Public Access PlanThis document, the Public Access Plan (the Plan) for the Department of Energy (DOE or Department), including the National Nuclear Security Administration, presents the Department of Energy’s plan for increasing access to the results of the research it supports in response to the February 22, 2013, Office of Science and Technology Policy (OSTP) Memorandum, “Increasing Access to the Results of Federally Funded Scientific Research.” This Plan outlines the Department’s approach to implementing the objectives of the OSTP memorandum. Through policies and systems discussed in this Plan, scholarly publications and datasets resulting from research directly arising from DOE funding can become more readily accessible to the public, setting the stage for increased innovation, commercial opportunities, and accelerated scientific breakthroughs.With regard to unclassified and otherwise unrestricted research in scientific publications, the Department proposes a new policy and tool for providing access to peer-reviewed scholarly publications and associated metadata in which publishers retain their rights under copyright to the Version of Record (VoR). Both the policy and tool will be applied to scholarly publications resulting from unclassified and otherwise unrestricted research supported by the Department. With regard to unclassified and otherwise unrestricted scientific data in digital formats, the Department proposes a set of principles and requirements to be adopted by all DOE offices supporting open research. Implementing strategies and timelines may differ across the Department depending on the specific communities supported and funding mechanisms used by each office. U.S. Department of EnergyDOE_f80194b3-511c-40cf-87f3-f00efb422468_779d9118-3fb2-11e4-8681-3aed82db4d5cTo increase access to the results of the research DOE supports_779d9348-3fb2-11e4-8681-3aed82db4d5cPublic AccessScientific PublicationsScientific PublicationsEnsure public access to unclassified and otherwise unrestricted scholarly publications resulting from DOE funding._779d9410-3fb2-11e4-8681-3aed82db4d5c1DOEDOE is responsible for communicating its public access requirements to all funding recipients including contractors and financial assistance awardees. In particular, DOE will ensure that the terms and conditions of research contracts and awards will contain the appropriate requirements for public access.DOE-Funded AuthorsDOE-funded authors will be responsible for providing accepted manuscript links and metadata to OSTI.Office of Scientific and Technical InformationDOE’s OSTI is responsible for operating and maintaining DOE’s public access system and network. The submission of accepted manuscripts and publication metadata to DOE will be a condition of funding. The Department will ensure compliance through mechanisms already in place for collecting research deliverables.PublishersPublishers that voluntarily participate in DOE’s public access program will provide to OSTI article links and metadata for articles resulting from DOE funding.Public Access to Scientific Publications -- The Department proposes a model for ensuring public access to unclassified and otherwise unrestricted scholarly publications resulting from DOE funding that provides the public with access to the best available version of the article. The proposed model will enhance innovation and competitiveness for science- and research- driven businesses and other entities that drive the U.S. economy by increasing their access to the results of publicly-funded research. Under this proposal, the best version of the article is the VoR hosted by the publisher. In cases where this is not publicly accessible, the Department will provide access to accepted manuscripts in publicly accessible repositories. Specifically, DOE’s Office of Scientific and Technical Information (OSTI) will maintain a repository of accepted manuscripts and can make individual, unclassified and otherwise unrestricted manuscripts publicly accessible if there is no other publicly available version. PAGESHost a portal and a search interface tool to enhance the discoverability of unclassified and otherwise unrestricted scholarly publications resulting from DOE funding._779d94b0-3fb2-11e4-8681-3aed82db4d5c1.1DOE Funded ResearchersAll researchers receiving DOE funding will be required to submit metadata and a link to the full-text accepted manuscript (or the full text itself) to OSTI. Publishers who participate in DOE’s public access activity will submit article metadata and links to OSTI. Classified or protected data and research will not be made publicly availableThe Department proposes to host, a portal and a search interface tool, the Public Access Gateway for Energy and Science (PAGES), to enhance the discoverability of unclassified and otherwise unrestricted scholarly publications resulting from DOE funding. PAGES will provide metadata and abstracts for such publications in a way that is open, readable, and available for bulk download. The PAGES metadata catalog will be included in the Department’s Enterprise Data Inventory and Public Data Listing. PAGESwill also link to the full text VoR hosted by the publisher when the article is available on the publisher’s site openly and without charge. In instances where this is not the case, PAGES will link to a full-text version of the accepted manuscript twelve months from the article publication date and then link to the VoR when and if it becomes available. Metadata accompanying the accepted manuscript, e.g., author name, journal title, and digital object identifier (DOI) for the VoR, ensures that attribution to authors, journals, and