The NIH Public Access Policy American Chemical Society March 15, 2016 Neil Thakur, PhD Office of the Director Kathryn Funk, MLIS National Library of Medicine National Institutes of Health

The NIH Public Access Policy in one slide The NIH Public Access Policy requires that all peer-reviewed journal articles arising from NIH funds are posted to PubMed Central You must have evidence of compliance with the public access policy for all peer-reviewed papers upon acceptance for publication Be proactive to maintain your funding! Develop your compliance plan while you are preparing your manuscript. How you comply and report compliance depends on the journal you choose. Use our public access instruction wizard to develop your plan NIH wants people to see your work. Over one million people per day use PubMed Central to retrieve more than two million papers to advance research, innovation, education and health. For more information, see http://publicaccess.nih.gov/

Foundation Principles of PMC Key Point: Importance of XML software- and hardware-independent, and therefore adapts easily to changes in technology preserves the structure and meaning of an article in a relatively simple and human readable form easier to automatically parse the content of an article, which can help with more focused searching, linking the article to related content in other databases, and text analysis http://www.ncbi.nlm.nih.gov/pmc/about/faq-pub/#q27

Papers in PMC Display of that content: Version of record v. author manuscript Value of XML in display Links to publisher site, similar articles, in references Different formats http://www.ncbi.nlm.nih.gov/pmc/about/authorms/

PMC Articles & PubMed PubMed (along with Google) allow users to easily locate PMC content PubMed also stores the funding metadata (key piece of public access) https://www.nlm.nih.gov/pubs/factsheets/dif_med_pub.html

Why PubMed Central? From PMC homepage (http://www.ncbi.nlm.nih.gov/pmc/), January 15, 2016

PMC-Participating Agencies Department of Health and Human Services OpDivs Other Federal Departments, Agencies, and Administrations

A Submission Methods B C D

Natural Experiment: ACS and Method A ACS initiates deposit of author manuscripts to NIHMS (Method D). Method D was a long-time practice of ACS. 2014: Unofficial/Transitional Method A ACS changes deposit policy: For one year only provides NIH-funded authors with ACS Author Choice + 12 deposit free of charge (ie, automatic deposit of final published version with 12-month embargo) without author needing to make special arrangments. NOTE: ACS Author Choice has a Selective Deposit/Method B agreement withPMC, but as no special arrangements by the author were required during this year ACS was essentially offering temporary global NIH Portfolio submission to authors (Method A). 2015 and forward: Method B or Method C option The gratis ACS Author Choice +12 deposit for NIH funded authors ended December 31, 2014. Starting January 2015, authors who publish with ACS have the option to pay for ACS Author Choice (Method B) OR initiate manuscript deposit in NIHMS themselves (Method C). Note, ACS currently does offer some journals that are Method A (e.g. ACS Central Science)

ACS journal experience, with selected comparisons Results Method A: More compliance than Method D Method C (and Method B): Least compliance Caveat: 2015 data may be a bit too recent Biochemistry Publication year NIH-funded* In PMC** Author Manuscripts Final Published Overall Compliance Rate 2013 537 482 464 18 90% 2014 450 420 25 425 93% 2015 328 185 108 77 56% J Am Chem Soc Cell (Elsevier; primarily Method D) Publication year NIH-funded* In PMC** Author Manuscripts Final Published Overall Compliance Rate 2013 647 593 567 26 92% 2014 575 541 50 491 94% 2015 428 247 157 90 57% Publication year NIH-funded* In PMC** Author Manuscripts Final Published Overall Compliance Rate 2013 354 320 312 8 90% 2014 357 323 315 2015 262 255 7 82% J Med Chem JAMA (Method C) Publication year NIH-funded* In PMC** Author Manuscripts Final Published Overall Compliance Rate 2013 242 219 210 9 90% 2014 226 207 22 185 92% 2015 150 84 52 32 56% Publication year NIH-funded* In PMC** Author Manuscripts Final Published Overall Compliance Rate 2013 170 130 76% 2014 177 125 71% 2015 147 56 38% * Based on PubMed records associated with NIH funding by author or MEDLINE as of January 8, 2016. ** Includes embargoed articles.

