Changes in Scholarly Communication: What this Means for All Authors Karen M. Albert, MLS, AHIP Mary Ann Sells, PhD

Topics Open Access - background NIH Public Access mandate Library support plan Office of Sponsored Research perspective Feedback

What is Open Access? “Open-access (OA) literature is digital, online, free of charge, and free of most copyright and licensing restrictions” Suber, Peter. “Open Access Overview” Available at:

Goals of OA Accelerate discovery Stimulate further discovery Translate knowledge into public benefit Improve information access & sharing Reduce costs and inefficiency Support new research strategies like data mining Joseph, Heather, “Scholarly Publishing and Open Access: Straight Talk,” MLA Webcast, November 20,

Three Major Stakeholder Goals Scholars quality peer review visibility, citation impact career/tenure support Publishers – maintain income/profits Librarians subscription price relief access for users

Problems with Current Model

3 Routes to Open Access Post to a website Publish in an OA journal (BMC or PLoS) Publish via a hybrid journal

OA improves citation rate and visibility Swan A. Open Access and the progress of science. American Scientist 2007;95:3. Available from

Why support Open Access?

Federal mandate – Chaos?

New Law SEC The Director of the National Institutes of Health shall require that all investigators funded by the NIH submit or have submitted for them to... 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:... in a manner consistent with copyright law.

Important Dates As of April 7, 2008, all articles arising from NIH funds must be submitted to PubMed Central upon acceptance for publication. As of May 25, 2008, NIH applications, proposals, and progress reports must include the PubMed Central reference number when citing an article that falls under the policy and is authored or co- authored by the investigator, or arose from the investigator’s NIH award.

Types of Articles To what does the NIH Public Access Policy apply? The Policy applies to all peer-reviewed journal articles, including research reports and reviews. The Policy does not apply to non-peer-reviewed materials such as correspondence, book chapters, and editorials.

Types of Articles To what does the NIH Public Access Policy apply? The Policy applies to all peer-reviewed journal articles, including research reports and reviews. The Policy does not apply to non-peer-reviewed materials such as correspondence, book chapters, and editorials.

Policy applies to those: 1.Directly funded by an NIH grant or cooperative agreement active in Fiscal Year 2008 (October 1, September 30, 2008) or beyond; 2.Directly funded by a contract signed on or after April 7, 2008

Centralized Library support plan See library website: Karen Albert, Director Lydia Hecker, Library Technician

3-step Process 1. Address Copyright 2. Submit article to NIH -- via the Library Cite PMCID number in grants

1. Address Copyright - Don’t just sign.. Read your copyright transfer agreement Authors must retain the right to deposit the work in PubMed Central Check Library website for journal/publisher policies – Some journals post for you! Ask the library for help, if policy is unclear

1. Address Copyright Some journals submit articles on behalf of their authors... See library website for list

1. Address Copyright Some journals (Elsevier) submit final manuscripts to PMC on behalf of authors.-- You still have to approve the manuscript via the NIH Manuscript Submission system

Sign your agreement Find Embargo period: The number of months after publication that the full-text manuscript can be made freely available in PubMed Central. 1.Address Copyright – Next steps

Sample copyright agreement After acceptance:... you may use the accepted version of the Article... in the following ways: 12 months after publication you may post an electronic version of the article on your own personal website, on your employer’s website/repository and on free public servers in your subject area.

Copyright agreement info: Library website:

1. Address Copyright - Publisher policy links Library’s list -- Alphabetical by journal title, indicating journals that do posting for you (unbolded). Sherpa/ROMEO list:

Library’s list...

