This document discusses Oregon State University's open access policy and how to comply with the National Institutes of Health public access policy. It provides an overview of green and gold open access. It describes the key points and requirements of OSU's open access policy, including depositing articles in the institutional repository. It also outlines the NIH policy's goals and requirements for depositing peer-reviewed articles from NIH-funded research in PubMed Central within 12 months of publication. Finally, it discusses the different methods for complying with the NIH policy, including publishing in certain journals, arranging publisher deposit, or depositing manuscripts directly through the NIH system.
2. Basic terms and conditions of each policy
Deposit requirements for each policy
How to deposit your articles
What You’ll Learn
3. Green Open Access
Article available in an open access repository
Often with other scholarship
Articles also published in journals
Gold Open Access refers to open access journals
4. Benefits of OSU OA Policy
Increases the visibility and impact of
OSU scholarship.
Supports OSU’s Land Grant mission.
Positions OSU faculty to meet
emerging federal open access policies.
5. OSU Open Access Policy
Passed by Faculty Senate at June 13,
2013 meeting
http://bit.ly/1hyaSLR (Policy)
http://deposit.library.oregonstate.edu
(Article Deposit)
http://cdss.library.oregonstate.edu/open
-access (OA Policy information)
6. OSU Open Access Policy
Two key points:
Each Faculty member grants to Oregon State
University permission to make available his or her
scholarly articles and to reproduce and distribute
those articles for the purpose of open dissemination.
Each faculty member will provide an electronic copy
of the accepted (post-peer review, pre typeset)
manuscript of article{s}…to OSU Libraries [for the
purpose of dissemination].
7. Elements of the OSU OA
Policy
Applies to peer-review articles and conference
proceedings.
Automatic waiver option is available.
Authors continue to publish in the journals of their choice.
Compliance with publisher embargo policies
Final manuscripts are deposited to
ScholarsArchive@OSU.
8. Article Deposit
Two methods for faculty to deposit articles to
ScholarsArchive@OSU:
Use Article Deposit and Waiver Form:
deposit.library.oregonstate.edu
OR
Respond to Center for Digital Scholarship and
Services requests for articles by attaching accepted
manuscript version of your article to email.
Make deposit at the time of article publication
(ideally)
9. Policy Waivers
Three major publishers currently require faculty to
get a waiver to the open access policy:
1. AAAS (Science Magazine)
2. Nature Publishing Group
3. NAP (PNAS)
10. NIH Public Access Policy
Purpose is to ensure that the public has access to
the published results of NIH funded research in
order to advance science and improve human
health.
Researchers funded by the NIH are required to
submit journal articles that arise from NIH funds to
the PubMed Central digital repository.
publicaccess.nih.gov/
11. Key Dates
As of April 7, 2008 all peer-reviewed articles resulting
from NIH-funded research must be submitted to PubMed
Central upon article acceptance for publication.
As of May 25, 2008, publications cited in proposals,
applications and progress reports must include the
PubMed Central reference number (PMCID) for articles
that fall under the Policy.
As of July 1, 2013, NIH will delay processing of non-
competing continuation grant awards if publications
arising from that award are not in compliance with the
NIH public access policy.
12. NIH Policy Applies To:
Any publication that is peer-reviewed
Accepted for publication in a journal on or after April
7, 2008
And, arises from:
Direct funding from an NIH grant, cooperative
agreement, intramural program or contract active in
FY2008 or beyond.
13. You Are Out of
Compliance if:
Your final manuscript
Is not in PubMed Central within 12 months of publication
Does not have a PMCID within 3 months of publication
NIH is delaying processing of non-competing
continuation grant awards if publications arising from that
award are not in compliance with the NIH public access
policy.
14. How to Comply with NIH
Policy
Submit papers to PubMed Central or be sure that
the journal in which you are publishing your article is
doing it on your behalf
Include PMCID in citations
15. Submit Paper
Method A: Publish in a journal that deposits all final published
articles in PubMed Central (PMC) without author involvement.
(PeerJ, PLOS, BMC, …)
Method B: Make arrangements to have the publisher deposit a
specific final published article in PubMed Central ($)
Method C: Deposit the accepted manuscript version of your
article in PubMed Central yourself via the NIH Manuscript
Submission System (NIHMS).
Method D: Complete the submission process for a final peer-
reviewed manuscript that the publisher has deposited in the
NIHMS.
16. Method A: Publish in a journal that deposits all
final published articles in PubMed Central
(PMC) without author involvement
Open Access Journals: PeerJ, PLOS, BioMed Central,
etc.
