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Open Access: Meeting funder requirements

Funder Requirements Overview

Funder requirements

The new new UKRI open access policy was announced on 6 August 2021.

 

UKRI policy - articles submitted on or after 1 April 2022:

UKRI’s new open access policy is aligned with the principles of Plan S.  It applies to all journal articles that report original, peer-reviewed research, and acknowledge funding from UKRI: Research Councils - AHRC, BBSRC, EPSRC, ESRC, Innovate UK, MRC, NERC, STFC.  It also applies to peer-reviewed conference papers (published in a journal, or proceedings with an ISSN number) and review articles acknowledging UKRI funding.

Check before you submit!  UKRI funded authors should establish if their chosen journal is compliant before submission and before applying for funding.  Please use our Journal Checker Form to enquire about specific journals and whether they offer a compliant route.

How to comply with the UKRI open access policy - flowchart.

Quick guide to the UKRI Open Access policy - April 2022.

Policy detail:

The new UKRI open access policy will commence on 1 April 2022.  The policy will apply to:

  • peer-reviewed research articles and conference proceeding papers submitted for publication from 1 April 2022
  • monographs, book chapters and edited collections published from 1 January 2024 (unless already under contract).

All peer reviewed research articles including reviews and conference papers published in proceedings with an ISSN, which acknowledge funding from: one of the UK Research Councils (UKRI): AHRC, BBSRC, EPSRC, ESRC, MRC, NERC, STFC, or Innovate UK or Research England must be made open access by the official date of publication, and be published with the CC-BY licence unless the authors have obtained agreement from UKRI as an exception, to allow publication under CC-BY-ND.

How to comply with the policy:

You can be compliant with the policy by publishing in:

  • fully open access journals or open access platforms that meet UKRI's requirements (UKRI will pay open access article processing charges);
  • subscription journals with a gold open access option (hybrid journals) that are included in Bath’s open access transformative agreements and which meet JISC's criteria for transformative journals;
  • other subscription journals, by making the author’s accepted manuscript (or final published version, where the publisher permits) available in an institutional or subject repository at the time of final publication with a CC-BY licence.  Bath authors should upload their accepted manuscript to our institutional repository, Pure, at the time of acceptance.  When submitting to the journal, you must include the following text in the funding acknowledgements section of the manuscript and in any cover letter/note accompanying the submission:
‘For the purpose of open access, the author has applied a Creative Commons Attribution (CC-BY) licence [where permitted by UKRI, ‘Open Government Licence’ or ‘Creative Commons Attribution No-derivatives (CC-BY-ND) licence may be stated instead] to any Author Accepted Manuscript version arising’

 

The text that you have included in your funding acknowledgements section should allow you to deposit your Author Accepted Manuscript into a repository and make it immediately open access with no embargo and with an appropriate licence. However, it is important that you do not then sign a contract with the publisher that conflicts with these terms (eg agreeing to an embargo, or a more restrictive license), as you may then be in breach of publisher terms and conditions when you deposit. If you receive such a contract from a publisher, please contact: openaccess@bath.ac.uk for advice.

Biomedical research articles that acknowledge MRC or BBSRC funding must also be made available in Europe PubMed Central. Authors who upload their accepted manuscripts to Pure should also upload them to Europe PubMed Central, using Europe PMC Plus.

Please note that gold open access in subscription journals (hybrid open access) will not be funded unless the journal is in one of our open access transformative agreements or is recognised by JISC as a transformative journal.

Licence exception for research articles

The policy requires all UKRI funded research outputs to be open access with a Creative Commons Attribution (CC BY) licence.  However, there is a case-by-case exception for research articles where a Creative Commons No Derivatives (CC BY-ND) licence may be allowed.

Authors or research organisations must apply to UKRI for an exception prior to submission, using the form provided (see link below), including your reasons for applying for the exception.

The decision on whether to grant an exception will be dependent on the reasons articulated to UKRI within the context of research and will be assessed on a case-by-case basis. Further details of the process are available.

