# Presentation: 761793

## The NIH Public Access Policy

**The NIH Public Access**** ****Policy**

- November 26, 2008

**Notes:**
Revised 9/29/08

## The NIH Public Access Policy Is Now Mandatory

**The NIH Public Access Policy Is Now Mandatory**

- The Policy implements Division G, Title II, Section 218 of PL 110-161** **(Consolidated Appropriations Act, 2008) which states:
*	**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: Provided, That the NIH shall implement the public access policy in a manner consistent with copyright law.*
**NIH Guide Notice NOT-OD-08-033**
- _[http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html](http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html)_

**Notes:**
NIH must implement this policy because it is the law. 

Making published research funded by NIH publicly available is an important opportunity to advance science and improve human health. 

What to submit?  Final, peer-reviewed manuscripts
When to submit?  Upon acceptance for publication
When to make public?  No later than 12 months after the official date of publication
Where to make public?  The National Library of Medicine’s Pubmed Central

Speakers notes Revised 9/29/08

## Implications of a Successful NIH Public Access Policy

**Implications of a Successful NIH Public Access Policy**

- Easy access to published research funded by NIH will help advance science and improve human health.
- Meets the public’s expectation that articles based on NIH-funded research are publicly available1.
- NIH can monitor, mine, and develop its portfolio of taxpayer funded research more effectively.
- NIH-funded research becomes more prominent, integrated and accessible, making it easier for all scientists to pursue NIH’s research priority areas competitively.
- 1.  Harris Poll (2006) Most Americans back online access to federally funded research. Wall Street J Online Retrieved on July 20, 2006, from _[http://online.wsj.com/article_email/SB114893698047965609-IMyQjAxMDE2NDM4MTkzMzE2Wj.html](http://online.wsj.com/article_email/SB114893698047965609-IMyQjAxMDE2NDM4MTkzMzE2Wj.html)_.

## Definitions

**Definitions**

***PubMed Central***** *****(PMC):  ***PubMed Central (PMC) is the NIH digital archive of full-text, peer-reviewed journal papers. These papers are indexed with a PMCID, a series of numbers preceded by ‘PMC’.  PMC content is publicly accessible and integrated with other databases (see: _[http://www.pubmedcentral.nih.gov/](http://www.pubmedcentral.nih.gov/)_).
***PubMed:****  *PubMed provides access to citations from biomedical literature.  It includes over 17 million citations from MEDLINE and other life science journals for biomedical articles back to the 1950s, along with links to full text articles and other scientific resources.  These citations are indexed with a PMID, a series of numbers.
***Final peer-reviewed manuscript:*****  **The author’s final manuscript of a peer-reviewed paper accepted for journal publication, including all modifications from the peer review process.
***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.

**Notes:**
Through out the presentation and website, we use the word ‘paper’ as a generic word for all versions of a scientific peer-reviewed article, including final peer review manuscripts and final published articles.

Speakers notes Revised 9-17-08

## The NIH Public Access Policy Applies to Any Final Manuscript That...

**The NIH Public Access Policy Applies to Any Final Manuscript That...**

- Is peer-reviewed;
- And, is 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.

## How Awardees Comply

**How Awardees Comply**

**Address Copyright**
- Institutions and investigators are responsible for ensuring full compliance with the Public Access Policy (e.g., that any publishing or copyright agreements are consistent with submitting to PMC).
**Deposit Paper Upon Acceptance for Publication**
**Method A**: Publish in a _[journal](http://publicaccess.nih.gov/submit_process_journals.htm)_ that deposits *all* NIH-funded final published articles in PMC without author involvement.
**Method B**: Make arrangements to have a _[publisher](http://publicaccess.nih.gov/select_deposit_publishers.htm)_ deposit a *specific* final published article in _[PMC](http://www.pubmedcentral.nih.gov/)_.
**Method C**: Deposit the final peer-reviewed manuscript in _[PMC](http://www.pubmedcentral.nih.gov/)_ yourself via the _[NIHMS](http://www.nihms.nih.gov/)_.
**Method D**: Complete the submission process for a final peer-reviewed manuscript that the publisher has deposited via the _[NIHMS](http://www.nihms.nih.gov/)_.
**Cite Article**
**Include the PMC number (PMCID) **for applicable papers in applications, proposals and reports, as summarized in the September 2008 Guide Notice.

## Address Copyright

**Address Copyright**

**Before** an author signs a publication agreement or similar copyright transfer agreement, make sure that the agreement allows the final peer-reviewed manuscript to be submitted to NIH in accordance with the Public Access Policy.

