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Open Access at University of Reading: Funders' OA policies

Information about support for Open Access publishing in the University

Open Access policies

A checklist for UKRI funded authorsUKRI Open Access Policy 

The new UKRI Open Access policy applies from 1st April 2022. It applies to:

  • peer-reviewed research articles, including reviews and conference proceedings, submitted for publication on or after 1 April 2022
  • monographs, book chapters and edited collections published on or after 1 January 2024

For articles accepted for publication before 1st April 2022 the RCUK policy applies.

Who does it affect?

It applies to authors whose publications result from funding from UKRI (including the research councils, Research England and Innovate UK). Authors can publish their research article in the journal or platform they consider most appropriate for their research, provided UKRI’s Open Access requirements, including licensing requirements, are met via either Open Access Route 1 or Route 2.

You must inform your co-authors about your responsibilities under the UKRI Open Access policy. 

How to comply with the policy

ARTICLES 

Before submitting a manuscript to the publisher
  1. Check that the journal is compliant with either Route 1 or Route 2 described below. 
  2. For Route 1, check that the University has funds or publisher agreements in place to cover any Gold Open Access publishing costs. Complete the Library's OA request form to find out. If funding is not available, you will need to comply via Route 2. 
  3. For Route 2, notify your publisher that you will be applying a CC BY licence to your submission 
Circular badge with I support open access in gold colour

Route 1. (Gold Open Access) Publish your article as Gold Open Access with a Creative Commons Attribution (CC BY) licence. The Version of Record must be available for access and download as soon as it is published. Route 1 includes publication in:

  • a fully Open Access journal, OR
  • a subscription (hybrid) journal which permits a CC BY licence and access as soon as published, OR
  • a subscription (hybrid) journal in a Transformative Agreement 

Route 2. (Green Open Access) Publish your article in a subscription journal and deposit the Author's Accepted Manuscript (or the Version of Record if it is permitted by the publisher) in the institutional repository, CentAUR. It must have a CC BY licence. No embargoes are permitted.

Apply licensing requirements

UKRI requires the Open Access version of a research article to be published under a Creative Commons Attribution (CC BY) licence.This applies to both Route 1 and Route 2.

For Route 2 article submissions, the following text must be included 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 (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

There are exceptions to this licence:

  • An Open Government Licence (OGL) can be used when a research article is subject to Crown Copyright.
  • While a CC BY licence is appropriate in most cases, UKRI may permit, on a case-by case basis, the use of a more restrictive Creative Commons Attribution No-derivatives (CC BY ND) licence for the open access version of a research article.
    • To request this exception (this must be in advance of publication) apply via the UKRI form for a No-Derivatives Licence exception.
    • If a publisher rejects your submission, advises you will need to pay for Open Access or changes the terms of publication, contact oarequests@reading.ac.uk for advice.
Include a Data Access Statement

UKRI requires in-scope research articles to include a Data Access Statement, even where there are no data associated with the article or the data are inaccessible.

Other requirements 

Some research councils have further requirements regarding deposit in specialist repositories and making preprints available. Check the terms and conditions of the offer document.

BOOKS & CHAPTERS

This part of the policy is still being developed. UKRI intends to provide a further update in November 2022 and publish final guidance for authors and research organisations by March 2023.

In the interim, if you are applying for a research grant and expect to publish an output after the 1 January 2024, you should include open access costs in your grant application. UKRI will provide updated guidance in due course. 

Scope

Monographs, book chapters and edited collections resulting from UKRI funded projects will need to be available Open Access.  Annex 1 of the policy clarifies which types of book are within the scope of the policy and which are not.

Funding

UKRI will make funding available for publishing books and book chapters gold Open Access from 2024. Until then, monograph and chapter Open Access publication costs are allowable against grants.

Before submitting to a publisher 
Choose a publisher that offers either Route 1 or Route 2 described below

Route 1. (Gold Open Access) : Publish your book/chapter on the publisher’s website/platform, with CC-BY licence. It must be available for download as Open Access within a maximum of 12 months from the date of publication.
Route 2. (Green Open Access) Deposit your author final manuscript on CentAUR when published. A maximum of 12 months embargo may be permitted from date of publication.

The policy requires that the open access version should include, where possible, any images, illustrations, tables and other supporting content.

Exemptions may be permitted in rare instances:

  • the most appropriate publisher, after liaison and consideration, is unable to offer a compliant Open Access option
  • where a monograph, book chapter or edited collection is the outcome of a UKRI Training Grant where publication may occur beyond the lifetime of the grant
Apply licence requirements

UKRI requires a Creative Commons licence to be applied to the book, chapter or edited collection. CC BY is preferred. An Open Government Licence is permitted when authors are subject to Crown Copyright. 