Data access statement: All in-scope articles must include a Data Access Statement, even when there are no data associated with the article or the data are inaccessible; see Annex 1 of UKRI policy.

Preprints: Preprints are not within scope of the new UKRI open access policy; however UKRI encourages the use of preprints across all research disciplines that they support and may ensure the use of preprints in the context of emergencies. Also see the MRC policy on preprints and the BBSRC policy on preprints.

For more information on the policy see the following UKRI pages and guidance:

Making your research publications open access.

UKRI Open Access Policy: explanation of policy changes.

Shaping our open access policy.

UKRI Open Access Policy for monographs, book chapters and edited collections:

This policy applies to in-scope outputs as defined in Annex 1 of UKRI policy that are required to acknowledge funding from UKRI or its constituent councils and are published on or after 1st January 2024.

Open access requirements: The Version of Record or Author's Accepted Manuscript must be free to view and download from an online publication platform, publishers website or institutional or subject repository within 12 months of publication.

Maximum allowed embargo: 12 months.

Open access licence: Open access versions must be published with a Creative Commons (CC) licence. CC BY is preferred but other Creative Commons licences are permitted. An Open Government Licence (OGL) can be used when a research article is subject to Crown Copyright. 

UKRI’s licensing requirements do not apply to any materials included within a long-form output that are provided by third-party copyright holders. Academic books published under a CC licence may include third-party materials that are subject to a more restrictive licence, UKRI considers this approach compliant with its policy. An exception will be available if re-use permissions for third-party materials cannot be obtained and there is no suitable alternative option to enable open access publication. UKRI will publish more details on their website in due course.

Open access funding: Funding will be available from a centralised fund held by UKRI that organisations will apply for. The terms and conditions for funding of monographs will be made available in 2024.  In the meantime, publication costs for monographs, book chapters and edited collections can continue to be included in research grant applications

Exemptions: Exemptions may apply where a) the only appropriate publisher, after liaison and consideration, is unable to offer an open access option that complies with UKRI’s policy and b) where a monograph, book chapter or edited collection is the outcome of a UKRI Training Grant. UKRI will publish more details about exemptions on their website in due course.

For more details: UKRI open access policy

Previous UKRI (RCUK) policy - articles submitted before 1 April 2022:

Researchers are required to openly publish any peer-reviewed research papers which acknowledge Research Council funding. The Research Councils' open access policy supports both the paid and self-archiving routes to open access.

Paid route (gold):

  • The Research Councils have expressed a preference for making research outputs which they have funded immediately open.
  • This route will likely incur a charge from the publisher. The University has been given a grant to cover these costs.
  • In order for authors to make use of the grant, the publisher must provide unrestricted access to the final published version of the work on its website and apply a CC-BY licence to it (see our OA Licensing tab for further information about Creative Commons licences).
  • The University of Bath has developed a set of eligibility criteria for allocation of open access funding from our UKRI block grant.  Please see our pages about using the UKRI block grant to pay these open access fees for further information.

Self-archiving route (green):

  • The author accepted manuscript (AAM) must be deposited in a repository like Pure and made openly available within specified embargo periods.
  • For AHRC and ESRC funded research the maximum embargo period is 12 months.
  • For all other Research Councils the maximum embargo period is 6 months.
  • However EPSRC state that if the gold route is offered by the journal but funds are not available to pay the article processing charges then the maximum permitted embargo period for articles is twelve months.
  • Additionally, BBSRC and MRC papers must be deposited in Europe PubMed Central.
  • If your journal does not allow the deposit of the AAM in a repository or the embargo period exceeds the maxima then paying for the paper to be made open is your next option.

To find out more about the individual Research Councils and their open access policies please visit their individual websites: AHRC, BBSRC, EPSRC, ESRC, MRC, NERC, and STFC. Papers funded wholly by Innovate UK do not fall under the Research Councils' open access policy.

