Funder Open Access Policies


UKRI Open Access Policy from 1 April 2022

REF 2021 Open Access Policy

Please see FAQs for Goldsmiths researchers here)

EU Horizon 2020 Guidelines to Open Access

Plan S

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UKRI Open Access Policy from 1 April 2022

To download this information as a .pdf file, please click here .

The new UK Research and Innovation (UKRI) Open Access policy comes into effect on 1 April 2022. The policy applies to:

  • peer-reviewed research articles submitted for publication from 1 April 2022
  • monographs, book chapters and edited collections published from 1 January 2024 (unless a contract has been signed between the author and the publisher before this date that prevents adherence to the policy).
  • Outputs funded in whole or in part by the UK Research Councils must meet the UKRI Open Access requirements. This includes in-scope research articles arising from UKRI Training Grants (including UKRI-funded studentships).

    Prior to selecting venues for publication UKRI funded researchers must consider whether the journal/publisher offers Open Access publishing options that comply with the UKRI policy. Please email gro@gold.ac.uk if you need advice on whether a publishing venue is compliant

    On projects with multiple authors, we strongly recommend having a discussion with co-authors prior to selecting venues for publication to identify any funding sources which authors are in receipt of, and which will be acknowledged in the publication. This will help identify whether the UKRI Open Access requirements needs to be met, and will inform decisions on where to publish the research.

    Please note that this is not the announcement of the next Research Excellence Framework (REF) open access policy, only the UKRI policy. However, UKRI have made it clear that compliance with their open access policy will also ensure compliance for the next REF.

    UKRI will be providing up to £46.7 million per year to UK universities to support the implementation of the policy. This substantial increase to the UKRI block grant recognises the costs involved to meet the new policy requirements, as well as the inclusion of monographs in the policy (£3.5 million has been ring-fenced to support monograph publishing).

    The details of the policy are still to be fully announced in some areas and this page will be updated when UKRI provide further guidance. Any questions about the policy should be directed to gro@gold.ac.uk.

    The main points from the updated open access policy are summarised below.

    Peer reviewed research articles

    Peer reviewed research articles submitted for publication on or after 1 April 2022 which acknowledge funding from UKRI will need to be made open access from the date of publication. The policy applies to all peer reviewed research articles and conference papers published in proceedings with an International Standards Serial Number (ISSN).

    There are two routes to compliance:

    • Route 1 (Gold Open Access): Making the Version of Record free and unrestricted to view and download on the publisher's website from the date of publication
    • Route 2 (Green Open Access): Making the Author’s Accepted Manuscript (AAM) free and unrestricted to view and download on a repository such as Goldsmiths Research Online (GRO) from the date of publication

    All articles must be made open access by the date of publication with no embargo period, and be published with a CC BY licence unless UKRI has agreed, as an exception, to allow publication under CC BY-ND. The form to apply for a CC BY-ND exception is available here.

    UKRI have contacted publishers notifying them of the change to the policy and expect that the significant majority of venues that publish UKRI-funded articles will be able to offer suitable Open Access options to UKRI-funded authors by April 2022.

    If authors are using route 1 (Gold Open Access) to achieve compliance, there are several options for publication:

    • Publishing an article Open Access via a Read and Publish agreement. Information about the Read and Publish agreements available to authors at Goldsmiths is available here.
    • Making use of the block grant we receive from UKRI to pay an Article Processing Charge (APC). UKRI funds for paying APCs can only be used if the journal meets the JISC requirements for transformative journals or transitional agreements (authors should email gro@gold.ac.uk at the submission stage for confirmation that a journal requiring an APC payment is compliant with the policy).
    • Publishing in a fully Open Access journal. These are journals with no subscription element and are listed on the Directory Open Access Journals.

    For articles complying with the policy under route 2 (Green Open Access), submissions 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 [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 statement will allow authors to post their AAM in a repository such as Goldsmiths Research Online (GRO) with a CC BY licence and no embargo regardless of the standard policy of the publisher.