**Notes:**
Authors own the original copyrights to materials they write. Consistent with individual arrangements with authors' employing institutions, authors often transfer some or all of these rights to the publisher when the journal agrees to publish their paper. Some publishers may ask authors to transfer copyrights for a manuscript when it is first submitted to a journal for review. Authors should work with the publisher before any rights are transferred to ensure that all conditions of the NIH Public Access Policy can be met. Authors should avoid signing any agreements with publishers that do not allow the author to comply with the NIH Public Access Policy. Federal employees always may submit their final peer-reviewed manuscript to PubMed Central, because government works are not subject to copyright protection in the United States. 

Revised 4/17/08

## How to Submit Manuscripts

**How to Submit Manuscripts**

**Authors may use whichever method is most appropriate for them and consistent with their publishing agreement.  **
**Method A**: Publish in a _[journal](http://publicaccess.nih.gov/submit_process_journals.htm)_ that deposits *all* NIH-funded final published articles in PMC without author involvement.
**Method B**: Make arrangements to have a _[publisher](http://publicaccess.nih.gov/select_deposit_publishers.htm)_ deposit a *specific* final published article in _[PMC](http://www.pubmedcentral.nih.gov/)_.
**Method C**: Deposit the final peer-reviewed manuscript in _[PMC](http://www.pubmedcentral.nih.gov/)_ yourself via the _[NIHMS](http://www.nihms.nih.gov/)_.
**Method D**: Complete the submission process for a final peer-reviewed manuscript that the publisher has deposited via the _[NIHMS](http://www.nihms.nih.gov/)_.
**Details: **_[http://publicaccess.nih.gov/submit_process.htm](http://publicaccess.nih.gov/submit_process.htm)_

## Submitting Manuscripts Via NIHMS

**Submitting Manuscripts Via NIHMS**

**More Information about Method C:**
**Submitting a final peer-reviewed manuscript to (PMC) via the NIHMS involves three tasks:**
- Deposit Manuscript Files and Link to NIH Funding
- Can be done by author, publishers, or someone in the author’s organization.
- Authorize NIH to Process the Manuscript
- Can be done only by authors who log into NIHMS with an ERA Commons Account or a NIH Account.
- Approve the PMC-formatted Manuscript for Public Display
- Can only be done by an author.
- Tasks 1 and 2 can be done at the same time, and usually take less that 10 minutes to complete.

**Notes:**
1. Deposit Manuscript Files and Link to NIH Funding
Upload a copy of the accepted final peer-reviewed manuscript and associated files via the NIHMS.  At the same time, identify the NIH funding associated with the manuscript.  
2. Authorize NIH to Process the Manuscript 
The author designates the number of months after publication when the manuscript may be made publicly available in PMC.  
The author confirms that the deposit of the final peer-reviewed manuscript is consistent with any publication and copyright agreements.
3. Approve the PMC-formatted Manuscript for Public Display
The NIHMS will convert the deposited files into a standard PMC format, and email the author to approve the PMC-formatted manuscript for public display.  
The author reviews and approves the PMC-formatted manuscript via the NIHMS. Corrections to the manuscript, if necessary, may be requested at this time.  

Revised 9/29/08

## Cite Articles Using PMC Numbers (PMCID)

**Cite Articles Using PMC Numbers (PMCID)**

**Cite Paper**
- When citing a paper in NIH applications, proposals, and progress reports, include the PMCID at the end of the full citation.
- This requirement only applies to papers that fall under the Policy and are authored or co-authored by you or arose from your NIH award.
- For more information see the Guide Notice: _[http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html](http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html)_
**Example**
- Varmus 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

**Notes:**
If a PMCID is not yet available, include the NIH Manuscript Submission system reference number (NIHMS ID) instead.

Please use the PMC prefix in front of a PubMed Central reference number

Revised 9/29/08 to include Guide Notice reference
Revised 11/26/08 to include all authors

## Look up articles with PMCIDs in PubMed

**Look up articles with PMCIDs in PubMed**

**Notes:**
Entering PMC+ the PMCID in the PubMed search window will look up the abstract.

This article has been posted to PubMed Central. 

From the abstract view, the user can see links to the Journal webpage and the PMC article on the right side. The PMCID is in the left corner.

## Find PMCIDs in PubMed’s  Abstract Plus View

**Find PMCIDs in PubMed’s  Abstract Plus View**

**Notes:**
The PMCID is indicated in the abstract view along with the date the article will become available on PubMed Central.

This Journal fulfils the submission requirement of the Public Access Policy on behalf of its authors. It posts its NIH funded content to PubMed Central to be made publicly available after a delay period.  

Note there is a link to the Journal website that the publisher provided in the upper right. There is no link to PMC, as the article is not publicly available on PMC yet. 

