1. page 2 https://becker.wustl.edu/sites/default/files/nih_resources_chart.pdfhttps://becker.wustl.edu/sites/default/files/nih_resources_chart.pdf 1

2. NIH Public Access: Helping Researchers Comply Oliva Smith, Division of Sponsored Programs June 12, 2013 2

3. https://becker.wustl.edu/sites/default/files/nih_resources_chart.pdfhttps://becker.wustl.edu/sites/default/files/nih_resources_chart.pdf page 1 3

4. The NIH Public Access Policy The Policy.... states: The Director of the National Institutes of Health shall require that [Who] all investigators funded by the NIH submit or have submitted for them to the National Library of Medicine’s [Where] PubMed Central an electronic version of their [What] final, peer-reviewed manuscripts [When] upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication... consistent with copyright law. http://grants.nih.gov/grants/guide/notice-files/NOT- OD-08-033.html http://grants.nih.gov/grants/guide/notice-files/NOT- OD-08-033.html When = TIMING (1) request/arrange for the manuscript to get to the NIHMS-PMC system as soon as possible. (2) Designate the article to be viewable in PMC a year, (or less*) from date of publication [publication date = print date]. * This delay or ‘embargo’ period is specified by the journal/publisher. 4

5. Why you need the PMCID For non-competing continuation grant awards with start date July 1, 2013 or beyond: NIH will delay processing of an award if publications arising from it are not in compliance with the NIH public access policy. http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-042.htmlNIH public access policy http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-042.html Compliance = Publication must be in PubMedCentral PMC database (tho possibly not viewable until after embargo). Paper in PMC is designated with PMCID. BOTTOM LINE: must have PMCIDs to get $$ Investigators will need to use My NCBI to enter papers onto progress reports. Papers can be associated electronically using the RPPR, or included in the PHS 2590 using the My NCBI generated PDF report.My NCBIPDF report 5

6. https://becker.wustl.edu/sites/default/files/nih_resources_chart.pdfhttps://becker.wustl.edu/sites/default/files/nih_resources_chart.pdf page 1 6

7. Getting the publication into PMC depends on Journal/Publisher: Four Methods Method AMethod BMethod CMethod D Version of Paper Submitted Final Published Article Final Peer- Reviewed Manuscript Task 1: Who deposits the paper? Publisher direct to PMC Author or designee, via NIHMS Publisher, via NIHMS Task 2: Who approves paper for processing? Not Applicable Author, via NIHMS Task 3: Who approves paper for PubMed Central upload? Not Applicable Author, via NIHMS Participating journal/publisher Method A Journals have agreement with NIH Journals Make arrangements with these publishers charge $$ publishers Check publishing agreement Make arrangements with these publishers publishers 7 http://publicaccess.nih.gov/submit_ process.htm

8. If the publication appears in a journal on this list = Method A. Journal submits to PMC without author involvement. http://publicaccess.nih.gov/submit_process_journals.htm 8

9. Submission “Method A” Journals Method A: The journal has a formal agreement with NIH to deposit all final published articles in PubMed Central PMC without author involvement. Use PMCID in citation to indicate in PubMed Central PMC; To find PMCID: search PubMed (use Hardin Lib link or google PubMed) by title of article  abstract with PMID lower left, PMCID lower right (if available). if the PMCID is not available from “Method A” journals (ONLY those listed on the link as Method A journals (search for the title in PubMed) can use "PMC Journal - In Process” 9

10. Submission “Method B” Journals Method B: Author makes arrangements for publisher to deposit a specific final published article in PMC, for a fee. These publishers also have a FREE option. (Method C or D) These journals do not automatically deposit every NIH-funded paper into PMC; author chooses the journal’s fee-based open access option for publishing specific article. Examples: Springer “OpenChoice” $3000 Elsevier “Open Access” $500 - $5000 depends on journal SAGE “Choice” $3000 Taylor & Francis “iOpenAccess” $2950 Wiley-Blackwell “OnlineOpen” $3000 To cite articles from “Method B” use PMCID if available; if not: "PMC Journal - In Process” because you paid $3000 for it! 10