     

If you are funded by Wellcome Trust, the British Heart Foundation, Bloodwise, Versus Arthritis, Cancer Research UK, or Parkinson's UK you will need to arrange for any published research which acknowledges their support to be made openly available.

  • The above charities, which formerly comprised the Charities Open Access Fund (COAF), all have a preference for immediate open access via the gold (paid-for) route. 
  • If you have been funded by one of the above charities, please see our relevant open access funding page to find out more about paying your APC.
  • All the above charities expect that the research will also be made available via PubMed Central and Europe PubMed Central. 
  • The British Heart Foundation, Bloodwise, Versus Arthritis and Parkinson's UK require that the final published version be deposited in Europe PubMed Central within 6 months of the publication date. If you decide to follow this route and not pay for immediate open access then your paper will still be considered compliant.

The Wellcome Trust's open access policy is aligned with Plan S.  It requires the final peer reviewed version (accepted manuscript or version of record) of original research articles to be made available immediately on publication through Europe PubMed Central with a CC-BY licence (unless Wellcome have agreed, as an exception, to allow publication under a CC BY-ND licence). 

  • Funding is available from Wellcome to pay 'fair and reasonable' APCs in fully open access journals or platforms which are indexed in the Directory of Open Access Journals (opens in a new tab), and journals which are part of an open access transformative agreement (see our 'Paying for Open Access' pages for a list of these and further information). APCs in other subscription journals will not normally be funded.
  • Authors following the green (self-archiving) route to open access must make their accepted manuscript open access via a repository immediately on publication with a CC-BY licence. 
  • Please note that Wellcome grant-holders must include the following rights retention statement on all submissions of original research to peer-reviewed journals:
  • 'This research was funded in whole, or in part, by the Wellcome Trust [Grant number]. For the purpose of Open Access, the author has applied a CC BY public copyright licence to any Author Accepted Manuscript version arising from this submission.'
  • Where there are multiple funders involved, all research articles supported in whole, or in part, by Wellcome must be compliant with this policy.
  • Please use the Plan S Journal Checker tool to establish the open access options for your chosen journal. 
  • Monographs and book chapters must be made available through PMC Bookshelf and Europe PMC with a maximum embargo of six months. This will not change on 1 January 2021.

Wellcome's open access policy changed on 1 January 2021 to fully align with Plan S. The Trust produced a set of FAQs to help clarify the changes.

European Research Council (ERC)

The ERC supports open access and promotes the basic principle of open access to research data.

Please visit their open access page for an overview of the requirements that apply to ERC grants. Depending on the type of grant and under what work programme it was awarded, different rules relating to open access and research data apply.


Horizon Europe (2021-2027)

https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/common/agr-contr/general-mga_horizon-euratom_en.pdf

The European Commission requires that grant-holders for Horizon Europe projects must ensure open access to peer-reviewed scientific publications relating to their results.

In particular, they must ensure that:

- at the latest at the time of publication, a machine-readable electronic copy of the published version or the final peer-reviewed manuscript accepted for publication, is deposited in a trusted repository for scientific publications - such as Pure

- immediate open access is provided to the deposited publication via the repository, under the latest available version of the Creative Commons Attribution International Public Licence (CC BY) or a licence with equivalent rights; for monographs and other long-text formats, the licence may exclude commercial uses and derivative works (eg CC BY-NC, CC BY-ND)

- information is given via the repository about any research output or any other tools and instruments needed to validate the conclusions of the scientific publication.

- beneficiaries (or authors) must retain sufficient intellectual property rights to comply with the open access requirements.

Only publication fees in fully open access venues for peer-reviewed scientific publications are eligible for reimbursement.


