Palestra apresentada à CONFOA 2013 (Universidade de São Paulo, São Paulo, Brasil, de 06 a 08 de outubro de 2013) na Mesa I - Políticas públicas de acesso aberto - Heather Joseph - ESTADOS UNIDOS - SPARC

1. A Framework for Creating Open
Access Policy in the United
States
Heather Joseph
Executive Director, SPARC
IV Open Access Luso-Brazilian
Conference
Sao Paolo, Brazil
October 7, 2013

2. Our Mission:
Expand the distribution of research
in a way that leverages digital
networked technology, reduces
financial pressures on libraries, and
creates a more open system of
scholarly communication.

3. Why “Open” as the Endgame?

4. Each Year, the U.S. Government
spends ~US$60 billion on scientific
research.

5. We Make this Investment In
Order to:
•
•
•
•
•
Generate new ideas
Accelerate scientific discovery
Fuel innovation
Grow the economy
Improve the welfare of the public

6. This can only happen if we can
access and use the results of this
research.

7. “If I as a scientist go through the
work of designing and conducting
an experiment, but don’t tell
anyone the results, what what the
point of me doing the work in the
first place?”
- Dr. Keith Yamamoto, Executive Vice Dean,
UCSF Medical School

8. Over 200,000 articles report on
U.S-funded research each year...

9. …But the majority of these can
still only be read by purchasing
access through a journal.

10. Current system is not optimized to
achieve desired outcomes.

11. Need to remove the barriers
(financial, legal and technical) that
are blocking us from achieving
these outcomes.

12. “Removing access barriers to this
literature will accelerate research,
enrich education, share the learning
of the rich with the poor and the poor
with the rich, make this literature as
useful as it can be, and lay the
foundation for uniting humanity in a
common intellectual conversation and
quest for knowledge.“
12
Budapest Open Access Initiative – February 14, 2002
www.boai.org
www.arl.org/sparc

14. “By open access, we mean the free
availability of articles on the public
internet, permitting any users to read,
download, copy, distribute, print,
search or link to the full text of these
articles, crawl them for indexing, pass
them as data to software or use them
for any other lawful purpose…”
- The Budapest Open Access Initiative – February 14, 2002
14
www.arl.org/sparc

15. Open Access = Access + Reuse

16. Open Access has become a Policy
Imperative.

17. Governments would boost
innovation and get a better return
on their investment in publicly
funded research by making
research findings more widely
available…. And by doing so, they
would maximize social returns on
public investments.”
-- International Organization for Economic Cooperation and
Development, Report on scientific publishing, 2005

18. The U.S. increasingly recognizes
the need to create a policy
framework that supports all
stakeholders in a transition to a
more open system of sharing
research results.

19. Sources of U.S. Information Policy
•
•
•
•
•
Copyright Act (17 U.S.C. 105)
Freedom of Information Act (5 U.S.C. 552)
Paperwork Reduction Act (44 U.S.C. Chapter 35)
Electronic FOIA Amendments of 1996.
Government Paperwork Elimination Act of
1998.
• Office of Management and Budget Circular No.
A-130, “Management of Federal Information
Resources,” (61 FR 6425, February 20, 1996)

20. OMB Circular A-130
“Open and unrestricted access to public
information at no more than the cost of
dissemination”
“…government information is a valuable
national resource, and… the economic
benefits to society are maximized when
government information is available in a
timely and equitable manner to all.”
- From OMB Circular No. A-130,
http://www.whitehouse.gov/omb/circulars/a130/a130trans4.html

21. Policy Focus:
Public is entitled to access and use
the results of research their tax
dollars pay for.

22. Untill now, only 1 U.S. Funding
Agency had enacted policy to
make this a reality.

23. But it’s a Big One…

24. The U.S. National Institutes of
Health funds ~US$30 billion in
basic and applied biomedical
research each year.

25. This represents fully one-half of
the U.S. total US$60 billion annual
investment in scientific research.

26. After piloting a voluntary Open
Access policy for 3 years, U.S.
Congress enacts NIH Public Access
Policy into law in 2008.

27. “The National Institutes of Health shall
require that all investigators funded by
the NIH submit to the National Library
of Medicine's PubMed Central an
electronic version of their final, peerreviewed manuscripts upon acceptance
for publication, to be made publicly
available no later than 12 months after
the official date of publication.”

28. Policy Requirements are Not
Complicated…

29. But Outcomes Have Been
Substantial.

30. NIH Policy Outcomes
• More than 2.5 million full text articles are
now available though agencies repository.
• More than 1,000,000 unique users access
those articles - every day.
• More than 2/3rds of the users come from
outside of the academic community.
• Over 80% of eligible researchers comply.
• Policy costs less than 1/100th of 1% of NIH’s
overall operating budget to implement.