** The presence of a PMC ID does not necessarily mean journal fulfils the Public Access submission requirement on behalf of their authors

## How to Cite When the PMCID Is Not Ready...

**How to Cite When the PMCID Is Not Ready...**

- For Method A and B Journals, use  “**PMC Journal - In Process**”.
- Example: Sala-Torra O, Gundacker HM, Stirewalt DL, Ladne PA, Pogosova-Agadjanyan EL, Slovak ML, Willman CL, Heimfeld S, Boldt DH, Radich JP. 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
- For Method C and D Journals, use the **NIHMSID**.
- Example:  Cerrato A, Parisi M, Santa Anna S, Missirlis F, Guru S, Agarwal S, Sturgill D, Talbot T, Spiegel A, Collins F, Chandrasekharappa S, Marx S, Oliver B. Genetic interactions between *Drosophila melanogaster* menin and Jun/Fos. Dev Biol. 2006 Oct 1; 298(1): 59-70. NIHMSID: NIHMS44135
- PMCIDs are assigned around the time of publication. Please use the PMCID once it is assigned

## Resources

**Resources**

- About the Public Access Policy:
- _[http://publicaccess.nih.gov/](http://publicaccess.nih.gov/)_
- NIH Guide Notice for Public Access (January 2008): _[http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html](http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html)_
- New Guide Notice for Grantee Compliance (September 2008): _[http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html](http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html)_
**Questions**: _[PublicAccess@NIH.GOV](mailto:PublicAccess@NIH.GOV)_
- The NIH Manuscript Submission System
- _[http://www.nihms.nih.gov/](http://www.nihms.nih.gov/)_
- Tutorials: _[http://www.nihms.nih.gov/web-help/](http://www.nihms.nih.gov/web-help/)_
- PubMed Central:
- _[http://www.pubmedcentral.nih.gov/](http://www.pubmedcentral.nih.gov/)_
- PMC Demo: _[http://www.ncbi.nlm.nih.gov/Education/pmc/](http://www.ncbi.nlm.nih.gov/Education/pmc/)_
- Information for Publishers: _[http://www.pubmedcentral.nih.gov/about/pubinfo.html](http://www.pubmedcentral.nih.gov/about/pubinfo.html)_

**Notes:**
Revised 9/29/08

## Supplementary Information

**Supplementary Information**

**Part  I **
- eSNAP, eRA Commons,  and the NIH Public Access Policy
**Part II**
- Reference on Application Instructions

**Notes:**
Added slide 9/29/08

## Part I - Including Citations in Progress Reports

**Part I - Including Citations in Progress Reports**

- You can submit some progress reports electronically through eRA Commons
- Streamlined Non-competing Award Process (SNAP) eligible progress reports (Type 5)
- Other eRA Commons services for PIs
- Personal Profile, Publications section
- eSNAP, Upload Science

**Notes:**
Added slide 9/29/08

## PI’s Commons Profile - Publications

**PI’s Commons Profile - Publications**

- Manual entries can be added to Profile; not uploaded to NIHMS.

- Automatically pulled from NIHMS
- View in PMC – full article text.
- View in NIHMS – citation only.

- Manual entries can be Edited or Deleted.

- Public Access reminders/notes.

- Connects to NIHMS using Commons login information.

**Notes:**
In a user's ERA Commons Profile, Public Access reminders and notes appear near the top of the screen.  There are links to NIHMS which use the Commons login information.  Publications entered manually in the commons can be edited or deleted.  Other publications can be automatically pulled into Commons from the NIHMS.  There are links in lists of the publications to allow viewing of full article text stored in PMC. Other articles can be viewed as NIHMS citations only.  NOTE: manually entered publications add to the user's profile in Commons, but this does not upload them into NIHMS.

Added slide 9/29/08

## eSNAP - Upload Science

**eSNAP - Upload Science**

- Information for PI and Multi-PI’s is pulled from NIHMS and manual Profile Publication entries.
- Updated in real time until submitted.
- User selects items to include in report.

- Users can manually enter citations within eSNAP.
- Manual entries saved in Publications section of Profile.

- Public Access reminder and notes.

-  Status of connection to NIHMS.

- PI responsible for *Upload Science* section of eSNAP.

**Notes:**
The upload science screen of eSNAP shows how to add publications that are associated with the project.  Users can enter citations manually under publication information.  Alternatively, they can link publications from the commons profile with the eSNAP

Added slide 9/29/08

## Part II - Appendix- overview of  instructions

**Part II - Appendix- overview of  instructions**

| Submission
Format | New Application | Renewal
(in addition to requirements for new applications) | Biographical Sketch |
| --- | --- | --- | --- |
| SF 424 (R&R) | Provide in Item 8 (Bibliography & References Cited) of the R&R Other Project Information a bibliography of any references cited in the Project Narrative. | List publications, manuscripts accepted for publication and other printed materials that resulted from the project since last reviewed competitively in the Progress Report Publication List of the Research Plan | Provide selected peer-reviewed publications or manuscripts in press in Section B of the Biographical Sketch upload of the R&R Senior/Key Person Profile.  |
| SF 424 (R&R) SBIR | Provide in Item 8 (Bibliography & References Cited) of the R&R Other Project Information a bibliography of any references cited in the Project Narrative. | Phase II applicants only should list the titles and complete references to all appropriate publications, manuscripts accepted for publication, and other printed materials, if any, that resulted from the Phase I effort, in the Progress Report Publication List of the Research Plan. | Provide selected peer-reviewed publications or manuscripts in press in Section B of the Biographical Sketch upload of the R&R Senior/Key Person Profile.  |

