Open Access Policies of Major Research Funders:
- NIH Public Access Policy
- Whitehouse Office of Science and Technology Policy Directive
- DOE Public Access Plan
- Agency for Healthcare Research and Quality
- HHMI Public Access Publishing Policy
- National Center for Atmospheric Research Open Access Policy
- Consolidated Appropriations Act of 2014 (HR 3547) — US Departments of Labor, Education, and Health and Human Services
- Bill & Melinda Gates Foundation
- Ford Foundation
- Fair Access to Science and Technology Research (FASTR)
- Federal Research Public Access Act
- Open Access Mandates in the UK, Europe, and Canada
- Summaries of Research Funders’ Open Access Policies and Data Management requirements
NOTE: Information for major US research funders is also summarized in table form.
NIH Public Access Policy — Becomes Mandate in 2007
On December 26, 2007, President Bush signed a spending bill that requires the US National Institutes of Health (NIH) to mandate open online access to all research it funds.
This is the first mandate for a major public funding agency in the US that requires research to be openly available; it changes the 2005 NIH Public Access Policy, which requested, but did not require, open access to NIH-funded research.
The new language stipulates that investigators funded by the NIH submit their peer-reviewed manuscripts to the National Library of Medicine’s open access repository PubMed Central when the manuscript is accepted for publication. The manuscript would then become openly available via PubMed Central within 12 months of publication in a journal. The policy will be implemented “in a manner consistent with copyright law.”
The mandate will apply to a vast amount of research. Aside from classified military research, the NIH is the world’s largest funder of scientific research, with a 2007 budget of $28 billion. According to open access commentator Peter Suber, NIH research funds ”65,000 peer-reviewed articles every year or 178 every day.” At MIT, NIH funds account for about one-third of the research dollars awarded annually.
- Update on 2007 mandate from the Alliance for Taxpayer Access
- Update on 2007 mandate from Peter Suber’s Open Access News
Whitehouse Office of Science and Technology Policy Directive
On February 22, 2013, The White House issued a directive that requires Federal agencies with annual spending of more than $100M in Research & Development to develop plans to make the publications that flow from the research they fund openly available to the public within a year of publication.
The directive, which took effect immediately, was announced in a policy memorandum issued by the Office of Science and Technology Policy (OSTP). OSTP had been evaluating the need for more open access to federally funded research for some time, having collected public comments in 2010 and 2012, including those from MIT. The White House also received a “We the People” petition that reached the level requiring an official response.
This White House directive affects more federal agencies than Fair Access to Science and Technology Research, the open access bill that was introduced into both houses of Congress on February 14. Starting February 22, 2013, the Federal agencies have six months to develop policies for making both scientific publications and data openly accessible to the public. Publications must be openly accessible within 12 months of publication.
For more information:
Peter Suber’s blog post
Agency plans under the Directive:
DOE Public Access Plan
The DOE is the first agency to release its open access plan in response to this directive.
Under the DOE plan, researchers will be required to submit accepted manuscripts of publications that report on DOE-supported research to an open access repository such as DSpace@MIT. Researchers will also need to submit information about their publications to the DOE’s Office of Scientific and Technical Information. DOE will begin to include these requirements in award agreements as of October 1, 2014.
Also under the plan, researchers will be required to include in grant proposals a Data Management Plan outlining how the data generated in research will be shared and preserved. These requirements take effect October 1, 2014 for the DOE’s Office of Science and by October 1, 2015 for other DOE offices.
More information on the DOE Public Access Plan.
Agency for Healthcare Research and Quality Public Access Policy
AHRQ requires that authors submit the final peer-reviewed accepted journal manuscripts to PubMed Central (PMC). “In lieu of the …manuscript, AHRQ will accept the final published article, provided the awardee can ensure AHRQ has the rights to make the published version public.” The articles must be available no later than 12 months following publication.
The Policy for publications is effective for research funded in February 2015 and forward.
All AHRQ-funded researchers “will be required to include a data management plan for sharing final research data in digital format, or state why data sharing is not possible.” The policy focuses on data “necessary to validate research findings including data sets used to support scholarly publications.” AHRQ will contract with a commercial repository that will accept and manage the data.
The Policy for data will take effect October 2015.
Howard Hughes Medical Institute [HHMI] Public Access Publishing Policy
The HHMI originally announced on June 26, 2007 that it would “require its scientists to publish their original research articles in scientific journals that allow the articles and supplementary materials to be made freely accessible in a public repository within six months of publication.” This Policy was updated, so that now HHMI investigators are now required to make their publications available in PubMed Central no later than 12 months after publication. The policy applies to all manuscripts submitted by HHMI scientists on or after January 1, 2008; it does not apply to HHMI grantees, only to HHMI investigators (who are employees of HHMI).
