NASA

PLAN:
INCREASING ACCESS
TO THE RESULTS OF
SCIENTIFIC RESEARCH

Digital Scientific
Data and Peer
Reviewed
Publications

Table of Contents
Introduction..................................................................................................................................................2
PartA:DigitalScientificData........................................................................................................................4
PartB:PeerReviewedPublications............................................................................................................12

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NASAPlan
forIncreasingAccesstothe
ResultsofScientificResearch
(DigitalScientificDataandPeerReviewedPublications)

November21,2014

ThisplanisissuedinresponsetotheFebruary22,2013OfficeofScienceandTechnologyPolicy
(OSTP)MemorandumfortheHeadsofExecutiveDepartmentsandAgencies,IncreasingAccess
totheResultsofFederallyFundedScientificResearch.Throughthismemorandum,OSTP
directedallagencieswithgreaterthan$100millioninresearchanddevelopmentexpenditures
eachyeartoprepareaplanforimprovingthepublicsaccesstotheresultsoffederallyfunded
research.

NASAinvestsontheorderof$3billionannuallyinfundamentalandappliedresearchand
technologydevelopment1acrossabroadrangeoftopics,includingspaceandEarthsciences,
lifeandphysicalsciences,humanhealthresearch,aeronautics,andtechnologydevelopment.
Promotingthefullandopensharingofdatawiththeresearchcommunities,privateindustry,
academia,andthegeneralpublicisalongstandingcorevalueofNASA.Forexample,NASA
spaceandsuborbitalmissionsroutinelyprocess,archive,anddistributetheirdatato
researchersaroundtheglobe.ThisplanextendsNASAsopenaccessculturetodataand
publicationsofallthescientificresearchthatNASAsponsors.

Thisplanestablishesobjectivestoensurepublicaccesstopublicationsanddigitaldatasets
arisingfromNationalAeronauticsandSpaceAdministration(NASA)research,development,
andtechnology(RD&T)programs,thatis,to:
AffirmandenhanceNASAscommitmenttopublicaccesstoscientificresearchresults;

EnsureaccesstoandreliablepreservationofNASAfundedscholarlypublicationsanddigital
datasetsforresearch,development,commercialization,andeducationalpurposes,within
availableresources;
Preserveandincreasetheuseofscientificresearchresultstoenhancescientificdiscoveryand
applicationofresearchresults;
AffirmNASAscommitmenttoitsscientificintegritypolicyandsupportthereproducibilityof
scientificresearchresults;
EnsurethatallextramuralresearchersreceivingNASAgrants,cooperativeagreements,and
contractsforscientificresearchandintramuralresearchersdevelopdatamanagementplans,as
appropriate,describinghowtheywillprovideforlongtermpreservationof,andaccessto,
scientificdataindigitalformat;

ReportRegardingAmericaCompetesActPursuanttoSection1008(c)oftheAmericaCompetesAct(P.L.11069)

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Optimizearchivalanddisseminationofdataandpublications,includinglongtermstewardship;
Supporttraining,education,andworkforcedevelopment,relatedtoscientificdata
management,analysis,storage,preservation,andstewardship;
Supportgovernanceofandbestpracticesformanagingpublicaccesstopeerreviewedscholarly
publicationsanddigitaldataacrossNASA;

TheFebruary22,2013OSTPMemorandumsobjectivesareprovidedintwodistinctareas
digitalscientificdataandpeerreviewedpublications.NASAsplanaddressestheseobjectives
separately,inPartsAandBbelow,respectively.

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PARTA:DigitalScientificData

1.0 PurposeandBackground
ThesectionsthatfollowcomprisethedatacomponentoftheNASAPlanforIncreasingAccess
totheResultsofScientificResearch.ThepurposeofPartAoftheplanistoincreasethe
accessibilityofdigitaldataproducedbyNASAintramuralresearchersandbyrecipientsofNASA
grants,cooperativeagreements,andcontracts.
NASAiscommittedtofollowingfederalguidelinesthatalldatafromfederallyfundedresearch
shouldbemadeaswidelyandfreelyavailableaspossiblewhilesafeguardingtheprivacyof
participants,andprotectingconfidentialandproprietarydata.Tofacilitateincreasedaccessto
suchdata,NASAwillupdateitsresearchdatapolicytorequireallinvestigatorssubmittinga
researchproposalorresearchprojectplan2toNASAtoincludeaplanformanagingand
providingaccesstofinalresearchdataortostatewhytheirdatacannotorneednotbemade
publiclyavailable.
NASAconductsandsupportsresearchacrossabroadrangeoftopics,includingspaceandEarth
sciences,lifeandphysicalsciences,humanhealthresearch,aeronautics,andtechnology
development.Thetypesofdataandtheneedsforsharingandpreservationofdataacrossthe
fieldsvaryconsiderably.Forthisreason,NASAhastakentheapproachofdevelopingahigh
level,overarchingpolicyallowingflexibilitywithintheresearchprogramareastodetermine
theirspecificrequirementsandneeds.
NASAhasalongstandingcultureofpromotingthefullandopensharingofdatawiththe
researchcommunities,privateindustry,academia,andthegeneralpublic.NASAspaceand
airbornemissionsroutinelyprocess,archive,anddistributetheirdatatoresearchersaround
theglobe.DatafromallNASAspacecraftarecurrentlyavailablethroughtheindividualmission
andthemearchives,e.g.theEarthObservingSystemDataandInformationSystem(EOSDIS),
whichisoneofthelargestrepositoriesofearthsciencedataintheworld,overseven
petabytes,andtowhichnewdataareaddedatarateoffiveterabytesperday.Similarly,the
HumanResearchProgramsharesitsastronautcrewmedicaldata(adheringtoappropriate
privacyrestrictions)withthemedicalresearchcommunity.ThisplanextendsNASAscultureof
opendataaccesstoallNASAfundedresearch.