Third party material

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 BY, or other creative commons licence may include third-party materials (such as images, photographs, diagrams or maps) which are subject to a more restrictive licence. UKRI considers this approach compliant with its policy.

UKRI recognises that there may be some instances where permissions for reuse in an Open Access book cannot be obtained for all third-party images or other materials. Therefore, an exception to the policy may be applied when reuse permissions for third-party materials cannot be obtained and there is no suitable alternative option available to enable open access publication

 

This policy applies only to articles submitted for publication up to and including 31st March 2022.
It has been superseded by the UKRI Open Access policy for articles submitted on or after 1 April 2022. 

For queries about funding for Open Access, contact OArequests@reading.ac.uk

Picture of a British Heart Foundation charity shopBritish Heart Foundation Open Access Policy 

Research funded by the British Heart Foundation should be made freely available to the broader scientific community and to the public to maximise its reach and benefit.

Who does it affect?

All Grantholders funded wholly or in part by the British Heart Foundation. It applies to:

  • peer-reviewed primary research papers
  • non-commissioned review articles

How to comply with the policy 

Before submitting a manuscript to the publisher
  1. Ensure that the publisher offers an Open Access option compliant with the Gold or Green routes defined below. Check the journal title on SHERPA FACT
  2. Check that the University has funds or publisher agreements in place to cover any Gold Open Access publishing costs. Complete the Library's Open Access request form to find out. If funding is not available, you will need to comply via the Green Open Access route. Exclusions:The University receives a block grant from the British Heart Foundation to cover Open Access publication charges. The terms of the grant do not cover charges associated with commissioned or invited review articles, conference proceedings, editorials, letters or commentaries and any other charges associated with publication, such as page and colour charges.

Gold Open Access route

The published version of record must be immediately available without restriction on the publisher website and deposited in Europe PMC. The article must have a CC BY licence. Deposition in Europe PMC is usually handled by the publisher of your article but you should check that this will be included in their processes. 

Green Open Access route

The author final version of the article after peer review must be available without restriction in Europe PMC no later than 6 months after publication.If the publisher offers to deposit it, select this option. If not, then the author should upload it via the Europe PMC submission system.

Acknowledge your funder

It is a Condition of the Grant that Grant Holders acknowledge BHF support by quoting “British Heart Foundation” followed by the award reference number in the appropriate section of all publications arising from BHF funded research.

Wellcome Trust Open Access Policy 

The overarching aim of the Open Access (OA) policy is to make sure that knowledge and discoveries resulting from Wellcome Trust funding are shared and used in a way that maximises their benefit to health.

Who does it affect?

Grant recipients whose publications include original research that is funded in whole, or in part, by Wellcome. It applies to:

  • journal articles
  • scholarly monographs and book chapters

How to comply with the policy for Journal articles submitted from 1 January 2021

Before submitting a manuscript to the publisher:

Use the Journal Checker Tool to check if your preferred journal enables you to comply with the Wellcome Trust policy and to decide which of the  routes described below that you should take.

1. Ensure that the publisher supports the following Open Access criteria:

  • the article will be made freely available through PubMed Central (PMC) and Europe PMC by the official final publication date
    AND
  • published under a Creative Commons attribution licence (CC BY), unless the funder has agreed, as an exception, to allow publication under a CC BY ND licence.

2. Ensure that the journal accepts that the Author Accepted Manuscripts arising from submissions from Wellcome-funded researchers will already be licensed under a prior CC BY licence

3. Ensure that you have funds to cover the cost of any Open Access publishing charges. 

  • Fully Open Access journals: Wellcome Trust will cover fair and reasonable costs for fully Open Access (Gold) journals that are indexed by the Directory of Open Access journals.
  • Subscription journals: Subscription journals covered by a Library Transformative Agreement will not incur Open Access publishing costs. The Welcome Trust does not pay Open Access costs for subscription (hybrid) journals not included in these agreements.  

There are three publishing routes you can follow to comply with Wellcome’s policy. Routes 1 and 2 are preferred.

Route 1: Publish in a fully Open Access (Gold) journal or platform.

Route 2: Publish in a subscription (hybrid) journal through a transformative arrangement that is available to you via your organisation.

Route 3: Publish in a subscription journal and take responsibility for making the Author Accepted Manuscript (AAM) freely available from Europe PMC at the time of publication.

Acknowledge your funder

Grantholders must also include the following 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.'

Make data and software available

All research articles supported in whole, or in part, by Wellcome must include a statement explaining how other researchers can access any data, original software or materials underpinning the research. This is in line with the funder's data, software and materials management and sharing policy.

