Open access- a funders perspective (or “What we want from institutions”)

CRC/RLUK/ARMA/SCONUL meeting

27th January 2011

Robert Kiley, Head Digital Services, Wellcome Library, Wellcome Trust (r.kiley@wellcome.ac.uk)

Overview

• Brief overview of our approach to supporting open access to our funded research

• Discussion of key challenges in researchers meeting funder open access mandates

• Consider how institutions can support our OA policy

• Look at the future priorities for the Trust in terms of OA

OA at the Wellcome Trust: policy

All research papers – funded in whole or in part by the Wellcome Trust – must be made freely accessible from the PubMed Central and UKPMC repositories as soon as possible, and in any event within six months of the journal publisher’s official date of final publication

Working with publishers to support mandate

• Trust has worked with all the major STM publishers – encouraging them to develop “Wellcome-compliant” OA options

• In 2009, 98% of papers – attributed to the Trust – were published in journals that had a “Wellcome compliant” policy

• Of the papers in UKPMC that arise from the Wellcome-mandate, 85% are publisher deposits; 15% author self archiving

Funding to support mandate• Trust believes that dissemination costs are research costs

• Provides funding to cover OA costs when publisher provides the following service:

– deposits the final version of article in PMC on behalf of author

– article is made available at the time of publication (no embargo)

– article is licensed in ways that allows re-use

Total Open Access Expenditure Oct 2005/06 to Jan 2009/10Includes Open Access Block Grants and Supplementations

£0

£500

£1,000

£1,500

£2,000

£2,500

£3,000

£3,500

2005/06 2006/07 2007/08 2008/09 2009/10

Financial Year

Va

lue

£'0

00

Grand Total Open Access

Providing infrastructure to support mandate

• Established UKPMC – with 7 other UK research funders

• At its core UKPMC provides functionality for:

publishers to deposit papers (via PMC) and

authors to self-archive papers

• Programme of development over the last 5 years – led by our partners at the British Library, EBI, and University of Manchester – has resulted in a function-rich repository

Fact extraction from text mining Questions generated in response to query

Compliance? – around 50%• Significant increase from 2006 – but still a long way to go…

Compliance with Wellcome OA mandate

% of papers in PMC

0

10

20

30

40

50

60D

ec-0

6

Mar

-07

Jun-

07

Sep

-07

Dec

-07

Mar

-08

Jun-

08

Sep

-08

Dec

-08

Mar

-09

Jun-

09

Sep

-09

Dec

-09

Mar

-10

Month

Co

mp

lian

ce (

%)

% of papers in PMC

Improving compliance with mandate: role of Funders

• Funders must be explicit about how researchers and institutions can access funding for OA

• Communication Demonstrate the benefits of OA to researchers and institutions

• Monitor compliance Following letter from Wellcome to VC’s significant there was a 52% increase in

author depositions Implemented process for checking for compliance at the time of publication

Sanctions?– Need to proportionate; Persuasive, rather than a punitive approach is preferable

• Repository service development Repository Junction; Institutional view of grants via Grant Lookup Tool

Grant linking facility – facilitated through Wellcome

Improving compliance with mandate: role of publishers

• Simplify process for authors who wish to select an OA option

Build OA option into manuscript submission workflow

Provide follow-up campaigns

• Make explicit the relationship between subscription costs and uptake of OA option

This will give confidence that funders and institutions are not paying access fees twice (“double dipping)

Figure 1: OA integrated into workflow

Figure 2: Follow-up campaign

Improving compliance with mandate: role of institutions: communication• Create awareness of OA policy and its benefits

New WT leaflet; guidance on our web site

• Funding Ensure researchers are aware there is funding (for WT researchers)

to meet OA costs Consider establishing dedicated budgets to meet other OA costs Ensure that OA publishing costs are requested as direct and indirect

costs when applying for research funds (Research Councils)

• Acknowledgement practice Encourage good acknowledgement practice

• Self archiving Where appropriate, encourage self archiving

2009 data shows that only 42% of Wellcome-funded papers – published in Science and Nature – were archived in UKPMC

Improving compliance with mandate: role of institutions (2)

• Monitor OA spend Follow-up with publishers in cases

when OA fee is paid – but article is not deposited

Provide Trust with Annual Report of OA spend

• Monitor compliance

• Support Single point of access for OA support

What next: priorities for the Trust

• Raising compliance Smarter monitoring Commitment to block-grant approach Closer dialogue with investigator

community Active, ongoing communication on Trust’s

mandate and UKPMC

• Developing UKPMC as a Europe-wide resource

Engagement with ELIXIR

• Investigating possible alternative publishing models

Examining potential of new technologies and ways of working