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[EP-tech] The Importance of Repository EC- (OpenAire) and RCUK-Compliance Tags for Mandate Compliance Verification

> ***Cross-Posted ***

It is extremely important for the success of both funder and institutional
OA mandates worldwide that eprints, dspace and all other repositories be
made compliant with funder harvesting requirements such as those of
OpenAIRE<http://www.openaire.eu> (as
Eloy Rodrigues indicates in the passage appended after this message).

For deposit mandates to work, they need to have *a reliable and
date-stamped compliance verification mechanism*.

*Plea to repository managers and software developers world-wide: *

This is the time to make sure that your repositories implement the
requisite metadata tags for specifying the funding agency (US, EU or RCUK)
as well as the article's journal acceptance date).

A system must be designed for ensuring that the mandate will actually be
complied with, which means that there has to be an effective, timely
monitoring mechanism, with swift feedback and consequences in case of

That means that immediate-deposit of full-text upon acceptance for
publication has to be monitored continuously, based on authors' ongoing
publication calendar dates not just retrospectively in 4-6-year batches.

If compliance is instead left to the the latter -- long-delayed
retrospective batches -- then even the talk about a "6-12-month embargo"
becomes meaningless! Embargos can only be observed if publication dates are
observed, and hence if deposits, whether embargoed or unembargoed, are
immediate. That's how deposit-date needs to be integrated into RCUK
authors' annual work-flow, including the all-important date-stamping by the
official date of the journal's letter of acceptance -- not the wildly
varying and incalculable date on which the journal issue actually appears
-- which is in turn often far from the calendar date of publication: as
much as a year or more at times.)

The EC's and RCUK's  mandates have to be integrated with institutional
mandates so as to implement the following 8 shared conditions:

(1)  *immediate-deposit* (even if access to the deposit is allowed to be

(2) of the *final peer-reviewed draft*

(3) on the *date of acceptance* by the journal (which is marked by a
verifiable calendar date-stamp)

(4) and the immediate-deposit must be directly in the *author's own
institutional repository* (not institution-externally -- central
repositories can harvest from IRs)

(5) so that immediate-deposit can be *monitored and verified by the
author's institution* (regardless of whether the mandate is from a funder
or the institution)

(6) as a *funding compliance condition* and/or an *institutional employment

(7) and institutional repository must be designated as the *sole locus of
deposit * for submitting publications for institutional performance
evaluation, funder conditions and national research assessment.

(8) Repository deposits must be monitored so as to generate *rich and
visible metrics of usage and citation* so as to verify and reward authors'
deposits as well as to showcase and archive the institution's and funder's
research output and impact.

An instance of mututally reinforcing funder and institutional policies is
the FRS-FNRS <http://openaccess.eprints.org/index.php?/archives/864-.html>policy
in Belgium.

Best wishes,
Stevan Harnad

*On 2012-11-04, at 12:39 PM, "Eloy Rodrigues"  [OpenAire] wrote:*

Hi Stevan,

I agree with the recommendations for compliance-verification for RCUK
that I've seen in another message.

Regarding OpenAIRE we tried that our infrastructure helps/cooperate (and not
compete) with the network of institutional repositories. We tried to have
very "low barrier" guidelines for compliance (we are now calling
compatibility), basically just requiring identification of the EC project
and access status (Open Access, embargoed, closed) in a "standard" way.
EC funded publications will be regularly harvested from compliant/compatible
repositories. So, authors from institutions with compliant repositories,
just need to deposit on their repository to comply to the EC policy. And
even if an author goes to the OpenAIRE portal to deposit a publication, he
will be re-directed to the repository of it's own institution.

But unfortunately the number of compliant repositories is still not high
enough (except on some southern countries like Portugal and Spain), and is
particularly low in the UK...

Servi?os de Documenta??o
Eloy Rodrigues
Campus de Gualtar, 4710 - 057 Braga -  Portugal
Telefone +351 253 604 156/7/8; Fax +351 253 604 159
Campus de Azur?m, 4800 058 Guimar?es
Telefone +351 253 510 168; Fax +351 253 510 117
http://www.sdum.uminho.pt  | Siga-nos
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