Horizon 2020 (2014-2020)

Horizon 2020 grant holders are expected to make all peer-reviewed publications relating to their funding openly available:

  • You are required to upload a copy of the Author’s Accepted Manuscript (AAM) to a repository, such as Pure. Acceptable embargo lengths are 6 months for scientific papers, and 12 months for social science and humanities papers. This must be done as soon as possible and at the latest upon publication.
  • Horizon 2020 has provided an addendum which can be added to publishing agreements which ensures authors have the rights they need to comply.
  • Paying to make your paper openly available is also acceptable and the cost can be reimbursed by Horizon 2020 if it arises during the duration of the grant. For guidance please get in touch with the Open Access Team. The article must still be uploaded to an appropriate repository.
  • Beneficiaries must aim to deposit at the same time as the publication the research data needed to validate the results presented in the deposited scientific publications ('underlying data') ideally in a data repository.

FP7 (2007-2013)

If you were awarded a FP7 grant then it is expected that you should upload the AAM to an online repository like Pure. Authors are expected to make their best effort to ensure open access to these articles within 6 months (for health, energy, environment, information and communication technologies, research infrastructures papers) or 12 months (for science in society, socioeconomic sciences and humanities papers) after publication.

Paying to make your paper open is acceptable. Funding for these costs was available via the FP7 post-grant open access pilot until February 2018.

National Institutes of Health (US)

Researchers funded by NIH are required to submit their author accepted manuscript (AAM) to the NIH Manuscript Submission System (NIHMS) immediately upon acceptance for publication. If your publisher does not automatically deposit the final published version in PubMed Central, then you must ensure this happens no later than 12 months after the official date of publication.

Please see our funding pages for more information about paying open access charges if you are funded by the NIH.


Bill and Melinda Gates Foundation

All peer-reviewed publications arising from funding, either whole or in part, should be made openly available immediately with a CC-BY licence. Underlying data should also be made accessible and open immediately. The Foundation has selected PubMed Central as its publication repository and will work directly with publishers and PubMed Central to ensure that articles are deposited on the author’s behalf.
 
Please see our funding pages for more information about paying open access charges if you are funded by the Bill and Melinda Gates Foundation.

Cancer Research UK

CRUK's open access policy applies to all CRUK-funded researchers, host Institutions and funded collaborators in relation to original, primary research publications that are accepted for publication in a peer-reviewed journal. This applies to publications that have been supported, in whole or in part, by CRUK.

The policy does not apply to book chapters, monographs, editorials, reviews or conference proceedings.

CRUK requires immediate open access upon publication for CRUK-funded articles accepted for final publication on or after 1 January 2022. Immediate open access can be achieved either by publishing gold open access in fully open access, hybrid, or transformative journals (those that have committed to transition to fully open access) or green open access (self-deposit of the article in EuropePMC). Researchers must ensure their articles are available in EuropePMC immediately on publication. Details:

  • An electronic copy of the final paper must be made freely available in Europe PubMed Central(link is external) at the time of final publication.

  • The open access version of your research paper must be published with a CC-BY 4.0 licence.

  • You must acknowledge Cancer Research UK funding in the funding acknowledgement section of the paper, using your grant reference number.

Preprints

CRUK-funded researchers are strongly encouraged to:

  • Post preprints of their work en route to publication in a peer-reviewed journal.
  • Publish them under a CC-BY licence on a platform that is indexed in Europe PMC(link is external).

Researchers must make sure that the article, after peer review, complies with our Policy as outlined here.

Funding for Open Access publishing

CRUK will continue to provide funding to cover fair and reasonable open access publishing costs, including in hybrid journals where the article is made immediately available on publication. They will also continue to provide funds for and encourage institutional transformative deals with publishers.  Researchers can meet the costs for Article Processing Charges (APCs) in the following ways:

Researchers based at CRUK Institutes, including the Francis Crick Institute - funds for APCs for researchers based at CRUK Institutes, including the Francis Crick Institute, should be charged to the Institute's core award. 

CRUK researchers who are not based at a CRUK Institute may:

  • pay for APCs using any available underspend on their active CRUK response mode grant, or
  • choose to publish in a journal that permits self-archiving of the AAM or VoR in Europe PMC, or
  • choose to publish in a journal that charges low or no publishing fees.

