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NIH Public Access Policy

The Fair Copyright in Research Works Act was introduced in September 2008, reintroduced in 2009, and could pose repercussions for the NIH Public Access Policy. Follow the progress of this legislation:

Key Points

As of April 7, 2008:

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. See Reminder Concerning Grantee Compliance with Public Access Policy and Related NIH Monitoring Activities (NOT-OD-08-119) on where to note the PMCID in applications, proposals and progress reports.

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?

The NIH Policy applies to any manuscript that:

  • Is peer-reviewed and accepted for publication in a journal on or after April 7, 2008

And arises from:

  • Any direct funding from an NIH grant or cooperative agreement active in Fiscal Year 2008 or beyond, or;
  • Any direct funding from an NIH contract signed on or after April 7, 2008, or;
  • Any direct funding from the NIH Intramural Program, or;
  • An NIH employee.

“Directly funded” means costs that can be specifically identified with a particular project or activity. See NIH Grants Policy Statement, Rev. 12/2003.

(Source: http://publicaccess.nih.gov/FAQ.htm)

 

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 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. There is no fee for this service. 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.

There are also publishers that offer NIH-funded authors a fee based option to submit the final published version to PMC. 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. Authors are responsible for making arrangements with the publisher for this service.

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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 publisher’s copyright agreement form includes this information before signing.

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. 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 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.

Some stipulations include:

  • Embargo period (12 months maximum 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

Authors should 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 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:

  • Name and email of the PI or author designated as the reviewer
  • 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)* and PI name/s
  • 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 approval of 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:

  • Name and email of the PI or author designated as the reviewer
  • 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)* and PI name/s
  • 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:

  • Name and email of the PI or author designated as the reviewer
  • Title of the journal
  • Title of the manuscript
  • Grant number/s (full alpha numeric number)* and PI name/s
  • 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/Author approval of the submission by responding to emails from NIHMS. In most instances, the PI is an author to the manuscript being submitted.

If the PI is not an author to the work, the author will be responsible for reviewing and approving the initial submission and the final web version. In this instance, NIHMS will send an email to the PI of the sponsoring grant notifying them after a submission has been approved by an author so that the PI is aware of activity related to their grant.

Once a manuscript has been submitted, approval involves review of the submitted manuscript; providing grant award and embargo period information, if needed; and a final review of the web version before posting on PMC.

Note: The PI/Author will be prompted by NIHMS to create an eRA Commons account if necessary.

Publisher Submits:

The PI/Author will receive two emails from NIHMS.

  1. “Approve PDF Receipt.” The PI/Author 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/Author will be prompted to do a final review before posting to PMC.
Author Self-Submits:

The PI/Author will receive one email from NIHMS:

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

The PI/Author will receive two emails from NIHMS.

  1. “Approve PDF Receipt.” The PI/Author 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 the PI/Author if emails are unanswered. The PI/Author 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 (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.

See Reminder Concerning Grantee Compliance with Public Access Policy and Related NIH Monitoring Activities (NOT-OD-08-119) on where to note the PMCID in applications, proposals and progress reports.

The PMCID can be found in two resources: PubMed and PubMed Central. For more information including screen shots on how to locate the PMCID, see How to Locate and Cite the PMCID.

The PMCID should be cited as:

Cerrato, A., et al., Genetic interactions between Drosophila melanogaster menin and Jun/Fos. Dev Biol. 2006 Oct 1; 298(1): 59-70. PMCID: PMC2291284

For other examples see: http://publicaccess.nih.gov/FAQ.htm

What to Do if the PMCID Reference Number is Not Available

If the PMCID is not yet assigned to the manuscript, there are two other means of demonstrating compliance with the NIH Public Access Policy:

  1. “PMC Journal – In Process”
  2. NIHMS ID

The “PMC Journal – In Process” and the NIHMS ID are intended to be used as temporary means of demonstrating compliance with the NIH Public Access Policy until the PMCID is available. They can be used in NIH applications, proposals and progress reports, and in responses to emails from a NIH Program Officer.

When to Use “PMC Journal – In Process”

Some articles are published by journal publishers that have a cooperative agreement with NIH/PubMed Central (PMC) and submit all NIH-funded final published articles to PMC on behalf of NIH-funded authors. PIs/Authors may use “PMC Journal – In Process” as documentation of compliance if the article was published in a journal on this list (Method A):

Some authors make arrangements (generally for a fee) with select journal publishers to submit a specific final published article to PMC on behalf of the NIH-funded authors. PIs/Authors may use “PMC Journal – In Process” as documentation of compliance if they made arrangements for this service using publishers on this list (Method B):

The “PMC Journal – In Process” should be cited as:

Sala-Torra O, Gundacker HM, Stirewalt DL, Ladne PA, Pogosova-Agadjanyan EL, Slovak ML, Willman CL, Heimfeld S, Boldt DH, Radich JP. Connective tissue growth factor (CTGF) expression and outcome in adult patients with acute lymphoblastic leukemia. Blood. 2007 April 1; 109(7): 3080–3083. PMCID: PMC Journal – In Process.

