UK Research and Innovation (UKRI) – OA funder requirements

This webpage contains the policy overview.

For specific queries see the UKRI frequently asked questions: http://openaccess.ox.ac.uk/faq-rcuk-policy-apcs 

UKRI block grant status between 10/2021 and 04/2022:

http://openaccess.ox.ac.uk/2021/10/01/ukri-block-grant-notice

 


UKRI logo

UKRI announced their new policy in August 2021. Before 1st April 2022 researchers should continue with the ‘current’ requirements.

The new policy will apply to all UKRI funded authors on articles submitted after 1st April 2022.

As of this date all research councils are subject to the same UKRI wide open access policy – MRC/BBSRC funded authors must fulfil additional deposit/preprint requirements (outlined below).

From the 1st January 2024 the new policy will extend to encompass research monographs and chapters.

  • Current UKRI/RCUK Requirements (Until 1st April 2022)

    Oxford’s allocation policy for the RCUK Block Grant notice

    Authors please contact our APC team at the time of article acceptance to check if funds are available and journal is eligible. The policy, procedure and application form are on the right under Related Information. Authors should in all cases deposit the accepted manuscript into ORA.

    UKRI OA Policy – in a nutshell

    The policy applies to peer‐reviewed papers (except invited reviews) which acknowledge Research Council funding, submitted for publication after 1st April 2013:

