Benefit Analysis of DOE Journal Literature

1. Benefit Analysis of DOE Journal Literature Judy Gilmore April 26, 2006 United States Department of Energy Office of Scientific and Technical Information

2. Current spotlight on Federal R&D • Overview of planned Office of Science Project -Goals, tools, hurdles • Journal citations across the DOE Complex • Working together for the common good United States Department of Energy Office of Scientific and Technical Information

3. Federal R&D… IN THE SPOTLIGHT In His State Of The Union Address, President Bush Announced The American Competitiveness Initiative (ACI) To Encourage American Innovation And Strengthen Our Nation's Ability To Compete In The Global Economy. The centerpiece of the ACI is the President's strong commitment to double over 10 years investment in key federal agencies that support basic research programs in the physical sciences and engineering. United States Department of Energy Office of Scientific and Technical Information

4. Federal R&D… IN THE SPOTLIGHT • Rising Above the Gathering Storm Committee on Prospering in the Global Economy of the 21st Century: Agenda for American Science and Technology (National Academies Press) • “Science is inextricably linked to our country's economy. It has been for the last 50 years, and I dare say it will be for the next 50 or hundred years.” Secretary of Energy Bodman • “This is a renaissance for science," adding that if the budget request is funded the "next few years will be absolutely fabulous . . . we will have a wonderful time.” Dr. Raymond L. Orbach, Director, DOE Office of Science

5. Federal R&D… IN THE SPOTLIGHT • Audit of National Science Foundation’s Policies on Public Access to the Result of NSF-Funded Research, February 2006 • NSF’s policy of not making research citations available to the public is inconsistent with other federal research agencies (DOE, NASA, DOD, NIH, and USDA) Recommendations : • In conjunction with efforts to revise and streamline its final project report format and implement an interim progress report, NSF should continue its current policy requiring principal investigator to submit publication citations resulting from NSF-funded research • Make publication citations publicly available

6. Related Stats…”Complexity is Daunting”(with credit to SC Planning & Analysis) • U.S. Economy is $12.2 Trillion, w/50 States and 3,066 counties • Federal Budget is $2.6 Trillion, w/1,400 Programs • $764 Billion Global R&D investment; $312 Billion U.S. R&D investment ($132 Federal plus $180 Industry) • 3,700 degree-granting Colleges & Universities with 15.6 Million students • 329,300 High Tech Establishments employ more than 5 Million High Tech Workers • 4.7 Million Scientists, Engineers and Technicians • R&D data is typically found in journals, conferences, workshops, pre-prints servers, and scientific databases Sources: OMB FY06 Budget Request – Federal Budget, number of programs, U.S. Economy and Federal R&D American Association of Counties – U.S. counties OECD – Global R&D for 2003 NSF Statistical Research Services – Industry R&D in 2003 (projected); U.S. Colleges, Universities and students for 2000, S&E workforce for 2003 AeA – High Tech “establishments” and High Tech Workers for 2003

8. Office of Science Planning and Analysis Division • Strategic planning office, develops positions on science policy in consultation with the programs • Independent reviews of the quality of science and technology programs in the Department, evaluates their relevance to national needs and goals and their potential to achieve acceptability in the market place • Demonstrates SC scientific excellence, relevance, and leadership through use of case studies, performance measures and other tools United States Department of Energy Office of Scientific and Technical Information

9. The Goal Create a dataset of DOE funded journal citations through the years Encompassing: • Citations with DOE and DOE contractor authors and affiliations • Citations produced by DOE funds through grants and other funding mechanisms. • Retrospective coverage, e.g., DOE and its predecessor agencies. OSTI Project Manager: David Henderson, hendersond@osti.gov United States Department of Energy Office of Scientific and Technical Information

10. To What End • Data set of DOE-funded journal citations will be a tool in the analysis arsenal • To include title, abstract, author(s), author institutions(s), publication date, volume, pages, references, funding if possible • SC contractor has lead in citation analysis effort United States Department of Energy Office of Scientific and Technical Information

