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NIH Public Access Policy Chronology of Events

Date	Event	Supplemental Information
February 2000	PubMed Central(PMC) is started.	PubMed Central is a free digital archive of biomedical and life sciences journal literature at the U.S. National Institutes of Health (NIH), developed and managed by NIH’s National Center for Biotechnology Information (NCBI) in the National Library of Medicine (NLM).
July 14, 2004	U.S. House Appropriations Committee expresses concern about public access to research and recommends that NIH develop a policy to encourage investigators to submit NIH-funded manuscripts to PubMed Central. (H.R. 5006)	The Committee is very concerned that there is insufficient public access to reports and data resulting from NIH-funded research. This situation, which has been exacerbated by the dramatic rise in scientific journal subscription prices, is contrary to the best interests of the U.S. taxpayers who paid for this research. The Committee recommends that NIH develop a policy, to apply from FY 2005 forward, requiring that a complete electronic copy of any manuscript reporting work supported by NIH grants or contracts be provided to PMC upon acceptance of the manuscript for publication in any scientific journal listed in the NLM’s PubMed directory. Under this proposal, NLM would commence making these reports, together with supplemental materials, freely and continuously available six months after publication, or immediately in cases in which some or all of the publication costs are paid with NIH grant funds. For this purpose, ‘publication costs’ would include fees charged by a publisher, such as color and page charges, or fees for digital distribution. NIH is instructed to submit a report to the Committee by December 1, 2004 about how it intends to implement this policy, including how it will ensure the reservation of rights by the NIH grantee, if required, to permit placement of the article in PMC and to allow appropriate public uses of this literature.
Aug. 26, 2004	An Open Letter signed by 25 Nobel Prize Winners is sent to the U.S. Congress.	The signers expressed their support for “. . . an open, taxpayer access policy requiring that a complete electronic text of any manuscript reporting work supported by NIH grants or contracts be supplied to the National Library of Medicine’s PubMed Central.”
Sept. 3, 2004	NIH releases a report, Enhanced Public Access to NIH Research Information, to allow for public comment.	This notice is to announce and to seek public comments regarding NIH’s plans to facilitate enhanced public access to NIH health-related research information. NIH intends to request that its grantees and supported Principal Investigators provide the NIH with electronic copies of all final version manuscripts upon acceptance for publication if the research was supported in whole or in part by NIH funding. This would include all research grants, cooperative agreements, contracts, as well as National Research Service Award (NRSA) fellowships. We define final manuscript as the author’s version resulting after all modifications due to the peer review process. Submission of the final manuscript will provide NIH supported investigators with an alternate means by which they will meet and fulfill the requirement of the provision of one copy of each publication in the annual or final progress reports. Submission of the electronic versions of final manuscripts will be monitored as part of the annual grant progress review and close-out process.
July 2004	The House of Representatives approved the Appropriations Bill (H.R. 4818) which includes a provision calling for a voluntary NIH Policy that requests investigators to submit a copy of their NIH-funded manuscript for posting in PMC.
December 2004	Summary of Public Comments is released by NIH.	Total number of responses received was 6,249.
December 2004	The Enhanced Public Access to NIH Research policy is signed into law by President Bush.
Feb. 3, 2005	NIH releases new policy, Policy on Enhancing Public Access to Archived Publications Resulting from NIH-Funded Research, to take effect May 2, 2005.	The National Institutes of Health (NIH) announces its policy on enhancing public access to archived publications resulting from NIH-funded research. Beginning May 2, 2005, NIH-funded investigators are requested to submit to the NIH National Library of Medicine’s (NLM) PubMed Central (PMC) an electronic version of the author’s final manuscript upon acceptance for publication, resulting from research supported, in whole or in part, with direct costs from NIH. The author’s final manuscript is defined as the final version accepted for journal publication, and includes all modifications from the publishing peer review process.
