While this is yet another federal mandate- called the NIH Public Access Policy and places a real compliance burden on research institutions, there are benefits and reasons for its new policy that will hopefully have a positive impact on all of us and on science and medicine in general. Help scientists access more literature Address constantly increasing journal subscription prices – placing burdens on libraries and institutions Help taxpayers – Scientists given gov’t grants; scientists provide journal content free; and their institutions/libraries then have to pay for access to their own content Also to preserve the system to some degree and help publishers – Embargo period Manuscript – not final published paper that is submitted. Compliance – is very important to preserve our funding
Dissemination of this work is greatly advanced by the NIH PA policy – both for scientists, as this quote indicates is so essential, and for the general public, who are supporting this work with their tax dollars and therefore by that token, do have rights to access it.
Here’s what I’ll be covering: Compliance is important in order to preserve our NIH funding!! EndNote demo for those who are interested +
This is the law that passed at the end of last year as part of the nation’s appropriations legislation. The law directed the NIH to adopt a policy – which they did –including these essentials: Final peer-reviewed manuscript– final edited copy, not in the publisher’s format yet. Submit to PMC upon acceptance for publication – meaning as soon as possible following acceptance – to comply, we should try to follow this as closely as possible. Designate when (up to 12 mos. after publication) it be made publicly available = embargo period Consistent with copyright law – should comply with publisher copyright transfer agreement. (more on that coming).
Reviews are included only if they are peer-reviewed, which is not normally the case.
NCBI= National Center for Biotechnology Information
PubMed – You can link out from it to PMC or to a journal site to obtain the full text article Each article in PubMed has a PMID; only the articles in PMC have a PMCID
Submission method: A,B,C, or D Version – final published copy; or final peer-reviewed manuscript Who will submit? Author or intermediary; or publisher When? Should be submitted upon approval for publication Who will approve the submission? Usually the corresponding author When will the paper be made public on PMC? This is the embargo period.
Determine Applicability -- Does the policy apply to your paper? Is it peer-reviewed and did you use NIH funding? Was it accepted on or after April 7, 2008? Address Copyright - Ensure publishing agreement allows paper posting to PMC -- via the Library -- or -- ensure Publisher does it -- 3. Cite PMCID number in grants
Most copyright agreements now allow posting; Corresponding authors need to take charge of this, -- or any author, if he’s NIH funded and no other collaborating author is. NIH says you should not publish in a journal that doesn’t allow posting – not really an issue any more. Some journals do the posting for you. – either final paper (no further action required by you); or manuscript version (you must complete approvals!)
Link to our website- Show main page first; Also have links to posting policies, alphabetical by journal title -Show color-coded list. Links to other sites that list policies Links to FAQ’s journals list next;– “Cancer” J Biol Chem Cancer Research Submission request form next
The 4 methods (A –D) vary on two dimensions: The format of the paper submitted: either the final published paper (Methods A and B) or the final peer-reviewed manuscript (Methods C and D), Who does the submission: Either the publisher (Methods A, and B – by author arrangement), or the author or his intermediary (Method C) or in Method D – the publisher begins the process, but the author must approve the submissions in order to finalize the process.. Method A: The list of journals approved to do this submission is on the Public Access Policy website and on our website – and some are incorporated into our Deposit/No Deposit list The final publishers version is what is deposited here – Authors just need to await the PMCID no. which will appear in PubMed and PMC once the process is complete.
Some publishers have an arrangement with NIH to deposit individual final published articles in PubMed Central (PMC) on a case-by-case basis. These journals do not automatically deposit every NIH-funded paper in PMC. Rather, the author can choose to arrange with the journal for the deposit of a specific article; this usually involves choosing the journal’s fee-based open access option for publishing that article. The publisher programs that have this arrangement with NIH are: ACS AuthorChoice APA Open Access BMJ Unlocked IUCr Open Access Portland Press Opt2Pay SAGE Open Society for Endocrinology Open Access Springer Open Choice Taylor & Francis iOpenAccess Wiley-Blackwell Online Open
Institutions and investigators are responsible for ensuring that manuscripts are submitted upon acceptance for publication
Show submission request form to submit Submission request form next
Complete;hit “Send” and Lydia or another library staff member will receive your request. You will receive a confirmation email requesting that you send your final peer-reviewed manuscript and and associated figures in one or separate files, depending on how they are formatted.
