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[BOAI] Re: Harnad Comments on Proposed HEFCE/REF Green Open Access Mandate

From: Stevan Harnad <amsciforum AT gmail.com>
Date: Thu, 14 Mar 2013 08:40:12 -0400


Threading: [BOAI] Harnad Comments on Proposed HEFCE/REF Green Open Access Mandate from amsciforum AT gmail.com
      • This Message

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On Thu, Mar 14, 2013 at 5:12 AM, Andy Powell <andy.powell AT 
eduserv.org.uk>wr=
ote:


> Supposing this Proposed HEFCE/REF Green Open Access Mandate leads to a
> situation where we achieve 100% immediate deposit of the final
> peer-reviewed draft of journal articles to an institutional repository bu=
t
> where we also see a =91publisher norm=92 emerging of a 12-month embargo p=
eriod?
> ****
>
> ** **
>
> Firstly, is that an unrealistic expectation of where this policy might ge=
t
> us?****
>
> ** **
>
> If so, would we consider this situation to have significantly advanced th=
e
> OA cause?****
>
> ** **
>
> I agree that the separation of =91immediate deposit=92 from =91embargo pe=
riod=92
> is important but I also worry that doing so effectively becomes a way for
> publishers to stifle progress towards true OA but setting lengthy embargo
> periods? Further, there seems to be nothing in this policy that mitigates
> against this happening?****
>
> ** **
>
> Or am I misunderstanding the situation?
>

Please read the comments, not just the Executive Summary, as they
explicitly answer your question.

Meanwhile, here is the answer to your question, put in a different way, in
response to: *RCUK fails to end =91green=92 embargo
confusion*<http://www.timeshighereducation.co.uk/news/rcuk-fails-to-end-gre=
en-embargo-confusion/2002538.article>
" *THE* 14 March 2013:

*
KEYSTROKE MANDATES
*

What a mess! With publishers eagerly pawing at the Golden Door, and RCUK
hopelessly waffling at Green embargo limits and their enforcement.

But relief is on the way! HEFCE has meanwhile quietly and gently proposed a
solution that will moot all this relentless cupidity and stupidity.

HEFCE has proposed to mandate that in order to be eligible for the Research
Excellence Framework
(REF)<http://www.hefce.ac.uk/media/hefce/content/news/news/2013/open_access=
_letter.pdf>,
the final, peer-reviewed drafts of all papers published as of 2014 will
have to be deposited in the author's institutional
repository<http://roar.eprints.org/> immediately
upon publication: no delays, no embargoes, no exceptions -- irrespective of
whether the paper is published in a Gold OA journal or a subscription
journal, and irrespective of the allowable length of the embargo on making
the deposit OA: The deposit itself must be immediate.

This has the immense benefit that while the haggling continues about how
much will be paid for Gold OA and how long Green OA may be embargoed, all
papers will be faithfully deposited -- and deposited in institutional
repositories, which means that all UK universities will thereby be
recruited, as of 2014, to monitor and ensure that the deposits are made,
and made immediately. (Institutions have an excellent track record for
making sure that everything necessary for REF is done, and done reliably,
because a lot of money and prestige is at stake for them.)

And one of the ingenious features of the proposed HEFCE/REF Green OA
mandate is the stipulation that deposit may not be delayed: Authors cannot
wait till just before the next REF, six years later, to do it. If the
deposit was not immediate, the paper is ineligible for REF.

And, most brilliant stroke of all, this ensures that it is not just the 4
papers that are ultimately chosen for submission to REF that are deposited
immediately -- for that choice is always a retrospective one, made after
looking over the past 6 years' work, to pick the four best papers. Rarely
will this be known in advance. So the safest policy will be to deposit all
papers immediately, just in case.

This is precisely the compliance assurance mechanism the RCUK mandate so
desperately needs in order to succeed, but the RCUK policy-makers have not
yet had the wit to conceive and adopt. Well, HEFCE/REF have done it for
them, bless them.

But immediate-deposit is not immediate-OA you say? Indeed it is not. It
does, however, overcome OA's most formidable hurdle, which is getting all
those papers into the institutional repositories, and right away:
keystrokes. It is just those keystrokes that have stood between the
research world and OA for over over two decades now.

Once the institutional repositories are reliably being filled to 100%, does
anyone with the slightest imagination doubt what will follow, as nature
(and human nature) takes its course?