Feb. 9, 2005	Final notice of the Policy on Enhancing Public Access to Archived Publications Resulting from NIH-Funded Research is noted in the Federal Register.	The Policy is intended to: (1) Create a stable archive of peer-reviewed research publications resulting from NIH-funded research to ensure the permanent preservation of these vital published research findings; (2) secure a searchable compendium of these peer reviewed research publications that NIH and its awardees can use to manage more efficiently and to understand better their research portfolios, monitor scientific productivity, and ultimately, help set research priorities; and (3) make published results of NIH-funded research more readily accessible to the public, health care providers, educators, and scientists.
Feb. 24, 2005	NIH releases Questions and Answers which includes an addendum that authors can use to retain the right to comply with the NIH Policy.	Can NIH provide language that could be used in a copyright agreement between an author or institution and a publisher? The Policy encourages authors to exercise their right to give NIH a copy of their final manuscript. While individual copyright arrangements can take many forms, NIH encourages investigators to sign agreements that specifically allow the manuscript to be deposited with NIH for public posting on PubMed Central as soon as possible after journal publication. Institutions and investigators may wish to develop particular contract terms in consultation with their own legal counsel, as appropriate. But, as an example, the kind of language that an author or institution might add to a copyright agreement includes the following: “Journal acknowledges that Author retains the right to provide a copy of the final manuscript to NIH upon acceptance for Journal publication or thereafter, for public archiving in PubMed Central as soon as possible after publication by Journal.”
Apr. 29, 2005	NIH releases Implementation of Policy on Enhancing Public Access to Archived Publications Resulting from NIH-Funded Research.	The Policy becomes effective May 2, 2005. The Policy requests and strongly encourages all NIH-funded investigators to make their peer-reviewed author’s final manuscripts available to other researchers and the public at the NIH National Library of Medicine’s PubMed Central (PMC) immediately after the final date of journal publication. At the time of submission, authors are given the option to release their manuscripts at a later time, up to 12 months after the official date of final publication. NIH expects that only in limited cases will authors deem it necessary to select the longest delay period.
May 2, 2005	NIH Public Access Policy becomes active.
Nov. 7, 2005	NIH releases a brochure on the NIH Public Access Policy.	Benefits to the Public: * Ensuring access to the full text of NIH-funded research publications will improve the public’s understanding and appreciation of biomedical research findings. * Enhanced access to information strengthens and expands the impact of research while disseminating it in a timelier manner. * The online archive will increase the public’s access to health related publications at a time when demand for such information is on a steady rise.
January 2006	Dr. Elias Zerhouni releases a progress report.	The progress report noted that the “rate of submission to the NIHMS system in the first eight months has been less than 4% of the total number of articles estimated to be eligible to have been added to PMC.”
July 2006	Elsevier agrees to directly deposit all NIH-funded articles on behalf of authors.	“Elsevier will send to PMC the version of the author’s manuscript that reflects any author-agreed changes made in response to peer-review comments, and authorize its public access posting 12 months after final publication.”
September 2006	“NIH Partners with Journal Publishers to Facilitate Submission for Public Access”	“Under the Public Access Policy, NIH investigators are free to publish in any journal they choose. We encourage authors to read their copy transfer agreements carefully and ensure that they do not waive their right to submit articles to PubMed Central. Journals often indicate their level of facilitation of Public Access in these agreements.”
Mar. 19, 2007	NIH Director Dr. Elias Zerhouni appeared before the Senate Labor/HHS Subcommittee on Appropriations and testified that the voluntary NIH policy was not working and recommended that it should be made mandatory.	Senator Harkin asked Dr. Zerhouni, “What scientific value does the public access policy provide, why should the policy be for twelve months and not six months and why does Congress have to legislate it?” Dr. Zerhouni responded that (in the current information age), publicly funded databases should be available, as long as peer-review is not sacrificed. He also stated that it’s important for NIH to have availability to the articles, as long as the individual journals are not harmed. Dr. Zerhouni pointed out that a six-month policy would harm the journals. In conclusion, Dr. Zerhouni said that it appears the policy must be mandatory for NIH to achieve its goals, but that he understands that there must be some flexibility with regard to the specific time-frame put into place. (Source: FASEB Washington Update)
July 8, 2007	An Open Letter signed by 26 Nobel Prize Winners is sent to the U.S. Congress.	“We firmly agree with NIH Director Elias Zerhouni, who indicated in his testimony to the Senate LHHS Appropriations Subcommittee this year that only a mandatory policy will be an effective policy. Requiring compliance is not a punitive measure, but rather a simple step to ensure that everyone, including scientists themselves, will reap the benefits that public access can provide.”
