<span style="color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;font-size:13px;background-color:rgb(255,255,255)">Mark Thorley has posted "</span><a href="http://blogs.rcuk.ac.uk/2012/09/28/rcuk-open-access-policy-when-to-go-green-and-when-to-go-gold/#comment-309" style="color:rgb(0,51,102);font-family:verdana,arial,helvetica,sans-serif;font-size:13px;background-color:rgb(255,255,255)">RCUK Open Access Policy – When to go Green and When to go Gold</a><span style="color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;font-size:13px;background-color:rgb(255,255,255)">" on the RCUK site.</span><br style="color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;font-size:13px;background-color:rgb(255,255,255)">
<br style="color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;font-size:13px;background-color:rgb(255,255,255)"><span style="color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;font-size:13px;background-color:rgb(255,255,255)">Here are four further questions about the policy:</span><blockquote style="color:rgb(51,51,51);font-family:verdana,arial,helvetica,sans-serif;font-size:13px;background-color:rgb(255,255,255)">
<strong>1. Policy Wording.</strong> As repeatedly mentioned at the Imperial College Forum, the wording of the present RCUK policy is confusing and leads to the misunderstanding that fundees may not choose (free) Green (6-12) unless the journal does not offer (paid) Gold (CC-BY). Isn't the place to prevent this confusion and misunderstanding in the wording of the policy itself, rather than just in accompanying guidance to the interpretation of the wording of the policy?<br>
<br><strong>2. Perverse Effects.</strong> Is RCUK not concerned that only allowing fundees to publish in journals that offer either (paid) CC-BY Gold or (free) 6-12 Green (or both) will induce subscription journals (60% of which currently allow immediate, unembragoed Green) to now offer hybrid (paid) CC-BY Gold while increasing their Green option to 13+ to make sure UK authors must pay for Gold?<br>
<br><strong>3. Benefits of 6% CC-BY.</strong> The UK produces 6% of worldwide research output. What benefit is it to UK industry, or UK wealth creation, or UK research, to pay (hybrid) publishers 6% extra in order to make the UK's own 6% of the worldwide research output CC-BY Gold? Is it worth the extra research money, or the loss of potential Green OA from the remaining 94% of the world, because RCUK induces publishers to increase Green embargo lengths (and the rest of the world cannot afford -- or does not wish -- to subsidize hybrid publishers over and above what they are already paying them in subscriptions, as the UK is planning to do)?<br>
<br><strong>4. Green Compliance Mechanisms.</strong> There seem to be plans in the making for verifying compliance with RCUK's paid Gold option. What are RCUK's plans for verifying compliance with the Green OA option?</blockquote>
<br><div class="gmail_quote">On Fri, Sep 28, 2012 at 4:49 PM, BISSET J. <span dir="ltr"><<a href="mailto:james.bisset@durham.ac.uk" target="_blank">james.bisset@durham.ac.uk</a>></span> wrote:<br><blockquote class="gmail_quote" style="margin:0 0 0 .8ex;border-left:1px #ccc solid;padding-left:1ex">
<div bgcolor="#FFFFFF">
<div>Thanks Stevan and all,</div>
<div><br>
</div>
<div>Update to my email which has clarified my query.</div>
<div><br>
</div>
<div><a href="http://blogs.rcuk.ac.uk/2012/09/28/rcuk-open-access-policy-when-to-go-green-and-when-to-go-gold/" target="_blank">http://blogs.rcuk.ac.uk/2012/09/28/rcuk-open-access-policy-when-to-go-green-and-when-to-go-gold/</a></div>
<div><br>
</div>
<div>Mark Thorley has followed up on comment to clarify guidance in blogpost above.</div>
<div><br>
</div>
<div>1) if both gold and green route available, up to author and hei to choose best option for them. Not required to choose gold (although publishers may still move to restrict green through lengthy embargo)</div>
<div><br>
</div>
<div>2) if no gold option, AUTHOR must ensure article is deposited in an appropriate repository.</div>
<div><br>
</div>
<div>Kind regards </div>
<div><br>
</div>
<div>James<br>
<br>
Sent from my iPhone</div>
<div><br>
On 28 Sep 2012, at 13:37, "Stevan Harnad" <<a href="mailto:harnad@ECS.SOTON.AC.UK" target="_blank">harnad@ECS.SOTON.AC.UK</a>> wrote:<br>
<br>
</div>
<div></div>
<blockquote type="cite">
<div><font face="Arial">The Finch report incorrectly stated that Green OA self-archiving has failed.</font>
<div><font face="Arial"><br>
</font></div>
<div><font face="Arial">In reality, RCUK failed to create any deposit compliance verification mechanism.</font></div>
<div><font face="Arial"><br>
</font></div>
<div><font face="Arial">The new RCUK OA Policy, in its anxiety to comply with BIS/Finch/Willets has again, </font></div>
<div><font face="Arial">instead of fixing ghe obvious problem with the existing mandate -- adding an Green </font></div>
<div><font face="Arial">deposit compliance mechanism -- has again focussed on compliance with the rush </font></div>
<div><font face="Arial">to pay for Gold:</font></div>
<div><font face="Arial"><br>
</font></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">If
the UK wants 100% UK OA within two years, it need only add </font></span></div>
<div><font face="Arial"><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px">the
following simple, cost-effective </span><a href="http://openaccess.eprints.org/index.php?/archives/369-guid.html" style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;font-weight:normal;line-height:normal;color:rgb(0,51,102);text-transform:none;white-space:normal;text-decoration:underline;word-spacing:0px" target="_blank">compliance
verification mechanism</a><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px">: </span></font></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial"><br>
</font></span></div>
<div><font face="Arial"><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px">(1)