You will need to indicate this on the email you get once a paper is submitted on your behalf The corresponding author will receive two emails and will need to approve each in order for the process to be completed. Often indicated on author agreement. Look for the embargo period. Is time period– AFTER publication- NOT after submission -- this is around the time when PMCID no. is assigned. Some journals allow immediate full text access; some have a number of months after publication– If the embargo period is beyond 12 mos., it doesn’t comply with the mandate. The publisher designates the embargo period; it’s usually 12 months. If you can’t locate it, the library will help with this too..
Make sure you indicate to the publisher that you are NIH funded – and need them to submit your papter! Institutions and investigators are responsible for ensuring that manuscripts are submitted upon acceptance for publication.
– There is one Elsevier journal that is an exception to this rule: Journal of Urology!! This is the manuscript only (not the final article); that’s why you still have to go in and approve it!– VERY IMPORTANT to complete this step, in order to obtain the PMCID no. Elsevier functions this way. These are listed in red on our list. You may have to notify them that you are an NIH grantee and then you will need to go into the NIH MS system and approve the web version of your manuscript. You will receive two separate emails requesting approval of your manuscript. You must respond to these! Emails go to the investigator – not the AA; he/she may forward them to you.
Temp no. first. = NIHMS no. – Get this no. to Use in grant citations until PMCID (permanent no. is assigned)- around the time of publication- YOUR PI MAY BE THE ONE TO GET THIS. First, Lydia will need to review the PDF just to make sure it looks like everything is there. The author will also be emailed twice to review the pdf and or web format and give approval to the posting.– NIHMS no. is part of this mailing You will also be emailed to logon to the eGrants system and approve the web formatted version of the article. That completes the process and I believe you will then need to seek the PMCID no. in PubMed or PMC. – which should appear shortly after the process is completed, as soon as there is a record for the reference in PubMed At some point you are asked for the embargo period – try to get this right!
Probably beginning in August – you won’t be able to use the NIHMS no. if an article is more than 3 mos. Old. PMCID no. assigned usually around the time the article is published. (However, we seem to have quite a few articles floating around without PMCIDs!) We will need them for the Core Grant renewal, so we’re workikng on this. If you have any without them, please pursue!!!
The NIH hook: You must do this, so don’t wait until grant time to recognize that you don’t have the required number and then come to the library for posting, although, if you do, we will do it for you. Liz will show you how to do this in EndNote In August, they will likely enact a 3-month limit on the use of the NIHMS ID –So, 3 mos. sfter the publication date of an article, it will need to have a PMCID. An NIHMS will no longer be acceptable to demonstrate compliance.
Locate PMCID no. in PubMed on the Abstracts – at bottom right. – as opposed to the PMID number. WE DO NOT OBTAIN THIS NUMBER – IT HAS TO BE SOUGHT IN PUBMED The PMCID is posted in PubMed as soon as an article has been successfully processed by PMC, which usually occurs around the time of publication Library can locate it for you Show PubMed search and limit to PMC See also link back to full text in PMC.
The PMCID and the temp no. will also at the top of the abstract (HTML version) in PMC – This is the PDF version. Ask the library to locate it if you need it. Journals submitting for you submit the final published version, not this manuscript version.
Use if you have a legit reason to not have a PMCID or NIHMS. Keep checking PubMed or PMC for the PMCID no. NO NIH funding used? See: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-119.html Second list is for those with Open Choice, individual article agreements!!!
