What s New Public Access Policy the RPPR and

What’s New: Public Access Policy, the RPPR and Compliance Monitor Janna Lawrence, Hardin Library for the Health Sciences Oliva Smith, Division of Sponsored Programs February 20, 2013

Today’s Discussion • • • The Basics of the Public Access Policy Awardee Tasks with Publications: Who does what? My NCBI: Overview, Features, Benefits Changes: the RPPR Public Access Compliance Monitor: an Introduction Compliance: 100 % or Bust. Based on slides from NIH webinar “Changes to the NIH Public Access Policy and the Implications” Jan. 15, 2013: http: //grants. nih. gov/grants/webinar_docs/webinar_20130115. htm

The NIH Public Access Policy WHO • The Policy implements Division G, Title II, Section 218 of PL 110 -161 (Consolidated Appropriations Act, 2008) which states: 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 Pub. Med Central an electronic version of their final, peerreviewed 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. • NIH Guide Notice NOT-OD-08 -033 http: //grants. nih. gov/grants/guide/notice -files/NOT-OD-08 -033. html • NIH Guide Notice NOT-OD-09 -071 announces the policy is permanent, per the Consolidated Appropriations Act, 2009 http: //grants. nih. gov/grants/guide/notice-files/NOT-OD-09 -071. html

The NIH Public Access Policy • The Policy implements Division G, Title II, Section 218 of PL 110 -161 (Consolidated Appropriations Act, 2008) which states: 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 WHAT Pub. Med Central an electronic version of their final, peerreviewed 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. • NIH Guide Notice NOT-OD-08 -033 http: //grants. nih. gov/grants/guide/notice -files/NOT-OD-08 -033. html • NIH Guide Notice NOT-OD-09 -071 announces the policy is permanent, per the Consolidated Appropriations Act, 2009 http: //grants. nih. gov/grants/guide/notice-files/NOT-OD-09 -071. html

The NIH Public Access Policy • The Policy implements Division G, Title II, Section 218 of PL 110 -161 (Consolidated Appropriations Act, 2008) which states: 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 Pub. Med Central an electronic version of their final, peer. WHEN 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. • NIH Guide Notice NOT-OD-08 -033 http: //grants. nih. gov/grants/guide/notice -files/NOT-OD-08 -033. html • NIH Guide Notice NOT-OD-09 -071 announces the policy is permanent, per the Consolidated Appropriations Act, 2009 http: //grants. nih. gov/grants/guide/notice-files/NOT-OD-09 -071. html

The NIH Public Access Policy • The Policy implements Division G, Title II, Section 218 of PL 110 -161 (Consolidated Appropriations Act, 2008) which states: The Director of the National Institutes of Health shall require that all investigators funded by the NIH submit or have WHERE submitted for them to the National Library of Medicine’s Pub. Med Central an electronic version of their final, peerreviewed 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. • NIH Guide Notice NOT-OD-08 -033 http: //grants. nih. gov/grants/guide/notice -files/NOT-OD-08 -033. html • NIH Guide Notice NOT-OD-09 -071 announces the policy is permanent, per the Consolidated Appropriations Act, 2009 http: //grants. nih. gov/grants/guide/notice-files/NOT-OD-09 -071. html

Pub. Med vs. Pub. Med Central • Pub Med assigns citations a PMID number, which has nothing to do with the NIH Public Access Policy. Pub Med contains 22 million + citations (not full-text articles) from publications in MEDLINE, life science journals, online books, going back to 1966 and even some articles from the 1800 s. PMID: 23314567 eight numerals • Pub. Med Central PMC was launched 13 years ago as an online archive of full-text biomedical journal articles. It contains about 2. 6 million full text articles. The NIH requires publications, supported by NIH research funding, to appear in Pub. Med Central within one year of the date of publication. Items in Pub. Med Central are assigned a PMCID: PMC 7654321 PMC followed by numerals (7 so far).

Definition: Article Types • Final Peer-Reviewed Manuscript • Author’s final manuscript that includes all modifications from the peer-review process. • Final Published Article • • Journal’s authoritative copy of the paper. Includes all modifications, copy edits, style edits, formatting changes. • Not included in Policy: dissertations, conference proceedings, books or book chapters.

