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

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

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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

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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

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Public Access Well-Established

03 OCT 2017 NFAIS Beyond Open Access 2

0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0 250,000 500,000 750,000 1,000,000 1,250,000 1,500,000 1,750,000 2,000,000 2,250,000 2,500,000 1 8 15 22 29 Articles Retrieved - Millions Unique Users Day

PMC Users and PMC Articles Retrieved Per Day April 2017

Total Articles Retrieved Unique Users 0.0 1.0 2.0 3.0 4.0 5.0 6.0 10 20 30 40 50 60 70 80 90 100 110 Articles available -Millions Retrieval - Millions

PMC articles available and retrieved, by month January 2012 – August 2017

Articles Retrieved

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Public Access – 22+ Completed Agency Plans

Department of Agriculture (Nov 2014)

http://www.usda.gov/documents/USDA-Public-Access-Implementation-Plan.pdf

Department of Defense (Feb 2015)

http://www.dtic.mil/dtic/pdf/dod_public_access_plan_feb2015.pdf

Department of Education (Oct 2016)

https://ies.ed.gov/funding/pdf/EDPlanPolicyDevelopmentGuidanceforPublicAccess.pdf

Department of Energy (Jul 2014)

http://energy.gov/sites/prod/files/2014/08/f18/DOE_Public_Access%20Plan_FINAL.pdf

Department of Health & Human Services

http://www.hhs.gov/open/public-access-guiding-principles/index.html

– Administration for Community Living [Publications] (Feb 2016)

http://www.acl.gov/Programs/NIDILRR/docs/ACL-PublicAcccessPlan-Jan2016.pdf

– Agency for Health Research & Quality (Feb 2015)

http://www.ahrq.gov/funding/policies/publicaccess/index.html

– Assistant Secretary for Preparedness & Response (Feb 2015)

http://www.phe.gov/Preparedness/planning/science/Pages/AccessPlan.aspx

– Centers for Disease Control (Jan 2015)

http://www.cdc.gov/od/science/docs/Final-CDC-Public-Access-Plan-Jan-2015_508- Compliant.pdf

– Food & Drug Administration (Feb 2015)

http://www.fda.gov/downloads/ScienceResearch/AboutScienceResearchatFDA/UCM435 418.pdf

– National Institutes of Health (Feb 2015)

http://grants.nih.gov/grants/NIH-Public-Access-Plan.pdf

Department of Homeland Security (Dec 2016)

https://www.dhs.gov/publication/plan-support-increased-public-access-results- research-funded-federal-government

Department of Transportation (Nov 2015)

https://www.transportation.gov/open/official-dot-public-access-plan

Department of Veterans Affairs (Mar 2015)

http://www.va.gov/ORO/Docs/Guidance/Plan_for_Access_to_Results_of_VA_Funded _Rsch_02_14_2014.pdf

Agency for International Development (Nov 2016)

https://www.usaid.gov/sites/default/files/documents/15396/USAIDPublicAcce ssPlan.pdf

Environmental Protection Agency (Dec 2016)

https://www.epa.gov/sites/production/files/2016- 12/documents/epascientificresearchtransperancyplan.pdf

National Institute of Standards & Technology (Apr 2015)

http://www.nist.gov/open/upload/NIST-Plan-for-Public-Access.pdf

National Aeronautics and Space Administration (Nov 2014)

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

National Oceanic and Atmospheric Administration (Feb 2015)

http://docs.lib.noaa.gov/noaa_documents/NOAA_Research_Council/NOAA_PARR_Pl an_v5.04.pdf

National Science Foundation (Mar 2015)

http://www.nsf.gov/pubs/2015/nsf15052/nsf15052.pdf

Office of the Director of National Intelligence (Sep 2016)

https://www.iarpa.gov/images/files/Documents/ODNI%20Public%20Access%2 0Plan_Sept%202016.pdf

Smithsonian Institution (Aug 2015)

http://public.media.smithsonianmag.com//file_upload_plugin/1f143b54-a9f9-4746- bef5-1c76151e3c7a.pdf

U.S. Geological Survey (Feb 2016)

http://www.usgs.gov/quality_integrity/open_access/default.asp 03 OCT 2017 NFAIS Beyond Open Access 3

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

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Public Access – 11 Agencies Using PMC

Department of Agriculture (Nov 2014)

http://www.usda.gov/documents/USDA-Public-Access-Implementation-Plan.pdf

Department of Defense (Feb 2015)

http://www.dtic.mil/dtic/pdf/dod_public_access_plan_feb2015.pdf

Department of Education (Oct 2016)

https://ies.ed.gov/funding/pdf/EDPlanPolicyDevelopmentGuidanceforPublicAccess.pdf

