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Raising compliance with UKPMC Funders’ OA mandates: action plan

Raising compliance with UKPMC Funders’ OA mandates: action plan

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Published by: alisonhenning on Feb 16, 2010
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Raising compliance with UKPMC Funders’ OA mandates:action plan
The Wellcome Trust, on behalf of theUKPMC Funders’ Group, held a workshop on the 24thSeptember 2009, for HEI repository managers and research/open access administrators, todiscuss the issues involved in ensuring that funder open access mandates are met.Prior to the workshop, a questionnaire was distributed to delegates, to identify the differentbarriers (and the most important of these) which prevent adherence to the mandates.The results of the survey were summarised during the workshop and then delegates brokeinto groups to develop actions around the main themes of :
Accessing funding
Monitoring compliance
Messages for publishersThe actions generated from these groups form the basis of the joint action plan below, whichcomprises three ‘mini’ action plans: one for funders, one for institutions and one forpublishers.
The UKPMC Funders’ Group will take overall ownership of the further developmentand implementation of these plans and will work with institutions and publishers todo this, through a new ‘Institutions’ panel’ and a reconvened ‘Publishers’ panel’.
Alison HenningUKPMC Funders’ Group Project Manager16 February 2010
Page 1 of 5
The delivery of the Funders’ Action Plan will be managed by the UKPMC Funders’ Group.
1. Improving access to funding 
Funders must be explicit about how researchers and institutions can access funding for OA.
Research Councils should provide clearer guidance about how publication costs can beclaimed, through either direct costs or indirect costs. Specific proposals include:
develop advice about the inclusion of publication costs within indirect costs, to addressconcerns that papers are often published after the lifetime of a grant.
include a specific line in application forms to include the costs of publications.
2. Communications / improving researchers’ understanding of how to make articles OA
All communications from funders should articulate the benefits of open access and UKPMC,explaining to researchers that there is value to them (and to the research community moregenerally) in complying.
Funders should work with the UKPMC Engagement team to increase publicity at researchconferences and to better target junior researchers.
Communications activities should continue throughout the year, with a particular focus inJanuary / February and over the summer.
3. Monitoring compliance / enforcing sanctions 
Funders should develop processes to monitor (and enforce) compliance at the time of repeatapplications. Proposals should be considered by the usual processes but, where an applicationis successful, funding should be withheld until the researcher has demonstrated that allpublications from previous (eligible) grants are available in UKPMC.
Funders should encourage use of the grant reporting tool on UKPMC to track publications, forexample in end of grant report forms. This would help demonstrate the benefits of UKPMC, aswell as being a more efficient way of monitoring compliance and tracking grant outputs.
Funders should consider ways to monitor compliance at an institution level – either through theGrant Reporting tool, or through internal processes.
4. Working with publishers 
Funders should reconvene the Publishers’ Panel, and explore other mechanisms of workingwith publishers, to ensure the aims of thePublishers’ Action Planare met.
5. Working with institutions 
Funders will establish an Insitutions’ Panel, and explore other ways of working with institutionsto ensure the aims of theInstituions’ Action Planare met.Page 2 of 5
The delivery of the Institutions’ Action Plan will be managed by the UKPMC Funders’ Groupthrough the ‘Institutions’ panel’.
1. Communication 
Institutions to make OA a clear priority within their organisation and effectively communicate thisto their researchers and relevant administrative staff.
Institutions to work with UKPMC and individual funders on communication activities.
Arrangements for meeting OA fees should be effectively communicated to researchers andrelevant administrative staff.
2. Improving access to the funds available 
Institutions to ensure OA publishing costs are requested both as an indirect and direct cost onapplications submitted to the research councils. This will require incorporation of publicationcosts in the methodology used to calculate the Full Economic Costs on an application within aninstitution (e.g. TRAC).
Ensure there is a consistent and co-ordinated approach to managing the payment of OA fees.
To develop a mechanism to spilt the cost of OA fees proportionally between Funders, where necessary.
3. Internal policy 
Institutions to develop a clear internal policy on how to deal with open access and ensure this iseffectively communicated.
Where an OA fee has been paid to a publisher, to develop a process to ensure that the paper ismade available from UKPMC, at the time of publication. Where a paper is not available,Institutions should contact the relevant publisher(s) concerned. Any issues/problems withindividual publishers can be brought to the attention of the Funders.Page 3 of 5

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