National Center for Atmospheric Research Open Access Policy
The National Center for Atmospheric Research (NCAR), a national lab, passed an Open Access policy in October, 2009, that requires that all peer-reviewed research published by its scientists and staff in scientific journals be made publicly available online through its institutional repository.
NCAR is sponsored by the National Science Foundation (NSF) and is the first of the NSF’s Federally Funded Research and Development Centers to adopt an OA mandate.
Consolidated Appropriations Act of 2014 (HR 3547) – Open access provisions
Summary of the bill: requires federal agencies under the Labor, Education, and Health and Human Services (HHS) departments that have more than $100M in research budgets to develop public access policies to provide “free online public access” to peer-reviewed journal articles describing research they supported, within 12 months of publication.
Under the public access plans, final peer reviewed manuscripts that have been accepted for publication in peer-reviewed journals are to be submitted to these agencies or a designated entity, and made available either in the manuscript form or via published versions.
The federal agencies affected include:
- Department of Education,
- Health and Human Services,
- Centers for Disease Control,
- Agency for Healthcare Research and Quality,
- Food and Drug Administration, and
- National Institutes of Health.
The Office of the Assistant Secretary For Preparedness and Response has also decided to participate and will develop a plan.
The language of this bill (see section 525, pp. 961-62) applies to the federal fiscal years of 2014 and 2015. According to the HHS Public Access Policy for Research Data, “draft final plans are will provided to OSTP by June 2014. Pending OSTP review, we will issue final plans. It is expected that we will implement our public access policies in the spring of 2015 and they will become effective at the beginning of FY 2016 (October 1, 2015).”
Bill & Melinda Gates Foundation Open Access Policy
As of January 1, 2015, publications and data emerging from research funded by the Foundation falls under a new open access policy.
- Must be deposited in a specified repository;
- Must be published under the Creative Commons Attribution License (CC-BY 4.0) or its equivalent; and
- Must be openly accessible from time of publication, although until January 1, 2017, an embargo period of 12 months is permitted.
The Foundation will pay “reasonable fees required by a publisher to effect publication on these terms.”
- Data underlying the published research results must be immediately accessible and open, although until January 1, 2017, an embargo period of 12 months is permitted.
Ford Foundation Open Licensing Policy
As of February 1, 2015, the Ford Foundation requires all foundation-funded materials to be subject to a Creative Commons license, the Creative Commons Attribution License (CC BY 4.0).
According to the Foundation’s press release, “Beginning February 1, project grants from the foundation will include a requirement that the grantee widely disseminate all copyrightable products funded by the grant—including white papers, research reports, and websites—and license them under the CC BY 4.0 license. In certain situations, such as when the expected product contains sensitive or confidential material, the Creative Commons license will not be a requirement.”
See also: Announcement by Creative Commons
Fair Access to Science and Technology Research
FASTR, or Fair Access to Science and Technology Research, was originally introduced into both houses of Congress on February 14, 2013; it was reintroduced in March 2015, and on July 29th, 2015, a US Senate panel approved FASTR. The bill builds upon the success of the NIH Public Access Policy by extending public access to research funded by other U.S. government agencies.
March 2016 update: FASTR will either be considered by the full Senate as a stand-alone bill, or will be attached to another bill and move for a vote.
This bipartisan measure, if it is approved by both chambers of Congress and signed by the president, would ensure that the 2013 White House requirement from the Office of Science and Technology Policy (OSTP) would remain in place in future administrations.
Like its predecessor bill, Federal Research Public Access Act, FASTR would provide open access to research funded by agencies of the U.S. government that spend at least $100 million per year on research, and carry this out through having authors provide their peer-reviewed manuscripts through open access repositories within six months. Repositories could be hosted by an agency, or agencies could request that authors deposit in institutional or subject-based repositories.
What is new in this bill is that it calls for common deposit procedures among agencies; for formats that enable productive reuse, such as computational analysis; and for examining the potential of open licensing for the papers, to enable reuse by the public.
The bill would reinforce the requirements of the White House Directive, requiring open access to research funded by agencies like the Department of Defense, the Department of Energy, the Department of Health and Human Services, the Department of Transportation, the National Aeronautics and Space Administration, the National Endowment for the Humanities, and the National Science Foundation.
For more information:
- Association of Research Libraries’ SPARC summary
- FASTR language
- Science Magazine article, 2015
- March 2015 announcement of bill, Congressman Kevin Yoder
Federal Research Public Access Act
UPDATE: FRPAA was introduced on April 15, 2010 in the U.S. House of Representatives by Rep. Mike Doyle (D-PA) and a bi-partisan host of co-sponsors. More Info. A strengthened version of this bill has been introduced into both houses of Congress in February 2013. (See above under Fair Access to Science and Technology Research.)