    Most journals require an embargo on the Author’s Accepted Manuscript (AAM), and do not allow it to be made Open Access under a CC BY licence. It is therefore essential that authors using this route are clear with their journal at the point of submission what UKRI requires of them in terms of Open Access and that they check that their publication agreement is compatible with UKRI requirements. If asked to sign a Copyright Transfer Agreement / Publication Agreement read through its terms and conditions to check this is compatible with UKRI Open Access requirements. If the terms of the agreement would not enable you to make your accepted manuscript available immediately at the point of publication under a CC BY licence then it is incompatible with UKRI requirements - please seek to amend the agreement in this case. If you are unsure about an agreement which a publisher is asking you to sign, please contact us at gro@gold.ac.uk for guidance.

    A Data Access Statement needs to be included in research articles covered by the policy, even where there is no associated data or where the data is inaccessible. The statement is intended to inform readers where the underlying research materials associated with a paper are available, and how the research materials can be accessed. The statement can include links to the dataset, where applicable and appropriate.

    Monographs, book chapters and edited collections

    There is a new requirement for monographs, book chapters and edited collections published from 1 January 2024 (unless a contract has been signed between the author and the publisher before this date that prevents adherence to the policy) which acknowledge funding from UKRI to be made open access.

    Further guidance on complying with the book publishing policy will be provided from UKRI in 2022 and this page will be updated in line with policy announcements.

    The policy does not apply to trade books (defined by UKRI as an academic monograph rooted in original scholarship that has a broad public audience), scholarly editions, exhibition catalogues, scholarly illustrated catalogues, textbooks, and all types of fictional works and creative writing (including artist's books). However, a trade book is considered to be in scope of the policy where it is the only output from a UKRI-funded research project.

    There are two routes to compliance:

    • Making the Version of Record free to view and download on the publisher's website within 12 months of publication
    • Making the Author’s Accepted Manuscript (AAM) free to view and download on a repository such as Goldsmiths Research Online (GRO) within 12 months of publication. The policy allows the author and publisher to agree the appropriate version to self-archive on a repository.

    The open access versions of monographs, book chapters and edited collections must be published under a Creative Commons licence. UKRI has expressed a clear preference for a CC BY licence, but other Creative Commons licences including CC BY-ND and CC BY-NC are permitted.

    In 2022 UKRI will publish guidance on a number of exceptions set out in their monographs policy. The key exceptions awaiting further guidance are:

  • Exceptions around the use of third-party materials where permissions for reuse in an open access book cannot be obtained.
  • Exemptions where the only appropriate publisher is unable to offer an open access option that complies with the policy.
  • UKRI has committed to providing a dedicated fund of £3.5 million per year to support the long-form publications Open Access policy. The process for allocating the funds and the definition of eligible costs is being developed. The funding will be held at UKRI in a central pot, and it is anticipated that the funding will be available via an application process.

    If I am funded by UKRI, what should I do?

    Our previous messaging around Open Access compliance for REF2021 emphasised the importance of authors acting upon acceptance, but the new UKRI policy will require authors to consider whether a publishing platform offers compliant Open Access options prior to selecting venues for publication.

    Given the complexity of the policy we are advising that authors email gro@gold.ac.uk at the submission stage for confirmation that their chosen publishing venue is compliant, and we will offer advice to authors on the next steps they need to undertake.

    JISC in collaboration with UKRI is currently developing an online tool that will enable researchers to identify whether a journal offers an Open Access option that complies with the policy. Once this resource is released the process of identifying eligible journals should be a lot easier for authors.

    If you want advice on whether the journal or publisher you wish to submit your research to is compliant, please email gro@gold.ac.uk.

    Help and Support

    If you would like any more information about the policy or have any questions about how this affects your work, please email gro@gold.ac.uk.

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    Plan S: a plan for full and immediate Open Access

    To download this information as a .pdf file, please click here .

    What is Plan S?

