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The NIH Public Access Policyand Compliance Requirements

Karen McElfresh, MSLSTemporary TraCS Librarian

Health Sciences LibraryAugust 7, 2013

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How Familiar are You with the NIH Public Access Policy?

1. I have done submissions and/or citing.

2. I know what it is.

3. I am vaguely familiar with it.

4. I have not heard of it.

5. I’m not sure.

In this Tutorial• The NIH Public Access Policy• Policy Basics: Who, What, Where, When, Why• Changes in Compliance Efforts• How To Comply• Managing Compliance• Summary• Help

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NIH Public Access Policy“The Director of the National Institutes of Health shall require that

all investigators funded by the NIH submit or have submitted for

them to the National Library of Medicine’s PubMed Central an

electronic version of their final, peer-reviewed manuscripts upon

acceptance for publication, to be made publicly available no later

than 12 months after the official date of publication: Provided,

That the NIH shall implement the public access policy in a manner

consistent with copyright law.” http://publicaccess.nih.gov/policy.htm

Division G, Title II, Section 218 of PL 110-161Implemented by NIH Public Access Policy (11 Jan 2008)Enacted as law by Omnibus Appropriations Act of 2009http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-071.html

Policy Basics: Who• Who is affected?– NIH grant or cooperative agreement active in FY

2008 or later

– NIH contract signed on or after April 7, 2008

– NIH Intramural Program

– NIH employee

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Policy Basics: What• Peer-reviewed journal articles– Submit final peer-reviewed manuscript

• Accepted for publication on or after April 7, 2008• Direct NIH support

Definitions: o Final peer-reviewed manuscript: the Investigator's final manuscript of a peer-

reviewed paper accepted for journal publication, including all modifications from the peer review process.

o Final published article: the journal’s authoritative copy of the paper, including all modifications from the publishing peer review process, copyediting and stylistic edits, and formatting changes.

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Policy Basics: Where• Final Destination: PubMed Central • PubMed Central (PMC) ≠ PubMed

• NIHMS Intermediary for some submissionsDefinitions:

o PubMed Central: NIH’s index/archive of full-text peer-reviewed journal articles; identified by a PMCID

o PubMed: Index of biomedical journal citations and abstracts with links to some full text; identified by a PMID

o NIHMS: National Institutes of Health Manuscript Submission System; allows you to submit final peer-reviewed manuscript for inclusion in PMC; identified by a NIHMSID

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Policy Basics: When• Publicly available no later than twelve months after

(official date of) publication– E-pub before print does NOT count toward 12 months

• Does NOT mean you have 12 months to submit papers!

• Submit upon acceptance for publication– All submission tasks complete within 3 months of

publication

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Policy Basics: Why• “Help advance science and improve human health”

• Access for public and researchers

• Development of NIH portfolio; centralized housing of materials

• Consequences:– Delay funds – Place special conditions on award– Prevent future awards for specified period

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Changes in Compliance Efforts• As of July 1, 2013: – NIH will delay processing of an award if publications

arising from it are not in compliance with the NIH public access policy.

– Investigators must use My NCBI to enter publications into progress reports.• My NCBI is a personalized account that allows you to

manage your publications and track compliance

NIH Notice NOT-OD-13-042: Changes to Public Access Policy Compliance Efforts Apply to All Awards with Anticipated Start Dates on or after July 1, 2013 (released 2/14/2013)http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-042.html

Policy Basics Summary• If an article is:– Peer-reviewed– Accepted for publication on or after April 7, 2008– Result of NIH support

• Deposit into:– PubMed Central (PMC) (≠ PubMed)

• Publicly available:– within twelve months of publication

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How to comply

1. Address copyright2. Submit paper3. Cite article

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How to Comply: Address Copyright• Inform journal that paper is NIH funded

• Review publishing agreement

• Determine:– Permission to deposit in PMC– Who submits to PMC– Which version is submitted– When article will be publicly available

Definitions:o Embargo: The time period, in months, that the publisher retains rights to

distribution of the article. Upon submission to PMC and until the embargo period passes, PMC will provide a brief record of the manuscript, but will deny access to the full text.

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How to Comply: Submit Paper• How to submit– 4 Methods (A, B, C, D)– Journal may do some or all of the work for you

• When to submit– Upon acceptance for publication– All NIHMS tasks must be complete within 3

months of publication

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Submission Method ASummary Version of

PaperWho Deposits?

(Task 1)Who Approves

Processing?(Task 2)

Who Approves PMC Format?

(Task 3)Journal

deposits all NIH-funded

articles in PMC

Final published article

Journal, direct to PMC

N/A N/A

• Author/PI Responsibilities:– Make sure journal knows to submit article– Watch for PMCID assignment

List of Method A Journals: http://publicaccess.nih.gov/submit_process_journals.htm

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Submission Method B

• Author/PI Responsibilities:– Request journal to submit article– Pay fee (if applicable)– Watch for PMCID assignment

List of Method B Publishers: http://publicaccess.nih.gov/select_deposit_publishers.htm#b

Summary Version of Paper

Who Deposits?(Task 1)

Who Approves Processing?

(Task 2)

Who Approves PMC Format?

(Task 3)Author asks publisher to

deposit specific article in PMC

Final published article

Journal, direct to PMC

N/A N/A

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Submission Method C

• Author/PI Responsibilities:– Submit files (final, peer-reviewed manuscript, tables, figures,

etc.) – delegates can perform this step!!– Approve PDF receipt for processing– Approve formatting of PMC manuscript– Watch email for PMCID assignment

Summary Version of Paper

Who Deposits?(Task 1)

Who Approves Processing?

(Task 2)

Who Approves PMC Format?

