The NIH enforces the policy by requiring a PMC ID on every paper submitted with
grant progress reports and renewals. It's actually fairly effective. 

On Mon, Apr 23, 2012 at 8:02 PM, Stevan Harnad <[email protected]> wrote:
      Hard to imagine how fundee compliance with NIH OA policy can be
      effectively enforced while:

      (1) Deposit can be done by either the fundee or the publisher
      (who is not bound by the grant's conditions)

      (2) Deposit must by directly in PubMed Central instead
      of the fundee's institutional repository (where the institution
      can monitor publication output and ensure compliance)

      Unlike the institution (which monitors its researchers'
      publication output and productivity) the funder is unaware
      of what and where papers are published, especially after
      peer review is done and the researcher is funded. (Final
      Reports come far too late.)

      Hence the natural enforcer for funder policy is of course the
      fundee's institution, which already casts an eager eagle eye
      on all phases of the all-important research application and
      funding process (because of a shared institutional interest
      in getting research funding).

      The publisher, in contrast, has every interest in deterring or
      delaying OA as much as possible.

      The researcher, meanwhile, is busy writing grant applications
      and conducting research, if funded. Publish-or-perish ensures
      that researchers publish, but only institutions and institutional
      mandates can ensure that the publications are made OA
      (especially if institutional repository deposit is designated
      as the sole mechanism for submitting research for annual
      institutional performance review).

      See http://bit.ly/institutionalOA

      Stevan Harnad

      On 2012-04-23, at 8:03 PM, LIBLICENSE wrote:

      > From: "Hansen, Dave" <[email protected]>
      > 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
      > [email protected]
      > (510) 643-8138


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Michael Eisen, Ph.D.
Investigator, Howard Hughes Medical Institute
Associate Professor, Department of Molecular and Cell Biology
University of California, Berkeley




    [ Part 2: "Attached Text" ]

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