11. Submission “Method C” Journals Method C: “Author information” on the journal’s webpage instructs author to deposit final peer-reviewed manuscript into the NIH Manuscript Submission NIHMS-PMC System. (which is why you need to keep copy of manuscripts) Author must complete all steps in NIHMS Manuscript Submission system to get the article through NIHMS to PMC PubMedCentral  PMCID. Timing: NIH awardees are responsible for ensuring manuscripts are submitted to the NIHMS upon acceptance for publication. Set embargo/delay when uploading into NIHMS-PMC system, so full- text may not appear in PMC before one year = publisher happy. NIHMS ID is temporary - only valid within 3 months of publication date---after that must have PMCID. 11

12. Submission “Method D” Journals Method D: “Author information” on journal’s webpage says journal/publisher will deposit final peer-reviewed manuscript into NIHMS-PMC system. Usually author must request—or should request so publisher does this ASAP. Set embargo when uploaded to NIHMS. Author must complete all remaining steps in NIHMS system for the article to get to PMC  PMCID. http://publicaccess.nih.gov/select_deposit_publishers.htm#d Timing: NIH awardees are responsible for ensuring manuscripts are submitted to the NIHMS upon acceptance for publication. Set embargo/delay when uploading into NIHMS-PMC system, so full- text may not appear in PMC before one year = publisher happy. NIHMS ID is temporary - only valid within 3 months of publication date---after that must have PMCID. 12

13. https://becker.wustl.edu/sites/default/files/nih_resources_chart.pdfhttps://becker.wustl.edu/sites/default/files/nih_resources_chart.pdf page 1 13

14. PMCID – PMID: what’s the dif? PubMed Central PMC (since 2000) full-text biomedical journal articles, assigned the PMCID; articles freely accessible (w/o going through publisher’s site). PMCID = article is in PubMed Central PMC = complies with NIH Public Access policy. PMCID: PMC7654321 PMC + 7 numerals (so far) PubMed assigns PMID to citations & abstracts from MedLine, life science journals, books, etc. PubMed does not contain FULL TEXT – unless library links $$. PubMed has nothing to do with NIH Public Access. PMID: 23314567 eight numerals 14

15. Hardin Library’s PubMed url to take advantage of this service. http://www.ncbi.nlm.nih.gov/pubmed?otool=uialib http://www.ncbi.nlm.nih.gov/pubmed?otool=uialib Costs $4 million for UI Libraries to provide links to journals for full text from PubMed. PMCID assigned For us in academia, PubMed works great because our libraries link citation record to the full text; if use PubMed from home you are not linked to the full text. Article not available in PMC but has PMCID, i.e. honoring the Blood’s 12 month delay/embargo. PMID 15

16. Common Questions Is the paper under this policy? How do I know how if the journal submits to PMC, or should author submit it? How do I find if article is in PMC, has a PMCID? What if article not in PMC and should be? How do I submit the article to the NIHMS? What if article is stalled in NIHMS-PMC system? 16

17. Is the paper under this policy? Peer-reviewed; Reviews, editorials, commentaries, conference proceedings are exempt. (designate N/A in MyNCBI) Must be Latin script. Russian, Japanese, etc. exempt. Accepted for publication in a journal on/after April 7, 2008; Use the Hardin PubMed link http://www.lib.uiowa.edu/hardin/ to find full text article, title page often includes date accepted. http://www.lib.uiowa.edu/hardin/ And, arises from: Any direct funding from NIH grant or cooperative agreement active in Fiscal Year 2008 or beyond, or; Any direct funding from NIH contract signed on/after April 7, 2008, or; Any direct funding from the NIH Intramural Program, or; An NIH employee. 17

18. How do I know if a journal submits to PMC? First check if it is Submission Method ‘A’ (slides 7, 8). (Use google.com) http://publicaccess.nih.gov/submit_process_journals.htm * If yes, [horray] = no author involvement. * Cite with PMCID or “PMC Journal in process.” http://publicaccess.nih.gov/submit_process_journals.htm If No: need to find out journal’s author info. 1. Find journal’s webpage “author information.” 2. Or use google.com to find [ Sherpa-Romeo ] = db of publisher info http://www.sherpa.ac.uk/romeo/. 3. Or U of Toledo link http://mulford.meduohio.edu/instr/ for journals in health sciences. http://www.sherpa.ac.uk/romeo/ http://mulford.meduohio.edu/instr/ 18

19. How do I find the PMCID? Use PubMed to find the abstract with PMID lower left and PMCID lower right if it has one. Converter Link: Use PMID to find PMCID or NIHMSID: http://www.ncbi.nlm.nih.gov/pmc/pmctopmid/ Use google.com to find: PMCID converter http://www.ncbi.nlm.nih.gov/pmc/pmctopmid/ If is has a PMCID add it to citation. If has NIHMSID (temporary id) => in the NIHMS-PMC system. Can use NIHMS id for up to 3 months after date of publication, by then supposed to have PMCID. 19