Deposit must be in the fundee's </span><a href="http://roar.eprints.org/" style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;font-weight:normal;line-height:normal;color:rgb(0,51,102);text-transform:none;white-space:normal;text-decoration:underline;word-spacing:0px" target="_blank">institutional
repository</a><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px">. </span></font></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">(This
makes each UK institution responsible for monitoring </font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">and
verifying timely compliance.) </font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial"><br>
</font></span></div>
<div><font face="Arial"><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px">(2)
All articles must be </span><a href="http://openaccess.eprints.org/index.php?/archives/71-guid.html" style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;font-weight:normal;line-height:normal;color:rgb(0,51,102);text-transform:none;white-space:normal;text-decoration:underline;word-spacing:0px" target="_blank">deposited
immediately</a><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"> upon
acceptance for publication. </span></font></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">(Publisher
embargoes apply only to the date on which the deposit is made OA.) </font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial"><br>
</font></span></div>
<div><font face="Arial"><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px">(3)
Repository deposit must be designated the </span><a href="http://openaccess.eprints.org/index.php?/archives/864-Integrating-Institutional-and-Funder-Open-Access-Mandates-Belgian-Model.html" style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;font-weight:normal;line-height:normal;color:rgb(0,51,102);text-transform:none;white-space:normal;text-decoration:underline;word-spacing:0px" target="_blank">sole
mechanism</a><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"> for </span></font></div>
<div><font face="Arial"><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px">submitting
publications for UK research assessment (</span><a href="http://www.eprints.org/ref2014/" style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;font-weight:normal;line-height:normal;color:rgb(0,51,102);text-transform:none;white-space:normal;text-decoration:underline;word-spacing:0px" target="_blank">REF</a><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px">).</span></font></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial"><br>
</font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">(4)
Provide authors with rich metrics on usage and citations,</font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">as
a reward for deposit and as evidence of its benefits for </font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">usage
and imact.</font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial"><br>
</font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">And
settle for Gratis Green OA initially, rather than over-reaching</font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">for
CC-BY: It's much less urgent, has far bigger publisher-opposition,</font></span></div>
<div><span style="text-indent:0px;letter-spacing:normal;font-variant:normal;text-align:-webkit-auto;font-style:normal;display:inline!important;font-weight:normal;float:none;line-height:normal;color:rgb(51,51,51);text-transform:none;white-space:normal;word-spacing:0px"><font face="Arial">and
will come, by and by, once we have mandated global gratis Green OA.</font></span></div>
<div><font face="Arial"><br>
</font></div>
<div><font face="Arial">Stevan Harnad</font></div>
<div><font face="Arial"><br>
</font></div>
<div>
<div>
<div><font face="Arial">On 2012-09-28, at 7:49 AM, BISSET J. wrote:</font></div>
<font face="Arial"><br>
</font>
<blockquote type="cite">
<div>
<div style="direction:ltr">
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">Hi all,<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">At an event last night held at Imperial College (<a href="http://scicommforum.eventbrite.co.uk/" target="_blank">http://scicommforum.eventbrite.co.uk/</a><span> </span>, great discussion about OA, RCUK
policy, purpose of repositories etc.) I raised a question I had previously asked RCUK directly via email (see below) but had received no response.<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<u><font face="Arial">Question:<u></u><u></u></font></u></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">(i) From the context of an institution with an open access mandate in place requiring self-archiving in the institutional repository, but which like many other institutions still has some work to achieve 100% compliance...<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">(ii) Taking into account the<span> </span><u>explicit</u><span> </span>requirement for deposit from, for example, Wellcome and some of the Research Councils...<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">Have myself and colleagues (a) misunderstood RCUK policy, (b) is the wording not as tight as it should be or (c) or is it as it is and that is what is intended when the policy seems to:-<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">1) Require authors to publish in 'compliant' journals<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">2) Indicate that to be compliant, journals must<span> </span><u>allow</u><span> </span>deposit in other repositories<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">but...<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">3) there appears to be no explicit push (although implied) to actually<span> </span><u>require</u><span> </span>deposit, nor an indication of where this
