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COMPLIANCE WITH FUNDERS MANDATES – FACT Peter Millington, Jane Smith, Azhar Hussain & Bill Hubbard SHERPA Services, Centre for Research Communications,

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Presentation on theme: "COMPLIANCE WITH FUNDERS MANDATES – FACT Peter Millington, Jane Smith, Azhar Hussain & Bill Hubbard SHERPA Services, Centre for Research Communications,"— Presentation transcript:

1 COMPLIANCE WITH FUNDERS MANDATES – FACT Peter Millington, Jane Smith, Azhar Hussain & Bill Hubbard SHERPA Services, Centre for Research Communications, University of Nottingham, UK

2 Research funders in the UK Government funded research – Research Councils UK (RCUK) - over £2.8 billion p.a. Arts and Humanities Research Council (AHRC) Biotechnology and Biological Sciences Research Council (BBSRC) Engineering and Physical Sciences Research Council Economic and Social Research Council Medical Research Council Natural Environment Research Council Science and Technology Facilities Council (STFC) Research charities – Wellcome Trust – over £600 million p.a.

3 Recent developments Finch Report, June 2012 – Working group chaired by Dame Janet Finch – Expanding access to published research findings – Recommendations: Gold OA, suitably funded Minimal restrictions on re-use Continuing political debate – Houses of Commons and Lords Select Committees on open access

4 New common open access policy RCUK and the Wellcome Trust – Effective from 1st April 2013 Choice of two routes: – Publish with open access (gold) – Self-archive in an open access repository (green) Open access publications – CC-BY licence required Self-archiving: – Accepted version or better – Embargoes of 6 or 12 months tolerated – Non-commercial re-use allowed

5 Mandate variations Open access publication – MRC & Wellcome – publisher deposit in Europe PMC Tolerated embargoes – 6 months, except… – 12 months for AHRC & ESRC Archiving in… – Any appropriate open access repository, except… – MRC & Wellcome Trust - Europe PMC – ESRC – ESRC Research Catalogue

6 Funding open access publication Block grants to universities open access funds – Primarily to cover article processing charges – Other activities relevant to the mandate Grants rising to cover 75% of articles by year 5 – Rest Green Amounts vary according to funding totals – RCUK: £6k to £1.15m in year 1 – e.g. Nottingham - £536k + other funding

7 Transitional arrangements for RCUK OA funds increasing over 5 years APC grants might run out in early years Double embargo tolerated (except for MRC) – If there is a compliant Gold option – and APC funds are not available This caused some confusion, so…

8 Publishers Associations flow chart Is Gold option Available? Yes No Are APC funds Available? Yes No Green OA after 6 or 12 months Green OA after 12 or 24 months Immediate Gold OA

9 Revised transitional arrangements Still confused? Further clarification sought Double embargo tolerated (except for MRC) – If there is a compliant Gold option – and APC funds are not available Some publishers now have max embargoes

10 SHERPA/FACT Guidance for authors

11 Complexity of funders policies Requirement for Gold and/or Green OA – Preference if both allowed Gold open access – Min. CC licence required – Must Gold OA automatically archive in PMC? Green open access – Min. (earliest) article version required – Min. CC licence required – Max. tolerated embargo – Are specific repositories required? Are funds available for APCs?

12 Complexity of publishers policies Gold open access – Is the journal an open access or hybrid journal? – What CC licence is it published under? – What are the fees (if any)? Green – Does the author retain copyright? – Can the Accepted and/or Publishers version/PDF be archived? – Is there an embargo? Does it comply with the funders policy? – Are there special arrangements For the specific funder? For funders generally? – Is the journal a full member of Europe PMC? Are all the publishers policies clearly defined? Are the publishers policies known at all?

13 Pity the researcher Funders mandates versus publishers policies. – So many combinations and permutations! Information professionals can struggle How can the poor academic cope? Authors need a simple guide to compliance – Interpreting RoMEO data, not just displaying it

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15 Compliance screen layout Overall compliance Gold compliance Green How/Why Funders recommendation Information & Advice Links for further information, feedback, etc

16 Decision trails

17 Non-compliant journal Cautionary advice

18 Europe PMC Member for MRC and the Wellcome Trust No special action required!

19 Development issues Parsing data from RoMEO - more standardisation Data new to RoMEO – e.g. Gold CC licences Greater journal level granularity RCUKs transitional extended embargoes Highly complex algorithms – Each decision yields Yes, No, Maybe or Unknown – Hundreds of combinations and permutations Generic design for additional funders API – alpha version

20 Potential compliance Example statistics from SHERPA/FACT

21 Potential Wellcome Trust compliance

22 WT potential compliance timeline

23 Potential NERC Compliance

24 Response of interested parties

25 The response of publishers Generally positive – But also Were losing business Discussions with funders and universities – Sometimes negotiating special arrangements Face to face dialogue with SHERPA Services – How to ensure compliance – e.g. Emerald, Elsevier, Sage, etc. Notification of updated policies and errors for RoMEO Open access policy adjustments – Introducing gold options where necessary – CC licences & Embargo periods Maximising profit – Encouraging or forcing use of the Gold option – Elsevier & Emeralds interesting embargoes & RCUKs transition

26 The Response of Universities Research managers – Like the extra crock of gold Repository administrators – Good uptake of SHERPA/FACT – Interested in accuracy – lots of feedback – Wish to customise FACT for local contexts Asserting academic freedom to choose – Where to publish – Gold OA, Green OA or neither Gold versus Green preferences – Funders and many publishers prefer Gold – Some universities prefer Green…

27 Battle of the flow charts Is Green option Available? Yes No Are APC funds Available? Green OA after 12 or 24 months Green OA after 6 or 12 months Immediate Gold OA Is Gold option Available? Green OA after 12 or 24 months Yes No Yes No

28 How will open access funds be utilised?

29 Ratio of compliant OA routes (NERC)

30 Maximising profit for publishers

31 What some universities want

32 What funders are aiming for

33 Technical development – Peter Millington– RoMEO & FACT data – Jane H.Smith– Project management – Azhar Hussain– Director, Centre for Research Communications – Bill Hubbard– Thanks to: – Mark Thorley, RCUK – Robert Kiley, Wellcome Trust


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