20. What if article not in PMC or the NIHMS-PMC system? Check journal’s policy: do they send or does author (i.e. Method C or D)? If journal (Method D), contact and request they do this asap. OR ask journal if YOU can submit manuscript (not.pdf of the article) to NIHMS-PMC yourself—so you know it is done (esp if the article is a year or more from date of publication). Submit to NIHMS-PMC system http://nihms.nih.gov/help/faq.shtml http://nihms.nih.gov/help/faq.shtml Manuscript – not a.pdf of the article as it appears in the journal (which is the property of the journal) 20

21. https://becker.wustl.edu/sites/default/files/nih_resources_chart.pdfhttps://becker.wustl.edu/sites/default/files/nih_resources_chart.pdf page 1 21

22. NIHMS NIH Manuscript Submission System Submitting the paper into PubMed Central begins with the NIHMS NIH Manuscript Submission System http://nihms.nih.gov/help/faq.shtml http://nihms.nih.gov/help/faq.shtml Manuscript – not a.pdf of the article as it appears in the journal (which is the property of the journal) ALWAYS login via “NIH & eRA” route; I use google to find “NIHMS login” link. 22

23. 23 Log into NIHMS At http://www.nih ms.nih.gov/db/ sub.cgi Or use google to find NIHMS login. Includes overview of manuscript submission process (next slide) ALWAYS log in via “NIH & eRA” route

24. 24 Make any corrections in web approval; only errors that affect accuracy of the article, since they have to retag it. 1. 2. 3. Step 2 Approval generates NIHMSID = ok to use within 3 months of publication date. Takes ~4 weeks between Steps 2 & 3. Step 3 Approval will generate PMCID.

25. What if article is stalled in NIHMS? If publication sitting in NIHMS longer than a month, it may be stalled (somewhere between steps 1, 2 or 3). Author check if STALLED in NIHMS system. Log in to NIHMS http://www.nihms.nih.gov/db/sub.cgihttp://www.nihms.nih.gov/db/sub.cgi Check for articles under Stalled Tab Search for manuscript with NIHMS or PMID and Watch or Claim it. (see NIHMS FAQs http://nihms.nih.gov/help/faq.shtml#q16 ) http://nihms.nih.gov/help/faq.shtml#q16 Must be an author or PI to Claim a record. If you suspect article Stalled—contact me and I can look in the “Public Access Compliance Monitor” PACM = an Excel file listing articles for UIowa. 25

26. Log in to NIHMS http://www.nihms. nih.gov/db/sub.cgi or use google: NIHMS login http://www.nihms. nih.gov/db/sub.cgi Find stalled article(s) in Stalled tab in Manuscript List. 26 FAQs & Help NOTE: due to volume, NIHMS says it will take 7 - 10 business days to answer your emails.

27. If I one of the authors for an article that is stalled and the first author is not available to “unstall it” I can “claim” it (must be an author). I do so by putting the NIHMS ID or the PMID in the search box and “Find Manuscript”. Claiming an article to move it through the NIHMS system 27

28. Must be one of the authors (which I am not), but if wanted to Claim  click “Watch Manuscript” then supposed to get the Claim Option Claiming an article to move it through the NIHMS system 28 FAQs & Help

29. https://becker.wustl.edu/sites/default/files/nih_resources_chart.pdfhttps://becker.wustl.edu/sites/default/files/nih_resources_chart.pdf page 1 29

30. What is My NCBI? A tool integrated with PubMed (not PubMed Central) to track literature searches, collections of citations, and public access compliance. http://www.ncbi.nlm.nih.gov/books/NBK3842/ http://www.ncbi.nlm.nih.gov/books/NBK3842/ ALWAYS log in to NCBI via NIH & eRA Commons log in. Must link eRA Commons accounts and MyNCBI Once linked, users can associate publications with NIH grants. Tracks NIH Public Access compliance  Award View. The only way to enter publications into RPPR progress report. Creates the publications section (Section E) of PHS 2590s for U01 which still uses paper. 30

31. Use eRA Commons Not here 31 If you “Sign in directly to NCBI” it creates a duplicate account = more confusion!

32. To LINK My NCBI with eRA Commons, click username If publications in eRA Commons do not match up with papers in MyNCBI-MyBib— must link eRA to MyNCBI. 32 Common Q: Are your NCBI and eRA pages linked?

