1. The NIH Public Access Policy
and Compliance Requirements
Health Sciences Library
December 2013
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2. Outline
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The NIH Public Access Policy
Policy Basics: Who, What, Where, When, Why
Changes in Compliance Efforts
How To Comply
Managing Compliance
Summary
Help
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3. 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, peerreviewed 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
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
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4. 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 employees
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5. 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 peerreviewed 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.
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6. Policy Basics: Where
• Final Destination: PubMed Central
– PubMed ≠ PubMed Central (PMC)
• 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
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7. 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
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8. 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
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9. Changes in Compliance Efforts
Effective 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
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10. 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
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11. How to comply
1. Address copyright
2. Submit paper
3. Cite article
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12. How to Comply: Address Copyright
• Inform journal that paper is NIH funded
• Review publishing agreement
• Determine:
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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.
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13. 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
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14. Submission Method A
Summary
Version 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
N/A
Author/Investigator Responsibilities:
• Make sure journal knows to submit article
• Watch for PMCID assignment in My NCBI
List of Method A Journals:
http://publicaccess.nih.gov/submit_process_journals.htm
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15. Submission Method B
Summary
Version 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
N/A
Author/Investigator Responsibilities:
• Request journal to submit article
• Pay fee (if applicable)
• Watch for PMCID assignment in My NCBI
List of Method B Publishers:
http://publicaccess.nih.gov/select_deposit_publishers.htm#b
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16. Submission Method C
Summary
Version 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 peerreviewed
manuscript
Author or
delegate, via
NIHMS
Author, via
NIHMS
Author, via
NIHMS
Author/Investigator 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 for PMCID assignment in My NCBI
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17. Submission Method D
Summary
Version 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 peerreviewed
manuscript
Publisher, via
NIHMS
Author, via
NIHMS
Author, via
NIHMS
Author/Investigator Responsibilities:
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•
•
•
Make sure journal submits manuscript files
Approve PDF receipt for processing
Approve formatting of PMC manuscript
Watch for PMCID assignment in My NCBI
List of Method D Publishers:
http://publicaccess.nih.gov/select_deposit_publishers.htm#d
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18. 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; NIHMS emails the author designated as “reviewer” in NIHMS
• Following completion of all tasks
– Watch for PMCID assignment in My NCBI
– PMC makes papers available after embargo period
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19. 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
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20. How to Comply: NIHMS System
Always use the
same login
route!!
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21. 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
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22. 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
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23. How to Comply: Cite
In press or less than 3 months
post-publication in journal
More than 3 months postpublication in journal
• PMCID, if available or
• Methods A and B:
‘PMC Journal-In Process’
• Methods C and D: NIHMSID
• All methods: PMCID
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24. How to Comply: Cite
• Find PMCID
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Citation in My Bibliography
Citation in PubMed
Citation in PMC
PMID:PMCID converter
• The Goal:
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; PubMed Central PMCID: PMC3682794.
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25. How to Comply: Cite article
Use this number
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26. 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
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Plan ahead
Use My NCBI
Associate papers with awards
Confirm compliance before reports due
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27. 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!
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28. Managing Compliance: My NCBI
Login Options:
My NCBI username
and password
OR
Partner organization
username and password
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29. Managing Compliance: My NCBI
I Am a...
Existing My NCBI
Account
Existing eRA
Commons
Account
Initial My NCBI Login
Method
Investigator
No
Yes
Use eRA Commons
account information
Investigator
Yes
Yes
Use My NCBI account
information, then link to
eRA Commons account
Delegate
No
No
Register for My NCBI
account
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30. 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
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31. Managing Compliance: My NCBI
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32. Managing Compliance: My NCBI
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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
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34. Managing Compliance: My Bibliography
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35. Managing Compliance: Award View in
My Bibliography
Green: Compliant
Yellow: In-process at NIHMS
Red: Non-compliant
? : Cannot determine status
N/A: PAP does not apply
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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)
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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
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39. Delegate’s Bibliography
Investigator’s Bibliography
shows under ‘Collections’
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40. NIH Public Access Policy: Summary
• Basics
– Peer-reviewed article, accepted for publication on or after
April 7th 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
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41. Sources of Help
• Guide from the Health Sciences Library
– http://guides.lib.unc.edu/compliance
• Contact Health Sciences Library
– http://asklib.hsl.unc.edu/
• 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: Help with general policy
questions
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42. Questions?
Contact:
Health Sciences Library
Ask-a-Librarian
http://asklib.hsl.unc.edu/
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