PLAN FOR 

INCREASED PUBLIC ACCESS 

TO RESULTS OF 

FEDERALLY FUNDED RESEARCH

1 8 AUGUST 2015
2 SI Public Access Plan, Version 1.2

1 . PURPOSE

This document outlines the Smithsonian Institution’s plan to provide increased public access to certain 

peer-reviewed scholarly publications and supporting digital research data1 that arise from research 

funded, in whole or in part, by a federal funding source (hereinafter “Federally Funded Research 

Materials” or “FFRM”), consistent with the principles of access under the Office of Science and 

Technology Policy Memorandum dated February 22, 2013.2 This plan is effective as of October 1, 2015; 

only FFRM submitted for publication on or after the effective date shall be covered.

2 . PLAN

The Smithsonian intends to make publicly available peer-reviewed scholarly publications and supporting 

digital research data as well as related metadata3 that arise from research funded, in whole or in part, by 

federal funding sources after the official release or publication date and a subsequent embargo period. 

The Smithsonian will use a twelve-month post-publication embargo period as a guideline and will 

determine alternate embargo periods based on discipline, negotiated publisher agreements, and/or

demonstrated special circumstances. Demonstrated special circumstances that prevent materials from 

being made publicly available after publication date and embargo may include, for example, restrictions 

arising from copyright, privacy, contract, or other “allowable restriction categories” contained in 

Smithsonian Directive 609 – Digital Asset Access and Use.

This plan is intended to cover the FFRM in all fields in which the Smithsonian conducts research, 

including but not limited to the fields of science, history, art, and culture. This plan provides a framework 

for the sharing of FFRM and promotes the following objectives: 

• Reaffirm the Smithsonian’s commitment to increasing public access to FFRM to enable the public 

to read, analyze, and download such FFRM. 

• Support the governance of and best practices for managing FFRM across the Smithsonian. 

• Ensure effective access to and reliable preservation of FFRM for research, development, and 

education. 

• Preserve and increase the use of FFRM to enhance discoveries. 

3 . DEFINITIONS

Covered publication is a scholarly publication that is subject to this plan.

End-user license is defined as the minimum terms under which any member of the public may, through 

machine or otherwise: (1) read the covered publication and supporting digital research data; (2) analyze 

one or more covered publications and supporting digital research data with no restriction other than 

author attribution; and (3) download the covered publication and supporting digital research data for any 

lawful purpose; however the end user may not sell, republish or redistribute copies of the covered 

 1 Implementation of this policy with respect to “supporting digital research data” will proceed in phases, as described in Section 8, 

Implementation for Supporting Digital Research Data.

2 Policy mandates issued by OSTP on behalf of the Executive Branch do not legally apply to the Smithsonian, but the Smithsonian has elected to 

voluntarily comply with the OSTP Memorandum to the extent it is consistent with the Smithsonian’s mission and digital asset strategy.

3 For the purposes of this plan, FFRM does not include metadata. The Smithsonian Institution considers metadata to be in the public domain.
3 SI Public Access Plan, Version 1.2

publication and supporting digital research data (e.g., paper or electronic copies, reformats, revised 

editions, translations) except as permitted under Fair Use. The terms of the end-user license are not 

transferable and not intended to limit rights that the end user may already have under law or contract. 

The end-user license does not apply to metadata related to a covered publication, because the 

Smithsonian considers such information to be in the public domain.

Fair Use is a legal concept under United States copyright law that allows the reproduction and use of 

copyrighted material for certain educational and generally non-commercial purposes such as news, 

commentary, and teaching, without obtaining permission from the copyright owner. The test to 

determine whether a use qualifies as a fair use consists of four parts, which takes into consideration the 

purpose and character of the use (e.g., educational v. commercial), the nature of the copied work, the 

amount and substantiality (quantitatively and qualitatively) of the work used in relation to the whole, 

and the effect of the use on the market for the original work. Generally, to satisfy the fair use test, the 

original work must be used in a way that is transformative; the new use must use the original in a way 

that adds to or enhances its value rather than as a mere copy, substitution, or derivative.

Federally funded research materials (FFRM) describes certain peer-reviewed scholarly publications and 

supporting digital research data that are subject to this plan.

