In 2013 the White House Office of Science and Technology Policy (OSTP) directed most U.S. grant-funding agencies to develop policy requirements on sharing federally grant-funded research publications and data. Requirements for research publications and data do differ. This page seeks to provide information on publication requirements; for data requirements, see funding agency requirements for access to research data.

U of M researchers are responsible for knowing their relevant agency’s requirements for making grant-funded publications publicly accessible. Some commonalities in policies include:

  • Allowance of a 12 month embargo period from publication to public access
  • A mechanism to submit an evidence-based request for embargo extension
  • Article metadata (e.g., citation information) is required upon publication even if the full text will be embargoed

Some funders specifically scope their responses to only peer-reviewed journal articles. Others more broadly say peer-reviewed articles (which may or may not include peer-reviewed conference papers).

Compliance with these policies is the responsibility of the author. Authors should read publishing agreements and negotiate as required.The Libraries can provide support in a number of ways, including negotiation supports such as the CIC Author’s Rights Addendum, or our services to help you make best use of the U of M Open Access Policy.

For more detailed information, including compliance mechanisms, please see our matrix of Federal Funding Agencies Public Access Plans for Publications.

Please contact the Libraries for assistance.

 

Agency Directorate Effective Date Sharing Required? Sharing Venue
DOD   Fiscal Year 2015 (estimate) Yes Defense Technical Information Center
DOE   October, 2014 Yes Article hosting choices: 1st) Publisher, 2nd) local repository, 3rd) OSTI Pages.
DoED IES October 2012 Yes ERIC
DOT   December 31, 2015 Yes National Transportation Library
HHS AHRQ February 2015 Yes PubMed Central
ASPR October 2015 Yes PubMed Central
CDC July 2013 Yes CDC Stacks and PubMed Central
FDA October 2015 Yes PubMed Central
NIH 2008 Yes PubMed Central
NASA   October 2015 Yes NASA-branded portal of PubMed Central
NIST   October 2015 Yes PubMed Central
NOAA   January 2016 Yes NOAA Institutional Repository
NSF   January 2016 Yes NSF Public Access Repository
Smithsonian   October 2015 Yes Smithsonian Research Online
USDA   January 2016 Yes PubAg
VA   December 31, 2015 Yes PubMed Central


