This Webinar will provide delegates with an overview of the Wellcome Trust and RCUK OA policies. It will discuss current levels of compliance, and key issues which need to be addressed if full OA is going to be realised. The Webinar will also discuss the recent study, led by the Wellcome Trust, which looked at what levers funders could pull to help encourage the development of an effective OA market for article processing charges.

1. RCUK Policy on
Open Access
UKSG Webinar
26 March 2014
Ben Ryan
RCUK Research Outputs Network
ben.ryan@epsrc.ac.uk

2. Summary
• RCUK OA Policy and transitional
flexibility.
• 2014 Review – what and how.
• Monitoring compliance and costs.
• Sustainability.

3. Research Councils UK
£11.2B

4. Why Open Access?
• Research outputs must be accessible -
and re-usable - to enable exploitation.
• Research funders have a responsibility to
ensure accessibility and re-usability.
• Dissemination is part of the research process
and has to be paid for.
• Journals, libraries, repositories & publishers
have a key role to play in the process.
Get the stuff out there and get it used!

5. RCUK Definition of ‘Open Access’
Unrestricted on-line access to peer reviewed and published
scholarly research papers.
Specifically a user must be able to do the following
free of any publisher-imposed access charge:
1. Read published research papers in an electronic format;
2. Search for and re-use (including download) the content.
Allows unrestricted use of manual and automated text and
data mining tools, as well as unrestricted re-use of content
with proper attribution (as defined by CC-BY).

6. Scope of RCUK Policy
• Peer-reviewed research articles:
– Published in journals or conference
proceedings;
– Acknowledging Research Council funding;
– Submitted for publication from April 2013.
• Monographs, books, critical editions,
volumes etc currently excluded.

7. RCUK Support
• Block Grants to support OA paid to most RCUK-
funded organisations
• Total values set for 2013/14 (£17m) and 2014/15
(£20m) - based on estimates (average APC,
number of papers expected…)
• Values of grants post 2015 not yet set – awaiting
clarity on RC funding levels.

8. Expectations: Researchers
• Publish in RCUK Open Access compliant
journal.
• Include Research Council funding
acknowledgement (see RIN Guidance)
• Where relevant, include statement on
access to underlying research materials.

9. Expectations: Journals
• Offer ‘Gold’ option:
– immediate online access on publication
– re-use subject only to a CC-BY licence
– free of any publisher imposed access charge
– may charge and ‘article processing charge’ (APC)
• Or allow ‘Green’ option:
– permit deposit of final accepted MS in any
repository;
– permit un-restricted non-commercial re-use;
– limited embargo on toll-free access/re-use
(e.g. 6 months in bio-medicine).

10. Expectations: Institutions
• Institutions receiving RCUK OA block grants to:
– Establish institutional publication funds;
– Develop processes to manage and allocate
funds transparently and fairly between
disciplines and researchers.
• RCUK expects the primary use to be for
payment of APCs.
• RCUK preference is for Gold OA, but decision
lies with authors and institutions.

11. Implementation
• Five year transition period.
• Compliance:
– Year-one 45%;
– Year-two 53%;
– Year-five 100% (¾ Gold, ¼ Green).
• First evidence-based review Q4 2014.

12. Transitional Flexibility
• Embargo periods:
– Where funding for APCs unavailable, longer
embargo periods allowable (12/24 months),
except biomedicine (6 months max).
• Use of OA block grant:
– Flexibility over use, provided delivers RCUK
OA policy;
– Primary use still for payment of APCs for
Research Council funded papers.

13. 2014 Review: Scope
• International landscape.
• Impact of policy on:
– Disciplines;
– Peer review;
– Research collaboration.
• Impact of licences.
• Embargo periods.
• Block grants and costs of managing them.
• Overall cost of supporting APCs.

14. 2014 Review: Schedule
• Review panel being constituted.
• Call for evidence – planned for Q2 2014:
– Invitations to key stakeholders to submit
evidence;
– Plus general ‘open’ call for evidence.
• Review panel to consider evidence – Q4
2014.
• Confirmed schedule will be widely
publicised.