July 19, 2007	The House of Representatives approved the 2008 Appropriations bill (H.R.3043) that included language changing the NIH Public Access Policy from voluntary to mandatory by a 276 to 140 margin.
Oct. 23, 2007	The Senate approved the 2008 Appropriations bill (S. 1710) that included language changing the NIH Public Access Policy from voluntary to mandatory by a 75 to 19 voting margin.	Both H.R. 3043 and S. 1710 will proceed to a conference committee of senators and representatives to work out differences in the versions of the bill each chamber approved. The bill then goes to the President before becoming law. (Source: GovTrack.us) The specific language of the bill reads as follows: “The Director of the National Institutes of Health shall require that all investigators funded by the NIH submit or have submitted for them to the National Library of Medicine’s PubMed Central 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: Provided, That the NIH shall implement the public access policy in a manner consistent with copyright law.”
Nov. 13, 2007	President Bush vetoed the 2008 Appropriations bill.	“If Congress overrides the veto, then the OA mandate language will become law. Just like that. If Congress fails to override the veto, and modifies the LHHS appropriation instead, then the OA mandate is likely to survive intact.” (Source: Peter Suber, Open Access News, Tuesday November 13, 2007)
Nov. 15, 2007	The House of Representatives attempted to override the veto but failed.	Total votes were 277 Ayes, 141 Nays, 15 Present/Not Voting. (Source: GovTrack.us)
Dec. 19, 2007	Congress passes a new version of the 2008 Appropriations Bill, (H.R. 2764), which keeps the original language from the earlier version intact. See Oct. 23, 2007. President Bush is expected to sign the bill into law.
Dec. 26, 2007	President Bush signs the 2008 Appropriations Bill.	“Congress has just unlocked the taxpayers’ $29 billion investment in NIH,” said Heather Joseph, Executive Director of SPARC (the Scholarly Publishing and Academic Resources Coalition, a founding member of the ATA). “This policy will directly improve the sharing of scientific findings, the pace of medical advances, and the rate of return on benefits to the taxpayer.” (Source: Alliance for Taxpayer Access)
Jan. 11, 2008	NIH notice (NOT-OD-08-033), Revised Policy on Enhancing Public Access to Archived Publications Resulting from NIH-Funded Research is released.	Compliance with this Policy is a statutory requirement and a term and condition of the grant award and cooperative agreement. Specifics of the policy include: 1. The NIH Public Access Policy applies to all peer-reviewed articles that arise, in whole or in part, from direct costs funded by NIH, or from NIH staff, that are accepted for publication on or after April 7, 2008. 2. Institutions and investigators are responsible for ensuring that any publishing or copyright agreements concerning submitted articles fully comply with this Policy. 3. PubMed Central (PMC) is the NIH digital archive of full-text, peer-reviewed journal articles. Its content is publicly accessible and integrated with other databases. 4. The final, peer-reviewed manuscript includes all graphics and supplemental materials that are associated with the article. 5. Beginning May 25, 2008, anyone submitting an application, proposal or progress report to the NIH must include the PMC or NIH Manuscript Submission reference number when citing applicable articles that arise from their NIH funded research. This policy includes applications submitted to the NIH for the May 25, 2008 due date and subsequent due dates.
Mar. 20, 2008	Open Meeting on Public Access held by NIH (NOT-OD-08-057).	For related resources and to view the archived videocast of the Open Meeting, see http://publicaccess.nih.gov/comments.htm.
