Complying with the NIH Public Access Policy

January 25, 2010RCMAR/CHIME Work-in-Progress Seminar

Sharon Farb Janet Carter

NIH Public Access Policy. . . require[s] that investigators funded by the NIH submit or have submitted . . . an electronic version of their final, peer-reviewed papers upon acceptance for publication to be made publicly available no later than 12 months after the official date of publication

Division G, Title II, Section 218 of the Consolidated Appropriations Act of 2008

http://publicaccess.nih.gov/policy.htm

Intent of the Policy

• Advance science• Provide public access to taxpayer-funded

research• Improve human health

Section 218 of the Consolidated Appropriations Act of 2008

Purpose of the Policy

• Archive: Create a central collection of NIH-funded research

• Advance: Provide an information resource for scientists to research publications and for the NIH to better manage its entire research investment

• Access: Makes available to the public research publications resulting from NIH-funded research

Benefits of the Policy The legislation broadens access to and dissemination of the scholarly record.Making the results of federally funded research publicly accessible is important not only to NIH, but also to: achieving UC’s mission as a public

university to create and disseminate knowledge for the betterment of our global society through commitment of academic freedom, including open access to information.

The policy applies to any final manuscript that:

– Is peer-reviewed– Is accepted for publication in a

journal on or after April 7, 2008– Arises from:

• Any direct funding from an NIH grant or cooperative agreement active in Fiscal Year 2008

• Any direct funding from an NIH contract signed on or after April 7, 2008

• Any direct funding from the NIH Intramural Program

Policy Does Not Apply

• Non-peer-reviewed materials such as letters,editorials or book chapters

• The full applicability criteria are at: http://publicaccess.nih.gov/determine_applicability.htm

NOTE: Review articles, which were excluded in the prior voluntary policy are covered in the current policy only if they are peer-reviewed1

1 -Thakur, Neil,Ph.D., Office of Extramural Research, National Institutions of Health, Email communication, June 30, 2009.

Single Best Source for Policy Details and Information:

publicaccess.nih.gov

Policy Compliance1. Address Copyright.2. Submit to the NIH Manuscript Submission

System.3. Cite Articles: Include PubMed Central ID

Number (PMCID) in NIH proposals and progress reports.

Address Copyright

•Institutions and investigators are responsible for ensuring full compliance with the Public Access Policy, including that any copyright or other agreements are consistent with submitting to PMC.•Before an author signs a publication agreement or similar copyright transfer agreement, the author should make sure that the agreement allows the final published manuscript to be submitted to NIH in accordance with the Public Access Policy.

The Copyright Transfer Agreement

Advice to Faculty:

Read the copyright transfer agreement before you sign it and make sure it allows you to submit your final peer-reviewed manuscript to PubMed Central within twelve months of publication or less.

The Copyright Transfer Agreement

If you are unsure whether the agreement allows you to comply with the policy, insert this language into the copyright transfer agreement:

Journal acknowledges that Author retains the right to provide a copy of the final manuscript to the NIH upon acceptance for Journal publication, for public archiving in PubMed Central as soon as possible but no later than 12 months after publication by Journal.

• http://publicaccess.nih.gov/FAQ.htm#c3

The Tucker Letter

UC investigators must enclose the letter signed by William Tucker, executive director of the Office of Technology Transfer and Research Administration in the University of California Office of the President, with any articles submitted to publishers for possible publication.

Copy of the Tucker letter may be found at the UCLA Library web site

http://www2.library.ucla.edu/libraries/11891.cfm

Policy Compliance1. Address Copyright.2. Submit to the NIH Manuscript

Submission System.3. Cite Articles: Include PubMed Central ID

Number (PMCID) in NIH proposals and progress reports.

How to Submit

Two Ways (4 methods):1. Publisher deposits articles in PubMed

Central.2. Author, or someone acting on behalf of the

author, deposits the article through the NIH Manuscript Submission System.

Regardless of who submits, the PI must verify and approve the manuscript personally via the NIH Manuscript Submission system.

4 Submission Methods

• Method A - Journal deposits final published articles in PubMed Central without author involvement

• Method B - Author asks publisher to deposit specific final published article in PMC

• Method C - Author deposits final peer-reviewed manuscript in PMC via the NIHMS

• Method D – Publisher deposits manuscript; author approves and completes the process

Submission Method B

• Method B - Author asks publisher to deposit specific final published article in PMC • Make arrangements to have a publisher

deposit a specific final published article in PubMed Central

• View NIH-approved list of publisher programs

This is generally an “Open Choice” – author-pay model-which costs $$$

When to SubmitIf the journal you are publishing in:d

• does not automatically submit your manuscript to PubMed Central

AND • if the publisher allows you to comply with the NIH

policyyou need to submit it yourself to the NIH Manuscript Submission System: http://www.nihms.nih.gov/

Tutorials for the submission system are available: http://www.nihms.nih.gov/web-help/index.html

Look for [nihms] in email subject lines for communications about your submissions.

