The US Department of Energy Model for Providing Public Access to its Scholarly

Publications – And the Relationship to OAOctober 2, 2018

NFAIS Open Access Conference

Carly Robinson, PhDSenior Product Strategist/Senior Science Advisor

Office of Scientific and Technical InformationOffice of Science

US Department of Energy

NATIONAL LABS

AmesArgonneBrookhavenFermiIdahoLos AlamosLawrence BerkeleyLawrence LivermoreNETLNRELOak RidgePacific NorthwestPrincetonSLACSandiaSavannah RiverThomas Jefferson

GRANTEES

SCIENTIFIC & TECHNICAL

INFORMATION

(STI/ R&D Results)

• Journal Articles/Accepted Manuscripts• Technical reports• Conference papers• Theses/Dissertations • Software/Code• Datasets• Patents• Workshop reports• Videos

≈ 50,000 STI “products” per year

R&D Funding

DOE Invests ~$12B per year in R&D

Collection - OSTI coordinates the Scientific and Technical Information Program (STIP), which is a Department-wide collaboration, with points of contact in every DOE office, laboratory, and facility. OSTI uses the DOE corporate system (E-Link) to collect the results of DOE-funded research from DOE labs and grantees.

Preservation - OSTI fulfills DOE’s obligations to NARA, maintains backup and mirror sites for disaster recovery, and hosts a dark archive for distributed content.

Dissemination - Public dissemination is achieved through a set of search tools, including the primary search tool OSTI.GOV, containing over 3 million records.

Energy Policy Act of 2005: “The Secretary, through the Office of Scientific and Technical Information, shall maintain within the Department publicly available collections of scientific and technical information resulting from research, development, demonstration, and commercial applications activities supported by the Department.”

OSTI has DOE-wide responsibility for ensuring access to DOE-funded scientific and technical information (STI)

OSTI’s Core Functions

OSTP Memo

Defines Public Access: “Ensure that the public can read, download, and analyze in digital form final peer-reviewed manuscripts or final published documents… shall use a twelve-month post-publication embargo period…”https://obamawhitehouse.archives.gov/sites/default/files/microsites/ostp/ostp_public_access_memo_2013.pdf

Public Access Plan‐ Issued July 24, 2014‐ Defines DOE’s model for increasing access to publications

and data

Secretary Moniz’s Memo‐ “DOE-funded authors will be required to provide accepted

manuscript metadata and links (or the full text of the manuscript itself) to OSTI.”

‐ Requirements effective Oct. 1, 2014

DOE Public Access Gateway for Energy & Science (DOE PAGES)‐ Discovery tool for DOE-funded journal article accepted

manuscripts beginning Oct. 1, 2014‐ Contains over 57K articles/manuscripts since launch‐ Provides public access after 12-month embargo – same as

all other agencies

DOE Response

DOE Public Access to Publications Requirements- All researchers receiving DOE funding will be required to submit metadata and a link

to the full-text accepted manuscript at an institutional repository – typically at a lab or university – (or the full text itself) to OSTI.

- These requirements will apply for all publications of research results arising from complete or partial DOE funding, unless otherwise prohibited by law, regulation, or policy.

- The Department proposes to host a portal, DOE PAGES, which will provide metadata and abstracts for publications resulting from DOE funding.

- After 12 months, DOE PAGES will link to a full text version of the accepted manuscript.

- DOE is using Green Open Access or self-archiving to implement Public Access. DOE-funded authors are not required to pay article processing charges/Gold Open Access fees to comply with DOE Public Access.

https://www.energy.gov/downloads/doe-public-access-plan

Government Purpose License

‐ DOE award and contract language allows DOE a license to use, modify, reproduce, and publish copyrightable works first produced under a federal contract or grant.https://www.osti.gov/pages/faq#g_are_there_res

‐ This is different from, but generally consistent with most publishers’ Green Open Access policies.

http://www.sherpa.ac.uk/romeo/index.php

DOE Terms and Conditions for Grants and Cooperative agreements: Updated to include reporting of Accepted Manuscripts (AMs) via the DOE 4600.2 (Federal Assistance Reporting Checklist).

https://www.energy.gov/management/downloads/federal-assistance-reporting-checklist-and-instructions-projects

DOE O 241.1BUpdated via the Contractor Requirements Document (CRD), requiring labs to submit STI – including AMs. Labs must appoint STIP POC. STIP POCs coordinate the submission of journal article accepted manuscripts to DOE/OSTI.

Guidelines for STI submissions can be found here: https://www.osti.gov/stip/stitypes

Public Access Requirements Included in Awards and Contracts

Accepted Manuscript Submission - Grantees

https://www.osti.gov/elink/

Accepted Manuscript Submission - Grantees

Accepted Manuscript Submission - Labs

Publication management

system

E-Link/OSTIMetadata and

Accepted Manuscript or link

Publication management

system

Draft OK

Metadata andAccepted

Manuscript

Accepted

• XML Upload

• Harvesting

• API

Batch Submissions

Publisher

NEW – Public Access Plan

STIP POC responsible for submissions for the Lab

DOE PAGES – Public Access Discovery Tool

https://www.osti.gov/pages/

Best Available Version Concept

Primary Search Tool – OSTI.GOV

https://www.osti.gov/

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Interlinking Research Results

End goal: interlinking all related research results (e.g., from publication to related data to related software)

Interlinking Research Results - OSTI Use of DOIs

DOI Benefits - DOIs enable researchers to more easily discover, access, and reuse STI- DOIs facilitate linkages among documents or published articles, their underlying datasets, and other

related research objects- DOIs make STI more citable and easy to cite in a standardized way, encouraging authors to include this

step in their writing/publishing activities

Crossref – Joined in 2004- Assign Crossref DOIs to DOE-funded technical reports

DataCite – Joined in 2011- Assign DataCite DOIs to datasets- OSTI provides the DOE Data ID Service, a free DOI assignment service for DOE-funded research data- Provide a DOI service to other federal agencies through cost recovery model- In 2017, began assigning DataCite DOIs to software through DOE CODE

OSTI’s Interlinking Data Sources

Scholix: A Framework for Scholarly Link Exchange

- Initiative to provide links between scholarly literature, data, and other research outputs

- Linkages provided by publishers, data centers, and global service providers

- OSTI assigned DOIs contributed to Scholix via Crossref and DataCite

- Scholix data provides related research outputs and defines the relationship between the outputs

US Patent and Trademark Office (USPTO)

- Ingest USPTO references for DOE-funded patents

- All references are curated before linkages added to OSTI.GOV

Interlinking Research Results – Journal Articles

Interlinking Research Results – Patents

Interlinking Research Results – Datasets

OSTI.GOV DOE User Features

ORCID Integration

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DOE CODE: Software Services Platform and Search Toolhttps://www.osti.gov/doecode/

Carly Robinson

Carly.Robinson@science.doe.gov

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www.osti.gov/pages

pagescomments@osti.gov

@osti.gov