Department of Energy (Jul 2014)

http://energy.gov/sites/prod/files/2014/08/f18/DOE_Public_Access%20Plan_FINAL.pdf

Department of Health & Human Services

http://www.hhs.gov/open/public-access-guiding-principles/index.html

– Administration for Community Living [Publications] (Feb 2016)

http://www.acl.gov/Programs/NIDILRR/docs/ACL-PublicAcccessPlan-Jan2016.pdf

– Agency for Health Research & Quality (Feb 2015)

http://www.ahrq.gov/funding/policies/publicaccess/index.html

– Assistant Secretary for Preparedness & Response (Feb 2015)

http://www.phe.gov/Preparedness/planning/science/Pages/AccessPlan.aspx

– Centers for Disease Control (Jan 2015)

http://www.cdc.gov/od/science/docs/Final-CDC-Public-Access-Plan-Jan-2015_508- Compliant.pdf

– Food & Drug Administration (Feb 2015)

http://www.fda.gov/downloads/ScienceResearch/AboutScienceResearchatFDA/UCM435 418.pdf

– National Institutes of Health (Feb 2015)

http://grants.nih.gov/grants/NIH-Public-Access-Plan.pdf

Department of Homeland Security (Dec 2016)

https://www.dhs.gov/publication/plan-support-increased-public-access-results- research-funded-federal-government

Department of Transportation (Nov 2015)

https://www.transportation.gov/open/official-dot-public-access-plan

Department of Veterans Affairs (Mar 2015)

http://www.va.gov/ORO/Docs/Guidance/Plan_for_Access_to_Results_of_VA_Funded _Rsch_02_14_2014.pdf

Agency for International Development (Nov 2016)

https://www.usaid.gov/sites/default/files/documents/15396/USAIDPublicAcce ssPlan.pdf

Environmental Protection Agency (Dec 2016)

https://www.epa.gov/sites/production/files/2016- 12/documents/epascientificresearchtransperancyplan.pdf

National Institute of Standards & Technology (Apr 2015)

http://www.nist.gov/open/upload/NIST-Plan-for-Public-Access.pdf

National Aeronautics and Space Administration (Nov 2014)

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

National Oceanic and Atmospheric Administration (Feb 2015)

http://docs.lib.noaa.gov/noaa_documents/NOAA_Research_Council/NOAA_PARR_Pl an_v5.04.pdf

National Science Foundation (Mar 2015)

http://www.nsf.gov/pubs/2015/nsf15052/nsf15052.pdf

Office of the Director of National Intelligence (Sep 2016)

https://www.iarpa.gov/images/files/Documents/ODNI%20Public%20Access%2 0Plan_Sept%202016.pdf

Smithsonian Institution (Aug 2015)

http://public.media.smithsonianmag.com//file_upload_plugin/1f143b54-a9f9-4746- bef5-1c76151e3c7a.pdf

U.S. Geological Survey (Feb 2016)

http://www.usgs.gov/quality_integrity/open_access/default.asp 03 OCT 2017 NFAIS Beyond Open Access 4

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

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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

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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

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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
  • f 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

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Beyond Publications - Protocols

  • Describe key elements of study design, methodology, data

collection, and analysis

  • Early availability can help reduce unnecessary duplication in

research

  • Availability after study completion can assist in interpreting

result

  • Most well-developed for clinical trials

03 OCT 2017 NFAIS Beyond Open Access 8

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Policy for Clinical Trial Protocols

  • Federal regulations for

clinical trial registration and results reporting (42 CFR 11)

  • NIH Policy on the

Dissemination of NIH- Funded Clinical Trial Information (NOT-OD-16- 149 )

  • ClinicalTrials.gov

– 250,000+ registered trials – 28,000 studies with results – Registration summarizes protocol – 172 records with full protocol

03 OCT 2017 NFAIS Beyond Open Access 9

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Beyond Publications - Data

1999 2004 2003 2007 2014 2008

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 & Results Reporting NIH Intramural Human Data Sharing Policy

10 03 OCT 2017 NFAIS Beyond Open Access

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OSTP Memorandum – Objectives for Data Policy

  • Maximize free access while

– Protecting privacy and confidentiality, national security – Recognizing intellectual property rights – Balancing costs & benefits of long-term preservation

  • Require data management plans (DMPs)
  • Allow inclusion of costs in applications for funding
  • Ensure appropriate evaluation of DMPs
  • Monitor compliance by investigators
  • Encourage deposit of data in public repositories, where possible
  • Cooperate with the private sector
  • Develop approaches for data citation & attribution
  • Support training, education and workforce development
  • Assess long-term needs for preservation and options for repositories

03 OCT 2017 NFAIS Beyond Open Access 11

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Data Management Requirements

