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Guide to Retroactive Compliance with the NIH Public Access Policy

Page history last edited by sk60@rice.edu 2 years, 4 months ago

This guide is intended to help staff (at the request of authors) determine the compliance status of works under the National Institutes of Health (NIH) Public Access Policy and acquiring PMCIDs for past publications (adapted from resources created by the University of Pittsburgh and Washington University in St. Louis). For more general information about complying with the NIH policy, please see Meeting the NIH Public Access Policy Requirements.

 

This guide is intended for works that fall under the NIH Public Access Policy. Applicable works

  • Are peer-reviewed
  • Are accepted for publication in a journal on or after April 7, 2008
  • Arise from any NIH funding since FY2008, including grants, contracts, agreements, and employment

 

Even if the work is not applicable, you may need to make note of its status in NCBI My Bibliography. See My NCBI: Managing Compliance with the NIH Public Access Policy Using My Bibliography for instructions.

 

  1. Confirm that the work(s) in question is in a NCBI My Bibliography account belonging to an author or Principal Investigator (PI) before pursuing additional retroactive compliance activities.
  2. In NCBI My Bibliography, all works should be marked with a colored dot and/or text. The following explains each and provides directions for how to resolve.

 

PMC Journal—In Process

Is there a RED dot next to the work?

 

If yes, check the Submission Method A list. Confirm that the journal is on the list and that the work was published within the noted start and end dates. If yes, contact the journal to clarify the submission status of the work to PMC. If no PMCID is created within two weeks of contacting the publisher, contact the NIH Help Desk to report the non-compliant status of the work.

 

If the journal is not on the Submission Method A list, the work was published in a journal offering a Submission Method B option; contact the journal to clarify the submission status of work to PMC.

 

Is there a YELLOW dot next to the work?

 

If yes, this means that the work is within the 90-day post-publication window, per PMCID requirement. Track this work weekly to confirm that a PMCID is assigned within 90 days.

 

 

There is an NIHMSID

If an NIHMSID is noted, the work was published in a Submission Method C or D journal and has been submitted to NIHMS for processing and assignment of a PMCID.

 

Is there a RED dot next to the work?

 

If yes, search the NIH Manuscript Submission system using the NIHMSID for the work to clarify the processing status of the work (an NCBI account is required for access). If no information is available, contact the NIHMS Help Desk to clarify the status of the work and to find out which author has been assigned NIHMS approval tasks.

 

If the responsible author is not completing the NIHMS approval steps required for the PMCID, another author can be assigned the responsibility. This can be done by contacting the NIHMS Help Desk.

 

 


Is there a YELLOW dot next to the work?

 

If yes, this means that the work is within the 90-day post-publication window, per PMCID requirement. Track this work weekly to confirm that a PMCID is assigned within 90 days.


 

There is NO PMC Journal--In Process or NIHMSID

If the work does not have an NIHMSID or the text “PMC Journal—In Process” next to it, it means one of the four following scenarios:

  • The work was published in a journal offering a Submission Method B option and has not been noted in NCBI My Bibliography by one of the authors.
  • The work was published in a Submission Method C journal and the author(s) have not yet self-submitted the work or assign a third party to do so.
  • The work was published in a Submission Method D journal and has been submitted to NIHMS by the journal, but the author responsible for the NIHMS approval tasks (typically, the corresponding author) has not yet approved the submission made by the journal.
  • The work was published in a Submission Method D journal and has not yet been submitted to the NIHMS by the journal.

 

The scenarios described above require investigation to determine the Submission Method. If available, review the copyright transfer agreement signed by the authors to help determine the Submission Method. 

 

If the authors paid a journal to have their work published as a Submission Method B option, this should be noted in My Bibliography using the “Edit Status” function. Follow-up with the journal to clarify the submission status of the work.

 

If the journal is a Submission Method C journal, one of the authors should submit the work to NIHMS. See NIHMS Submission Help for guidance.

 

If the work was published in a Submission Method D journal, confirm that the work was submitted to NIHMS by the journal. Contact the NIHMS Help Desk to clarify the submission status of the work confirm which author is assigned NIHMS approval tasks.

 

If the work has been submitted to the NIHMS, contact the responsible author and ask them to log-in the NIHMS and complete the first NIHMS approval step. This will start the processing required for assigning a PMCID. If the author does not respond in a timely manner, request that the work be assigned to you. This is done by contacting the NIHMS Help Desk.

 

If the work has NOT been submitted by the NIHMS, contact the journal to clarify the submission statues. If the journal does not respond in a timely manner, proceed with self-submission of the article.

 

 

IMPORTANT: Always retain copies of emails sent to publishers. If no response is received from a journal after two emails, or if the journal does not provide sufficient information about submission status, contact the NIHMS Help Desk.


 

 

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