Federal research funding source is defined as a federal cost that can be specifically identified with a 

particular project or activity. The funding source may be direct (e.g., through an appropriation, grant, or 

interagency transfer) or indirect (e.g., through a subgrant, subaward, or subcontract). This excludes 

instances where the only federal support arises from the insubstantial use of federally supported facilities 

or federally purchased equipment or other incidental federal support expenses, but does not exclude 

instances where a substantial amount of research is conducted in a specialized lab or research facility

constructed and operated primarily with federal funds.

Final accepted manuscript is defined as an author's final manuscript accepted for publication in a 

periodical, serial, or book, including all modifications from the peer-review process. 

Final publication is defined as a publisher’s authoritative copy of the published work, including all 

modifications from the publishing peer-review process, copyediting, and formatting. For purposes of this 

plan, the version of record shall be deemed the final publication.

Government-use license is defined as the rights reserved by the U.S. government, including the 

Smithsonian, from any author of a covered publication and supporting digital research data when the 

author or author’s employer (in the case of a work-made-for-hire) enters into a third-party agreement to 

publish and/or distribute FFRM covered by this plan. The government-use license grants to the 

government a royalty-free, nonexclusive and irrevocable right to distribute, reproduce, publish, analyze, 

display, and create derivative works from the FFRM, and to authorize others to do so. 

Official publication or release date is defined as the date a publisher officially releases a new publication, 

which may appear on a cover, spine, and/or copyright page of a periodical, serial, or book’s version of 

record. The official publication or release date may also be time-stamped on the electronic version of a 

publication. 
4 SI Public Access Plan, Version 1.2

Supporting digital research data are defined as the factual materials recorded in digital format that are 

commonly accepted in the scientific and scholarly community as necessary to validate research findings 

contained in a scholarly publication.4 These data may vary by discipline.

4 . SCOPE 

The Smithsonian Institution considers metadata to be in the public domain, therefore metadata related to 

FFRM will be made available in a Smithsonian-managed and/or Smithsonian-approved repository as 

soon as possible after FFRM is deposited or published, regardless of publisher or embargo period, and 

absent a demonstrated special circumstance. 

A. Coverage. This plan applies to the following FFRM: 

1. Covered publications that are:

• Peer-reviewed; and

• Results of any research funded, in whole or in part, by a federal funding source on or 

after the effective date of this plan; and

• Submitted for publication in a periodical, serial, or book5 on or after the effective date of 

this plan; and

• Authored or co-authored by a Smithsonian:

o Federal employee; or

o Academic appointee, to include emeritus, research associate, fellow or intern, whose 

publication is based on research arising from a federal research funding source and 

conducted as part of his/her appointment; or 

o Trust employee, where the manuscript at issue arose, in whole or in part, from a 

federal research funding source. 

2. Supporting digital research data associated with covered publications.

B. Excluded Materials. This plan does not apply to the following types of works (“Excluded 

Materials”): 

1. Publications that are:

• Not peer-reviewed; 

• Not the result of work funded, in whole or in part, by a federal research funding source;

• Prepared, marketed, and sold by Smithsonian Enterprises, its contractors, licensees, and 

other authorized third parties;

• To be published as exhibition catalogues, collections surveys, or similar publications; 

 4 OMB Circular A-110 (Subpart C.36(d)(2)(i)) provides a definition of research data that may be consulted in lieu of, or in addition to, disciplinespecific standards for identifying supporting digital research data. 

5 Books or chapters contributed to books that are not “Excluded Materials” or excepted due to demonstrated special circumstances and are 

authored entirely by one or more Smithsonian employees are subject to this plan.
5 SI Public Access Plan, Version 1.2

• To be published as scholarly books by the Smithsonian Institution Scholarly Press;

• Authored by multiple authors and the contribution of federal employees or authors 

whose research arises from a federal research funding source comprises an insubstantial 

amount of the publication;

• Produced solely by resident employees of affiliated agencies, whose scholarly research 

and publications are governed by the policies of their respective agencies (e.g., USDA, 

USGS); 

• Subject to a demonstrated special circumstance in accordance with an allowable 

restriction category included in Smithsonian Directive 609.

2. Supporting digital research data that are:

• Not a result of work funded, in whole or in part, by a federal research funding source;

• Authored by multiple authors and the contribution of federal employees or authors 

whose research arises from a federal research funding source comprises an insubstantial 

amount of the supporting digital research data;

• Produced by resident employees of affiliated agencies, whose data related to scholarly 

research and publications are governed by the policies of their respective agencies (e.g., 

USDA, USGS); 

• Subject to a demonstrated special circumstance in accordance with an allowable 

restriction category included in Smithsonian Directive 609.

