1. NIH Public Access Policy Webinar April 17, 2008 11:00 a.m. – noon (PDT)

2. PubMed Central: UC Implementation of the New NIH Policy Webinar Presenters UCOP: Kathleen Babcock, Coordinator, Government Contracts and Grants, Research Administration Office UCD:Gail Yokote, Associate University Librarian Jan Carmikle, Intellectual Property Officer for Copyrights UCLA:Ann Pollack, Assistant Vice Chancellor - Research Sharon Farb, Associate University Librarian Katherine Fibiger, Technology Transfer Officer for Copyrights Hosted by: UC Ethics and Compliance Office Luanna Putney Director of Ethics and Compliance luanna.putney@ucop.edu

3. Webinar Goals Introduce the new NIH requirement Share UCOP guidance Provide compliance strategies that include UC perspectives from campus: o libraries o copyright offices o research administration offices

4. UCOP Kathleen Babcock, Coordinator, Government Contracts & Grants, Research Administration Office

5. Background On January 11, 2008, the Department of Health and Human Services revised their voluntary Public Access Policy, Enhancing Public Access to Archived Publications Resulting from NIH- Funded Research, to make it mandatory.

6. What is the NIH Public Access Policy? Effective April 7, 2008, Public Law 110-161 specifically states: “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://www.grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html)

7. What is PubMed Central? PubMed Central is an archive of full- text biomedical journal articles available online without a fee. Articles on PubMed Central contain links to other scientific databases such as GenBank and PubChem. Articles collected under the Public Access Policy are archived on PubMed Central.

8. Who is Affected? Investigators directly funded by an NIH grant or cooperative agreement active in Fiscal Year 2008 (Oct 1, 2007 ->) Individuals directly funded by an R&D contract signed on or after April 7, 2008 Individuals directly funded by an NIH Intramural Program Individuals with salaries paid by NIH

9. Key Policy Point 1 As of A pril 7, 2008 Authors must submit to PubMed Central an electronic version of every final, peer- reviewed article arising from NIH research funds upon acceptance for publication. Authors of articles arising from NIH funds are responsible for ensuring that publishing agreements allow for full compliance with policy.

10. Key Policy Point 2 Starting May 25, 2008 Anyone submitting an application, proposal, or progress report to NIH must include the PubMed Central (PMC) or NIH Manuscript Submission Reference Number when citing applicable articles that arise from their NIH funded research Non-compliance will be addressed by the NIH administratively, and may delay or prevent awarding of funds. Compliance with the Public Access Policy is not a factor in the evaluation of grant applications.

11. UCOP Research Administration Office C&G Operating Guidance Memo 08-05 On March 6, 2008, the Research Administration Office at UCOP provided systemwide guidance on this new NIH requirement by issuing C&G Operating Guidance Memo #08-05, available at: http://www.ucop.edu/raohome/cgmemos/08-05.pdf

12. Memo 08-05 Background Guidance Compliance

13. Memo 08-05--Letter to Publishers Attached to this memo is a letter signed by William T. Tucker, Executive Director, Research Administration and Technology Transfer. This letter puts the publishers on notice that the manuscript they are considering for possible publication is subject to this new NIH policy. If a manuscript is subject to this NIH policy, UC authors should include a copy of this letter when they submit it to a publisher for possible publication.

14. Campus Implementation This memo also required each campus to notify their investigators of this new NIH policy. UC Davis and then UC Los Angeles will share with you how their individual campuses are implementing this new policy.

15. UC Davis Library Gail Yokote Associate University Librarian for Sciences & Technical Services

16. UC Davis Approaches UC Davis Library UC Davis Campus

17. UC Davis Library (1) Identify lead group of sciences librarians with responsibility to: o create talking points regarding policy and its implications o provide educational resources relating to deposit requirements o identify and contact key stakeholders and potential partners o create instructional session scripts

18. UC Davis Library (2) Educate librarians about key concepts and implications Share & document ideas and experiences in assisting individuals with questions about the policy Monitor trends regarding the policy and its implementation

19. UC Davis Campus Create briefing document for the Office of Research Partner with Office of Research staff to develop communications and information sessions for faculty and graduate students Provide regular updates regarding the policy and its implementations from UC- wide and national perspectives

20. UC Davis Activities Briefing policy document for UC Davis Office of Research created NIH Public Access Policy web site created (http://www.lib.ucdavis.edu/dept/hsl/resources/other/nihmandate/)http://www.lib.ucdavis.edu/dept/hsl/resources/other/nihmandate/ Office of Research distributing Policy & associated news notes, and hosting update sessions for PIs and grant administrators to answer questions Educational sessions for CTSC NIH Public Access Policy Compliance Flowchart (in progress) Listening to faculty concerns and finding answers to their questions

21. UCLA Ann Pollack, Assistant Vice Chancellor – Research Sharon Farb, Associate University Librarian Katherine Fibiger, Technology Transfer Officer for Copyrights

22. UCLA Approaches Library Office of the Vice Chancellor – Research: o Office of Research o Office of Research Policy and Compliance Office of Intellectual Property – Industry Sponsored Research Academic Senate Council on Research

23. UCLA Making the results of federally- funded research publicly accessible is important not only to NIH, but also to achieving UCLA’s mission as a public university to create and disseminate knowledge for the betterment of our global society through commitment of academic freedom, including open access to information.

