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NIH Public Access Policy

NIH Public Access

The Fair Copyright in Research Works Act was introduced in September 2008 and could pose repercussions for the NIH Public Access Policy. Follow the progress of this legislation:

Key Points

As of April 7, 2008:

The NIH Public Access Policy stipulates that as of FY2008, NIH-funded investigators are required to submit (or have submitted for them) their final, peer reviewed manuscript to PubMed Central (PMC) upon acceptance of publication to be made publicly available within 12 months of publication. This policy applies to NIH-funded manuscripts accepted for publication on or after April 7, 2008.

As of May 25, 2008:

NIH applications, proposals and progress reports 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. This policy includes applications, proposals and progress reports submitted to the NIH for the May 25, 2008 due date and subsequent due dates.

The revised Public Access Policy replaces the former policy, implemented in May 2005 that strongly encouraged, but not required, NIH-funded authors to submit a copy of their peer reviewed manuscript to PMC.

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When is Compliance Required?

Compliance is tied to current NIH funding as of FY2008, and the date of acceptance of the publication. Compliance is required under the following scenarios:

  • Manuscript generated by NIH FY2008 (or beyond) grant or cooperative agreement and accepted for publication on or after April 7, 2008
  • Manuscript generated by a continuing NIH grant or cooperative agreement that is active in FY 2008 (or beyond) and accepted for publication on or after April 7, 2008
  • Manuscript generated by NIH contract awarded after April 7, 2008

 

Who is Responsible for Compliance?

Institutions and Principal Investigators (PI) are responsible for compliance. The PI of the grant is also responsible even if they are not an author or co-author of a publication that falls under the revised NIH policy.

What is a Final, Peer Reviewed Manuscript?

The final, peer-reviewed manuscript is defined by NIH as:

“The Investigator’s final manuscript of a peer-reviewed article accepted for journal publication, including all modifications from the peer review process.” It also includes all graphics and supplemental materials associated with the work.

It does not apply to non peer-reviewed materials such as correspondence, book chapters, and editorials.

What is PubMed Central?

PubMed Central (PMC) is the U.S. National Institutes of Health (NIH) free digital archive of biomedical and life sciences journal literature.

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How to Comply

Compliance involves retaining the right to comply, submitting the peer reviewed manuscript to PMC upon acceptance of publication (in many instances the journal publisher will submit on behalf of authors), approving the submission, and citing the PMCID reference number in future NIH proposals, applications and progress reports.

There are many journal publishers that cooperate with NIH and submit the final published version to PMC with no embargo period on behalf of authors. If authors publish in one of these journals, no further action is required for compliance except to cite the PMCID reference number in future NIH applications, proposals and progress reports.

Some journals on the NIH Journal List include PNAS, Blood, The Journal of Cell Biology, BMC Biology, with more journal titles being added frequently.

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Confirm and Secure the Right to Comply

The first step for compliance is to check the NIH Journal List. If the journal being considered for publication is on this list, then the only step for compliance to follow is to cite the PMCID reference number. See Cite the PMCID.

If the journal being considered for publication is not on the NIH Journal List, then authors will need to ensure that they follow copyright law by retaining the right from publishers to comply with the NIH policy.

Authors are strongly encouraged to seek confirmation from journal publishers before submitting a manuscript for peer review to verify that the publisher will allow for compliance with the NIH policy. The NIH Public Access Policy stipulates that:

NIH-funded investigators are required to submit (or have submitted for them) their final, peer reviewed manuscript to PubMed Central (PMC) upon acceptance of publication to be made publicly available within 12 months of publication.

NIH recommends that “authors should avoid signing any agreements with publishers that do not allow the author to comply with the NIH Public Access Policy.”

 

How to Confirm?
  • Review the publisher copyright agreement form.
  • Review the “Instructions for Authors” or “NIH Public Access Policy Information” sections on the journal web site.

Many journal publishers grant authors the right to comply and also submit the peer reviewed version to PMC on behalf authors in full compliance with the NIH Public Access Policy. Authors should confirm that the journal publisher’s policy for NIH-funded authors reflects the revised NIH Public Access Policy and that the publisher’s copyright agreement form includes this information before signing.

