UKPMC Funders’ mandates

Open access and funder mandates: a workshop for HEI repository managers and OA administrators 24th September 2009
Robert Kiley, Head of Digital Services, Wellcome Library, Wellcome Trust

• Discuss the OA policy of the UKPMC Funders – highlighting areas of commonality and where there are subtle differences • Presentation focus on:
How authors should comply with policy Consider how OA costs will be met Discuss funder expectations of publishers and institutions

• Questions
Your opportunity to ask Funder representatives about their policy and its implementation

But first…look at the problem we are trying to resolve..
• Despite the OA mandate from all of the UKPMC Funders’ compliance is disappointing

Wellcome Trust: compliance with mandate
• Around 35% of Trust-funded research papers available in PMC/UKPMC within 6 months of publication
but…95% of journals used by Wellcome-funded authors have a “Wellcome-compliant” publishing option.
% of papers in PMC 40.00 35.00 30.00 Compliance (%) 25.00 20.00 15.00 10.00 5.00 0.00 Nov-06 Nov-07 Nov-08 Jul-07 Jan-07 Jan-08 Jul-08 May-07 May-08 Mar-07 Sep-07 Mar-08 Sep-08 Jan-09 % of papers in PMC


Papers published between Nov 06 – Jan 2009

Compliance across all Funders
• Compliance across all UKPMC Funders is around 30%
No. of articles indexed by PubMed with a UKPMC funder and published between 1st Jan 2009 and 31 Jan 2009 = 1859 No. of articles freely available from PMC = 545 Average compliance = 29.45%

UKPMC Funders Group OA policy: summary
Policy All UKPMC Funders? Variants and exceptions?


All research papers that have been accepted for publication in a peer reviewed journal, supported in whole or in part by a UKPMC funder Research papers must be made available from PMC and other PMCi sites, such as UKPMC

NIHR policy also includes NIHR own publications


BBSRC: Research outside life sciences should be deposited in an appropriate eprint repository


As soon as possible, and in any event within 6 months of publication day
BBSRC: Papers to be made available ASAP

How can authors comply with OA policy?
Policy All UKPMC Funders? Variants and exceptions?

Route 1

Publish in open access or hybrid OA journal
NIHR have brokered agreement with BioMed Central

Route 2

Publish anywhere, but self-archive the author manuscript. This is the version after peer review, but before copy editing. “Accepted manuscript” (NISO)

If neither?

Suggest revision to journal’s copyright statement Seek another publisher


Papers must acknowledge funder(s) and cite grant reference number(s)

Will OA- author-pays fees be met by UKPMC funder?
Yes Yes

Yes No Yes Yes Yes Yes

How will OA (Route 1) costs be met?
• Three main ways:
Block grant to meet OA costs.
Used by Wellcome

OA costs funded within grant (direct or indirect)

Ad-hoc claims to meet OA costs.
Used by arc, BHF

How will OA costs (Route 1) will be met: in detail
Form for arc researchers to reclaim OA funds available from arc site OA costs incurred whilst grant is “live” will be met from the approved grant. Once grant has finished, these costs should be included as indirect costs of the research institution BHF researchers submit claim to BHF to cover OA costs

CRUK researchers can use their grant – if the money is available. OA costs can not be applied for as part of the grant and no additional claims will be considered. CSO meet costs on an ad hoc basis, either by adding small supplementary funding or by permitting researchers to vire from a category that is underspent. [Policy under review] MRC will pay OA fees where these have been included under Directly Incurred Costs on grant proposals and when costs fall within period of grant. Once grant has finished, these costs should be included as indirect costs of the research institution OA costs met from approved budget. Additional ad hoc OA claims may be considered Additional funds awarded to “Top 30” UK institutions. Trustfunded researchers at other institutions apply for grant supplements

Requirements on publisher when OA fee is met?
# Policy All UKPMC Funders (who fund OA payments?) Variants and exceptions?


Deposit final version directly in PMC


Ensure final version is available at time of publications from PMC Attach a licence to the article so that it can be accessed and re-used, subject to agreed limits


Requirements on institution when OA fee is met?
# Policy All UKPMC Funders? Yes Variants and exceptions?


Make authors aware of OA policy and how their grant holders can comply


Manage payment of OA fees


Requirement from MRC and Wellcome Trust Requirement from MRC and Wellcome Trust Requirement from Wellcome Trust


Ensure that when charges have been paid, publications are available in PMC (and UKPMC) Provide annual audit of award spend





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