UK Research and Innovation (UKRI) Open Access policy

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If you are funded by the AHRC, BBSRC, EPSRC, ESRC, MRC, NERC, STFC, Research England or Innovate UK (but not UK Space Agency) you must comply with the UK Research and Innovation (UKRI) Open Access (OA) Policy. 

Please see further details on the requirements for research articles (including conference contributions) and long-form publications below:

UKRI Open Access Policy for research articles

The UKRI Open Access Policy applies to peer-reviewed research articles submitted for publication on or after 1st April 2022. “Research articles” includes reviews and conference papers that are accepted for final publication in either a journal, a conference proceeding with an international standard serial number (ISSN), or on a publishing platform. 

You can publish in the journal or publishing platform you consider most appropriate for your research, provided UKRI's open access requirements are met.

Routes to compliance

You can make your article open access via one of two routes:

Route 1

  • Gold or Diamond Open Access: publish the article open access in a journal or a publishing platform. The Version of Record (final published version) must be immediately open access via its website with a Creative Commons attribution (CC BY) licence. This may involve payment of an Article Processing Charge (APC). Funds for Gold OA may be available from the UKRI Open Access Block Grant, or the cost may be covered by one of the Open University’s Transitional Agreements. 

Route 2

  • Green Open Access: publish the article in a subscription journal and deposit the Author's Accepted Manuscript (AAM) (or Version of Record, where the publisher permits) at the time of publication in a repository with a Creative Commons attribution (CC BY) licence. A publisher embargo period is not permitted. Suitable repositories include Open Research Online (ORO) or those listed on openDOAR. The OU’s Research Publications Policy ensures you are able to publish your AAM without an embargo and with a CC BY licence, regardless of any downstream licence a publisher may try to impose.

The AAM is the author's version of a research article that has been peer reviewed and is accepted for publication, prior to typesetting by the publisher. It may otherwise be known as the 'author manuscript', 'final author version', or post print. The AAM should be marked as not the final published version, which you may also choose to link to.

Licensing

You can apply to UKRI for an exception to use a Creative Commons No-Derivatives (CC BY-ND) licence by using the UKRI No-derivatives licence exception form. Please opt out of the Research Publications Policy if you would like to apply any licence other than CC BY on your AAM.

Data Access Statements

UKRI also requires in-scope research articles to include a Data Access Statement, even where there is no data associated with the article or the data are inaccessible. Further guidance is available in Annex 1 in the UKRI policy and examples are provided in UKRI’s good research resource hub.

How do I know if the journal I intend to publish in is compliant?

For route 1 (Gold and Diamond OA):

Look at the journal webpage to determine if it is:

  • a fully open access journal (if it is it will be listed on the Directory of Open Access Journals) and offers a CC BY licence OR
  • a hybrid journal that offers a CC BY licence. In order to be compliant, the hybrid journals must be included in a Transitional Agreement that the Library has (which cover publishing costs).
  • The Journal Checker Tool (JCT) can help you find out whether journals offer a compliant publishing option that is eligible for UKRI funding. 

For route 2 (Green OA):

  • The OU Research Publications Policy ensures that you can publish your AAM with a CC BY licence without an embargo. The Library Research Support Team is contacting publishers to ensure they are aware of the policy.

If you are unsure if the journal you intend to publish in is compliant with the UKRI Open Access Policy, please contact the Library Research Support Team.

 

Open Access funding for research articles (UKRI Block Grant)

UKRI has allocated a block grant to the University to contribute towards the cost of Open Access (OA) publishing of UKRI-funded journal articles or conference contributions, and this is centrally managed by Library Services.

Eligibility and terms

University researchers are eligible to apply for this fund if:

  • Their peer-reviewed journal article or conference contribution is the result of research funded by UKRI (excluding UK Space Agency) AND
  • The article or conference contribution acknowledges a UKRI project where the OU is the lead organisation or has received funding.  If you have honorary or visiting status, or are a previous PhD student with UKRI funding, please contact us to discuss . If you have any questions about your eligibility to access this grant, please contact the Library Research Support Team.

The block grant will be allocated on a first come first-served basis.  Please always contact us before agreeing to pay Open Access charges with the publisher or requesting invoices. Only Open Access fees the Library Services Research Support team has already agreed to will be paid. 