33. If not linked, would click here to Link. May need to log out/back in--- but now eRA Commons and NCBI My Bib publications should be same list. 33

34. 34

35. Want to see PA status for each publication. If you do not see this view with blue- shaded “Public Access Compliance Status” go to next slide... Will not work in old version of Internet Explorer 35 Designees can not see this Award View. Common Q: How do I see this view: “Award View”

36. How do I get to the Award View? If you see this view, i.e. without blue shaded PA status after each citation, click “Display Settings.” 36

37. In View Column Select: Award Sort by: Public Access Compliance Grouping: by citation type. Then click “Apply” 37

38. Now you see Award View, with blue shaded area after each citation. 38

39. Icon = Linked Needs PMCID Add/delete award Can change only those with yellow icon. Gray “lock” icon = LOCKED & cannot disassociate award from publication. NOTE: if PI associates grant with publication it is LOCKED and takes email to NCBI to disassociate.  PIs must be sure they want publication associated with grant. Red Dot = needs attention! NIHMS is only “good” w/i 3 mo. of pub. date. Add Award: See NLM Tech Bulletin: www.nlm.nih.gov/pubs/techbull/ja12/ja12_myncbi_new_features.html 39

40. To sort by how papers got into MyBib Making bib public generates url to share with others. “Edit settings” to Add delegate. NOTE: the delegate does not have access to same functions as PI. Add more publications 40

41. Want to include paper but it is exempt from PA Policy: how to denote this to prevent red flag? Exempt: accepted before April 2008; not peer-reviewed; not Latin script; or not supported by NIH. Click “Edit Status” 41

42. Select option. Non-peer-reviewed papers are designated here also: editorials, reviews, letters, conference talks, poster sessions. Save & Close. Citation will have green N/A. 42

43. Generating Award Compliance Report PDF for your bibliography.. Select “Linked to my awards” OR select check boxes next to publications. 43

44. Checking compliance of each article. What to do about flagged article? Biochem J 2012 July 44

45. What to do about flagged article? 1.“Edit Status” if article is exempt: non-peer-reviewed; accepted for publication prior to April 7, 2008. 2.Check in PMCID converter to see if PMCID is assigned.  No PMCID but has NIHMS id so in NIHMS-PMC system. 3.Author/PI can log in to his/her NIHMS and look for Stalled Tab. PI can CLAIM the article if it is STALLED. 45

46. Checking compliance of each article. 46 Edit Status Want to include paper but it is exempt from PA Policy: how to denote this to prevent red flag? Edit Status as Exempt: accepted before April 2008; not peer- reviewed; not Latin script; or not supported by NIH.

47. What to do about flagged article? 1.“Edit Status” if article is exempt: non-peer-reviewed; accepted for publication prior to April 7, 2008. 2.Check in PMCID converter link to see if PMCID is assigned. [google PMCID converter]  No PMCID but has NIHMS id so in NIHMS- PMC system. 3.Author/PI can log in to his/her NIHMS and look for Stalled Tab. PI can CLAIM the article if it is STALLED. 47

48. No PMCID http://www.ncbi.nl m.nih.gov/pmc/pmc topmid/http://www.ncbi.nl m.nih.gov/pmc/pmc topmid/ [or google PMCID converter] NIHMS number tells us it is in NIHMS- PMC system 48 1. Enter PMID

49. What to do about flagged article? 1.“Edit Status” if article is exempt: non-peer-reviewed; accepted for publication prior to April 7, 2008. 2.Check in PMCID converter link to see if PMCID is assigned. [google PMCID converter]  No PMCID but has NIHMS id so in NIHMS-PMC system. 3.Author can log in to his/her NIHMS and look for Stalled Tab. PI can CLAIM the article if STALLED. 49

50. Log in to NIHMS http://www.nihms. nih.gov/db/sub.cgi or to find login use google.com http://www.nihms. nih.gov/db/sub.cgi NIHMS login If I am the first author of the article, or the author who approved the initial upload into the NIHMS system, I will find the stalled article here in my Manuscript List. If I an author other then the first or other than the initial approving author, or if I am the PI, I can get the stalled article going by ‘claiming’ it. (next slide) 50

