NIH Public Access Policy Publishing, Copyright & PubMed Central. Exercising choice, balancing obligation, and fostering new discovery through your research publication. P. Scott Lapinski Digital Resources and Services Librarian

-Publishing Considering where to publish Open Access / Sharing you manuscript Locating Author Instructions Submission / Manuscript review -Copyright Attention to copyright vitally important Has implications on how we “use”, “share” our manuscript Note important “versions” of your manuscript Copyright Transfer Agreements Understanding why and when to use an Author CTA Addenda - NIH Public Access Policy Basic overview Specific journal policies Harvard specific guidelines, and support tools Submitting manuscripts to PMC Using the PMCID# in future citations Overview

NIH Public Access Policy All investigators funded by the NIH are required to submit or have submitted for them to NIH’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. The policy applies to any research that has been funded by NIH beginning in FY 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. This policy includes applications submitted to the NIH for the May 25, 2008 due date and subsequent due datesNIH 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. This policy includes applications submitted to the NIH for the May 25, 2008 due date and subsequent due dates The three most important concerns here are: Copyright management PMC Deposit Identifying the PMCID for a submitted manuscript

“...term and condition of the NIH award” Dear Principal Investigator, Your recent progress report submission identified papers that have resulted from your NIH award. It appears that the following papers have not yet been submitted for upload to PubMed Central and may be out of compliance with the NIH Public Access Policy: [Article] The NIH Public Access Policy requires scientists to submit final peer-reviewed manuscripts that result from direct costs funded by NIH, and that are accepted for publication on or after April 7, 2008, to the digital archive PubMed Central. Compliance with the NIH Public Access Policy is a legal requirement (Consolidated Appropriations Act of 2008, Pub. L. No , Division G, Title II, Section 218) and a term and condition of your award. If a grantee has failed to materially comply with the terms and conditions of award, NIH may suspend the grant, pending corrective action, or may terminate the grant for cause (per 45 CFR 74.61, 74.62, and 92.43).

With articles under Public Access Policy, provide PubMed Central ID number Cerrato, A., et al., Genetic interactions between Drosophila melanogaster menin and Jun/Fos. Dev Biol Oct 1; 298(1): PMCID: PMC If PMIC # not ready – use NIH manuscript Submission ref # Cerrato, A., et al., Genetic interactions between Drosophila melanogaster menin and Jun/Fos. Dev Biol Oct 1; 298(1): NIHMSID: NIHMS44135 Also, acceptable to type -when Journal is the one to submit directly to PMC on behalf of the author- “PMC Journal – In Process”. Put this at end. Sala-Torra, O., et al., Connective tissue growth factor (CTGF) expression and outcome in adult patients with acute lymphoblastic leukemia. Blood April 1; 109(7): 3080–3083. PMCID: PMC Journal - In Process PMCID# in future citations (for BIOSKETCH and NIH applications, proposals, and progress reports)

What if I get a warning letter from NIH when I know that my manuscript was accepted before April 7 th Lapinski, PS., et al., Results of NIH Grant Supporting NCBI Bioinformatics Instruction. Medical Library Association Journal Jan 1; 298(1): [Accepted prior to 4/7/08] Do I have to include a PMCID# for every paper that I cite in an NIH application, proposal or progress report? Include the PMCID# if the paper is both: Authored by you or arose from YOUR NIH funds (think “You as Author” and/or “You as PI”) ; AND Is covered by the Public Access Policy (manuscript accepted after Apr & supported by NIH funds)‏ PMCID# in future citations (for BIOSKETCH and NIH applications, proposals, and progress reports)

Publishing Important Reminders and Clarifications: NIH does not restrict an author from publishing wherever the choose. However, as a term and condition of the NIH award, an author must insure that they do NOT sign a copyright transfer agreement which prevents their manuscript from being deposited in PubMed Central. Authors must communicate this requirement to the publisher and establish an understanding as to how compliance with the NIH Policy will occur. Publishers anticipate this conversation, and each has their own way of “assisting” the authors. Use Extreme Caution with publishers that “require” you to transfer your copyrights upon submission of manuscript, and prior to acceptance!