**Competing Applications**

**Notes:**
Added slide 9/29/08

## Competing Applications, Continued

**Competing Applications, Continued**

| Submission
Format | New Application | Renewal
(in addition to requirements for new applications) | Biographical Sketch |
| --- | --- | --- | --- |
| PHS 398 | Provide in the Bibliography and References Cited section of the Research Plan, a bibliography of any references cited in the Project Summary and Relevance section on Form Page 2. | Provide in the Progress Report Publication List of the Research Plan, a list of publications, manuscripts accepted for publication and other printed materials that resulted from the project since last reviewed competitively. | Provide selected peer-reviewed publications or manuscripts in press in the Biographical Sketch. |
| PHS 398 Career Development Award Application  (CDA) | Provide in the Bibliography and References Cited section of the Research Plan, a bibliography of any references cited in the Project Summary and Relevance section on Form Page 2. | Provide in the Progress Report Publication List of the Research Plan, a list of publications, manuscripts accepted for publication and other printed materials that resulted from the project since last reviewed competitively. | List all publications in the Biographical Sketch. Identify publications in the Biographical Sketch with a double asterisk if published during the previous period of support. |

**Notes:**
Added slide 9/29/08

## Competing Applications, Continued

**Competing Applications, Continued**

| Submission
Format | New Application | Renewal
(in addition to requirements for new applications) | Biographical Sketch |
| --- | --- | --- | --- |
| PHS 398 Training Application | Provide papers authored by trainees or potential trainees in Table 6 (Publications of Research completed by Trainees). | Update Table 6 with publications of trainees through the time that they complete their training.  Refer to instructions in 398, Part II, 8.9.6. | List Program Director publications in the Biographical Sketch. |
| PHS 416-1 Individual Fellowship Application | Reference applicable publications in the Research Training Plan under C. Preliminary Studies. | Reference appropriate publications in the Research Training Plan under C. Preliminary Studies, Progress Report for Competing Continuation Applications. | List pertinent publications in Section B of the Applicant/Fellow Biographical Sketch. |

**Notes:**
Added slide 9/29/08

## Noncompeting  Continuation Progress Reports

**Noncompeting  Continuation Progress Reports**

**Noncompeting Continuation Progress Reports**

| PHS 2590 | Report publications resulting directly from the grant that have not previously been reported, on Form Page 5 under a subheading E. Publications. |
| --- | --- |
| PHS 2590 CDA | Report publications resulting directly from the grant that have not previously been reported, on Form Page 5 under a subheading E. Publications. |
| PHS 2590 Institutional Training Grant | List all trainee publications not previously reported, including those by former trainees still in research training, on Form Page 5, under C. Trainees.  |
| eSNAP | When an eRA Commons eSNAP is initiated, a list of publications is automatically pulled into the Upload Science screen, for potential inclusion in the progress report, from two sources.  First, eRA Commons pulls citations from the NIH Manuscript Submission system (including the appropriate PMCIDs and NIHMSIDs) that can be attributed to any PD/PI identified on the Notice of Award. Second, the list contains all manual entries from the Publications section of all PDs/PIs Personal Profiles. These manual entries are displayed with the Citation Source of “PD/PI Entered” both within the eSNAP and within the Publications section of the user’s Personal Profile. 
Users must carefully review the publication list and “check” the checkbox of all citations to be associated with the report. The eSNAP user also has the option to manually add additional citations from within eSNAP. When manually entering citations, users should include the appropriate identifier as described above under Demonstrating Compliance.  It is important to verify that the NIH Manuscript Submission System Status shows “AVAILABLE” on the Upload Science page when preparing and submitting the eSNAP report to ensure that all appropriate citation information is included in the report. |
| PHS 416-9 Individual Fellowship | List publications on Form Page 2 under 17.B. Progress. |

**Notes:**
Added slide 9/29/08

## Guide Notice – Final Progress Reports

**Guide Notice – Final Progress Reports**

**Final Progress Reports**

| Prepare report in accord with instructions provided by awarding component.  | Include a list of publications resulting from the project, with plans, if any, for further publications.  See http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-051.html.
. |
| --- | --- |
| PHS 416-7  NRSA Termination Notice (trainees and fellows) | List any publications resulting from research during the period of the training in block 8 on form 416-7. |

**Notes:**
Added slide 9/29/08