Transcript NIH Public Access Policy

The NIH
Public Access Policy
November 2009
BERNARD BECKER MEDICAL LIBRARY
Washington University School of Medicine
Topics Covered
• Overview of the NIH Public Access Policy
• How to comply
• How to demonstrate compliance
NIH Public Access Policy
All NIH-funded investigators must submit or have submitted for
them to PubMed Central (PMC) their final, peer-reviewed
manuscript.
Submittal should be made upon acceptance of publication.
The full text should be made publicly available no later than 12
months after the official date of publication.
What is a Final, Peer‐Reviewed Manuscript?
The final, peer‐reviewed manuscript is defined by NIH as:
“The Investigator's final manuscript of a peer‐reviewed article accepted for
journal publication, including all modifications from the peer review process.”
It also includes all graphics and supplemental materials
associated with the work. It does not apply to non peer‐reviewed
materials such as correspondence, book chapters, and editorials.
What is PubMed Central?
PubMed Central (PMC) is the U.S. National Institutes
of Health (NIH) free digital archive of biomedical and
life sciences journal literature.
PubMed Central: http://www.pubmedcentral.nih.gov/
When is Compliance Required?
The Policy applies to any work 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 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.
"Direct funding” means costs that can be specifically identified with a particular project or
activity. (Source: http://publicaccess.nih.gov/FAQ.htm)
NIH Public Access Policy: Citing the PMCID
Citations noted in NIH applications, proposals, and progress reports must
include the PubMed Central reference number (PMCID) if:
the work applies under the NIH Policy;
And:
the work is authored by you or arose from your NIH award (even if you
are not an author).
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
(Information on where to note the PMCID in NIH applications, proposals and progress reports)
PMID vs. PMCID
PMID: PubMed identifier (citation database)
PMCID: PubMed Central reference number (digital repository of journal literature)
Who is Responsible for Compliance?
Principal Investigators and their Institutions are responsible for
ensuring all terms and conditions of awards are met. This
includes the submission of works that arise directly from their
awards, even if they are not an author or co-author of the
publication.
Principal Investigators and their Institutions should ensure that
authors are aware of and comply with the NIH Public Access
Policy.
Repercussions for Non-Compliance
Compliance with the NIH Public Access Policy is a legal
requirement, and a term and condition of an award.
Non-compliance will be addressed administratively, and may
delay or prevent awarding of funds.
Compliance: Four Options
Four options for compliance:
Submission Method A:
Author publishes in a journal that submits all NIH-funded final published articles
to PMC; no fee (http://publicaccess.nih.gov/submit_process_journals.htm).
Submission Method B:
Author pays a publisher a fee to submit an individual final published article to
PMC (http://publicaccess.nih.gov/select_deposit_publishers.htm).
Submission Method C:
Author self-submits the final peer-reviewed manuscript to the NIH Manuscript
Submission system (NIHMS) in preparation for posting to PMC.
Submission Method D:
Publisher submits the final peer-reviewed manuscript to NIHMS on behalf of NIHfunded authors in preparation for posting to PMC; no fee.
Compliance: Chart
http://publicaccess.nih.gov/submit_process.htm
Submission Process: Method A
• Some publishers automatically submit all NIH-funded final
published articles to PMC, to be made publicly available
within 12 months of publication (no fee).
List of journals under Method A:
http://publicaccess.nih.gov/submit_process_journals.htm
(this list of journals is updated frequently)
Submission Process: Method B
• Some publishers submit individual NIH-funded final
published articles to PMC upon author request; generally for
a fee ranging from $3,000 to 5,000. This arrangement is
executed via publisher copyright agreement form.
List of publishers under Method B:
http://publicaccess.nih.gov/select_deposit_publishers.htm.
Submission Process: Method C
• Some publishers allow authors to self-submit the final peerreviewed manuscript to NIHMS; NIHMS prepares the manuscript
for posting to PMC.
Authors who exercise this option must retain the right to do so. When
reviewing the copyright agreement form authors should confirm that the
publisher will:
•
•
Allow the author to self-submit the final peer-reviewed manuscript upon acceptance of
publication.