First, the repositories will facilitate sending reprints to those who
request a single copy for research purposes, with one click each. Sending
reprints is not OA; researchers have been doing it for a half century. But
they used to have to do it by reading *Current Contents* or scanning
journals' contents lists, mailing reprint requests, and then waiting and
hoping that authors would take the time and trouble and expense to mail
them a reprint, as requested (and many did). But now the whole transaction
is just one click each, and almost immediate, if the papers have been
deposited and both parties are at the wheel.

But that's still just Almost-OA. Once immediate-deposit is mandated,
however, about 60% of those deposits can be made immediately OA, because
about 60% of journals already endorse immediate, unembargoed Green OA.
(RCUK has already succeeded is dragging down that figure to somewhat closer
to 50/50 with its perverse preference for Gold, inspiring hybrid Gold
publishers to offer Gold and increase Green embargo lengths to try to force
UK authors to pick paid Gold over cost-free Green).

Now that's about half immediate-OA plus half Almost-OA to tide over
researcher needs during the embargo. But does anyone have any doubt about
what will happen next? As OA and Almost-OA grow, and the research community
tastes more and more of what it's like to have half immediate-OA and half
Almost-OA, all the disciplines that have not yet had the sense to do it
will begin to do what almost 100% of physicists have already been doing for
20 years now without so much as a moment's hesitation or a "by your 
leave":

That last remaining keystroke, once a paper is written, revised, accepted
and deposited -- the keystroke that makes the paper OA -- will be done
sooner and sooner, more and more, until the embargoes with which publishers
are trying to hold research hostage will all die their natural and
well-deserved deaths as the research community learns to do the obvious,
optimal and inevitable, in the online era.

(Nor will peer-reviewed journal publishing die, as publishers keep warning
menacingly: It will simply convert to Gold OA -- but only after the
pressure from Green OA has forced journals to phase out all obsolete
products and services and their costs: that means phasing out the print
version and the online version, and offloading all access-providing and
archiving onto the global network of Green OA institutional repositories.
Then, instead of double-paying for Gold OA, as Finch folly and RCUK
recklessness would have us do -- subscriptions plus Gold OA fees --
post-Green Gold OA will just be a fee for the peer review service, at a
fair, affordable and sustainable price, paid for out of a fraction of
institutions' annual savings from subscription cancellations instead of out
of scarce research funds, over and above subscriptions, as now. Pre-Green
Gold is Fool's Gold: Post-Green Gold is Fair Gold.)