Why Have Public Access? Easy access to published research funded by NIH will help advance science and improve human health. • Meets the public’s expectation that articles based on NIH-funded research are publicly available 1. Over 2. 6 million articles are now in PMC. Every weekday, 700, 000 users access the database, retrieving over 1. 5 million articles. • NIH can monitor, mine, and develop its portfolio of taxpayer funded research more effectively. • NIH-funded research becomes more prominent, integrated and accessible, making it easier for all scientists to pursue NIH’s research priority areas competitively. 1. Harris Poll (2006) Most Americans back online access to federally funded research. Wall Street J Online Retrieved on July 20, 2006, from http: //online. wsj. com/article_email/SB 114893698047965609 IMy. Qj. Ax. MDE 2 NDM 4 MTkz. Mz. E 2 Wj. html.

Awardee Tasks: • Determine if the Public Access Policy is applicable to the paper. • Deposit paper upon acceptance for publication. • Document Compliance.

Awardee Tasks: Is it Applicable? • Is peer-reviewed; • Is 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.

Copyright Before author signs a publication agreement/copyright transfer agreement, make SURE it allows the final peer-reviewed manuscript to be submitted to PMC in accordance with the Public Access Policy. Hardin Library: Retain your Copyright http: //guides. lib. uiowa. edu/content. php? pid=6167&sid=38873 Encourage authors to consider • What submission method will be used: i. e. who will submit the paper & what version: final article or manuscript. Depends on publisher’s policy toward the NIH PA policy. • When will it be submitted? • Who will approve the submission? • What is the delay? When will full-text appear in PMC?

Awardee Tasks: Deposit Paper • Deposit Paper Upon Acceptance for Publication • Method A: Publish in journal that deposits all NIH-funded final published articles in PMC without author involvement. [Journal has agreement w NIH] • Method B: Make arrangements to have a publisher deposit a specific final published article in PMC. [likely for $$] • Method C: Deposit the final peer-reviewed manuscript in PMC yourself via the NIHMS. • Method D: Complete the submission process for a final peer-reviewed manuscript that the publisher has deposited via the NIHMS. • NOTE: a final published article goes directly into PMC without going through the NIHMS, the NIH manuscript submission system.

Submission Method Depends on Journal http: //publicaccess. nih. gov/submit_process. htm Method A Method B Method C Method D Version of Paper Submitted Final Published Article Final Peer. Reviewed Manuscript Task 1: Who deposits the paper? Publisher direct to PMC Author or designee, via NIHMS Publisher, via NIHMS Task 2: Who approves paper for processing? Not Applicable Author, via NIHMS Task 3: Who approves paper for Pub. Med Central upload? Not Applicable Author, via NIHMS Participating journal/publisher Method A Journals have agreement with NIH Make arrangements with these publishers charge $$ Check publishing agreement Make arrangements with these publishers 14

Submission Method Depends on Journal This only looks for Method A 15 journals. . .

Awardee Task: Document Compliance • Cite Article • Include the PMC number (PMCID) for applicable papers in applications, proposals and reports, as described at http: //publicaccess. nih. gov/citation_methods. htm. The updates to My NCBI makes it easier to find citations. We will discuss My NCBI later in today’s presentation. If you know the PMID, find if it has a PMCID or NIHMS ID using the converter link: http: //www. ncbi. nlm. nih. gov/pmctopmid/ Use google. com to find: PMCID converter

Cite Articles Using PMCID • Include the PMCID (not PMID) at end of full citation. • Only applies to papers under the Policy, and authored or coauthored by you or resulting from your NIH award. • For more information http: //publicaccess. nih. gov/citation_methods. htm Example: Varmus H, Klausner R, Zerhouni E, Acharya T, Daar A, Singer P. 2003. PUBLIC HEALTH: Grand Challenges in Global Health. Science 302(5644): 398– 399. PMCID: PMC 243493

Cite Articles in Process • For Method A and B Journals, use “PMC Journal - In Process” if they don’t have the PMCID yet. • Basan M, Elgeti J, Hannezo E, Rappel WJ, Levine H. Alignment of cellular motility forces with tissue flow as a mechanism for efficient wound healing. Proc Natl Acad Sci U S A. 2013 Jan 23. [Epub ahead of print] PMCID: PMC Journal - In Process • Reminder: Method A & B Journals agree to post the final published article into PMC. • You cannot use “PMC Journal – In Process” for Method C or Method D journal articles.

Cite Articles in Process • For Method C & D Journals, use the NIHMSID. • 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. In press. NIHMSID: NIHMS 44135 -> This article was sent to the NIHMS-Pub. Med Central system and is waiting for the PMCID. You CANNOT use the “In Process” for articles from Method C or D journals—won’t be accepted in the new RPPR. • NIHMSIDs will not be accepted 3 months after publication. • If article goes through NIHMS smoothly (two approvals by authors) PMCID assigned in approx. 7 – 10 days. • Please use the PMCID once it is assigned.