Note: Using “PMC Journal – In Process” as documentation of compliance for works not published via Method A or Method B is contrary to the NIH Policy.

If the “PMC Journal – In Process” does not apply to a manuscript, then PIs/Authors should use the NIHMS ID as documentation of compliance.

NIHMS ID

The NIHMS ID is assigned when a manuscript is submitted by an author, journal publisher, or a third party to the NIH Manuscript Submission system (NIHMS) in preparation for posting on PMC. All authors for this manuscript who have an eRA Commons account should logon to NIHMS using their eRA Commons information. If the manuscript has been submitted by a publisher, third party or by one of the authors, the manuscript will be awaiting review. The author who has the manuscript awaiting review in their eRA Commons account should complete the approval process, note the NIHMS ID reference number and send the NIHMS ID to all the other authors. See the video, Approving Submission of an Article to PubMed Central, which outlines the process for approval of a submission. The NIHMS ID should be used as documentation of compliance until the PMCID is assigned.

The NIHMS ID should be cited as:

Cerrato A, Parisi M, Santa Anna S, Missirlis F, Guru S, Agarwal S, Sturgill D, Talbot T, Spiegel A, Collins F, Chandrasekharappa S, Marx S, Oliver B. Genetic interactions between Drosophila melanogaster menin and Jun/Fos. Dev Biol. 2006 Oct 1; 298(1): 59-70. NIHMSID: NIHMS44135.

If the “PMC Journal – In Process” does not apply to a manuscript and if the NIHMS ID or the PMCID reference numbers are unavailable, there may be several reasons:

  1. A journal publisher completed the submission but the authors have not approved the submission.
    1. Recommended course of action:
      All authors with an eRA Commons account should check NIHMS to see if the manuscript is awaiting review and approval. If the manuscript is awaiting review, authors should complete the approval process. See the video, Approving Submission of an Article to PubMed Central, which outlines the process for approval of a submission done by a publisher or third party.
  2. A journal publisher has not yet completed the submission.
    1. Recommended course of action:
      All authors with an eRA Commons account should check NIHMS to see if the manuscript is awaiting review and approval. If not, the authors should contact the journal publisher to clarify the submission status of the manuscript. Contact Cathy Sarli to obtain a statement to use when contacting publishers for clarification of submission status. Once a manuscript has been submitted, the authors should complete the approval process. See the video, Approving Submission of an Article to PubMed Central, which outlines the process for approval of a submission done by a publisher or third party.
  3. The authors retained the right to self-submit the work but have not yet completed the submission.
    1. Recommended course of action:
      The authors should self-submit the work. See Submit to PMC section and the video, Submitting an Article to PubMed Central, which outlines the process of submission.
  4. The authors assigned a third party (non-journal publisher) to submit the manuscript.
    1. Recommended course of action:
      All authors with an eRA Commons account should check NIHMS to see if the manuscript is awaiting review and approval. If the manuscript is awaiting review, authors should complete the approval process. See the video, Approving Submission of an Article to PubMed Central, which outlines the process for approval of a submission done by a publisher or third party. If not, the authors should contact the third party submitter to clarify the submission status. Once the manuscript is submitted, authors should complete the approval process.

 

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How to Demonstrate Compliance with the NIH Public Access Policy

Documentation of compliance is demonstrated by:

  • PMCID (PubMed Central reference number)

If the PMCID is not yet assigned, compliance can be demonstrated by:

  • “PMC Journal – In Process” (if applicable)

OR:

  • NIHMS ID (NIH Manuscript Submission system reference number)

See the Cite the PMCID section and the flowchart: Flowchart for Demonstrating Compliance with the NIH Public Access Policy for more information on how to demonstrate compliance.

Note: If a WU PI/Author is responding to a NIH Program Officer with documentation of compliance for select citations as noted in a NIH application, proposal or progress report, the appropriate WU Institutional Business Office must be copied on the response back to NIH.

Add the following statement in the response:

“The documentation provided is in response to your email dated (insert date here). Our Institutional Business Official (IBO) is being copied utilizing the office’s generic email, (i.e., g&c@msnotes.wustl.edu OR resoffice@msnotes.wustl.edu).”

 

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Becker Services for NIH-Funded Authors at WU

To help faculty and departments prepare for the implementation of the NIH 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
  • Assist with demonstrating documentation of compliance
  • 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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FAQs

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Resources

NIH
NIHMS
Washington University
Becker Medical Library
Danforth Campus Libraries

 

Have questions? Need Assistance?

Contact Cathy Sarli, , Becker Library Scholarly Communications Specialist, or a Subject Librarian at the Danforth Campus Libraries

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Last updated: July 1, 2009