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[BOAI] US Federal Agency Open Access Mandate Implementation

From: Stevan Harnad <harnad AT>
Date: Sat, 25 Oct 2014 18:24:38 -0400

On Oct 25, 2014, at 5:42 PM, David Wojick <dwojick AT CRAIGELLACHIE.US> 

> Stevan, I do not expect the various agencies to agree on a process. If 
they do it will be the DOE
> approach, because the software is there. It might be like the 
portal, which OSTI operates.
> Ideally they will get all their articles via CHORUS and that is the hope.

David, CHORUS, with its reliance on publishers is not an ideal hope, it is a 
worst-case nightmare!

> The primary consideration is cost because there is no new funding for the 
Public Access program.

That’s just fine. No money is needed from the Feds, just the adoption of the 
right OA mandate. And
that happens to be the one that entails no cost to the Feds: Institutional 
Repository deposit,
monitored and ensured by the institutions, as part of the fulfillment 
conditions for the funding.

> PMC is rich while the other agencies have very little money for this.

PMC is not a research funder! PMC does not mandate anything. NIH does. And NIH 
rich or not, should mandate institutional deposit (and then exporting to PMC). 
All cost-free
software functions.

> However, there was a rumor about 5 months ago that NSF would go with an 
"any repository”
> approach, but still with the 12 month embargo. IPA covered it.

Fine, but it won’t work unless NSF specifies institutional repository deposit 
and adds an
immediate-deposit clause, to ensure compliance monitoring and verification by 
The 12-month embargo on OA will be mooted by the institutions’ automated 
Button — as long as authors must deposit immediately and not just after the 

> Now the rumor is that NSF will go the DOE route, but no one really knows 
what the agencies
> will do because the decisions simply have not been made. Hence my 

Fine, good to hear they are still open to different options. Let’s hope some of 
us can draw
their attention to the objective evidence.

> The feds have little, if any,interest in what the Brits are doing. 

I hope and believe you are wrong about that. The interest should not be in the 
UK per
se but in empirical evidence on which to base an evidence-based policy.

> Neither APC nor immediate deposit are on the table. 

Good to remove APCs from the table, because the evidence there is negative.

But I hope other factors — like immediate deposit and institutional deposit — 
on the table, because the evidence is in their favor.

> But most of the agencies probably have to go through rulemaking to 
implement their programs 
> so you can comment then, as can everyone. 

I will of course comment again, as I have always done in the past. The question 
is whether I will be
unheeded again, as in the past...

Harnad, S. (1999) Critiques of H. Varmus E-biomed  Proposal

(2004) Recommendations to UK Science/Technology Committee Open Access 
Self-Archiving Mandate

 (2011) What Is To Be Done About Public Access 
to Peer-Reviewed Scholarly Publications Resulting From Federally 
Funded Research? (Response to US OSTP RFI).

(2012) Public Access to Federally Funded Research 
(Harnad Response to US OSTP RFI)  Open Access Archivangelism 865/866

(2013) Follow-Up Comments for BIS Select Committee 
on Open Access. UK Parliament Publications and Records, Spring

(2013) Comments on HEFCE/REF Open Access Mandate Proposal.  
Open access and submissions to the REF post-2014 

(2013) Evidence to House of Lords Science and Technology
Select Committee on Open Access. House of Lords Science and Technology
Committee on Open Access, Winter Issue,

(2013) Evidence to BIS Select Committee Inquiry on Open Access. Written
Evidence to BIS Select Committee Inquiry on Open Access, Winter

(2013) Recommandation au ministre québécois de l'enseignement supérieur.

(2013) Harnad Comments on Canada’s NSERC/SSHRC/CIHR Draft Tri-Agency Open 
Access Policy. 
Canadian Tri-Agency Call for Comments, Autumn Issue