31. Note: NIH Policy leaves copyright
negotiations up to indivudal
authors.

32. 5 Years of Data from NIH Helped
Drive Progress Towards More
Open Access Policies in the U.S.

33. Extensive Public
Discussion/Consultation between
2009-2012.

35. Open Access advocates organized;
and community responded with
thousands of detailed
comments...

36. …focused on highlighting how
Open Access Policies would
advance Federal Governments
Objectives.

37. Objectives of Open Access Policies
•
•
•
•
•
•
Generate new ideas
Accelerate scientific discovery
Fuel innovation
Grow the economy/create jobs
Improve the welfare of the public
Increase transparency and
accountability

38. Advocates Also Responded with
Calls for Action.

40. For White House to respond,
petitions need 25,000 signatures
in 30 days.

41. We Did it in 13 Days.

42. And Ended up with 65,000
Signatures.

43. In February 2013, The White House
Issued an Executive Directive
Supporting Expansion of NIH Policy to
All Other U.S. Federal Science
Agencies

45. White House Directive requires
more than 20 U.S. Federal
Agencies and Departments to now
develop Open Access Policies.

46. “The Obama Administration is
committed to the proposition that
citizens deserve access to the
results of scientific research their
tax dollars have paid for. ”

47. “Public access policies will
accelerate scientific
breakthroughs and innovation,
promote entrepreneurship and
ehance economic growth and job
creation…”

48. Directive presents useful guidance
on objectives that the policies
must meet, and also on elements
policies should contain.

49. Policies must “ensure that the
public can read, download and
analyze” articles in an appropriate
time frame.

50. Very Good.

51. However, it is a regulation, not
legislation.

52. Continued push for legislation to
make Open Access the “law of the
land”; not just the “preference of
a president.”

53. The Proposed Legislation:
“The Fair Access to Science and
Technology (FASTR) Act”

54. Both FASTR and WH Directive:
• Are “green” policies – requiring
deposit in open access repositories
• Have provisions to ensure that
articles can be both accessed and
fully used.

55. However, FASTR:
• Shortens the allowable embargo
period to 6 months (from 12):
• Requires that articles be made
available under license terms that
enable productive reuse.
• Specifically requires agencies to
examine use of CC-BY license.

56. Much of the action in U.S. now
(and for the forseeable future) is
centered around interpretation,
codification, implementation of the
White House Directive…

57. Much, but not all.

58. University/Campus Based Open
Access Policies

59. More than 35 U.S. Higher Education
Institutions have implemented
Open Access policies.

60. “The broad dissemination of the results
of scholarly inquiry and discourse is
essential for higher education to fulfill
its long-standing commitment to the
advancement and conveyance of
knowledge. Indeed, it is mission
critical.”
- U.S. University Provosts, in an Open Letter to the
Higher Education Community, 7/24/06
www.arl.org/sparc
60

61. 61
www.arl.org/sparc

62. 62
www.arl.org/sparc

63. And a new front open up in 2013…

64. State Open Access Policies.

65. New legislation proposed on
state level in 3 States:
- Illinois (Passed; signed into law)
- California (Passed Assembly,
vote due in Senate in January
2014)
- New York (Pending first vote)

66. All three proposed State bills are
built on framework set out in
FASTR, and are complimentary
with the WH Directive.

67. First time that the U.S. has had
active Open Access policy
proposals in play at Executive
Branch level, in Congress, in States
and on local campus Level.

68. Biggest challenges center around
how policies are interpreted and
implemented.

69. Especially in the area of reuse
rights.

70. The details matter. A lot.
“Download” vs. “Download in
Bulk”
“Analyze” vs. “Enable Full
Computational Analysis”

71. The details matter. A lot.
“Download” vs. “Download in
Bulk”
“Analyze” vs. “Enable Full
Computational Analysis”

72. Community must continue to keep
pressure on to ensure the strongest
possible implementation of Open
Access policies – and to make them
permanent.

73. With nearly 2-dozen federal
agencies, 50 States, and hundreds
of campuses in play, it will not be
an easy or fast process, but…

74. It’s awfully hard to put the genie
back in the bottle once the bottle is
truly Open.

75. Thank You
Heather Joseph
Executive Director, SPARC
21 Dupont Circle, Ste. 800
Washington DC 20036 USA
heather@arl.org
(202) 296-2296
http://www.arl.org/sparc