An example of a journal policy that reflects the revised NIH Public Access Policy is Clinical Cancer Research (http://clincancerres.aacrjournals.org/misc/ifora.shtml#h) – scroll down to the Funding Agencies Requirements section. The copyright agreement form for Clinical Cancer Research also reflects the revised NIH Public Access Policy.

If there is no clause on the publisher copyright agreement form or information on the journal web site, contact the journal publisher or Editor in Chief of the journal and ask for clarification of their policies for NIH-funded authors as per NIH Public Access Policy. A letter from the Vice Chancellor for Research is available for authors to send to publishers for clarification of policies for NIH-funded authors. Many journal publishers allow authors the right to comply with the NIH Public Access Policy but do not include this information on the publisher copyright agreement form or journal web site.

If the journal publisher allows authors to comply, confirm that that this language is included on the publisher copyright form before signing. If not, authors should follow-up and see if the publisher will send a revised form or if the publisher will accept the use of the NIH Addendum Form. This form includes the language recommended by NIH in order for authors to retain the right to comply with the NIH policy. Instructions are noted on the form.

“Journal acknowledges that Author retains the right to provide a copy of the final manuscript to the NIH upon acceptance for Journal publication, for public archiving in PubMed Central as soon as possible but no later than 12 months after publication by Journal.”

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Submit to PMC

There are three options for submittal of the work: journal publisher submits on behalf of authors, author self-submits or third party submits on behalf of authors. Regardless of who submits, submission must be done upon acceptance of publication and the work must be made publicly available in PMC within 12 months of publication.

Journal Publisher Submits

Many journal publishers submit the peer reviewed version on behalf of authors with some allowing for the final published version. However before signing the publisher copyright agreement form, authors should verify that the journal publisher:

  • Submits upon acceptance of publication
  • Allows the work to be publicly available in PMC within 12 months of publication

If the journal publisher does not follow both steps in submitting on behalf of authors, then authors will need to negotiate before signing the copyright agreement or use another journal publisher in order to be in full compliance with the NIH Public Access Policy.

Self-Submit

If the journal publisher does not submit to PMC on behalf of authors, the author (if multiple PI authors, assign one as the corresponding PI) will need to prepare for submittal.

Before self-submitting, authors will need to find out the stipulations that some journal publishers require authors to follow. Stipulations are usually listed in the publisher copyright agreement form or on the journal web site.

Some stipulations include:

  • Embargo period (12 months maximum as per NIH)
  • Version to post (peer-reviewed version or final published version)
  • Noting a Digital Object Identifier (DOI) for the final published version
  • Statement as specified by the publisher
  • Link to the journal publisher
  • Link to the final published version on the journal web site
  • Noting the full citation of the work

Self submit using the NIH Manuscript Submission System (NIHMS) via eRA account. NIH requires the final peer reviewed version but some journal publishers may allow authors to post the final published version (check the journal publisher stipulations). Authors should also be aware that any supplemental data or images associated with the manuscript are considered part of the manuscript as per NIH policy so these files will also need to be submitted. When submission is complete, authors should note the NIHMS ID reference number. NIH estimates the self-submit process should take between 3-10 minutes.

The author will need the following materials:

  • PI name and email
  • Title of the journal
  • Title of the manuscript
  • Final peer-reviewed version of the manuscript (or final published version if journal allows)
  • Supplemental materials or graphics associated with the manuscript
  • Grant number/s (full alpha numeric number)*
  • All information as necessary for following the stipulations as set forth by some journal publishers including the embargo period

*Multiple grant awards can be entered for a single publication

The next step for compliance is for the PI to approve the submission. See Approve the Submission.

 

Third Party Submits

Authors can also designate a third party to handle submissions on their behalf. Third party submissions can be processed via a free MyNCBI account available from PubMed.

Third party submitters will need the following materials:

  • PI name and email
  • Title of the journal
  • Title of the manuscript
  • Final peer-reviewed version of the manuscript (or final published version if journal allows)
  • Supplemental materials or graphics associated with the manuscript
  • Grant number/s (full alpha numeric number)*
  • All information as necessary for following the stipulations as set forth by some journal publishers

*Multiple grant awards can be entered for a single publication

Becker Library Submits

Another option is to use Becker Library’s third party submitter services. Becker Library provides third party submitter services for WU authors on the School of Medicine and Danforth campuses. Before Becker Library can submit on behalf of authors, we require confirmation that the author retained the right to comply with the NIH Public Access Policy. Becker Library will also follow-up with publishers to find out stipulations for posting.

