The document summarizes the NIH public access policy and its implications for various stakeholders on university campuses. It discusses how the policy aims to improve access to NIH-funded research. It outlines the requirements for compliance, including ensuring grantees have rights to deposit manuscripts and setting appropriate embargo periods. It describes roles and opportunities for researchers, administrators, legal counsel, and librarians in supporting compliance and advancing open access more broadly.

1. Heather Joseph, Executive Director SPARC Washington, DC USA n THE SCHOLARLY PUBLISHING & ACADEMIC RESOURCES COALITION 21 Dupont Circle NW, Suite 800 Washington, DC 20036 (202) 296-2296 www.arl.org/sparc NIH Public Access Policy: Implications on Campus

2. Greater Access is Central to Higher Education “ The broad dissemination of the results of scholarly inquiry and discourse is essential for higher education to fulfill its long-standing commitment to the advancement and conveyance of knowledge. Indeed, it is mission critical .” -- U.S. University Provosts, in an Open Letter to the Higher Education Community in Support of Public Access Policies, 7/24/06

3. Goals of Public Access Policies Improve information access and sharing - fast, free electronic access to research Accelerate the pace of research - create rich resource for scientists to use in new and innovative ways Create permanently accessible archive Reduce systemic costs and eliminate inefficiencies Accountability - manage research portfolios effectively and transparently.

4. Who on Campus does this Policy Impact? NIH-funded faculty and researchers University Administration - Offices of Sponsored Research,University Legal Counsels, etc. Librarians, Repository Managers, etc.

5. Requirements for Compliance Compliance encompasses four actions: Ensure grantee has the rights needed to deposit manuscript into PubMed Central Make sure the manuscript is deposited into PMC and subsequently approved for public availability. Set embargo period (0-12 months) Properly cite article in Future NIH grant applications

6. Researchers: Ensuring Rights Become familiar with journal’s copyright policy before submitting articles and determine if additional rights are needed. Contact local copyright officer/counsel Contact publisher directly with questions If additional rights are needed: Check with your Office of Sponsored Research to determine if they have preferred mechanism for reserving these rights

7. Researchers: Ensuring Rights Consider adding NIH-suggested language into publishers’ copyright agreement: http://publicaccess.nih.gov/FAQ.htm#c3 Use the Author’s Addendum - can be generated using Scholar’s Copyright Addendum Engine. See: http://sciencecommons.org/projects/publishing/scae/ Note: These addenda offer options to retain rights beyond depositing in PMC, opportunity for education and additional rights retention.

8. Roles for Researchers: Enable Deposit /Set Embargo Author can deposit manuscript directly; 3rd party can submit on researchers’ behalf, or author can publish in journal who agrees to deposit content on their behalf. Request shortest embargo period appropriate for your discipline to help underscore community’s desire for prompt access (0 to 12 months.)

9. Roles for Researchers: Properly Cite Articles When citing an article in NIH applications, proposals and progress reports as of May 25, 2008 , authors must include the PubMed Central reference number (PMCID) at the end of the citation.

10. Opportunities for Researchers Greatly improves their access to NIH-funded research Improves the ability of others to gain greater access to their NIH-funded work Enhances their ability to use and apply research in new and innovative ways Promotes educated decisions about publishing venues Encourages active copyright management

11. Roles for Administrators and Legal Counsel In many cases, if the university receives NIH funds on behalf of investigators, responsibility for compliance with the NIH public Access Policy rests with they institution. Administrators can ensure awareness - use online system, (grants management systems, e-mail) to alert researchers to the policy. Initiate educational sessions to raise researcher awareness.

12. Roles for Administrators and Legal Counsel Assist authors in understanding current publisher agreements. Provide explicit help to researchers to ensure that appropriate rights are secured. Provide approved options for securing needed rights: Provide approved language for insertion into journal publications agreement Indicate institutions’ approval of use of available addenda- SPARC, Science Commons, MIT, etc.

13. Roles for Administrators and Legal Counsel Consider institutional strategy on policies on relating to copyright/rights retention, and modify if necessary. Become actively involved in monitoring researchers’ compliance with policy. Consider educational programs with libraries or repository managers. Work with libraries on transition strategies for re-allocation of subscription funds.

14. Opportunities for Administrators/Legal Counsel Opportunity to influence direction of institutional policies on access and use of research outputs. Chance to actively engage with faculty and librarians on advancing campus-wide solutions to critical scholarly communications issues. Collaboration between funding agency and institution to ensure compliance.

15. Roles for Librarians Expand existing Author Rights educational campaigns. Consider programs to offer education and assistance to authors - workshops, webcasts, podcasts, etc. Work with university’s legal counsel to educate authors on how to comply with policy. Encourage counsel to take a hands-on approach

16. Roles for Librarians Advocate for new institutional policies on copyright/rights retention and access to research results. Establish transition strategies to re-allocate subscription budgets to OA fees. Work with Research Administrators to establish programs to monitor compliance with research administration and/or repository managers

17. Opportunities for Librarians Create/deepen working relationship with Research Administrators, Legal Counsel Establish additional value-added services central to workflows; opportunity to engage faculty on wider range of schol comm. issues. Opportunity to advocate for new institutional policies on access and rights management. Direct opportunity to contribute to furthering of university’s mission

18. More Information www.arl.org/sparc www.taxpayeraccess.org www.plos.org www.biomedcentral.com www.publicaccess.nih.gov www.oaday.org