Funding body requirements
UKSG Webinar
26th March 2014
Robert Kiley
Wellcome Trust
r.kiley@wellcome.ac.uk
@robertkiley
Agenda
1. Discuss the Wellcome OA policy,
including compliance, costs and
sanctions
2. Look at key challenges relating to ...
OA: a one slide primer
• Definition of OA is the ability to read and
re-use content
• Open access (OA) can be achieved
thr...
Wellcome OA policy
• “any research papers
…accepted for publication in a
peer-reviewed journal, and are
supported in whole...
OA policy – why?
• To maximise the impact of
research
• Wellcome believes that the full
research and economic benefit of
p...
Compliance with the Trust’s policy
0
10
20
30
40
50
60
70
80
Compliance(%)
Month
% of papers in PMC
% of papers in PMC
Lin...
Gold or green?
• Trust supports “green” and
“gold” OA, though with a
strong preference for gold
• Gold – version of record...
Enforcing compliance
• specific sanctions for non-
compliance:
withholding final payment on grants,
until assurance papers...
The CC-BY requirement
• OA policy now specifies that research articles, for
which an OA fee is paid, must be licenced usin...
Licence issues: an example
Article at PMC
– vague licence
terms
Licence info in
footnotes is
clear
Licence terms
contained...
Supporting open access
• Providing dedicated funding to
meet OA costs
 including books and monographs
• Developing Europe...
Funding open access (1)
• View dissemination as an integral cost of funding research
• Provide dedicated funds meet OA cos...
Funding open access (2)
350
401
491
685
91
38 61
24 2
0
100
200
300
400
500
600
700
800
0-1000 1001-1500 1501-2000 2001-25...
OA - key challenges
• Developing infrastructures –
• linking subject and institutional
repositories; systems for paying
AP...
Meeting the costs of OA
• Growing concern that hybrid
publishers are being paid twice
(subscriptions and APC’s)
• Concern ...
Encouraging a functional OA market:
policy options
1. Funding APCs for full OA journals, and only funding APCs
for hybrids...
Further information
http://www.wellcome.ac.uk/openaccess
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UKSG webinar - Funding Body Open Access Requirements (Robert Kiley slides)

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This Webinar will provide delegates with an overview of the Wellcome Trust and RCUK OA policies. It will discuss current levels of compliance, and key issues which need to be addressed if full OA is going to be realised. The Webinar will also discuss the recent study, led by the Wellcome Trust, which looked at what levers funders could pull to help encourage the development of an effective OA market for article processing charges.

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  • *Looking at the 50 journals most used by Wellcome-funded authors in 2012 (and excluding all the fully open access journals,) we see that just 10% of these allow self-archiving at zero months. This is a long way short of the evidence presented to the Committee. If we look further – and see how many of these journals allow self-archiving at six months – the position improves, but not by much. Specifically, just 38% of the Top 50 journals used by Wellcome authors allow self-archiving at 6 months;62% of the these journals require a longer embargo period
  • UKSG webinar - Funding Body Open Access Requirements (Robert Kiley slides)

