Category: Legislation and Government Regulation

In "The Open Letter to the Higher Education Community" issued by the Harvard University Provost, the provosts and presidents of 27 major research institutions have indicated their strong support for the Federal Research Public Access Act.

Here's an excerpt:

The United States Congress will have the opportunity to consider the Federal Research Public Access Act (FRPAA). FRPAA would require Federal agencies whose extramural research budgets exceed $100 million to develop policies ensuring open, public access to the research supported by their grants or conducted by their employees. This Bill embodies core ideals shared by higher education, research institutions and their partners everywhere. The Bill builds upon the success of the first U.S. policy for public access to publicly funded research mdash; implemented in 2008 through the National Institutes of Health—and mirrors the intent of campus-based policies for research access that are being adopted by a growing number of public and private institutions across the nation.

We believe that this legislation represents a watershed and provides an opportunity for the entire U.S. higher education and research community to draw upon their traditional partnerships and collaboratively realize the unquestionably good intentions of the Bill’s framers—broadening access to publicly funded research in order to accelerate the advancement of knowledge and maximize the related public good. By ensuring broad and diverse access to taxpayer-funded research the Bill also supports the intuitive and democratic principle that, with reasonable exceptions for issues of national security, the public ought to have access to the results of activities it funds.

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. For the land-grant and publicly funded institutions among us, it addresses the complementary commitment to public service and public access that is included in our charters. In keeping with this mission, we agree with FRPAA’s basic premise that enabling the broadest possible access to new ideas resulting from government-funded research promotes progress, economic growth, and public welfare. Furthermore, we know that, when combined with public policy such as FRPAA proposes, the Internet and digital technology are powerful tools for removing access barriers and enabling new and creative uses of the results of research.

Collectively, our universities engage in billions of dollars of funded research. On average, approximately 50% of our research funding originates with the federal government. That public investment—estimated at over $60.5 billion for the research covered by FRPAA—is complemented by our own institutional investments in research units, laboratories, libraries, and the faculty and staff whose expertise permeates them.

FRPAA has the potential to enable the maximum downstream use of those investments. Many of us are already working on programs and policies to promote greater access to the wealth of research produced by our scholars; we are adopting policies for open access to the research outputs of our institutions; we are building open access digital repositories to collect research, developing advanced publishing channels, and working with our scholarly publishing partners to pursue the broadest possible distribution of scholarship at lowest possible costs. FRPAA will complement these efforts and be a powerful tool in ensuring their success.

Each month the evidence mounts that open access to research through digital distribution increases the use of that research and the visibility of its creators. Widespread public dissemination levels the economic playing field for researchers outside of well-funded universities and research centers and creates more opportunities for innovation. Ease of access and discovery also encourages use by scholars outside traditional disciplinary communities, thus encouraging imaginative and productive scholarly convergence.

Open and public access policies can also match the missions of scholarly societies and publishers who review, edit, and distribute research to serve the advancement of knowledge. Sharing the fruits of research and scholarship inevitably leads to the creation of more research and scholarship, thus highlighting the need for publishing professionals to manage the selection and review of the highest quality research, both publicly and privately funded.

Open and public access to publications in no way negates the need for well-managed and effective peer review or the need for formal publishing. It does, however, challenge us all to think about how best to align the intellectual and economic models for scholarly publishing with the needs of contemporary scholarship and the benefits, including low marginal costs of distribution, of network technology. That challenge is one that many scholarly societies and commercial publishers are already successfully engaging through a variety of business model experiments and partnerships. We believe that FRPAA productively calls for further engagement.

As scholars and university administrators, we are acutely aware that the present system of scholarly communication does not always serve the best interests of our institutions or the general public. Scholarly publishers, academic libraries, university leaders, and scholars themselves must engage in an ongoing dialogue about the means of scholarly production and distribution. This dialogue must acknowledge both our competing interests and our common goals. The passage of FRPAA will be an important step in catalyzing that dialogue, but it is not the last one that we will need to take.

