Open Access and Beyond - MemberClicks · 2017-10-05 · DOT Jan 2016 Jan 2016 VA Jan 2016 N/A AID Oct 2014 Oct 2014 EPA 2016-2018 2018 NASA Oct 2015 Oct 2015 NIST Oct 2014 Oct 2015

Open Access and BeyondPolicy 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

03 OCT 2017 NFAIS Beyond Open Access2

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PMC Users and PMC Articles Retrieved Per DayApril 2017

Total Articles Retrieved Unique Users

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PMC articles available and retrieved by monthJanuary 2012 ndash August 2017

Articles Retrieved

Public Access ndash 22+ Completed Agency PlansDepartment of Agriculture (Nov 2014)httpwwwusdagovdocumentsUSDA-Public-Access-Implementation-Planpdf

Department of Defense (Feb 2015)httpwwwdticmildticpdfdod_public_access_plan_feb2015pdf

Department of Education (Oct 2016)httpsiesedgovfundingpdfEDPlanPolicyDevelopmentGuidanceforPublicAccesspdf

Department of Energy (Jul 2014)httpenergygovsitesprodfiles201408f18DOE_Public_Access20Plan_FINALpdf

Department of Health amp Human Services httpwwwhhsgovopenpublic-access-guiding-principlesindexhtmlndash Administration for Community Living [Publications] (Feb 2016)httpwwwaclgovProgramsNIDILRRdocsACL-PublicAcccessPlan-Jan2016pdfndash Agency for Health Research amp Quality (Feb 2015)httpwwwahrqgovfundingpoliciespublicaccessindexhtmlndash Assistant Secretary for Preparedness amp Response (Feb 2015)httpwwwphegovPreparednessplanningsciencePagesAccessPlanaspxndash Centers for Disease Control (Jan 2015)httpwwwcdcgovodsciencedocsFinal-CDC-Public-Access-Plan-Jan-2015_508-Compliantpdfndash Food amp Drug Administration (Feb 2015)httpwwwfdagovdownloadsScienceResearchAboutScienceResearchatFDAUCM435

418pdfndash National Institutes of Health (Feb 2015)httpgrantsnihgovgrantsNIH-Public-Access-Planpdf

Department of Homeland Security (Dec 2016) httpswwwdhsgovpublicationplan-support-increased-public-access-results-research-funded-federal-government

Department of Transportation (Nov 2015)httpswwwtransportationgovopenofficial-dot-public-access-plan

Department of Veterans Affairs (Mar 2015)httpwwwvagovORODocsGuidancePlan_for_Access_to_Results_of_VA_Funded_Rsch_02_14_2014pdfAgency for International Development (Nov 2016)httpswwwusaidgovsitesdefaultfilesdocuments15396USAIDPublicAccessPlanpdfEnvironmental Protection Agency (Dec 2016)httpswwwepagovsitesproductionfiles2016-12documentsepascientificresearchtransperancyplanpdfNational Institute of Standards amp Technology (Apr 2015)httpwwwnistgovopenuploadNIST-Plan-for-Public-Accesspdf

National Aeronautics and Space Administration (Nov 2014)httpsciencenasagovmediamedialibrary20141205NASA_Plan_for_increasing_access_to_results_of_federally_funded_researchpdf

National Oceanic and Atmospheric Administration (Feb 2015)httpdocslibnoaagovnoaa_documentsNOAA_Research_CouncilNOAA_PARR_Plan_v504pdf

National Science Foundation (Mar 2015)httpwwwnsfgovpubs2015nsf15052nsf15052pdfOffice of the Director of National Intelligence (Sep 2016)httpswwwiarpagovimagesfilesDocumentsODNI20Public20Access20Plan_Sept202016pdfSmithsonian Institution (Aug 2015)httppublicmediasmithsonianmagcomfile_upload_plugin1f143b54-a9f9-4746-bef5-1c76151e3c7apdfUS Geological Survey (Feb 2016)httpwwwusgsgovquality_integrityopen_accessdefaultasp

03 OCT 2017 NFAIS Beyond Open Access 3

NOTE Institute for Museum amp Library Services and Patient-Centered Outcomes Research Institute also have policies for publications access

Public Access ndash 11 Agencies Using PMCDepartment of Agriculture (Nov 2014)httpwwwusdagovdocumentsUSDA-Public-Access-Implementation-Planpdf