  • Agency for Healthcare Research and Quality (AHRQ)
    • AHRQ Public Access to Federally Funded Research
    • "Ensure that the public can read, download, and analyze in digital format final published documents."
    • "Implementation will be prospective and will not apply to any publication...arising from an AHRQ-sponsored grant, cooperative agreement, contract, or intramural research project funded prior to publication of the final AHRQ Public Access Policy."
    • "For scholarly publications, the AHRQ Public Access Policy will require that authors submit the final peer-reviewed accepted journal manuscripts to PubMed Central (PMC)."
    • "Authors will regularly report on the status of their deposit of materials using quarterly reports, where applicable; annual progress reports; and final progress reports."
  • Office of the Assistant Secretary for Preparedness and Response (ASPR)
    • Public Access to Federally Funded Research: Publications and Data
    • "...require that ASPR-funded investigators submit an electronic version of final peer-reviewed journal manuscripts to the digital archive PubMed Central (PMC) upon acceptance for publication."
    • [Roles and Responsibilities of the Author]: "Work with the publisher before any publication rights are transferred to ensure that all conditions of the ASPR Public Access Plan can be met."
  • Center for Disease Control (CDC)
    • CDC Plan for Increasing Access to Scientific Publications and Digital Scientific Data Generated with CDC Funding
    • "CDC grantees and cooperative agreement recipients are responsible for submitting the peer-reviewed manuscripts into the NIHMS system [National Institutes of Health Manuscript Submission System]. They will then proof the manuscripts to ensure no errors were made during the conversion to NIHMS."
    • "If the author’s meaning was altered during the proofing phase, the lead author is responsible for ensuring corrections are made to the manuscript before posting to PMC [PubMed Central]"
    • "Grantees will be asked to report either the NIHMSID or the PMCID for any publication associated with their grant."
  • Department of Defense (DOD)
    • Plan to Establish Public Access to the Results of Federally Funded Research
    • [Prospective Roles for Authors]: "Will be advised to work with the publisher before any publication rights are transferred to ensure that all conditions of the projected DoD public access policy can be met."
    • [Prospective Roles for Authors]: "Will be required to deposit the final peer reviewed manuscript and any subsequent errata at DTIC (Defense Technical Information Center) when it is accepted for publication, when the final title and date of publication are known."
  • Department of Education (DoED)
    • Plan and Policy Development Guidance for Public Access
    • See also: Institute for Education Studies (IES) Policy Statement on Public Access to Publications Resulting from IES Funded Grants
      • "Investigators are to submit the electronic version of their final manuscripts upon acceptance for publication in a peer-reviewed scholarly publication to ERIC, a publicly accessible and searchable electronic database of education research that makes available full text documents to the public for free."
      • "This requirement applies to all research activities supported through IES research and training grant awards, cooperative agreements, and contracts. The requirement applies to peer-reviewed, original scholarly publications that have been supported, in whole or in part, with direct costs from IES, but it does not apply to book chapters, editorials, reviews, or conference proceedings."
  • Department of Energy (DOE)
    • Public Access Plan
    • U of M Libraries DOE Policy FAQs
    • "All 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 (Office of Scientific and Technical Information)"
    • "In cases where the publisher does not provide public access, PAGES (Public Access Gateway for Energy and Sciences) 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."
  • Department of Transportation (DOT)
    • Public Access Plan: Increasing Access to Federally Funded Research Results
    • U of M Libraries DOT Policy FAQs
    • "Terms and conditions will require sub-awardees, principal investigators and authors to submit metadata and final peer-reviewed manuscripts upon acceptance for publication."
    • Researchers will be required "to obtain and report his or her unique ORCID (Open Researcher and Contributor ID) identification on submissions of research results to DOT and/or publishers" and "to include the appropriate funding agreement number(s) on all submissions of research results to DOT and/or publishers."
    • [Roles and Responsibilities for Principal Investigators]: "Ensure that all rights under copyright are non-exclusively retained by DOT and that the terms and conditions of publication do not impair the obligation of the authors to comply with the DOT Public Access Plan."
  • Department of Veterans Affairs (VA)
  • Food and Drug Administration (FDA)
    • Plan to Increase Access to Results of FDA-Funded Scientific Research
    • "...grantees and contractors receiving FDA funds resulting in scientific articles covered by the scope of this plan, will be responsible for ensuring that a final version of the peer reviewed article--either the final published article or the final peer-reviewed manuscript--and a set of standard article metadata (to be identified by the agency) are deposited into an FDA-designated scientific article repository." [FDA will be using PubMed Central]
    • "FDA will ensure grantee and contractor compliance...by requiring, as a term and condition of the grant or contract award, periodic reporting to contracting officer representatives and program officers as a part of regular grants and contract management."
    • "Failure to comply with the publication access and data management requirements...may serve as grounds to terminate the contract or cancel the grant."
  • National Aeronautics and Space Administration (NASA)
    • NASA Plan: Increasing Access to the Results of Scientific Research
    • "Publications that contain material governed by personal privacy, export control, proprietary restrictions, or national security law or regulations are excluded. Patents are excluded."
    • "Responsibility for submission of a publication and metadata to a designated repository will be the responsibility of the lead author, or NASA-supported coauthor if not the lead author."
    • "Applicability to peer-reviewed conference abstracts and proceedings, which may experience a less rigorous standard of review, will be determined."
    • "Publications cited in required reports (e.g., annual progress and final reports) must be present in the repository."
  • National Institute of Standards and Technology (NIST)
    • Plan for Providing Public Access to the Results of Federally Funded Research
    • "Authors of peer-reviewed scholarly publications are required to submit to the NIST public access archive system metadata and their copies of final peer-reviewed journal manuscripts within the scope of this plan once the manuscript is accepted for publication."
    • "NIST reserves the right to shorten or extend the embargo period."
  • National Oceanic and Atmospheric Administration (NOAA)
    • NOAA Plan for Increasing Public Access to Research Results
    • "For NOAA, ‘publications’ shall also include NOAA technical reports and professional papers issued or sponsored by NOAA, in addition to peer-reviewed publications as covered by the OSTP PARR Memo."
    • "NOAA, in consultation with OSTP, will implement a new requirement that publication authors, both intramural and extramural, deposit final NOAA technical reports and final pre-publication manuscripts in a document repository identified by NOAA."
  • National Science Foundation (NSF)
    • Today’s Data, Tomorrow’s Discoveries: Increasing Access to the Results of Research Funded by the National Science Foundation
    • U of M Libraries NSF Policy FAQs
    • NSF's Guide to Getting Started (Depositing Publications into NSF-PAR)
    • "NSF will require that either the version of record or the final accepted peer-reviewed manuscript in peer-reviewed scholarly journals and papers in juried conference proceedings or transactions...must...Be deposited in a public access compliant repository designated by NSF"
    • "NSF requires awardees to adhere to public access requirements as described in this plan for all research that it supports, even when the research underlying the publication and generation of data is supported by multiple funders…"
    • [Roles and Responsibilities of Principal Investigators and Authors]: "Work with the publisher before any publication rights are transferred to ensure that all NSF’s public access requirements can be met."
    • [Roles and Responsibilities of Principal Investigators and Authors]: "Ensure that any agreement signed with a publisher preserves the author’s ability to comply with NSF’s public access requirements."
    • "The investigator is then responsible for reporting that deposit back to NSF as a condition of the award. During the period of the award, this information is included in the annual and final reports."
    • "Only journal articles and juried conference papers that have been deposited in the public access repository can be included in annual and final reports..."
  • Smithsonian Institute
  • United States Department of Agriculture (USDA)
    • Implementation Plan to Increase Public Access To Results of USDA-funded Scientific Research
    • "Ensure that the public can read, download, and analyze in digital form final peer reviewed manuscripts or final published documents without charge no later than 12 months following publication."
    • "Provide a mechanism for stakeholders to petition for changing the 12 month embargo period for a specific field by presenting clear evidences demonstrating that USDA implementation plan would be inconsistent with the objectives articulated in the OSTP memorandum."
Questions or comments about open access issues at the University of Minnesota, and in general, can be directed to openaccess@umn.edu.