Stevan Harnad

> On Oct 25, 2014, at 5:00 PM, Stevan Harnad <harnad AT 
>> Adminstrative info for SIGMETRICS (for example unsubscribe): On Oct 25, 2014, at 4:24 PM, David 
Wojick <dwojick AT CRAIGELLACHIE.US> wrote:
>>> Stevan, as I keep pointing out, the Federal government does not 
see it your way,
>>> so repeating your way is rather beside the point.
>>> As for my role, when I have a Federal client I do not advocate 
policy. I do issue analysis
>>> to facilitate policy decisions, or program design to implement 
them, or trouble shooting
>>> when a program does not work. 
>>> In the case of the Public Access program, the OSTP mandate was 
preceded by a lengthy
>>> interagency deliberation. The DOE OSTI Director co-chaired that 
effort and I did a lot of
>>> his staff work. The group failed to reach consensus because there 
were two opposing
>>> schools of thought, which accounts for some of the vagueness in 
the mandate.
>>> One school, led by PMC, wanted a PMC approach wherein the 
government ran its own repository.
>>> (I call it PubFed Central.) The other, led by DOE, wanted to 
maximize the use of existing resources
>>> in a 3 tiered approach. Use the publisher's version of record and 
website where possible, or a
>>> repository if the publisher's version was not available, or a 
Federal repository as a last resort.
>>> There was never, ever, any consideration of a repository mandate, 
much less immediate deposit.
>> It sounds to me more like the "Federal government" has not 
yet worked out a coherent implementation 
>> of the OSTP mandate, which is vague or moot on the crucial 
implementation parameters we are 
>> discussing, and the many agencies — of which DOA/OSTI is only one — 
have not yet come to an 
>> agreement about them either.
>> What is seems obvious is that the “3-tiered approach,” where the OA 
provision distributed two ways 
>> between the fundees (who are bound by the funder mandate) and 
publishers (who are not), and where 
>> the locus of the OA provision is distributed between institutional 
repositories, central repositories and 
>> publisher websites is the worst possible one, both for the authors and 
for monitoring and ensuring
>> compliance.
>> Yes, you’re quite right that the agencies did not consult me, as they 
did you. But I prefer to believe 
>> that they — like the UK funding councils, who have been at it much 
loner — remain open to 
>> evidence-based recommendations on the crucial implementation 
parameters, such as what should 
>> be deposited, how, when, where, by whom — and above all why. 
>> The optimal mandate is of course institutional deposit, with 
compliance monitored by the institution,
>> and then central export or harvest if desired. (Users find OA content 
on the web these days, e.g.,
>> via google and google scholar: the notion of a central collection is 
already obsolete. No one deposits
>> directly in google. But institutional deposit is crucial for 
compliance monitoring as well as institutional
>> record-keeping.
>> Vincent-Lamarre, P., Boivin, J., Gargouri, Y., Larivière, V., & 
Harnad, S. (2014).
>> Estimating Open Access Mandate Effectiveness: I. The MELIBEA Score. 
arXiv preprint arXiv:1410.2926.
>>> At 12:10 PM 10/25/2014, you wrote:
>>>> Adminstrative info for SIGMETRICS (for example unsubscribe): David,
>>>> I am afraid I am less interested in your role as journalist 
than in your role as policy consultant to OSTI. 
>>>> As journalist you are reporting what the federal agencies are 
doing, but as a consultant you were 
>>>> influencing what a federal agency was doing.
>>>> To cut to the quick: The simplest way to keep publishers out 
of federal agency or university OA policy 
>>>> is not to consult them at all. 
>>>> All Green OA mandates should require institutional deposit of 
the refereed final draft immediately 
>>>> upon acceptance for publication, and the allowable OA embargo 
length on the deposit should be 
>>>> decided by the federal agency (or university). 
>>>> That’s all. Publishers have nothing to do with it — it needs 
neither their approval nor their collaboration. 
>>>> It is attempts to get publishers involved in the 
implementation of the mandate that cause the needless
>>>> confusions and conflicts:
>>>> 1. Federal funders fund researcher (with tax-payer money).
>>>> 2. Institutional authors conduct and report the research.
>>>> 3. Peer researchers review the research reports.
>>>> 4. Publishers fund the administration of the peer review (and 
in exchange they get exclusive 
>>>> subscription sale rights).
>>>> 5. Funders and institutions mandate Green OA self-archiving 
(as a condition of funding, 
>>>> and university research performance evaluation)
>>>> 6. Authors comply with the Green OA mandates — by depositing 
immediately upon acceptance, 
>>>> and making the deposit OA immediately, or after the allowable 
embargo at the latest.
>>>> That’s all there is to it: Publishers have nothing to do with 
compliance with the mandates.
>>>> Have you advised otherwise, in your capacity as consultant?
>>>> Stevan Harnad
>>>> On Oct 25, 2014, at 11:31 AM, David Wojick <dwojick AT 
>>>>> Stevan (I prefer to reply at the top like most people 
>>>>> As you should know, I am now a journalist, which I was 
prior to joining DOE in 2004. In this role I get to criticize everyone, 
including the publishers. My rag is which you 
might consider subscribing to in order to know what is actually going on. If 