No additional fee, although there may be a fee to publish
in the journal
If author publishes in one of these journals, no further
action is required for compliance except to cite the
PMCID reference number in future NIH applications,
proposals and progress reports.
http://publicaccess.nih.gov/submit_process_journals.htm#journ
als
17. Method B: Make arrangements to have the
publisher deposit a final published article in
PubMed Central
Some publishers will deposit an article in PMC upon
author request, usually for a fee.
Authors are responsible for making arrangements with
the publisher for this service via a copyright transfer
agreement form.
If authors publish in one of these journals, no further
action is required for compliance except to cite the
PMCID reference number in future NIH applications,
proposals and progress reports
http://publicaccess.nih.gov/select_deposit_publishers.htm
18. Method C: Deposit final manuscript in PubMed
Central yourself via the NIH Manuscript
Submission System (NIHMS)
Submit the accepted manuscript version of your
article to PMC via the NIHMS:
Task 1: Deposit manuscript files and identify sponsor
(program) ID
Task 2: Authorize NIH to process the manuscript
Task 3: Approve the PMC-formatted manuscript for
public display (2-3 weeks after submission)
19. Method C: Deposit final manuscript in PubMed
Central yourself via the NIH Manuscript
Submission System (NIHMS)
Before submitting your article to NIHMS, we suggest
you find out your journal’s embargo policy.
You can deposit your article and PMC will make it
available after the designated delay period.
The NIHMS will email the PMCID to the author and
all Pis once it is assigned.
You can also ask the library to take care of all this for
you.
20. Method D: Complete the submission process
for a final peer-reviewed manuscript that the
publisher has deposited in NIHMS
This is a variation of Method C whereby some
publishers deposit the author’s accepted manuscript
on the author’s behalf, provide the author’s contact
info and designate the embargo period in PMC
Authors are then required to complete all the tasks
outlined in Method C
21. Library 3rd Party Deposit to
PMC
http://cdss.library.oregonstate.edu/pmc-deposit
Send an email to pmc-deposit@oregonstate.edu with
Subject: PMC Deposit.
Include the following:
Author names
Primary author email
the author that the NIH will contact to approve the
submission of the article to PubMed Central and the
person who will receive a PubMed Central ID (PMCID)
from the NIH.
22. Library 3rd Party Deposit to
PMC
Grant information
The National Institutes of Health Manuscript
Submission System only accepts complete grant
numbers with suffixes.
Article title
Journal title
Article DOI
Attach the author’s accepted manuscript (post-
refereed, pre-typeset) version of the article.
23. OSU Libraries & Press PubMed Central Deposit:
cdss.library.oregonstate.edu/pmc-deposit
pmc-deposit@oregonstate.edu
25. Thank you for coming!
Michael Boock, Associate Professor/Head of the Center
for Digital Scholarship & Services
Oregon State University Libraries & Press
Michael.boock@oregonstate.edu
cdss.library.oregonstate.edu
Hinweis der Redaktion
Today I’ll be describe the OSU Open Access Policy and the NIH Public Access Policy and teach you how to be in compliance with them. Feel free to ask questions at any time. We don’t have many people here today so we can make it as relaxed and informal as we like. Restrooms. Reminder to sign in.
I’ll review the basic terms and conditions of each policy, the deposit requirements, and how to deposit your articles to meet those requirements.
The two policies we’re discussing today are Green open access policies. The primary criteria of green OA is that authors make a version of their article available online to anyone in the world with an internet connection and a web browser, through an open access repository, either an institutional repository like ScholarsArchive@OSU, which already contains approximately 40% of the articles published by OSU faculty, or a disciplinary repository like PubMed Central. The version of the article that is deposited to repositories is usually what’s commonly called the “author’s accepted manuscript” or the final manuscript version of the article. This is the post-peer review, pre typeset version of the article. Any questions about that?
With green open access (deposit to open access repositories), as opposed to gold open access (publishing in an open access journal), authors remain free to choose the journals in which they publish, but must make a version of the article available in an open access repository.
Gold open access, on the other hand, is immediate access to articles via an open access journal, regardless of the business model behind that journal.
The intent of the OSU Open Access policy is to increase the visibility and impact of OSU’s scholarship. The policy defaults to making OSU faculty articles accessible to anyone in the world who has an internet connection rather than restricting access to only those libraries and people who have subscriptions.
The policy supports OSU’s Land Grant mission, a key element of which is public access. The Open Access policy allows the fruits of our research to be read and used by the people who paid for it, by taxpayers, decision-makers, teachers and students, Oregon residents, as well as colleagues worldwide, not only those who are fortunate enough to be associated with research institutions able to afford expensive journal subscriptions.
