How CrossRef Has Accelerated Science and Its Promise for the Future: A Federal Perspective

1. How CrossRef Has Accelerated Science and Its Promise for the Future: A Federal Perspective CrossRef Annual Meeting Cambridge, MA November 13, 2013 Dr. Walter Warnick Director, Office of Scientific and Technical Information Office of Science U.S. Department of Energy

2. What Is OSTI? OSTI has the corporate responsibility for ensuring access to DOE R&D results. Since 1947! • Public access to unclassified, unlimited • Restricted access to classified and sensitive • Roles/responsibilities defined in DOE O 241.1B, STI Management Energy Policy Act of 2005 “The Secretary, through the Office of Scientific and Technical Information, shall maintain within the Department publicly available collections of scientific and technical information resulting from research, development, demonstration, and commercial applications activities supported by the Department.”

3. Premise: Science advances only if knowledge is shared. Corollary: Accelerating the sharing of scientific knowledge accelerates the advancement of science. What Does OSTI Do? We make DOE R&D results findable and accessible, not just within DOE, but globally We make other people’s R&D results findable, bringing worldwide R&D to DOE and beyond “If I have seen further, it is only by standing on the shoulders of giants.” —Isaac Newton, 1676 MISSION To advance science and sustain technological creativity by making R&D findings available and useful to Department of Energy (DOE) researchers and the public. Accelerating the spread of knowledge inspires everything we do at OSTI.

4. How Do We Do It? DOE STI Program • OSTI coordinates with POCs across the complex. • DOE R&D results are: • Collected from DOE offices, labs, and facilities, as well as university grantees and financial assistance awardees; • Preserved for re-use; and • Made accessible via multiple web outlets. • Interagency and international exchanges/partnerships leverage access and use of DOE R&D results. DOE supported journal articles are part of the OSTI R&D Information Flow

5. What Else Does OSTI Do?Federated Products Integrates a range of R&D results (reports, patents, citations, eprints, etc.) from DOE information products. Databases and websites offer over 200 million pages of science information from R&D agencies of the U.S. government. Provides over 400 million pages of science information from databases and portals from the governments of 70+ countries.

6. JOURNAL ARTICLES Key remaining “gap” is in DOE’s ability to fully account for and provide access to journal articles resulting from DOE research. . .

7. DOE: Direct Descendant of the Manhattan Project • DOE produced the first nuclear reactors. • DOE produced the first atomic bombs. • DOE is now the largest U.S. funder of physical sciences ~ $5B. OSTI was created at the conclusion of the Manhattan Project. • To gather science info, both classified and unclassified, emanating from the Project • To keep current with new developments and preserve & disseminate as appropriate

8. Unique Experiences For the past several years, organizations such as OSTI, noting that survivors of the Manhattan Project are passing away, have collected oral histories to preserve those unique experiences. General Leslie Groves and David Lilienthal discuss the transfer of responsibility for atomic energy research and development and weapons production from the Army to the civilian Atomic Energy Commission. There is another kind of unique knowledge and experience that is fading away … and this is particularly germane to CrossRef and this audience.

9. Revolutionary Change • CrossRef has totally revolutionized what it means to do a literature review.  • CrossRef has uniquely captured the power of the web for science.  We need our own oral histories to preserve unique experiences of doing an in-depth literature review before the internet or the web.

10. My Own Oral History Having done such a pre-internet literature review for my own PhD almost 40 years ago, let me offer a brief oral history. Royal Sabre Portable Typewriter 1973-1974 • Note: Most PhD students need not do a full blown literature review. • Typically, PhD students need only add recent literature to an already existing lit review. • Note: I was not the typical student. • My dissertation capitalized on my research project at the U.S. Naval Research Lab, where I was employed. None of my faculty had specialized in such topics. Thus: I had to do a full blown lit review from scratch.

11. Lit Review of 40 Years Ago Entailed: • The use of massive volumes of a citation index. • Looking up keywords related to the dissertation. • Gathering citations to journal articles in the stacks at the University’s library. • Sitting at a desk perusing for hours the volumes of a citation index • Writingdown relevant citations. • Walkingthrough the library and pulling journals and finding articles. • Examining hard copyand making notes by hand.

12. Lit Review of 40 Years Ago Because the indexing was of necessity quite crude, most of the articles I reviewed turned out not to be relevant to my dissertation.   But the only way I could find this out was to check out hundreds of articles personally: Find the right volume of a journal, and examine each article one at a time. • For relevant articles, I had to copy the citation info by hand and also capture the meat of the article by hand.

13. Lit Review of 40 Years Ago • Then I had to scour the list of references at the back of relevant articles… and determine if it was necessary to find that journal in the stacks and, if so… • examinethe referenced article. And repeat. • I spent a solid, intense month at the U of MD library doing my literature review.  • It was insufferably tedious.It was among the most miserable months of my life.

14. Compare My Experience to TodayThanks to CrossRef • First, you need not even visit the library; you can remote in. • Second, your searches can be much more precise as you can use multiple key words and various Boolean tools to bypass irrelevant articles.

15. Lit Review of Today • Third, you can call up the article’s abstract and read the full text with the click of your mouse.  You need not walk anywhere to find it. • Fourth, for relevant articles, you can cut and paste the citation information and also electronically capture the meat of the article. • Fifth, for references at the back of relevant articles, you can immediately call each one up by linking on the DOI and examine it.