    At the end of 2018, cOAlition S, an international consortium of research funders supported by the European Commission and the European Research Council, launched a new Open Access (OA) publishing initiative called Plan S, which comes into effect on 1 January 2021. Plan S is an initiative that hopes to make immediate, full Open Access a reality by committing to the following:

    “With effect from 2021, all scholarly publications on the results from research funded by public or private grants provided by national, regional and international research councils and funding bodies, must be published in Open Access Journals, on Open Access Platforms, or made immediately available through Open Access Repositories without embargo.” (See: https://www.coalition-s.org/about/)

    Plan S signatories from the UK include UK Research and Innovation (UKRI) and the Wellcome Trust. You can find a full list of signatories here.

     

    Key Points

    Plan S is based on a framework of 10 principles, supported by implementation guidance. The main points are:

    Hybrid model: Gold Open Access publication in subscription journals via an Article Processing Charge (APC) payment is known as ‘hybrid’ model. Plan S funders to fund hybrid Open Access only when it is part of a transformative agreement supporting a transition of publication platforms to full Open Access.

    Copyright: Authors or their institutions to retain copyright of their publications.

    Licenses: Authors to publish under an open licence, preferably the Creative Commons Attribution (CC BY) licence.

    Fees: Where applicable, Open Access publication fees are covered by the funders or research institutions, not by individual researchers.

    Monographs: It is understood that the timeline to achieve Open Access for monographs and book chapters will be longer and requires a separate and due process.

    Compliance: Funding agencies will monitor compliance and sanction non-compliant beneficiaries/grantees.

    Metrics: The Funders commit that when assessing research outputs during funding decisions they will value the intrinsic merit of the work and not consider the publication channel, its impact factor (or other journal metrics), or the publisher. This will require that funders and universities align with the principles of the Declaration of Research Assessment (DORA) or the Leiden Manifesto.

     

    What are the benefits of Plan S?

    By advocating the point that no scholarly publication should be locked behind a paywall, and that Open Access should be immediate (i.e., without embargoes), Plan S aims at reinforcing the key principles and benefits of Open Access as exemplified in the following:

    Increased visibility and impact of research

    Raised profile for author, funder, and university

    Faster dissemination of research outputs

    Compliance with funder and Research Excellence Framework (REF) requirements

    Social and public good

     

    How does Plan S affect me as a researcher?

    If you are funded by a cOAlition S signatory, as of 1 January 2021 you will be required to make your research publications Open Access via one of the acceptable routes (Please see below the “Three routes to make your research outputs compliant with Plan S” section).

    The detailed implementation decisions of individual funding agencies, such as UKRI, will be key in determining the likely impact of Plan S on researchers at Goldsmiths. UKRI is conducting an Open Access Review to develop the new UKRI Open Access policy in response to Plan S.

    Goldsmiths has Open Access publishing agreements with a diverse array of journals. Goldsmiths researchers can now publish open access with no charge in journals that are part of “Read and Publish” agreements. Publishing in these journals will meet the Plan S requirement that allows hybrid Open Access only as part of a transformative agreement.

    If you are not funded by a cOAlition S signatory, you are not bound to publish in a compliant journal (i.e. a fully Open Access journal or a hybrid journal that is part of a transformative agreement), although it is best practice to do so if possible.

     

    What research is in scope?

    The scope of Plan S is primarily peer reviewed research. Plan S applies to all peer-reviewed publications that are based on results from research funded fully or partially by cOAlition S members. This means predominantly:

    Scholarly articles: From 1 January 2021 journal articles and conference papers are in scope.

    Monographs: By the end of 2021, cOAlition S will provide a statement on Plan S principles (and their implementation guidance) as they can apply to monographs and book chapters.

     

    Three routes to make your research outputs compliant with Plan S

    All scholarly articles that result from research funded by members of cOAlition S must be openly available immediately upon publication without any embargo period.