2. Submit article – Library Form

2. Submit article Place request via library web form- including: 1. NIH grant numbers of all FCCC authors 2. Manuscript title and journal name 3. Specify the embargo period

2. Submit article – manuscript + figures To complete the submission process, please your manuscript and figures, each attached in a separate file to:

Two approval steps

3. Cite PMCID number In all grant applications, renewals, or progress reports: 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. Example: Varmus H, Klausner R, Zerhouni E, Acharya T, Daar A, Singer P PUBLIC HEALTH: Grand Challenges in Global Health. Science 302(5644): 398–399. PMCID:

PubMed Central

3. Finding PMCID number

3. Find PMCID number PMC-formatted article

Summary of Steps “Upon acceptance for publication” 1.Address Copyright Check library website lists Read agreement- sign if allows posting 2.Submit article to NIH (via the Library) Complete library request form Form generates request for manuscript and figures; them to the library Complete NIH ed approvals 3.Cite PMCID number in grants Retain no. for use in grant applications Request from library, if needed

Carrot and Stick approach

How does the new policy impact granting?

2007 Policy Information that May Be Included in the Application ･ Published manuscripts and/or abstracts that are publicly available in a free, online format may be referenced in the application... While there is no limit to the number of URLs or PMC submission identification numbers that can be cited, applicants should be both judicious and concise. Materials Allowed in the Appendix:... up to 3 of the following types of publications: Published manuscripts and/or abstracts only when a free, online, publicly available journal link is not available. NIH Extramural News, November, 2006 [ ; New Limits on Appendix Materials for All NIH/AHRQ/NIOSH Grant Applications Beginning with Receipt Dates On or After January 3, 2007, http : //grants.nih.gov/grants/guide/notice-files/NOT-OD html

2008 Policy As of May 25, 2008: NIH applications, proposals, and progress reports must include the PubMed Central reference number when: Citing an article that falls under the policy And is authored or co-authored by the investigator Or arose from one of the investigator’s NIH awards This policy includes applications submitted to the NIH for the May 25, 2008 due date and subsequent due dates.

When does the policy apply? When peer-reviewed journal articles arise from any amount of direct costs funded by NIH, regardless of the source or amount of other funding. This includes CCSG funds. Use of Shared Facilities Developmental Funds

How does the policy affect award of your grants? The Policy is a Term and Condition of Award for all grants and cooperative agreements active in Fiscal Year 2008 (October 1, September 30, 2008) or beyond. Compliance is not a factor in the evaluation of grant applications. However, non-compliance is addressed administratively. You will not receive an award unless you comply with the policy.

OSR Compliance Support Initial Grant Submission Alert Memo will include reminders The NIH requires that all investigators funded by the NIH submit an electronic version of their final peer-reviewed manuscripts upon acceptance for publication to the National Library of Medicine’s PubMed Central. For more details on the policy, see or contact our office, Karen Albert or your Administrative Assistant. You are also required to include the PubMed Central manuscript reference number in NIH applications, proposals, and progress reports when citing an article that falls under the policy and is authored or co-authored by you or arose from the one of your NIH awards. Informed Grant Specialists will guide you through process

OSR Compliance Support Quality Checklist – NIH Progress Reports

A Related NIH Mandate Acknowledge Grants & Shared Facilities

Acknowledgement Mandate Requirement is stated in Notice of Grant Award The statement reads, “Each publication, press release or other document that cites results from NIH grant-supported research must include an acknowledgment of NIH grant support and disclaimer” Suggested language is, “The project described was supported by Grant Number R from the National Cancer Institute. The content is solely the responsibility of the authors and does not necessarily represent the official views of the NCI or the NIH”.

How to comply? Use Manuscript Tracking System Acknowledge grants Acknowledge Shared Facility Usage Navigate from OSR Home Page

How to comply?

Why comply? Responds to NIH-mandated grant acknowledgment Validates usage of acknowledged Shared Facilities Helps Business Development Office id valuable IP Creates list of publications for CCSG, dept. heads, etc. Establishes the foundation for audit system to alert authors to deposit manuscripts accepted for publication in PubMed Central

The Future Further refinement of Tracking System Streaming the support system Institutional Manuscript Repository Most important outcome: Higher visibility for our research and staff

Questions?