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US Federal Funder Public Access Policies: NSF

This guide provides information and resources on federal research funding agencies' public access policies as outlined in the 2013 and 2022 Office of Science and Technology Policy Public Access Directives.

NSF Public Access Policy Overview

The National Science Foundation (NSF) developed its Public Access Plan, "Today's Data, Tomorrow's Discoveries: Increasing Access to the Results of Research Funded by the National Science Foundation" in response to the 2013 OSTP Public Access Memorandum. This ~30 page document outlines the rational behind the plan as well as details of compliance for both publications and data derived from NSF-funded research.

In summary, authors are to deposit either their final accepted peer-reviewed manuscript or the final published article (AKA Version of Record) for articles in peer-reviewed journals and conference proceedings which are derived from NSF-funded research (in whole or in part) into an approved repository within 12 months of publication. Currently the only compliant repository is the NSF Public Access Repository (NSF-PAR). IT IS THE AUTHOR'S RESPONSIBILITY TO RETAIN ENOUGH RIGHTS TO COMPLY WITH THIS PUBLIC ACCESS POLICY IN THE SIGNING OF PUBLICATION CONTRACTS.

Authors are also required to develop and submit a Data Management Plan as previously required. It is not possible to submit a proposal without this document.

These requirements are mandatory for awards resulting from proposals submitted on or after January 2016. Non-compliance with the Public Access Policy may result in withholding of future funds.

For a quick overview see also this press release from the Association of Research Libraries "National Science Foundation releases plan for public access to NSF-funded research" as well as the Scholarly Publishing and Academic Resources Coalition (SPARC) response by Executive Director Heather Joseph.

Compliance Resources

Versions:

NSF identifies 2 versions of articles: final accepted peer-reviewed manuscript, and final published article or version of record.

  • Final accepted peer-reviewed manuscript: the author's final manuscript of a peer reviewed paper accepted for journal publication, including all modifications from the peer-review process.
  • Final published article or version of record: the publisher's authoritative copy of the paper, including all modifications from the publishing peer-review process, copyediting, stylistic edits, and formatting changes.

Either version is acceptable to meet the public access requirement.

Policy Resources:

NSF Public Access is the home page for the NSF Public Access Policy.

NSF Public Access FAQ

NSF-PAR (Public Access Repository) As of January 2016 NSF-PAR is the only repository identified as compliant with the NSF Public Access Policy. NSF-PAR is built on the Department of Energy's Public Access Gateway to Energy and Science (PAGES) system. The submission portal is not yet active, but we are monitoring closely and will update with further information as it becomes available.

 

NSF Funding Req' for Research Affecting Tribal Nations

From Research Compliance and Integrity's Hot Topics - May 2024 email:

Starting May 20, 2024, the National Science Foundation (NSF) will implement updated requirements for researchers applying for grants involving projects on Tribal Nation lands or aspects of Tribal life under Tribal Nation jurisdiction. This includes projects that touch on areas such as Tribal languages and subsistence rights on Tribal Nation lands, and extends to research conducted on public lands co-managed by Tribal Nations. The revision mandates that applicants must demonstrate approval from the relevant Tribal Nation(s) for their proposed work, whether through documentation of consent, confirmation that no review is needed, or a request for approval.

Chapter II: Proposal Preparation Instructions - Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 24-1) | NSF - National Science Foundation.  For grants awarded after May 20, 2024, proposers seeking NSF funding for research affecting tribes must:

1.  Seek guidance from the potentially impacted Tribal Nation(s) regarding which activity/activities require(s) review and prior approval from an authorized designee(s) of the Tribal Nation(s); and

2.  Based on the guidance received, submit a written request to the relevant Tribal Nation(s), for approval to carry out the proposed activity(ies) that require(s) Tribal Nation review and approval.

Examples of such activities may include, but are not limited to, the following:

  • research or projects that involve Tribal Nation members and would invoke the Tribal Nation in any way (including but not limited to referencing a Tribal Nation in materials, public forums, or publications). Note that this type of proposal may also require a separate Tribal IRB or other mechanism that a Tribal Nation may have in place to review proposed research (this would exclude cases where Tribal Nation members voluntarily participate in the proposed research as individuals, not as members representing a Tribal Nation);
  • carrying out studies or research on Tribal Nation reservations, territories, and other locations where Tribal Nations have legally protected rights to resources or to engage in activities; and
  • using Tribal Nation-controlled information or data in research

3.  Check the box on the Cover Sheet entitled “Potential Impacts on Tribal Nations.” Please note that simultaneously submitted collaborative proposals and proposals that include subawards are a single unified project and, as such, the lead organization is responsible for checking the box on the Cover Sheet, if applicable.

The initiative to update the NSF’s guidelines reflects a broader effort to strengthen Nation-to Nation relationships and empower Tribal Nations, granting them more autonomy over their lands and resources. This is part of a continuous engagement strategy that began with the 2021 White House Tribal Nations Summit to support the sovereignty and resource management capabilities of Tribal Nations. The language update in the NSF guidelines, which replaces references from “tribal government” to “tribal nations,” underscores the recognition of Tribal Nations as sovereign entities capable of entering treaties and agreements. This shift in policy, highlighted by the signing of over 200 agreements for co-managing relevant public lands, is indicative of a significant move towards respecting and integrating the traditional knowledge and rights of Tribal Nations into federal research and land management practices.