From: Ivy Anderson <[log in to unmask]>
Date: Tue, 24 Apr 2012 02:45:18 +0000

Dave,

My understanding is that compliance is largely effected via NIH
policies posted here:

http://publicaccess.nih.gov/   and here

http://publicaccess.nih.gov/citation_methods.htm

"Anyone submitting an application, proposal or report to the NIH must
include the PMC reference number (PMCID) when citing applicable papers
that they author or that arise from their NIH-funded research."

In other words, a major incentive for compliance is that evidence of
compliance may affect future funding from NIH.  I don't know how
strictly this requirement is enforced, if that's your question -
others on this list may know more about that.  The Public Access FAQ,
posted at http://publicaccess.nih.gov/FAQ.htm, states:

7.  Will compliance with the NIH Public Access Policy affect the
outcome of the application review?
Compliance with the NIH Public Access Policy is not a factor in the
scientific and technical merit evaluation of grant applications.
Non-compliance will be addressed administratively, and may delay or
prevent awarding of funds.

And further on,

12.  What are some of the actions NIH may take when investigators and
institutions fail to take steps to ensure compliance with the NIH
Public Access Policy?
A grantee's failure to comply with the terms and conditions of award
may cause NIH to take one or more enforcement actions, depending on
the severity and duration of the non-compliance.  NIH will undertake
any such action in accordance with applicable statutes, regulations,
and policies.  NIH generally will afford the grantee an opportunity to
correct the deficiencies before taking enforcement action unless
public health or welfare concerns require immediate action.  However,
even if a grantee is taking corrective action, NIH may take proactive
action to protect the Federal government's interests, including
placing special conditions on awards or precluding the grantee from
obtaining future awards for a specified period, or may take action
designed to prevent future non-compliance, such as closer monitoring.
See Enforcement Actions in the NIH Grants Policy Statement (11/03):
http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part8.htm#_Toc54600145

best
- Ivy

Ivy Anderson
Director of Collections
California Digital Library
University of California, Office of the President
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http://cdlib.org

-----Original Message-----
From: "Hansen, Dave" <[log in to unmask]>
Date: Mon, 23 Apr 2012 21:28:06 +0000

Does anyone on this list have an idea of how the NIH enforces its
public access policy? I recently had a conversation with someone who
has viewed several NIH non-compliance letters. She expressed some
consternation that, while letters sometimes go out about
non-compliance, there is no real force behind them and nothing that
effectively compels compliance. I couldn't find any more info from the
NIH itself.

Does anyone have any idea how prevalent non-compliance is and how
frequently NIH takes actions to enforce the policy, and for those
library lawyers that I know lurk around on this list, who (if anyone)
would be able to contest non-enforcement by the NIH?*

*I'm not trying to pick a fight. I'd just like to know who has the
right to do such a thing.

-----

David R. Hansen
Digital Library Fellow
Samuelson Law, Technology & Public Policy Clinic
UC Berkeley School of Law
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