| Key Points |
As of January 11, 2008 the National Institutes of Health’s Revised Policy on Enhancing Public Access to Archived Publications Resulting from NIH-Funded Research places new reporting requirements on NIH-funded research.*
The final, accepted peer-reviewed manuscripts of all articles arising from NIH-funded research which are accepted for publication on or after April 7, 2008 must be submitted to PubMed Central, NIH's digital archive of biomedical and life sciences journal literature, where they will be freely accessible to all so that they might better advance science and improve health.
NIH-funded investigators are required to submit (or have submitted for them) their final, accepted peer reviewed manuscript to PubMed Central (PMC) upon acceptance of publication to be made publicly available within 12 months of publication.
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.
| NIH Mandate FAQ |
The four components for full compliance with the requirement are as follows:
1. Retain 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.
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 revised NIH Public Access Policy. The revised 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.” For more information, see NIH’s FAQ’s on the Public Access Policy.
2. Uploading Your Article
There are two options for submittal of the work:
- Journal publisher submits on behalf of authors
- Author self-submits
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
- Does not charge unreasonable fees
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 revised 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. If there are multiple authors, the assigned corresponding author will need to prepare for submittal.
3. 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 a final review of the web version before PMC posting.
4. 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 progress reports and future applications and proposals submitted to the NIH for the May 25, 2008 due date and subsequent due dates (See NIH FAQ question #1). 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.” (See NIH FAQ question #6). If neither the PMCID nor the NIHMS ID reference numbers are available, cite as “PMCID pending.”
When is Compliance with the NIH Public Access Mandate Required?
Compliance is tied to current NIH funding and the date of acceptance of the publication. Compliance is required under the following scenarios:
- Manuscript generated by NIH FY2008 (October 1, 2007- September 30, 2008) 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 FY2008 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 with the NIH Public Access Mandate?
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. (See NIH FAQ question #7.)
What is a Final, Accepted Peer Reviewed Manuscript?
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. (See NIH FAQ question #2.)
For more please refer to the NIH Public Access FAQ.
How Do You Confirm NIH Public Access Mandate Compliance with Your Publisher?
Many journal publishers grant authors the right to comply and also submit the peer reviewed version to PMC on behalf of the authors in full compliance with the revised NIH Public Access Policy. Authors should review the publisher’s copyright agreement and confirm that the journal publisher’s policy for NIH-funded authors reflects the revised NIH Public Access Policy before signing. Authors should also review the publisher’s “Instructions for Authors” or “NIH Public Access Policy Information” sections on their journal’s web site.
“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.”
An example of a journal policy that reflects the revised NIH Public Access Policy is Clinical Cancer Research – 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, then NYU researchers must use the following contract language to ensure copyright agreement:
What is the Required Use of Citations for NIH-Funded Research Articles in NIH Applications, Proposals, and Progress Reports?
As of May 25, 2008 all 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.
Annotations demonstrating compliance with the NIH Public Access Policy should be placed at the end of each applicable publication citation in every application, proposal or report. The appropriate locations for literature citations vary depending on the application type. Applicants/grantees are strongly encouraged to follow existing application instructions which are summarized in the following tables:
Competing Applications
Submission Format |
New Application |
Renewal |
Biographical Sketch |
Provide in Item 8 (Bibliography & References Cited) of the R&R Other Project Information a bibliography of any references cited in the Project Narrative. |
List publications, manuscripts accepted for publication and other printed materials that resulted from the project since last reviewed competitively in the Progress Report Publication List of the Research Plan |
Provide selected peer-reviewed publications or manuscripts in press in Section B of the Biographical Sketch upload of the R&R Senior/Key Person Profile. |
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Provide in Item 8 (Bibliography & References Cited) of the R&R Other Project Information a bibliography of any references cited in the Project Narrative. |
Phase II applicants only should list the titles and complete references to all appropriate publications, manuscripts accepted for publication, and other printed materials, if any, that resulted from the Phase I effort, in the Progress Report Publication List of the Research Plan. |
Provide selected peer-reviewed publications or manuscripts in press in Section B of the Biographical Sketch upload of the R&R Senior/Key Person Profile. |
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Provide in the Bibliography and References Cited section of the Research Plan, a bibliography of any references cited in the Project Summary and Relevance section on Form Page 2. |
Provide in the Progress Report Publication List of the Research Plan, a list of publications, manuscripts accepted for publication and other printed materials that resulted from the project since last reviewed competitively. |
Provide selected peer-reviewed publications or manuscripts in press in the Biographical Sketch. |
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PHS 398 Career Development Award Application (CDA) |
Provide in the Bibliography and References Cited section of the Research Plan, a bibliography of any references cited in the Project Summary and Relevance section on Form Page 2. |
Provide in the Progress Report Publication List of the Research Plan, a list of publications, manuscripts accepted for publication and other printed materials that resulted from the project since last reviewed competitively. |
List all publications in the Biographical Sketch. Identify publications in the Biographical Sketch with a double asterisk if published during the previous period of support. |
Provide papers authored by trainees or potential trainees in Table 6 (Publications of Research completed by Trainees). |
Update Table 6 with publications of trainees through the time that they complete thei training. Refer to instructions in 398, Par II, 8.9.6. |
List Program Director publications in the Biographical Sketch. |
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Reference applicable publications in the Research Training Plan under C. Preliminary Studies. |
Reference appropriate publications in the Research Training Plan under C. Preliminary Studies, Progress Report for Competing Continuation Applications. | List pertinent publications in Section B of the Applicant/Fellow Biographical Sketch. |
Noncompeting Continuation Progress Reports
Submission Format |
Instructions |
PHS 2590 |
Report publications resulting directly from the grant that have not previously been reported, on Form Page 5 under a subheading E. Publications. |
Report publications resulting directly from the grant that have not previously been reported, on Form Page 5 under a subheading E. Publications. |
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List all trainee publications not previously reported, including those by former trainees still in research training, on Form Page 5, under C. Trainees. |
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When an eRA Commons eSNAP is initiated, a list of publications is automatically pulled into the Upload Science screen, for potential inclusion in the progress report, from two sources. First, eRA Commons pulls citations from the NIH Manuscript Submission system (including the appropriate PMCIDs and NIHMSIDs) that can be attributed to any PD/PI identified on the Notice of Award. Second, the list contains all manual entries from the Publications section of all PDs/PIs Personal Profiles. These manual entries are displayed with the Citation Source of “PD/PI Entered” both within the eSNAP and within the Publications section of the user’s Personal Profile. |
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List publications on Form Page 2 under 17.B. Progress. |
Final Progress Reports
Submission Format |
Instructions |
| Prepare report in accordance with instructions provided by awarding component. | Include a list of publications resulting from the project, with plans, if any, for further publications. See http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-051.html. |
PHS 416-7 NRSA Termination Notice (trainees and fellows) |
List any publications resulting from research during the period of the training in block 8 on form 416-7. |
For more information please refer to the original NIH notice from September 23, 2008.
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