Public access mandates for federally funded research

In the Increasing Access to the Results of Federally Funded Research policy memorandum released in February 2013, the White House’s Office of Science and Technology Policy (OSTP) Director John Holdren directed federal agencies to develop plans to make the publications resulting from federally funded research freely available to the public within one year of publication, and required researchers to better account for and manage the digital data resulting from federally funded scientific research with the goal of making these data publicly accessible, as well.

The memorandum is directed to the heads of executive departments and agencies with over $100 million in annual extramural R&D budgets to develop a public access plan for the results of research–meaning scientific publications and digital scientific data–directly arising from their funds (2014-03-24 Update, lists agencies).Federal funding agencies started rolling out their implementation plans in 2014 (2014-11-13 Progress update).
Here is a summary table of the agencies that have made their implementation plans public, followed by links to the implementation plans along with brief summaries of the proposed solutions for providing public access to articles (A) and digital data sets (D):

Latest update: 2016-08-19


Agency Article Solution (A) Maximum Embargo Period Data Solution (D)
ACL/ NIDILRR PubMed Central (PMC) 12 months TBD
AHRQ PMC 12 months following publication date Commercial repository, yet to be named* [DMP guidance]
ASPR** PMC 12 months Scientific data repositories, data.gov data registry* [DMP guidance]
CDC** CDC Stacks, using NIHMS submission system 12 months Multiple solutions + data registry [DMP guidance]
DOD Defense Technical Information Center (DTIC) 12 months No specific solution* [DMP guidance]
DOE Public Access Gateway for Energy and Science (PAGES) 12 months Varies by office* [DMP template]
DOT DOT National Transportation Library (NTL) N/A To be released [DMP guidance]
FDA** PMC 12 months Disciplinary data repositories, where available* [DMP guidance]
IES ERIC 12 months Researcher choice* Data must be available for ≥10 yr.
NASA PubSpace 12 months NASA’s Data Portal, or other repository* [DMP template]
NIST PMC interface 12 months + reserves right to shorten or extend period EDI registry of datasets, Developing a Common Access infrastructure* [DMP guidance]
NIH** PMC 12 months Multiple solutions + Data Discovery Index [DMP template]
NOAA NOAA Institutional Repository 12 months Multiple solutions short term + NOAA Data Centers for data “worthy” of long term preservation [DMP template]
NSF NSF-PAR 12 months An “appropriate repository”* [DMP template]
SI SRO, CHORUS 12 months SRO, approved external, community-supported or discipline-specific repositories, or via CHORUS* [DMP guidance]
USAID N/A N/A USAID repository: Development Data Library, or other [DMP guidance]
USDA USDA public access archive system (PubAg) 12 months USDA registry of datasets, other repository options* [DMP guidance]
USGS Information Product Data System (IPDS) & USGS Publications Warehouse 12 months USGS will maintain authoritative copy
VA PMC 12 months Partner with HHS, NIH, FDA, and DoD on “effective

mechanisms”* [DMP guidance]

Community-sourced document tracking OSTP Responses: http://bit.ly/FedOASummary

*Will require data management plans (DMPs)
** Exploring a data commons solution through HHS auspices. Additionally, data management costs may be included in the budget.
NB: Links to DMP templates are available where the agency has provided sufficient information to make a template possible. For other agencies, it is recommended that you refer to general DMP guidelines as linked.



Administration for Community Living (ACL)/ National Institute on Disability, Independent Living, and Rehabilitation Research (NIDILRR)

Implementation Plan: link

(A) All peer-reviewed publications generated from ACL /NIDILRR – funded research be publicly available via PubMed Central (PMC) no later than 12 months after the official publication date. The peer-reviewed publications may be made available in either the final peer-reviewed article or final peer-reviewed manuscript format.
(D) DMP required. Data will be submitted to publicly accessible repositories.

Agency for Healthcare Research & Quality (AHRQ)

Implementation Plan: link
Policy: link

(A) Authors will be required to submit the electronic version of the author’s final peer-reviewed accepted journal manuscripts, which includes all modifications from the publishing peer review process into PubMed Central (PMC). The final published article is also acceptable where the awardee has the rights to make the published version public.
(D) DMP required. Data will be submitted to a commercial repository.

Assistant Secretary for Preparedness and Response (ASPR)

Implementation Plan: link

(A) Authors will be required to deposit publications in the PubMed Central database.
(P) DMP required. In-scope digital scientific data sets resulting from research projects must be deposited in a recognized scientific data repository capable of long-term preservation of the data and open access to the public within 30 months from the creation of the data set or upon publication of a peer reviewed publication based on the data set, whichever is sooner. Additionally, a metadata document  for the data, using common core metadata, must be submitted to ASPR, and will be made publicly available on data.gov, and other appropriate sharing locations such as phe.gov. Also, new awards will not be given unless terms of previous awards are met, including the conditions detailed in data sharing and management plans.