    1. 1. Funding body requirements UKSG Webinar 26th March 2014 Robert Kiley Wellcome Trust r.kiley@wellcome.ac.uk @robertkiley
    2. 2. Agenda 1. Discuss the Wellcome OA policy, including compliance, costs and sanctions 2. Look at key challenges relating to OA
    3. 3. OA: a one slide primer • Definition of OA is the ability to read and re-use content • Open access (OA) can be achieved through two primary routes, known as gold and green OA. • gold OA: journals make articles immediately available on the internet; may incur article processing charge (APC) • green OA: authors deposit a version of the article in a repository, often after an embargo.
    4. 4. Wellcome OA policy • “any research papers …accepted for publication in a peer-reviewed journal, and are supported in whole or in part by Wellcome Trust funding, to be made available through PubMed Central & Europe PMC as soon as possible and in any event within six months of final publication” • Sanctions in place, for non- compliance Wellcome Images,CC-BY, L0026422
    5. 5. OA policy – why? • To maximise the impact of research • Wellcome believes that the full research and economic benefit of published content will only be realised when there are no restrictions on access to, and reuse of, this information • Estimated that Human Genome Project provided a RoI of 141:1 https://www.genome.gov/27544383 Wellcome Images, CC-BY, L0038828
    6. 6. Compliance with the Trust’s policy 0 10 20 30 40 50 60 70 80 Compliance(%) Month % of papers in PMC % of papers in PMC Linear (% of papers in PMC)
    7. 7. Gold or green? • Trust supports “green” and “gold” OA, though with a strong preference for gold • Gold – version of record, zero embargo, re-use rights • Green – embargoes, author manuscript version limited re-use rights, and reliance upon subscription model • …and wasn’t the point of OA that we want access now…with licences that facilitate re-use? Wellcome Images, CC-BY, L0040558
    8. 8. Enforcing compliance • specific sanctions for non- compliance: withholding final payment on grants, until assurance papers listed on final reports are compliant requiring previous Trust-funded papers to be compliant before any funding renewals or new grants awards are activated discounting non-compliant Trust-funded papers as part of a researcher’s track record • Still a little early to assess the full effect of these measures
    9. 9. The CC-BY requirement • OA policy now specifies that research articles, for which an OA fee is paid, must be licenced using CC-BY Trust believes that full research and economic benefit of published content will only be realised when there are no restrictions on access to, and reuse of, this information • Requirement introduced from April 2013 • All major publishers now offer CC-BY •….though publishers experiencing some problems in fully implementing this
    10. 10. Licence issues: an example Article at PMC – vague licence terms Licence info in footnotes is clear Licence terms contained in the * attribute – not minable
    11. 11. Supporting open access • Providing dedicated funding to meet OA costs  including books and monographs • Developing Europe PubMed Central repository with 24 partner funders • Funding eLife – a top tier, open access journal • Advocacy: working with researchers, institutions, and publishers to make OA easier
    12. 12. Funding open access (1) • View dissemination as an integral cost of funding research • Provide dedicated funds meet OA costs • Estimate that cost of paying for all Trust papers via the gold route would be 1% to 1.5% of total research spend • Average APC £1816 (based on 2012-13 data) • 5000 papers a year (5000 x 1816) = £9m • Research spend (2012) £687.5M – 1.32% • …but is it a functional market ….? £0 £1,000 £2,000 £3,000 £4,000 £5,000 2005/06 2006/07 2007/08 2008/09 2009/10 2010/11 2011/12 2012/2013 Value£'000 Financial Year Total Open Access Expenditure Oct 2005/06 to Sept 2012/13 Includes Open Access Block Grants and Supplementations Grand Total Open Access
    13. 13. Funding open access (2) 350 401 491 685 91 38 61 24 2 0 100 200 300 400 500 600 700 800 0-1000 1001-1500 1501-2000 2001-2500 2501-3000 3001-3500 3501-4000 4001-5000 5001-6000 Numberofarticles Range of APCs paid Range of APCs paid (2012-13)* 2012-13 2011-12 2010-11 No. articles 2144 1690 1301 Mean OA paid £1816 £1872 £1808 Median OA paid £1837 £1889 £1875 OA fees paid through block grants, by Wellcome grantees *Data available at Figshare
    14. 14. OA - key challenges • Developing infrastructures – • linking subject and institutional repositories; systems for paying APC’s; determining publisher OA policies • Addressing concerns around licences, especially for humanities and social sciences scholars • Publishers experiencing difficulties in expressing licences in OA articles • And cost…. Wellcome Images, CC-BY, L0026444
    15. 15. Meeting the costs of OA • Growing concern that hybrid publishers are being paid twice (subscriptions and APC’s) • Concern exacerbated by recent study which showed that average APC in a hybrid journal was almost twice that for a born-digital, full open access journal ($2,727 compared to $1,418)
    16. 16. Encouraging a functional OA market: policy options 1. Funding APCs for full OA journals, and only funding APCs for hybrids that offset APC revenues by reducing subscription charges at a local (institutional) level; 2. Setting multi-tier price caps for the maximum they will contribute towards an APC for particular journals, based on the quality of services they provide; 3. Covering only a fixed percentage of the APC once the APC exceeds a threshold – with authors (or institutions) covering the shortfall • Trust looking to work with funders to explore these options
    17. 17. Further information http://www.wellcome.ac.uk/openaccess
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