FRPAA is good for education and good for research. It is good for the American public, and it promotes broad, democratic access to knowledge. While it challenges the academy and scholarly publishers to think and act creatively, it need not threaten nor undermine a successful balance of our interests. If passed, we will work with researchers, publishers, and federal agencies to ensure its successful implementation. We endorse FRPAA's aims and urge the academic community, individually and collectively, to voice support for its passage.

Rep. Mike Doyle (D-PA) and a bi-partisan host of co-sponsors (Rep. Rick Boucher, Rep. Gregg Harper, Rep. Dana Rohrabacher, Rep. Debbie Wasserman Schultz, and Rep. Henry A. Waxman) have introduced the Federal Research Public Access Act of 2010 (H.R. 5037) in the U.S. House of Representatives.

Here's an excerpt from the Alliance For Taxpayer Access press release:

The proposed bill would build on the success of the first U.S. mandate for public access to the published results of publicly funded research at the National Institutes of Health (NIH), and require federal agencies with annual extramural research budgets of $100 million or more to provide the public with online access to research manuscripts stemming from funded research no later than six months after publication in a peer-reviewed journal. . . .

Like the Senate bill introduced in 2009 by Senators Lieberman (I-CT) and Cornyn (R-TX), H.R. 5037 would unlock unclassified research funded by agencies including: Department of Agriculture, Department of Commerce, Department of Defense, Department of Education, Department of Energy, Department of Health and Human Services, Department of Homeland Security, Department of Transportation, Environmental Protection Agency, National Aeronautics and Space Administration, and the National Science Foundation.

H.R. 5037 follows closely on the heels of a recent expression of interest in public access policies from the White House Office of Science and Technology Policy, which issued a request for public comment on mechanisms that would leverage federal investments in scientific research and increase access to information that promises to stimulate scientific and technological innovation and competitiveness.

The Alliance For Taxpayer Access issued a call to action regarding the bill. Here's an excerpt:

Here's how you can help support this legislation:

1. Send thanks to the Bill's sponsors, also through the ATA Action Center.
2. Ask your representatives in Congress to co-sponsor H.R.5037 or S.1373. Act now through the ATA Legislative Action Center.
3. Express your organization's support to Congress for public access to taxpayer-funded research and for this bill. Send a copy of your letter to sparc [at] arl [dot] org.
4. Issue a public statement of support from your organization and share it widely with members, colleagues, and the media. Send a copy to sparc [at] arl [dot] org to be featured on the FRPAA Web site.
5. Share news about this bill with friends and colleagues.
6. Post the "I support taxpayer access" banner on your Web site.
7. See the ATA Web site at http://www.taxpayeraccess.org/frpaa for more ways you can support public access to publicly funded research and this bill.

Rep. Frank Kratovil and Rep. Leonard Lance have introduced The Congressional Research Service Electronic Accessibility Act of 2009 (HR 3762).

Here's an excerpt from the press release:

In an effort to make sure the public has access to the same research reports and analysis Members of Congress use to make decisions, Rep. Frank Kratovil today introduced HR 3762, The Congressional Research Service Electronic Accessibility Act of 2009. This bipartisan legislation, introduced with fellow freshman Rep. Leonard Lance (R-NJ), would make published Congressional Research Service (CRS) reports available to the public in an effort to increase transparency and help citizens become more informed and engaged advocates.

"Across the country, citizens are deeply and passionately engaged in debates about the future of our country and the significant challenges we face at home and abroad," said Rep. Kratovil. "As the public debate has become increasingly partisan and polarized, it is more important than ever for citizens to have full access to the same neutral, unbiased information that many of us rely on to help us formulate important decisions."

The lawyers, economists, reference librarians, and social, natural, and physical scientists of CRS offer invaluable research and analysis to Members of Congress on all current and emerging issues of national policy. CRS has a responsibility to ensure that Members of the House and Senate have available the best possible information and analysis on which to base the policy decisions.

CRS is governed by requirements for accuracy, objectivity, balance, and nonpartisanship — the very sort of analysis sought and valued by engaged constituents. As a dedicated congressional support agency, CRS is joined by the Government Accountability Office (GAO) and the Congressional Budget Office (CBO) in providing Congress with information and analysis that is unequaled by any other national legislature. While GAO and CBO reports are already available to the public, CRS reports are not.