Checking Journal PoliciesLook for the journal on the list of journals that automatically submit final articles to PubMed Central: http://publicaccess.nih.gov/submit_process_journals.htm

If the journal IS NOT on this list, check the journal Web site for a statement about the NIH policy, check the copyright transfer agreement, or personally contact the editor in chief and ask him/her.

This information and more may be available at the SHERPA/RoMEO site: http://www.sherpa.ac.uk/romeo.php

Policy Compliance1. Address Copyright.2. Submit to the NIH Manuscript Submission

System.3. Cite Articles: Include PubMed Central ID

Number (PMCID) in NIH proposals and progress reports.

PubMed Central vs. PubMedPubMed Central (PMC) is an electronic archive

of full-text journal articles, offering free access to its contents. PMC contains more than half a million articles, most of which have a corresponding entry in PubMed.

PubMed is a database of citations and abstracts for millions of articles from thousands of journals. It includes links to full-text articles in several thousand journal Web sites as well as to most of the articles in PubMed Central.

PMCID is provided on PMC records as well as on PM citations.

PubMed Central ID

The PubMed Central identification (PMCID) needs to be included:a) when citing an article in NIH applications,

proposals, and progress reports that fall under the policy, AND

b) Was authored or co-authored by you OR arose from your NIH award

The PMCID is on the Abstract Plus display in PubMed.

http://www.pubmedcentral.nih.gov/

• Example with PMCIDVarmus H, Klausner R, Zerhouni E, Acharya T,

Daar A, Singer P. 2003. PUBLIC HEALTH: Grand Challenges in Global Health. Science 302(5644): 398–399. PMCID: PMC243493

• Example with NIHMSIDCerrato, A., et al., Genetic interactions between

Drosophila melanogaster menin and Jun/Fos. Dev Biol. 2006 Oct 1; 298(1): 59-70. NIHMSID: NIHMS44135

• Example with PMCID in ProcessSala-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

Cite Articles Using PMCID

• NIHMSID can only be used to show compliance for up to 3 months after a paper is published.

• After that, a PMCID must be used to demonstrate compliance.

• An NIHMSID will no longer be accepted for use if an applicable paper was published 3 or more months prior to an NIH application

1. National Institutes of Health, Office of Extramural Research. Clarification on the Use of an NIHMSID to Indicate Compliance with the NIH Public Access Policy. [web page] Bethesda, MD; [cited 2009 August 17]; Available from: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-136.html

Citing Your Papers – Policy Change re: Use of NIHMSID1 Cite Articles Using PMCID

Methods for Locating PMCIDsHelpful Websites

• NIH Public Access Policy: Include PMCID in Citations

http://publicaccess.nih.gov/citation_methods.htm

• Finding PMCIDs in PubMed http://www.nlm.nih.gov/pubs/techbull/so08/so08_skill_kit_pmcid.html

• PubMed Central Search Option for Embargoed Articles:

http://www.nlm.nih.gov/pubs/techbull/so09/so09_pmc_embargoed_articles.html

Misc. Issues

• Joint Authors or Multiple Grants– Refer to the NIH Public Access Policy FAQs

http://publicaccess.nih.gov/FAQ.htm

• No PMCID and the journal article has already been published (NIH Compliance was not followed)

Joint Authors/ Multiple Grants

• Multiple authors – who is responsible for submitting the manuscript/paper?

http://publicaccess.nih.gov/FAQ.htm#e37

• Primary or other joint authors does not have a NIH grant

http://publicaccess.nih.gov/determine_applicability.htm

Obtaining a PMCID after the article has been published

• Use the Tucker letter to communicate with the Publisher

http://www2.library.ucla.edu/libraries/11891.cfm• Negotiate with the Publisher• Will the Publisher deposit the article for you

or• Should you negotiate t& upload the article

into NIHMS ?

Questions/Help ?The UCLA Library is working closely with the UCLA Office of Research, Contract, and Grants, and others.

The UCLA Library can help individual faculty with questions about author agreements and publisher options regarding the implementation of the policy.

Contact Us: nih@library.ucla.edu