2.0 Principles
Thisplanisbasedonthefollowingsetofprinciples:

Effectivedatamanagementhasthepotentialtoincreasethepaceofscientificdiscovery
andpromotemoreefficientandeffectiveuseofgovernmentfundingandresources;

Inthecaseofdirected,intramuralresearch,projectplansaresubmittedratherthanproposals.

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Sharingandpreservingdataarecentraltoprotectingtheintegrityofscienceby
facilitatingvalidationofresultsandtoadvancingsciencebybroadeningthevalueof
researchdatatodisciplinesotherthantheoriginatingoneandtosocietyatlarge;

Datamanagementshouldbeanintegralpartofresearchplanning;

Thedegreetowhichresearchdataneedstobesharedorpreservedvariesacrossand
withinscientificdisciplines;flexibilitymustbeallowedforprogramspecific
needs/requirementsandconsiderationofbenefitsandcosts,includingpreservingand
promotingU.S.competitiveness;

Proprietaryinterests,businessconfidentialinformation,intellectualpropertyrights,and
otherrelevantrightswillcontinuetoberecognizedandappropriatelyprotected;and

Protectingconfidentialityandpersonalprivacyareparamount,andnochangewillbe
madetoexistingpoliciesthatwouldreducecurrentprotections.

3.0 Scope
PartAoftheplanfocusesondigitalunclassifiedscientificresearchdata,whichareresearch
datathatcanbestoreddigitallyandaccessedelectronically.ItfollowstheOMBCircularA110
definitionofresearchdata:
Researchdataaredefinedastherecordedfactualmaterialcommonlyacceptedinthescientific
communityasnecessarytovalidateresearchfindings,butnotanyofthefollowing:preliminary
analyses,draftsofscientificpapers,plansforfutureresearch,peerreviews,orcommunications
withcolleagues.This'recorded'materialexcludesphysicalobjects(e.g.,laboratorysamples).
Researchdataalsodonotinclude:
(A)Tradesecrets,commercialinformation,materialsnecessarytobeheldconfidentialbya
researcheruntiltheyarepublished,orsimilarinformationwhichisprotectedunderlaw;and
(B)Personalandmedicalinformationandsimilarinformationthedisclosureofwhichwould
constituteaclearlyunwarrantedinvasionofpersonalprivacy,suchasinformationthatcouldbe
usedtoidentifyaparticularpersoninaresearchstudy.
Dataareunderstoodtoincludenotonlytherecordedtechnicalinformation,butalsometadata
(describingthedata),descriptionsofthesoftwarerequiredtoreadandusethedata,associated
softwaredocumentation,andassociateddata(e.g.calibrations).
Exclusion:NASAcreatesandprovidesalargesuiteofscientificandengineeringdataproducts
whosedisseminationtotheresearchcommunityandthegeneralpublicadvancetheAgency's
coremissionobjectives.ThesedataproductscomefromNASAmissions,instruments,and
projectsandtypicallyhavewellestablishedscientificortechnologicalgoalsandrequirements.
SubjecttoFederallawsregardingsensitivedataandprivacy,thesedataproductsarecaptured

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andarchivedbyNASAforpublicaccessanduseandarethusalreadycompliantwiththeOSTP
February22,2013,memorandumonaccesstoresearchresults.Thisplanthereforeexcludes
thesetypesofdata.
Implementationofthisplanwillbeprospectiveandwillnotapplytoanydigitaldataset
establishedbeforethisplanseffectivedate,unlessthatdigitaldatasetisaugmentedby
federallyfundedresearchactivitiesundertakenonorafterthisplanbecomeseffective.

4.0 Requirements
ThisplanexpandstheexistingpolicyandwillimposerequirementsonallNASAscientific
programsandintramuralandextramuralresearchers.TheImplementationsectionbelow
providesthedetail,buttheconceptualrequirementsareasfollows:

AllproposalsorprojectplanssubmittedtoNASAforscientificresearchfundingwillbe
requiredtoincludeaDataManagementPlan(DMP)thatdescribeswhetherandhow
datageneratedthroughthecourse3oftheproposedresearchwillbesharedand
preserved(includingtimeframe),orexplainswhydatasharingand/orpreservationare
notpossibleorscientificallyappropriateAtaminimum,DMPsmustdescribehowdata
sharingandpreservationwillenablevalidationofpublishedresults,orhowsuchresults
couldbevalidatedifdataarenotsharedorpreserved.