The journal should be compliant with the UKRI Open Access Policy. You may also find it helpful to refer to the OU guidance on the UKRI Open Access Policy above. Library Services will check all applications and inform you if the publisher does not meet UKRI requirements. Articles should be published under a Creative Commons CC-BY licence, which many publishers already offer. All publications must acknowledge UKRI funding and how any underlying research materials, such as data, samples or models, can be accessed.

It is important that you check that the journal is compliant with the UKRI Open Access Policy at the point of submission. If you are not sure please contact us for advice. 

Please note:

  • The UKRI Open Access block grant cannot be used to pay additional length charges or extra charges for colour images.
  • Publications in Subscribe to Open (S2O) journals can usually be supported by the UKRI Block Grant. Please contact us for advice.

Data sharing

UKRI also require that, wherever possible, researchers share their data (taking into account any legal, ethical and commercial constraints), and that published results should always include information on how to access the supporting data. You can read the Research Council Common Principles on Data Policy and guidance.

This can be done by adding the data to a suitable repository (for example the OU’s data repository, ORDO), and including a data access statement in the paper with a link to the repository record – or a reason why supporting data cannot be shared.

Individual research councils have their own policies which build upon these common principles. We’d recommend you check these and get in touch with us if you have any questions. We’re very happy to help work out what can and should be shared, how to prepare it, and how to write a data access statement.

How to apply

  1. Verify that your publisher meets the following conditions:
  2. Check that the Library does not already have a Transitional Agreement that will cover the open access publishing costs. Contact us if you are not sure.
  3. Submit a request form for payment of article processing charges (you will need to have your grant number to hand). If you have negotiated a special deal with the publisher for a reduced APC, include that on the form. Wait for notification from the Library Services Research Support Team that the request has been approved. We will inform you of the next steps you need to take.

*NB: After 31 December 2024, UKRI will no longer support the funding of publications in transformative (hybrid) journals. Contact us if you need any advice.

 

UKRI Open Access Policy for longform outputs

The policy includes a requirement for monographs, book chapters and edited collections published from the 1st January 2024 to be made open access. In-scope long-form outputs are detailed at Annex 1 in the UKRI Open Access policy.

You must make your long-form output open access within 12 months of publication and use an open license. In summary, the core requirements of the policy are:

  • your final Version of Record or Author's Accepted Manuscript must be free to view or download via an online publication platform, publisher's website, or institutional or subject repository within a maximum of 12 months of publication
  • the open access version of your publication must have a Creative Commons license, with a Creative Commons Attribution (CC BY) license preferred. (This requirement does not apply to third party materials included in your publication). An Open Government license is also permitted.

images, illustrations, tables and other supporting content should be included in the open access version, where possible. These requirements and definitions of in-scope and exempt types of publication, as well as exceptions to the policy, are further detailed in the UKRI Open Access Policy.

Routes to compliance

You can make your long-form publication open access via one of two routes:

Route 1

  • Gold open access: The version of record (final, publisher-formatted version) is made openly available on the publisher’s platform/website immediately upon publication. This typically involves payment of a Book Processing Charge (BPC) or Chapter Processing Charge (CPC). Funds may be available from the UKRI Long-form Outputs Fund (up to a maximum contribution amount). The output must be published under a Creative Commons (or Open Government) license.

Route 2

  • Green Open Access: Some publishers may not offer Gold open access but may permit you to deposit your Author's Accepted Manuscript (a version of your accepted manuscript agreed between you and the publisher) in an institutional or subject repository (such as ORO or those listed on openDOAR). The AAM must have a Creative Commons (or Open Government) license, and the maximum permitted embargo is 12 months. If you are depositing an AAM, this should be marked as not the final published version, which you may also choose to link to.

You can choose the publisher most appropriate for your research, provided UKRI's open access requirements are met. If you are publishing a monograph or edited collection, you should consider UKRI’s open access requirement prior to submission of your book proposal. If you are contributing a book chapter in an edited collection, you should inform both the editor of the collection you are contributing to and the publisher of UKRI’s open access requirement prior to agreeing to contribute. When you contact your preferred publisher, you should inform them that your publication is in scope of the UKRI open access policy and check if they can offer a compliant open access publishing platform.  