    • Make your paper open access (see below for routes to OA)
    • Acknowledge the source of funding (see FAQ for advice on wording)
    • Include a data accessibility statement signposting where/how a researcher can access the underlying data (note: See  Research Data Oxford for advice on publishing data – especially concerning confidentiality – https://researchdata.ox.ac.uk/home/sharing-your-data)
    • Current Policy
      What do I do at Oxford?
      • Journal articles & conference proceedings arising from AHRC-sponsored research must be available Open Access within 12 months of publication:
        • by publishing open access (gold) or by depositing final peer-reviewed manuscript in institutional repository (green).
      • If there is no money to pay for Gold, a longer embargo period of 12 months is permitted for STEM-funded disciplines, or 24 months for the arts, humanities and social sciences  (see RCUK policy para 3.6.iii, ‘where funding for APCs is unavailable…longer embargo periods will be allowable’. Also RCUK’s FAQ 2.2, ‘What happens if there is no money to pay…?’).
      • AHRC’s OA policy page is here.
      • Where an APC is paid to make an article openly available immediately, the article must be published under a CC-BY licence (Creative Commons Attribution).
      • For green route a CC-BY-NC licence, or equivalent is acceptable. CC-BY-NC-ND is not compliant.
      • (Note the AHRC does not currently require scholarly monographs funded by the AHRC to be made available through open access.)
      • Oxford University encourages compliance with RCUK OA policy via green route (publish traditional route & deposit accepted manuscript in our repository ORA).
      • You can apply for Block Grant funds for an Article Processing Charge (APC) if your journal is fully OA (in DOAJ).
      • In all cases please Act on Acceptance and deposit into Symplectic/ORA within 3 months of acceptance for the REF. 
      • The SHERPA/RoMEO website provides details of publishers’ embargoes and deposit requirements. SHERPA/JULIET gives details of funders’ requirements.
    • Current Policy
      What do I do at Oxford?
      • Journal articles & conference proceedings arising from BBSRC-sponsored research must be available Open Access within six months of the publication date
        • by publishing open access (gold) or by depositing final peer-reviewed manuscript in institutional repository (green).
      • If there is no money to pay for Gold, a longer embargo period of 12 months is permitted for STEM-funded disciplines, or 24 months for the arts, humanities and social sciences  (see RCUK policy para 3.6.iii, ‘where funding for APCs is unavailable…longer embargo periods will be allowable’. Also RCUK’s FAQ 2.2, ‘What happens if there is no money to pay…?’).
      • Where an APC is paid to make an article openly available immediately, the article must be published under a CC BY licence.
      • For green route a CC-BY-NC licence, or equivalent is acceptable. CC-BY-NC-ND is not compliant.
      • BBSRC also encourages authors to deposit biomedical articles in Europe PubMed Central (EuropePMC).
      • Publication costs other than journal articles and conference papers, such as books, monographs, critical editions, catalogues etc. that are incurred within the period of the grant may be included within grant applications.
      • Oxford University encourages compliance with RCUK OA policy via green route (publish traditional route & deposit accepted manuscript in our repository ORA).
      • You can apply for Block Grant funds for an Article Processing Charge (APC) if your journal is fully OA (in DOAJ).
      • In all cases please Act on Acceptance and deposit into Symplectic/ORA within 3 months of acceptance for the REF.
      • Authors of biomedical articles should also upload the manuscript into EuropePMC.
      • The SHERPA/RoMEO website provides details of publishers’ embargoes and deposit requirements. SHERPA/JULIET gives details of funders’ requirements.
    • Current Policy
      What do I do at Oxford?
      • Journal articles & conference proceedings arising from EPSRC-sponsored research must be available Open Access within six months of the publication date
        • by publishing open access (gold) or by depositing final peer-reviewed manuscript in institutional repository (green).
      • If there is no money to pay for Gold, a longer embargo period of 12 months is permitted for STEM-funded disciplines, or 24 months for the arts, humanities and social sciences  (see RCUK policy para 3.6.iii, ‘where funding for APCs is unavailable…longer embargo periods will be allowable’. Also RCUK’s FAQ 2.2, ‘What happens if there is no money to pay…?’).
      • You can read more about EPSRC requirements for OA here.
      • Where an APC is paid to make an article openly available immediately, the article must be published under a CC BY licence.
      • For green route a CC-BY-NC licence, or equivalent is acceptable. CC-BY-NC-ND is not compliant.
      • Oxford University encourages compliance with RCUK OA policy via green route (publish traditional route & deposit accepted manuscript in our repository ORA).
      • You can apply for Block Grant funds for an Article Processing Charge (APC) if your journal is fully OA (in DOAJ).
      • In all cases please Act on Acceptance and deposit into Symplectic/ORA within 3 months of acceptance for the REF.
      • This is in addition to any deposit you make in a subject-based repository eg. ArXiv.
      • The SHERPA/RoMEO website provides details of publishers’ embargoes and deposit requirements. SHERPA/JULIET gives details of funders’ requirements.
    • Current Policy
      What do I do at Oxford?
      • Journal articles & conference proceedings arising from ESRC-sponsored research must be available Open Access within 12 months of publication
        • by publishing open access (gold) or by depositing final peer-reviewed manuscript in institutional repository (green).
      • If there is no money to pay for Gold, a longer embargo period of 12 months is permitted for STEM-funded disciplines, or 24 months for the arts, humanities and social sciences  (see RCUK policy para 3.6.iii, ‘where funding for APCs is unavailable…longer embargo periods will be allowable’. Also RCUK’s FAQ 2.2, ‘What happens if there is no money to pay…?’).
      • For more information, the ESRC’s Open Access policy page is here.
      • Where an APC is paid to make an article openly available immediately, the article must be published under a CC BY licence.
      • For green route a CC-BY-NC licence, or equivalent is acceptable. CC-BY-NC-ND is not compliant.
      • Oxford University encourages compliance with RCUK OA policy via green route (publish traditional route & deposit accepted manuscript in our repository ORA).
      • You can apply for Block Grant funds for an Article Processing Charge (APC) if your journal is fully OA (in DOAJ).
      • In all cases please Act on Acceptance and deposit into Symplectic/ORA within 3 months of acceptance for the REF.  
      • The ESRC used to require deposit in the ESRC Research Catalogue but this was discontinued in 2014.  
      • The SHERPA/RoMEO website provides details of publishers’ embargoes and deposit requirements. SHERPA/JULIET gives details of funders’ requirements.
    • Current Policy
      What do I do at Oxford?
      • MRC’s Open Access policy requires you to make your research output available via Europe PMC within six months of publication
        • this could be the published pdf if article was published open access (gold); otherwise it’s the final peer-reviewed manuscript (green).
      • For more information, the MRC’s Open Access policy is available to read here.
      • Where an APC is paid to make an article openly available immediately, the article must be published under a CC BY licence.
      • For green route a CC-BY-NC licence, or equivalent is acceptable. CC-BY-NC-ND is not compliant.
      • Oxford University encourages compliance with RCUK OA policy via green route (publish traditional route & deposit accepted manuscript in our repository ORA).
      • You can apply for Block Grant funds for an Article Processing Charge (APC) if your journal is fully OA (in DOAJ).
      • In all cases please Act on Acceptance and deposit into Symplectic/ORA within 3 months of acceptance for the REF.
      • Please also upload the manuscript into EuropePMC (if you are self-archiving and you have not paid an APC, the version you should deposit should be the accepted manuscript version and NOT the publisher pdf).
      • The SHERPA/RoMEO website provides details of publishers’ embargoes and deposit requirements. SHERPA/JULIET gives details of funders’ requirements.
    • Current Policy
      What do I do at Oxford?
      • Journal articles & conference proceedings arising from NERC-sponsored research must be available Open Access within six months of the publication date
        • by publishing open access (gold) or by depositing final peer-reviewed manuscript in institutional repository (green).
      • If there is no money to pay for Gold, a longer embargo period of 12 months is permitted for STEM-funded disciplines, or 24 months for the arts, humanities and social sciences  (see RCUK policy para 3.6.iii, ‘where funding for APCs is unavailable…longer embargo periods will be allowable’. Also RCUK’s FAQ 2.2, ‘What happens if there is no money to pay…?’).
      • Read more on NERC’s OA publication requirements.
      • NERC Open Research Archive  (NORA) is for the publications of staff in NERC Research Centres.
      • Where an APC is paid to make an article openly available immediately, the article must be published under a CC BY licence.
      • For green route a CC-BY-NC licence, or equivalent is acceptable. CC-BY-NC-ND is not compliant.
      • Oxford University encourages compliance with RCUK OA policy via green route (publish traditional route & deposit accepted manuscript in our repository ORA).
      • You can apply for Block Grant funds for an Article Processing Charge (APC) if your journal is fully OA (in DOAJ).
      • In all cases please Act on Acceptance and deposit into Symplectic/ORA within 3 months of acceptance for the REF. 
      • The SHERPA/RoMEO website provides details of publishers’ embargoes and deposit requirements. SHERPA/JULIET gives details of funders’ requirements.
    • Current Policy
      What do I do at Oxford?
      • Journal articles & conference proceedings arising from STFC-sponsored research must be available Open Access within six months of the publication date
        • by publishing open access (gold) or by depositing final peer-reviewed manuscript in institutional repository (green).
      • If there is no money to pay for Gold, a longer embargo period of 12 months is permitted for STEM-funded disciplines, or 24 months for the arts, humanities and social sciences  (see RCUK policy para 3.6.iii, ‘where funding for APCs is unavailable…longer embargo periods will be allowable’. Also RCUK’s FAQ 2.2, ‘What happens if there is no money to pay…?’).
      • General guidance is available here.
      • Where an APC is paid to make an article openly available immediately, the article must be published under a CC BY licence.
      • For green route a CC-BY-NC licence, or equivalent is acceptable. CC-BY-NC-ND is not compliant.
      • Oxford University encourages compliance with RCUK OA policy via green route (publish traditional route & deposit accepted manuscript in our repository ORA).
      • You can apply for Block Grant funds for an Article Processing Charge (APC) if your journal is fully OA (in DOAJ).
      • In all cases please Act on Acceptance and deposit into Symplectic/ORA within 3 months of acceptance for the REF.
      • The SHERPA/RoMEO website provides details of publishers’ embargoes and deposit requirements. SHERPA/JULIET gives details of funders’ requirements.