DMPsmustprovideaplanformakingresearchdatathatunderlietheresultsand
findingsinpeerreviewedpublicationsdigitallyaccessibleatthetimeofpublicationor
withinareasonabletimeperiod4afterpublication.Thisincludesdata(orhowtoaccess
data)thataredisplayedinchartsandfigures.Thisdoesnotincludepreliminarydata,
laboratorynotebooks,draftsofscientificpapers,plansforresearch,peerreview
reports,communicationswithcolleaguesorphysicalobjects,suchaslaboratory
specimens.Thisrequirementcouldbemetbyincludingthedataassupplementary
informationtothepublishedarticle,throughNASAarchives,orothermeans.The
publishedarticleshouldindicatehowthesedatacanbeaccessed.

DMPswillbereviewedaspartoftheoverallNASAresearchproposal/projectplan
reviewprocess.

NASAprogrammanagerswillprovideguidancetoproposersandawardees,aswellas
monitorcompliancewithDMPs.

Perthescope(section3)anddefinitionofdata,onlythedatausedtosupport,validate,andcorroborate
publishedresearchfindingsarerequiredtobeshared,perthisplan.Preliminarydata,trialdata,etc.arenot
included.
4
ThistimeperiodwilldefinedinthefinalDataAccessplan.

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5.0 Applicability
ThisNASAresearchdatapolicywillapplytothefollowingindividuals:

AllNASAemployees,includingfullandparttimeemployees;aswellassupportservice
contractemployees,consultantsandtemporaryandspecialgovernmentemployees;and

AwardeesfromnonNASAorganizationsthatpublishscientificresearchorcompiledigital
datasetsresultingfromresearch,developmentandtechnologyprogramsfundedthrougha
NASAgrant,contract,orotheragreement.Thisincludesbutisnotlimitedtononprofit
organizations,contractors,cooperativeagreementholders,grantees,intergovernmental
organizations,universitiesandothereducationalinstitutions.
Additionally,thepolicywillapply

TobasicandappliedscientificresearchacrossallNASAorganizations;

Toallresearchproposalsorprojectplanssubmittedafterthisplanbecomeseffective;and

Tobothintramuralandextramuralresearchprojectsregardlessoffundingmechanism
(grants,cooperativeagreements,contracts,orinternalAgencyfundingprocesses).

Exceptions
AllresearchersreceivingfederalfundingwouldberequiredtosubmitDMPs;however,insome
casesitisexpectedthatthedatawillnotbemadepublic.Suchdatawouldincludebutarenot
limitedtothefollowingcategories:

Educationalgrantsandgrantstoindividualstudents;
Workthatisproprietary;
Workthatresultsinpersonallyidentifiablehumansubjectsresearch;
Exportcontrolleddata;
SensitiveButUnclassified(SBU;CUIControlledUnclassifiedInformation)data;
NationalSecurityclassifieddata;and
SBIR/STTRcontracts.

6.0 RolesandResponsibilities
ChiefInformationOfficerwill:

EstablishandcoordinateanimplementationteamwithrepresentationfromNASAsfour
researchconductingMissionDirectorates,theOfficesoftheChiefScientist,theChief
Technologist,andtheOfficeoftheGeneralCouncil;

CoordinatetheimplementationoftheResearchDataAccessPolicywithNASAresearch
organizationsandtheOfficeoftheAdministrator;

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Coordinatecollaborationandcooperationonimplementationofthispolicywithother
federalagencies.

HeadsofNASAMissionDirectorates:

Shallincludetherequirementsofthisplanastermsandconditionsoffundingforgrants,
contracts,directedresearchprojects,andotheragreementsestablishedafterJanuary1,
2015;and

EnsureorganizationalcompliancewiththeResearchDataAccessPolicy.

ProgramManagers,ProgramScientists,andProgramExecutives:

ResponsibleforensuringthatDMPsareincludedintheproposal,properlyevaluated,and
thatallprojectscomplywiththeNASAResearchDataAccessPolicy;

ResponsiblefordevelopingspecificDMPguidanceforreviewers,proposers,andawardees;
and

Developspecificguidelinesforintramuralorextramuralresearchprojects.

NASACenters,ResearchInvestigators,andtheirInstitutions

EnsurefullcompliancewiththeirDMPs.

7.0 Implementation
Thissectionoutlinesthestepstobetakentoimplementthisplan,addressingtheprocessesand
procedurestobefollowedbyproposersaswellasbyprogrammanagersandreviewers.

7.1 NASAResearchDataPolicy
NASAwillexpanduponitsexistingdatapoliciesasfollows:

Includearequirementforallresearchproposers,intramuralandextramural,tosubmitData
ManagementPlans(DMPs)withtheirproposalsorprojectplans.DMPswilldescribehow
theproposedresearchplanconformstoNASApolicyonthedisseminationandsharingof
researchresultsandwilladdress:
1. thetypesofdatatobeproducedinthecourseoftheproject5;
2. thestandardstobeusedfordataandmetadataformatandcontent;
3. policiesforaccessingandsharingthedata,includingprovisionsforappropriate
protectionofprivacy,confidentiality,security,intellectualproperty,andotherrights
orrequirements;

RefertoSection4.