Who does what? Address Copyright? B Red, N Green, S Orange. Cellular motility as a mechanism for efficient wound healing. Peer Reviewed Journal. In Press. NIHMSID 123456 Dr. Periwinkle: Not an author, but his NIH grant supported an author Dr. Red: NIH support for research in paper Dr. Orange: No NIH support Dr. Green: Salary support from mentor’s grant 20

Who does what? Address Copyright? • The awardee institution is responsible for ensuring the authors do not sign anything that prevents NIH PA compliance. • Authors Red and Green need to be sure c/r agreement allows PA compliance. • If authors do not comply: Dr. Periwinkle, whose grant supports the research, is on the hook.

Who deposits the manuscript to NIHMS- PMC? B Red, N Green, S Orange. Cellular motility as a mechanism for efficient wound healing. Peer Reviewed Journal. In Press. NIHMSID 123456 Dr. Periwinkle: Not an author, but his NIH grant supported an author Dr. Red: NIH support for research in paper Dr. Orange: No NIH support Dr. Green: Salary support from mentor’s grant 22

Who deposits the manuscript to NIHMS- PMC? • Any of the authors can send the manuscript to NIHMS-PMC – even Dr. Orange, who is not supported by NIH funding. • IMPORTANT: who is the “corresponding” author (usually the first), who must approve manuscript as it moves through the NIHMS toward deposit into PMC.

Who reports the paper in progress report? B Red, N Green, S Orange. Cellular motility as a mechanism for efficient wound healing. Peer Reviewed Journal. In Press. NIHMSID 123456 Dr. Periwinkle: Not an author, but his NIH grant supported an author Dr. Red: NIH support for research in paper Dr. Orange: No NIH support Dr. Green: Salary support from mentor’s grant 24

Who reports the paper in progress report? • Author Red used PMCID in progress report & biosketch. • Author Green in biosketch. • Dr. Periwinkle in report, biosketch • If/when Dr. Orange applies for NIH grant, include the PMCID when citing this paper as previous work.

When you need the PMCID • If any of the authors of this paper, or the mentor, cite this paper when they apply for a new NIH award, they must include the PMCID. • However, when another investigator (who did not author this paper or whose grant did not support this work) cites this paper in a NIH grant application, they are not required to include the PMCID in the citation.

Questions about the Public Access Policy?

Q & A (in case there are none from group) • Can the author submit a. pdf of the published article if the journal would not normally submit the. pdf? Author may not own c/r of the published article—why the policy works with manuscripts. • What if manuscript no longer available? Contact publisher and work out who sends published version to PMC. • Does ‘direct funding’ apply only to prime awards, or to subawards or pass-throughs as well? Yes it applies to subawards/subcontracts. The issue is whether the funds directly apply to either the work that’s reported in the paper or directly supports the activities of the paper. Generally, if the PI feels the paper should be included in the publication report => direct funding.

Changes: Non-compliance, My. NCBI Notice NOT-OD-12 -160 http: //grants. nih. gov/grants/guide/notice-files/not-od 12 -160. html • Awards (non-competing continuation) will be placed on hold until grantees demonstrate compliance; • Beginning with anticipated award start dates on/after July 1, 2013. http: //nexus. od. nih. gov/all/2013/02/14/update-on-nihs-publicaccess-policy/ • Use of My NCBI will be required to report papers, when electronically submitting progress reports using the Research Performance Progress Report (RPPR). • PDF report generated from My NCBI required when submitting paper progress reports using the form PHS 2590 (replaces publication section) 29

What is My NCBI? A tool integrated with Pub. Med (not Pub. Med Central) to track literature searches, collections of citations, and public access compliance. • Must link e. RA Commons accounts and My. NCBI (next slide) • Once linked, users can associate publications with NIH grants. • Tracks NIH Public Access compliance • The only way to enter publications into RPPR • Creates the publications section (Section E) of PHS 2590 s • Other time savers: Delegation, options to share and publish bibliographies, automate searches, etc.

How to Link e. RA to My. NCBI Go to http: //www. ncbi. nlm. nih. gov/sites/myncbi/ and sign in via the e. RA login option. Sign in with e. RA log in

How to Link e. RA to My. NCBI • Either: Link previously established My. NCBI account to your e. RA Commons account by entering the My. NCBI username/pw; • Or create new My. NCBI account and link it automatically to the e. RA Commons account. • Once the accounts are linked, logging in to e. RA Commons will also log you into My. NCBI.

Manage my Bibliography

OR—if you are NOT logged in, first find publications on Pub. Med and then click to log in to My. NCBI. . .

