The OA landscape - one year from on from Finch: view from the Wellcome Trust

Robert Kiley, Wellcome Trustr.kiley@wellcome.ac.uk# @robertkiley

I wanted to talk about Wellcome Library’s digitisation plans and out beautiful Player…..

…but OA continues to be the more important concern for librarians…

Agenda

1. Policy developments2. Wellcome Trust3. Changing landscape4. APC’s: risks of the model?5. Conclusion

Policy developments – UK

• RCUK• Updated guidance – April 2013• Support for gold and green (preference for gold)• £17m in Year 1 to support OA

• HEFCE• “we intend to introduce a requirement that all outputs

submitted to the post-2014 Research Excellence Framework (REF) exercise are published on an open-access basis”

• Institutions can use the funds provided through our research grant to contribute towards the costs of more accessible forms of publication

OA in Europe

• Commission will make open access to scientific publications a general principle of Horizon 2020

• As of 2014, all articles produced with funding from Horizon 2020 will have to be accessible:• immediately by the publisher ('Gold' open access) - up-front

publication costs can be eligible for reimbursement by the European Commission; or

• available through an open access repository no later than six months (12 months for articles in the fields of social sciences and humanities) after publication ('Green' open access).

• The goal is for 60% of European publicly-funded research articles to be available under open access by 2016

Science Europe

• SE position paper – supports principle of OA

• Share the view that “publication and dissemination of results are an integral part of the research process. The allocation of resources within the research system must take this into account”

• …but• stresses that the “hybrid model, as

currently defined and implemented by publishers, is not a working and viable pathway to Open Access”

OA in the US

• FASTR• Max 6 month embargo

• OSTP• Mandate – all federally funded research

must be OA…within 12 months• Each agency plan shall ensure that the

public can “read, download, and analyze in digital form final peer reviewed manuscripts or final published documents”

• CHORUS• Response from AAP

OA in the rest of the world• Global Research Council

• In order to increase their RoI, research councils encourage open access to all results from publicly funded research which originated from their funding

• Develop an integrated funding stream for hybrid open access

• G8 Science Ministers• We endorse the principle that increasing

access to the peer-reviewed, published results of publicly funded published research will accelerate research, drive innovation, and benefit the economy

• https://www.gov.uk/government/news/g8-science-ministers-statement

Part 2 –Wellcome update – monograph policy

• Development of OA policy for monographs and book chapters

• Effective 2013/14• Will provide funding for

“monograph processing charges”

• Working with publishers and researchers

• Content will be exposed through Europe PMC

Wellcome - compliance data

0

10

20

30

40

50

60

70

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% of papers in PMC

% of papers with WT grant numbers in PMC

Month

Com

plia

nce

(%)

Still room for significant improvement

Sanctions

• 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

• Too early to assess efficacy of these measures

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

• RCUK have identical policy• All major publishers now offer CC-BY

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

2005/06

2006/07

2007/08

2008/09

2009/10

2010/11

2011/12

£0.61m

£0.65m

£0.92m

£1.85m

£2.39m

£2.95m

£4.45m

Trust OA spend (£m)

Cost of OA publications (1)

• Data published by University of Edinburgh1 shows that over the last 4 years, average APC (for Wellcome Trust funded research papers) is £1741

1. Gold Open Access: Counting the Costs. Ariadne, 2012. http://www.ariadne.ac.uk/issue70/andrew

Cost of OA publications (2)• Analysis of OA spend (for Trust-funded research)

from 30 UK universities shows that in 2011-12:• 1770 papers published under APC model, at a cost of

£3,181,278• Average APC = £1797

• If 100% of Trust funded research incurred via an APC, total annual spend would be £9m

• Equates to 1.3% of Trust’s annual research spend• Annual research spend in 2011-12 was £700m

• £9m / £700m = 1.3%• If our spend had been, say, £600m, then OA costs equal 1.5% of

our research spend

Enabling open access: Europe PMC

• Supported by 20 partner funders

• Provides access to 2.6m full text articles, plus 28 m abstracts

• A platform for development of value added services

• Integration with ORCID identifiers

• Working with RJ and Research Fish

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

Changing landscape: OA publishing• PLoS One – biggest journal on the planet

• Published 23,500 articles in 2012• Rise of the clones

• The American Society for Microbiology’s mBio• BMJ Open• Company of Biologists Biology Open• Nature’s Scientific Reports• Cell Press’s Cell Reports• The Royal Society’s Open Biology• SAGE Open

• New, radical start-ups like PeerJ, F1000Research…and eLife

Anatomy of open access publishing: a study of longitudinal development and internal structure Mikael Laakso* and Bo-Christer Björk

Articles published under gold APC increased from 800 articles in 2000 to 136,000 articles in 2011

Growth in OA publishing: three OA publishers

2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 20120

10000

20000

30000

40000

50000

60000

70000

80000

BMCHindawiPLoSAggregate

Research by McCabe and Snyder in 2013 shows that “moving from paid to open access increases cites by 8% on average”

…and the rise of new services

• Intermediaries • Other than funding, one of biggest problem researchers face

when opting for OA is paying the APC• Providers now stepping in to plug this gap – evidence that

OA is maturing• Sherpa FACT

• Seeks to provide guidance, at the journal level, on how to comply with WT/RCUK policies

“Gold” is NOT a UK-only phenomenon

• 22% of all articles published in PLoS One are NIH funded

• NIH also fund hybrid articles• 48% of articles routed through ACS “Author Choice” option NIH

funded• In 2012 majority of published authors in PLOS were (in

order of uptake) from US, China, Germany and UK

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?

• Trust, in partnership with RCUK, RLUK, Jisc and others, commissioning study into the gold market

“Green first” approach…a tad baffling

• Number of UK universities are adopting a “green first” (e.g. Oxford, UCL, Sussex)

• Green, however, ultimately relies on the subscription model…

• …and wasn’t the point of OA that we want access now…with licences that facilitate re-use?

Take-home summary• Trust still believes that

dissemination costs are research costs• Cost of 100% OA is probably around

1.5% research spend• The move to OA continues to

gain momentum• Policies, publishing venues,

intermediaries etc.• “Gold” OA is not just a UK

phenomenon• Funders need to ensure that APC

model remains fair and transparent