Strengthening the Wellcome Trust’s open access policy Repositories Support Project meeting: implementing open access funders’ policies 23 May 2013 David Carr Wellcome Trust d.carr@wellcome.ac.uk

Sharing research outputs: our position as a funder committed to ensuring research outputs (including papers and datasets) are made available in a way that maximises benefits to health and society we are a leading advocate of open access & data sharing: long-standing policies with funding to support implementation work in partnership at UK and international level to provide enabling environment active engagement in policy debates – e.g. copyright legislation reform, open data

Open access: a long-standing policy “any research papers that have been 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 (PMC) and Europe PubMed Central (Europe PMC) as soon as possible and in any event within six months of the journal publisher's official date of final publication”

Supporting open access providing dedicated funding to meet costs associated with open access publication developing Europe PubMed Central repository with 19 partner funders working with researchers and institutions, and publishers contributing to advocacy, research and awareness raising to accelerate transition to fully open access world supporting eLife – a new top tier, open access journal

Funding open access we view the cost of dissemination as an integral cost of funding research we provide dedicated funds for institutions to meet open access costs: OA block grants to 32 top-funded universities fund other institutions via grant supplements our open access spend was almost £4.5m in 2011/12 we estimate that cost of paying for all Trust papers via the gold route would be 1 to 1.5% of total research spend

Enabling open access: Europe PMC supported by 20 partner funders from UK and Europe run by the European Bioinformatics Institute, British Library & University of Manchester provides access to 2.6 million full text articles, plus 28 million PubMed abstracts a platform for development of value added services to enhance the interrogation and use of OA content integration with ORCID identifiers

Open access innovation: eLife new open access journal dedicated to enhancing communication of the very best science collaboration between researchers and three funders: the Wellcome Trust, Howard Hughes Medical Institute & the Max Planck Society will drive innovation in: supporting fair, rapid and constructive review maximising potential of on-line publishing for communicating cutting-edge science

Compliance with the Trust’s policy Bottom line: compliance has increased since 2006 (currently 55-60%), but still a long way to go

Why don’t researchers comply? lack of awareness of mandate, and of funding availability low understanding of routes for compliance not always having the lead role on publications not locating or selecting the correct publisher OA option not getting round to self-archiving in Europe PMC absence (previously) of clear consequences for non-compliance

Strengthening our policy (June 2012) specific sanctions for non-compliance: withholding final payment on grants, pending 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 from April 2013, where our funding is used to meet an open access fee, the paper must be available for commercial and non-commercial re-use subject to appropriate attribution (via Creative Commons Attribution licence)

Implementing the changes sanctions came into force immediately (July 2012) – but required changes to application and reporting forms to undertake required compliance checks implementation of CC-BY licence requirement taken forward in partnership with RCUK vast majority of journals in which our researchers publish have met this requirement fears that it would result in higher APCs not realised (albeit with one or two exceptions) RCUK and Trust co-funded the Sherpa/FACT resource to assist researchers and institutions in complying

A gathering momentum… UK adopting a leadership role in supporting open access: Government has set a clear policy direction towards open access, based on gold model in line with Finch review Strengthened RCUK policy came into force in April 2013 HEFCE consulting on possible requirement for open access in post-2014 REF EU communication on open access for Horizon 2020 programme (July 2012) In the US, failure of the Research Works Act and White House statement (Feb 2013)

Managing the transition – challenges costs to the higher education system - need to pool negotiating power to minimalize these uncertainty over the future level of gold APCs administrative burden associated with gold open access payments acceptance of licence terms issues for fund-raising charities implications for learned societies issues for developing countries

Is there a role for intermediaries? research commissioned by JISC and Wellcome Trust on behalf of UK OAIG last year explored potential role for intermediaries in managing APCs work undertaken by RIN examined needs of key stakeholder groups found a clear need for standards to enable exchange of transaction data market is already emerging, pilots underway http://repository.jisc.ac.uk/4949/1/Gold_OA_intermediary_final_report_(2).pdf

How will the gold OA market develop? We would like the emerging gold open access market to deliver: high quality and cost-service services emergence of innovative new players At present, there are concerns that: APCs may ultimately rise in an unchecked manner ‘big deal’ type arrangements may enable big publishers to corner the market costs are largely ‘hidden’ from researchers What policies and processes do funders and institutions use to ensure gold OA market delivers?

Can we address concerns of humanities & social sciences communities? In April, we held a roundtable meeting with HSS researchers & journals, RCUK and HEFCE to discuss application of CC-BY licence Key issues discussed included: use of third-party content derivative works and loss of control threats to income streams for authors and learned societies Text mining and re-use Report available on RIN website: http://www.researchinfonet.org/finch/copyright/

Current priorities for the Wellcome Trust developing our open access policy to consider: scholarly books (inc. monographs) data underlying publications building the evidence base - especially in light of 2014 review of RCUK policy actively advocating and championing open access working in partnership with our communities to overcome challenges

Further information http://www.wellcome.ac.uk/openaccess d.carr@wellcome.ac.uk