"Making taxpayer-funded research available to the American people is good government," said Congressman Leonard Lance (R-NJ). "Our bill will allow for greater transparency and ensure that non-partisan, public policy reports that are prepared with taxpayer funds for members of Congress be available to educators, students, members of the news media and every citizen across the country." "When citizens are engaged and informed, we have a better chance of elevating our national discourse and cutting through the misinformation and spin that threatens progress," said Rep. Kratovil. "We must do everything we can to empower Americans to play an active role in the legislative process."

In "Open Access Bill Stalls in Congress," Bob Grant reports on the status of the Federal Research Public Access Act in the Senate.

Here's an excerpt:

Congressional staffers in the US Senate Homeland Security and Governmental Affairs Committee, where the Federal Research Public Access Act (FRPAA) of 2009 (S.1373) lingers, have been forced to shift their attentions to health care and away from the bill. "They're definitely swamped," Heather Joseph, executive director of the Scholarly Publishing and Academic Resources Coalition, told The Scientist. Joseph added that movement on FRPAA is not expected "until after health care gets sorted out."

You can send an e-mail supporting the bill to your Senator using the Alliance for Taxpayer Access Web form.

Greater Western Library Alliance member universities have sent a letter supporting the Federal Research Public Access Act of 2009 to members of the U.S. Senate.

Here's an excerpt:

Timely, barrier-free access to the results of federally funded research supports the core mission of our academic institutions and is essential to fully utilize our collective investment in science. FRPAA will help us maximize this investment by increasing the sharing research results, advancing the pace of discovery, and applying this knowledge for the benefit of our communities.

The FRPAA bill also expands on the success of the public access policy of the National Institutes of Health (NIH), the first U.S. agency to require public access to taxpayer-funded research. More than 450,000 unique users access material from the NIH repository each day. Under S.1373, we envision researchers and students working in fields of equal importance—from climate change to renewable energy—having the same access to federally funded research to advance their critical work.

This bill is a crucial step in realizing this goal and we look forward to working with you to secure the bill’s passage.

Fifty-seven liberal arts college presidents have issued an open letter expressing "strong support" for the Federal Research Public Access Act of 2009 (S. 1373).

Here's an excerpt:

Liberal arts colleges are important components of our nation's scientific and scholarly productivity. Studies have shown that our institutions are highly effective in producing graduates who go on to obtain Ph.D. degrees and become productive researchers. Our faculty actively pursue research, much of it with government funding, and often working in partnership with talented undergraduates. Unfortunately, access to research information paid for with tax dollars is severely limited at our institutions – and indeed at most universities. Academic libraries simply cannot afford ready access to most of the research literature that their faculty and students need. The Federal Research Public Access Act would be a major step forward in ensuring equitable online access to research literature that is paid for by taxpayers. The federal government funds over $60 billion in research annually. Research supported by the National Institutes of Health, which accounts for approximately one-third of federally funded research, produces an estimated 80,000 peer-reviewed journal articles each year. Given the scope of research literature that would become available online, it is clear that adoption of the bill would have significant benefits for the progress of science and the advancement of knowledge.

S. 1373 would build on a number of established public access policies that have been adopted by government agencies in both the U.S. and abroad. The National Institutes of Health has implemented a very successful comprehensive public access policy, as required by the Consolidated Appropriations Act of 2007. All seven of the Research Councils in the United Kingdom have public access policies as do the Canadian Institutes of Health Research. The bill is also consistent with the growing number of institutional open access policies that have been adopted at universities such as Harvard, MIT, and the University of Kansas.

We are supportive of the Federal Research Public Access Act because it has been crafted in a way that provides ample protection for the system of peer review. It allows for a window of up to six months before final peer-reviewed manuscripts resulting from publicly funded research are made openly accessible on the Internet. In addition, it leaves control of the final published version of articles, which is generally used for citation purposes, in the hands of publishers.

