THE NIH PUBLIC ACCESS POLICY A How-to guide By Nick Farris

Overview Overview of the Policy Complying with the Policy Submitting your Article Citing your Article/ The Use of My Bibliography More Resources and Links Questions and Answers

Overview: NIH Public Access Policy “The Director of the National Institutes of Health shall require that all investigators funded by the NIG 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”.

Overview: Some Useful Definitions PubMed Central (PMC) (Full Text): PubMed Central (PMC) is the NIH’s free digital archive of biomedical and life science journal literature. All articles in PMC are free. These papers are indexed with a PMCID, a series of numbers preceded by ‘PMC’. PubMed (PM) (Citation Index): PubMed provides access to over 17 million citations from biomedical literature. These citations are indexed with a PMID, a series of numbers. (see: Final peer-reviewed manuscript: The author’s final manuscript of a peer- reviewed paper accepted for journal publication, including all modifications from the peer review process. Final published article: The journal’s authoritative copy of the paper, including all modifications from the publishing peer review process, copyediting and stylistic edits, and formatting changes.

Overview of Policy Is peer-reviewed journal article (not books, dissertations, monographs, etc) AND Is accepted for publication in a journal on or after April 7, 2008 AND Arises from: Any direct funding from an NIH grant or cooperative agreement active in Fiscal Year 2008 or beyond, or Any direct funding from an NIH contract signed on or after April 7, 2008, or Any direct funding from the NIH Intramural program or An NIH employee When do you deposit? Deposit must be done upon acceptance for publication Publisher may embargo public release for up to 12 months from the date of publication

Overview of Policy NO YES NO Funded in whole or part by NIH? YES Accepted for publication on or after April 7, 2008? YES Has a PMCID or NIHMSID been applied? NO Will the publisher submit final for you? Do I need to submit? Collect manuscript, journal name, PI name, Grant number(s) and submit to NIHMS system Add ID to your citation Add “PMCID: PMC Journal – In Process” to your citation Do not need to submit

Complying with the Policy Address Copyright Institutions and investigators are responsible for ensuring full compliance with the Public Access Policy Deposit Paper Upon Acceptance for Publication Four submissions methods (A-D) are available Methods A + B submit final journal articles to PMC Methods C + D submit final peer reviewed manuscripts to the NIH Manuscript Submissions (NIHMS) system to be deposited in PMC Cite Paper, include PMCID Include the PMC number for applicable papers in the applications, proposals, and reports

Overview of Submission Methods 1. Method A: Journal deposits final published version in PubMed Central without author involvement. 2. Method B: Author asks publisher to deposit final published version, generally for a fee. 3. Method C: Author deposits final, peer-reviewed manuscript. Author must start the process, approve the paper. 4. Method D: Publisher deposits final, peer-review manuscript, author approves submission. Are you trying to figure out which method your journal is following? OR if not listed, check out

Method A- Journal Deposits all NIH articles, no author’s involvement

Bottom line for Method A If your journal falls into Method A, no additional steps need to be taken by PI View NIH list of approved journals

Method B—Author asks journal to submit article on author’s behalf

Bottom line for Method B Make arrangements to have a publisher deposit a specific final published article in PubMed Central View NIH-approved list of publisher programs These are generally called “Open Choice” options– author-pay model-which costs $$$

Submitting Manuscripts Via NIHMS- Method C 1. Deposit Manuscript Files and Link to NIH Funding Can be done by author, publishers, or someone in the author’s organization. NIHMSID created and sent to the submitter. 2. Authors give permission to NIH to Process the Manuscript Authors confirm copyright or permission, and specify delay period The NIHMS will contact the author if necessary. Tasks 1 and 2 can be done at the same time, and usually take less that 10 minutes to complete. 3. Authors approve the PMC-formatted Manuscript for Public Display Can only be done by an author.

Method C—Author deposits final peer-reviewed manuscript in PMC

Bottom line for Method C 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 author’s organization 2. Authorize NIH to process the manuscript (via 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 s author to approve its release After the specified delay period, NIHMS will automatically release the article to PMC for public posting

Submitting Manuscripts Via NIHMS- Method D 1. Publishers start the deposit process Publishers pick the files, designate the delay period, and identify the corresponding author. 2. The NIHMS contacts the corresponding author Author receives the NIHMSID, identifies NIH awards. 3. Authors approve the PMC-formatted Manuscript for Public Display Once submission is complete, the NIHMS s the author and all PIs the citation with the PMCID

Complying: Method D—Journal deposits manuscript; author approves & completes process

Complying: Bottom line for Method D Method D: Complete the submission process for a final peer-reviewed manuscript that the publisher has deposited in the NIHMS. Steps for author: NIHMS s author Author approves manuscript Author receives NIHMS number NIHMS s author again Author approves PMC-formatted version for public display Once process is complete, NIHMS s the citation and PMCID to all authors

Complying: What if my journal is not NIH compliant? Author Addendum Submit manuscript and copyright transfer agreement with a signed Author Addendum. The NIH website provides sample language: "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."

Complying: Not NIH compliant journals/publishers Submission Letter Submit manuscript with a signed Submission Letter. IUSM has drafted a model letter that can be used (based on Duke University’s model letter): Other universities copyright addendums: Penn St. Copyright Addendum ( Standard School of Medicine “Stanford Copyright Addendum” ( Publishing).pdf) Publishing).pdf

Three Elements of Fulfilling Requirements: 1. Retention of author rights to submit manuscript to PubMed Central - Possible issues with copyright and publisher policies 2. Manuscript submission to PubMed Central (Methods C & D) - Proper embargo period selected per publisher policy - Proper manuscript version is submitted 3. Proof of compliance on grant applications and reports - Will impact continued or future funding

How to Cite Your Article In all grant applications, renewals, progress reports, or biosketches: Papers you wrote fall under this NIH policy Include PubMed Central ID (PMCID) for those citations 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

Citing, use of NIHMSID 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 PMCID is assigned after NIHMS performs last set of quality assurance checks and after the PI or author has completed the approval process.

Citation Management: MyNCBI Bib/EndNote This policy change as of 2010, researchers will no longer manually enter citations for their professional works in eRA commons and will instead use PubMed’s MyNCBI My Bibliography feature to pull PubMed and PubMed Central records into their MyNCBI Bibliography. PubMed to EndNote

Citation Management: MyNCBI Establish a My NCBI account to gain access to My Bibliography. Link My NCBI and eRA Commons accounts. Enter citations into My NCBI:

Adding Publications to My Bibliography 1. Click on Manage Collections. 2. If you are a delegate and are managing several bibliographies, click on the one that you wish to work with. 3. Click on the Add citation button. 4. A window will open and you can click on Go to PubMed. 5. Search by:  An author name  A PubMed number (PMID)  Use the Single Citation Matcher to find a specific article For additional tutorials on My NCBI: _to_th

Adding PubMed Citation to My Bibliography

NIH Public Access View

Visual PA Status Codes

Review Suggested Citations

More Resources and Links NIH Public Access Policy Website: NIH Public Access Policy FAQs: NIHMS—Manuscript Submission System Publisher Policies on NIH-Funded Authors SHERPA/RoMEO (publisher policy database) NIH List of Journals and the Methods they follow:

Questions View Indiana Universities’ resources here: For general NIH public access policy compliance questions, contact IU ScholarWorks at If you have active compliance problems, contact the IU Office of Research Administration at

NIH MANDATE REQUIREMENTS: A HOW-TO GUIDE Thanks to Beth Whipple for presentation materials