responsibility should lie to make the deposit or check that deposit has occurred.<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<u><font face="Arial">Response<u></u><u></u></font></u></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">This followed on from several questions about green OA, self-archiving, publisher archiving and repositories.<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">Mark Thorley's response included comment about RCUK "thinking about being more co-ordinated ... still a piece of work to be done ... watch this space" and later a Tweet from Alexandra Saxon, head of Comms at RCUK:<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<i><font face="Arial">"...When we announce details of the block grant we will clarify wording in policy / guidance #icoa"<u></u><u></u></font></i></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">Mike Taylor from Bristol also kindly did a quick check and came back with:<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial"><i>"#icoa Actually wording IS clear: RCUK "will accept a delay of no more than six months between on-line publication and a paper becoming OA"</i><u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">... admitting it was 'by the skin of their teeth'. I thought "great" - we just must have really misread it.<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial"><u>Still unclear</u><u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">But having now re-read the policy (again), I still don't think it is as clear as it could be<span> </span><u>if</u><span> </span>RCUK do expect deposit to
be made (either following Gold or green route).<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">Now, there is a much wider discussion around this about usage licences, institutional vs subject repositories, green vs gold, whether publishers or authors should deposit, visbility of repository material and hybrid
OA articles. That has been plenty discussed elsewhere, and still is, and needs to be.<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">But can I please clarify with anyone else if others take the same reading as we have from the policy as it stands:-<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">a) Section 3 clearly states the<span> </span><u>requirements on researchers</u>, which include to publish in compliant journals. No mention of deposit required.<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">b) Section 4 then goes on to describe how a journal can be considered 'compliant'. Through either of the two options given, it states that "the journal must allow deposit".<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">As Mike Taylor points out, it also then goes on to say (under the second, green oa option)...<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial"><i>"the journal must allow deposit of Accepted Manuscripts that include all changes resulting from peer review ... Research Councils will accept a delay of no more than six months between on-line publication and a
research paper becoming Open Access, except in the case of research papers arising from research funded by the AHRC and the ESRC where the maximum embargo period is 12 months."</i><u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">But the way we have read this is that,<span> </span><u>in order to be compliant</u><span> </span>(it is in the section on how an author can identify if a
journal is compliant, and follows on from the start of the sentence which says a journal must allow, not act upon) research councils will accept no delay longer than 6/12 months when a journal will<span> </span><u>allow</u><span> </span>deposit.<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">We cannot see any clearly expressed requirement or allocation of responsibility either for:-<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">i) the journal to deposit in a specific subject respository, or<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">ii) the author to then act upon the journal deposit policy and self-archive, or<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">iii) the author to be responsible for ensuring deposit has occurred (either by self-archiving or publisher archiving).<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">I therefore think there is a risk that this aspect of the policy would be difficult to enforce as it is currently phrased.<u></u><u></u></font></p>
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<font face="Arial">I'd be very interested to hear others thoughts or readings on this. It is of course very picky, and I concur with Professor Stephen Curry in congratulating Mark Thorley and RCUK, but as a means of trying to make sure
OA is pursued with vigour, the current phrasing appears to be not as tight as it could be.<u></u><u></u></font></p>
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<font face="Arial">Kind regards<u></u><u></u></font></p>
<p class="MsoNormal" style="margin-top:0cm;margin-bottom:12pt;margin-right:0cm;margin-left:0cm">
<font face="Arial">James</font></p>
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<font color="#1f497d">James Bisset</font></div>
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<div style="direction:ltr"><font color="#000000"><b>From:</b><span> </span>BISSET J.<br>
<b>Sent:</b><span> </span>26 July 2012 14:07<br>
<b>To:</b><span> </span>'<a href="mailto:info@rcuk.ac.uk" target="_blank">info@rcuk.ac.uk</a>'<br>
<b>Subject:</b><span> </span>Open Access policy: Cllarification of our uinderstanding - no explicit requirement to deposit o authors or publishers.<br>
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<div style="margin-top:0px;margin-bottom:0px">Dear RCUK,</div>
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<div style="margin-top:0px;margin-bottom:0px">Apologies, I was not sure which contact address might be preferable. Following a meeting with colleagues, we are concerned/confused by one aspect of the recent announcement on access to research outputs. Could
we please ask for clarification of our understanding, and if in fact there might be an omission from the statement.</div>
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<div style="margin-top:0px;margin-bottom:0px">Your statement stipulates that researchers in receipt of funding from Research Councils must be published in<span> </span><u>journals which are compliant</u><span> </span>with
your policy on open access.</div>