Mar. 28, 2008	Request for Information (NOT-OD-08-060) on the NIH Public Access Policy issued.	The RFI will be active from March 31st to May 31, 2008. After May 31st, NIH will analyze the submissions and issue a report by September 30, 2008. NIH is interested in feedback on the following: * Do you have recommendations for alternative implementation approaches to those already reflected in the NIH Public Access Policy? * In light of the change in law that makes NIH’s public access policy mandatory, do you have recommendations for monitoring and ensuring compliance with the NIH Public Access Policy? * In addition to the information already posted at http://publicaccess.nih.gov/communications.htm, what additional information, training or communications related to the NIH Public Access Policy would be helpful to you?
Sept. 9, 2008	Fair Copyright in Research Works Act bill introduced in the House of Representatives.	HR6845 includes a proposal to prohibit federal agencies from requiring a transfer of copyright for a work generated by federal funds.
Sept. 9, 2008	An Open Letter signed by 33 Nobel Prize Winners is sent to the US Congress (in response to the Fair Copyright in Research bill).	“As scientists and Nobel Laureates we are writing today to support the NIH Public Access Policy that was instituted earlier this year as a Congressional mandate. This is one of the most important public access initiatives ever undertaken… The current move by the publishers is wrong. The NIH came through with an enlightened policy that serves the best interest of science, the scientists who practice it, the students who read about it and the taxpayers who pay for it. The legislators who mandated this policy should be applauded and any attempts to weaken or reverse this policy should be halted.”
Sept. 23, 2008	NIH notice (NOT-OD-08-0233) Reminder Concerning Grantee Compliance with Public Access Policy and Related NIH Monitoring Activities issued.	Grantees are reminded to demonstrate compliance with the Public Access Policy when submitting an application, proposal, or progress report to the NIH. Grantees should include the PubMed Central (PMC) reference number (e.g., PMC234567) for each paper that was authored or co-authored by the applicant or arose from their NIH award, and that falls under the Policy.
Sept. 30, 2008	Analysis of Comments and Implementation of the NIH Public Access Policy issued by NIH.	“These first few months show the promise of a Public Access Policy requirement, its implementation, and the active support from the academic and publishing communities. However, work still remains, as over 40% applicable papers per month remain unsubmitted. Implementation and process refinement will be continuing in the coming months. NIH has established voluntary partnerships with many publishers to facilitate deposit of manuscripts and final published papers, and expects these partnerships to continue to expand, and the percentage of submitted papers to grow. NIH will also continue to engage the community as implementation proceeds to implement the policy in the most efficient and effective manner possible.”
Mar. 10, 2009	The Senate passed the 2009 Appropriations Act (H.R. 1105) that renews the NIH Public Access Policy for the 2009 fiscal year and “thereafter.”	H.R. 1105 Omnibus Appropriations Act 2009 SEC. 217. “The Director of the National Institutes of Health (“NIH”) shall require in the current fiscal year and thereafter that all investigators funded by the NIH submit or have submitted for them to the National Library of Medicine’s PubMed Central 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: Provided, That the NIH shall implement the public access policy in a manner consistent with copyright law.” (pp. 621-622)
Mar. 11, 2009	President Obama signs the 2009 Appropriations Bill.	“President Obama yesterday signed into law the 2009 Consolidated Appropriations Act, which includes a provision making the National Institutes’ of Health (NIH) Public Access Policy permanent.” (Source: “First U.S. Public Access Policy Made Permanent”)
Mar. 19, 2009	NIH Notice (NOT-OD-09-070) Notice of Legislative Mandates in Effect for FY2009 issued.	“The Director of the National Institutes of Health shall require in the current fiscal year and thereafter that all investigators funded by the NIH submit or have submitted for them to the National Library of Medicine's PubMed Central 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: Provided, that the NIH shall implement the public access policy in a manner consistent with copyright law.”
August 12, 2009	NIH Notice (NOT-OD-09-136) Clarification on the Use of an NIHMSID to Indicate Compliance with the NIH Public Access Policy issued.	“Effective August 21, 2009, an NIHMSID may be used to indicate compliance with the Public Access Policy for up to three months after a paper is published. After that period, a PMCID must be provided in order to indicate compliance.”

 

Last updated: September 3, 2009