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4. policiesandprovisionsforreuse,redistribution,andtheproductionofderivatives;
5. plansforprovidingaccesstothedatausedinanysciencepublication;and
6. plansforarchivingandpreservingofthedata,asappropriate(useofexisting
databasesorpublicrepositorieswillbestronglyencouraged),includinghowlongthe
datawillbepreservedandaccessible.

Explicitlystatethatreasonablecostsofdatasharingmaybeincludedintheproposalor
projectplanbudget;

Requireallinvestigatorstosharetheirdatawithinatthetimeofpublication,asdefinedin
theDMP.Thisincludesdatathataredisplayedinchartsandfigures.Thisrequirementcould
bemetbyincludingthedataassupplementaryinformationtothepublishedarticle,or
throughothermeans.Thepublishedarticleshouldindicatehowthesedatacanbe
accessed;6

Encouragetheuseofcommunitybasedstandards.NASApolicywillencourageallsupported
investigatorstomakeuseofexistingdataandmetadatastandards(formatandcontent
standards),totheextentfeasible;and

RequirethatNASAprogrammanagersincludeinannouncementsofresearchopportunities
(1)specificdatarequirementsandexpectations;(2)anexampleDMPoroutlineforthe
specifictypeofdatalikelytoresultfromthefundedprojects;or(3)astatementthataDMP
isnotrequiredbecauseofthenatureoftheactivity(e.g.nodataisexpectedorproprietary
orpersonallyidentifiabledataareexpected).

7.2 DevelopGuidanceandTraining
NASAwilldevelopguidance,includinganoverarchingDMPtemplate,toassistresearchersin
developingandimplementingtheirDMPs.ExampleDMPSwillbemadeavailablewhenever
possible.

Additionally,specificguidancewillbeprovidedbyprogrammanagersintheresearch
solicitations.Afewexamplesofsuchspecificguidanceinclude:

Minimummetadatarequirements,includingappropriateattribution(ownerofthedataand
fundingsource)andconformance/interoperabilitywiththecommoncoreresearch
metadatarequiredundertherecentOpenDataPolicy;7

Expectationsforplannedrepositories,includingtheabilityofarepositorytoprovide
persistentidentifiersfordigitaldata,thestandardsthatarepositoryshouldfollowfor

ItisanticipatedthattheProgramManager(ordesignee)wouldbepartoftheofficialapprovalprocess(signature
process)fordatareleaseatthetimeofpublication
7
OMBMemorandumM1313,availableat:
http://www.whitehouse.gov/sites/default/files/omb/memoranda/2013/m1313.pdf

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implementationofthoseidentifiers,andtheabilityoftherepositorytoprovidefor
appropriatetermaccess;and

TheinteractionamongthePrincipalInvestigator,thedatarepository,andtheNASA
programmanagertoensurethat:
Appropriateattributionisincluded;
Datameetminimumqualitystandards;and
Dataareappropriatelyevaluatedforandsecuredtopreventdisclosureof
personallyidentifiableinformation,protectproprietaryinterests,
confidentiality,andintellectualpropertyrights.

Finally,NASAwillprovideguidanceforprogrammanagerstoenablethemtoeffectivelyand
efficientlyassessandmonitorDMPsintheirprograms.Knowledgeableandproactiveprogram
managerswillbekeytosuccessfulimplementationofthisplan.EvaluationofDMPswill
considertherelativevalueoflongtermpreservationandaccessandtheassociatedcostsand
administrativeburden.

7.3 AmendCurrentDocuments/Policies/Websites
TherevisedresearchdatapolicywillbeaddedtoNASAProceduralRequirement,1080.1A,
RequirementsfortheConductofNASAResearchandTechnology(R&T).NASAwillalsoamend
itsNASAGrantsHandbook,NASAHeadquartersScienceMissionDirectorateManagement
Handbook,andanyotherrelevantdocumentsorpoliciestoreflecttheresearchdatapolicy.

7.4 InvolvementofStakeholdersandPublic
Aplanforrolloutofthepolicyhasbeendeveloped.Appropriatetrainingandguidancerelated
todatamanagement,storage,andpreservationwillbeconductedincoordinationwithother
federalagenciesandaccordingtoNASAbestpractices.ThedevelopmentofNASAsfinal
ResearchDataAccessPlanwillbeconductedinatransparentmanner,withsolicitationofviews
fromstakeholdersandfulldisclosuretothesciencecommunityandotherinterestedparties.
Stakeholdersincludelibraries,federallyfundedresearchersandusersoftheirresearchresults,
andcivilsocietygroups.NASAwillsolicitopportunitiesforimplementingpublicprivate
partnershipsandwillparticipateinrelevantmultiagencypublicprivatepartnershipsand
stakeholderengagementactivities.