Allow the final peer-reviewed manuscript to be publicly available no later than 12
months after the official date of publication.
If not, authors are advised seek clarification from the publisher or use a different
journal in order to be in full compliance with the NIH Public Access Policy.
Submission Process: Method C
Before self-submitting, authors will need to find out the
stipulations that some publishers require authors to follow.
Some stipulations include:
•
•
•
•
•
•
embargo period (12 months maximum per NIH)
version to post
Digital Object Identifier (DOI)
citation
statement as specified by the publisher
link to the final published version of the manuscript on the journal website
Information re stipulations are noted in the copyright agreement form.
Submission Process: Method C
Authors should self-submit via NIHMS using the eRA Commons account logon route.
If there are multiple authors, one author should be designated as the reviewer—in
this instance, the author who submits usually assumes this role. A NIHMS ID is
assigned to the manuscript as soon as it is submitted by the author.
The author will need the following materials:
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•
•
•
•
•
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Name and email of the author designated as the reviewer
Title of the journal
Title of the manuscript
Final peer-reviewed version of the manuscript
Supplemental materials or graphics associated with the manuscript
Grant number/s and names of PIs (full alpha numeric number)*
All information as necessary for following the stipulations as set forth by some journal
publishers including the embargo period
*multiple grant numbers can be entered for a single publication
NIH Grants Search Tool: http://www.nihms.nih.gov/db/grants/suggest_grant.fcgi
NIHMS: http://www.nihms.nih.gov/db/sub.cgi
NIHMS Tutorial: http://www.nihms.nih.gov/web-help/PI-NPMC/PI-NPMC.pdf
Submission Process: Method C
The author can also designate a third party (lab assistant, library, etc.) to handle
submissions on their behalf. Third party submissions should be submitted via NIHMS
using the MyNCBI account logon route. If there are multiple authors, one author
should be designated as the reviewer. A NIHMS ID is assigned to the manuscript as
soon as it is submitted by the third party.
Third party submitters will need the following materials from the author:
•
•
•
•
•
•
•
Name and email of the author designated as the reviewer
Title of the journal
Title of the manuscript
Final peer-reviewed version of the manuscript
Supplemental materials or graphics associated with the manuscript
Grant number/s and names of PIs (full alpha numeric number)*
All information as necessary for following the stipulations as set forth by some journal
publishers
*multiple grant numbers can be entered for a single publication
MyNCBI Account: http://www.ncbi.nlm.nih.gov/sites/myncbi/?
NIH Grants Search Tool: http://www.nihms.nih.gov/db/grants/suggest_grant.fcgi
NIHMS: http://www.nihms.nih.gov/db/sub.cgi
NIHMS Tutorial: http://www.nihms.nih.gov/web-help/NPI-NPMC/NPI-NPMC.pdf
Submission Process: Method D
• Some publishers submit the final peer-reviewed manuscript to
NIHMS on behalf of NIH-funded authors (no fee); NIHMS
prepares the manuscript for posting to PMC.
Authors who exercise this option must retain the right to do so. When
reviewing the copyright agreement form authors should confirm that the
publisher will:
•
•
Submit the final peer-reviewed manuscript upon acceptance of publication.
Allow the final peer-reviewed manuscript to be publicly available no later than 12
months after the official date of publication.
If not, authors are advised seek clarification from the publisher or use a different
journal in order to be in full compliance with the NIH Public Access Policy.
Submission Process: Method D
Authors should review the publisher copyright form for sections that may need
to be marked for NIH-funded publications so that the publisher is aware that
the work needs to be submitted to NIHMS.
Some copyright forms for Method D publishers have a space to allow authors
to add the name and email address of the designated author who will be
responsible for reviewing and approving the submission by responding to
emails from NIHMS. If no space available, note this information on the
copyright form. Other publishers request this information via online
submission systems.