24. UCLA Addressing concerns about ensuring that author’s agreements with journals allow compliance with federal regulations Aware that compliance will translate into additional work for faculty researchers and authors Taking collaborative approach to providing assistance to faculty while ensuring campus compliance

25. UCLA Distributed preliminary guidance for the campus research community created collaboratively and distributed by: o Kathryn Atchison, Vice Provost for Intellectual Property – Industry Sponsored Research o Roberto Peccei – Vice Chancellor for Research o Gary Strong, University Librarian o http://www.research.ucla.edu/researchpol/mem os/VCR_PubMed_Central_Prelim_Guidance.pdf http://www.research.ucla.edu/researchpol/mem os/VCR_PubMed_Central_Prelim_Guidance.pdf Involving the Academic Senate Council on Research to further engage faculty

26. UCLA Library UCLA Library will provide support to UCLA NIH researchers: Website on NIH Compliance o http://www2.library.ucla.edu/libraries/11891.cfm http://www2.library.ucla.edu/libraries/11891.cfm Assistance with modifying authors agreements o nih@library.ucla.edu nih@library.ucla.edu Conduct workshops on modifying authors agreements o First workshop –June 2008

27. UCLA Publishing Units Office of Intellectual Property – Industry Sponsored Research will be contacting all UCLA publishing organizations o Educating Publishing Units on the NIH requirements o Ensuring that UCLA Publishing Units comply with NIH requirements, if applicable

28. UCLA Aware that compliance will translate into additional work for faculty researchers and authors Aware that failure to comply may impact future NIH support Know that additional guidance/outreach/support is needed

29. UCLA Future plans: o Development of workshops primarily by the Library to help authors learn more about modifying publishing agreements o Developing a set of FAQs to augment those posted on the NIH website o Additional guidance will be distributed to the research community as additional information becomes available

30. UC Campus Collaborations Collaborate with the UC Scholarly Communications Officers Group, SCO (http://libraries.universityofcalifornia.edu/sco/charge.html) and its NIH Public Access Policy working group to develop strategies and documents that can be used at a local campus, to share experiences, and to monitor trendshttp://libraries.universityofcalifornia.edu/sco/charge.html Collaborate with UC Office of Research to assist with educational efforts and to provide input to system-wide documentation

31. UC Libraries Activities (1) Libraries with NIH Public Access Policy web sites: UC Berkeley http://www.lib.berkeley.edu/scholarlycommunication/nih_mandate.html UC Davis http://www.lib.ucdavis.edu/dept/hsl/resources/other/nihmandate/http://www.lib.ucdavis.edu/dept/hsl/resources/other/nihmandate/) UC Irvine http://www.lib.uci.edu/scamp/nih-guide.html UCLA http://www2.library.ucla.edu/libraries/collectionmanagement.cfm UC Riverside http://library.ucr.edu/?view=nih/index-old2.html UC San Diego http://www.ucsd.edu/portal/site/Libraries/menuitem.346352c02aac0c82b9ba4310d34b01ca/?vgnextoid=e2c2 d349f2688110VgnVCM10000064b410acRCRD UC San Francisco http://www.library.ucsf.edu/research/scholcomm/nih.html

32. UC Libraries Activities (2) Partnered with campus Office of Research to create awareness publicity Offered educational sessions to assist with compliance implications

33. Other Considerations Author rights implications Author fees for open access Handling PI and grant/contract administrator concerns, questions, etc. Tracking policies of key publishers

34. Summary of New NIH Requirements As of April 7, 2008, if subject to this policy, submit to PubMed Central (PMC) an e-version of every final, peer-reviewed article arising from NIH funds upon acceptance for publication. As of 5/25/08, include the PMC or NIH Manuscript Submission Reference Number when submitting an application, proposal, or progress report to NIH, or when citing applicable articles that arise from your NIH funded research. Ensure that your author publishing agreements allow for full compliance with policy. Know that non-compliance will be addressed by the NIH administratively, and may delay or prevent awarding of funds.

35. Campus Library Contacts Contact your campus librarian representative to UC Scholarly Communications Officers Group: UCB: Margaret Phillips (mphillip@library.berkeley.edu)mphillip@library.berkeley.edu UCD: Gail Yokote (gyokote@ucdavis.edu)gyokote@ucdavis.edu UCI: Lorelei Tanji (ltanji@uci.edu)ltanji@uci.edu UCLA: Sharon Farb (farb@library.ucla.edu)farb@library.ucla.edu UCM: Donald Barclay (dbarclay@ucmerced.edu)dbarclay@ucmerced.edu UCR: Barbara Schader (bschader@ucr.edu)bschader@ucr.edu UCSD: Martha Hruska (mhruska@ucsd.edu)mhruska@ucsd.edu UCSF: Gail Persily (persily@library.ucsf.edu)persily@library.ucsf.edu UCSB: Brad Eden (eden@library.ucsb.edu)eden@library.ucsb.edu UCSC: Robin Dale (rldale@ucsc.edu)rldale@ucsc.edu

36. Presenter Contacts UCOP: Kathleen Babcock, Kathleen.Babcock@ucop.eduKathleen.Babcock@ucop.edu UCD:Gail Yokote, gyokote@ucdavis.edugyokote@ucdavis.edu Jan Carmikle, jdcarmikle@ucdavis.edujdcarmikle@ucdavis.edu UCLA:Ann Pollack, APollack@resadmin.ucla.eduAPollack@resadmin.ucla.edu Sharon Farb, farb@library.ucla.edufarb@library.ucla.edu Katherine Fibiger, KFibiger@resadmin.ucla.eduKFibiger@resadmin.ucla.edu UC Ethics and Compliance Office: Luanna Putney, Luanna.Putney@ucop.eduLuanna.Putney@ucop.edu

37. Archive Information You may go to the following website to download a copy of the slides used in today’s webinar: http://www.ucop.edu/audit/present ations/welcome.html You may also replay this webinar. The audio archive is accessible via the above link.

38. Questions and Answers Please type your questions for the presenters in the chat box If we do not have time to address all questions, we will respond individually via email