FRPAA is a bipartisan effort to increase tax payers’ access to federally funded research. The Act would require that manuscripts of journal articles stemming from grants made by US government agencies funding more than $100 million in research annually be available openly on the internet — without payment or subscription barriers — within six months of publication elsewhere in a peer-reviewed journal. This legislation was first introduced to the Senate on May 2, 2006 by Senators John Cornyn (R-TX) and Joe Lieberman (D-CT, now I-CT) and was re-introduced by the same sponsors in June 2009.
The Act would also require that the manuscripts be preserved in a digital archive maintained by the funding agency, or in another suitable repository that permits free public access, interoperability, and long-term preservation.
Eleven government agencies would be affected: The Departments of Agriculture, Commerce, Defense, Education, Energy, Health & Human Services, Homeland Security, and Transportation, as well as the Environmental Protection Agency, the National Aeronautics and Space Administration, and the National Science Foundation. (Only nonclassified research is covered by the Act.)
FRPAA is consistent with existing copyright and patent laws; the funding agency would need to obtain a non-exclusive right to disseminate manuscripts resulting from their grant funds. Researchers accepting funding from these agencies would need to avoid transferring exclusive rights to publishers of their journal articles, to allow for public dissemination in accordance with this Act.
For more information on FRPAA:
- Official wording of the bill
- Association of Research Libraries’ SPARC summary
- Alliance for Taxpayer Access’ summary
- Peter Suber’s summary of the re-introduction in June 2009.
- Peter Suber’s Summary/Analysis
Threat to public access efforts: A bipartisan bill, The Research Works Act, which was introduced into the House of Representatives in December 2011, would not only undermine the goal of FRPAA to expand public access beyond NIH-funded research, but would forbid the NIH from continuing to require public access to articles based on research it funds.
And see MIT Press’ disavowal of a publisher association’s support of this bill.
The Institute of Education Sciences (IES), part of the US Department of Education, has an open access mandate for IES-funded research. The mandate operates similarly to that of NIH, in that the author’s final version of the manuscript must be deposited, and there can be up to a 12-month delay before it is made available. The difference is that deposits go to the Educational Resources Information Center (ERIC) rather than PubMedCentral.
More information is available from Peter Suber’s summary.
Open Access Mandates in the UK, Europe, and Canada
Wellcome Trust (UK)
The Wellcome Trust, an independent charity that funds research to improve human and animal health, is the largest private funder of medical research in the UK. In October, 2005, it became first research funding agency in the world to require open access to all publications resulting from its grants.
The Wellcome Trust position statement in support of open and unrestricted access to published research requires that “any research papers that have been accepted for publication in a peer-reviewed journal, and are supported in whole or in part by Wellcome Trust funding, to be deposited into PubMed Central (PMC) or UK PMC once established, to be made freely available as soon as possible and in any event within six months of the journal publisher’s official date of final publication.”
The policy is also significant in its clear statement that an author’s obligations to the Wellcome Trust pre-date and take precedence over “any agreement with a journal.” Papers submitted for publication on or after October 1, 2006 must be submitted to journals that have a Wellcome Trust compliant publishing policy.
The position statement also includes an expectation that “authors…where possible… retain their copyright” and guarantees funding to cover page processing charges authors may face when working with publishers who support the open access model.
Research Councils (UK)
In July 2012 the Research Councils in the UK announced a new Open Access policy. Building on open access mandates previously adopted, the new policy, which takes effect in April 2013, requires that peer reviewed papers that report on research funded by the Research Councils must be made openly available within six (or for two Councils, 12) months of publication, and must include a statement on how the underlying research materials such as data, samples or models can be accessed.
The Research Councils provide a significant portion of publicly funded research in the UK.
In July 2012, The European Commission committed to making open access to scientific publications “a general principle of Horizon 2020, the EU’s Research & Innovation funding programme for 2014-2020.” As of 2014, all articles produced with funding from Horizon 2020 will have to be openly accessible, either through immediate open access by the publisher (with publication costs potentially eligible for reimbursement by the European Commission); or through an open access repository no later than six months (12 months for articles in the fields of social sciences and humanities) after publication. The goal is for 60% of European publicly-funded research articles to be available under open access by 2016.
In addition, the following European research funding organizations are among those which have established Open Access mandates or recommendations:
- European Research Council
- France: Inserm (Institut national de la santé et de la recherche medicale) – OA required from 2008
- Germany: Deutsche Forschungsgemeinschaft (DFG)
- The Canadian Institutes of Health Research (CIHR) announced a new open access policy that takes effect January 1, 2008. It requires those receiving grant funds from CIHR to “make every effort to ensure” their research articles are made freely available within six months of publication.