From: Michael Carroll <[log in to unmask]>
Date: Thu, 26 Apr 2012 09:12:56 -0400
Hi all,
The interesting choice here is NIH's focus on the researcher when
the grantee is the institution. In the grant agreement, the
institution makes the promise to NIH that an article arising from NIH
funding will be posted to PubMed Central, even though fulfilling this
requirement requires researcher cooperation.
While NIH currently is using the possible loss of future funding
to give researchers an incentive to apply, NIH would be well within
its rights to send back *any* application from the institution until
there's been full compliance on all past grants to the institution.
All for one and one for all?
http://www.arl.org/sparc/advocacy/nih/copyright.shtml
Best,
Mike
Michael W. Carroll
Professor of Law and Director,
Program on Information Justice and Intellectual Property
American University, Washington College of Law
Washington, D.C. 20016
vcard: http://www.wcl.american.edu/faculty/mcarroll/vcard.vcf
-----Original Message-----
From: Kevin Smith <[log in to unmask]>
Date: Wed, 25 Apr 2012 09:09:46 +0000
Dave,
I think Ivy is correct in quoting these sections. My understanding is
that when a researcher submits a progress report, renewal application
or new grant proposal and does not include PMCID numbers for previous
work that is covered by the policy, the paperwork is returned to the
researcher for completion. That "administrative" form of enforcement
often means that a research team has to catch up with their deposit
requirements.
The NIH promised that enforcement would be gradual, and I have never
heard of any remedial action, as yet, beyond this insistence on
evidence of compliance in new applications.
Kevin
Kevin L. Smith, J.D.
Director of Scholarly Communication
Duke University
Perkins Library
P.O. Box 90193
Durham, NC 27708
919-668-4451
Sent from my iPad
On Apr 25, 2012, at 12:06 AM, "LIBLICENSE" <[log in to unmask]> wrote:
> 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
> [log in to unmask]
> http://cdlib.org
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