16. Progress! Rather than spend a month doing a literature review, I estimate that less than two days would be required. Voila, tedium is gone.  And time is freed up to do constructive work on the experimental and analytical parts of the dissertation.  Science is accelerated! • CrossRef was key to making this possible. • This is real progress in science information management.

17. OSTI … CrossRef … FundRef OSTI has been in the business of making STI available for decades.OSTI has been partnering with publishers in this pursuit for a long time, as well.  OSTI is committed to being a leader in making the web work for DOE science, and in recent years, OSTI has worked especially closely with scholarly publishers on a number of initiatives to improve access to DOE R&D results. Two of those collaborations, CrossRef and FundRef, promise to be integral components of the DOE public access solution that OSTI hopes to unveil. OSTI joined CrossRef in 2005.  Why did it do so?

18. DOE: First in Line at CrossRef The Motivation Have DOIs assigned to the 5,000 technical reports generated by DOE’s R&D program each year so that they could be reliably cited by journal articles and by other technical reports.

19. Pioneering • OSTI was pleased to join CrossRef in pioneering this first-of-a-kind government-private partnership because we believed that coupling the vast resources available at Information Bridge with the reference-linking capabilities of CrossRef would advance OSTI’s mission of making DOE research results more accessible. Ever since, when available, DOIs have been added to records in OSTI databases for technical reports, accomplishment reports, and theses and dissertations.  • Today OSTI and CrossRef are partnering to make it easier to access 171,000 science research reports available electronically on OSTI’s SciTech Connect site.

20. Why Is FundRef Important to R&D Funding Agencies like the Department of Energy? As part of our mission, OSTI collects, indexes, disseminates and preserves DOE sponsored R&D results: • Books/monographs • Conference papers and proceedings • Program documents • Technical reports • Theses and dissertations • Journal articles Of these, journal articles represent the greatest challenge.

21. Closing the Journal Lit Gap All agencies are challenged to answer the basic question: what journal articles are generated by the agency’s R&D program? • FundRef is poised to make answering this question effortless. • This is why OSTI has been a strong supporter of FundRef from the beginning.

22. 2013 OSTP Memo – Increasing Access to the Results of Federally Funded Research • Released Feb 22, 2013 www.whitehouse.gov/sites/default/files/microsites/ostp/ostp_public_access_memo_2013.pdf • ….ensuring that, to the greatest extent…the direct results of federally funded research are made available and useful. “Such results include peer-reviewed publications and digital data.” • Applies to agencies with >$100 million in R&Dexpenditures • Recognizes publishers services are essential for ensuring the high quality and integrity of scholarly pubs, critical to continue. • Directs use of a 12 month embargo as a guideline;agencies can exercise flexibility to address “challenges and public interests that are unique to each field and mission combination.”

23. Criteria for a DOE Public Access Model • Enables LONG-TERMfree access by the public to the “best available version” of peer-reviewed scientific and technical information sponsored by DOE. • Enables single search box of all DOE-sponsored research literature without requiring that articles be in a centralized collection. • Maintains a comprehensive metadata collection in order for the agency to fully account for its scholarly output. • Preserves the freedom of researchers to promote and disseminate their research, i.e., preserves researchers’ choice in selecting the journal to which they wish to submit manuscripts • Recognizes the value added by publishers in providing high-quality scholarly communications and research tools and accommodates flexible publisher business models. • Promotes the Version of Record for each article. • Minimizes cost to DOE. • Encourages coordination and collaboration among agencies, institutions, and the publishing community. DOE public access gateway meets these criteria.

24. CHORUS … Publishers’ Contribution to Agencies’ Public Access Obligations What is it? The Clearinghouse for the Open Research of the United States A public-private partnership to increase public access to federally-funded, peer-reviewed publications. What does it do to support agencies' public access solutions? • Uses FundRef to identify journal articles resulting from federal funding. Thus FundRef informs the agency that a manuscript/Version of Record (VoR) exists. • Provides an API service to help agencies populate public access systems with article metadata and DOIs. Thus FundRef leads the agency to a manuscript/VoRso that it can be made full-text searchable. • Supports agencies using decentralized public access models. • Facilitates public access to 'best available version' -- either the VoR or the accepted manuscript FundRef is essential to the CHORUS service.

25. CHORUS … Publishers’ Contribution to Agencies’ Public Access Obligations The DOE Plan for public access has been constructed so that it can work with CHORUS or SHARE or on its own. The DOE Plan for public access will leverage FundRef.

26. CHORUS … Publishers’ Contribution to Agencies’ Public Access Obligations Major CHORUS Milestone achieved Nov. 8, 2013: the DOE public access gateway linked to thousands of manuscripts via CHORUS, all full-text searchable. (Launch date for the DOE public access gateway not yet set.)

27. DOE Plan for Public Access OSTP directed federal science agencies to develop plans for making the results of research they fund with guidance to be publicly available within a year of publication. • DOE’s plan is before OSTP as required. • Our plan is a natural evolution and extension of ongoing public dissemination capabilities and systems. • Proven software. • Proven architecture. • Existing ingest and dissemination tools. • DOE was already positioned for fast and efficient implementation of its public access solution.

28. DOE Plan for Public Access • OSTI believes FundRef is a great way for publishers and funding agencies to work together.  • Research agencies like DOE are accountable for the results of their expenditures to Congress and to the public.  • Publications in the peer-reviewed literature represent an important output of those expenses, but they have been difficult to track and quantify until now.  • Public access will expose DOE journal literature to the public

29. Questions? OSTI: advancing science and sustaining technological creativity by making R&D findings available to DOE researchers and the public.