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

2. 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

3. 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

4. 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

5. 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

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

7. 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:

8. Method B: Paid Open Access
Only if you pay the Publisher $ $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 $ $3000 for
ONLY publishers on this list can do this
Most people do NOT use this option

9. 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 from NIHMS to Approve Web Version
PMCID assigned

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

11. 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

12. 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

13. 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.

14. 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 Self-vaccination by methamphetamine glycation products chemically links chronic drug abuse and cardiovascular disease. Proc Natl Acad Sci USA. 104(28): 11580– PMCID: PMC
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 Coordination of Rho GTPase activities during cell protrusion. Nature. Sep 3;461(7260): NIHMSID: NIHMS

15. 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 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)

16. 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.

17. 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 /eRA Commons
Always login via eRA Commons button

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

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

21. List of Publications – My Bibliography
Add other citations manually.

23. My NCBI/My Bibliography
Show Compliance:
My NCBI/My Bibliography

24. Show Compliance: My NCBI/My Bibliography

25. Show Compliance: My NCBI/My Bibliography

26. 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.

27. Show Compliance:
RPPR / C. Products

28. 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

29. What Happens
RPPR with a non-compliant publication – generates an automatic
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

30. 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!

33. 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

34. 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.
PDF to your grant administrator at OSP. (Reply to everyone on the warning .)

35. My NCBI PDF Report

36. My NCBI PDF Report

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

38. 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

39. PRAM

40. Questions NIH Policy guide at TSRI
Kresge Library