1. Funding body requirements UKSG Webinar 26 th March 2014 Robert Kiley Wellcome Trust r.kiley@wellcome.ac.uk @robertkiley

2. Agenda 1.Discuss the Wellcome OA policy, including compliance, costs and sanctions 2.Look at key challenges relating to OA

3. 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” Wellcome Images, CC-BY, L0026422

4. OA policy – why? To maximise the impact of our research spend 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 Wellcome Images, CC-BY, L0038828

5. Compliance with the Trust’s policy

6. 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

7. Enforcing compliance Specific sanctions for non- compliance:  withholding final payment on grants, until assurance papers listed on final reports are compliant  discounting non-compliant Trust-funded papers as part of a researcher’s track record  requiring previous Trust-funded papers to be compliant before any funding renewals or new grants awards are activated Sanctions have been used

8. 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 some publishers experiencing some problems in fully implementing this….

9. 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

10. Funding open access (1) View dissemination costs as an integral cost of funding research 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 £1826 (based on 2012-13 data) 5000 papers a year (5000 x 1826) = £9.13m Research spend (2012) £726m – 1.35% but is it a functional market ? Wellcome Images, CC-BY, L0030379

11. Funding open access (2) Range of APCs paid (2012-13)* 2012-132011-122010-11 No. articles214416901301 Mean OA paid£1826£1872£1808 Median OA paid£1837£1889£1875 OA fees paid through block grants, by Wellcome grantees * Data available at: http://goo.gl/uHMJhohttp://goo.gl/uHMJho

12. 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 And cost…. Wellcome Images, CC-BY, L0026444

13. 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)

14. 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

15. Further information http://www.wellcome.ac.uk/openaccess email@ openaccess@wellcome.ac.uk