. . . Click “Send to” to see the drop down selections. “Add to My Bibliography” button. Check the boxes next to citations you want to add.

Award View

codes. PP As seen in My Bibliography, the ‘Award View’ color codes citations for Public Access compliance

Delegating in My Bibliography PI adds email address of delegate(s). System sends out invitation for delegate to accept. PI can assign more than on delegate. Once delegate accepts, delegate can log in to manage bibliography for PI. Delegate can log in/manage for more than one PI.

Managing Center Grants • My. NCBI tracks the numerous publications from numerous researchers supported by a large grant such as a center grant. • When the PI of the center grant files her/his report, all publications are properly associated with the grant.

My. NCBI Reduces Work for PI • Automated, Collaborative Methods to Track Publications - Import citations directly from Pub. Med - Automated matches of manuscript citations to Pub. Med records - NIHMS paper-grant suggestions - Recommendations from other authors - Paper- grant associations by other authors * Continuous management * Award View: PA compliance status for every record

My NCBI Questions?

Research Progress Performance Report • RPPR: replacing the PHS 2590 for Non-competing Continuation Progress reports and the PHS 416 -9 for Ruth L. Kirschstein National Research Service Award Individual Fellowship Progress Report for Continuation Support. • NIH is transitioning use of the e. SNAP to the RPPR. • RPPR special features, instructions, screen shots, FAQs: http: //grants. nih. gov/grants/RPPR/

Research Progress Performance Report • Other PHS agencies (FDA, CDC, AHRQ) using PHS 2590 may have different requirements than the NIH; refer to the Notice of Award. • RPPR is not used for Final Progress Report. For submitting Final Progress Report, see: http: //grants. nih. gov/grants/funding/finalprogressreport. pdf

Why change to the RPPR? • RPPR is more automated. • Compliance rates were slowing • Pilot with the RPPR showed papers reported in publication section were more likely to have PMCIDs.

Only way to enter publications to RPPR is via My NCBI Display on RPPR 10 46

Non-compliant papers => email • When grantee submits RPPR to NIH with publication that is not compliant (no PMCID or NIHMS or “In Process”), the system generates email to PI with cc: to Admin officer, signing official, Grant mgmt person at the NIH as well as the Institute/Center managing the grant. • PRAM Progress Report Additional Materials – provide PMCID, explanation.

Questions about the RPPR’s role in achieving Public Access Policy compliance?

PA Compliance Monitor • Public Access Compliance Monitor is web-based tool used by designees at the institution to track PA compliance of publications. • To use: requires PACR role in e. RA Commons. • Log in: http: //www. pubmedcentral. nih. gov/utils/pacm/

Institutional Summary -week

Institutional Summary - total

1. Many have not started the process in NIHMS-PMC. Click 2. Stalled in NIHMS

Stalled: awaiting final of two approvals in the NIHMS.

Avoid Delays in Compliance • Encourage investigators to: • Use My NCBI now to track PA compliance. • Associate papers with awards today. • Ensure compliance well before their annual reports are due and avoid last-minute. • Find out journal’s policy when submitting, and start the process as soon as accepted.

Avoid Delays in Compliance • Encourage investigators to: • Log in http: //www. nihms. nih. gov/db/sub. cgi to find if any articles are Stalled in NIHMS, awaiting initial or final approval before PMC assigned. • Investigators will see only those articles in NIHMS. In other words: MANY articles are not even in the NIHMS, so have not started the road to Pub. Med Central deposit. UI = +600

100% or Bust: How to Get There? • The PAC monitor allows me to download as a CVS file and sort by PI name. • I plan to send out to the PIs info about journal articles associated with them, along with how to “get it going” or remove if not applicable.

Questions on the Public Access Compliance Monitor?

NIH Contacts • NIH Public Access Policy Online • Email: Public. Access@nih. gov • NIH Public Access Policy: http: //publicaccess. nih. gov • Upcoming Changes: NIH Guide Notice NOT-OD-12 -160 • e. RA Help: http: //era. nih. gov/help/ • NCBI: http: //www. ncbi. nlm. nih. gov/About/glance/contact_info. html Today’s presentation was adapted from webinar 1/15/13: http: //grants. nih. gov/grants/webinar_docs/webinar_20130115. htm 58

Thank you • Janna Lawrence, Hardin Library HLHS janna-lawrence@uiowa. edu 5 -9870 • Hardin Library Public Access Policy webpage http: //guides. lib. uiowa. edu/nihpublicaccess • Oliva Smith, Div. of Sponsored Programs DSP oliva-smith@uiowa. edu 5 -3708.

Questions and Discussion