Federal granting agencies, including NIH and the DOE (who just announced a policy last week) and NSF, NASA, DOE, USDA, and NEH are increasingly requiring open access to articles that result from federally-funded research. Announcements for each of these other agencies will likely be coming out in the next few weeks and months. They are likely to be similar in that they will either require deposit of accepted manuscripts to a central repository or they will require (as the DOE plan does) the inclusion of metadata with a link to the accepted manuscript in an IR or a link to an openly available version of record at the publisher web site.
The OSU policy positions faculty to easily comply with these requirements. We’ll be discussing this in more detail in a few minutes with the NIH policy, but by depositing your article to ScholarsArchive on the date of publication, the library will ensure to the best of its ability that your article meets agency requirements.
Because it applies to all OSU faculty, I’ll spend the first 10-15 minutes discussing the OSU policy, which is a green open access policy because it requires the deposit of a version of published articles to a repository. Then, if the NIH policy doesn’t apply to you, you are free to leave. Of course, you’re free to leave any time you like! I’ll spend the last part of the workshop on the NIH policy.
The OSU Open Access policy was passed by the OSU faculty senate at the June 13, 2013 meeting after a year of discussion and information sharing about policy alternatives, policy language and the benefits and specifics of such an OA policy.
You can read the complete policy at this url.
And you can deposit your articles using this url.
These slides are available on slideshare if you do a google keyword search for the presentation you’ll find them.
The date when a peer-reviewed paper is ready to be made OA is the date when the final, peer-reviewed draft is accepted for pubication. Sometimes there can be delays of months between the date of acceptance and the date of publication of the pubisher’s version of record (VOR). And some (a minority) of publishers have imposed embargoes of up to 12 months from the date of publication before authors can make their articles OA. The delay from acceptance to publication, and the delay from publication until the end of any OA embargo all add up to lost research access, uptake, usage, applications and progress.
The interests of research and researchers -- and hence of the public that funds the research -- are that research should be made OA as soon as possible.
The OSU policy applies to peer-reviewed articles and conference proceedings, not book chapters or books or other forms of publication like magazine and newspaper articles. Please note that faculty may obtain waivers from the policy. Waivers are automatically granted at the faculty member’s request via the same online form that is used for depositing your articles.
Faculty continue to publish in the journals of their choice but a final manuscript will also be deposited in the ScholarsArchive@OSU open access repository. ScholarsArchive@OSU is regularly ranked among the top ten single institution repositories in the U.S., based on size and availability of the scholarship in search engines like Google Scholar.
The libraries ensure that the deposit process is in compliance with journal embargo policies. The library has mechanisms in place to ensure this.
The library has been charged with the implementation of the OSU OA policy. There are two ways for faculty to deposit their articles to SA@OSU.
The first is to use an article deposit and waiver form that we’ve developed. Using the form, it takes less than a minute to deposit your article.
Walk through the form.
Key consideration is that you include all figures and tables associated with the article either by inserting those figures and tables into the article or by giving us that material as separate files.
The CDSS, the unit I oversee, does some metadata enhancement for the articles, provides links back to the final published version of the article on the publisher’s website, adds a cover sheet and makes the article available online within 5 business days. We check the publisher’s embargo policies and make sure the article is not made available until the embargo is released (our software accommodates this). We send you the ScholarsArchive@OSU url after the deposit process is completed. That URL is persistent and will never change.
Download statistics are available for your article from ScholarsArchive@OSU and we’re also in the process of making other usage indicators such as altmetrics available. Altmetrics show how many times your article has been mentioned on social media and in news reports and can serve as a more timely measure of impact than traditional citation counts.
We prefer the use of the form, but if you do not deposit your article using the form, CDSS staff monitor the Web of Science research database for any new articles published by OSU faculty that are indexed in that database. We know that the majority of faculty peer-reviewed research is indexed by Web of Science but also know that it doesn’t capture everything. When we receive notification of a new article published by OSU faculty, we search SA to see if it is already available and if not we send the OSU author an email requesting the article so that we can deposit it. You can respond to that email with an attachment of your article and we’ll deposit the article for you. Or, the email can serve as a reminder to you to use the article deposit and waiver form to make the deposit yourself.
Show article example in SA and download statistics.
These publishers require authors to get an official waiver to the institution’s oa policy before they will publish an article in their journals. You can use the Article Deposit and Waiver form to get an automatic waiver to the OSU policy, print it out and attach it to the publisher’s copyright transfer agreement for the article when you are publishing an article with these publishers.
The purpose of the NIH Public Access Policy is to ensure that the public has access to the published results of NIH funded research in order to advance science and improve human health.
Researchers funded by the NIH are required to submit journal articles that arise from NIH funds to the PubMed Central digital repository. PubMed Central is the NIH free digital archive of biomedical and life sciences journal literature.
publicaccess.nih.gov/
Key Dates (and Reasons to pay attention)
As of April 7, 2008 all peer-reviewed articles resulting from NIH-funded research must be submitted to PubMed Central upon article acceptance for publication.