51. If I am one of the authors (or PI) for an article that is stalled and the first author is not available to “unstall it” I can “claim” it (must be an author or PI). I must first find it using NIHMS ID or the PMID in the search box and click “Find Manuscript”. Claiming an article to move it through the NIHMS system 51

52. Must be one of the authors. If want to Claim  click “Watch Manuscript” then will to get the Claim Option, which prompts the system to send first author email asking if you can claim—if no response, you get email indicating it’s yours to approve and move through the system. Claiming an article to move it through the NIHMS system 52

53. https://becker.wustl.edu/sites/default/files/nih_resources_chart.pdfhttps://becker.wustl.edu/sites/default/files/nih_resources_chart.pdf page 1 53

54. Research Performance Progress Report RPPR http://grants.nih.gov/grants/rppr/index.htm RPPR: required for all awards issued under the Streamlined Non- competing Award Process (SNAP), and all F awards with budget start dates on/after July 1, 2013. U01 mechanism still uses paper 2590. Publications cannot be manually added in RPPR—must go via My NCBI-My Bibliography. ALWAYS log in via NIH & eRA login. MyBib  use check box to populate RPPR’s Products/Publications section. If not all papers appear in NCBI MyBib, but are in eRA—must LINK (slides 28-29) RPPR lists Public Access compliance status; if no PMCID = “NONCOMPLIANT” 54

55. 55 http://dsp.research.uiowa.edu/files/dsp.research.uiowa.edu/files/NIH%20RP PR%20Basic%20Guide.pdf

56. 56 Initiate

57. 57 Edit

58. 58

59. Research Performance Progress Report RPPR Part C - Products = Publications “Are there publications or manuscripts accepted for publication in a journal or other publication during the reporting period resulting directly from the award?” If Yes - select from list provided—if not all publications are there: Login to My NCBI - check box next to title to associate/transfer publication to this progress report. ALWAYS log in to NCBI with eRA & NIH login. 59

60. Research Performance Progress Report RPPR RPPR: Step-by-Step Guide http://dsp.research.uiowa.edu/files/dsp.research.uiowa.edu/files/NIH%20RPPR%20B asic%20Guide.pdf http://dsp.research.uiowa.edu/files/dsp.research.uiowa.edu/files/NIH%20RPPR%20B asic%20Guide.pdf RPPR FAQs http://grants.nih.gov/grants/rppr/faqs.htm http://grants.nih.gov/grants/rppr/faqs.htm Progress Report Additional Materials PRAM - used to add PMCIDs if you get them after initial RPPR sent. 60

61. Avoid Delays in Compliance Find journal’s policy, start process as soon as accepted. Keep copy of manuscripts. NCBI: (1) Link NCBI to eRA Commons; (2) Display Settings ->Award View; (3) Associate appropriate paper(s) with appropriate award(s). 61

62. Avoid Delays in Compliance NIHMS: log in http://www.nihms.nih.gov/db/sub.cgihttp://www.nihms.nih.gov/db/sub.cgi ALWAYS log in via “NIH & eRA” link. Set up manuscript Approve pdf receipt (be sure to go through all the steps)  assigns NIHMS (temporary), and After ~ 4 weeks, approve web version =>PMCID. Investigators see only articles in NIHMS-PMC system; if article has not started in NIHMS, not in your Manuscript Summary page. Stalled articles -- see “Stalled” tab; use search box to find articles to Watch or Claim. 62

63. I hope I helped make this graphic a little more clear. 63

64. We are here to help you I will send monthly reminder notices to PIs with non- competing renewals due the following month. DSP’s NIH Public Access webpage http://dsp.research.uiowa.edu/nih-public-access-policy http://dsp.research.uiowa.edu/nih-public-access-policy Hardin Library Public Access Policy Guide http://guides.lib.uiowa.edu/nihpublicaccess http://guides.lib.uiowa.edu/nihpublicaccess Janna Lawrence janna-lawrence@uiowa.edu, liaison for Public Access, will assist with answers to your questions. janna-lawrence@uiowa.edu Hardin Library also will submit to the NIHMS-PMC for authors http://guides.lib.uiowa.edu/content.php?pid=6167&sid=38874 http://guides.lib.uiowa.edu/content.php?pid=6167&sid=38874 64

65. Thank you I am happy to answer questions and/or provide training sessions or work with you one-on-one. Please feel free to contact me with questions. Oliva Smith Division of Sponsored Programs DSP oliva-smith@uiowa.edu 335-3708 oliva-smith@uiowa.edu 65