 2014) http://www.va.gov/ORO/Docs/Guidance/Plan_for_Access_to_Results_of_VA_Funded http://www.usda.gov/documents/USDA-Public-Access-Implementation-Plan.pdf _Rsch_02_14_2014.pdf Department of Defense (Feb 2015) Agency for International Development (Nov 2016) http://www.dtic.mil/dtic/pdf/dod_public_access_plan_feb2015.pdf https://www.usaid.gov/sites/default/files/documents/15396/USAIDPublicAcce Department of Education (Oct 2016) ssPlan.pdf Environmental Protection Agency (Dec 2016) https://ies.ed.gov/funding/pdf/EDPlanPolicyDevelopmentGuidanceforPublicAccess.pdf https://www.epa.gov/sites/production/files/2016- Department of Energy (Jul 2014) 12/documents/epascientificresearchtransperancyplan.pdf http://energy.gov/sites/prod/files/2014/08/f18/DOE_Public_Access%20Plan_FINAL.pdf National Institute of Standards & Technology (Apr 2015) Department of Health & Human Services http://www.nist.gov/open/upload/NIST-Plan-for-Public-Access.pdf http://www.hhs.gov/open/public-access-guiding-principles/index.html – Administration for Community Living [ Publications ] (Feb 2016) National Aeronautics and Space Administration (Nov 2014) http://science.nasa.gov/media/medialibrary/2014/12/05/NASA_Plan_for_increasing_ http://www.acl.gov/Programs/NIDILRR/docs/ACL-PublicAcccessPlan-Jan2016.pdf – Agency for Health Research & Quality (Feb 2015) access_to_results_of_federally_funded_research.pdf http://www.ahrq.gov/funding/policies/publicaccess/index.html National Oceanic and Atmospheric Administration (Feb 2015) – Assistant Secretary for Preparedness & Response (Feb 2015) http://docs.lib.noaa.gov/noaa_documents/NOAA_Research_Council/NOAA_PARR_Pl http://www.phe.gov/Preparedness/planning/science/Pages/AccessPlan.aspx an_v5.04.pdf – Centers for Disease Control (Jan 2015) National Science Foundation (Mar 2015) http://www.cdc.gov/od/science/docs/Final-CDC-Public-Access-Plan-Jan-2015_508- http://www.nsf.gov/pubs/2015/nsf15052/nsf15052.pdf Compliant.pdf Office of the Director of National Intelligence (Sep 2016) – Food & Drug Administration (Feb 2015) https://www.iarpa.gov/images/files/Documents/ODNI%20Public%20Access%2 http://www.fda.gov/downloads/ScienceResearch/AboutScienceResearchatFDA/UCM435 0Plan_Sept%202016.pdf 418.pdf – National Institutes of Health (Feb 2015) Smithsonian Institution (Aug 2015) http://public.media.smithsonianmag.com//file_upload_plugin/1f143b54-a9f9-4746- http://grants.nih.gov/grants/NIH-Public-Access-Plan.pdf bef5-1c76151e3c7a.pdf Department of Homeland Security (Dec 2016 ) U.S. Geological Survey (Feb 2016) https://www.dhs.gov/publication/plan-support-increased-public-access-results- http://www.usgs.gov/quality_integrity/open_access/default.asp research-funded-federal-government Department of Transportation (Nov 2015) NOTE : Institute for Museum & Library Services and Patient-Centered https://www.transportation.gov/open/official-dot-public-access-plan Outcomes Research Institute also have policies for publications access. 03 OCT 2017 NFAIS Beyond Open Access 3

