Improving compliance with the OA mandate: a work-in-progress report from the Wellcome Trust Berlin 7 meeting, Paris 2 nd - 4 th December 2009 Robert Kiley, Head of Digital Services & Acting Head of Library Wellcome Library, Wellcome Trust

Overview Wellcome Trust’s OA policy Compliance data What needs to be done to improve levels of compliance  Funders  Researcher/institutions  Publishers

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

How can Wellcome researchers comply with OA mandate? Route 1  Publish in a open access/hybrid journal if available – preferred route (and often the only route) Route 2  If Route 1 is not available, self-archive the author manuscript (including changes from peer review process) and make that available from PMC & UKPMC within 6 months of publication If a publisher offers neither route then:  Author can suggest revision to the journal’s copyright agreement – boilerplate language provided on our website – and see if the publisher will accept this  Look for an alternative publisher

Wellcome Trust: compliance with mandate Around 43% of Trust-funded research papers are available in UKPMC within 6 months of publication  but…95% of journals used by Wellcome-funded authors have a “Wellcome- compliant” publishing option. Papers published between Nov 06 – Mar 2009

Improving compliance with mandate: Actor 1: Funders

Improving compliance with mandate – role of Funders Funders must be explicit about how researchers and institutions can access funding for OA  Develop guidance about inclusion of OA publications costs within indirect costs; include specific line in grant application forms to include publication costs (direct costs)  Or set up dedicated budget (e.g. the Wellcome approach) Monitor compliance & enforce sanctions  Actively monitor compliance  Following letter from Wellcome to VC’s significant there was a 52% increase in author depositions  When a repeat application is successful, funding should be withheld until all previous (eligible) publications are in UKPMC Communication  Demonstrate the benefits of OA to the researcher (as well as the research community more generally)

New services at UKPMC – Grant Reporting “My Impact Report”“My Grant Report”

New services at UKPMC – Text mining Results of text mining the full-text

New services at UKPMC – Citations tab

Improving compliance with mandate: Actor 2: Researchers and institutions

Improving compliance with mandate: role of researchers & institutions Better communication  Institutions to make OA a clear priority  Arrangements for meeting OA fees to be effectively communicated Improve access to OA funds  Institutions to ensure OA publishing costs are requested as direct and indirect costs when applying for research funds  Ensure there is a consistent approach to paying fees  Establish dedicated budgets to meet OA costs  Develop mechanism to split OA fees proportionately between funders

Improving compliance with mandate: Actor 3: Publishers

Improving compliance with mandate – Publishers (1) 1. Clarify and standardise OA/self archiving policies  Develop a metadata standard/XML schema – using standardised nomenclature – to describe policies  Policies should be at the journal level  OA options should be available to all – not limited to specific funders  Make information about OA policy available in a consistent place – such as within the “Instructions to authors”

..and why clarity is required Number of publishers still have no OA policy  Sherpa estimate that 8% of publishers have no OA policy Nuances of policy – bewildering to the researcher  No fee, no embargo – but full & immediate OA (e.g. BMJ research papers)  No fee, full OA, but 6 months embargo (e.g. Rockefeller Press)  Author-side payment – fully Wellcome compliant (e.g. Elsevier, Wiley)  Author side payments – NOT Wellcome compliant (e.g. BRILL)  Self-archiving – must archive author version (e.g. AAAS )  Self-archiving – must archive publisher version (e.g. NEJM)  Self archiving – not WT compliant (embargo too long) (e.g. ASN) /

Improving compliance with mandate – Publishers (2) 2. Simplify process for authors who wish to select an OA option  Provide clear information – using animated walkthroughs, video etc. – explaining the OA process  Establish and staff an OA mailbox –  Create and maintain FAQ  Share good practice  Build OA option into manuscript submission workflow

Wellcome Trust: Funding portion of Journal Publishing Agreement

18 Wellcome Trust registered articles per month - Elsevier articles per month 34 articles per month Change in Journal Publishing Agreement 60% 50% 40% 30% 20% 10% 0% Number of articles % of eligible articles The average number of Wellcome Trust articles registered articles has increased from 20 (~27% of eligible articles) to 34 (~45% of eligible articles)

Improving compliance with mandate – Publishers (3) 3. 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”) 4. Provide tools for institutions to track status of OA articles 5. Adopt less pejorative language for OA option  “Author pays” unhelpful (and typically inaccurate)

Bottom line OA policies and infrastructure (e.g. UKPMC) in place  Looking to offer UKPMC service to other European research funders Need to build on these developments and take action on improving compliance – by working with the three key actors – funders, researchers/institutions and publishers  Trust working with RIN and others to developing transition models The full potential of OA can then begin to be realised

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