Adoption of the Federal Research Public Access Act will democratize access to research information funded by tax dollars. It will benefit education, research, and the general public. We urge the higher education community, American taxpayers, and members of Congress to support its passage into law.

Read more about it at "Open Letter on Open Access."

The Alliance for Taxpayer Access has issued a call to action about the Federal Research Public Access Act of 2009 (S 1373).

Here's an excerpt:

On June 25, Senators Lieberman (I-CT) and Cornyn (R-TX) introduced the Federal Research Public Access Act (S.1373), a bill that would ensure free, timely, online access to the published results of research funded by eleven U.S. federal agencies. S.1373 would require those agencies with annual extramural research budgets of $100 million or more to provide the public with online access to research manuscripts stemming from such funding no later than six months after publication in a peer-reviewed journal. The bill gives individual agencies flexibility in choosing the location of the digital repository to house this content, as long as the repositories meet conditions for interoperability and public accessibility, and have provisions for long-term archiving.

The bill specifically covers unclassified research funded by agencies including: Department of Agriculture, Department of Commerce, Department of Defense, Department of Education, Department of Energy, Department of Health and Human Services, Department of Homeland Security, Department of Transportation, Environmental Protection Agency, National Aeronautics and Space Administration, and the National Science Foundation.

S. 1373 reflects the growing trend among funding agencies—and college and university campuses—to leverage their investment in the conduct of research by maximizing the dissemination of results. It follows the successful path forged by the NIH’s Public Access Policy, as well as by private funders like the Wellcome Trust, and universities such as Harvard and MIT.

Detailed information about the Federal Research Public Access Act is available at http://www.taxpayeraccess.org/frpaa.

All supporters of public access—universities and colleges, researchers, libraries, campus administrators, patient advocates, publishers, consumers, individuals, and others—are asked to ACT NOW to support this bill. Here’s how:

• Contact Congress now to express your organization's support for public access to taxpayer-funded research and for this bill. Act now through the ATA Legislative Action Center.
• Contact Congress now to express your individual support for public access to taxpayer-funded research and for this bill.
• Send thanks to the Bill's sponsors—Senators Lieberman and Cornyn.
• Issue a public statement of support from your organization and share it widely with members, colleagues, and the media. Send a copy to sparc [at] arl [dot] org to be featured on the FRPAA Web site.
• Share news about this bill with friends and colleagues.
• Post the "I support taxpayer access" banner on your Web site.

The text of the Federal Research Public Access Act of 2009 (S 1373) is now available.

Here's an excerpt:

SEC. 4. FEDERAL RESEARCH PUBLIC ACCESS POLICY.

(a) In General- Not later than 1 year after the date of enactment of this Act, each Federal agency with extramural research expenditures of over $100,000,000 shall develop a Federal research public access policy that is consistent with and advances purposes of the Federal agency.

(b) Content- Each Federal research public access policy shall provide for—

(1) submission to the Federal agency of an electronic version of the author's final manuscript of original research papers that have been accepted for publication in peer-reviewed journals and result from research supported, in whole or in part, from funding by the Federal Government;

(2) the incorporation of all changes resulting from the peer review publication process in the manuscript described under paragraph (1);

(3) the replacement of the final manuscript with the final published version if—

(A) the publisher consents to the replacement; and

(B) the goals of the Federal agency for functionality and interoperability are retained;

(4) free online public access to such final peer-reviewed manuscripts or published versions as soon as practicable, but not later than 6 months after publication in peer-reviewed journals;

(5) production of an online bibliography of all research papers that are publicly accessible under the policy, with each entry linking to the corresponding free online full text; and

(6) long-term preservation of, and free public access to, published research findings—

(A) in a stable digital repository maintained by the Federal agency; or

(B) if consistent with the purposes of the Federal agency, in any repository meeting conditions determined favorable by the Federal agency, including free public access, interoperability, and long-term preservation.