7.5ImprovingPublicAccesstoScientificData
NASAwilldevelopacatalogofdatasetsgeneratedviaNASAsponsoredresearchtoenable
researcherstolocateandcitedatasetsandtolinkthosedatasetstothescientificliterature.
Thiscatalogisexpectedtobepartofthecomprehensivepubliclistingofagencydatathatis
requiredbythe2013May9ExecutiveOrderandOMBMemorandumM1313.TheNASAdata
catalogwillservenotasarepositoryofstudydata,butasaregistrythatwillhaveinformation
describingthedataset(i.e.metadata)andinformationaboutwhereandhowtoaccessthe
data.Thedevelopmentofthiscatalogwillbeginatthetimeofimplementationofthepolicy.
Thepublicwillhaveaccesstothecatalogandassociateddatafreeofcharge.

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NASAwillcontinuetoidentifyadditionalapproaches,involvingpublicandprivatesector
entities,andwillcontinueeffortstoimprovepublicaccesstoresearchdata.NASAwillexplore
thedevelopmentofaresearchdatacommons,afederatedsystemofresearchdatabases,along
withotherDepartmentsandAgenciesforstorage,discoverability,andreuseofdatawitha
particularfocusonmakingthedataunderlyingtheconclusionsofpeerreviewedscientific
publicationsresultingfromfederallyfundedscientificresearchavailableforfreeatthetimeof
publication.

7.6EstablishComplianceProcessandMetrics
Appropriatemechanismsandmetricswillbedevelopedtoensurethatfundingrecipientsare
madeawareoftheirobligationsandtomonitorwhetherawardeeshavecompliedwiththeir
DMPs.Compliancewillbeverifiedbyprogramofficersbyevaluationofrequiredproject
reports;ifnecessary,continuingfundsmaybewithheldincasesofnoncompliance.

8.0UpdateandReevaluationofthisPlan
Implementationofthisplanwillinvolvesignificantchangesforbothprogrammanagersand
researchinvestigators.ToensurethatthelessonslearnedarecapturedandthatNASA
continuallyimprovesitsprocedures/policieswithrespecttoresearchdatamanagement,a
steeringcommitteecomprisingalloftheresearchorganizationsandtheOfficeoftheChief
InformationOfficerhasbeenestablished.Thissteeringcommitteewillmeetonaregularbasis
toshareexperienceandwillconductanannualassessmentofthepolicyandits
implementationforthefirstfiveyearsafterthepolicytakeseffect.
Recognizingthatextensivedatamanagementwillrequirefunding,NASAhasdevelopedacost
modelconsistentwiththeplan(asoutlinedabove)andhasincorporatedtheseneedsintothe
ongoingagencysannualbudgetdevelopmentprocess.

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PARTB:PeerReviewedPublications

1.Background:Goals,Constraints,Options,andStrategy
a. GoalsandConstraints.NASAsstrategyforplanningandexecutingitsimplementationof
theMemorandumsprovisionsforresearchpublicationsmustrespondtoseveralgoalsand
constraints.

First,thesystemsandprocessesdevelopedanddeployedmustmeettheMemorandums
requirements;moregenerally,thesolutionwillmakeinformationeasilydiscoverable,
accessible,andusablebyresearchersandotherusersandeffectiveinmeetingtheirdiverse
needs.Throughdoingso,itwillalsoenhanceinnovationandcompetitiveness.

Second,theinformationmanagementenvironmentforscientificpublications,ascomplexas
itis,isevolvingdynamicallyastheseplansarebeingdeveloped.Publicandprivate
institutions,aswellasconsortiaamongthem,aredevelopingrepositoryandaccessservices
fortheirownneeds;manyofthesecouldbedirectlyapplicabletotheobjectivesofthe
Memorandumandconsistentwithitsendorsementofpublicprivatepartnership
arrangements.

Third,theMemorandummakesclearthatagenciesshouldnotexpectadditionalresources
forexecutionoftheirimplementations.Sincesupportfortheinitiativemustthereforebe
subtractedfromagenciesprogrambudgets,costmustbediligentlymanagedand
minimized.Sinceimplementationrisktranslatesintoincreasedcosts,acorollaryisthatrisk
alsomustbeheldtoaminimum.

Theplanissubjecttolaw,agencymission,resourceconstraints,U.S.national,homeland,
andeconomicsecurity,andobjectiveslaidoutintheFebruary22,2013memorandum.

b. Options.Thus,NASAsstrategyhasledtoanimplementationthat(1)isresponsivetothe
Memorandumandtrulyuseful,(2)incorporatesflexibilitytotakeadvantageofongoing
developmentsinpublishing,researchliteratureutilization,andmassinformationaccess,
and(3)minimizesbothcostandrisk.

NASAcommissionedanindependentAnalysisofAlternativesstudy,comparingthreepublic
privatepartnerships:theNationalInstitutesofHealths(NIH)PubMedCentral(PMC)
system;theDepartmentofEnergys(DOE)PublicAccessGatewayforEnergyandScience
(PAGES);andtheClearinghousefortheOpenResearchoftheUnitedStates(CHORUS),
providedbythepublishingcommunity.TheanalysisalsoconsideredNASAsinternal
documenttrackingsystem,theScienceandTechnologyInformation(STI)NASATechnical
RecordsServer(NTRS).