    Open Access publishing venues (journals or platforms) Subscription venues (repository route) Transition of subscription venues (transformative arrangements)
    Route Authors publish in an Open Access journal or on an Open Access platform. Authors publish in a subscription journal and make either the final published version (Version of Record (VoR)) or the Author’s Accepted Manuscript (AAM) openly available in a repository. Authors publish Open Access in a subscription journal under a transformative arrangement.
    Funding cOAlition S funders will financially support publication fees. cOAlition S funders will not financially support ‘hybrid’ Open Access publication fees in subscription venues. cOAlition S funders can contribute financially to Open Access publishing under transformative arrangements.

    Table 1. “Guidance on the Implementation of Plan S” on https://www.coalition-s.org/guidance-on-the-implementation-of-plan-s/

     

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    FAQs

    I am not familiar with Open Access publishing and I am confused by the terminology used to describe Plan S. How can I get help?

    The Goldsmiths Research Online team published an Open Access LibGuide, which explains basics of Open Access and includes a glossary of terms. To access the LibGuide, please click here. If you have further questions around the terminology, please email gro@gold.ac.uk for clarification.

     

    How will I know if I am submitting my paper to a Plan S compliant journal?

    Compliant journals will be listed in the Directory of Open Access Journals (DOAJ). Hybrid journals which agree to transformative agreements for being Open Access as means to ensure compliance with Plan S, are also acceptable. The Goldsmiths Research Online team will be happy to help with any queries around the eligibility of specific journals. Please email gro@gold.ac.uk for help.

     

    How do I know where to publish?

    We are awaiting further guidance from funders but can advise authors to not publish in hybrid journals (unless they have signed transformative agreements to become fully Open Access journals), check funder requirements, and understand journals’ copyright policy. The Goldsmiths Research Online team will be happy to help with any queries around the eligibility of specific publishing platforms. Please email gro@gold.ac.uk for help.

     

    What about Green Open Access (deposit of manuscript to a repository)? Should I still deposit my papers to Goldsmiths Research Online?

    Yes. Plan S promotes Gold Open Access (paid Open Access via the journal/publication platform). However, deposit of your final accepted manuscript to GRO is acceptable provided the file can be made available immediately (i.e. with no embargo) and under a CC-BY licence.

     

    What if I submit my paper to a non-compliant journal before January 2021, but it will be published after the implementation of Plan S?

    Papers submitted for publication prior to January 2021 are expected to be exempt from revised Open Access policies which implement Plan S.

    At the latest, funders must apply Plan S principles to publications resulting from grants published, or application deadlines, after 1 January 2021. However, funders are encouraged to implement principles to publications resulting from grants awarded from 1 January 2021, and so calls with deadlines prior to this may be affected.

     

    What are the consequences if I publish in a non-compliant journal?

    In time, cOAlition S funders, will align grant agreements and/or contracts with Plan S. Funders will monitor and sanction non-compliance on the basis of such agreements or contracts. As stated on cOAlition S webpages, possible sanctions may include “withholding grant funds, discounting non-compliant publications as part of a researcher's track record in grant applications, and/or excluding non-compliant grant holders from future funding calls”.

     

    Can I still submit papers which are not directly funded by a UKRI council to a non-compliant journal?

    Probably, but with careful consideration. If your work is not supported by funding from UKRI and your paper is not subject to grant conditions based on a policy adhering to Plan S, then you are free to publish in any journal/platform. Consider, however, that your work would need to be clearly decoupled from any funding you may be in receipt of, to ensure you do not break grant agreements. This point is expected to be further clarified once UKRI release an updated Open Access policy which implements Plan S.

     

    I am an early career researcher (ECR). Will I be disadvantaged because I don’t have funds for OA?

    If you are not funded by a cOAlition S signatory you are not bound to publish in a compliant journal, although it is best practice to do so if possible. You can self-archive in appropriate repositories (such as GRO) where embargoes will be applied – if appropriate – as well as using pre-print servers to promote early drafts of your work.

    Plan S takes ECRs into account and principles such as responsible research metrics are put in place so that they can publish in appropriate journals for their content and career stage without prejudice.

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    Help and Support

    These pages will be updated with information relevant to Plan S. If you have any questions regarding Plan S, please email Goldsmiths Research Online at gro@gold.ac.uk.