A NIHMS ID is assigned to the manuscript as soon as it is submitted by the
publisher. NIHMS will send the designated author an email informing them
that the manuscript is awaiting review and approval.
Review and Approve the Submission
Method A or B:
No approval steps required by author; publisher completes the review/approval process.
Method C (if author self-submits):
The designated author will receive one email from NIHMS:
1. “Approve Web Version”
Method C (if third party submits) or Method D:
The designated author will receive two emails from NIHMS:
1. “Approve PDF Receipt”
2. “Approve Web Version”
NIHMS will send reminder emails to the designated author if emails are
unanswered. Timely completion of the approval process will help ensure that a
PMCID is assigned.
Cite the PMCID Reference Number
Citations noted in NIH applications, proposals, and progress reports
must include the PMCID if:
the work applies under the NIH Policy;
And:
the work is authored by you or arose from your NIH award (even if you
are not an author).
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
How to Demonstrate Compliance
Documentation of compliance is demonstrated by:
• PMCID (PubMed Central reference number)
• Method A, B, C, and D forms of submission
If the PMCID is not yet assigned, compliance can be demonstrated by:
• “PMC Journal – In Process”
• Method A and B forms of submission
OR:
• NIHMS ID (NIH Manuscript Submission system reference number)
• Method C and D forms of submission
A PMCID is required for demonstration of compliance for works
three months post publication and beyond.
How to Demonstrate Compliance:
PMCID Reference Number
The PMCID is assigned after the work (final published article or final peerreviewed manuscript) is posted to PMC via Method A, B, C or D forms of
submission.
The PMCID is noted in:
•
•
•
PubMed http://www.ncbi.nlm.nih.gov/sites/entrez
The PMCID is noted on the search results page (AbstractPlus display).
PubMed Central http://www.pubmedcentral.nih.gov/
The PMCID is noted on the search results page.
PMID-PMCID Converter Tool: http://www.ncbi.nlm.nih.gov/sites/pmctopmid
The Converter tool allows for searching of a PMCID using a PMID.
A PMCID is required for demonstration of compliance for works
three months post publication and beyond.
How to Demonstrate Compliance:
NIHMS ID Reference Number
The NIHMS ID is assigned when a manuscript via Method C and Method D
forms of submission is submitted to NIHMS in preparation for posting to
PMC. The NIHMS ID is used as a temporary number until a PMCID reference
number is assigned.
The NIHMS ID is noted in:
•
NIHMS system: http://www.nihms.nih.gov/db/sub.cgi
•
NIH-funded authors can check for manuscripts in NIHMS via eRA commons logon route.
The NIHMS ID is noted with the title of the manuscript.
PMID-PMCID Converter Tool: http://www.ncbi.nlm.nih.gov/sites/pmctopmid
The Converter tool allows for searching of a NIHMS ID using a PMID.
NIHMS IDs will be invalid three months after a work is published.
A PMCID is required for demonstration of compliance for works
three months post publication and beyond.
How to Demonstrate Compliance:
“PMC Journal – In Process”
“PMC Journal – In Process” is a term used for final published articles via
Method A and Method B forms of submission that are in the process of
being submitted to PMC.
There is no resource to locate “PMC Journal – In Process.” If a work via
Method A or Method B forms of submission does not have a PMCID assigned yet,
use “PMC Journal – In Process.”
A PMCID is required for demonstration of compliance for works
three months post publication and beyond.
How to Demonstrate Compliance:
Method A
Was the manuscript published in a journal that automatically
submits all NIH-funded final published articles to PMC?
http://publicaccess.nih.gov/submit_process_journals.htm
Demonstration of compliance:
• From acceptance of publication to three months post
publication—PMCID or “PMC Journal- In Process.”
• Three months post publication and beyond—PMCID.
How to Demonstrate Compliance:
Method B
Did the author of the article pay a fee to a publisher for submission
of an individual NIH-funded final published article to PMC?
http://publicaccess.nih.gov/select_deposit_publishers.htm
Demonstration of compliance:
• From acceptance of publication to three months post
publication—PMCID or “PMC Journal- In Process.”