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BasedonthecriterialistedintheOSTPmemodatedFebruary22,2013,andtheneedfor
flexibilityinincorporatingfutureupgrades,NASAhaschosentheNIHPMCplatform.The
NIHhasledininformationretrievalformanyyearsandthePMCisacapable,mature,and
lowriskplatformthathasevolvedovertime.NASAwillarrange,onareimbursablebasis,to
acquirethenecessaryingest,XMLconversion,accessibilityservices,aswellasother
collateralsupport,forcompliancewithOSTPmemorequirements.Alsoonareimbursable
basis,NIHPMCwillprovideaNASAbrandedportaltothefullfunctionalityofthePMC
system.

2.Scope
Thescopeofapplicabilityofthisplanincludesallpeerreviewedscientificresearchpublications
authoredorcoauthoredbyinvestigatorsfundedforthisresearchbyNASAappropriatedfunds.
Thisincludesbothcivilservantandnoncivilservantinvestigators.

Publicationsthatcontainmaterialgovernedbypersonalprivacy,exportcontrol,proprietary
restrictions,ornationalsecuritylaworregulationsareexcluded.Patentsareexcluded.

Thepolicyandrequiredimplementationactionsareexpectedtogointoeffectfirstfor
publicationsauthoredorcoauthoredbycivilservantinvestigators.Sincefullimplementation
forpublicationswithoutcivilservantauthorshipdependsonestablishmentofnecessary
copyrightlicensestobeincorporatedintoawards,implementationofthepolicyforthese
publicationswilltakeeffectforresearchconductedandpublicationsdevelopedwithsupportby
awardsthatestablishthoselicenses.Thatis,fornoncivilservants,publicationsfromresearch
fundedbyawardspriortoanynecessarycopyrightandlicensemodificationswillnotbesubject
tothepolicy.

3. Requirements
Responsibilityforsubmissionofapublicationandmetadatatoadesignatedrepositorywillbe
theresponsibilityoftheleadauthor,orNASAsupportedcoauthorifnottheleadauthor
(herein,thecorrespondingauthor).Themetadatastandardwillconformtorequirementsof
thedesignatedrepository,expectedtobecodedinXML.Theseresponsibilitieswillbe
establishedinprovisionsoftheawardthatsupportstheinvestigation.Thecorresponding
authormaysatisfythisrequirementeitherbysubmitting,orbyhis/herNASACenterSTIoffice
submitting,anexactcopyoftheasacceptedmanuscriptonacceptancebythepublisher,or,if
thepublisherhasanagreementinplacewiththerepositorytolatertransmittheeditedand
formattedVersionofRecord(VoR)totherepository,bythismeanswithoutotheraction.

AwardsofNASAfundingbyanyinstrument(e.g.,grant,contract,orcooperativeagreement)
maybemadeconditionalupontherecipientsgrantingtotheGovernmentabroadlicensethat
enablestherepositorytotransfermorelimitedrightstousersofpublicationsdrawnfromthe
repository.Analternativewouldbeanawardrequirementfortherecipienttoensurethatany
publishingagreementwouldallowtheasacceptedmanuscripttobepostedtothecentralized
archiveunderitsTermsofService.

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Inadditiontoimpositionatthetimeofinitialaward,anylicenseprovisionscanbechanged
whenincrementalfundingisreleasedtoawardees.

Requiredannualandfinalreportingrequirementsforawardeesregardingpublicationswillbe
definedintheawardinstrument.

4. Applicability
TheplanisapplicabletopeerreviewedpublicationsauthoredorcoauthoredbyNASAcivil
servantsorotherresearcherswhoperformresearchandpublishresultsthatarefundedby
NASAdirectlyorindirectly(e.g.,asGovernmentemployees,orviagrants,contracts,or
cooperativeagreements),includingsubawards.Thedefinedapplicabilitytopeerreviewed
publicationsfocusesonjournalarticles.Applicabilitytopeerreviewedconferenceabstracts
andproceedings,whichmayexperiencealessrigorousstandardofreview,willbedetermined.

5. Authority
Section20113oftheNationalAeronauticsandSpaceAct(51U.S.C.20113)

6. RolesandResponsibilities
TheNASAOfficeoftheChiefInformationOfficer(OCIO)willbetheimplementingarmofthe
agencysupportedbyasteeringcommitteemadeupofrepresentativesfromthefourresearch
organizations.

Programandprojectmanagerswillberesponsibleforcompliancebyprincipalinvestigators
fundedbyNASA.

7. Implementation
a. Planning
Planningactivitiesaredescribedinsections9,10,12,and13.Theuseofstandardsand
existingsystemsisdiscussedinsections7,8,and9.

b. Submission.ThesubmissionprocesswillcomplywithNASAstandardpracticesandfollow
allacceptedprotocols.

c. Management
ThedevelopmentandoperationoftheNASAresearchpublicationaccessprogramderiving
fromthisplanwillbemanagedbytheNASAOfficeoftheChiefInformationOfficer(OCIO).
TheAgencyhasestablishedagovernancesteeringcommitteewithrepresentationfrom
NASAsfourresearchconductingMissionDirectorates,theOfficeoftheChiefScientist,the
OfficeoftheChiefTechnologist,andtheOfficeoftheGeneralCounsel.Otherorganizations
suchastheOfficeofProcurementwillbeengagedasrequired.

