2. Why Its Important to Know About the Policy – –What Hospital Librarians Need to Know NIH Public Access Policy Overview Myth Busters re: NIH Policy Compliance Steps – including 2010 MyNCBI/My Bibliography function Problems and Questions Identified by the Library Community Models of Library Support Resources and Further Reading Contents

3. Why Know About the Policy? To gain knowledge for educating patrons To enhance the librarys role in compliance To understand versioning, including the difference between the final peer-reviewed manuscript and the final published article

4. Why Know About the Policy? To recognize the possible impact of the policy on interlibrary loan To understand the policys possible influence on collection development decisions and the need for journal subscriptions To improve publisher relations by understanding their perspective

5. What Do Hospital Librarians Need to Know About NIH Public Access Policy? Does your hospital receive NIH funding? –Yes? Review entire slide show! –No? Awareness essential, know four key concepts as follows: (can skip slides for compliance, problems, models) Understanding: Can you briefly define the policy? See Overview section and publicaccess.nih.govpublicaccess.nih.gov Reality check: NIH Public Access Open Access. Do you know the difference? See: http://publicaccess.nih.gov/FAQ.htm#f39http://publicaccess.nih.gov/FAQ.htm#f39 Professional practice: Can you present and discuss possible impacts/myths to a library committee? See: Why Its Important to Know about the Policy? and Myth Busters Just-in-time, bookmark resources you might need: See: Resources Time for only one? – MLA Q&A videocast by Neil Thakur, NIH: publicaccess.nih.gov/PublicAccess_MLA_Q&A_5-09_small.wmv publicaccess.nih.gov/PublicAccess_MLA_Q&A_5-09_small.wmv

6. Why Its Important to Know About the Policy – –What Hospital Librarians Need to Know NIH Public Access Policy Overview Myth Busters re: NIH Policy Compliance Steps – including 2010 MyNCBI/My Bibliography function Problems and Questions Identified by the Library Community Models of Library Support Resources and Further Reading Contents

7. NIH Public Access Policy Signed into law December 2007; made permanent in FY09 Federal budget bill Formerly a recommendation, now a requirement Pressure to make results of tax-payer funded research accessible to the public 1. National Institutes of Health, Office of Extramural Research. Public Access Frequently Asked Questions. [web page] Bethesda, MD; [cited 2009 August 5]; Available from: http://publicaccess.nih.gov/FAQ.htm#a1 http://publicaccess.nih.gov/FAQ.htm#a1 To ensure that the public has access to the published results of NIH-funded research to help advance science and improve human health 1

8. U.S. Government Initiative: NIH Public Access Policy All peer-reviewed articles arising from NIH funding (in whole or in part) must be submitted to PubMed Central (PMC) when they are accepted for publication, to be publicly available no later than 12 months after date of publication Responsibility of the grantee to ensure articles are submitted –Must include all graphics and supplemental materials –Submission is to be done upon acceptance for publication

9. Timely Submissions are Important! Authors need to plan for complying with the Policy early in the publication process. See specific questions for authors to consider at: publicaccess.nih.gov/address_copyright.htm publicaccess.nih.gov/address_copyright.htm

10. Policy Applies to Any Final Manuscript That …. Is peer-reviewed Is accepted for publication in a journal on or after April 7, 2008, and arises from: – – Direct funding from an NIH grant or cooperative agreement active in Fiscal Year 2008, or; – – Direct funding from an NIH contract signed on or after April 7, 2008

11. Policy Does Not Apply to: Non-peer-reviewed materials such as letters, editorials or book chapters The full applicability criteria are at: http://publicaccess.nih.gov/determine_applicability.htm http://publicaccess.nih.gov/determine_applicability.htm NOTE: Review articles, which were excluded in the prior voluntary policy are covered in the current policy only if they are peer-reviewed 1 1 -Thakur, Neil,Ph.D., Office of Extramural Research, National Institutions of Health, Email communication, June 30, 2009.

12. Single Best Source for Policy Details and Information: publicaccess.nih.gov Where you will find: Overview How to comply The latest news For policy updates, join the NCBI-NIHMS-NEWS list: https://list.nih.gov/cgi-bin/wa.exe?A0=NCBI-NIHMS-NEWS https://list.nih.gov/cgi-bin/wa.exe?A0=NCBI-NIHMS-NEWS

13. U.S. Government Initiative: PubMed Central (PMC) www.pubmedcentral.gov Digital archive of freely available biomedical & life sciences journal literature Developed & managed by NIH/NLM/NCBI Publishers or authors deposit electronic content –Content available immediately or after a specified embargo period –Voluntary participation was low Potential to integrate literature with other information resources such as sequence databases or public data sets