Publishing Cycle Author's Manuscript (pre-print)‏ Select, contact/submit manuscript to Publisher Peer Review Process –Reviewers may suggest revisions/clarifications, and resubmission. –Accept or reject –Accepted = “Author’s Final Peer Reviewed Manuscript” Editor refines and/or makes stylistic corrections –Entering in to the “Publisher’s Version of Manuscript” –Correspondence w/ author to implement some changes. –Manuscript is typeset and proof copy is sent to author –Major changes are discouraged here. Looking mainly for syntactical mistakes or technical errors in the proof copy. Copyright Transfer Agreement Publication –“Final Published Version” printed in journal

Publishers' Copyright Policies:

Copyright Transfer Agreements: (...and Using a CTA Addendum)‏ BEWARE OF PRE-REVIEW COPYRIGHT TRANSFER AGREEMENTS !! Publishers' Copyright Policies SHERPA/RoMEO –Provides a central list of the general CTA policies for the given journals. –Not necessarily the identical CTA restrictions you might see –Follow through to Publisher’s site for more info. A closer look at Copyright Transfer Agreements –The fine print or lack thereof The CTA Addendum –Template at Science Commons –Some Institutions have Specific Addenda and Forms –MUST put "Subject to Attached Addendum.“ on CTA –Follow your institution’s specific guidelines if available! NIH Public Access Policy –Does NOT trump the CTA! –Author is responsible that CTA includes clause to submit to PMC! Best to just use an addendum to avoid any ambiguity. Harvard paid investigators must use Harvard’s addenda and forms! –NIH guidelines indicate “Upload manuscript upon acceptance” NIH allows a 12 month embargo period

Copyright Author’s Copyright Retention Addendum Science Commons Scholar's Copyright Addendum Engine Harvard Addendum (specific to NIH Public Access Policy)‏ Publisher's copyright transfer policies SHERPA/RoMEO: Open Access Directory:

PubMed Central Open repository of Biomedical and Health Science research articles. Indexed within PubMed [could be searched independently too] Records within PMC may link out to other NCBI tools Some publishers automatically contribute journal holdings Authors of NIH funded research articles must submit their peer- reviewed manuscripts into this archive. Author Manuscripts in PMC might not be “Final-Published- Version”

PubMed Central: (Submission Options)‏ PMC Submission Process Journal Deposits Author Manuscript (anytime within the 12 month embargo)‏ Journal Deposits Published Version of article (anytime with in the 12 month embargo)‏ Author, PI, or Assistant deposits manuscript using NIHMS PMC Approval Process STEP ONE [upon submission of manuscript] PI or Author validates submission and grant information PI or Author confirms copyright compliance and embargo STEP TWO [several weeks later after PMC indexing] PI or Author validates final PMC formatting of article

NIH Manuscript Submission Utility

PMCID# in future citations 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. This policy includes applications submitted to the NIH for the May 25, 2008 due date and subsequent due dates

With articles under Public Access Policy, provide PubMed Central ID number Cerrato, A., et al., Genetic interactions between Drosophila melanogaster menin and Jun/Fos. Dev Biol Oct 1; 298(1): PMCID: PMC If PMIC # not ready – use NIH manuscript Submission ref # Cerrato, A., et al., Genetic interactions between Drosophila melanogaster menin and Jun/Fos. Dev Biol Oct 1; 298(1): NIHMSID: NIHMS44135 Also, acceptable to type -when Journal is the one to submit directly to PMC on behalf of the author- “PMC Journal – In Process”. Put this at end. Sala-Torra, O., et al., Connective tissue growth factor (CTGF) expression and outcome in adult patients with acute lymphoblastic leukemia. Blood April 1; 109(7): 3080–3083. PMCID: PMC Journal - In Process PMCID# in future citations (for BIOSKETCH and NIH applications, proposals, and progress reports)‏

Observations: NIH Public Access Policy; Year One Publisher “cooperation” Revised Author Agreements Reactions to Addendum Specific Statements re: NIH Requirements NIH Manuscript Submission Utility Approval Process [PI and/or Author] Publisher or Third Party Submissions NIHMS and PMCID numbers Additional ‘temporary’ citation rules NIH response to non-compliance “Dear Principle Investigator...” PubMed Indexing identifies PMC omissions Publishing Lobby / Conyers bill This would re-write copyright law Conyers bill would restructure copyright law so to prevent publicly funded agencies from requiring that the public have access to the publicly supported research in the United States.

Observations: NIH Public Access Policy; Year One Author Reactions / Confusions Who approves the PMC submission What is a PMC Journal How does a PMC journal differ from a publisher that submits to PMC on the author’s behalf [Elsevier, Oxford, LWW] Copyright uncertainty - “Submit everything and let NIH figure this out” When should I submit the accepted manuscript? PubMed ID vs PMC ID Books, book chapters, editorials [Policy applies to peer-reviewed journal articles only] What about Clinical and Translational Science Awards and/or “sub-awards”?

NIH Public Access Policy ( summing up - key take away points )‏ Harvard University guidelines for NIH Public Access Policy Do not give away your entire copyright on the manuscript! Understand what is in a Copyright Transfer Agreements (CTA)‏ Know how to find and apply an Author Addendum to CTA Submit the manuscript to PubMed Central Using the PMCID # within future progress reports, or new NIH grant applications. [As related to the author’s past NIH grants]

Questions P. Scott Lapinski Digital Resources and Services Librarian