Thisplanlaysoutaprovisionalprogramstructurewhichmaybemodifiedinconsultationwith
thesteeringcommitteeinresponsetonewinformation,technology,oruserrequirements.

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Technologicalevolutionofrepositoryhardwareandsoftwarewillbetheresponsibilityofthe
NIHPMCrepositorymanager.StandardsforNASAsponsoredmetadataandcitationswill
conformtoprevailingGovernmentwidestandards.

Thesystemwillensurethatthepubliccanread,download,andanalyzeindigitalformfinalpeer
reviewedmanuscriptsorfinalpublisheddocuments.Textsandassociatedcontent(images,
video,andsupportingdata)willbestoredinnonproprietaryorwidelydistributedformats.

d. Accessanddiscoverability

i.
Embargos
Metadatashouldbemadeaccessibleassoonaspossibleafterfinalacceptanceofa
paperevenifthefulltextissubjecttoanembargoperiod.Themetadatashouldbe
codedasXMLsothatitcanbecrawledbyautomatedsearchenginesinorderto
facilitatediscovery.Metadatawillbeavailablepromptlyandwithoutchargeandwill
providealinktothefulltextandsupplementalmaterialswhenpossible.

ThedefaultembargoperiodforfulltextopenaccessundertheOSTPMemorandumis
12monthsfromappearanceinthepublishedjournal.Thisstandardembargoperiodis
alsothemaximumandmostcommonperiodforPMCandwouldberetainedbyNASA
inutilizationofthatsystem.Publishersmaypetitionforalongerembargoperiod
althoughstrongevidenceforthebenefitswouldbeneeded.NASAwillprovidea
websiteconduitwheresuchpetitionscanbedirected;ifnouniforminteragency
policiesandproceduresareestablished,NASAwilldevelopandimplementitsown.

ii.
Search

NASArecognizesthatsearchcapabilitiesareimportant.Theapproachesto
optimizationofaccessibilityandinteroperability,whileensuringlongterm
stewardshipofpublications,willbethoseofPMCsevolutionarytechnicaladvances.

Itisexpectedthatsomeprovisionwillbeidentifiedordevelopedtosupportcross
repositorydiscoveryandaggregatedretrievalofmultipleitemsidentifiedinresponse
toasinglequery.

iii.
Acceptableusepolicies
Thesystemwillfacilitateanalysisofpublicationsensuingfromfederalfunding,subject
toitsacceptableusepolicies.Acceptableusepolicieswillreflecttheprovisionsof
PMCspubliclicenseorrepositoryTermsofService.Attributiontoauthors,journals,
andoriginalpublisherswillberequiredinallusesexceptinanalyseswherethe
identityandcontributionofindividualitemsaresuppressed,forexampleinbulk
analysesofaggregationsofmanyworks.Attributionwillbeattachedtoindividual
articlesviatheirmetadata.

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Copyrightandlicenseprovisionsforreproduction,redistribution,andreusewillbe
alignedwithPMCs.Itisthesoleresponsibilityofrepositoryuserstoconformto
applicabletermsandconditions.

Iflegalrestrictionsforenforcingabanonmassdistributionofpublicationsarenot
effective,atechnicalsolutionmayneedtobedevisedandimplemented.

iv. Bulkdownloadsforresearch,andmanagingtherestrictiononunauthorizedbulk
downloads
Bulkdownloadsforresearchpurposesshouldbepermittedasanacceptableuse;the
useofbulkdownloadsforcreationofderivativeproductsand/orcommercialpurposes
willdependonuserlicenseorTermsofServiceprovisions.

v. Exposuretothirdpartyservices
Thisconcernsprimarilyaccesstothecorpusbyautomatedwebcrawlersforthird
partysearchengines.Sincethiscanamplifyaccessbyinterestedusers,itisinNASAs
interesttosupportthem.

ThisrequiresthatholdingsbecodedinXML.Asaresult,forfulltextholdingsreceived
oncethepolicygoesintoeffect,PMCrequiresasacceptedmanuscriptstobe
submittedinXMLorconvertsthemtoXMLtoenablecrawleraccesstothem.

vi. 508compliance
508compliancewillbefurnishedbytherepositorymanageronapaperbypaper
basis,ondemand;costswillbebornebyNASAviaitsnegotiatedperpublication
reimbursement.

e. Preservation:PublicationsandmetadatawillbestoredinaNASAdomainwithinthePMC
systemthatprovidesforlongtermpreservationandaccesstothecontentwithoutcharge.

AnadvantageofstorageinXMLformatisitstechnologyindependenceandreliable
migrationastechnologyevolves.

f. Integrationintoothersystems
Duringimplementationintegrationintoothersystemswillbeanalyzedandamethodology
willbedevelopedtoinsureseamlessinterfacestothegreatestextentpossible.