14. PubMed vs. PubMed Central PubMed: Provides access to citations from biomedical literature Includes 19 million+ citations from MEDLINE and selected other life sciences journals Life science journal and biomedical journal articles and manuscripts back to 1948 Links to full text articles and other scientific resources Each citation indexed with a PMID

15. PubMed vs. PubMed Central PubMed Central (PMC): Digital archive of full-text, peer-reviewed journal articles and author manuscripts Each paper indexed with a PMCID –Series of numbers preceded by PMC –Content is publicly accessible and integrated with other databases A PubMed citation exists for each PMC article, with a link from the PubMed record to the full text of the article in PMC. See below:

16. Why Its Important to Know About the Policy – –What Hospital Librarians Need to Know NIH Public Access Policy Overview Myth Busters re: NIH Policy Compliance Steps – including 2010 MyNCBI/My Bibliography function Problems and Questions Identified by the Library Community Models of Library Support Resources and Further Reading Contents

17. Myth Busters RE: NIH Policy Roughly 10% of PubMed content from recent years is NIH funded and therefore could link to free full text manuscripts 1,2 Overall policy compliance is close to 70% (see next slide for statistics) Most journal embargo periods are 12 months, meaning that a subscription is still required to gain access to the most current year of content. 1. Steinbrook R. Public access to NIH-funded research. N Engl J Med. 2005 Apr 28;352(17):1739-41. 2. Thakur, N., National Institutes of Health, Office of Extramural Research, Email communication, July 24, 2009.

18. National Institutes of Health. NIH Manuscript Submission System – NIHMS Statistics. [web page] Bethesda, MD; [cited 2010 Aug. 20]; Available from: http://www.nihms.nih.gov/stats/index.shtml.http://www.nihms.nih.gov/stats/index.shtml NIHMS Statistics through March 2010

19. Why Its Important to Know About the Policy – –What Hospital Librarians Need to Know NIH Public Access Policy Overview Myth Busters re: NIH Policy Compliance Steps – including 2010 MyNCBI/My Bibliography function Problems and Questions Identified by the Library Community Models of Library Support Resources and Further Reading Contents

20. Compliance Step 1: Publication Agreement Authors own the original copyright to their articles Publishers ask authors to transfer some or all of their rights DO NOT sign any copyright transfer or publication agreement that does not allow the article to be submitted to PMC in accordance with the NIH Policy Librarians and investigators should consult with institutional officials or legal counsel to develop particular copyright agreement terms. Sample language to insert: Journal acknowledges that Author retains the right to provide a copy of the final manuscript to the NIH upon acceptance for Journal publication, for public archiving in PubMed Central as soon as possible but no later than 12 months after publication by Journal 1 1.National Institutes of Health, Office of Extramural Research. Public Access Frequently Asked Questions. [web page] Bethesda, MD; [cited 2009 Aug. 4]; Available from: http://publicaccess.nih.gov/FAQ.htm#c16http://publicaccess.nih.gov/FAQ.htm#c16

21. Compliance Step 2: Submit Paper to PMC- Submission Methods Overview Method A - Journal deposits final published articles in PubMed Central without author involvement Method B - Author asks publisher to deposit specific final published article in PMC Method C - Author deposits final peer- reviewed manuscript in PMC via the NIHMS Method D – Publisher deposits manuscript; author approves and completes the process

22. Method A: Publish in a journal that deposits all NIH-funded final published articles in PMC without author involvementfinal published articles View NIH-approved list of journalslist Compliance Step 2: Submit Paper to PMC

23. Method B: Make arrangements to have a publisher deposit a specific final published article in PubMed Central View NIH-approved list of publisher programslist This is generally an Open Choice – author-pay model- which costs $$$

24. Method C: Deposit your own manuscript Three steps: 1.Deposit manuscript files to NIH Manuscript Submission System and link to NIH fundingNIH Manuscript Submission System Can be done by author, publishers, or someone in the authors organization – such as the librarian 2.Authorize NIH to process the manuscript (via email from NIH) Can be done only by authors who log into NIHMS with an eRA Commons Account or NIH Account. 3.Approve the PMC-formatted manuscript for public display NIHMS converts deposited files to PMC format, and emails author to approve its release After the specified delay period, NIHMS will automatically send the article to PMC for public posting Compliance Step 2: Submit Paper to PMC

25. Method C: Deposit your own manuscript See: www.nihms.nih.gov/ for help, FAQs, news, statistics, and a grant lookup toolwww.nihms.nih.gov/ www.nihms.nih.gov Compliance Step 2: Submit Paper to PMC

26. Method D: Complete the submission process for a final peer-reviewed manuscript that the publisher has deposited in the NIHMS. Steps for author: NIHMS emails corresponding author –Author approves manuscript –Author receives NIHMS number NIHMS emails corresponding author again –Author approves PMC-formatted version for public display Once process is complete, NIHMS emails the citation and PMCID to all authors Compliance Step 2: Submit Paper to PMC