• Three months post publication and beyond—PMCID.
How to Demonstrate Compliance:
Method C
Did the authors self-submit (or third party non-publisher) the final
peer-reviewed manuscript to NIHMS?
Demonstration of compliance:
• From acceptance of publication to three months post
publication—PMCID or NIHMS ID.
• Three months post publication and beyond—PMCID.
How to Demonstrate Compliance:
Method D
Did a publisher submit the final peer-reviewed manuscript to
NIHMS on behalf of a NIH-funded author?
Demonstration of compliance:
• From acceptance of publication to three months post
publication—PMCID or NIHMS ID.
• Three months post publication and beyond—PMCID.
How to Demonstrate Compliance:
Note:
Using “PMC Journal – In Process” as documentation of
compliance for works submitted via Method C or
Method D forms of submission is contrary to the NIH
Policy.
How to Demonstrate Compliance:
If No PMCID Available?
There are a number of reasons why a PMCID may not yet be
available for a work. Reasons depend on the submission method
used for the work.
Please refer to: “What to Do if the PMCID is Not Available”
http://becker.wustl.edu/services/scholarly/nihpolicy.html#pmcidnotavail
For assistance:
WUSM: Cathy Sarli, [email protected]
DANFORTH: Ruth Lewis, [email protected]
How to Respond to NIH if Documentation
of Compliance is Requested?
NIH reviews citations noted in applications, progress reports
and proposals and will request documentation of compliance for
works that may have applied under the NIH Public Access
Policy.
Requests for documentation of compliance are sent by NIH Program Officers
via email to the Principal Investigator/s . The WU Office of Sponsored Research
Services is copied on this email.
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
How to Respond to NIH:
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 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.
How to Respond to NIH:
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”).
Copy the Appropriate WU IBO
on Your Response to NIH
Copy the appropriate WU Institutional Business Office on your response to NIH.
• Office of Sponsored Research Services – School of Medicine
(formerly Grants and Contracts) at [email protected]
•
Office of Sponsored Research Services – Danforth Campus
(formerly Research Office) at [email protected]
Add the following statement in the response:
“The documentation provided is in response to your email dated (insert date
here). Our Institutional Business Official (IBO) is being copied utilizing the
office’s generic email address (i.e., [email protected] OR
[email protected]).”
How Can WU Libraries Help with Compliance?
• Guidance to NIH-funded authors on how to comply
• Locate journal policies on behalf of NIH-funded authors
• Listing of peer-reviewed journals that allow for NIH policy
compliance
• Provide third party submitter services
• Guidance to third party submitters
• Assist with documentation of compliance
• Contact publishers on behalf of NIH-funded authors
Becker Library Third Party Submitter Service
Becker Library offers third party submitter services on behalf of WU NIH‐funded authors and will also
follow‐up with publishers to find out specific instructions for posting, if necessary.
Becker Library will need the following materials from the author:
• Name and email of the author designated as the reviewer
• Title of the journal
• Title of the manuscript
• Final peer-reviewed version of the manuscript
• Supplemental materials or graphics associated with the manuscript
• Grant number/s and names of PIs (full alpha numeric number)*
• All information as necessary for following the stipulations as set forth by some journal publishers
• Confirmation that the author retained the right to comply with the NIH policy
*multiple grant numbers can be entered for a single publication.
Please use the NIH Grants Search Tool http://www.nihms.nih.gov/db/grants/suggest_grant.fcgi to
confirm grant award information.
Send information and files to Cathy Sarli: [email protected]
The NIHMS ID will be sent as soon as the manuscript is submitted.
Any Questions?
Questions about the NIH Policy?
WUSM: Cathy Sarli, [email protected]
DANFORTH: Ruth Lewis, [email protected]
Questions about Compliance?
WUSM: John Michnowicz, [email protected]
DANFORTH: Cindy Kiel, [email protected]
For more information:
http://publicaccess.nih.gov/index.htm
http://becker.wustl.edu/services/scholarly/nihpolicy.html