(Task 3)Author

deposits article in PMC via

NIHMS

Final peer-reviewed

manuscript

Author or delegate, via

NIHMS

Author, via NIHMS

Author, via NIHMS

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Submission Method D

• Author/PI Responsibilities:– Make sure journal submits manuscript files– Approve PDF receipt for processing– Approve formatting of PMC manuscript– Watch email for PMCID assignment

List of Method D Publishers: http://publicaccess.nih.gov/select_deposit_publishers.htm#d

Summary Version of Paper

Who Deposits?(Task 1)

Who Approves Processing?

(Task 2)

Who Approves PMC Format?

(Task 3)Publisher

deposits via NIHMS, author

completes submission

Final peer-reviewed

manuscript

Publisher, via NIHMS

Author, via NIHMS

Author, via NIHMS

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How to Comply: Submit PaperFor Methods C & D: Submission via NIHMS• Task 1: Deposit manuscript and link to NIH funding

(Author or delegate; Publisher)

• Task 2: Approve manuscript submission (Author)

• Task 3: Approve PMC-formatted manuscript (Author)

• Following completion of all tasks– NIHMS emails PIs and authors the PMCID– PMC makes papers available after embargo period

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How to Comply: Submit Paper• What you will need for Methods C & D:– eRA Commons or My NCBI account information– Journal name– Manuscript title– Grant numbers– Manuscript files– Journal embargo period

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How to Comply: NIHMS System

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Always use the same login

route!!

How to Comply: Submit Paper (Retrospective Submission)

• Contact Journal– Ask for permission to submit to PMC

• Determine Embargo

• Double-Check Copyright

• Determine Responsibility– Which author will submit?

• Deposit the Manuscript: recommend Method C

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How to Comply: Cite• For all NIH:– Applications– Progress reports– Renewals

• You must Cite– Using PMCID (or short term substitute)• For all papers subject to the NIH Public Access Policy

and• Authored by PI or arose from their NIH award

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How to Comply: CiteIn press or less than 3 months post-publication in journal

• PMCID, if available or• Methods A and B:

‘PMC Journal-In Process’• Methods C and D: NIHMSID

More than 3 months post-publication in journal

• All methods: PMCID

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How to Comply: Cite• Find PMCID– PIs and authors receive email from NIHMS– Citation in My Bibliography– Citation in PubMed– Citation in PMC– PMID:PMCID converter

• The Goal: Macon MB, Fenton SE. Endocrine disruptors and the breast: early life effects and later life disease. J Mammary Gland Biol Neoplasia. 2013 March 18; 18(1): 43-61. PMCID: PMC3682794

How to Comply: Cite article

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Use this number

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Managing Compliance• Who is responsible?

– PIs and institution

• Consequences of non-compliance– Delay funds – Place special conditions on award– Prevent future awards for specified period

• How to ensure compliance– Plan ahead– Use My NCBI– Associate papers with awards– Confirm compliance before reports due

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Managing Compliance: My NCBI• Personalized account integrated with National

Center for Biotechnology Information (NCBI) databases– Used to save searches and citations– Manage compliance with My Bibliography

Reminder: Starting July 1, 2013 you MUST use My NCBI to enter publications into NIH reports!

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Managing Compliance: My NCBI• Login options– My NCBI username and password– Partner organization username and password e.g.

eRA Commons account

OR

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Managing Compliance: My NCBII Am a... Existing My NCBI

AccountExisting eRA Commons Account

Initial My NCBI Login Method

Investigator No Yes Use eRA Commons account information

Investigator Yes Yes Use My NCBI account information, then link to eRA Commons account

Delegate No No Register for My NCBI account

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Managing Compliance: My NCBI

• Link eRA Commons account to My NCBI account– My Bibliography citations display in eRA Commons– NIH grants in eRA Commons show in My NCBI– Enables Award View

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Managing Compliance: My NCBI

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Managing Compliance: My Bibliography• Add citations:– From PubMed– Manually

• Use Award View to:– Track NIH Public Access Policy compliance– Start the compliance process– Associate citation with funding– Create bibliography for progress reports

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Managing Compliance: My Bibliography

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Managing Compliance: Award View in My Bibliography

Green: CompliantYellow: In-process at NIHMSRed: Non-compliant? : Cannot determine statusN/A: Public Access Policy does not apply

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Managing Compliance: Delegates• What is a delegate?– Person granted access to My Bibliography

• What can a delegate do?– Modify My Bibliography– Monitor compliance– Connect publications to grants/awards– Submit article via NIHMS with MyNCBI login info

(Method C, task 1)

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Managing Compliance: Assigning a Delegate

• Investigator must initiate from their My NCBI account– Account needs to be linked to eRA Commons

account for Award view to show to delegate• Delegate receives email to confirm and accept

delegate role

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Delegate’s Bibliography

PI’s Bibliography shows under ‘Collections’

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NIH Public Access Policy: Summary

• Basics– Peer-reviewed article, accepted for publication on or after

April 7th 2008, funded by NIH– Publicly available in PMC within 12 months of publication

• How to comply– Address copyright– Submit article– Cite PMCID

• Manage compliance– My NCBI: link to eRA Commons account– Assign delegates

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Sources of Help• Guide from the Health Sciences Library– The NIH Public Access Policy and You

• Contact Health Sciences Library– Ask a Librarian

• NIH Help Desks (see links in HSL guide)• eRA Commons Help Desk - help with eRA Commons accounts• NIHMS Help Desk - Help with manuscript submission or approval• NCBI Help Desk – Help with My NCBI accounts or delegate assignment• NIH Public Access Policy Help Desk – general policy questions

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Questions?

Contact:Karen McElfreshkmcelf@email.unc.edu