C. Voluntary Compliance. Nothing in this plan shall prohibit Smithsonian units and offices 

responsible for Excluded Materials from voluntarily granting public access consistent with the 

terms of this plan and other applicable policies.

D. Implementation. Implementation of this plan will be prospective and will not apply to any 

FFRM submitted to a publisher before this plan has taken effect. The Smithsonian shall 

implement this plan in a manner consistent with copyright and intellectual property laws, other 

applicable laws and policies pertaining to privacy and confidentiality, and contractual 

obligations. 

5 . REQUIREMENTS

This plan requires that an electronic copy or a link to a copy of the final accepted manuscript or the final 

publication (i.e., version of record) of each covered publication that meets the scope criteria above, as well 

as its supporting digital research data, shall be submitted to one or more Smithsonian-managed or 

Smithsonian-approved repositories either twelve months or another negotiated embargo period

following official publication date unless a demonstrated special circumstance prevents the covered 

publication or supporting digital research data from being made publicly available. FFRM must be made 

available to the public to read, analyze, and download consistent with the end-user license. All 
6 SI Public Access Plan, Version 1.2

appropriate rights will be negotiated directly with publishers of covered publications by an authorized 

contracting officer of the Smithsonian as part of the contract negotiation process. 

At minimum, the Smithsonian-managed or Smithsonian-approved repository will capture or link to the 

full text of each final accepted manuscript subject to this plan and make it publicly available online at the 

end of its embargo period, consistent with this plan and the terms of the end-user license. Where possible

or when required, the Smithsonian-managed and/or Smithsonian-approved repository will provide a link 

to the final accepted manuscript and/or the final publication on the publisher’s website. In addition to or 

in lieu of the final accepted manuscript, a copy of the final publication may be submitted to the 

Smithsonian-managed repository, provided the necessary rights have been obtained from the publisher. 

The FFRM maintained in any repository shall contain all associated graphics whenever possible. 

Publication of FFRM in an established open access journal or periodical that makes the final publication 

available immediately, without embargo, is considered compliant under this plan.

The Smithsonian-managed and Smithsonian-approved repositories should:

• Archive, organize, and manage the FFRM collected or submitted under this plan.

• Accept additional files of figures, tables, or supplementary information included with the FFRM. 

• Maintain attribution to authors and original publishers.

• Use an open architecture and follow industry standards to facilitate increased public access, 

enable integration, and promote interoperability. 

• Have the capacity to integrate scholarly publications with appropriate scientific databases, 

platforms, and other archives across federal, academic, and other applicable communities.

• Integrate into other Smithsonian websites and/or platforms.

• Include the terms of the end-user license.

• Enable the public to read, analyze, and download the FFRM without charge following official 

publication date and twelve months or another negotiated embargo period, absent a 

demonstrated special circumstance.

• Include sound, non-proprietary preservation standards and archival formats for FFRM. 

• Include practical backup, migration, and technology refreshing strategies. 

• Have the capability to partner with other appropriate scholarly publication archives across the 

federal, academic, and business communities.

• Be properly maintained and expanded, as needed, to ensure compliance with this plan.

• Provide access for persons with disabilities consistent with Section 508 of the Rehabilitation Act 

of 1973. 

• Enable Smithsonian management to monitor compliance with this plan. 

6 . ROLES AND RESPONSIBILITIES

Deputy Under Secretary for Collections and Interdisciplinary Support

• Responsible for establishing, managing, and implementing public access to FFRM.
7 SI Public Access Plan, Version 1.2

• Assumes Smithsonian-wide authority, control, and management of this plan.

• Coordinates implementation of this plan.

• Coordinates the collaboration and cooperation of public access plans and policies with other 

federal agencies.

• Ensures compliance with this plan.

Under and Assistant Secretaries

• Ensures that all authors of FFRM subject to this plan are aware of the plan and all related 

requirements.

• Ensures that all authors of FFRM subject to this plan submit publishing contracts and FFRM as 

required.

Smithsonian Institution Scholarly Press 

• Implements and administers this plan on behalf of the Deputy Under Secretary for Collections 

and Interdisciplinary Support. 

• Reviews and executes all publisher agreements for covered publications. 

• Monitors and tracks all FFRM materials collected.

• Submits AMs and supporting digital research data to Smithsonian Libraries for deposit in SRO. 