Center for Disease Control

Implementation Plan: link (January 2015)

(A) Authors must submit final, peer-reviewed journal manuscripts to the CDC Stacks repository using the National Institute of Health Manuscript Submission (NIHMS) system, upon acceptance of the manuscript.
(D) DMP required (Appendix B of the above linked document, will eventually be electronically fillable). Minimal data must be released at the time of article publication, with more detailed data released according to CDC standard research data release timeline; all data intended for release, regardless of publication, should be made accessible within 30 months of the end of data collection. Researchers should use the repositories available to them, including the National Center for Health Statistics (NCHS) or CDC WONDER; other options are under development.

Department of Defense (DOD)

Implementation plan: link

(A) Authors must submit final, peer-reviewed journal manuscripts to the Defense Technical Information Center (DTIC) system upon acceptance for publication.
(D) DMP required. Digitally formatted scientific data sets should be stored and publicly accessible to search, retrieve, and analyze; publicly releasable primary data, samples, and other supporting materials created or gathered in the course of work should be publicly accessible at no more than incremental cost and within a reasonable time.

Department of Energy (DOE)

Implementation plan: link

(A) Discoverability and access to version of record publications will be made possible through the portal and search interface tool, the Public Access Gateway for Energy and Science (PAGES), and in cases where the publisher-hosted version of record is not publicly accessible, the DOE will provide access to accepted manuscripts in publicly accessible repositories, of which the DOE’s OSTI repository may be one.
(D) DMP required (templates). Different offices will have different requirements for storage and public access link, notably the EERE which has not yet released its requirements.

Department of Transportation (DOT)

Implementation plan: link (2015Dec)
Site: link
NB: ORCID required for all researchers http://orcid.org/

(A) Authors will be required to make available final published articles and reports in the DOT National Transportation Library (NTL) repository within 12 months of publication date.
(D) DMP required to address the accessibility, storage, and long-term preservation of digitally formatted scientific data. These data will be inventoried in the DOT Public Data Listing.

Food and Drug Administration (FDA)

Site: link
Guide/Policy: link (2015Dec)

(A) Authors will be required to make available final published articles in the PubMed Central (PMC) database within 12 months of publication date, and the article metadata to PubMed upon publication. (Recommendation: Deposit final published articles in the PMC database within 10 business days of the final published article availability date to meet the PMC deadline)
(D) DMP required. Researchers are expected to make research data, particularly those supporting published research, accessible consistent with the data management plan.

Institute of Education Sciences (IES)

Public Access Policy: link
Implementation Plan (Data): link

(A) Authors are required to deposit final peer-reviewed versions of articles in the Educational Research Information Center (ERIC)
(D) DMP required for Goal 4 Effectiveness, Goal 3 Efficacy and Replication, and Networks on Critical Problems of Policy and Practice grants. Researchers are expected to make data accessible in a timely fashion and by the time of article publication in ways that protect participants.

National Aeronautics and Space Administration (NASA)

Implementation plan: link

(A) Publications will be made available through PubSpace, a NASA-branded portal to the NIH’s PubMed Central ® (PMC) platform, following the NASA-sponsored author’s submission of an exact copy of the as-accepted manuscript or the publisher-transmitted copy of the Version of Record.
(D) DMP required. The requirement for public access to sharable data may be met by including data with the publication as supplementary material, through the NASA Data Portal, or through other means, and means of access should be indicated in the published article. [FAQ]

National Institutes of Health

Implementation Plan: link (February 2015)

(A) Authors must submit final, peer-reviewed journal manuscripts to PMC.
(D) DMP required. While data may be deposited in any of the many already existing public repositories, using community standards of data collection and description, NIH is also funding the development of a data discovery index, and will continue to explore the development of a data commons.

National Institute of Standards and Technology

Implementation Plan: link  [PDF] (April 2015) – as applied to unclassified research projects

(A) Authors must submit either the version of record or the final accepted peer-reviewed manuscript upon acceptance for publication, plus the associated public access archive system metadata through NIST’s PMC interface, all of which should be publicly available within 12 months of publication, although NIST reserves the right to shorten or lengthen this embargo period.
(D) AN ‘effective’ DMP is required, which should address all digital data as defined by OMB Circular A-110, and explicitly address data that will support publications. Under the guidance provided in the Project Open Data component of OMB memorandum M-13-13, metadata for existing data should conform to the schema posted at https://project-open-data.cio.gov/ and be submitted to the NIST Enterprise Data Inventory (EDI), which is visible at http://www.data.gov. NIST will continue to “track and respond to changes in digital technologies” as it develops the Common Access Platform (CAP) for data distribution. Data should be made available 12 months following publication of the associated article.

