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

  • To: "Global Open Access List (Successor of AmSci)" <goal@eprints.org>
  • Subject: [EP-tech] Re: The Importance of Repository EC- (OpenAire) and RCUK-Compliance Tags for Mandate Compliance Verification
  • From: Stevan Harnad <amsciforum@gmail.com>
  • Date: Mon, 5 Nov 2012 13:26:48 -0500

---------- Forwarded message ----------
From: Tim Donohue <tdonohue@duraspace.org>
Date: Mon, Nov 5, 2012 at 1:18 PM
Subject: Re: [Dspace-general] The Importance of Repository EC- (OpenAire) and RCUK-Compliance Tags for Mandate Compliance Verification

Hi DSpace Users,

I just wanted to follow up to this request to let everyone know that, as of DSpace 3.0 (coming in late November / early December), DSpace has a completely rewritten OAI-PMH interface which is now compliant with both OpenAIRE (http://www.openaire.eu/) and DRIVER (http://www.driver-support.eu/).

This new feature for DSpace 3.0 was provided by Lyncode (http://www.lyncode.com) and our latest DSpace Committer, João Melo.

More information on this brand new OAI-PMH interface (nicknamed "OAI 2.0") can be found in the DSpace 3.0 documentation at:


If any DSpace Users would like to try out this new, or help us test the new OAI-PMH interface in general, we are holding a second testathon this week.

You can test things on our demo server: http://demo.dspace.org/
You can download DSpace 3.0 Release Candidate #3 and install it locally to test: http://sourceforge.net/projects/dspace/files/DSpace%20Release%20Candidate/3.0-rc3/

More info on Testathon is at: https://wiki.duraspace.org/display/DSPACE/DSpace+Release+3.0+Testathon+Page


- Tim

On 11/4/2012 12:32 PM, Stevan Harnad wrote:
    /**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 embargoed):
    (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 condition*
    (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
    (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

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
    very "low barrier" guidelines for compliance (we are now calling
    compatibility), basically just requiring identification of the EC
    and access status (Open Access, embargoed, closed) in a "standard" way.
    EC funded publications will be regularly harvested from
    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...

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