Make sure the copyright transfer agreement allows posting the article to a repository like PubMed Central 4. Labels on citations in grants, progress reports, biosketches are required. Make sure you follow up on each paper that falls under the policy- to get those PMCIDs!
Final peer-reviewed manuscript is the version to submit in Methods C and D– when either the author (or his intermediary) or the publisher (not on the approved PMC “list”) does the submission. This is the version with all of the changes made, so that the publisher says “OK, I’m going to publish that.”. The final published article includes the stylistic and formatting changes and edits done by the publisher.. The NIH expects the author to ensure that the manuscript version has the same scientific content as the final published article. The look may different, but the facts should be the same.(per Neil Thakur’s MLA video webcast, 2009 MLA Annual Meeting) In Methods A and B, when the publisher from the approved list submits, or because the author paid a publishef for an Open Choice option,it’s the final published article that is submitted.
Corresponding author may not have responded to NIH email to approve the paper; or he perhaps never gave you the NIHMSID . The publisher should have the NIHMSID as soon as it does the submission If the publisher is not cooperating, the institution must address this with the publisher (See Thakur advice).
Liz will show this – It works with the NIH style.
See “Contact Us” on NIH PA homepage
NIH Public Access Policy-
Karen M. Albert, MLS, AHIP
Senior Director, Education & Information Services
“…“…publication is the lifeblood in the career of a workingpublication is the lifeblood in the career of a working
scientist. Publication is the means by which anscientist. Publication is the means by which an
investigator tells his or her colleagues, the world ininvestigator tells his or her colleagues, the world in
general, and posterity about what he or she hasgeneral, and posterity about what he or she has
found in the course of doing experiments…”found in the course of doing experiments…”
Harold Varmus ,Harold Varmus , The Art and Politics of Science (2009), pg247
Outline and Objectives
Brief policy overview
How to comply-Library support
Typical problems – solutions
Gain a basic understanding of the policy and how
Learn how the Library can help
NIH Public Access Policy
Signed into law December 2007
Formerly a recommendation, now a requirement
Pressure to make results of tax-payer funded
research accessible to the public
“To ensure that the public has access to the
published results of NIH-funded research to help
advance science and improve human health.”
The Law --
NIH Public Access Policy
Requires all investigators funded by the NIH to submit or have
submitted for them to . . . 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. . .
in a manner consistent with copyright law.
--Responsibility of the grantee to ensure articles are submitted
Policy Applies to Any Final
Manuscript that ….
Is peer-reviewed, and
Accepted for publication in a journal on or after April
7, 2008, and
Direct funding from an NIH grant or cooperative
Direct funding from an NIH contract signed on or
after April 7, 2008
Does NOT apply to non-peer-reviewed materials
such as letters, editorials or book chapters
U.S. Government Initiative:
PubMed Central (PMC)
Free digital archive of biomedical & life
sciences journal literature
Developed & managed by NIH/NLM/NCBI
Publishers deposit electronic content
Content available immediately or after a
specified embargo period
Voluntary participation by publishers was
PubMed vs. PubMed Central
PubMed Central (PMC)
Digital archive of full-text, peer-reviewed journal papers
Each paper indexed with a PMCID
Series of numbers preceded by ‘PMC’
Content is publicly accessible and integrated with other
Provides access to citations from biomedical literature.
Includes 17 million+ citations from MEDLINE and other life
Science journals for biomedical articles back to the 1950s
Links to full text articles and other scientific resources.
Each citation indexed with a PMID
Points to consider in
Which submission method will be used?
What version of the paper will be made available
Who will submit the paper?
When will it be submitted?
Who will approve the submission?
When will the paper be made public on PMC?
How to Comply
Step 1-Address copyright
Before signing a copyright transfer agreement,
make sure the publisher permits deposit of the
article in PubMed Central (via NIHMS System)
How to Comply
Step 2- Check Library website for
journal/publisher policies – Some journals post
See Journal Deposit/No Deposit List
Library website: http://www.fccc.edu/library/talbot
How to Comply
Step 3 -
Submit article to NIH - 4 Methods:
Method A: Publish in a journal on this
list that deposits all NIH-funded
final published articles in PMC
without author involvement -
How to Comply
Method B: Make arrangements to have a
publisher on this list deposit a specific
final published article in PubMed Central.