As per CRUK's grant conditions, researchers must:

  • Provide the CRUK Press Team with a copy of all publications and conference abstracts arising from the Grant Activities at the time of submission for publication via the online manuscript submission form on CRUK's website or email press.office@cancer.org.uk. Any manuscripts and details will be held in the strictest confidence.

Marie Curie

Marie Curie is committed to ensuring that the results of its research funding are available as freely and widely as possible and has made this a condition of its funding arrangements.  This applies to researchers at Marie Curie’s Research Centres and Hospices, and those funded through Marie Curie’s open and competitive grant funding streams. Electronic copies of publications (peer-reviewed, original research reports and systematic reviews that have been supported wholly or partly by Marie Curie) should be made available through Europe PubMed Central (Europe PMC) as soon as possible and in any event within 6 months of the date of publication. The policy does not apply to book chapters, editorials, opinion pieces or conference proceedings.  Authors must ensure that funding from Marie Curie and any co-funders is acknowledged and the grant reference number is included.

Many journals will deposit the final published version of the article on behalf of the authors directly into Europe PMC, to be made freely available immediately on publication (gold open access). Journals charge an article processing charge (APC) for this option and Marie Curie we will consider payment of the fee.  Alternatively, the journal (or the author) may deposit the final, peer-reviewed manuscript in Europe PMC to be made freely available after an embargo period (green open access). Usually no fee is charged for this service.  Marie Curie expects publishing costs to be budgeted for within a grant application, or unspent grant funds may be vired to cover open access costs from grants that are still active.  Open access publication fees can still be requested after the grant end date. 

Authors should contact Marie Curie at the time of acceptance to a journal to request the funding.  You need to submit a draft copy of the paper containing details of author(s), title, abstract, acknowledgement and full text, if possible. If approved, Marie Curie asks that the institution pays the APC in the first instance, and then invoices Marie Curie. The invoice will be processed when the Marie Curie Research Management Team verifies that the article has been made fully open access.  Contact for queries: research.info@mariecurie.org.uk

Please see our funding pages for more information about paying open access charges if you are funded by Marie Curie


National Institute for Health Research (UK)

New open access policy has been announced  to commence on 1 June 2022 - see below for details.

Current policy:

Papers funded in whole or in part by the NIHR must meet the NIHR’s open access requirements.

The NIHR open access policy applies to peer-reviewed research articles, including review articles not commissioned by publishers, final reports and executive summaries.  It does not apply to editorials, letters, commissioned reviews, scholarly monographs, conference proceedings or book chapters.

NIHR-funded researchers must publish their main study findings in a peer-reviewed, fully open access journal under the Creative Commons Attribution licence (CC-BY).

This has been interpreted by some NIHR research centres to mean that the ‘one main research article’ per NIHR grant should be made gold OA with a CC-BY licence.  However, this has not been made explicit in the NIHR’s guidance so researchers are encouraged to seek guidance from the funder.

In addition, a copy of the final manuscript of any research papers supported in whole or in part by the NIHR should be deposited with Europe PMC upon acceptance for publication, to be made freely available as soon as possible and in any event within six months of the journal publisher’s official date of final publication.

There are two routes to complying with the policy:

Green open access:  With the exception of your main study findings, if you are publishing in a subscription journal, provided that the journal's embargo on green open access is no longer than 6 months you can comply by uploading your final accepted manuscript to Europe PubMed Central, using Europe PMC plus. Papers should also be uploaded to Pure.

Gold open access  If you are publishing in a subscription journal with a gold open access option (known as a hybrid journal), or you are publishing in a fully open access journal, you can comply through gold open access with a CC-BY licence.

Open access funding:  NIHR expects grant-holders to make provision for the cost of open access publishing in their grant applications, and if necessary, use any underspend on existing grants. If necessary, researchers may need to contact the awarding NIHR coordinating centre to discuss covering open access costs.