original publishers will be maintained. PAGES will ensure that the public can read, download, and analyze in digital form final peer-reviewed manuscripts or final published articles. The portal will facilitate analysis of peer-reviewed scholarly publications directly arising from research funded by DOE. By ensuring public access while leveraging the public access efforts of the publishing community and other stakeholders, PAGES will maximize the potential for creative reuse of federally funded R&D to enhance the value to all stakeholders; avoid unnecessary duplication of existing mechanisms; and maximize the impact of the Federal research investment.Metadata & AbstractsProvide metadata and abstracts for publications resulting from DOE funding._779d958c-3fb2-11e4-8681-3aed82db4d5c1.1.1The Department proposes to host a portal, PAGES, which will provide metadata and abstracts for publications resulting from DOE funding. In cases where the publisher’s VoR is publicly available, PAGES will direct the user to this VoR with a direct link to the publisher’s website. In cases where the publisher does not provide public access, PAGES will direct the reader to the accepted manuscript hosted in an institutional repository (e.g. at a national laboratory or grantee institution) with a link provided by the author. In cases where the full text is not publicly accessible through publisher or institutional repositories, OSTI will host the accepted manuscript, submitted by the author, available through PAGES.Preservation & AccessEnsure long-term preservation and access to manuscripts._779d962c-3fb2-11e4-8681-3aed82db4d5c1.1.2To ensure long-term preservation and access, all DOE-funded authors will be required to submit accepted manuscript metadata to OSTI along with a document or link to a publicly accessible, full text version of the accepted manuscript available on an institutional repository. The metadata will include a DOI for the VoR.LinksLink to full text versions of accepted manuscripts._779d96d6-3fb2-11e4-8681-3aed82db4d5c1.1.3During an “administrative interval” of up to twelve months, PAGES will not provide access to full-text manuscripts. During this time, metadata including links to the publishers’ VoR will be discoverable through the PAGES search interface and via PAGES application programming interfaces (APIs). After one year, PAGES will link to a full text version of the accepted manuscript and then link to the publisher’s VoR when and if it becomes available. Publishers retain their rights under copyright to their VoR. The metadata contained in PAGES will be in the public domain and available for unlimited use and downloading, and will be made available via API. Classified or protected data and research will not be made publicly available. DOIsAutomatically reconcile DOIs submitted by DOE authors and by publishers._779d9780-3fb2-11e4-8681-3aed82db4d5c1.1.4PAGES will automatically reconcile DOIs submitted by DOE authors and by publishers to determine whether the VoR is accessible by the end of the administrative interval. In cases where the VoR is not accessible, PAGES will display a link to the accepted manuscript. ArchiveMaintain a dark archive of manuscripts to be used in the event links become broken or full-text access is otherwise interrupted or discontinued._779d98ca-3fb2-11e4-8681-3aed82db4d5c1.1.5In all cases, OSTI will maintain a dark archive of manuscripts to be used in the event links become broken or full-text access is otherwise interrupted or discontinued. This dark archive will be part of the Department’s Enterprise Data Inventory.APIsProvide APIs to allow third parties to easily access metadata and links._779d99b0-3fb2-11e4-8681-3aed82db4d5c1.1.6PAGES will provide APIs to allow third parties to easily access metadata and links. The links will continue to resolve to the full text, which reside in distributed repositories. In terms of interoperability, PAGES will make metadata citations available in widely used formats such as MLA, APA, Chicago, and BibtexMetadata CitationsSupport export of metadata citations._779d9ab4-3fb2-11e4-8681-3aed82db4d5c1.1.7Additionally, PAGES will support export of metadata citations to EndNote, Excel, and CSV. PAGES will also support machine-to-machine transfer of bibliographic citations, via APIs. Downloads & Fair UseEnforce a download limit and post appropriate fair use policies. _779d9b72-3fb2-11e4-8681-3aed82db4d5c1.1.8The distributed nature of PAGES’ full-text content inherently makes unauthorized mass downloading and redistribution more difficult. For the limited full-text content it hosts publicly, OSTI will enforce a download limit and post appropriate fair use policies. Regulations & GuidanceComply with regulations and OSTP and OMB guidance._779d9c26-3fb2-11e4-8681-3aed82db4d5c1.1.9OSTPOMBPAGES will comply with existing regulations and OSTP and OMB guidance. In terms of full-text interoperability, nonproprietary formats, such as PDF/A, will be the norm, which will allow for broader text mining capabilities while recognizing other controls that will be in place to prevent mass redistribution. Common metadata formats and nonproprietary full-text formats serve to promote interoperability and long-term preservation. In addition, with an existing major government STI web presence, OSTI uses a suite of tools and techniques to enable compliance with Section 508 of the Rehabilitation Act (29 U.S.C. 794d). Interoperability, Downloads & AccessibilityEnsure compliance with full-text interoperability standards, download capabilities, and 508 compliance._779d9d0c-3fb2-11e4-8681-3aed82db4d5c1.1.10PublishersLaboratoriesInstitutionsIndividual