National Oceanic and Atmospheric Administration (NOAA)

Implementation Plan: link
Directive: link (active date, June2016)

(A) Authors must submit the final accepted peer-reviewed manuscript, in an accessible format, upon acceptance for publication to the NOAA Institutional Repository. These materials must be made publicly  and freely available within 12 months.
(D) Data Management Plan will be required. Data is defined by NOAA Administrative Order    (NAO)    212-15 and refers to “environmental data;” numerical model outputs and data collected in controlled environments are included in this definition. Data must be made available with article publication for supporting data, or within two years of collection and verification or the end end of the grant period for other data. NOAA will employ short term access solutions such as SHARE and participation in developing an interagency Research Data Commons based on FAIR principles in addition to long term preservation at NOAA data centers.

National Science Foundation (NSF)

Site: link
Implementation Plan: link [Summary]

(A) Authors must submit either the version of record or the final accepted peer-reviewed manuscript to the NSF Public Access Repository (NSF-PAR) http://par.nsf.gov/ in PDF/A format that should be available for download, reading, and analysis free of charge no later than 12 months after initial publication, with machine-readable metadata available at initial publication.
(D) A 2-page DMP is required. “All data resulting from the research funded by the award, whether or not the data support a publication, should be deposited at the appropriate repository as explained in the DMP.”

Smithsonian Institute (SI)

Implementation Plan: link

(A)An electronic copy or link to such copy of either the version of record or the final accepted peer-reviewed manuscript must be submitted to Smithsonian-managed or -approved repositories after a 12-month (or other negotiated) embargo following official publication date. Implementation will be managed through  Smithsonian Research Online (SRO; http://research.si.edu) and Clearinghouse for Open Research of the United States (CHORUS; www.chorusaccess.org).
(D)DMPs are required as per Smithsonian Directive 610 http://www.si.edu/content/pdf/about/sd/SD610.pdf. Digital research data supporting publications must be submitted via an electronic copy or link to such copy to Smithsonian-managed or -approved repositories. Data may be submitted to SRO or be deposited in an approved external, community-supported or discipline-specific repository, or via CHORUS.

US Agency for International Development (USAID)

Implementation Plan: N/A

(A) N/A
(D) http://www.usaid.gov/sites/default/files/documents/1868/579.pdf Section 579.3.3.: The Development Data Library (DDL) is one part of the strategy to increase public access to data. Researchers may submit data to DDL, or if it is submitted to another repository, they “must submit a notice to the DDL, providing details on where and how to access the data, in accordance with the instructions found at www.usaid.gov/data.” (http://blog.usaid.gov/2014/10/announcing-usaids-open-data-policy/)

US Department of Agriculture (USDA)

Implementation plan: link

(A) Effective January 2016, authors of publications accepted for publication on or after this date will submit to the USDA public access archive system (PubAg) all final peer-reviewed journal manuscripts once the manuscript is accepted for publication, or the final published article, provided the author has the right to submit the published version.
(D) Phased approach, with mainstream implementation targeted for 2016-2017 and DMPs to be required, likely starting January 2016. USDA will support a registry of datasets, and are continuing to explore other repository options.

US Geological Survey (USGS)

Implementation plans: link and Web site

(A): Final accepted manuscripts must be deposited in the internal USGS-only Information Product Data System repository which acts as a dark archive; be released from the publisher or the dark archive and made available for download, reading and analysis free-of-charge no later than 12 months after initial publication.
(D): DMP is required. Guidance: http://www.usgs.gov/usgs-manual/im/IM-OSQI-2015-01.html The authoritative version of the dataset will be maintained by USGS. Once approved for release, data are made available to the public in the appropriate forms and formats free-of-charge with no embargo period.

US Department of Veterans Affairs (VA)

Implementation plans:  link and PMC Deposit

(A): Authors will be required to deposit publications in the PubMed Central database upon acceptance of publication, and make available within 12 months of publication.
(D):  Clinical Trial information will continue to be submitted to and be available from https://clinicaltrials.gov/. For other types of digital research data, a DMP is required and, “VA will seek partnerships with HHS, NIH, FDA, and DoD to identify and share effective mechanisms” for public accessibility under both open and controlled access conditions.

Further information on plans and implementations:

Static document: http://dx.doi.org/10.6084/m9.figshare.1372041

Living document: http://bit.ly/FedOASummary