We can only pay open access charges for peer-reviewed research articles and uncommissioned reviews funded by NIHR where:

  • your chosen journal is included in one of our open access transformative agreements and you are the corresponding author.
  • the paper is eligible for funding from our UKR Research Councils (UKRI) block grant, our BHF fund.  NB: if your paper is jointly funded by either Wellcome or CRUK, you can apply direct to these charities for funding.

NIHR Researchers should note that there is no cost for publishing in one of the NIHR fully open access journals.

NIHR will be implementing a new Plan S-aligned open access policy from 1 June 2022

The policy applies to peer-reviewed research articles, including reviews not commissioned by publishers, and conference papers describing NIHR funded research findings, submitted for publication on or after 1 June 2022 which acknowledge funding from NIHR Programmes, NIHR Personal Awards or NIHR Global Health Research Portfolio: Research studies where the research costs are funded in whole or in part by the NIHR. Personal awards that do not fund research are out of scope of this policy.

It requires immediate open access with CC-BY (or CC-BY-ND if permission is granted by NIHR) to ensure maximum impact. This will permit all users of NIHR-funded articles to disseminate and build upon the material for any purpose without further permission or fees being required.

These licensing requirements do not apply to any materials included within a research article that are provided by 3rd-party copyright holders. The 3rd-party materials in the article can be subject to more restrictive copyright licences than outlined in this policy.

Deposit of the final version of record or accepted manuscript in PubMed Central by the publisher at the time of publication is a requirement, and submissions to subscription journals must include the following text in the funding acknowledgement section of the manuscript and any cover letter/note accompanying the submission:

"For the purpose of open access, the author has applied [a Creative Commons Attribution (CC BY) licence] [an ‘Open Government Licence’] (or where permitted by the National Institute for Health Research) [a Creative Commons Attribution No-derivatives (CC BY-ND) licence] to any Author Accepted Manuscript version arising".

In-scope research articles must include a data sharing statement describing how the underpinning research data can be accessed. Where there are reasons to protect access to the data, for example commercial confidentiality or sensitivities around data derived from potentially identifiable human participants, these should be included in the statement.

Regarding funding for APCs: 

NIHR will pay reasonable fees required by a publisher to effect publication in line with the criteria of this policy. Where relevant and appropriate, additional funding will be made available to active contracts that budgeted based on the previous open access policy scope. Guidance on the current terms and processes for accessing open access funding is available on the NIHR open access funding guidance page.

Please see our funding pages for more information about paying open access charges if you are funded by the NIHR.


The Academy of Medical Sciences

All peer-reviewed, original research publications should be made openly available immediately upon publication. If this is not possible, then they require that a copy of the article is uploaded to Europe PubMed Central within six months of publication. Where possible, awardees should seek to retain copyright and select a CC-BY licence.

Please see our funding pages for more information about paying open access charges if you are funded by the AMS.


Diabetes UK

Diabetes UK funded researchers are encouraged to make their published work openly available via the paid route. The final published articles should also be deposited in Europe PubMed Central within six months of the date of publication.

Please see our funding pages for more information about paying open access charges if you are funded by Diabetes UK.


Alzheimer's Research UK

Alzheimer's Research UK don’t currently have a formal open access policy. However, they do encourage grant holders to publish open access. In support of this, they are a founding partner of AMRC Open Research – an open access platform for rapid author-led publication and open peer review of research funded by AMRC member charities.

Please see our funding pages for more information about paying open access charges if you are funded by Alzheimer Research UK.


Alzheimer's Society

All peer-reviewed research publications, funded wholly or in part by the Alzheimer’s Society, must be deposited in Europe PubMed Central within six months of publication.

Please see our funding pages for more information about paying open access charges if you are funded by the Alzheimer's Society.


Leverhulme Trust

The Trust does not mandate open access publishing for it's funded researchers. It does however make provision for the cost of APCs.

Please see our funding pages for more information about paying open access charges if you are funded by the Leverhulme Foundation.