Number of agencies with data management plan requirements in effect: 14+

03 OCT 2017 NFAIS Beyond Open Access 12

Agency Intramural Extramural DHS TBA TBA 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 NOAA Jan 2016 June 2016 NSF N/A Jan 2011 ODNI Jan 2017 Jan 2017 SI Oct 2015 Oct 2015 USGS Feb 2015 Oct 2016 Agency Intramural Extramural 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 2013/2016 HHS-FDA Jan 2016 Oct 2016 HHS-NIH DMP – TBD IHSD-Oct 2015 GDS-Sep 2015 DMP – TBD DSP-Oct 2003 GDS-Jan 2015 NOTE: See www.cendi.gov for additional details

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NIH Data Sharing Policies

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

Information

  • Numerous Institute- and Program-specific policies:

https://www.nlm.nih.gov/NIHbmic/nih_data_sharing_policies.html

  • Data Sharing Policy
  • Data Management and Sharing Policy – to come
  • 21st Century Cures Act – NIH Director may require funding

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

03 OCT 2017 NFAIS Beyond Open Access 13

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Linking Data in PubMed

03 OCT 2017 NFAIS Beyond Open Access 14

Example PubMed Searches: genbank[si] OR figshare[si] loprovfigshare[Filter] OR loprovdryaddb[Filter] Secondary Source ID field Linkout: Other Literature Sources

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Linked Data in PubMed Central

03 OCT 2017 NFAIS Beyond Open Access 15

Supplementary Material Section Data Availability Section Data Citations Section

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Dataset Deposit in NIH Manuscript Submission System

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Tip ips s for

  • r subm

submitters:

  • Supply with other manuscript files in

Step 1 of NIHMS process

  • Upload as Supplemental file type
  • Provide general dataset label (e.g.,

Dataset 1, Data 2) Lim Limitatio ions on

  • n de

deposit it:

  • Data file(s) must be 2 GB or less
  • Author must have funding from a

PMC-participating funder to deposit

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Interconnected Digital Research Objects

03 OCT 2017 NFAIS Beyond Open Access 17

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Linking Citations. . .

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To Full Text Articles

03 OCT 2017 NFAIS Beyond Open Access 19

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To Protocols and Data

03 OCT 2017 NFAIS Beyond Open Access 20

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In ClinicalTrials.gov

03 OCT 2017 NFAIS Beyond Open Access 21

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Coming full circle: Back to related scientific literature

03 OCT 2017 NFAIS Beyond Open Access 22

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Collaboration Among Federal Agencies

Functions

–Exchange information on implementation of public access policies and practices –Facilitate interagency coordination and cooperation on open science –Recommend additional objectives for Federal

  • pen science policies

–Outline effective strategies for improving preservation, discoverability, and accessibility

  • f scientific data

–Identify effective approaches for data preservation & access; assess requirements for scaling up; and identify gaps –Facilitate coordination of training, education, and workforce development –Liaise with other NSTC groups –Identify opportunities for international communication and collaboration

03 OCT 2017 NFAIS Beyond Open Access 23

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Collaborating Internationally

  • OECD Science and Technology Ministerial Declaration, Daejeon Korea –

October 2015 http://www.oecd.org/sti/daejeon-declaration-2015.htm

“We. . .AGREE that science, technology and innovation are being revolutionized by the rapid evolution of digital technologies which are…increasing the reliance on access to scientific data and publications (‘open science’)…”

  • G7 Science and Technology Ministers Communique, Tsukuba, Japan, May

2016 http://www8.cao.go.jp/cstp/english/others/20160517communique.pdf

“. . .we acknowledged that Open Science can change the way research and development (R&D) 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 R&D, for example with the emergence of citizen science.”

  • G20 Leaders’ Communique, Hangzhou Summit (China), September 2016

http://www.g20.org/English/Dynamic/201609/t20160906_3396.html

“…we support appropriate efforts to promote open science and facilitate appropriate access to publicly funded research results on findable, accessible, interoperable and reusable (FAIR) principles.”

03 OCT 2017 NFAIS Beyond Open Access 24

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Additional Information and Discussion

U.S. Agency Public Access Policies

https://www.science.gov/

NIH Public Access Policy

https://publicaccess.nih.gov/

NIH Resource Sharing Policies

https://sharing.nih.gov

  • NIH Data Sharing Policy

http://sharing.nih.gov

  • NIH Genomic Data Sharing Policy

http://gds.nih.gov/

  • NIH Clinical Trials Data Sharing:

http://clinicaltrials.gov

NIH Data Sharing Repositories:

http://www.nlm.nih.gov/NIHbmic/nih_data_sharing_reposi tories.html

25 03 OCT 2017 NFAIS Beyond Open Access