The policy statement is that investigators must submit:

an electronic version of their final, peer-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.

So, if no electronic versions of the publications have been submitted yet, that would be non-compliance and would generate the award restriction.

Roger

Roger Wood
Sr. Product Manager
InfoEd Global

v   +1  518. 713. 4200   ext  150

f    +1  518. 713. 4201
e   xxxxxx@infoedglobal.com
________________________________________
From: Research Administration List [xxxxxx@lists.healthresearch.org] On Behalf Of Theresa Defino [xxxxxx@AOL.COM]
Sent: Friday, September 13, 2013 10:33 AM
To: xxxxxx@lists.healthresearch.org
Subject: Re: [RESADM-L] New NIH restrictions being applied

The 12-months doesn't refer to actual publication; it is acceptance for publication.

Our Preaward office believes the restrictions were erroneously applied to the award notices since the publications in question appear to be in compliance since it has not been 12 months since publication (policy states publication must be made publicly available no later than 12 months after the official date of publication).

Kind regards,
Theresa Defino
Editor
Report on Research Compliance,
Report on Patient Privacy
301-738-3721
xxxxxx@aol.com

-----Original Message-----
From: Ferland, Joyce H. <xxxxxx@TUFTS.EDU>
To: RESADM-L <xxxxxx@lists.healthresearch.org>
Sent: Fri, Sep 13, 2013 10:29 am
Subject: [RESADM-L] New NIH restrictions being applied

Hello esteemed colleagues,

We recently began seeing the following restriction in our NIH award notices:

RESTRICTION: In the absence of compliance with NIH Public Access Policy (NIH Grants Policy Statement, Section 8.2.2), as detailed below, this award is issued with the following restriction: all funds for this grant are restricted with the exception of those costs associated with patient care and/or animal care (as appropriate). These funds remain restricted until the outstanding publications have been submitted to Pub Med Central and the NIH awarding institute has issued a revised NOA removing this restriction. Failure to comply with this term may result in further actions that may affect future funding.

NIH clarified in writing that the restriction meant:
"The research activities on the grant may not be engaged in until the restriction is lifted. Only those costs associated with the care of patients or animals may be charged to the grant. Research-related costs may not be charged to the grant. There should be no research activities ongoing during the period of the restriction. If you pay the salaries and fringe of the personnel who are listed on the grant, it is at the university’s expense and cannot be cost transferred to the grant once the restriction is lifted as they should not be engaged in research activities on the grant. Travel, supplies and other costs (except those supply and other costs specific to patient or animal care) should not be incurred against the grant until the restriction is lifted as those are specifically research-related costs."

Our Preaward office believes the restrictions were erroneously applied to the award notices since the publications in question appear to be in compliance since it has not been 12 months since publication (policy states publication must be made publicly available no later than 12 months after the official date of publication).

I have two questions:
·       Is anyone else encountering this problem?
·       We are very surprised that a restriction so severe is being imposed on these awards.  I have heard that NSF will follow suit - any thoughts or comments?

Thank you,
Joyce

Joyce H. Ferland
Director, Sponsored Programs Accounting
Tufts University
Sponsored Programs Accounting
136 Harrison Avenue
Boston, MA  02111
Phone: 617-636-3416
Fax: 617-636-0384
http://finance.tufts.edu/spa/

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A link directly to helpful tips: http://tinyurl.com/resadm-l-help ======================================================================

======================================================================
 Instructions on how to use the RESADM-L Mailing List, including
 subscription information and a web-searchable archive, are available
 via our web site at http://www.healthresearch.org (click on the
 "LISTSERV" link in the upper right corner)

 A link directly to helpful tips:  http://tinyurl.com/resadm-l-help
======================================================================