Home | News & Events | Events | 2016 Events | 2016 NISO Webinars | September 14: Managing an Open Access World Part 2: Compliance with Funder Mandates

NISO Two-Part Webinar: Managing an Open Access World

Part 2: Compliance with Funder Mandates

Wednesday, September 14, 2016
1:00 p.m. - 2:30 p.m. (Eastern Time)

Part 1 of this webinar, Open Access & Acquisitions, is being held on Wednesday, September 7.

System Requirements:

  • 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.
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About the 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.

Agenda & Event Slides 

Nettie Lagace, Associate Director, Programs, NISO

NIH Public Access Compliance Workflow, Tips and Complications:
Pamela Shaw, Biosciences & Bioinformatics Librarian, Galter 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. 

Pamela Shaw is Biosciences & Bioinformatics Librarian at the Galter Health Sciences Library at the Feinberg School of Medicine at Northwestern University. Her primary role is supporting bioinformatics and data science initiatives at the medical school. She also is the NIH Public Access Compliance Reporter for all departments at Northwestern.

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 and 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.

Dr. Jeff Broadbent has been a faculty member at Utah State University since 1992. He currently serves a dual appointment as an Associate Vice President for Research and Associate Dean for Graduate Studies in the Research and Graduate Studies Office, and as a Professor of Food Microbiology in the Department of Nutrition, Dietetics, and Food Sciences, where he maintains an active research and graduate training program. His administrative responsibilities include oversight of the RGS Divisions for Sponsored Programs, Research Development, Research Integrity and Compliance, and other units.

Betty Rozum is the Data Services Coordinator and Undergraduate Research Librarian at Utah State University, a position she has held since its creation in July 2015. Her position is responsible for coordinating efforts within the USU Office of Research and Graduate Studies, USU Information Technology Office, and the Library to manage research data and publication deposits and help ensure compliance with federal mandates. Part of this role includes coordinating the campus wide data committee. Along with these tasks, Betty serves as the campus resource for data management, providing assistance and education about best practices. Prior to this position, Betty was the Associate Dean for Technical Services at Utah State University Libraries for 14 years.

Libraries and the NIH Public Access Policy for Publications: Helping researchers avoid compliance pitfalls
Sarah Young, Health Science and Policy Librarian, Cornell University

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.

Sarah Young was the Health Sciences Librarian at Cornell University’s Albert R. Mann Library from 2012 to August 2016. She served as the liaison to the Division of Nutritional Sciences, and the departments of Human Development and Policy Analysis and Management. She provided reference, instruction and research support for students and researchers and holds advanced degrees in biology and international development, and an MLIS from the University of Pittsburgh. Sarah provides guidance to researchers, administrators and faculty on compliance with the NIH public access policy for publications and has been involved in monitoring emerging policies related to the OSTP public access mandate. In November, Sarah will be joining the staff of Carnegie Mellon University Libraries.


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Event Q&A



Registration closes on Wednesday, September 14, 2016 at 12:00 p.m. (ET)

Registration for both parts

SAVE! Register for both parts of this two-part webinar and save 25%!

If paying by credit card, register online for both parts.

If paying by check, please use this PDF form for both parts.

  • NISO Voting Members*
    • $143.00 (US and Canada)
    • $164.00 (International)
  • NASIG Member
    • $143.00
  • Non-Member
    • $188.00 (US and Canada)
    • $224.00 (International)
  • Student
    • $74.00

Registration for Part 2 only

If paying by credit card, register online for Part 2 only.

If paying by check, please use this PDF form for Part 2 only.

  • NISO Voting Members*
    • $95.00 (US and Canada)
    • $109.00 (International)
  • NASIG Member
    • $95.00
  • Non-Member
    • $125.00 (US and Canada)
    • $149.00 (International)
  • Student
    • $49.00

* LSA Member - extra access link fee 

Additional information

  • Registration closes at 12:00 p.m. (ET) on Wednesday, September 14, 2016. Cancellations made by Wednesday, September 7, 2016 will receive a refund, less a $25 cancellation. After that date, there are no refunds.
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