8. Metrics,complianceandevaluation
Compliancerequirementsandconsequencesfornoncompliancewillbeclearlydetailedin
awardinstrumentsandenforced.Publicationscitedinrequiredreports(e.g.,annualprogress
andfinalreports)mustbepresentintherepository.Publicationsabsentfromtherepository

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willresultinarequesttothecorrespondingauthortoremedythedefect.Ongoingevaluation
ofcomplianceandalertingnoncompliantauthorswillbeaccomplishedusingprogressandfinal
reportsandFundRef.

CompliancewiththerequirementfordepositionofasacceptedpapersandmetadataintoPMC
forNASAauthorswillbestrengthenedviaclearpromulgationandvigorousenforcementofan
appropriateAgencyNASAPolicyDirective(NPD)andNASAProceduralRequirement(NPR).

9. Publicconsultation
NASAparticipatedintheopenmeetinghostedbytheNationalAcademyofSciencesinMay
2013;representativesalsoparticipatedinnumerousmeetingsconductedbyOSTPforthe
purposeofdiscussionsandnegotiationswithrepresentativesofthepublishingindustry,
professionalsocieties,andotherinterestedparties.Thesecontacts,aswellasmaterials
submittedbyPMC,DOE/PAGES,NASA/STINTRS,CDC/Stacks,CHORUS,GoogleScholar,and
AAUAPLUARL/SHAREwereconsideredinformulatingthestrategypresentedinthisplan.Of
thosepresented,thePMCsolutionemergedasthemostmatureandlowestriskforNASA,but
attractivefeaturesofthedistributedsolutions(CHORUS,Google,andSHARE)warrantfurther
attentioninPhase2astheymatureandaredemonstrated.

NASAwilluseitsestablishedFACAcharteredadvisorycommitteesanditsstandingcommittees
attheNationalResearchCounciltoinformitsconstituentcommunitiesandobtainguidance
relevanttotheselectedPMCpublicaccesssystem.

10. InteragencyCoordination

NASAhasparticipatedindiscussionswithotheragenciesandwillcontinuetocollaborateto
ensureaconsistentgovernmentwideapproachisachieved.

11. Publicnotice
NASAwilladheretoestablishedstandardsforformalpublicnoticeofimplementationofthe
publicationsaccesssystem.Fundedinvestigatorswillbeinformedandboundbyprovisionsin
theirawardinstruments.

12. Updateandreevaluationoftheplan
Theplanwillbereevaluatedandrevisedasneededwiththerecommendationsofthesteering
committeeinordertoprovidemaximumpublicaccess.Oninitiationofregularoperationofthe
repositoryimplementationwithinPMC,NASAwillbenefitfromNIHslongrangemanagement
planningandsustainingengineeringandaugmentationofthatsystemaswellasevaluationof
newtechnologiesand/orevolvingsystemarchitectures.

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13. Timelineforimplementation
2014
Action
Sep
Evaluatecurrentidentifieddatabases
anddeterminerequirementstoenable
searchcapabilityandaccessibilitytobe
machinereadible

NASAImplementationScheduleonDataandPublicationAccess
2015
Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Oct

BeginupdatingNASApolicyand
directivesanddevelopingcontractand
grantlanguage
Beginbuildingsearchcapabilityand
increaseaccessibility
Identifynewdatasetsfromexisting
websitesanddatabases
ReceiveAoAandselectpublication
repositoryplatform
Beginimplementationofpublication
repository
Incorporatedatamanagement
requirementsinsolicitations
Developtrainingtoolkit
CommunicateandtrainNASAfederally
fundedscientificresearchersofnew
dataobligations
Implementationcomplete

14. Resources
Anestimatedbudgettosupportimplementationofthispolicywasrequestedthroughthe
agencysnormalbudgetdevelopmentcycle.

15. Additionalmaterial
AcronymList
AAU

AssociationofAmericanUniversities
APLU

AssociationofPublicandLandgrantUniversities
ARL

AssociateofResearchLibraries
CDC

CentersforDiseaseControlandPrevention
CHORUS
ClearinghousefortheOpenResearchoftheUnitedStates
CUI

ControlledUnclassifiedInformation
DOI

DigitalObjectIdentifier
FACA

FederalAdvisoryCommitteeAct

NDAA

NASADocumentAvailabilityAuthorization
NIH

NationalInstitutesofHealth
NIHMS
NIHManuscriptSubmissionsystem
NPR

NASAProceduralRequirement
NTRS

NASATechnicalReportServer(NASA)
OCIO

OfficeoftheChiefInformationOfficer
OSTP

OfficeofScienceandTechnologyPolicy

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PAGES
PMC
SBIR
SBU
Scholar
SHARE
Stacks
STI
STTR
PAGES
USG
VoR
XML

PublicAccessGatewayforEnergyandScience(DOE)
PubMedCentral(NationalInstitutesofHealth)
SmallBusinessInnovativeResearch
SensitiveButUnclassified
Notanacronym(Google)
SHaredAccessResearchEcosystem(AAU,APLU,ARL)
Notanacronym(CDC)
ScientificandTechnicalInformation(NASA)
SmallBusinessTechnologyTransferResearch
PublicAccessGatewayforEnergyandScience(DepartmentofEnergy)
UnitedStatesGovernment
VersionofRecord
ExtensibleMarkupLanguage

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