27. Compliance Step 3: Citing Your Papers In all grant applications, renewals, progress reports or biosketches: List the PubMed Central reference number (PMCID) at end of journal citation If a PMCID number is not yet available, include the NIH Manuscript Submission system reference number (NIHMS ID) instead, but there is a limit on how long this temporary number can be used (See next slide). In submission Method A or B, use "PMC Journal in Process" for any citation that does not yet have a PMCID Example: Varmus H, Klausner R, Zerhouni E, Acharya T, Daar A, Singer P. 2003. PUBLIC HEALTH: Grand Challenges in Global Health. Science 302(5644): 398–399. PMCID: PMC243493 See Citation Methods web page at publicaccess.nih.gov/citation_methods.htm publicaccess.nih.gov/citation_methods.htm

28. Compliance Step 3: Citing Your Papers – Policy Change re: Use of NIHMSID 1 NIHMSID can only be used to show compliance for up to 3 months after a paper is published. After that, a PMCID must be used to demonstrate compliance. An NIHMSID will no longer be accepted for use if an applicable paper was published 3 or more months prior to an NIH application 1. National Institutes of Health, Office of Extramural Research. Clarification on the Use of an NIHMSID to Indicate Compliance with the NIH Public Access Policy. [web page] Bethesda, MD; [cited 2009 August 17]; Available from: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-136.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-136.html

29. My NCBI / My Bibliography Function New feature in My Bibliography facilitates management of publication compliance Introduced January, 2010 From the new Awards View, eRA Commons users, extramural principal investigators, grantees or applicants can see whether their publications are compliant with the Policy, start the manuscript submission process, associate their NIH extramural awards with their publications, and designate delegates to manage their bibliography via My NCBI.

30. My Bibliography- For more information: NLM Technical Bulletin article: My NCBI: Managing Compliance with the NIH Public Access Policy Using My Bibliography which walks you through the process. See: http://www.nlm.nih.gov/pubs/techbull/jf10/jf10_myncbi_redesign.html http://www.nlm.nih.gov/pubs/techbull/jf10/jf10_myncbi_redesign.html

31. Find PMCIDs in PubMeds Abstract View 31

32. PubMed Central (PMC)- Formatted article www.pubmedcentral.nih.gov/ www.pubmedcentral.nih.gov/

33. Why Its Important to Know About the Policy – –What Hospital Librarians Need to Know NIH Public Access Policy Overview Myth Busters re: NIH Policy Compliance Steps – including 2010 MyNCBI/My Bibliography function Problems and Questions Identified by the Library Community Models of Library Support Resources and Further Reading Contents

34. Problems/Questions: What if I dont comply? Compliance is a term & condition of award Generally, NIH will offer grantee opportunity to correct the deficiency Even if a grantee is taking corrective action, NIH may take proactive action to protect the Federal governments interests, including: –Placing special conditions on awards, or –Precluding the grantee from obtaining future awards for a specified period, NIH may take action designed to prevent future non- compliance, such as closer monitoring.

35. Problems/Questions: Which version should be submitted? 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. Methods C (author submits) and D (publisher submits/author approves) Final published article: The journals authoritative copy of the paper, including all modifications from the publishing peer review process, copyediting and stylistic edits, and formatting changes. 1 Methods A and B (publisher submits and completes the process for both methods) 1.National Institutes of Health, Office of Extramural Research. Public Access Frequently Asked Questions. [web page] Bethesda, MD; [cited 2009 August 4]; Available from: http://publicaccess.nih.gov/FAQ.htm#c18http://publicaccess.nih.gov/FAQ.htm#c18

36. Problems/Questions: Where is my manuscripts NIHMSID? Three sources of information: Ask the corresponding author Ask the publisher Ask the NIHMS Help Desk via one of two contact links on this page: http://www.nihms.nih.gov/ but you need to be logged in to NIHMS to link to the correct help page.http://www.nihms.nih.gov/ NOTE: Do not write PMC – Journal in Process to indicate compliance except in Methods A or B submissions– See http://publicaccess.nih.gov/submit_process.htm http://publicaccess.nih.gov/submit_process.htm

