1. The NIH Public Access Policy and Compliance Requirements Karen McElfresh, MSLS Temporary TraCS Librarian Health Sciences Library August 7, 2013 1

2. 2 How Familiar are You with the NIH Public Access Policy? 1.I have done submissions and/or citing. 2.I know what it is. 3.I am vaguely familiar with it. 4.I have not heard of it. 5.I’m not sure.

3. In this Tutorial The NIH Public Access Policy Policy Basics: Who, What, Where, When, Why Changes in Compliance Efforts How To Comply Managing Compliance Summary Help 3

4. 4 NIH Public Access Policy “The Director of the National Institutes of Health shall require that all investigators funded by the NIH 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.” http://publicaccess.nih.gov/policy.htm http://publicaccess.nih.gov/policy.htm Division G, Title II, Section 218 of PL 110-161 Implemented by NIH Public Access Policy (11 Jan 2008) Enacted as law by Omnibus Appropriations Act of 2009 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-071.html

5. Policy Basics: Who Who is affected? – NIH grant or cooperative agreement active in FY 2008 or later – NIH contract signed on or after April 7, 2008 – NIH Intramural Program – NIH employee 5

6. Policy Basics: What Peer-reviewed journal articles – Submit final peer-reviewed manuscript Accepted for publication on or after April 7, 2008 Direct NIH support Definitions: o Final peer-reviewed manuscript: the Investigator's final manuscript of a peer- reviewed paper accepted for journal publication, including all modifications from the peer review process. o 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. 6

7. Policy Basics: Where Final Destination: PubMed Central PubMed Central (PMC) ≠ PubMed NIHMS Intermediary for some submissions Definitions: o PubMed Central: NIH’s index/archive of full-text peer-reviewed journal articles; identified by a PMCID o PubMed: Index of biomedical journal citations and abstracts with links to some full text; identified by a PMID o NIHMS: National Institutes of Health Manuscript Submission System; allows you to submit final peer-reviewed manuscript for inclusion in PMC; identified by a NIHMSID 7

8. Policy Basics: When Publicly available no later than twelve months after (official date of) publication – E-pub before print does NOT count toward 12 months Does NOT mean you have 12 months to submit papers! Submit upon acceptance for publication – All submission tasks complete within 3 months of publication 8

9. Policy Basics: Why “Help advance science and improve human health” Access for public and researchers Development of NIH portfolio; centralized housing of materials Consequences: – Delay funds – Place special conditions on award – Prevent future awards for specified period 9

10. Changes in Compliance Efforts As of July 1, 2013: – NIH will delay processing of an award if publications arising from it are not in compliance with the NIH public access policy. – Investigators must use My NCBI to enter publications into progress reports. My NCBI is a personalized account that allows you to manage your publications and track compliance NIH Notice NOT-OD-13-042: Changes to Public Access Policy Compliance Efforts Apply to All Awards with Anticipated Start Dates on or after July 1, 2013 (released 2/14/2013) http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-042.html 10

11. Policy Basics Summary If an article is: – Peer-reviewed – Accepted for publication on or after April 7, 2008 – Result of NIH support Deposit into: – PubMed Central (PMC) (≠ PubMed) Publicly available: – within twelve months of publication 11

12. How to comply 1.Address copyright 2.Submit paper 3.Cite article 12

13. How to Comply: Address Copyright Inform journal that paper is NIH funded Review publishing agreement Determine: – Permission to deposit in PMC – Who submits to PMC – Which version is submitted – When article will be publicly available Definitions: o Embargo: The time period, in months, that the publisher retains rights to distribution of the article. Upon submission to PMC and until the embargo period passes, PMC will provide a brief record of the manuscript, but will deny access to the full text. 13

14. How to Comply: Submit Paper How to submit – 4 Methods (A, B, C, D) – Journal may do some or all of the work for you When to submit – Upon acceptance for publication – All NIHMS tasks must be complete within 3 months of publication 14

15. Submission Method A SummaryVersion of Paper Who Deposits? (Task 1) Who Approves Processing? (Task 2) Who Approves PMC Format? (Task 3) Journal deposits all NIH-funded articles in PMC Final published article Journal, direct to PMC N/A 15 Author/PI Responsibilities: – Make sure journal knows to submit article – Watch for PMCID assignment List of Method A Journals: http://publicaccess.nih.gov/submit_process_journals.htm http://publicaccess.nih.gov/submit_process_journals.htm

16. Submission Method B Author/PI Responsibilities: – Request journal to submit article – Pay fee (if applicable) – Watch for PMCID assignment List of Method B Publishers: http://publicaccess.nih.gov/select_deposit_publishers.htm#b http://publicaccess.nih.gov/select_deposit_publishers.htm#b SummaryVersion of Paper Who Deposits? (Task 1) Who Approves Processing? (Task 2) Who Approves PMC Format? (Task 3) Author asks publisher to deposit specific article in PMC Final published article Journal, direct to PMC N/A 16

17. Submission Method C Author/PI Responsibilities : – Submit files (final, peer-reviewed manuscript, tables, figures, etc.) – delegates can perform this step!! – Approve PDF receipt for processing – Approve formatting of PMC manuscript – Watch email for PMCID assignment SummaryVersion of Paper Who Deposits? (Task 1) Who Approves Processing? (Task 2) Who Approves PMC Format? (Task 3) Author deposits article in PMC via NIHMS Final peer- reviewed manuscript Author or delegate, via NIHMS Author, via NIHMS 17

18. Submission Method D Author/PI Responsibilities : – Make sure journal submits manuscript files – Approve PDF receipt for processing – Approve formatting of PMC manuscript – Watch email for PMCID assignment List of Method D Publishers: http://publicaccess.nih.gov/select_deposit_publishers.htm#d http://publicaccess.nih.gov/select_deposit_publishers.htm#d SummaryVersion of Paper Who Deposits? (Task 1) Who Approves Processing? (Task 2) Who Approves PMC Format? (Task 3) Publisher deposits via NIHMS, author completes submission Final peer- reviewed manuscript Publisher, via NIHMS Author, via NIHMS 18

19. How to Comply: Submit Paper For Methods C & D: Submission via NIHMS Task 1: Deposit manuscript and link to NIH funding (Author or delegate; Publisher) Task 2: Approve manuscript submission (Author) Task 3: Approve PMC-formatted manuscript (Author) Following completion of all tasks – NIHMS emails PIs and authors the PMCID – PMC makes papers available after embargo period 19

20. How to Comply: Submit Paper What you will need for Methods C & D: – eRA Commons or My NCBI account information – Journal name – Manuscript title – Grant numbers – Manuscript files – Journal embargo period 20

21. 21 How to Comply: NIHMS System 21 Always use the same login route!!

22. How to Comply: Submit Paper (Retrospective Submission) Contact Journal – Ask for permission to submit to PMC Determine Embargo Double-Check Copyright Determine Responsibility – Which author will submit? Deposit the Manuscript: recommend Method C 22

23. How to Comply: Cite For all NIH: – Applications – Progress reports – Renewals You must Cite – Using PMCID (or short term substitute) For all papers subject to the NIH Public Access Policy and Authored by PI or arose from their NIH award 23

24. How to Comply: Cite In press or less than 3 months post-publication in journal PMCID, if available or Methods A and B: ‘PMC Journal-In Process’ Methods C and D: NIHMSID More than 3 months post- publication in journal All methods: PMCID 24

25. How to Comply: Cite Find PMCID – PIs and authors receive email from NIHMS – Citation in My Bibliography – Citation in PubMed – Citation in PMC – PMID:PMCID converter The Goal: 25 Macon MB, Fenton SE. Endocrine disruptors and the breast: early life effects and later life disease. J Mammary Gland Biol Neoplasia. 2013 March 18; 18(1): 43-61. PMCID: PMC3682794

26. How to Comply: Cite article 26 Use this number

27. Managing Compliance Who is responsible? – PIs and institution Consequences of non-compliance – Delay funds – Place special conditions on award – Prevent future awards for specified period How to ensure compliance – Plan ahead – Use My NCBI – Associate papers with awards – Confirm compliance before reports due 27

28. Managing Compliance: My NCBI Personalized account integrated with National Center for Biotechnology Information (NCBI) databases – Used to save searches and citations – Manage compliance with My Bibliography Reminder: Starting July 1, 2013 you MUST use My NCBI to enter publications into NIH reports! 28

29. Managing Compliance: My NCBI Login options – My NCBI username and password – Partner organization username and password e.g. eRA Commons account 29 OR

30. Managing Compliance: My NCBI I Am a...Existing My NCBI Account Existing eRA Commons Account Initial My NCBI Login Method InvestigatorNoYesUse eRA Commons account information InvestigatorYes Use My NCBI account information, then link to eRA Commons account DelegateNo Register for My NCBI account 30

31. Managing Compliance: My NCBI Link eRA Commons account to My NCBI account – My Bibliography citations display in eRA Commons – NIH grants in eRA Commons show in My NCBI – Enables Award View 31

32. 32 Managing Compliance: My NCBI

33. Managing Compliance: My Bibliography Add citations: – From PubMed – Manually Use Award View to: – Track NIH Public Access Policy compliance – Start the compliance process – Associate citation with funding – Create bibliography for progress reports 33

34. Managing Compliance: My Bibliography 34

35. Managing Compliance: Award View in My Bibliography 35 Green: Compliant Yellow: In-process at NIHMS Red: Non-compliant ? : Cannot determine status N/A: Public Access Policy does not apply

36. Managing Compliance: Delegates What is a delegate? – Person granted access to My Bibliography What can a delegate do? – Modify My Bibliography – Monitor compliance – Connect publications to grants/awards – Submit article via NIHMS with MyNCBI login info (Method C, task 1) 36

37. Managing Compliance: Assigning a Delegate Investigator must initiate from their My NCBI account – Account needs to be linked to eRA Commons account for Award view to show to delegate Delegate receives email to confirm and accept delegate role 37

38. 38

39. 39 Delegate’s BibliographyPI’s Bibliography shows under ‘Collections’

40. NIH Public Access Policy: Summary Basics – Peer-reviewed article, accepted for publication on or after April 7 th 2008, funded by NIH – Publicly available in PMC within 12 months of publication How to comply – Address copyright – Submit article – Cite PMCID Manage compliance – My NCBI: link to eRA Commons account – Assign delegates 40

41. Sources of Help Guide from the Health Sciences Library – The NIH Public Access Policy and You The NIH Public Access Policy and You Contact Health Sciences Library – Ask a Librarian Ask a Librarian NIH Help Desks (see links in HSL guide) eRA Commons Help Desk - help with eRA Commons accounts NIHMS Help Desk - Help with manuscript submission or approval NCBI Help Desk – Help with My NCBI accounts or delegate assignment NIH Public Access Policy Help Desk – general policy questions 41

42. Questions? Contact: Karen McElfresh kmcelf@email.unc.edu 42