11. Example from the World of Patents • DOE holds 5 patents related to the surgical application of pulsed laser technology • Although most of the underlying research was originally conducted in the early to mid 1980’s, these patents continue to generate broad interest within the medical community • To date, these patents have been cited in over 350 patents from some of the world’s leading innovators in surgical equipment and techniques Source: U.S. DOE Office of Science, Planning and Analysis Division United States Department of Energy Office of Scientific and Technical Information

12. Review of the Tools • ISI’s • Office of Science’ CrossText Search • Site submissions to OSTI of journal items • Publishers’ ‘Good Will’ United States Department of Energy Office of Scientific and Technical Information

13. ISI Web of Science • Cornerstone of journal citation identification • Science Citation Index expanded: • Approx 5,900 major scientific journals across 150 disciplines; author index, group author index, cited reference data; subscription covers 1983 forward • Incorporates author index, group author index, cited reference data and analysis tools • Century of Science provides access to approx 850,000 additional, older 20th century journal citations • In discussion with ISI’s Research Services Group regarding custom dataset or raw tagged data United States Department of Energy Office of Scientific and Technical Information

14. CrossText Search • Available only to Office of Science, for approx 1,600 subscribed journals • Enables full-text search of journal articles • Search one or multiple publishers with ranked results • Covers a small sub-set of journals not available in Web of Science

15. Site Submission to OSTI of Journal Items Journal Articles Submitted to OSTI • A key component of journal citations dataset • Focus on comprehensiveness

16. Publishers’ ‘Good Will’ to be Tested • Meetings with key publishers • Discussion of support for this federal effort • Assistance in identifying key data where possible • Stay tuned – meetings may begin in May United States Department of Energy Office of Scientific and Technical Information

17. The Inevitable Hurdles • Creation of author list • Creation of institution list • Special challenge for citations produced through grants and other funding mechanisms • ISI extraction strategy United States Department of Energy Office of Scientific and Technical Information

18. The Inevitable Hurdles (cont.) Tapping the acknowledgement factor • Researchers may choose to document their appreciation of important contributions through acknowledgements • Many sources of research funding expect researchers to acknowledge any support that contributed to the published work Reference: Who gets acknowledged: Measuring scientific contribution through automatic acknowledgment indexing; C.Lee Giles and Isaac G. Council; Proceedings of the National Academy of Sciences, December 21, 2004, vol. 101, no. 51. United States Department of Energy Office of Scientific and Technical Information

19. The Inevitable Hurdles (cont.) • Gaps in coverage • $$ and continued $$ • Refreshing the data United States Department of Energy Office of Scientific and Technical Information

20. THE MISSING LINK Journal Citations Across the Complex • In 2005, 4,961 journal items submitted • Many sites maintain site-specific systems of published literature; site procedures vary • Journal bibliographic data (nor full-text pre-print) does not violate intellectual property considerations • Key contributions by DOE to scientific disciplines may be overlooked United States Department of Energy Office of Scientific and Technical Information

21. Working Together for the Common Good It’s early in the process…much work to be done in building dataset OSTI may follow up with sites to validate data: Authors, institutional affiliations, ultimately citations Progress can be reported via STIP calls Near term: Sites will be contacted to provide input on site management of journal citations and to identify a POC Open to suggestions and experience United States Department of Energy Office of Scientific and Technical Information

22. In closing… In an address to a Brookhaven National Laboratory workshop, Boehlert said, "The future of science funding will depend on many things beyond your control – the Macroeconomic situation, the nature of competing needs, etc. But it will also depend on how actively you can make people like me understand why what you're about is important to our nation." Congressman Boehlert, Chairman, House Science Committee Also "How science will fare, both within the Administration and in Congress, depends on us, on you and me, and our ability to convince this nation of the importance of science." DOE Office of Science Director Ray Orbach

23. Contacts: David HendersonProject Managerhendersond@osti.gov, 865-576-4665 Judy GilmorePI Team Leader and DOE Journal Consortia POCgilmorej@osti.gov, 865-576-5600 United States Department of Energy Office of Scientific and Technical Information