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A not-for-profit Public-Private Partnership Providing Public Access to the Results of Agency Sponsored Research

HighWire Publishers MeetingWashington DC, November 21, 2013

Howard Ratner, Executive Director, CHOR Inc.

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A broad coalition of scholarly journal publishers formed to develop, implement and steward a partnership with the federal research funders for providing public access to the peer review publications that report on federally-funded research.

• Evolved from an ad-hoc group of publishers who initiated partnership discussions with several agencies in Spring 2011

• Incorporated as a not-for-profit entity - CHOR Inc. - on October 1, 2013

• Will be applying for US IRS 501(c)(3) tax-exempt status

• 80 publisher signatories and growing

• Received significant sponsorship pledges at Frankfurt October 2013

Goals:

• Fully meet all requirements of the February 22, 2013 OSTP memo

• Leverage existing infrastructure and investment of the agencies and publishers

• Preserve agency funds for mission critical activities/programs

• Provide for international scalability

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Introduction• CHORUS (first service of CHOR Inc.) now offers an open technology platform

to meet the public access needs of funding agencies and researchers

• For all key stakeholders:• Funding agencies (identifies and provides access to articles reporting

on research they fund, ensures preservation of research articles, ensures researcher and publisher compliance)

• Authors/researchers/institutions (simplifies compliance with funder mandates, provides access to research results)

• Libraries (ensures preservation of research articles, provides access to research results)

• The public (provides access to articles reporting on publicly funded research)

• Publishers (simplifies compliance with funder mandates, retains traffic)

• No significant cost for agency use or participation because CHORUS builds on the existing infrastructure of the scholarly community (CrossRef, FundRef, Prospect, CLOCKSS, Portico, ORCID, etc)

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Building On A Tested Model for the Proposed Partnership

FundRef:A methodology for identifying articles reporting on agency funded research was launched in May 2013 by CrossRef after completion of a pilot involving DOE, NSF, NASA, Wellcome Trust and seven of the partner publishers

This pilot project addressed article identification by funding agencies; it is now a live service as of May 2013

21 November 2013

Alan the Agency Department Head (e.g., DOE, NSF, USAID)

Wants to…• meet OSTP guidelines/mandate• measure grantee and agency compliance with guidelines/mandate • show how his agency’s investments are having impact (ROI)• provide access to the best available version (BAV*) of articles resulting

from agency funding for their constituency• preserve the articles that report on his agency’s funded research• integrate information from publisher systems with their own internal

systems (via APIs)• text and data mine articles reporting on funded research• ensure publisher compliance• avoid administrative burden to researchers• …* BAV = Best Available Version – accepted manuscript or version of record

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21 November 2013

Rachel the Researcher / Principal Investigator

Wants to …• obtain funding for her research• comply with funding agency requirements• know the sources of funding in her area of research• have access to best available version (BAV*) of content in her

research area• text and data mine articles reporting on funded research• avoid spending time figuring out how to comply (which

version? where to deposit? when to deposit?• avoid extra administrative work• …*BAV = Best Available Version – accepted manuscript or version of record

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21 November 2013

Lottie the LibrarianWants to …• have access to best available version (BAV*) of content for

her patrons or her own research• text and data mine articles reporting on funded research• know that articles reporting on funded research will be

readily available in perpetuity• help researchers comply with funding agency requirements• build discovery tools for researchers• …

* BAV = Best Available Version – accepted manuscript or version of record

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21 November 2013

Peter the PublicWants to …• have access to best available version (BAV*) of content to

research a problem/drive economic development• see what the government is funding• learn the impact of specific agency grants• understand the latest developments in science• have content connected to learning tools • …

* BAV = Best Available Version – accepted manuscript or version of record

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21 November 2013

Penny the PublisherWants to …• help her authors and their institutions comply with funder mandates• retain traffic on journal websites to better demonstrate value to

librarians• retain traffic on journal websites to drive advertising revenue• enable text and data mining of articles reporting on funded research• minimize administrative costs through automation• ensure that articles reporting on funded research in her journals will

be readily available in perpetuity• avoid duplication of effort/additional costs by utilizing existing

publishing infrastructure• …

* BAV = Best Available Version – accepted manuscript or version of record

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How CHORUS Works: Identification

How CHORUS Works: Preservation

Government maintained

or other 3rd-party dark

archive

How CHORUS Works: Access

Accepted Author Manuscript becomes publicly accessible

Version of RecordBecomes publicly accessible

Funding Agency Embargo Period Expiresor Author/Funder Pays for Immediate Public Access

How CHORUS Works: Discovery

Text and Data-Mining Services

powered by14

search.chorusaccess.orgsearch.chorusaccess.org

powered by15

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API Integration DOE’s PAGES Example

Public Access Gateway for Energy and Science (PAGES): (courtesy of W. Warnick, DOE-OSTI)

• Objective to provide public access to the “best available version” of a DOE-affiliated publication (q.v. the publisher’s Version of Record (VoR) if it is available).

• PAGES will ingest CHORUS metadata via API and will link to publishers best available version (the VoR or the Accepted Manuscript).

• CHORUS will allow full-text indexing of articles via API to enhance PAGES search precision.

