Managing an Open Access World, Part Two: Compliance With Funder Mandates


About This Webinar

As Open Access has proven itself a viable business model in the marketplace of journals, institutions are beginning to grapple with the implications and ramifications of its success. This includes the practicalities of how to manage acquisitions in a hybrid open access environment, dealing with discovery implications of open access, and institutional compliance with funder mandates. This two part series will explore the practical issues of a world in which open access becomes the norm for some segment of scholarly communications.

The first part of this miniseries will focus on the implications of open access on content acquisition. What are the impacts of hybrid open access on publisher pricing at a title or collection level?  Is there a tipping point where open access availability of a portion of a title’s content will change the calculus about acquiring a title for one’s collection?  How do we keep track of the increasing number of open access titles and the increasing amount of hybrid open access content at a journal level? Presenters will cover these questions as well as provide information on research to explore these issues.

The second part of this miniseries will examine how institutions address compliance requirements of funder mandates. As more and more funding bodies adopt mandates for open distribution of content, at many universities the tracking of this compliance is falling on the library directly or in support of research offices.  Are there ways to automate compliance tracking and strategies for improving compliance? This session will explore progress being made by initiatives to gather and disseminate open access compliance, as well as the perspective of funders who are requiring this information.

Event Sessions

NIH Public Access Compliance Workflow, Tips and Complications


Pamela Shaw

Biosciences & Bioinformatics Librarian, Galter Health Sciences Library
Northwestern University

Compliance with the NIH Public Access Policy is essential for NIH-funded investigators to ensure continued funding support. However, many principal investigators (PIs) are uncertain of the process for compliance. Investigators and their research administrators are confused by the differences between PubMed, PubMed Central (PMC) and the NIH Manuscript Submission platform (NIHMS). Librarians can help investigators with compliance--in fact, librarians are perfectly positioned to assist, because of our knowledge of publication databases,document identifiers and manuscript formats. Working with the university’s office for sponsored research is essential for librarians assisting with NIH compliance. Developing a systematic approach to address NIH compliance is helpful, but efforts to develop a fully automated compliance protocol are still out of reach. Our efforts to track compliance are complicated by the fact that the NIH’s own databases for tracking publication+grant linkages are not fully in agreement. This adds an extra burden of time to reconcile the differences in compliance status across the NIH databases. Other complications arise from lack of access to the proper version of the author’s manuscript to deposit to NIHMS, loss of communication with authors who have left the institution, and slow response from PIs when attempting to address compliance. This presentation will address these issues and provide an example of one library’s experience with working at the forefront of the university’s NIH Public Access Policy compliance efforts. 

Creating a Culture of Compliance at Utah State University


Jeff Broadbent

Associate Vice President for Research and Associate Dean for Graduate Studies, Office of Research and Graduate Studies
Utah State University

Betty Rozum

Data Services Coordinator and Undergraduate Research Librarian
Utah State University

Faced with the mandate to increase access to federally funded research, universities are now challenged with additional compliance issues.  How will the university know now, or more problematically, several years from now should it be audited, if data resulting from a federally funded award was properly deposited?  Would the university be able to locate it?  Would it be able to verify that all data was deposited? Are records for this data available to university administrators? At Utah State University, The Office of Research and Graduate Studies and the University Libraries collaborated to develop a process to create permanent public records in the institutional repository to represent federal awards and submitted data.  This process draws upon existing resources in order to be accomplished with existing staff.  Our presentation will describe our partnership and our process.

Libraries and the NIH Public Access Policy for Publications: Helping researchers avoid compliance pitfalls


The NIH Public Access policy requires researchers to deposit publications resulting from NIH funding to PubMed Central within 12 months of publication.  Failure to comply with this policy results in delays in funding or grant proposal processing.  Libraries are taking the lead in providing guidance to both researchers and grant administrators in public access compliance. As more public access policies roll out from federal funding agencies, we expect an increase in demand for such support.  This presentation will briefly describe the NIH policy for publications, common pitfalls in compliance and one university library’s response to researcher needs for support.

Additional Information

  • Cancellations made by Day, Date, Year will receive a refund, less a $35 cancellation. After that date, there are no refunds.

  • Registrants will receive detailed instructions about accessing the virtual conference via e-mail the Friday prior to the event. (Anyone registering between Monday and the close of registration will receive the message shortly after the registration is received, within normal business hours.) Due to the widespread use of spam blockers, filters, out of office messages, etc., it is your responsibility to contact the NISO office if you do not receive login instructions before the start of the webinar.

  • If you have not received your Login Instruction e-mail by 10 a.m. (ET) on the day before the virtual conference, please contact the NISO office at for immediate assistance.

  • Registration is per site (access for one computer) and includes access to the online recorded archive of the conference. You may have as many people as you like from the registrant's organization view the conference from that one connection. If you need additional connections, you will need to enter a separate registration for each connection needed.

  • If you are registering someone else from your organization, either use that person's e-mail address when registering or contact to provide alternate contact information.

  • Conference presentation slides and Q&A will be posted to this event webpage following the live conference.

  • Registrants will receive an e-mail message containing access information to the archived conference recording within 48 hours after the event. This recording access is only to be used by the registrant's organization.

For Online Events

  • NISO has developed a quick tutorial, How to Participate in a NISO Web Event. Please view the recording, which is an overview of the web conferencing system and will help to answer the most commonly asked questions regarding participating in an online Webex event.
  • You will need a computer for the presentation and Q&A.

  • Audio is available through the computer (broadcast) and by telephone. We recommend you have a set-up for telephone audio as back-up even if you plan to use the broadcast audio as the voice over Internet isn't always 100% reliable.

Please check your system in advance to make sure it meets the Cisco WebEx requirements. It is your responsibility to ensure that your system is properly set up before each webinar begins.