37. Problems/Questions: Where is my manuscripts PMCID? Try locating the PMCID in the abstract version of the PubMed record or in PMC Use the PMID to PMCID Converter here: http://www.ncbi.nlm.nih.gov/sites/pmctopmid http://www.ncbi.nlm.nih.gov/sites/pmctopmid Use the NIHMSID instead, with the caveat: NIHMSIDs will become invalid three months after a paper is published. The validity of an NIHMSID will be evident in: –The NIHMS, under Manuscript List, which is the first screen a user will see once logged on to the NIHMS.NIHMS –The PIs eRA Commons Profile. See especially the new Awards View in My NCBI/ My Bibliography (Slide #s 30 and 31) See Clarification on the Use of an NIHMSID to Indicate Compliance with the NIH Public Access Policy for details. 1Clarification on the Use of an NIHMSID to Indicate Compliance with the NIH Public Access Policy 1-National Institutes of Health, Office of Extramural Research. Clarification on the Use of an NIHMSID to Indicate Compliance with the NIH Public Access Policy. [web page] Bethesda, MD; [cited 2009 August 17]; Available from: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-136.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-136.html

38. Problems/Questions: How do I demonstrate compliance with papers that dont fall under the policy? Explanations to use for lack of required #s Paper was accepted prior to April 7, 2008* Paper was not peer-reviewed 1 No NIH funding was used 1. Reminder Concerning Grantee Compliance with Public Access Policy and Related NIH Monitoring Activities Notice Number: NOT-OD-08-119, September 23, 2008, http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html

39. Why Its Important to Know About the Policy – –What Hospital Librarians Need to Know NIH Public Access Policy Overview Myth Busters re: NIH Policy Compliance Steps – including 2010 MyNCBI/My Bibliography function Problems and Questions Identified by the Library Community Models of Library Support Resources and Further Reading Contents

40. Models of Library Support: Collaborative Approach To achieve optimal compliance, libraries should work with other departments involved in the sponsored research management process. Consult with Offices of Sponsored Research or Research Administration to develop a plan For suggested approaches, see: http://publicaccess.nih.gov/sponsored.htm

41. Models of Library Support: Library Services for Authors Add compliance information to library website Consult with authors Write newsletter articles on the Policy Offer lectures/classes on Policy compliance

42. Models of Library Support: Deposits to PubMed Central Assist authors with deposits Perform actual manuscript submissions on behalf of authors; compliance may be a shared responsibility between the library and office of research or grants. Assist in interpreting publisher agreements and author rights Assist in understanding embargo periods and authors rights

43. Models of Library Support: Related Services Host an institutional repository Provide citation management software & support Participate in monitoring compliance

44. Sample Library Support Web Page becker.wustl.edu/services/scholarly/nihpolicy.html becker.wustl.edu/services/scholarly/nihpolicy.html

45. Sample Library Support Page www.fhcrc.org/science/shared_resources/library/services/authors/index.html www.fhcrc.org/science/shared_resources/library/services/authors/index.html

46. Why Its Important to Know About the Policy – –What Hospital Librarians Need to Know NIH Public Access Policy Overview Myth Busters re: NIH Policy Compliance Steps – including 2010 MyNCBI/My Bibliography function Problems and Questions Identified by the Library Community Models of Library Support Resources and Further Reading Contents

47. Question and Answer Videocast for Medical Library Association Annual Meeting (by Neil Thakur, PhD- 19 min., May, 2009) publicaccess.nih.gov/PublicAccess_MLA_Q&A_5-09_small.wmv publicaccess.nih.gov/PublicAccess_MLA_Q&A_5-09_small.wmv NIH Public Access webpage: publicaccess.nih.govpublicaccess.nih.gov NIH Public Access and Manuscript Submission – Resources and Tools www.nlm.nih.gov/bsd/public_access/resources.html www.nlm.nih.gov/bsd/public_access/resources.html NIH Public Access and Manuscript Submission System Help page: www.nihms.nih.gov/help/ MLANET NIH Public Access Policy webpage www.mlanet.org/resources/publish/sc_nih-policy.html www.mlanet.org/resources/publish/sc_nih-policy.html Association of Research Libraries (ARL)- Guide for Research Libraries www.arl.org/sc/models/models-resources/nih-pa/nih-guide/index.shtml www.arl.org/sc/models/models-resources/nih-pa/nih-guide/index.shtml Resources and Further Reading

48. AAHSL Public Access Toolkit: http://www.usc.edu/hsc/nml/aahsl/open_access_toolkit.html Scholarly Publishing & Academic Resources Coalition (SPARC) Resources for Authors : www.arl.org/sparc/author/www.arl.org/sparc/author/ SHERPA/ROMEO: www.sherpa.ac.uk/romeo.phpwww.sherpa.ac.uk/romeo.php –Copyright and archiving policies of individual publishers and journals –NOTE: Authors are bound by the copyright agreements they signed; not necessarily what SHERPA/ROMEO indicates Washington University- Becker Medical Library --Compliance Flowchart: becker.wustl.edu/pdf/Demonstrate-NIHCompliance.pdfbecker.wustl.edu/pdf/Demonstrate-NIHCompliance.pdf