• FundRef – will enable agencies and CHORUS to accurately identify agency-specific publications and monitor public accesscompliance

16www.osti.gov/pages

API Integration with Agency Portals

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How CHORUS Works: ComplianceAPI and Dashboards for monitoring and tracking publisher contributions to the CHORUS system

18http://dashboard.chorusaccess.org/usdoeLive CHORUS DOE dashboard:

Government Agency Reports

Institution Reports

Publisher Reports

http://dashboard.chorusaccess.org/usdoe

# Deposits made to dark archives

Content testedfor public accessibility

# Records having agreeable licenses

# Depositsidentifying

US DOE funding

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Ramp upFeb – June 2013

Proof ofConcept

Delivered 30 Aug

Pilot Phase

30 Sept -31 Dec

2013

Pilot ReviewBegins

Jan 2014

ProductionEarly2014

Incorporation of CHOR Inc.1 Oct 2013

AAP Startup Funding

July 2013

Fundraising

Pilot TechBuild

Delivered 30 Sept

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• Met in July 2013 to discuss initiatives and explore areas of possible collaboration

• Agreed to work jointly on persistent identifiers and metrics

• Agreed to follow up in next few months

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What Do Publishers Need To Do?

• Become a signatory of CHORUS• Become a member of CrossRef• Sign up for FundRef as part of CrossRef membership• Submit Agency Related data to FundRef for all new

content• Send public access content reuse License and Embargo

metadata to CrossRef • Deposit full text URIs with CrossRef Prospect• Sign CHORUS Pilot Agreement• Send relevant content to archiving service

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CHORUS Live Pilot Serviceshttp://dashboard.chorusaccess.org/usdoehttp://dashboard.chorusaccess.org/usda http://dashboard.chorusaccess.org/nsf

http://search.chorusaccess.org/

7+ pilot publishers13,000+ pilot records

80+ publisher signatories

Identification Discovery Access Preservation Compliance

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Supporting Organizations (November 1, 2013)PublishersACMAcoustical Society of AmericaAmerican Association for the Advancement of

ScienceAmerican Association of AnatomistsAmerican Association for Cancer ResearchAmerican Association of Physicists in MedicineAmerican Association of Physics TeachersAmerican Astronomical SocietyAmerican Chemical SocietyAmerican Crystallographic Association, Inc.American College of Chest PhysiciansAmerican College of PhysiciansAmerican Dental AssociationAmerican Diabetes AssociationAmerican Geophysical UnionAmerican Institute of Aeronautics and

AstronauticsAmerican Institute of Biological SciencesAmerican Institute of PhysicsAmerican Mathematical SocietyAmerican Meteorological SocietyAmerican Medical AssociationAmerican Nuclear Society American Physical SocietyAmerican Physiological SocietyAmerican Psychiatric PublishingAmerican Psychological AssociationAmerican Society for MicrobiologyAmerican Society of Agricultural & Biological

Engineers

American Society of Civil EngineersAmerican Society of Mechanical EngineersAmerican Society of Plant BiologistsAmerican Speech-Language-Hearing AssociationAssociation for Research in Vision and

OphthalmologyAVS: Science & Technology of Materials,

Interfaces and ProcessingBiophysical SocietyBioscientificaBotanical Society of AmericaBritish Editorial Society of Bone & Joint SurgeryBMJCambridge University PressColumbia University PressDuke University PressEcological Society of AmericaElsevierEmerald Group Publishing LimitedThe Endocrine SocietyEntomological Society of AmericaFabricators and Manufacturers Association,

InternationalGenetics Society of AmericaHuman Factors and Ergonomics SocietyIEEEiMedPub. Internet Medical PublishingInstitute of Physics PublishingJournal of Bone and Joint SurgeryJournal of Rehabilitation Research and

DevelopmentLynne Rienner Publishers, Inc.

Materials Research SocietyMcGraw-HillMycological Society of America New England Journal of MedicineThe Optical SocietyOxford University PressThe Physiological SocietyThe Royal College of PsychiatristsThe Royal SocietyRoyal Society of ChemistrySociety for the Advancement of Materials on

Process EngineeringSociety for the Study of ReproductionSpringer Science+Business Media LLCTaylor & FrancisThieme PublishersUniversity of Chicago PressJohn Wiley & SonsWolters Kluwer Medical Research

Service Providers and Other OrganizationsAssociation of Learned and Professional Society

PublishersCrossRefDC Principles CoalitionInternational Association of Scientific, Technical

and Medical Publishers (STM)Publishing TechnologySilverchair Science+Communications, Inc.

21 November 2013

Board MembersDavid Crotty, Oxford University Press

Scott Delman, ACM

Fred Dylla, American Institute of Physics

Patrick Kelly, John Wiley & Sons

Thane Kerner, Silverchair

Susan King, American Chemical Society (Chair)

Howard Ratner, CHORUS

Joe Serene, American Physical Society

John Tagler, PSP/AAP

Alicia Wise, Elsevier

Fran Zappulla, IEEE

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AdvisorsEd Pentz, CrossRef

David Weinreich, AAP/STM

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Technical Working GroupMark Doyle, American Physical Society (chair)Geoffrey Bilder, CrossRefElizabeth Crellin, Oxford University PressPaul Dlug, American Physical SocietyMark Donoghue, IEEEGerry Grenier, IEEEWayne Graves, ACMThane Kerner, Silverchair David Martinsen, American Chemical Society

Chris McMahon, American Institute of PhysicsPaul Mostert, ElsevierEvan Owens, American Institute of PhysicsHoward Ratner, CHORUSChris Shillum, ElsevierCraig Van Dyck, John Wiley & SonsJohn Walker, John Wiley & SonsKarl Ward, CrossRef

AdvisorsMark Martin, Office of Scientific and Technical Information, US DOE

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21 November 2013

Become a Signatory! www.chorusaccess.org

Contact:Howard Ratner

hratner@chorusaccess.org

Identification Discovery Access Preservation Compliance

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