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<div style="margin-top:0px;margin-bottom:0px">The policy then indicates the two requirements for recognition as<span> </span><u>the journal</u><span> </span>being considered to be compliant:-</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px"><span style="color:rgb(0,112,192)">The Research Councils will recognise a journal as being compliant with their policy on Open Access if:</span></div>
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<div style="margin-top:0px;margin-bottom:0px;margin-left:36pt">
<span style="color:rgb(0,112,192)"><span>1)<span style="font:normal normal normal 7pt/normal 'Times New Roman'"><span> </span></span></span></span><span style="color:rgb(0,112,192)">The journal provides via its own
website immediate and unrestricted access to the publisher’s final version of the paper (the Version of Record), and<b><u>allows</u></b><span> </span>immediate deposit of the Version of Record in other repositories without restriction
on re-use. This may involve payment of an ‘Article Processing Charge’ (APC) to the publisher. The CC-BY license should be used in this case.</span><span style="color:rgb(0,112,192)"></span></div>
<p style="margin-top:0px;margin-bottom:0px;margin-left:36pt">
<span style="color:rgb(0,112,192)"></span></p>
<p style="margin-top:0px;margin-bottom:6pt;margin-left:18pt;margin-right:0cm">
<span style="color:rgb(0,112,192)">Or</span></p>
<p style="margin-top:0px;margin-bottom:6pt;margin-left:36pt;margin-right:0cm">
<span style="color:rgb(0,112,192)"><span>2)<span style="font:normal normal normal 7pt/normal 'Times New Roman'"><span> </span></span></span></span><span style="color:rgb(0,112,192)">Where a publisher does not offer
option 1 above, the journal must<span> </span><b><u>allow</u></b><span> </span>deposit of Accepted Manuscripts that include all changes resulting from peer review (but not necessarily incorporating
the publisher’s formatting) in other repositories, without restrictions on non-commercial re-use and within a defined period. In this option no ‘Article Processing Charge’ will be payable to the publisher. Research Councils will accept a delay of no more than
six months between on-line publication and a research paper becoming Open Access, except in the case of research papers arising from research funded by the AHRC and the ESRC where the maximum embargo period is 12 months.</span></p>
<p style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">Our confusion is this:-</div>
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<div style="margin-top:0px;margin-bottom:0px">The policy seems to place an emphasis on publishers that they must<span> </span><u>allow</u><span> </span>articles to be deposited in other repositories
(either with or without a fee and embargo). However, there is no actual explicit direction for publishers or authors to actually<span> </span><u>take action</u><span> </span>to make that deposit.
This section (4) of the policy stipulates the criteria which will lead to the Research Councils recognising<span> </span><u>a journal<span> </span></u>as being compliant.</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">Whilst the embargo limitation does stipulate:-</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px"><span style="color:rgb(0,112,192)">”Research Councils will accept a delay of no more than six months between on-line publication and a research paper becoming Open Access, except in the case of research
papers arising from research funded by the AHRC and the ESRC where the maximum embargo period is 12 months.”</span></div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">… we could see two potential issues:-<br>
<br>
1) If published via option 1, gold open access is provided and green access permitted and expected, but not explicitly enforced on either the publisher or author.</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">.. and more worryingly,</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">2) If published via option 2, the publisher may allow green after 6/12 months, and RCUK may expect a journal to not prevent deposit within this time… but we cannot see any explicit wording to indicate where
the responsibility lies to ensure deposit occurs. If this was to be used to block funding to a researcher as a penalty for not depositing, could an author argue that the requirement is only stated as an indication as to compliance by the journal, and<span> </span><b>not
a requirement for specific action by the author</b>?</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">We would very much like to see RCUK’s statement used as a means to encourage 100% compliance with making research council funded research open access and deposit in appropriate repositories, but if we have
not misread the policy, we are concerned that we will in fact still face the same difficulties in encouraging authors and/or publishers to actually take the actions required to deposit.</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">Has this been deliberately, or mistakenly, omitted from the policy, or have we just missed this in our reading of the policy? Any clarification would be much appreciated?</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">Kind regards</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">James</div>
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<div style="margin-top:0px;margin-bottom:0px">James Bisset</div>
<p class="MsoNormal" style="margin-top:0px;margin-bottom:0px"></p>
<div style="margin-top:0px;margin-bottom:0px">Academic Liaison Librarian (Research Support)</div>
<div style="margin-top:0px;margin-bottom:0px">Durham University Library</div>
<div style="margin-top:0px;margin-bottom:0px">Stockton Road</div>
<div style="margin-top:0px;margin-bottom:0px">Durham DH1 3LY</div>
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<div style="margin-top:0px;margin-bottom:0px">Tel: <a href="tel:%2B44%20%280%29191%20334%201586" value="+441913341586" target="_blank">+44 (0)191 334 1586</a></div>
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