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On Thu, Mar 14, 2013 at 5:12 AM, Andy Powell <span 
dir=3D"ltr">&lt;<a href=
=3D"mailto:andy.powell AT eduserv.org.uk" 
target=3D"_blank">andy.powell AT eduser=
v.org.uk</a>&gt;</span> wrote:<br><div 
class=3D"gmail_quote"><div>=A0</div>=
<blockquote class=3D"gmail_quote" style=3D"margin:0 0 0 
.8ex;border-left:1p=
x #ccc solid;padding-left:1ex">
<div lang=3D"EN-GB" link=3D"blue" 
vlink=3D"purple">
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif">Supposi=
ng this Proposed HEFCE/REF Green Open Access Mandate leads to a situation w=
here we achieve 100% immediate deposit of the final peer-reviewed draft of =
journal
 articles to an institutional repository but where we also see a =91publish=
er norm=92 emerging of a 12-month embargo 
period?<u></u><u></u></span></p>
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif"><u></u>=
=A0<u></u></span></p>
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif">Firstly=
, is that an unrealistic expectation of where this policy might get 
us?<u><=
/u><u></u></span></p>
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif"><u></u>=
=A0<u></u></span></p>
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif">If so, =
would we consider this situation to have significantly advanced the OA caus=
e?<u></u><u></u></span></p>
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif"><u></u>=
=A0<u></u></span></p>
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif">I agree=
 that the separation of =91immediate deposit=92 from =91embargo period=92 i=
s important but I also worry that doing so effectively becomes a way for pu=
blishers to
 stifle progress towards true OA but setting lengthy embargo periods? Furth=
er, there seems to be nothing in this policy that mitigates against this ha=
ppening?<u></u><u></u></span></p>
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif"><u></u>=
=A0<u></u></span></p>
<p class=3D"MsoNormal"><span 
style=3D"font-family:Arial,sans-serif">Or am I=
 misunderstanding the 
situation?</span></p></div></blockquote><div><br></di=
v><div>Please read the comments, not just the Executive Summary, as 
they ex=
plicitly answer your question.</div>
<div><br></div><div>Meanwhile, here is the answer to 
your question, put in =
a different way, in response to:<span 
style=3D"color:rgb(51,51,51);font-fam=
ily:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255,255)">=
=A0</span><a 
href=3D"http://www.timeshighereducation.co.uk/news/rcuk-fails-=
to-end-green-embargo-confusion/2002538.article" 
style=3D"color:rgb(0,51,102=
);font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,2=
55,255)"><strong><em>RCUK fails to end =91green=92 embargo 
confusion</em></=
strong></a><span 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,hel=
vetica,sans-serif;background-color:rgb(255,255,255)">&quot;=A0</span><span =
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif=
;background-color:rgb(255,255,255)"><em>THE</em>=A014 March 
2013</span><spa=
n 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-ser=
if;background-color:rgb(255,255,255)">:</span></div>
<div 
class=3D"gmail_quote"><br></div><b><div 
style=3D"text-align:center"><b=
>KEYSTROKE MANDATES</b></div></b></div><div 
class=3D"gmail_quote"><br style=
=3D"background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);f=
ont-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255,=
255)">What a mess! With publishers eagerly pawing at the Golden Door, 
and R=
CUK hopelessly waffling at Green embargo limits and their enforcement.</spa=
n><br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans=
-serif;background-color:rgb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">But relief is on the way! HEFCE has meanwhile quietly and gently 
pro=
posed a solution that will moot all this relentless cupidity and stupidity.=
</span><br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica=
,sans-serif;background-color:rgb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">HEFCE has proposed to mandate that in order to be eligible for 
the=
=A0</span><a 
href=3D"http://www.hefce.ac.uk/media/hefce/content/news/news/2=
013/open_access_letter.pdf" 
style=3D"color:rgb(0,51,102);font-family:verdan=
a,arial,helvetica,sans-serif;background-color:rgb(255,255,255)">Research Ex=
cellence Framework (REF)</a><span 
style=3D"color:rgb(51,51,51);font-family:=
verdana,arial,helvetica,sans-serif;background-color:rgb(255,255,255)">, 
the=
 final, peer-reviewed drafts of all papers published as of 2014 will have t=
o be deposited in the author&#39;s=A0</span><a 
href=3D"http://roar.eprints.=
org/" 
style=3D"color:rgb(0,51,102);font-family:verdana,arial,helvetica,sans=
-serif;background-color:rgb(255,255,255)">institutional 
repository</a><span=
 style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-seri=
f;background-color:rgb(255,255,255)">=A0immediately upon publication: 
no de=
lays, no embargoes, no exceptions -- irrespective of whether the paper is p=
ublished in a Gold OA journal or a subscription journal, and irrespective o=
f the allowable length of the embargo on making the deposit OA: The deposit=
 itself must be immediate.</span><br 
style=3D"color:rgb(51,51,51);font-fami=
ly:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">This has the immense benefit that while the haggling continues 
about=
 how much will be paid for Gold OA and how long Green OA may be embargoed, =
all papers will be faithfully deposited -- and deposited in institutional r=
epositories, which means that all UK universities will thereby be recruited=
, as of 2014, to monitor and ensure that the deposits are made, and made im=
mediately. (Institutions have an excellent track record for making sure tha=
t everything necessary for REF is done, and done reliably, because a lot of=
 money and prestige is at stake for them.)=A0</span><br 
style=3D"color:rgb(=
51,51,51);font-family:verdana,arial,helvetica,sans-serif;background-color:r=
gb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">And one of the ingenious features of the proposed HEFCE/REF 
Green OA=
 mandate is the stipulation that deposit may not be delayed: Authors cannot=
 wait till just before the next REF, six years later, to do it. If the depo=
sit was not immediate, the paper is ineligible for REF.=A0</span><br 
style=