(c) Application of Policy- Each Federal research public access policy shall—

(1) apply to—

(A) researchers employed by the Federal agency whose works remain in the public domain; and

(B) researchers funded by the Federal agency;

(2) provide that works described under paragraph (1)(A) shall be—

(A) marked as being public domain material when published; and

(B) made immediately available under subsection (b)(4); and

(3) make effective use of any law or guidance relating to the creation and reservation of a Government license that provides for the reproduction, publication, release, or other uses of a final manuscript for Federal purposes.

(d) Exclusions- Each Federal research public access policy shall not apply to—

(1) research progress reports presented at professional meetings or conferences;

(2) laboratory notes, preliminary data analyses, notes of the author, phone logs, or other information used to produce final manuscripts;

(3) classified research, research resulting in works that generate revenue or royalties for authors (such as books) or patentable discoveries, to the extent necessary to protect a copyright or patent; or

(4) authors who do not submit their work to a journal or works that are rejected by journals.

(e) Patent or Copyright Law- Nothing in this Act shall be construed to affect any right under the provisions of title 17 or 35, United States Code.

(f) Report-

(1) IN GENERAL- Not later than October 1, of each year, the head of each Federal agency shall submit a report on the Federal research public access policy of that agency to—

(A) the Committee on Homeland Security and Governmental Affairs of the Senate;

(B) the Committee on Oversight and Government Reform of the House of Representatives;

(C) the Committee on Science and Technology of the House of Representatives;

(D) the Committee on Commerce, Science, and Transportation of the Senate;

(E) the Committee on Health, Education, Labor, and Pensions of the Senate; and

(F) any other committee of Congress of appropriate jurisdiction.

(2) CONTENT- Each report under this subsection shall include—

(A) a statement of the effectiveness of the Federal research public access policy in providing the public with free online access to papers on research funded by the Federal agency;

(B) a list of papers published in peer-reviewed journals that report on research funded by the Federal agency;

(C) a corresponding list of papers made available by the Federal agency as a result of the Federal research public access policy; and

(D) a summary of the periods of time between public availability of each paper in a journal and in the online repository of the Federal agency.

(3) PUBLIC AVAILABILITY- The Federal agency shall make the statement under paragraph (2)(A) and the lists of papers under subparagraphs (B) and (C) of paragraph (2) available to the public by posting such statement and lists on the website of the Federal agency.

U.S. Senators John Cornyn (R-Texas) and Joe Lieberman (I-CT) re-introduced the Federal Research Public Access Act (FRPAA) today. (Thanks to Open Access News.)

Here's an excerpt from the press release:

Their legislation, the Federal Research Public Access Act (FRPAA), would require every federal department and agency with an annual extramural research budget of $100 million or more to make their research available to the public within six months of publication.

"Our legislation would give the American people greater access to the important scientific research they help fund, which will accelerate scientific discovery and innovation, while also making sure that funding is being spent appropriately to ensure taxpayers are receiving a return on their research investments and they are not having to pay twice for the same research – once to conduct it, and a second time to read it. I will continue to advocate for greater transparency measures across all of our governmental departments and agencies, and I urge our Senate colleagues to support this legislation," said Sen. Cornyn.

"The United States has some of the best and brightest researchers," said Lieberman. "I continue to be impressed by their ideas and feel strongly that the American public should have access to what they discover. The internet makes it possible to provide public access to federally funded research and I am pleased to lead the effort to make this information more accessible."

Background:

Sens. Cornyn and Lieberman first introduced this legislation in the 109th Congress. In 2008, the National Institutes of Health (NIH) implemented their public access policy. It is estimated that approximately 80,000 papers are published each year from NIH funds.

• Require every researcher with an annual extramural research budget of $100 million or more, whether funded totally or partially by a government department or agency, to submit an electronic copy of the final manuscript that has been accepted for publication in a peer-reviewed journal.
• Ensure that the manuscript is preserved in a stable digital repository maintained by that agency or in another suitable repository that permits free public access, interoperability, and long-term preservation.
• Require that each taxpayer-funded manuscript be made available to the public online and without cost, no later than six months after the article has been published in a peer-reviewed journal.

See also "Taxpayer Alliance Applauds Bill to Broaden Access to Federal Research Results."