Danielle Hoggan February 2016 NIH Public Access Compliance Learn How to Keep Your Grant Money Flowing Danielle Hoggan February 2016

Agenda Review of NIH Public Access Policy Review of Methods A – D for getting a paper into PubMed Central (i.e. making it compliant) How to show compliance On RPPR progress reports and also on grant applications, biosketches, etc. What to do for non-compliant publications How to respond to non-compliance email

Review: NIH Public Access Policy Who: All investigators funded by NIH What: Deposit an electronic version of the peer-reviewed manuscript upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication Where: National Library of Medicine’s PubMed Central (PMC) When: Effective as of April 7, 2008 Why: Ensures that the public has access to the published results of NIH-funded research

Agenda Review of NIH Public Access Policy Review of Methods A – D for getting a paper into PubMed Central (i.e. making it compliant) How to show compliance On RPPR progress reports and also on grant applications, biosketches, etc. What to do for non-compliant publications How to respond to non-compliance email

Process of Obtaining PMCID Always NIH Awardee’s responsibility to ensure compliance 4 Possible Deposit Methods Depends on agreement publisher has with NIH and copyright or license to publish agree author signs with publisher Method A – publisher and NIH Method B – publisher for fee ($1,000-3,000) Method C – author does entire deposit process Method D – publisher begins deposit, author must finish the process

Deposit Methods Method A Method B - $ Method D Method C 1st approval 2nd approval Method C

Method A: Fully Compliant Journals Journal submits all NIH funded articles directly to PMC System is aware of these and should mark them “In Process” in RPPR and yellow dot in My NCBI Use the phrase “PMC Journal – In Process” in biosketches and new grant applications ONLY journals on this list: http://publicaccess.nih.gov/submit_process_journals.htm

Method B: Paid Open Access Only if you pay the Publisher $1000 - $3000 Makes the article completely open access to the world And they send the final published PDF directly to PMC Only the articles you Pay $1000 - $3000 for ONLY publishers on this list can do this http://publicaccess.nih.gov/select_deposit_publishers.htm#b Most people do NOT use this option

Method C: Author submits Author actions NIHMS or others’ actions PI or author Submits peer-reviewed manuscript to the NIHMS System; NIHMS assigned … …And at the same time, Approves Submission and adds grant NIHMS Staff prepare a web tagged version; (takes several weeks) PI or designated author receives email from NIHMS to Approve Web Version PMCID assigned

Method D: Publisher Begins Submission Author actions NIHMS or others’ actions Publisher Submits peer-reviewed manuscript to the NIHMS System; NIHMS assigned Immediately email Corresponding author receives email from NIHMS System to Approve Submission and add grants NIHMS Staff prepare a web tagged version; (takes several weeks) PI or designated author receives email from NIHMS to Approve Web Version PMCID assigned

Agenda Review of NIH Public Access Policy Review of Methods A – D for getting a paper into PubMed Central (i.e. making it compliant) How to show compliance On RPPR progress reports and also on grant applications, biosketches, etc. What to do for non-compliant publications How to respond to non-compliance email

Show Compliance: PMCID Must include the PubMed Central reference number (PMCID) when citing an article that falls under the policy and is authored or co-authored by the investigator, or arose from the investigator’s NIH award. If the PMCID is not yet available, include the NIH Manuscript Submission reference number (NIHMS ID) for up to 3 months after publication of the article. Several exceptions: Not peer reviewed Not Latin Script Accepted prior to April 7, 2008 Not NIH-funded

How to show compliance Applications, biosketches, and paper reports Some applications, final progress reports, and administrative extensions are still done on paper. Also, this method applies to biosketches. Include PMCID at the end of the article citation. RPPR (Research Performance Progress Report) Electronic progress report module within eRA Commons used for most progress reports. Automatically checks that the publications you cite are compliant.