content holders -- publishers for articles and laboratories or institutions for manuscripts -- will be monitored to ensure compliance with full-text interoperability standards, download capabilities, and 508 compliance. On a daily basis, DOE will perform random sampling of PAGES content to monitor individual content holders for compliance with applicable standards. In cases where externally held content does not meet these standards, DOE will instead link to corresponding content held in its dark archive of accepted manuscripts. Input & PetitioningProvide a mechanism for accepting input and petitioning for changes to the administrative interval._779d9dfc-3fb2-11e4-8681-3aed82db4d5c1.1.11DOE will provide a mechanism as part of PAGES for accepting input and petitioning for changes to the administrative interval. For example, users are encouraged to access the DOE PAGES Feedback page, which provides multiple channels for this input, including email, phone, and mailing address. With respect to petitions for changing the administrative interval, such petitions should be evidence-based, that is, factually- and statistically-based evidence that a change in DOE’s administrative interval will more effectively promote the quality and sustainability of scholarly publications while meeting the objectives of public access. In considering such evidence, DOE will work with other federal science agencies to promote consistent implementation of administrative intervals for specific scientific fields.Scientific Data_779d9ed8-3fb2-11e4-8681-3aed82db4d5c2Public Access to Scientific Data in Digital Formats -- The Department affirms that the following principles for the management of digital research data support its mission and align with the objectives of the OSTP memo. * Effective data management has the potential to increase the pace of scientific discovery and promote more efficient and effective use of government funding and resources. Data management planning should be an integral part of research planning. * Sharing and preserving data are central to protecting the integrity of science by facilitating validation of results and to advancing science by broadening the value of research data to disciplines other than the originating one and to society at large. To the greatest extent, with the fewest constraints possible, and consistent with the requirements and other principles stated in this document, data sharing should make digital research data available to and useful for the scientific community, industry, and the public. * Not all data need to be shared or preserved. The costs and benefits of doing so should be considered in data management planning. The Department is taking a phased approach to the implementation of requirements set forth by the OSTP memo. In particular, the Office of Science, which supports roughly two-thirds of the total R&D for the Department, plans to pilot a data management policy with the requirements described below by July 28, 2014. Other DOE Offices and elements with over $100 million in annual conduct of research and development expenditures will implement data management plan requirements that satisfy the requirements of the OSTP memo no later than October 1, 2015 in such a way that there is a single DOE policy for data management planning. The result will be a Department-wide policy. Should it be necessary, additional supplementary guidance and requirements addressing specific needs would be issued by each Office or element and coordinated centrally. Data Management PlansEnsure that all research proposals selected for funding include Data Management Plans (DMP)._779d9faa-3fb2-11e4-8681-3aed82db4d5c2.1U.S. Department of EnergyThe Department is responsible for including the Requirements into all solicitations and invitations for research funding and ensuring that the DMPs are appropriately reviewed through, for example, additional review questions specific to the DMP... The Department is responsible for initiating activities to review the effectiveness of the requirements, including compliance with DMPs, and making any improvements to the existing requirements and accompanying documentation. The Department, with input from the research communities, private and public sectors, is responsible for long range planning for investments in data infrastructure and research including considerations for enhanced data discovery tools and data commons. Office of Scientific and Technical InformationThe Department’s Office of Scientific and Technical Information (OSTI) can provide digital object identifiers (DOIs) to data sets resulting from DOE-funded research. To improve the discoverability of and attribution for datasets created and used in the course of the research, DOE encourages the citation and identification of datasets with persistent identifiers such as DOIs.ResearchersResearchers should propose DMPs that reflect relevant standards and community best practices for data and metadata, and make use of community accepted repositories and publicly accessible databases whenever practicable. Researchers submitting proposals for research funding to the Department are responsible for proposing appropriate DMPs, and adhering to the final, agreed DMP as part of the overall research activity. ReviewersMembers of the research community serving as reviewers of research proposals are responsible for reviewing the DMP as part of those proposals.To integrate data management planning into the overall research plan, the Department will ensure that all research proposals selected for funding include a Data Management Plan (DMP).Sharing & PreservationDescribe whether and how data generated