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Setting up an Institutional Fund
Bill HubbardHead of Centre for Research Communications
University of Nottingham
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Compliance and Support
Academic researchers need clarity
Funders need compliance Institutions need clear funding routes Policies and publicity should alert researchers to
their responsibilities under funder mandates Policies and publicity should reassure researchers
that OA costs will be met Support systems should be in place to help - andmonitor compliance
A central OA Fund can help address this
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Research Income and OA fees
Direct costs: Research grants can be used to fund OA fees during the
life-time of a grant Researchers need to be encouraged to build this into their
grant applications
Indirect costs: Overheads claimed by the institution can also include OA
fee costs Funds need to be identifiable & accessible to researchers Costs need to be built into institutional overhead costing
models
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Detailed Guidance: EPSRC
Universities can recover publication fees incurred after a grant has ended as anindirect cost. This involves setting up funds and processes at an institutional or sub-institutional level.If a university chooses to set up a fund to enable their researchers to pay publicationfees, it can form part of the costs used for calculating the universitys standard rate forthe indirect costs of research. In the same way, a proportion of library costs arecurrently included in calculating the standard rate.Indirect costs are based on the annual attribution and reporting of costs in previousyears, so universities can only start to include the costs of paying publication fees intheir calculation of indirect cost the year after they first make provision.
Engineering and Physical Sciences Research Council, Payments of Publication Feeshttp://www.epsrc.ac.uk/ResearchFunding/GrantHolders/PublicationFees.htm
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The UK Situation 2009
Survey of UK HE librarydirectors, June 2009
55 valid responses Russell Group: 11
Pre-92 universities: 24 New universities: 15
HE colleges: 5
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Central Funds?
Question: Do you have aninstitutionally-coordinated approach to
payment of per-article OA fees (such as acentral fund)? Yes: 8 institutions (14%) No correlation between institution type
and OA fund No clear pattern of responsibility in the
institution for funds 7 of the 8 funds administered centrally
3 by library 3 by research support office 1 by graduate school
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Institutional Context
The possibility of setting up a fund has been raised inmany institutions
About 8 saw it as a real possibility in the next 12months (varying levels of confidence)
Some indicated alternative arrangements are in placee.g. devolved responsibility
Library managers are usually the ones initiatingdiscussions in institutions
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Nottingham: Case Study
Recommendations adopted by the University Research Committee,November 2006:
1.All authors should be encouraged to deposit copies of their papers in theNottingham ePrints repository.2.The University should identify a central budget upon which all authors inthe institution can call to fund publications/OA charges.3.Wellcome-funded authors should be reminded of the availability of funds topay for their publications/OA charges.4.Further internal publicity should be carried out in order to inform academic
staff of the new requirements of funders.5.Arrangements should be put in place to monitor the Universityscompliance with funder requirements.
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Working with an OA Fund
Approved in November 2006 Managed by the research support office (Research Innovation
Services, RIS) Procedures document developed, March 2007 Publicity undertaken by RIS and Information Services Monitoring of the fund by RIS and IS Fund re-endorsed by Research Committee, 2008
Review of procedures Further publicity required
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Usage
Total number of requestsover 3 years: 210
Requests per year 2006-07: 31
2007-08: 79 2008-09: 100
Over 3 years BMC: 103 Non-BMC: 107
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Costs
Total costs: 233,581
Costs per year: 2006-07: 28,597 2007-08: 84,370 2008-09: 120,614
Over 3 years BMC: 106,566
Non-BMC: 127,015
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Costs
Mean average cost per article: 1,112
BMC articles: 1,035 Non-BMC articles: 1,187
Highest payment: 2,975 Lowest payment: 347
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Claimants
Claimants predominantly fromMedical and Life Sciences areas
Faculties: Medicine and Health Sciences:
49% Science: 46%
Engineering: 1% Social Sciences, Law and
Education: 4% Arts: none
Within the Faculty of Sciencemost claimants from Biology,Biosciences and VeterinaryScience
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Publishers
Payments made to 26 publishers over 3 years Only 6 publishers received payments for more than
5 articles: BMC: 103
Association for Research in Vision and Ophthalmology: 9 Elsevier: 9 Oxford University Press: 9
Public Library of Science: 6 Springer: 10
Mean average publisher charge: 1,358 Learned society publishers: 1,242
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Considerations for Institutions
1. Identify an institutional champion
2. Clarify funder policies3. Establish clear institutional arrangements for costrecovery
4. Consider the most appropriate institutionally-coordinated arrangements
5. Agree policies for non-funded researchers6. Develop clear policies for the Fund
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Considerations for Institutions
7. Consider the relationship with library funding
8. Develop streamlined workflows9. Undertake publicity10.Provide proactive support for researchers11.Monitor compliance12.Review policies and funding regularly
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Considerations for other stakeholders
Publisher developments required: streamlining workflows achieving greater standardisation
Consortial/national developments required:
negotiating with publishers on policies, workflows andprice
Funder developments required: new workflows for compliance processes work more closely with institutions on common aims for
research outputs
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References
SHERPA JULIET (funder policies) http://www.sherpa.ac.uk/juliet/
SHERPA ROMEO (publisher copyright policies) http://www.sherpa.ac.uk/romeo
UUK/RIN guidance to UK institutions http://www.rin.ac.uk/openaccess-payment-fees
With thanks to: Chris Middleton for analysis of the Nottingham central fund usage
statistics Stephen Pinfield for the origin al version of this presentation
http://www.sherpa.ac.uk/juliet/http://www.sherpa.ac.uk/romeohttp://www.rin.ac.uk/openaccess-payment-feeshttp://www.rin.ac.uk/openaccess-payment-feeshttp://www.sherpa.ac.uk/romeohttp://www.sherpa.ac.uk/juliet/ -
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Questions?
Bill Hubbard Head of Centre for Research Communications JISC Research Communication Strategist
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CRC Summary
SHERPAPartnership
News - Information -Investigation
SHERPAServices
RoMEO - JULIET -OpenDOAR
JISC ResearchCommunications
StrategyStrategy Development -Feedback - Dissemination
SHERPAProjects
RSP - NECOBELACDRIVERII - OpenAIRE
National Partner DRIVER
ConfederationCOAR
OA Research,Surveys,Projects
UniversityOA Services
R & D