How to show compliance on applications, biosketches and paper (everything but an RPPR) Include PMCID at the end of the article citation. Example: Treweek J, Wee S, Koob GF, Dickerson TJ, Janda KD. 2007. Self-vaccination by methamphetamine glycation products chemically links chronic drug abuse and cardiovascular disease. Proc Natl Acad Sci USA. 104(28): 11580–11584. PMCID: PMC1913859. If you don’t have a PMCID yet, and the article is less than 3 months post-publication, include the NIHMSID instead. Machacek M, Hodgson L, Welch C, Elliott H, Pertz O, Nalbant P, Abell A, Johnson GL, Hahn KM, Danuser G. 2009. Coordination of Rho GTPase activities during cell protrusion. Nature. Sep 3;461(7260):99-103. NIHMSID: NIHMS127665.

How to show compliance on anything but an RPPR If it’s Method A, you can say “PMC Journal - In Process” Example: Fenwick RB, Dyson HJ. 2016. Classic Analysis of Biopolymer Dynamics Is Model Free. Biophys J. 110(1):3-6. PMC Journal – In Process If the article does NOT fall under the NIH Policy, you don’t have to add anything to the end of the citation. For example, if: Paper is not funded by NIH. Paper was accepted for publication before April 7, 2008. Paper was not peer-reviewed. Paper is written in non-Latin script (e.g. Russian, Japanese)

How to Show Compliance in RPPR It starts when you put the papers you want to cite on your RPPR progress report into your My NCBI / My Bibliography. Go to PubMed and login.

Show Compliance: My NCBI Associated with PubMed Log in via eRA Commons button Uses eRA Commons login credentials First time will ask to link to your email/eRA Commons Always login via eRA Commons button

Click “Manage My Bibliography” to get to this view.

List of Publications – My Bibliography Add all publications by researcher to My Bibliography. Add citations from PubMed.

List of Publications – My Bibliography Add other citations manually.

My NCBI/My Bibliography Show Compliance: My NCBI/My Bibliography

Show Compliance: My NCBI/My Bibliography

Show Compliance: My NCBI/My Bibliography

RPPR Section C: Products Section C is where you list the products of your research C.1 Publications This is where NIH Public Access Policy and PMCID numbers are involved. C.2 Websites C.3 Technologies or techniques C.4 Inventions, patent applications and/or licenses C.5 Other products or resources Audio or video, data and research material (e.g., cell lines, DNA probes, animal models); databases; educational aids or curricula; instruments or equipment; models; protocols; and software or netware.

Show Compliance: RPPR / C. Products

Agenda Review of NIH Public Access Policy Review of Methods A – D for getting a paper into PubMed Central (i.e. making it compliant) How to show compliance On RPPR progress reports and also on grant applications, biosketches, etc. What to do for non-compliant publications How to respond to non-compliance email

What Happens RPPR with a non-compliant publication – generates an automatic email Response is required by two weeks prior to the next budget start date Respond with PDF generated from My NCBI, send it to grant administrator in OSP Award will be delayed until a reply is received with evidence of compliance or a satisfactory exception

Non-Compliant Publications What to do when there is no PMCID? Determine if an exception applies: Accepted prior to April 7, 2008 Not peer reviewed Not Latin Script Check My NCBI for NIHMSID Contact Publisher (Method D) and/or NIHMS System to see if submission was started Submit manuscript to NIHMS System And -- Call the Library for help!

Agenda Review of NIH Public Access Policy Review of Methods A – D for getting a paper into PubMed Central (i.e. making it compliant) How to show compliance On RPPR progress reports and also on grant applications, biosketches, etc. What to do for non-compliant publications How to respond to non-compliance email

Responding to Non-compliant email NIH requires PMCID to show compliance. Unless the paper was published less than 3 months ago, in which case an NIHMSID is sufficient. Generate “PDF Report” inside My NCBI/My Bibliography Mark the articles to include, Click the “PDF report” button, Fill in the name fields. Email PDF to your grant administrator at OSP. (Reply to everyone on the warning email.)

My NCBI PDF Report

My NCBI PDF Report

My NCBI PDF Report Reply to all on the original non-compliance email and attach the PDF.

PRAM Progress Report Additional Materials Send PDF from My NCBI to OSP grant administrator They can attach it to PRAM/route to NIH Only used for addressing compliance Can be found in the Status section of eRA Commons

PRAM

Questions NIH Policy guide at TSRI http://library.scripps.edu/nihpolicy Kresge Library helplib@scripps.edu 858-784-8705 http://www.scripps.edu/library/