• Tracks and reports Smithsonian-wide compliance. 

Smithsonian Libraries

• Maintains SRO, or another Smithsonian-managed repository, for deposit of and public access to

FFRM subject to this plan.

• Coordinates technical requirements necessary to collect FFRM for deposit in SRO, or another 

Smithsonian-managed repository, and to capture metadata.

• Provides public access to full text versions of or actionable links to AMs and/or VORs, subject to 

system requirements, publisher agreements, and other contractual obligations. 

Other Roles and Responsibilities

• Numerous Smithsonian units and offices must ensure the requirements of this plan are reflected 

in agreements with fellows, researchers, grant recipients, external publishers, and others when 

FFRM is covered by this plan. 

7 . IMPLEMENTATION 

To fulfill the requirements of this plan, Smithsonian will utilize two principal public access systems, one 

internal and one external: Smithsonian Research Online (SRO; http://research.si.edu) and Clearinghouse 

for Open Research of the United States (CHORUS; www.chorusaccess.org). Together, SRO and CHORUS 
8 SI Public Access Plan, Version 1.2

will allow the Institution to achieve a comprehensive approach to increased public access and ensure the 

use of systems that align with the current publication practices of its researchers. Use of SRO and

CHORUS to fulfill the requirements of this plan shall not affect Smithsonian’s continued use and/or 

management of various systems that may provide access to metadata of covered publications or 

additional links to publishers’ sites.

Smithsonian Research Online (SRO) is the Institution’s primary repository for FFRM and is managed by 

Smithsonian Libraries. SRO will permanently archive all final accepted manuscripts and supporting 

digital research data submitted under this plan. After embargo, SRO will link to publisher websites for 

FFRM published by CHORUS Publisher Members. All FFRM deposited in SRO that is not made 

available to read, analyze, and download via CHORUS Publisher Members will be available at SRO for 

the public to read, analyze, and download. 

Smithsonian has entered into an agreement with CHORUS to assist with compliance with this plan for 

FFRM that is published by CHORUS Publisher Members. 6 The evolution of CHORUS as a service, 

including integration of CrossRef, including FundRef, for data capture, specifically for intramural 

research, has progressed in a way that complements the Smithsonian’s existing research publication 

practices and its public access goals. CHORUS Publisher Members publish a significant percentage of 

Smithsonian research annually, and use of CHORUS for that portion of covered publications will result in 

higher compliance levels as well as serve to mitigate the potential impact of implementation of this plan

on the Institution’s research community and responsibilities. 

8 . IMPLEMENTATION FOR SUPPORTING DIGITAL 

RESEARCH DATA

Phase 1

During Phase 1 and as of the effective date of this plan, for covered publications that are submitted to 

publishers that require the author(s) to submit supporting digital research data with the manuscript, that

supporting digital research data will be collected and be made available in SRO or in an approved 

external, community-supported (e.g., Dryad Digital Repository) or discipline-specific (e.g., GenBank) 

repository, or via CHORUS if published by a CHORUS Publisher Member. For supporting digital 

research data submitted to an approved external repository, SRO will include a link to that external 

repository when possible. 

Data management plans required for digital projects in accordance with Smithsonian Directive 610 –

Digitization and Digital Asset Management Policy shall acknowledge the requirement to make 

supporting digital research data available consistent with this plan.

Phase 2

As the Smithsonian, United States government, disciplinary communities, and publishing community 

develop improved tools to archive and curate digital research data, and render such data accessible, 

interoperable, and discoverable, the Smithsonian will make good faith efforts to migrate to those 

improved platforms as appropriate and subject to available resources. 

 6 The SI–CHORUS agreement applies to FFRM articles submitted for publication in periodicals published by its Publisher Members.
9 SI Public Access Plan, Version 1.2

9 . ADDITIONAL MATERIALS

OSTP Memorandum, Increasing Access to the Results of Federally Funded Scientific Research (February 22, 

2013), available at

http://www.whitehouse.gov/sites/default/files/microsites/ostp/ostp_public_access_memo_2013.pdf.

OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements With 

Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations (as amended September 

30, 1999), available at http://www.whitehouse.gov/omb/circulars_a110.

Smithsonian Directive 609 – Digital Asset Access and use, available at http://www.si.edu/about/policies/.

Smithsonian Directive 610 – Digitization and Digital Asset Management Policy, available at

http://www.si.edu/about/policies/.