1. Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License OASPA webinar: OA policy and funding | Dec 2015 With thanks to Copyright Clearance Center for hosting today’s webinar 1

2. OA policy and funding December 2015 Ros Pyne, Research and Development Manager Open Research Group, Springer Nature ros.pyne@nature.com Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 2

3. OA policy and funding | Dec 2015 Authors’ access to OA funding 19% of authors who have not published OA in the last 3 years say they could not fund an article processing charge (APC) Source: NPG Author Insights Survey, May 2015, n=7,955 http://dx.doi.org/10.6084/m9.figshare.1425362 Reasons for not publishing OA with an APC Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 3

4. OA policy and funding | Dec 2015 Author awareness of OA funding Source: NPG OA funding survey, Nov 2014, n=1,061 22% of authors who published OA were not sure whether APC funding would be available prior to submitting Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 4

5. OA policy and funding | Dec 2015 Availability of OA funding OA funding for articles 87 research funding bodies in 25 countries make funds available for article APCs (up 18% from Jan 2015) 125 institutions in 12 countries have independent APC funds. A further 91 institutions in the UK distribute OA funding from block grants allocated by funders. Many institutions additionally have OA memberships with publishers, offering pre-payment and/or discounts on APCs. OA funding for monographs 14 funders offer funding for OA monographs. 19 institutions offer funding for OA monos (but of these 13 have very low APC limits) Source: Springer Nature OA funding & policy database Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 5

6. OA policy and funding | Dec 2015 OA funds by world region Source: Springer Nature OA funding & policy database Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 6

7. OA policy and funding | Dec 2015 Authors’ sources of OA funding Source: NPG OA funding survey, Nov 2014, n=1,401 Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 7

8. OA policy and funding | Dec 2015 Applying for OA funding: advice for authors Find funding: Think about open access early on! Talk to co-authors List of research funders and institutions that make APC funding available: http://www.nature.com/openresearch/funding/#Open_access_funding_and_policy_information Make the case for open access: Benefits for authors: http://www.nature.com/openresearch/about-open-access/benefits-for-authors/ http://www.nature.com/openresearch/about-open-access/benefits-for-authors/ Check when to apply: As part the main grant application An allowable use of remaining grant funding with no additional application required Apply on acceptance, directly to the funder Apply on acceptance, via institution for block grant funding Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 8

9. OA policy and funding | Dec 2015 Notable OA policy and funding developments 2014-15 Funding bodyPolicy effectiveKey points European Commission (Horizon 2020)Jan 2014Introduced OA mandate for all work funded by European Commission, with extensive APC funding. Is influencing the development of national European OA policies. European Commission (FP7)April 2015Pilot to provide retrospective gold OA funding to FP7 grant-holders after grants have expired Chinese Academy of Sciences (CAS) & Natural Sciences Foundation of China May 2014Explicit indication of support for OA from major area of growth for scientific research. Green OA mandate (12-month embargo); CAS has APC funding. Charity Open Access Fund (COAF)Oct 2014Wellcome-co-ordinated OA alliance involving seven UK charities. Funds are distributed by block grants allocated to 36 UK institutions. NSERC, CIHR, SSHRC (Canada)May 2015Harmonised OA policy (and mandate) from the three major Canadian research councils. Gold or green; funding available via main grants. US federal agencies with >$100m in R&D 2015-16All federal agencies have now announced policies following 2013 OSTP memo: broadly follow NIH in mandating green OA & 12-month embargo Bill and Melinda Gates FoundationJan 2017*First funding body to announce immediate open access requirement. *During transition period (2015-2016) a 12-month embargo is permitted. NWO (Netherlands)Dec 2015New policy limits NWO APC funding to publication in pure OA journals. For the outputs of all grants awarded in response to calls for proposals from Dec 2015, immediate OA (green or gold) is required. FWF (Austria)Jan 2015Reduced APC cap (from EUR 3,000 to 2,500 for pure OA, 1,500 for hybrids). Specified EUR 18,000 for monos. More OA funding & broad support for OA Restrictions on use of OA funding Expansion of policies in N. America Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 9

10. OA policy and funding | Dec 2015 OA publishing preferences, funders with APC funding n=87 Source: Springer Nature OA funding & policy database Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 10

11. OA policy and funding | Dec 2015 Restrictions on how OA funding may be used funders n=87; institutions n=125 Institutions with independent APC funds only Source: Springer Nature OA funding & policy database Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 11

12. OASPA webinar: OA policy and funding | Dec 2015 Authors’ awareness of funder requirements Source: NPG Author Insights Survey, May 2015, n=8,305 40% of authors could not correctly identify their funder’s OA policy Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 12

13. OA policy and funding | Dec 2015 Non-compliance can result in penalties for authors Restrictions on current and future grant funding Wellcome Trust NIH NWO (in future) Ineligibility for research assessment HEFCE Some universities (e.g. University of Liège) Sources: Wellcome Trust Open Access Policy Author FAQs, http://www.wellcome.ac.uk/About-us/Policy/Spotlight-issues/Open- access/Guides/WTD018855.htm#_11._What_happens http://www.wellcome.ac.uk/About-us/Policy/Spotlight-issues/Open- access/Guides/WTD018855.htm#_11._What_happens NIH Notice Number: NOT-OD-13-042 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-042.html Q&A Open Access at NWO http://www.nwo.nl/en/policies/open+science/open+access+publishing HEFCE Policy for open access in the post-2014 Research Excellence Framework http://www.hefce.ac.uk/pubs/year/2014/201407/ Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 13

14. OA policy and funding | Dec 2015 Policy compliance: advice for authors Check! Do you need to…. Publish OA Use APC funds only for a fully OA journal Publish under a CC BY licence Deposit in a specific repository? Within a specific period of time? Does your preferred journal have a compliant option? SHERPA, ROARMAP and Springer Nature all offer advice and summaries of / links to OA policies.SHERPAROARMAP Springer Nature Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 14

15. Questions? OA policy and funding | Dec 2015 Unless otherwise specified these slides are made available by Springer Nature and OASPA under a CC BY 4.0 License 15