1. 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

2. 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

3. 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

4. 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

5. 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)

6. Why PubMed Central?
From PMC homepage ( January 15, 2016

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

8. A
Submission Methods B C D

9. 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)

10. 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.

11. 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

12. 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

13. Resources About the Public Access Policy: http://publicaccess.nih.gov/
For Sponsored Programs:
Training materials for PIs and other communications:
Questions:
The NIH Manuscript Submission System:
Tutorials:
PubMed Central:
Information for Publishers:

14. Compliance Monitor Access Notes

15. 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)

16. 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!)

17. 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)

18. 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:
Value of reports: Can be filtered! Distributed!
Identifiers
Grants (all PI’s)
Article Info – publication date useful for determining grace period,
NIHMS Info

19. 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

20. 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