This is generally an “Open Choice”-
author-pays model- which costs $$$
How to Comply
Method C: Deposit the final peer-reviewed manuscript
in PMC yourself via the NIH Manuscript System (
The Library will do this for you!
Library website: http://www.fccc.edu/library/talbot
Library’s submission request form
The number of months after publication
that the full-text manuscript can be
made freely available in PubMed
-- usually 12 months --
Journal Embargo Period
Author approval still required
NIHMS emails corresponding author to
Can be done only by authors who log into NIHMS with
an eRA Commons Account or NIH Account.
NIHMS emails author again to approve
PMC-formatted manuscript for public
After specified delay period, NIHMS
automatically sends article to PMC for
How to comply-
Publisher submits -- Author Approves
Method D: Complete the submission
process for a final peer-reviewed
manuscript that the publisher has
deposited in the NIHMS.
Some publishers (like Elsevier) submit final manuscripts
to PMC on behalf of authors.-- You still have to
approve the manuscript via the NIH
Manuscript Submission system
Publishers that submit, but
require PI approval
Elsevier (except for J Urology)
Taylor and Francis
Oxford U. Press
Nature – some journals
Lippincott Williams and Wilkins
Method D – Process Details
Publishers submit the manuscript to NIHMS
NIHMS emails the corresponding author
Author must approve the manuscript
Author receives NIHMS number
NIHMS emails corresponding author again
Author approves PMC-formatted version for public display
Once the process is complete, NIHMS emails all authors the
citation and PMCID no.
After specified delay period, NIHMS automatically sends article to PMC
for public posting
One of the Two approval
How to Comply
Step 4 - Demonstrate Compliance
Cite NIHMS (temporary number)
Cite PMCID (permanent number)
Provide reason article does not fall under the policy
How to Comply: Cite
In all grant applications, renewals, progress reports or
List the PubMed Central reference number (PMCID) at end of journal citation.
If a PMCID number is not yet available, include the NIH Manuscript Submission
system reference number (NIHMS ID) instead.
See “Citation Methods” Web page at
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
PubMed: Abstract or Abstract Plus Format
PubMed Central (PMC)-
PMID to PMCID Converter
Use this link to find PMCID numbersUse this link to find PMCID numbers
when you have the PMID number:when you have the PMID number:
NIH Grantee Compliance Reminder-
Explanations to use for lack of required #’s:
“Paper accepted prior to April 7, 2008”
“Paper was not peer-reviewed”
“PMC Journal – In Process”
Papers from journals that submit final published version
directly to PMC on behalf of authors NOTE:
Use only for Methods A or B journals
Summary of Steps
Step 1 -- Address Copyright
Step 2 -- Identify Journal Submission Policy
Step 3 -- Submit article to NIH
(via Methods A, B, C or D)
Method A: Journal submits final article of PMC
Method B: Author-pays an Open Choice fee; Journal submits final article to
Method C: Library submits; Author approves
Method D- Publisher submits; Author approves
Step 4 -- Demonstrate compliance
Which version should be submitted?
Final peer-reviewed manuscript: The
Investigator'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.
Problem with publisher submission
Where is my manuscript’s NIHMSID?
Three sources of information:
Ask the corresponding author- See Library’s
Ask the Publisher
Ask the NIHMS Help Desk
If no response, ask Library for help
To configure EndNote to include the
PubMed Central ID (PMCID):
See Library’s EndNote page -- scroll to
bottom or link here:
Contact the Library for help, if needed
Points to Remember
Act on accepted papers promptly
Follow up on all eligible papers to obtain
Email or call the Library for help:
email@example.com or x2711
See NIH Public Access Homepage: