1. BERNARD BECKER MEDICAL LIBRARY Washington University School of Medicine December 2008 The NIH Public Access Policy How to Demonstrate Compliance RA Forum December 2008

2. 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.” * Applies to NIH-funded manuscripts accepted for publication on or after April 7, 2008.

3. NIH Public Access Policy: Citing the PMCID Reference Number NIH applications, proposals, and progress reports must include the PubMed Central reference number (PMCID) 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. See Reminder Concerning Grantee Compliance with Public Access Policy and Related NIH Monitoring Activities (NOT-OD-08-119) for more information on where to note the PMCID in NIH applications, proposals and progress reports: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html

4. PMID vs. PMCID PMID: PubMed identifier (citation database) PMCID: PubMed Central reference number (digital repository of journal literature)

5. How to Demonstrate Compliance NIH reviews citations noted in applications, progress reports and proposals and will request documentation of compliance for manuscripts that may have applied under the NIH Public Access Policy. Requests for documentation of compliance are sent by Program Officers via email to the Principal Investigator/s. Reminder Concerning Grantee Compliance with Public Access Policy and Related NIH Monitoring Activities (NOT-OD-08-119): http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html

6. How to Demonstrate Compliance Documentation of compliance is demonstrated by: PMCID (PubMed Central reference number). If the PMCID is not yet assigned, compliance can be demonstrated by: “PMC Journal – In Process” OR: NIHMS ID (NIH Manuscript Submission system reference number) How to Locate and Cite the PMCID: http://becker.wustl.edu/pdf/PMCID.pdfhttp://becker.wustl.edu/pdf/PMCID.pdf (includes NIHMS ID and “PMC Journal – In Process” information)

7. How to Demonstrate Compliance: Does the Manuscript Apply? The Policy applies to any manuscript that: Is peer-reviewed and 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; 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. "Direct funding” means costs that can be specifically identified with a particular project or activity. (Source: http://publicaccess.nih.gov/FAQ)http://publicaccess.nih.gov/FAQ Questions about compliance? Contact John Michnowicz, Director of Grants and Contracts: john.michnowicz@wustl.edujohn.michnowicz@wustl.edu

8. How to Demonstrate Compliance: Does the Manuscript Apply? If no, provide documentation to support why compliance was not required (i.e., not peer-reviewed, accepted for publication before April 7, 2008, etc.) If yes, documentation of compliance is required (i.e., PMCID, NIHMS ID or “PMC Journal – In Process”).

9. How to Demonstrate Compliance: PMCID Reference Number The PubMed Central Reference Number (PMCID) is assigned after the manuscript completes the quality control/approval process and is posted to PubMed Central (PMC). The PMCID reference number is noted in two resources: PubMed The PMCID is noted on the search results page (AbstractPlus display). PubMed Central The PMCID is noted on the search results page. Respond to NIH with documentation of compliance using the PMCID. Citation Example for the PMCID: Cerrato, A., et al., Genetic interactions between Drosophila melanogaster menin and Jun/Fos. Dev Biol. 2006 Oct 1; 298(1): 59-70. PMCID: PMC2291284

10. How to Demonstrate Compliance: “PMC Journal – In Process” Was the manuscript published in a journal that has an arrangement with NIH to submit the final published article to PMC (no fees)? http://publicaccess.nih.gov/submit_process_journals.htm If yes, respond to NIH with documentation of compliance using “PMC Journal – In Process.” (If PMCID not yet assigned) Citation Example for “PMC Journal – In Process”: Sala-Torra, O., et al., Connective tissue growth factor (CTGF) expression and outcome in adult patients with acute lymphoblastic leukemia. Blood. 2007 April 1; 109(7): 3080–3083. PMCID: PMC Journal - In Process

11. How to Demonstrate Compliance: “PMC Journal – In Process” Did the author/s of the manuscript pay a fee to the journal for submission of the final published article to PMC? http://publicaccess.nih.gov/select_deposit_publishers.htm If yes, respond to NIH with documentation of compliance using “PMC Journal – In Process.” (If PMCID not yet assigned) Citation Example for “PMC Journal – In Process”: Sala-Torra, O., et al., Connective tissue growth factor (CTGF) expression and outcome in adult patients with acute lymphoblastic leukemia. Blood. 2007 April 1; 109(7): 3080–3083. PMCID: PMC Journal - In Process

12. How to Demonstrate Compliance: NIHMS ID Reference Number The NIHMS ID is assigned when a manuscript is first submitted to the NIH Manuscript Submission system (NIHMS) in preparation for posting to PMC. The NIHMS ID is used temporarily until a PMCID reference number is assigned. The NIHMS ID is noted in the NIHMS system: The designated reviewer (PI or Author) should check the NIHMS system using their eRA Commons account logon to see if the manuscript is awaiting review. If so, the designated reviewer (PI or Author) should complete the review of the manuscript as directed. Respond to NIH with documentation of compliance using the NIHMS ID. Citation Example for the NIHMS ID: Cerrato, A., et al., Genetic interactions between Drosophila melanogaster menin and Jun/Fos. Dev Biol. 2006 Oct 1; 298(1): 59-70. NIHMS ID: NIHMS44135 NIHMS: http://www.nihms.nih.gov/db/sub.cgihttp://www.nihms.nih.gov/db/sub.cgi

13. How to Demonstrate Compliance: If No PMCID, NIHMS ID, or “PMC Journal – In Process” Still unable to locate a PMCID or NIHMS ID, and if the “PMC Journal – In Process” does not apply to the manuscript? Authors should review the copyright agreement form as signed for the manuscript. Is there a clause that allows authors the right to comply with the NIH Public Access Policy? If no, then authors should contact the journal for guidance. It may be necessary to seek permission to comply with the NIH Public Access Policy. When the compliance status is clarified and the manuscript is submitted by the journal or the author, respond to NIH with documentation of compliance using the NIHMS ID.

14. How to Demonstrate Compliance: If No PMCID, NIHMS ID, or “PMC Journal – In Process” If there is a clause in the copyright agreement form that allows authors the right to comply with the NIH Public Access Policy, does the journal submit on behalf of NIH-funded authors or does the author have to self- submit? If the journal submits on behalf of NIH-funded authors, the authors should contact the journal for an update on the submission status. It may be helpful to explain that documentation of compliance is being requested by NIH. An email will be sent to the designated reviewer (PI or Author) by NIHMS when the manuscript has been submitted. The NIHMS ID will be noted in the email. Respond to NIH with documentation of compliance using the NIHMS ID.

15. How to Demonstrate Compliance: If No PMCID, NIHMS ID, or “PMC Journal – In Process” If the journal allows authors to self-submit, the manuscript should be submitted to NIHMS. Authors should follow all stipulations as requested by the journal. Authors should submit the manuscript to NIHMS using their eRA Commons logon. Authors may also assign a third party to submit on their behalf. Respond to NIH with documentation of compliance using the NIHMS ID. NIHMS: http://www.nihms.nih.gov/db/sub.cgihttp://www.nihms.nih.gov/db/sub.cgi

16. How to Demonstrate Compliance: Reminder: Replace the NIHMS ID with the PMCID when available.

17. BERNARD BECKER MEDICAL LIBRARY Washington University School of Medicine Any Questions? Contact: Cathy Sarli Scholarly Communications Specialist Bernard Becker Medical Library sarlic@wustl.edu For more information: NIH Public Access Policy: http://becker.wustl.edu/services/scholarly/nihpolicy.htmlhttp://becker.wustl.edu/services/scholarly/nihpolicy.html