15. 2014 Review: Compliance
monitoring
• Has the RCUK policy made a difference?
• How much RCUK funded research is:
– Published?
– Gold with CC BY?
– Green?
– Non-compliant?
• Account for how ‘block grant’ has been
spent, on a per-publisher basis.

16. 2014 Review: Compliance Analysis
• By institution and by Research Council:
– ‘Year-1’: April 2013 to July 2014;
– Then on an academic year basis.
• RCUK analysis based on sub-set of papers
reported via ResearchFish and ROS:
– Aim to include a ‘Year-0’ baseline
(April 2010 to July 2011).

17. Monitoring: Working in partnership
• Identify with Research Organisations:
– Minimum achievable level of reporting;
– Data gathering mechanisms.
• RIN ‘HEI Best Practice Project’:
– Cooperative framework for monitoring progress
towards OA;
– Working Group established, report due shortly

18. The future must be sustainable
The motto, Non Solus, says that promoting science is an effort that
calls on mutual aid and support - no one can do it alone.
Whatever the business model for OA
it must be sustainable.

19. Sustainable: Who For?
• Publishers:
– Publishing quality, peer-reviewed journals costs
money and these costs need to be covered.
• Institutions and funders:
– Green is not sustainable with journal
subscriptions rising at 4% to 6% or more PA;
– Hybrid-gold is not sustainable whilst institutions
have to pay subscriptions and APCs.

20. The transition: Non Solus
• Gold OA:
– RCUK preference for immediate, unrestricted
access to the ‘article of record’;
– Publishers’ preference as sustainable and scalable
in an OA world.
• BUT transition costs are disproportionately falling
on research funders and research institutions.
• If publishers want Gold to succeed, they must
help to support the costs of transition.
– Differential pricing for hybrid-Gold.

21. Further information
• RCUK Policy
http://www.rcuk.ac.uk/research/outputs/
• RCUK Blogs
http://blogs.rcuk.ac.uk
• Finch Group report
http://www.researchinfonet.org/wp-content/uploads/2012/06/Finch-
Group-report-FINAL-VERSION.pdf
• Royal Society Report
http://royalsociety.org/policy/projects/science-public-enterprise/report/
• RIN Guidance on Funder Acknowledgement
http://www.rin.ac.uk/our-work/research-funding-policy-and-
guidance/acknowledgement-funders-journal-articles

22. QUESTIONS ?

23. 2014 Review: Evidence
Information: All articles Source
DOI ROS / Researchfish
Gold*/Green/Other/not known ROS / Researchfish
The licence which applies (including confirmation
of CC‐BY for articles flagged as ‘gold’)
Sherpa/FACT service (based on Journal‐level
data)
Whether article carries Funder
Acknowledgement
Random dipstick checking by RCs (incl. through
use of available bibliometric data e.g. Web of
Science data)
Article carries statement on access to underlying
research materials
Random dipstick checking by RCs (incl. through
use of available bibliometric data e.g. Web of
Science data)
Information: All articles not made immediately
OA with CC‐BY on publisher’s website
Source
URL ROS / Researchfish
Embargo period – Sherpa/FACT service (based on Journal‐level
data)

24. 2014 Review: Evidence
Section A – ‘Expenditure by Publisher’
To include all spend connected with publishing individual articles, i.e. APCs, page charges, colour charges, etc
Publisher A £- Number of articles published as a result of this spend
Publisher B £- Number of articles published as a result of this spend
Publisher C £- Number of articles published as a result of this spend
Publisher D £- Number of articles published as a result of this spend
etc… (add rows as necessary)

25. 2014 Review: Evidence
Section B
Other expenditure analysis
Other Expenditure to achieve
OA - 1
£ - Brief description (500 characters, incl punctuation and
spaces) of activity funded
Other Expenditure to achieve
OA – 2
£ - Brief description (500 characters, incl punctuation and
spaces) of activity funded
Other Expenditure to achieve
OA – 3
£ - Brief description (500 characters, incl punctuation and
spaces) of activity funded
etc (add rows as necessary)
sub-total paid to publishers £ -
sub-total of other
expenditure
£ -
If balance is negative, a brief description (500 characters incl punctuation and
spaces) of source funds used in addition to RCUK block grant
Balance of block grant
remaining
£ -