    Related Information

    Useful Links

  • Current UKRI policy for Monographs (Until 1st January 2024)

    Monographs, books, critical editions, volumes, catalogues

    A researcher who is applying for a new RCUK grant and who wishes to request support for the payment of publication costs associated with the production of other types of research outputs that are not covered currently by the RCUK OA policy (e.g. publication costs for outputs such as monographs, books, critical editions, volumes and catalogues) should ask for these costs directly on their grant proposal(s).

  • UKRI policy for Articles from 1st April 2022

    The policy applies to peer‐reviewed papers including invited reviews which acknowledge UKRI funding, submitted for publication after 1st April 2022:

    • Make your paper Open Access on publication (routes outlined below)
    • Acknowledge the source of funding i.e. funder and grant number. (See our FAQs for template wording.)
    • If applicable, include a statement on how the underlying research materials (such as data) can be accessed. (See the “Data” section of our FAQ for suggestions on wording of data accessibility statement.)
    Current Policy
    What do I do at Oxford?

    Research articles

    In brief:

    This section of the policy applies to:

    • Peer-reviewed research articles including:
      • Reviews (incl. commissioned/invited reviews)
      • Conference papers
        • Accepted for final publication in either a journal, conference proceeding with an International Standards Serial Number (ISSN), or publishing platform.
    • Submitted for publication after 1st April 2022 and acknowledging UKRI funded authors.