Public Access – 11 Agencies Using PMC Department of Veterans Affairs (Mar 2015) Department of Agriculture (Nov 2014) http://www.va.gov/ORO/Docs/Guidance/Plan_for_Access_to_Results_of_VA_Funded http://www.usda.gov/documents/USDA-Public-Access-Implementation-Plan.pdf _Rsch_02_14_2014.pdf Department of Defense (Feb 2015) Agency for International Development (Nov 2016) http://www.dtic.mil/dtic/pdf/dod_public_access_plan_feb2015.pdf https://www.usaid.gov/sites/default/files/documents/15396/USAIDPublicAcce Department of Education (Oct 2016) ssPlan.pdf Environmental Protection Agency (Dec 2016) https://ies.ed.gov/funding/pdf/EDPlanPolicyDevelopmentGuidanceforPublicAccess.pdf https://www.epa.gov/sites/production/files/2016- Department of Energy (Jul 2014) 12/documents/epascientificresearchtransperancyplan.pdf http://energy.gov/sites/prod/files/2014/08/f18/DOE_Public_Access%20Plan_FINAL.pdf National Institute of Standards & Technology (Apr 2015) Department of Health & Human Services http://www.nist.gov/open/upload/NIST-Plan-for-Public-Access.pdf http://www.hhs.gov/open/public-access-guiding-principles/index.html – Administration for Community Living [ Publications ] (Feb 2016) National Aeronautics and Space Administration (Nov 2014) http://science.nasa.gov/media/medialibrary/2014/12/05/NASA_Plan_for_increasing_ http://www.acl.gov/Programs/NIDILRR/docs/ACL-PublicAcccessPlan-Jan2016.pdf – Agency for Health Research & Quality (Feb 2015) access_to_results_of_federally_funded_research.pdf http://www.ahrq.gov/funding/policies/publicaccess/index.html National Oceanic and Atmospheric Administration (Feb 2015) – Assistant Secretary for Preparedness & Response (Feb 2015) http://docs.lib.noaa.gov/noaa_documents/NOAA_Research_Council/NOAA_PARR_Pl http://www.phe.gov/Preparedness/planning/science/Pages/AccessPlan.aspx an_v5.04.pdf – Centers for Disease Control (Jan 2015) National Science Foundation (Mar 2015) http://www.cdc.gov/od/science/docs/Final-CDC-Public-Access-Plan-Jan-2015_508- http://www.nsf.gov/pubs/2015/nsf15052/nsf15052.pdf Compliant.pdf Office of the Director of National Intelligence (Sep 2016) – Food & Drug Administration (Feb 2015) https://www.iarpa.gov/images/files/Documents/ODNI%20Public%20Access%2 http://www.fda.gov/downloads/ScienceResearch/AboutScienceResearchatFDA/UCM435 0Plan_Sept%202016.pdf 418.pdf – National Institutes of Health (Feb 2015) Smithsonian Institution (Aug 2015) http://public.media.smithsonianmag.com//file_upload_plugin/1f143b54-a9f9-4746- http://grants.nih.gov/grants/NIH-Public-Access-Plan.pdf bef5-1c76151e3c7a.pdf Department of Homeland Security (Dec 2016 ) U.S. Geological Survey (Feb 2016) https://www.dhs.gov/publication/plan-support-increased-public-access-results- http://www.usgs.gov/quality_integrity/open_access/default.asp research-funded-federal-government Department of Transportation (Nov 2015) NOTE : Institute for Museum & Library Services and Patient-Centered https://www.transportation.gov/open/official-dot-public-access-plan Outcomes Research Institute also have policies for publications access. 03 OCT 2017 NFAIS Beyond Open Access 4

Beyond Publications - Preprints • Preprints are complete and public drafts of scientific documents, written in the form of a journal article. • NIH encourages investigators to use interim research products, such as preprints, to speed the dissemination and enhance the rigor of their work • Interim research products can be cited anywhere other research products are cited (applications, proposals, reports) – must include the Digital Object Identifier and the Object type (e.g. preprint, protocol) in the citation. – Also list any information about the document version (e.g. most recent date modified), and if relevant, the date the product was cited. • For applications submitted for the May 25, 2017 due date and thereafter, awardees can claim these products on their progress report publication list. They can also report them on their RPPR as of May 25, 2017, and link them to their award in their My Bibliography account. 03 OCT 2017 NFAIS Beyond Open Access 5

NIH Expectations for Preprints To claim an interim research product as a product of an NIH award, the NIH expects that the awardee will: • Make the product publicly available. • In the text of the document, acknowledge NIH funding in accordance with NIH Grants Policy Statement Chapter 8.2.1 • Clearly state that the work is not peer-reviewed • Declare any competing interests, as an author would do for any journal article • To maximize the impact of an interim research product, the NIH strongly encourages awardees to select a Creative Commons Attribution (CC-BY) license or dedicate their work to the public domain. 03 OCT 2017 NFAIS Beyond Open Access 6

Preprint Repositories NIH strongly encourages interim research products arising from NIH funds to be deposited in repositories that ensure: • Content is findable, accessible, interoperable and reusable. • Interim product metadata, including usage statistics, are open, and easy to access by machines and people (e.g. via application program interfaces). • Content is easy to use by machines and people. This access is both a function of permission (e.g. use of Creative Commons licenses) and technology (e.g. application program interfaces). • Policies about plagiarism, competing interests, misconduct and other hallmarks of reputable scholarly publishing are rigorous and transparent. • Records of changes to the product are maintained, and users have clear ways to cite different versions of the product. • Links to the published version, if available. • A robust archiving strategy that ensures long-term preservation and access. 03 OCT 2017 NFAIS Beyond Open Access 7