As of May 25, 2008, publications cited in proposals, applications and progress reports must include the PubMed Central reference number (PMCID) for articles that fall under the Policy.
As of July 1, 2013, NIH will delay processing of non-competing continuation grant awards if publications arising from that award are not in compliance with the NIH public access policy.
Suffice it to say that NIH continues to work to find ways to ensure that awardees deposit their articles resulting from NIH funding.
The NIH policy applies to:
Any publication that is peer-reviewd,
Accepted for publication in a journal
And arises from direct funding from an NIH grant
You are out of compliance if:
Your final manuscript
Is not in PubMed Central within 12 months of publication
Does not have a PMCID within 3 months of publication
NIH is delaying processing of non-competing continuation grant awards if publications arising from that award are not in compliance with the NIH public access policy.
In order to comply with the nih policy you should:
Submit papers resulting from NIH funding to PubMed Central or be sure that the journal in which you are publishing your article is doing it on your behalf
And, include PMCID in citations and NIH progress reports.
There are four ways to comply with the NIH policy, depending on the journal you publish with.
Let’s review each of these one by one.
Method A: Publish in a journal that deposits all final published articles in PubMed Central (PMC) without author involvement. (PeerJ, PLOS, BMC, …)
Method B: Make arrangements to have the publisher deposit a specific final published article in PubMed Central ($)
Method C: Deposit the accepted manuscript version of your article in PubMed Central yourself via the NIH Manuscript Submission System (NIHMS).
Method D: Complete the submission process for a final peer-reviewed manuscript that the publisher has deposited in the NIHMS.
These are all fairly straightforward but it is time-consuming for you to figure out which method to use for each and every article you publish relating to a grant. I was planning to review each of these methods in detail, but since writing this presentation two months ago, the Center for Digital Scholarship and Services has developed a service to deposit articles to PMC and other federal agencies on author’s behalf.
Method A is no doubt the easiest process for authors. Method A publishers deposit the final published version of articles on the author’s behalf and charge no additional fees to do so.
Most Open Access Journals will do this on your behalf including all the major OA journals such as PeerJ, PLOS, and BioMed Central
Although there may be a fee to publish in the journal, these journals charge no additional fees to make the article available in PMC.
If author publishes in one of these journals, no further action is required for compliance except to cite the PMCID reference number in future NIH applications, proposals and progress reports.
You can find a list of these journals at this website which we also link to from the library’s PMC article deposit website.
Other publishers will deposit an article in PMC for a fee. Authors are responsible for making arrangements with the publisher for this service via a copyright transfer agreement form.
If authors publish in one of these journals, listed at this url, no further action is required for compliance except to cite the PMCID reference number in your future NIH applications, proposals and progress reports.
If the journal in which you’ve published (or plan to publish) your article does not deposit on your behalf, you will be required to do so yourself or have the library make the deposit for you.
Unless the publisher specifically allows the author to deposit the final publisher version of the article, this process requires authors to submit the accepted manuscript version of the article to PMC via the NIHMS. This is the post peer-reviewed, pre typeset version of the article.
The process in this case is for you (or the library on your behalf) to submit the accepted manuscript version of your article to PMC via the NIH Manuscript Submission System:
Task 1: Deposit manuscript files and identify sponsor (program) ID
Task 2: Authorize NIH to process the manuscript
Task 3: Approve the PMC-formatted manuscript for public display (2-3 weeks after submission)
Before submitting your article to NIHMS, we suggest you find out your journal’s embargo policy.
You can deposit your article with the date that the article should be made available open access and PMC will make it available after that designated delay period.
The NIHMS will email the author and all Pis the citation with the PMCID once it is assigned.
You can also ask the library to do this for you
There is one other method that is a variation of method C. Some publishers deposit the author’s accepted manuscript on the author’s behalf, provide the author’s contact info and designate the embargo period in PMC.
Authors are then required to complete all the tasks outlined in Method C.
You can go to this website to find instructions for delivering your article to the library. We are in the process of inserting grant number and other metadata to the deposit form so that OSU faculty can make one deposit (using the form) and the library will ensure agency compliance, whatever the agency requires.
The library will deposit your article to ScholarsArchive@OSU and to NIHMS. You will receive an email from NIHMS requesting authorization for NIH to process your manuscript and for you to approve the PMC-formatted manuscript for public display. The process takes between 4-6 weeks to complete.
This web page contains much of the information I just described and includes links to the NIH Manuscript Submission System which includes tutorials on all aspects of the policy and steps for submitting articles. This will be updated as soon as the updates to the form requesting grant agency information is done.