    Requirements/Details

    • Articles must be published under a CC BY licence (with two exceptions on request: Open Government Licence or CC-BY-ND)
    • Include a data accessibility statement signposting where/how a researcher can access the underlying data (See  Research Data Oxford for advice on publishing data – especially concerning confidentiality – https://researchdata.ox.ac.uk/home/sharing-your-data)
    • No embargo period is permitted for ‘green route OA’ where the accepted manuscript is deposited into a repository.
    • There is no funding for OA publication costs in hybrid journals unless subject to a Transformative Agreement

    Full details are on UKRI’s  page here: https://www.ukri.org/publications/ukri-open-access-policy

    How to publish:

    There are three methods for compliance with the policy:

    • Publish in a fully open access journal/platform that makes the article immediately open access (the ‘gold route’).
    • Publish in a journal covered by a Transformative Agreement (also sometimes known as a Read & Publish deal)
    • Publish in a subscription journal and make the Author Accepted Manuscript (AAM) openly available on publication with no embargo. This route may require publisher acceptance of the use of the Rights retention strategy (the ‘green route’) and requires the inclusion of the RRS text (see right).

    BBSRC logo      MRC logo

    MRC/BBSRC and  funded authors

    Biomedical research articles that acknowledge MRC or BBSRC funding are required to be archived in Europe PubMed Central, in accordance with MRC’s Additional Terms and Conditions and BBSRC’s Safeguarding Good Research Policy

    Before submitting to a journal

    Use the Journal Checker Tool to determine compliance.

    All original research articles submitted to peer-reviewed journals with the expectation of deposit into a repository (‘the green route’) must include the following statement at submission:

    ‘This research was funded in whole, or in part, by UKRI [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.’

    After acceptance of an article

    • Please contact the Bodleian APC team before confirming selection of gold (paid) route with the journal, to check funds are available and the journal is funder-compliant: email apc@bodleian.ox.ac.uk.
    • Complete an application form and send it to the APC Team at apc@bodleian.ox.ac.uk with the publisher’s APC or article-charges request form.
    • Please also Act on Acceptance & deposit a copy in ORA.

    Notes

    The block grant year runs from 1 October – 30 September

    Date of publication or payment must fall within current block grant year.

    The fund does not cover letters or page/colour charges.

    Departments should not pay the invoice on behalf of the grant holders and claim reimbursement. The APC Team request the invoice and arrange payment from a block grant where eligible.

    If you have any questions about paying APCs from block grant fund, contact apc@bodleian.ox.ac.uk.

  • UKRI policy for Monographs from 1st January 2024

    The policy applies to peer‐reviewed papers including invited reviews which acknowledge UKRI funding, submitted for publication after 1st April 2022:

    • Make your paper Open Access on publication (routes outlined below)
    • Acknowledge the source of funding i.e. funder and grant number. (See our FAQs for template wording.)
    • If applicable, include a statement on how the underlying research materials (such as data) can be accessed. (See the “Data” section of our FAQ for suggestions on wording of data accessibility statement.)

     

    Current Policy
    What do I do at Oxford?

    Monographs and book chapters

    In brief:

    This section of the policy applies to:

    • Long form publications including
      • Academic monographs
      • Book chapters
      • Edited collections
      • Trade books (where they are the sole output of the research)
    • Published on or after 1st January 2024 and acknowledging UKRI funded authors.

    Requirements/Details

    • Manuscripts must be published/deposited under a CC BY licence (with two exceptions on request: Open Government Licence or CC-BY-ND)
    • An embargo period up to 12 months is permitted for ‘green route OA’ where the accepted manuscript is deposited into a repository.

    Exceptions

    • Exceptions may be made on request if the only publication option is non-compliant with this policy.
    • Where a monograph, book chapter or edited collection is the outcome of a UKRI
      Training Grant published outside of the grants lifetime.

    Full details are on UKRI’s  page here: https://www.ukri.org/publications/ukri-open-access-policy

    How to publish:

    There are two routes to compliance with the policy:

    • Publish a fully open access monograph that is immediately open access (the ‘gold route’).
    • Publish in a traditionally published LFP and make the Author Accepted Manuscript (AAM) openly available on publication with no more than a 12 month embargo.
      • When using this route it must be clear that the AAM is not the published version.

    A note on images and third person 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 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.

    DISCLAIMER: We are currently waiting to hear from UKRI with regards to implementation for open monographs. Especially with regards to book processing charges. We will update this page as soon as we receive this information.

    Before submitting to a publisher

    Assess their open access policy – is their green route information available on their website.

    After notification of publication date