you think the publishers have any sort of control you are mistaken, as the Feds 
are in charge. I have written about this in some detail. However, if you know 
of any US agency that is taking your proposals seriously I would love to hear 
about it.
>>>>> Something very interesting is going on, namely a group of 
medical students is investigating DOE, probably looking for improper liaison 
with the publishers (which I doubt exists). Here are some excerpts from this 
weeks issue of Inside Public Access:
>>>>> DOE hit with Public Access FOIA request
>>>>> Synopsis: The US Energy Dept. is responding to a Freedom 
of Information Act request targeting correspondence between DOE and the 
"publishing industry" regarding the Department's Public Access 
program. The FOIA request comes from the American Medical Student Association 
and appears to be related to their "Access to Medicine" campaign. The 
purpose of the request is unclear at this time.
>>>>> AMSA and the FOIA request
>>>>> Ms. Reshma Ramachandran from the American Medical Student 
Association (AMSA) has filed a Freedom of Information Act (FOIA) request with 
the US Energy Department. The request is reportedly for "Copies of all 
correspondence including electronic and paper communications, between all 
Department of Energy personnel tasked with developing the Department of 
Energy's plan for providing access to the results of federally funded research 
and the publishing industry relating to the development, drafting and 
implementation of said plan for providing access to the results of federally 
funded research released on August 4, 2014." DOE is working to collect and 
deliver all the requested documents. Everything prior to September 11, 2014, 
when the request was finalized, will be included. 
>>>>> Interestingly, there is a recent precedent for the AMSA 
FOIA action. Kent Anderson, editor of the prestigious Scholarly Kitchen blog 
and President of the Society for Scholarly Publishing, did a FOIA action 
against PubMed Central that yielded a considerable amount of potentially 
damaging information. In particular, Anderson made a number of allegations of 
conflict of interest and other wrongs in some collaborations between PMC and 
certain publishers. 
>>>>> FOIA actions have a tendency to chill communications 
between agencies and the public. Unfortunately this AMSA enquiry comes just 
when that sort of communication is most important, because DOE and the 
scholarly community must work closely together if Public Access is going to 
work well. As they say, the devil is in the details, and the details are now 
upon us. As we have documented here in Inside Public Access, there are a host 
of serious and complex procedural issues yet to be worked out.
>>>>> I have trouble believing it is worth it, but it remains to 
be seen what, if anything, AMSA finds. Perhaps the real danger is that innocent 
statements will be taken out of context and used politically, rather than to 
improve the Public Access program. On the other hand maybe there is something 
wrong going on. In any case the results may be quite interesting, now that the 
spotlight is on.
>>>>> A surprising development. Med students!
>>>>> David
>>>>> At 09:02 AM 10/25/2014, you wrote:
>>>>>> Adminstrative info for SIGMETRICS (for example 
>>>>>>> On Oct 24, 2014, at 5:05 PM, William Gunn < 
william.gunn AT MENDELEY.COM> wrote:
>>>>>>>> DOA as an acronym for "Delayed Open 
Access" does have a certain ring to it, now that I think about it...
>>>>>>>> William Gunn | Head of Academic Outreach, 
Mendeley |  AT mrgunn
| (650) 614-1749
>>>>>>> On Oct 25, 2014, at 7:41 AM, David Wojick 
<dwojick AT CRAIGELLACHIE.US > wrote:
>>>>>>> Are you referring to the fact that DOA usually 
means Dead On Arrival? Given that the US Public
>>>>>>> Access program has opted for delayed access it is 
more like Dominant On Arrival, since the Feds
>>>>>>> fund a significant fraction of all published 
research. In that regard I notice that the definition of DOA
>>>>>>> does not mention government mandates, which it 
should. The US action may be decisive.
>>>>>>> Also the references to hybrid are somewhat 
muddled. Hybrid is not a kind of article access at all,
>>>>>>> rather it is a kind of journal access. Perhaps we 
need a different set of definitions for articles and journals.
>>>>>>> What does seem funny to me, as an observer, is 
that the publishers have basically said "Okay, if you
>>>>>>> insist on giving us money to publish your 
articles, then we will take it." Wiley, for example, is bringing
>>>>>>> out a bunch of new APC journals. At this point it 
looks like DOA and APC are the future of OA. Of course
>>>>>>> that may change given time.
>>>>>>> David Wojick
>>>>>> Try IDOA instead of DOA to bring access back to life 
>>>>>> and to hasten the (inevitable and well-deserved) 
demise of OA embargoes…
>>>>>> And the feds will lead the way only if they ignore 
consultants who try to steer them in the direction 
>>>>>> of publisher control, publisher embargoes and DOA, and 
go IDOA instead.
>>>>>> (Bravo to William Gunn for his spot-on pun!)
>>>>>> Harnad, S (2014) The only way to make inflated journal 
subscriptions unsustainable: Mandate Green Open Access.
>>>>>> LSE Impact of Social Sciences Blog 4/28 
>>>>>> Vincent-Lamarre, P., Boivin, J., Gargouri, Y., 
Larivière, V., & Harnad, S. (2014).
>>>>>> Estimating Open Access Mandate Effectiveness: I. The 
MELIBEA Score. arXiv preprint arXiv:1410.2926.

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