Funding body requirements

UKSG Webinar26th March 2014

Robert KileyWellcome 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

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.

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

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 141:1https://www.genome.gov/27544383

Wellcome Images, CC-BY, L0038828

Compliance with the Trust’s policy

Apr-2007

Jul-2

007

Oct-2007

Jan-2

008

Apr-2008

Jul-2

008

Oct-2008

Jan-2

009

Apr-2009

Jul-2

009

Oct-2009

Jan-2

010

Apr-2010

Jul-2

010

Oct-2010

Jan-2

011

Apr-2011

Jul-2

011

Oct-2011

Jan-2

012

Apr-2012

Jul-2

012

Oct-2012

Jan-2

013

Apr-2013

Jul-2

013

0

10

20

30

40

50

60

70

80

% of papers in PMC

% of papers in PMC

Linear (% of papers in PMC)

Month

Co

mp

lian

ce

(%

)

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

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

The CC-BY requirement

• OA policy now specifies that research articles, for which an OA fee is paid, must be licenced using CC-BYTrust 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

Licence issues: an example

Article at PMC – vague licence terms

Licence info in footnotes is clear

Licence terms contained in the * attribute – not minable

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

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 ….?

2005/06 2006/07 2007/08 2008/09 2009/10 2010/11 2011/12 2012/2013£0

£500£1,000£1,500£2,000£2,500£3,000£3,500£4,000£4,500£5,000

Total Open Access Expenditure Oct 2005/06 to Sept 2012/13Includes Open Access Block Grants and Supplementations

Grand Total Open Access

Financial Year

Val

ue

£'00

0

Funding open access (2)

0-1000 1001-1500 1501-2000 2001-2500 2501-3000 3001-3500 3501-4000 4001-5000 5001-60000

100

200

300

400

500

600

700

800

350401

491

685

9138 61

24 2

Range of APCs paid

Num

ber o

f arti

cles

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

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

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)

Encouraging a functional OA market: policy options1. 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

Further informationhttp://www.wellcome.ac.uk/openaccess