Public Access Compliance Monitor MEDLINE Indexing My Bibliography NIHMS Database of articles, including current compliance status, that are associated with an institution’s (i.e., IPF’s) grants and fall under the NIH Public Access Policy. Only available to people with special eRA Commons roles GOAL: Give you data to help monitor compliance on an institutional level. All records are PMID based, ie, Paper has to be in PubMed Updated twice a week (Wednesdays and Saturdays) Grant-paper associations come from multiple databases See https://publicaccess.nih.gov/sponsored-programs.htm

How does Compliance Monitor usage impact compliance? Papers published in 2014, compared to Compliance Monitor usage* It looks like Compliance Monitor users has a small but notable impact on compliance Percent compliance 100 or less papers More than 100 papers Average No CM usage 86.9 91.7 87.2 Any CM usage 93.9 93.1 93.4 87.3 92.5 87.9 Number of institutions Total 1680 106 1786 95 131 226 1775 237 2012 Papers published in 2015, compared to Compliance Monitor usage* Percent compliance Row Labels 100 or less papers More than 100 papers Average No CM usage 82.0 85.6 82.3 Any CM usage 86.7 87.8 87.3 86.8 82.8 Number of institutions Total 1616 100 1716 95 129 224 1711 229 1940 Notes Volume is skewed- most papers come from institutions with more that 100 papers per year * Compliance Monitor usage from Feb 2015-Feb 2016

Resources About the Public Access Policy: http://publicaccess.nih.gov/ For Sponsored Programs: http://publicaccess.nih.gov/sponsored.htm Training materials for PIs and other communications: http://publicaccess.nih.gov/communications.htm Questions: PublicAccess@NIH.GOV The NIH Manuscript Submission System: http://www.nihms.nih.gov/ Tutorials: http://www.nihms.nih.gov/web-help/ PubMed Central: http://www.pubmedcentral.nih.gov/ Information for Publishers: http://www.pubmedcentral.nih.gov/about/pubinfo.html

Compliance Monitor Access Notes

Compliance Monitor Access PACR Role: Assigned by administrator authorized to assign roles in eRA Commons Tip #1: Once you are assigned a PACR role, wait 24 hours to log in. Tip #2: If your institution has multiple IPFs, you will need a PACR role for each. Tip #3: eRA Commons manages login information, so that is who can troubleshoot login problems (see next slide)

Compliance Monitor: Snapshot of Compliance Set the date range. See when data was last updated. (New!) Overview of current compliance status. Current compliance rate (for selected date range) Search for a specific paper by PMID or use the dropdown menu and view article list for a given grant number. (New!)

Compliance Monitor: Grant Filter and Article Lists Grant Filter/Search Use the same grant format as displayed in the “Grant Number” column. Default results display is the Non-compliant article list. Q: For multi-institutional publications, what dictates which institutional PACM profile(s) the manuscript is listed with? What are the reasons that a manuscript would not be included in an institution's PACM profile? Article Lists include Associated IDs Associated grant(s) and PI Publication date (if available) Key NIHMS dates Article Lists can be downloaded (next slide)

Compliance Monitor: Downloadable CSV Reports Identifiers Grants Article Info NIHMS Info Article Info NIHMS Info Also check out “Understanding a Public Access Compliance Monitor (PACM) Report” by Bernard Becker Medical Library at Washington University: https://becker.wustl.edu/sites/default/files/PACM_Legend.pdf Value of reports: Can be filtered! Distributed! Identifiers Grants (all PI’s) Article Info – publication date useful for determining grace period, NIHMS Info

NIHMS Info in the Compliance Monitor NIHMS Process Overview Q: Please provide overview of NIH’s process for re-formatting author manuscripts. Q: What happens if an author uploads the typset or final published version, without the publisher’s approval? ?? Q: What happens if an author uploads the typeset or final published version, without the publisher’s approval? Does NIH process regardless? Q: Is it possible for the delay period between two approval steps to be shortened? NIHMS dates in PACM Files Deposited Initial Approval Tagging Completed Final Approval

Benefits of using the Compliance Monitor Quick summary of institution’s compliance rate Download reports on non-compliant publications for the entire institution or a single grant Locate associated IDs for a citation Track progress of papers in NIHMS View status changes made in My NCBI, e.g., if a citation is marked as not applicable