This presentation was provided by Sarah Young of Cornell University during a NISO webinar on the topic of Compliance With Funder mandates, held on September 14, 2016.

1. SarahYoung
Health Sciences Librarian
Cornell University Library
September 14, 2016
Libraries and
Public Access Policies
Helping researchers avoid compliance pitfalls

2. The Office of Science andTechnology Policy (OSTP)
“Federal agencies with more than $100M in R&D expenditures…to
make the published results of federally funded research freely
available…[and] to better account for…the digital data resulting
from federally funded scientific research”

3. The Office of Science andTechnology Policy (OSTP)
Department of Health and Human Services
Agency for Healthcare Research and Quality
Centers for Disease Control
Department of Homeland Security
Department of Defense
Department of Energy
Department of the Interior
Department ofTransportation
Department of Education
Environmental Protection Agency
Food and Drug Administration
Natl.Aeronautics and Space Administration
National Institutes of Health
Natl. Oceanic and Atmospheric
Administration
National Science Foundation
Smithsonian Institution
US Agency for International Development
US Department of Agriculture
US Department ofVeterans Affairs

4. “all investigators funded by the NIH submit … 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”

5. How libraries can help

6. The librarian’s role
• Logistics of getting a publication into compliance
• What, how, when, who
• Figuring out what went wrong
• Use of the various compliance platforms (NIHMS,
MyBibliography, SciENcv)
• Questions about author rights and copyright
• Tracking compliance

7. Helping researchers prepare for compliance
• Save and understand your author agreements
• Save the final, peer-reviewed manuscript (i.e.,
‘post-print’)
• Understand the requirements of your grant
• Understand role of the journal or publisher
• Use MyBibliography to track compliance

8. Common pitfalls and FAQs

9. Where things go wrong: Common pitfalls
• NIH email was missed
• Assumed the journal would submit on the authors’ behalf
but they didn't
• Didn't think the paper was subject to compliance
• Good news: most of the time things work well

10. Where things go wrong: Common problems
Problem:The first author no longer works at the institution
and nobody has the final, peer-reviewed manuscript
Solution: Contact the publisher to deposit the final version
or to get permission to deposit the final published version

11. Where things go wrong: Common problems
Problem: Designated NIHMS reviewer is not able/available
to review the submission
Solution: PI or another author can go into NIHMS and
claim the submission to assume the reviewer role and
complete the process

12. Researcher FAQs
Q: I acknowledged my funder in the
acknowledgements section of my manuscript.
Shouldn't the publisher then submit the paper
to PMC automatically?
A: No. Researchers should understand the
publisher’s role in the process, notify them of
their funding source, associate grants with
papers using MyBibliography and submit
papers to NIHMS themselves if necessary.

13. Researcher FAQs
Q: I have a progress report due and some of the
papers are not compliant. Can I just remove
them from the report and disassociate the
grant from the paper in MyBibliography?
A: No.You must include work funded by the
grant in your progress report. If they are non-
compliant, start the submission process as
soon as possible.

14. Researcher FAQs
Q: I published my manuscript in an open access
journal. Doesn't that make it compliant?
A: No. Public access policies require that the
manuscript be publically available in a
designated repository.

15. Researcher FAQs
Q: Do I have to pay the open access fee in order
to be compliant with the policy?
A: No. Public access policies allow for an embargo
period (12 months in the case of NIH), so a
traditionally published manuscript can still be
deposited and meet policy requirements.

16. Researcher FAQs
Q: I no longer have the final, peer-reviewed
manuscript. Can I just submit the final
published version?
A: No.Typically, the publisher owns the copyright
to the final published version. Contact the
publisher for permission to deposit this
version or request that they do so on your
behalf.

17. Efforts in
education and outreach

18. Education and outreach
Grant
administrators
Graduate Students
and
Research staff
Department
administrators
Faculty and PIs
Library staff

19. Education and outreach
• Roundtables for administrators in partnership with
your Office of Sponsored Programs
• Spreading the word at department faculty meetings
• Library workshops for faculty and graduate students

20. Education and outreach
• Providing web resources for top funders

21. blogs.cornell.edu/
publicaccesshelp/

22. blogs.cornell.edu/publicaccesshelp/nih/
Available for reuse at:

23. Education and outreach
• Providing web resources for top funders
• A contact person/group for help with compliance issues
• Direct outreach to PIs on grants with non-compliant
publications

24. Working with
campus partners

25. Working with campus partners
Office of Sponsored Programs
OSP: Understanding grant requirements, how to
report funded work, compliant and in-process
publications; other aspects of the grant reporting
process
Library support: logistics of compliance,
understanding publisher agreements and the role of
journals, using MyBiblography and NIHMS

26. Working with campus partners
Department administrators
Training in the use of MyBibliography as delegates for
department faculty
Training in how to make submissions to NIHMS on
behalf of Pis

27. Working with campus partners
Research data management services
Support the data side of public access policies including:
• help with data management plans
• preparing data for sharing
• identifying appropriate repositories
• training, education and outreach

28. blogs.cornell.edu/
publicaccesshelp/

29. data.research.cornell.edu/

30. Getting ahead on
support for new policies

31. Getting ahead on support for new policies
Department of Health and Human Services
Agency for Healthcare Research and Quality
Centers for Disease Control
Department of Homeland Security
Department of Defense
Department of Energy
Department of the Interior
Department ofTransportation
Department of Education
Environmental Protection Agency
Food and Drug Administration
Natl.Aeronautics and Space Administration
National Institutes of Health
Natl. Oceanic and Atmospheric
Administration
National Science Foundation
Smithsonian Institution
US Agency for International Development
US Department of Agriculture
US Department ofVeterans Affairs

32. Getting ahead on support for new policies
• Monitoring policies and effect dates
• Likely to be delay between effect dates and
enforcement
• Publication compliance will look different for many
agencies—different requirements, platforms, tools,
etc.
• Education and outreach early and often to establish
workflows before enforcement

33. Leveraging the liaison model
• A team effort for monitoring and supporting
federal public access policies and compliance
• Tailored and targeted workshops and outreach by
discipline

34. Resources
Oregon State University Libraries guide to data management plans
http://guides.library.oregonstate.edu/federaloa
Carnegie Mellon University’s Public Access Mandates & Policies page
http://library.cmu.edu/datapub/sc/publicaccess/policies/usgovfunders
Columbia University’s Scholarly Communication Program page
http://scholcomm.columbia.edu/open-access/public-access-mandates-for-federally-funded-research/
Detailed Collaborative Spreadsheet of Emerging Policies
http://bit.ly/1GMmQxl
DataQ
http://researchdataq.org/
DMP Tool
https://dmp.cdlib.org/

35. ThankYou!
SarahYoung
youngsar@gmail.com
@rootsandberries