Beyond Publications - Preprintsbull Preprints are complete and public drafts of scientific documents written in the

form of a journal article bull NIH encourages investigators to use interim research products such as preprints

to speed the dissemination and enhance the rigor of their workbull Interim research products can be cited anywhere other research products are

cited (applications proposals reports)ndash must include the Digital Object Identifier and the Object type (eg preprint protocol) in

the citation ndash Also list any information about the document version (eg most recent date modified)

and if relevant the date the product was cited

bull 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


NIH Expectations for Preprints To claim an interim research product as a product of an NIH award the NIH expects that the awardee willbull Make the product publicly available bull In the text of the document acknowledge NIH funding in accordance with

NIH Grants Policy Statement Chapter 821bull Clearly state that the work is not peer-reviewed bull Declare any competing interests as an author would do for any journal

article bull 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


Preprint Repositories NIH strongly encourages interim research products arising from NIH funds to be deposited in repositories that ensurebull Content is findable accessible interoperable and reusable bull Interim product metadata including usage statistics are open and easy to

access by machines and people (eg via application program interfaces) bull Content is easy to use by machines and people This access is both a function of

permission (eg use of Creative Commons licenses) and technology (eg application program interfaces)

bull Policies about plagiarism competing interests misconduct and other hallmarks of reputable scholarly publishing are rigorous and transparent

bull Records of changes to the product are maintained and users have clear ways to cite different versions of the product

bull Links to the published version if available bull A robust archiving strategy that ensures long-term preservation and access 03 OCT 2017 NFAIS Beyond Open Access 7

Beyond Publications - Protocols

bull Describe key elements of study design methodology data collection and analysis

bull Early availability can help reduce unnecessary duplication in research

bull Availability after study completion can assist in interpreting result

bull Most well-developed for clinical trials


Policy for Clinical Trial Protocolsbull Federal regulations for

clinical trial registration and results reporting (42 CFR 11)

bull NIH Policy on the Dissemination of NIH-Funded Clinical Trial Information (NOT-OD-16-149 )

bull ClinicalTrialsgovndash 250000+ registered trialsndash 28000 studies with resultsndash Registration summarizes

protocolndash 172 records with full protocol


Beyond Publications - Data

1999 20042003 2007 20142008

Research Tools Policy

NIH Data Sharing Policy

Model Organism Policy

Genome-wide Association (GWAS) Policy

2012

NIH Public Access Policy (Publications)

Big Data to Knowledge (BD2K) Initiative

Genomic Data Sharing (GDS) Policy

OSTP Public Access

Memo

2015 2017

Regulations and NIH Policy on Clinical Trial Registration amp Results Reporting

NIH Intramural Human Data Sharing Policy

1003 OCT 2017 NFAIS Beyond Open Access

OSTP Memorandum ndash Objectives for Data Policybull Maximize free access whilendash Protecting privacy and confidentiality national securityndash Recognizing intellectual property rightsndash Balancing costs amp benefits of long-term preservation

bull Require data management plans (DMPs)bull Allow inclusion of costs in applications for fundingbull Ensure appropriate evaluation of DMPsbull Monitor compliance by investigatorsbull Encourage deposit of data in public repositories where possiblebull Cooperate with the private sectorbull Develop approaches for data citation amp attribution bull Support training education and workforce developmentbull Assess long-term needs for preservation and options for repositories


Data Management RequirementsNumber of agencies with data management plan requirements in effect 14+


Agency Intramural Extramural

DHS TBA TBA

DOT Jan 2016 Jan 2016

VA Jan 2016 NA

AID Oct 2014 Oct 2014

EPA 2016-2018 2018

NASA Oct 2015 Oct 2015

NIST Oct 2014 Oct 2015

NOAA Jan 2016 June 2016

NSF NA Jan 2011

ODNI Jan 2017 Jan 2017

SI Oct 2015 Oct 2015

USGS Feb 2015 Oct 2016


USDA TBA TBA

DOD TBA TBA

ED [TBA] IES-Oct 2012

DOE Oct 2015 Oct 2015

HHS-ACL Oct 2017 Oct 2017

HHL-AHRQ Public Data TBA

HHS-ASPR Oct 2015 Oct 2015

HHS-CDC Feb 2016 Oct 20132016

HHS-FDA Jan 2016 Oct 2016

HHS-NIH DMP ndash TBDIHSD-Oct 2015GDS-Sep 2015

DMP ndash TBDDSP-Oct 2003GDS-Jan 2015

NOTE See wwwcendigov for additional details

NIH Data Sharing Policiesbull Genomic Data Sharing Policybull Policy on the Dissemination of NIH-Funded Clinical Trial

Information bull Numerous Institute- and Program-specific policies

httpswwwnlmnihgovNIHbmicnih_data_sharing_policieshtml

bull Data Sharing Policybull Data Management and Sharing Policy ndash to comebull 21st Century Cures Act ndash NIH Director may require funding

recipients to share scientific data to the extent feasible consistent with human subjects protections IPR proprietary interests


Linking Data in PubMed


Example PubMed Searchesgenbank[si] OR figshare[si]loprovfigshare[Filter] OR loprovdryaddb[Filter]

Secondary Source ID field Linkout Other Literature Sources

Linked Data in PubMed Central


Supplementary Material Section

Data Availability Section

Data Citations Section

Dataset Deposit in NIH Manuscript Submission System


Tips for submittersbull Supply with other manuscript files in

Step 1 of NIHMS process

bull Upload as Supplemental file type

bull Provide general dataset label (eg Dataset 1 Data 2)

Limitations on depositbull Data file(s) must be 2 GB or less

bull Author must have funding from a PMC-participating funder to deposit

Interconnected Digital Research Objects


Linking Citations


To Full Text Articles


To Protocols and Data


In ClinicalTrialsgov


Coming full circle Back to related scientific literature


Collaboration Among Federal AgenciesFunctions

ndashExchange information on implementation of public access policies and practices

ndash Facilitate interagency coordination and cooperation on open science

ndashRecommend additional objectives for Federal open science policies

ndashOutline effective strategies for improving preservation discoverability and accessibility of scientific data

ndash Identify effective approaches for data preservation amp access assess requirements for scaling up and identify gaps

ndash Facilitate coordination of training education and workforce development

ndash Liaise with other NSTC groupsndash Identify opportunities for international

communication and collaboration


Collaborating Internationallybull OECD Science and Technology Ministerial Declaration Daejeon Korea ndash

October 2015 httpwwwoecdorgstidaejeon-declaration-2015htm

ldquoWe AGREE that science technology and innovation are being revolutionized by the rapid evolution of digital technologies which arehellipincreasing the reliance on access to scientific data and publications (lsquoopen sciencersquo)helliprdquo

bull G7 Science and Technology Ministers Communique Tsukuba Japan May 2016 httpwww8caogojpcstpenglishothers20160517communiquepdf

ldquo we acknowledged that Open Science can change the way research and development (RampD) is undertaken with emerging findings leading to far greater global collaboration and encouraging a much broader range of participants and stakeholders We also recognized the importance of Open Science as a driver for greater inclusion in RampD for example with the emergence of citizen sciencerdquo

bull G20 Leadersrsquo Communique Hangzhou Summit (China) September 2016 httpwwwg20orgEnglishDynamic201609t20160906_3396html

ldquohellipwe support appropriate efforts to promote open science and facilitate appropriate access to publicly funded research results on findable accessible interoperable and reusable (FAIR) principlesrdquo


Additional Information and Discussion

US Agency Public Access Policieshttpswwwsciencegov

NIH Public Access Policyhttpspublicaccessnihgov

NIH Resource Sharing Policies httpssharingnihgov

- NIH Data Sharing Policy httpsharingnihgov

- NIH Genomic Data Sharing Policy httpgdsnihgov

- NIH Clinical Trials Data Sharing httpclinicaltrialsgov

NIH Data Sharing Repositories httpwwwnlmnihgovNIHbmicnih_data_sharing_repositorieshtml


Public Access Well-Established

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PMC articles available and retrieved by monthJanuary 2012 ndash August 2017

Articles Retrieved





























































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations

































































































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations



















































































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations





































































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations





























































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations
























































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations


















































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations












































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations






































1999 20042003 2007 20142008





2012




OSTP Public Access

Memo

2015 2017










DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations











































DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations








































DHS TBA TBA


VA Jan 2016 NA


EPA 2016-2018 2018




NSF NA Jan 2011





USDA TBA TBA

DOD TBA TBA




































Linking Citations






























































Linking Citations
























































Linking Citations




















































Linking Citations















































Linking Citations







































Linking Citations





































Linking Citations
























































































































































































