in the course of the proposed research will be shared and preserved._2a24d652-407b-11e4-8afc-1d0dd5b697552.1.1DMPs should describe whether and how data generated in the course of the proposed research will be shared and preserved and, at a minimum, describe how data sharing and preservation will enable validation of results, or how results could be validated if data are not shared or preserved. Openness, Machine-Readability & Digital AccessMake all research data displayed in publications resulting from the proposed research open, machine-readable, and digitally accessible to the public at the time of publication._2a24d9cc-407b-11e4-8afc-1d0dd5b697552.1.2DMPs should provide a plan for making all research data displayed in publications resulting from the proposed research open, machine-readable, and digitally accessible to the public at the time of publication. This includes data that are displayed in charts, figures, images, etc. In addition, the underlying digital research data used to generate the displayed data should be made as accessible as possible to the public in accordance with the principles stated above. The published article should indicate how these data can be accessed. Individual research offices will encourage researchers to deposit data in existing community or institutional repositories or to submit these data to the article publisher as supplemental information.ReferencesConsult and reference available information about data management resources._2a24db3e-407b-11e4-8afc-1d0dd5b697552.1.3DMPs should consult and reference available information about data management resources to be used in the course of the proposed research. Confidentiality, Privacy & SecurityProtect confidentiality, personal privacy, Personally Identifiable Information and U.S. national, homeland, and economic security._2a24dcce-407b-11e4-8afc-1d0dd5b697552.1.4DMPs must protect confidentiality, personal privacy, Personally Identifiable Information, and U.S. national, homeland, and economic security ... Proprietary Information & IPRRecognize proprietary interests, business confidential information, and intellectual property rights ... _13fc1c52-40f6-11e4-82bd-9c12d5b697552.1.5Innovation & CompetitivenessAvoid significant negative impact on innovation and U.S. competitiveness ... _13fc1f9a-40f6-11e4-82bd-9c12d5b697552.1.6Laws, Regulations, Orders & PoliciesBe consistent with all applicable laws, regulations, and DOE orders and policies._13fc2670-40f6-11e4-82bd-9c12d5b697552.1.7EvaluationEvaluate the merits of the DMPs._2a24e548-407b-11e4-8afc-1d0dd5b697552.1.8The merits of the DMPs will be evaluated. This evaluation will take into account the relative values of long-term preservation and access and the associated cost and administrative burden. Additional requirements and review criteria for the DMP may be identified by the sponsoring Office, program, sub-program, or in the solicitation.Additional Requirements[Apply] additional requirements for data management may, as necessary, to ensure the Department meets the requirements of the Open Data Policy._2a24e549-407b-11e4-8afc-1d0dd5b697552.2In instances where the Department intends to collect digital data resulting from the supported research, additional requirements for data management may be necessary to ensure the Department meets the requirements of the Open Data Policy. For elements of the Department for which the collection of researcher data is not already practiced, DOE will consult with its research communities through public forums such as Federal Advisory Committee Meetings and public announcements to identify which research data are appropriate for the DOE to collect or otherwise include in the public listing of agency data required by the Open Data Policy, and suitable mechanisms for doing so.Open Energy Information PlatformEnsure specific research data are submitted to the Open Energy Information Platform (OpenEI)._2a24e54a-407b-11e4-8afc-1d0dd5b697552.3Office of Energy Efficiency and Renewable Energy (EERE)The Office of Energy Efficiency and Renewable Energy (EERE) will include detailed requirements to ensure specific research data are submitted to the Open Energy Information Platform (OpenEI), a centralized and secure resource for publicly accessible energy data managed by the National Renewable Energy Laboratory (NREL). All publicly accessible data on OpenEI will be integrated into the Department of Energy’s Enterprise Data Inventory and its Public Data Listing, which can be found on energy.gov/data. The Public Data Listing is a machine readable file that is routinely harvested and populates the main data catalog at data.gov. This Data Listing is expected to be part of the comprehensive public listing of agency data that is required by the 2013 May 9 Executive Order and OMB Memorandum M-13-13. This integration will include use of the Project Open Data metadata schema to describe each dataset supporting broader use and understanding of information in private or non-profit sectors. Limited restricted data may be deposited in OpenEI for more appropriate sharing with the option of making these data publicly available once the associated research findings have been published or any sensitive data are released from moratorium. Finally, EERE will provide guidance about data management best practices in the form of a high level template DMP to include direction on leveraging subject matter specific repositories such as BioEnergy Knowledge Discovery Framework (KDF) and the National Geothermal Data System (NGDS). 2014-07-242014-09-20http://www.energy.gov/sites/prod/files/2014/08/f18/DOE_Public_Access Plan_FINAL.pdfOwenAmburOwen.Ambur@verizon.net