Dealing with third-party copyright

UKRI provide in-depth guidance on the inclusion of third party copyright in open access research publications, including template communications and answers to questions rights holders may have. We recommend you review and follow that guidance early in the process of preparing your manuscript. You are welcome to contact us on [email protected] with any queries or concerns.

UKRI will fund up to £2,000, within the funding maximum for an output, to support costs associated with clearing permissions for third-party content to be included in the open access version of the publication (see our guidance on the UKRI Long-Form Outputs Fund for more information). However, these costs should be accounted for in grant applications, where possible.

 

Open access funding for longform outputs (UKRI Longform Outputs Fund)

If you are a UKRI funded researcher and will be publishing a monograph, book chapter or edited collection (long-form output) on or after 1 January 2024 it will need to be made open access. See our guidance on the UKRI Open Access Policy and the UKRI Open Access Policy for more details. UKRI has introduced a dedicated £3.5 million fund to support open access costs for long-form publications within the scope of this policy.

Funding can be used to support costs to make the Version of Record immediately open access with a Creative Commons licence. Funding is not available for delayed open access of the Version of Record or self-archiving of the Author’s Accepted Manuscript, but you can still comply with the UKRI open access policy via these routes if the publication is made open access within 12 months of publication (see the UKRI's open access policy guidance). 

Eligible costs

Grant holder should be aware that UKRI have set maximum funding contributions, to support value for money. 

UKRI will contribute up to the following maximums:

  • £10,000 for book processing charges
  • £1,000 for chapter processing charges
  • £6,000 for participation in an alternative open access model (not exceeding the total cost of participation). UKRI will fund up to another £3,000 where there are two or more eligible outputs

These amounts are inclusive of VAT, where applicable.

Up to £2,000, within the funding maximum for an output, can be applied for to support costs associated with clearing permissions for third-party content to be included in the open access version of the publication. However, these costs should be accounted for in grant applications, where possible.

It will be up to the researcher(s) to find funding for any costs incurred above these maximum contribution amounts. It is not permissible to fund any costs above these maximum funding contributions from the research grant. It may be worth speaking to your publisher to try to negotiate the fee if it falls above the maximum contribution and you have no alternative source of funding.

Restrictions

  • You must ensure that you have checked that your preferred publisher offers a compliant open access publishing platform, and that the output will comply with the requirements of the UKRI Open Access Policy.
  • Published outputs must acknowledge UKRI grant funding, and include the full grant reference, grant name and grant dates. This information must match the grant information included on the Stage 1 application form.
  • Funding is not available for delayed open access of the Version of Record or self-archiving of the Author’s Accepted Manuscript.
  • In-scope outputs published seven or more years after the formal end of the UKRI-funded project will not be eligible for UKRI open access funding. UKRI will not expect such outputs to be made open access..
  • If you have included open access costs in your grant application already, you must use this funding for open access publications instead of applying to the dedicated fund.

How to apply

If you wish to request access to the UKRI Long-form Outputs Fund you must first ensure you have read the UKRI Open Access Policy and all of the guidance above on the UKRI Open Access Policy for longform outputs about the requirements of the policy.

A publishing contract does not need to have been signed at this stage, but you should have an intended publisher and be able to provide an estimate of costs. 

The fund is centrally held by UKRI, and the Library Research Support Team will apply to the UKRI on your behalf. 

  1. If you believe that your output is eligible, you will need to complete the UKRI Long-form Outputs Fund request form. This form represents stage 1 of the application process (to establish eligibility).
  2. Once UKRI have confirmed eligibility, we will notify you of the outcome. Only open access costs confirmed as eligible by the Library’s Research Support Team will be paid.
  3. Publisher contract and invoice, once received, should be sent to [email protected].
  4. There will be a further form for stage 2 to be filled in upon publication; to provide evidence the output has been successfully published Open Access (in order for the OU to be reimbursed funds). 

It is important that published outputs acknowledge UKRI grant funding, including the full grant reference, grant name and grant dates, and that this information matches the grant information included on the initial Stage 1 application form. Otherwise, applications to reimburse publishing costs may be refused by UKRI.

Contact us

Library Research Support team