Materials Needed:

  • PI Author name and email
  • Title of the journal
  • Title of the manuscript
  • Grant number/s (full alpha numeric number)*
  • Manuscript files (Word, Excel, PowerPoint, TIFF, JPEG, PDF, etc)
  • Supplemental data or images associated with the manuscript
  • Embargo period as specified by publisher and any other known publisher instructions

*Multiple grant awards can be entered for a single publication

Send all materials to Cathy Sarli.

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Approve the Submission

The next step for compliance is PI approval of the submission by responding to emails from NIHMS. Approval involves initial verification of the submitted manuscript; providing grant award and embargo period information, if needed; and a final review of the web version before PMC posting. Note: PIs will be prompted by NIHMS to create an eRA Commons account if there is none for that PI.

Publisher Submits:

The PI will receive two emails from NIHMS.

  1. “Approve PDF Receipt.” The PI will be prompted to review the PDF to verify that it is the correct manuscript and enter the grant information. NIHMS will convert the PDF to a version suitable for viewing on the web.
  2. “Approve Web Version.” The PI will be prompted to do a final review before posting to PMC.
Author Self-Submits:

The PI will receive one email from NIHMS:

  1. “Approve Web Version.” The PI will be prompted to do a final review before posting to PMC.
Third Party or Becker Library Submits:

The PI will receive two emails from NIHMS.

  1. “Approve PDF Receipt.” The PI will be prompted to review the PDF to verify that it is the correct manuscript, enter the grant information and assign the embargo period as stipulated by the publisher (maximum of 12 months). NIHMS will convert the PDF to a version suitable for viewing on the web.
  2. “Approve Web Version.” The PI will be prompted to do a final review before posting to PMC.

NIHMS will send reminder emails to PIs if emails are unanswered. PIs must approve these submissions in order to ensure full compliance with the NIH Public Access Policy.

 

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Cite the PMCID

The final step for compliance is to cite the PubMed Central reference number reference number (PMCID).

NIH applications, proposals and progress reports must include the 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. This policy includes applications, proposals and progress reports submitted to the NIH for the May 25, 2008 due date and subsequent due dates.

Example of how to cite the PMCID:

Zero, EA. (2003) A New Vision for the National Institutes of Health. Journal of Biomedicine and Biotechnology (3), 159-160. PMCID: 400215

If the PMICID reference number is not available, use the NIHMS ID reference number. If neither the PMCID nor the NIHMS ID reference numbers are available, cite as “PMCID pending.”

Note as of April 28, 2008:
NIH has reported that there may be delay in assigning a PMCID to articles submitted from journals that participate with NIH (http://publicaccess.nih.gov/submit_process_journals.htm). NIH is requesting that these citations be noted as “PMC Journal – In Process” until the PMCID is available.

 

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Becker Services for NIH-Funded Authors at WU

To help faculty and departments prepare for the implementation of the new policy, the Office of the Vice Chancellor for Research and the Becker Library are working together to provide resources and services to assist authors on both the Danforth and School of Medicine campuses with meeting the new requirements. Among the resources and services we offer are:

  • Third party submitter services
  • Guidance to authors on how to retain the right to comply
  • Locate journal polices on behalf of NIH-funded authors
  • Provide a listing of peer reviewed journals that allow for NIH policy compliance
  • Provide a listing of NIH funded publications from a department, program or division or by author/s at WU
  • Locate the PubMed Central Reference Number (PMCID)

In addition, the Becker Library is currently offering customized presentations on the NIH policy to departments or groups. To schedule a presentation for your department, please contact Cathy Sarli, the Becker Library’s Scholarly Communications Specialist, or a Subject Librarian at the Danforth Campus Libraries.

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Presentations and Materials for Specific WU Departments

FAQs

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Resources

NIH
NIHMS
Washington University
Becker Medical Library
Danforth Campus Libraries

 

Have questions? Need Assistance?

Contact Cathy Sarli, sarlic@wustl.edu Becker Library Scholarly Communications Specialist, or a Subject Librarian at the Danforth Campus Libraries

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Last updated: October 1, 2008