Preprints

All Wellcome-funded researchers are strongly encouraged to:

  • post preprints of their work
  • publish them under a CC BY licence on a platform that is indexed in Europe PMC.

Where there is a significant public health benefit to preprints being shared widely and rapidly, such as a disease outbreak, the posting of preprints is required.

How to comply with the policy for monographs and book chapters

All original scholarly monographs and book chapters authored or co-authored by Wellcome grantholders as part of their grant-funded research, must be:

  • made freely available through NCBI Bookshelf PubMed Central (PMC) and Europe PMC as soon as possible and no later than within 6 months of the official final publication date

AND

  • be published under a Creative Commons licence where a fee has been paid to the publisher to make the work Open Access. Wellcome Trust preference is for a Creative Commons attribution licence (CC BY), however, researchers may choose to publish their work under any of the Creative Commons licences including non-commercial and non-derivative licences (CC BY NC or CC BY NC ND).

Wellcome Trust funding is available to cover publishers' Open Access monograph and book chapter processing charges.

Further information 

Authors should consult the Wellcome Trust web pages. These include advice on definitions, deposit processes, exceptions and waivers, meeting Open Access costs, step-by step processes and links to forms and templates.

Horizon Open Access Policy 

Under Horizon 2020, beneficiaries of ERC grants must ensure Open Access (free of charge, online access for any user) to all peer-reviewed scientific publications relating to its results. The detailed requirements on Open Access to publications are contained in the Horizon 2020 ERC Model Grant Agreement (Article 29.2).

Who does it affect?

All grant holders. It applies to:

  • Open Access to all peer-reviewed journal articles (required)
  • monographs, books, conference proceedings and grey literature (strongly advised).

How to comply with the policy 

Before submitting a manuscript to the publisher

1. Ensure that the publisher offers an Open Access option compliant with the Gold or Green routes defined below. 

2. Check that you have funds to cover the Open Access publishing costs. Charges are eligible for reimbursement from the grant during the duration of the project. If the grant has closed, you may request funds from the University's Open Access fund. Apply for funding using the Library's Open Access request form. If funding is not available, you will need to comply with the funder's policy via the Green Open Access route. 

After acceptance

3. Archive your peer-reviewed manuscript in a suitable repository as soon as accepted for publication. ERC strongly encourages ERC funded researchers to use discipline-specific repositories for their publications. Also, deposit it in CentAUR.

4. Make the final version of the article Open Access, by either the Green or Gold Open Access route:

Green Open Access route - archive a final version in a repository as soon as accepted for publication. The maximum embargo periods permitted are 6 months for STEM disciplines, and 12 months for Humanities and Social Sciences.

Gold Open Access route - publish it as Open Access on the publisher's website, and archive a copy in CentAUR. It should be available immediately, without embargo. Authors are encouraged to retain copyright and grant an adequate licence to publishers e.g. CC BY. The minimum requirement is that the licence must allow people to read, download and print an article.

Acknowledge your funder

If the repository allows for this, beneficiaries of ERC grants are strongly encouraged to ensure that the bibliographic metadata also includes additional information such as the European Research Council (ERC) as funding source, the grant number, the title of the action and its acronym, the publication date, and the length of the embargo period (if applicable). For ease of tracking, beneficiaries should include the digital object identifier for the 'European Research Council' (http://dx.doi.org/10.13039/501100000781) in the funding acknowledgement field in their metadata, in addition to the digital object identifier for 'Horizon 2020' (http://dx.doi.org/10.13039/501100007601).

Archive research data

In Horizon 2020 the European Commission has been encouraging Open Access to and reuse of digital research data generated by Horizon 2020 projects through the Open Research Data Pilot (ORD Pilot), following FAIR data principles - all research data should be Findable, Accessible, Interoperable and Reusable (FAIR)

The Leverhulme Trust does not have a mandate for Open Access and has made no stipulations regarding mandatory archiving or Open Access publication for grant holders (last checked February 2022). 

It is possible to include Open Access charges in your budget when you apply for funding from the Trust. The Open Access charges must be incurred during the period of the grant. If the costs are not incurred during the life of the grant, funds allocated for Open Access must be returned to the Trust. 

If your grant has expired and you would like to publish Open Access, you may qualify for funding via the Reading University Gold Open Access Fund. To access the fund, complete the Library's Open Access request form.  

Many funders and sponsors have requirements that research publications resulting from their grants are made Open Access. The agreements that you have signed will specifiy what you need to do. 

Use SHERPA/JULIET to find summaries of and links to funders' Open Access policies