defining an action plan (nicola perrin, wellcome trust)
TRANSCRIPT
Open access workshop
Developing an action plan to address the key challenges
Nicola PerrinStrategic Planning and Policy Unit
Overview
• Findings of survey• Identifying key issues for
discussion• Breakout groups• Feedback• Next steps
Benefits of open access
1. Raising the institution’s profile nationally and internationally (71%)
2. Disseminating knowledge (46%)3. Increasing citations of work at the institution
(33%)
“Marketing, making our research visible and accessible”Good basis for REF
– OA articles should have greater opportunity to be cited, although more work is needed to see if OA articles
really do have more impact”
Administering OA in practice
OA funding administration is an additional workload… If funders require institutions to work with researchers to help them comply… funding needs to be provided for additional staff time
Need a single national uniform system in dealing with this
It is something we need to get to grips with… one more burden to add to the overload....
From my perspective I feel there is confusion surrounding the whole area
Researchers resent ANY time not spent on core research activity.
Priorities for funders to address
1. Funding arrangements2. Improved communication3. Monitoring compliance4. Better coordination between funders and
publishers
We need consistency in policies, consistency in processes, and clear mechanisms for claiming funds from sponsors
1. Funding
Meeting Open Access Costs
35%
65%
81%
12%
19%
31%
8%
8%
Don’t know
Other
Departmental fund
From pre-paid subscription
From funding received as part of grant award -Through indirect costs
From claiming the costs back from their funder
From funding received as part of their grantaward -Through direct costs
From a block grant awarded to the institution bya funder
Base: All respondents (n=26) Q. How do researchers at your institution meet open access costs?
Which do you prefer?
1. Block grant (55%)2. Direct costs on grant (20%)3. Researcher claims funding at point of
publication (10%)
Incorporating into indirect costs… would enable creation of a central OA publishing fundDirect costs can be difficult if
publication occurs after the close of a grant
Do you have a Central Fund?
Don’t know, 4%
Yes, 23%
Under consideration,
19%
No, 54%
Base: All respondents (n=26) Q. Does your institution have a central fund for processing funds for open access publication costs?
Barriers: Funders
85%
85%
69%
85%
No action taken ifresearchers do not
comply
Differentrequirements/policies
between funders
Lack of clarity abouthow to comply with
funder mandates
Difficult accessingfunding for open
access
Base: All respondents (n=26) Q. Indicate which of these are barriers?Q Which is the most important barrier?
Barriers Most significant barrier
12%
50%
8%
27%
1. Funding
Question: How can we address difficulties accessing funding?
2. Communication
Barriers: Researchers
92%
92%
96%
69%
4%
88%
77%
27%
Other
Deposit in an institutional repository inaddition to UKPMC
Unaw are additional funding is availablefor OA
Don't know how to self-archive papers
Unaw are of benefits of OA
Unaw are of funders’ OA policies
Insuff icient priority given to OA
Lack of know ledge about how to comply
Base: All respondents (n=26) Q. Indicate which of these are barriers?Q Which is the most important barrier?
Barriers Most significant barrier
15%
50%
27%
0%
0%
0%
4%
4%
Communicating with researchers around OA
46%
69%
81%
23%
62%
Other
Meetings/Seminars
Distributing funders'information
OA info oninstitution’s website
Emails/letters toresearchers
Base: All respondents (n=26) Q. Which, if any, of the following activities are undertaken at your institution to help explain to researchers how to comply with open access mandates?)
Examples of existing materials
Question: How can we improve researchers understanding of how to make articles OA?
2. Communication
3. Monitoring compliance
Barriers: Institutions
38%
69%
92%
15%
62%
Other
Difficulties in processingpayments for OA
Lack of priority given to OA bythe institution
Unclear internal policy to dealwith OA
Difficulties to ensureresearchers comply with
OA mandates
Base: All respondents (n=26) Q. Indicate which of these are barriers?Q Which is the most important barrier?
Barriers Most significant barrier
0%
19%
54%
12%
15%
Compliance monitoring: current practice
No, 54%
Under consideration,
23%
Yes, 15%
Don’t know, 8%
Base: All respondents (n=26) Q. Does your institution carry out any analysis to determine compliance with funder mandates?
We would like to be able to devote more time to determining compliance, and to managing compliance with funders’mandates in a more efficient and thorough way, but staff do not have the time to do this
Funders need to start monitoring compliance with OA mandates and where researchers haven’t complied contacting them about this
Compliance monitoring: comments
Ensure there are sanctions for those who do not comply
Funders should place requirements on institutions and researchers to ensure compliance, e.g. monitor compliance and explicitly relate to future funding
Question: How can compliance be monitored most efficiently?
3. Monitoring compliance
4. Publishers
Barriers: Publishers
73%
81%
42%
58%
62%
8%
42%
Other
Difficulties with publishers'payment process
Publishers failing to depositarticles after payment has
been made
Determining if a journal has anUKPMC Funder compliant
policy
Finding publishers’ author-paysoption on website
Publishers not allowing openaccess
Different requirementsbetween publishers
Barriers Most significant barrier
Base: All respondents (n=26) Q. Indicate which of these are barriers?Q Which is the most important barrier?
19%
54%
8%
8%
0%
4%
8%
Myth: publishers don’t allow OA
37%
59%
2%
2%
Did complyCould have compliedCould not complyJournal not in SHERPA
Base: WT associated papers appearing on PubMed and published between September and December 2008 (n=1467)Source: http://www.sherpa.ac.uk/romeo.php, PubMed
Publishers business models
The lack of joined up thinking between the different funders… has allowed publishers to identify an additional funding stream …during the interim phase both the funders and the academic institutions pay twice
Funders should work with publishers to ensure smoother transactions of paymentsSome publishers seem to be
charging excessive amounts for articles.. given Unis provide peer review for free, the business model seems unfairly skewed
towards publishers…
Funders should reach agreements with all publishers…
We are spending too much time sorting out publisher mistakes – ie being chased for payments which we can prove have already been processed, or disentangling alleged duplicate payments which turn out to be publisher’s mistake
Question: what are the main messages we should be giving publishers to make your lives easier?
4. Publishers
Other issues
Institutional Repository mandates
No, 31%
Under consideration,
42%
Yes, 23%
Don’t know, 4%
Base: All respondents (n=26) Q. Does your institution have a mandate whereby researchers are obliged to submit papers to an institutional repository?
Institutional repositories
“Not to insist on availability in UKPMC but to promote use of institutional repositories as a ‘free’ alternative”
Very interested in seeing progress made towards linking institutional repositories and UKPMC
Funders should work with authors to ensure they submit their open access papers to their IRs also
The ideal situation is that we would have our own repository making all our publications OA.
UKPMC / Institutional Repositories
• Benefits:- ‘discoverability’- added functionality- grant reporting- long-term preservation
• We are exploring ways to serve up UKPMC content for harvesting in IRs
Improving mechanisms for OA administration?
• Funders- Clarify how financial support is
provided for researchers to meet author-side payments
• Institutions- Appoint single, senior person to
coordinate management of publication fees
- Establish dedicated budgets to meet OA costs
Breakout group discussions1. How can we address difficulties accessing
funding?
2. How can we improve researchers understanding of how to make articles OA?
3. How can compliance be monitored most efficiently?
4. What are the main messages we should be giving publishers to make your lives easier?
Each group to consider recommended actions for: funders, institutions, researchers publishers