This guide outlines the scope, and requirements, for the UKRI Open Access Policy.
This guide provides support for authors required to comply with the current UKRI Open Access Policy, and the previous RCUK Open Access Policy.
UKRI indicate that adhering to the requirements of the policy “is a condition of our funding. UKRI grant holders and research
organisations are responsible for ensuring publications comply with the policy.”
It is also a requirements for all Durham University researchers to "appropriately acknowledge ... funders" and to "adhere to any conditions set by funding or other bodies regarding the publication of data or findings, including the timing and manner of publication (e.g. open access)." [Durham University Research Integrity Policy 10.1.(e-f) and Durham University Open Access Policy 4.1.ii and 4.2.i]
This policy applies to:
The UKRI policy also applies to:
The new UKRI Open Access Policy requires immediate open access for all peer-reviewed articles research articles (including commissioned reviews).
Authors are advised to submit their request to the form at the link below at least 10 days before submitting their manuscript to a journal, to ensure they receive a response from UKRI in time to take any action required.
For additional information and guidance you may also find the following from UKRI useful:
We will receive a UKRI Open Access Block Award to support UKRI funded research articles from April 1st 2022. Please see our guide on paying for open access which provides further details on eligible costs chargeable to this funding stream, and to other sources of funding and other support available for authors at Durham University, or contact us at email@example.com. Please note that an invoice must not be raised until the Open Access Team confirms that funds are committed for you - unless you have other means to make the payment yourself.
This funding may be used where:
Email firstname.lastname@example.org and include all of the following information:
The new UKRI Open Access Policy applies to in-scope long-form publications that are published on or after 1st January 2024.
Routes to compliance
From January 2024 approximately £3.5 million will be dedicated to supporting open access for long-form outputs via a separate ring-fenced fund. The fund will be centrally held by UKRI, and research organisations will apply to UKRI to access it.
Applications for funds are to be made on the behalf of individual authors by the University and the application process will consist of two stages:
Maximum funding limits
UKRI has set maximum limits to what they will contribute towards the cost of publishing an individual output open access. In a number of cases, the funding offered will not cover the cost of the Book Processing Charge (BPC) or Chapter Processing Charge. Where the fee charged by the publisher exceeds the contribution that UKRI will make, please contact us for guidance. Please use the form to detail your request.
UKRI will also make a contribution towards non-BPC funding models and we would ask authors to still get in touch with us if publishing a long-form output that they are not being charged a fee for directly.
Additional information from UKRI on funding can be found here.
Supporting third-party material costs
UKRI allows authors to request costs for third party materials in research grant applications and this is the usual way that UKRI funding supports this activity. However, it will be permitted to claim up to £2,000 via the fund. Importantly, the entire funding application for an output must still remain within the above maximum limits. If you would like to find out more about this, please contact us.
UKRI has introduced a seven-year threshold. This means that if a monograph, book chapter, or edited collection is published seven or more years after the formal end of a UKRI funded project, then it will no longer be eligible for support via UKRI’s fund, and they would also not expect the publication to be open access. UKRI has said that will be some flexibility to accommodate extenuating circumstances.
UKRI states that these should only need to be used rarely. Authors are expected to seek to publish open access wherever possible, prior to using an exemption. It is not expected that authors will need to apply to UKRI for exemptions to the policy but it is expected that the institution will need to collect data and notify UKRI of their use. Exemptions (in brief) are:
Further guidance on exemptions is provided in Annex 3 of the UKRI open access policy.
Authors will not need to apply to be exempt from the policy but should contact the Library for guidance.
UKRI has stated that they will be introducing a notification process for authors and their organisations as they wish to be informed when and why an exemption is being used.
Blanket exemptions (available to all without needing to ensure steps in Annex 3 are followed)
We have created a form to collect all of the information required by UKRI so that a Stage 1 application can be made on behalf of an author.
Step 1: complete the form with all of the information required
Step 2: someone from the Library's Research Support team will contact you directly to check any details and to confirm whether an application can be made on your behalf
Step 3: once the application is made, UKRI has stated that they will aim to confirm within 10 working whether the publication is eligible for funding
Step 4: the Library's Research Support team will contact you with UKRI's decision and provide further details of the next stage of the process. It is important that you do not request open access publication from your publisher until you receive confirmation of eligibility as you could be left with an invoice that you are unable to make payment for.
Some publishers that offer open access options for monographs/books/book chapters
"Rights Retention" is a new initiative from cOAlition-S funders, including the Wellcome Trust, UKRI and the Bill & Melinda Gates Foundation, each of whom has published cOAlition-S aligned policies which include a rights retention requirement.
The key expectation on authors from funders is to make their research articles Open Access immediately on publication, without embargo, and under a clear open licence, usually a Creative Commons Attribution (CC BY) licence.
Rights retention supports the green (self-archiving) open access route (Route 2 in both the UKRI and Wellcome Trust Open Access policies), and aims to allow an author to publish in their journal of choice (even if that published Version of Record (VoR) remains behind a subscription paywall), whilst ensuring an author retains the right to share their Author Accepted Manuscript (AAM) immediately upon publication, in line with the expectations of their funder.
It essentially takes the form of an author including a statement in all article manuscripts submitted for publication, notifying the publisher of their funding obligations and that they, as author, are retaining the right to share their accepted manuscript under those terms.
The intended outcome is that:
This is advice is for research articles in scope of the Wellcome Trust Open Access policy, or research articles submitted after 1st April 2022 and in scope of the UKRI Open Access policy.
Researchers are required to include a clear statement following the wording provided by their respective funder when submitting their manuscript for publication. This wording should be included in the funding acknowledgements section of the manuscript, and in any cover letter, email or submission system note accompanying the submission.
Where an article acknowledges funding from both funders, the authors can choose either form of wording - it is not required that both statements are included.
We do not know how all publisher's will respond to the inclusion of this statement, and we are aware some publisher's may contact an author, at various stages of the submission/publication process, about this statement (whilst some publisher's have indicated they will accept its use and have no concerns with its inclusion).
Please contact email@example.com if you have any concerns about its use, or are able to share any response received by a publisher.
We have set out the advice currently provided by funders below:
Applicable to articles submitted for publication from 1st April 2013 to 1st April 2022.
If an article was submitted prior to 1 April 2022, authors should contact firstname.lastname@example.org for guidance