=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;back=
ground-color:rgb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">And, most brilliant stroke of all, this ensures that it is not 
just =
the 4 papers that are ultimately chosen for submission to REF that are depo=
sited immediately -- for that choice is always a retrospective one, made af=
ter looking over the past 6 years&#39; work, to pick the four best papers. 
=
Rarely will this be known in advance. So the safest policy will be to depos=
it all papers immediately, just in case.</span><br 
style=3D"color:rgb(51,51=
,51);font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(25=
5,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">This is precisely the compliance assurance mechanism the RCUK 
mandat=
e so desperately needs in order to succeed, but the RCUK policy-makers have=
 not yet had the wit to conceive and adopt. Well, HEFCE/REF have done it fo=
r them, bless them.</span><br 
style=3D"color:rgb(51,51,51);font-family:verd=
ana,arial,helvetica,sans-serif;background-color:rgb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">But immediate-deposit is not immediate-OA you say? Indeed it is 
not.=
 It does, however, overcome OA&#39;s most formidable hurdle, which is 
getti=
ng all those papers into the institutional repositories, and right away: ke=
ystrokes. It is just those keystrokes that have stood between the research =
world and OA for over over two decades now.</span><br 
style=3D"color:rgb(51=
,51,51);font-family:verdana,arial,helvetica,sans-serif;background-color:rgb=
(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">Once the institutional repositories are reliably being filled to 
100=
%, does anyone with the slightest imagination doubt what will follow, as na=
ture (and human nature) takes its course?=A0</span><br 
style=3D"color:rgb(5=
1,51,51);font-family:verdana,arial,helvetica,sans-serif;background-color:rg=
b(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">First, the repositories will facilitate sending reprints to 
those wh=
o request a single copy for research purposes, with one click each. Sending=
 reprints is not OA; researchers have been doing it for a half century. But=
 they used to have to do it by reading=A0</span><em 
style=3D"color:rgb(51,5=
1,51);font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(2=
55,255,255)">Current Contents</em><span 
style=3D"color:rgb(51,51,51);font-f=
amily:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255,255)"=
>=A0or scanning journals&#39; contents lists, mailing reprint requests, 
and=
 then waiting and hoping that authors would take the time and trouble and e=
xpense to mail them a reprint, as requested (and many did). But now the who=
le transaction is just one click each, and almost immediate, if the papers =
have been deposited and both parties are at the wheel.</span><br 
style=3D"c=
olor:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;backgroun=
d-color:rgb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">But that&#39;s still just Almost-OA. Once immediate-deposit 
is manda=
ted, however, about 60% of those deposits can be made immediately OA, becau=
se about 60% of journals already endorse immediate, unembargoed Green OA. (=
RCUK has already succeeded is dragging down that figure to somewhat closer =
to 50/50 with its perverse preference for Gold, inspiring hybrid Gold publi=
shers to offer Gold and increase Green embargo lengths to try to force UK a=
uthors to pick paid Gold over cost-free Green).=A0</span><br 
style=3D"color=
:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;background-co=
lor:rgb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">Now that&#39;s about half immediate-OA plus half Almost-OA 
to tide o=
ver researcher needs during the embargo. But does anyone have any doubt abo=
ut what will happen next? As OA and Almost-OA grow, and the research commun=
ity tastes more and more of what it&#39;s like to have half immediate-OA 
an=
d half Almost-OA, all the disciplines that have not yet had the sense to do=
 it will begin to do what almost 100% of physicists have already been doing=
 for 20 years now without so much as a moment&#39;s hesitation or a 
&quot;b=
y your leave&quot;:=A0</span><br 
style=3D"color:rgb(51,51,51);font-family:v=
erdana,arial,helvetica,sans-serif;background-color:rgb(255,255,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><span 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">That last remaining keystroke, once a paper is written, revised, 
acc=
epted and deposited -- the keystroke that makes the paper OA -- will be don=
e sooner and sooner, more and more, until the embargoes with which publishe=
rs are trying to hold research hostage will all die their natural and well-=
deserved deaths as the research community learns to do the obvious, optimal=
 and inevitable, in the online era.</span><br 
style=3D"color:rgb(51,51,51);=
font-family:verdana,arial,helvetica,sans-serif;background-color:rgb(255,255=
,255)">
<br 
style=3D"color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-s=
erif;background-color:rgb(255,255,255)"><div><span 
style=3D"background-colo=
r:rgb(255,255,255);color:rgb(51,51,51);font-family:verdana,arial,helvetica,=
sans-serif">(Nor will peer-reviewed journal publishing die, as 
publishers k=
eep warning menacingly: It will simply convert to Gold OA -- but only after=
 the pressure from Green OA has forced journals to phase out all obsolete p=
roducts and services and their costs: that means phasing out the print vers=
ion and the online version, and offloading all access-providing and archivi=
ng onto the global network of Green OA institutional repositories. Then, in=
stead of double-paying for Gold OA, as Finch folly and RCUK recklessness wo=
uld have us do -- subscriptions plus Gold OA fees -- post-Green Gold OA wil=
l just be a fee for the peer review service, at a fair, affordable and sust=
ainable price, paid for out of a fraction of institutions&#39; annual 
savin=
gs from subscription cancellations instead of out of scarce research funds,=
 over and above subscriptions, as now. Pre-Green Gold is Fool&#39;s Gold: 
P=
ost-Green Gold is Fair Gold.)</span>=A0</div>
</div><br><div><br></div>

--089e016354c6dff97c04d7e1d252--

        
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