UKRI open access policy - long form outputs FAQs
Frequently asked questions
Frequently asked questions
UKRI new open access policy FAQs can be found on the UKRI website. The FAQs below are in addition to those provided by UKRI. If you have a question that isn't answered in either place, contact Open Research.
UKRI encourage authors and publishers to make outputs open access within 12 months of publication, where possible, however UKRI policy includes an exception for when a contract has been signed between the author and the publisher before 1st January 2024 that prevents adherence to the policy.
Notify the publisher about UKRI open access requirements that apply to your long form output at the earliest opportunity, so that you can work together to establish whether they offer a UKRI-compliant publishing option. It is recommended that you do this when you first submit your proposal to the publisher, and certainly before entering into any contractual agreement.
You should establish how your output will comply with UKRI open access requirements for long form outputs before entering into any contractual agreement with the publisher. Notify the publisher about UKRI OA requirements that apply to your long-form output when you submit your proposal to the publisher.
Contact the Open Research team to confirm your route to compliance before entering into any contractual agreement, we can help you ensure your output complies.
Funds will be made available to publish in-scope long form outputs with a "substantial link" to UKRI funding open access (OA), when the publisher offers a compliant OA publishing option. This will be a centralised OA monograph fund, held by UKRI, that institutions will apply to.
The UKRI OA monograph fund will open for applications in Autumn 2023.
If you need to apply for funding to pay to publish OA in compliance with UKRI OA policy, the Open Research team will submit an application to UKRI on your behalf. We will register your output with UKRI and obtain confirmation if it's eligible for UKRI to pay. This must be done before entering into contractual agreement with the publisher, before committing to publishing open access and before committing to paying any OA publishing fee.
After UKRI have confirmed your output is eligible for reimbursement, you can go ahead and select the immediate open access publishing option (with Creative Commons licence) and request an invoice for the publishing fee using a Purchase Order number and billing details provided by the Open Research team. The invoice should be sent to us at the University. We will pay the invoice for the publishing fee then after your output is published OA we will notify UKRI of its OA publication and seek reimbursement from UKRI of the costs they agreed to pay.
UKRI will release more details about the process and eligibility for the UKRI OA monograph fund in Autumn 2023.
You must apply for funding to pay to publish your long form output open access (OA) before entering into any contractual agreement with the publisher, before committing to publish OA and before committing to pay any publishing fees.
Contact the Open Research team at the earliest possible opportunity if you need to apply for funding to publish OA, we will apply to the UKRI OA monograph fund on your behalf. We cannot commit to paying the publishing fee until we have registered your output with UKRI and UKRI have confirmed it's eligible for reimbursement from the UKRI OA monograph fund.
We can only guarantee to pay your publishing fee after we have registered your output with UKRI and obtained confirmation from UKRI that it's eligible for payment from the UKRI OA monograph fund. If UKRI OA monograph funds are unavailable, we may not have alternative funds available to pay. Please do not enter into any contractual agreement with the publisher, or commit to paying any publishing fees, until we have made an application to UKRI on your behalf and obtained confirmation that UKRI will pay.
It is anticipated that there will be a "maximum OA book publishing fee" that UKRI will pay, more details are expected in Autumn 2023.
You do not need to publish open access on the publisher website to comply with UKRI policy. You can also comply by depositing a copy of your output in a repository and providing open access to it there not longer than 12 months after publication. The version that is deposited could be the "author's accepted manuscript" or final published version and it must be made available with one of the Creative Commons licences. Creative Commons Attribrution Licence CC BY (only) is preferred, but more restrictive CC BY licences are also permitted (e.g. -NC, -ND). Check with the publisher if they will permit you to deposit your Author's Accepted Manuscript in a repository under these terms. No fee is payable for doing this.
You may not need to pay to publish your monograph open access (OA). "Diamond" business models publish outputs in OA without author fees to read or publish. Other models use membership or subscription income to fund OA publication, so authors do not need to pay publishing fees.
If there is a fee to pay, these can vary widely between publishers. The typical open access "book processing charge" with Open Book Publishers (for authors who have funds available to pay this) is £5,000, this covers the costs of producing and marketing the book (but authors without funds to pay are not prevented from publishing). At the other end of the scale, OA book publishing fees with some publishers can be as much as £12,000 + VAT (or higher).
It is expected that there will be a "maximum cost" that UKRI will pay towards publishing a book in OA. More details are expected in Autumn 2023.
UKRI open access (OA) requirements apply to all in-scope long form outputs (monographs, book chapters, edited collections) and you should seek a compliant publishing option where possible. Check if your publisher offers a compliant open access publishing or self-archiving option. If they do not offer this as standard, let them know about UKRI requirements and ask if they can offer you a compliant publishing option as an exception. Find more details in Annex 3 of UKRI OA policy.
Exemptions to the UKRI OA policy for long form outputs are available, which can be used in specific circumstances, only after defined steps have been taken and efforts have been made to seek a compliant OA option. If you think you might need to use a policy exemption, contact the Open Research team before entering into any contractual agreement with the publisher, to discuss your options. We can ensure all relevant steps have been taken before the exemption is applied.
UKRI open access policy requires open access to all in-scope monographs, book chapters and edited collections and you should therefore seek a publishing option that meets the requirements of UKRI OA policy wherever possible, prior to considering applying for an exemption.
The process for managing exemptions is still being finalised. It is expected that exemptions can only be applied following liaison and discussion with the Open Research team, to ensure all relevant steps have been taken to try to reach a compliant publishing option first, before the exemption is applied. We anticipate that exemptions will be recorded and monitored by the Open Research team, we may need to report on these to UKRI.
Details of the process for managing exemptions will be confirmed in Autumn 2023, following further information from UKRI.
If you think you might need an exemption to the policy for your in-scope long form output, contact the Open Research team at the earliest opportunity to discuss your options. Policy exemptions must be agreed with the Open Research team prior to entering into any contractual agreement with the publisher.
To be eligible for payment of the open access (OA) publishing fee from UKRI OA monograph funds, successful applications will need to demonstrate a substantial link between the publication and UKRI research funding, as well as between the author and UKRI research funding. UKRI will publish full guidance on applying to the fund and permissible costs by Autumn 2023.
We are not legal experts and unfortunately cannot provide advice on publishing contracts.
We can, however, help to determine if the open access publishing option offered by your chosen publisher is compliant with UKRI policy. Contact us at the earliest opportunity to discuss your options (before entering into any contractual agreement with the publisher). We can help ensure your output complies and guide you through the workflow for paying to publish open access, or depositing in a repository, depending which route to compliance you take.
"Training grants" include grants for studentships and funding specifically for the training and development of researchers.
Research articles and conference papers arising from Training Grants must comply with UKRI open access (OA) policy. If they are required to acknowledge funding from UKRI, then they are in scope.
Monographs, book chapters and edited collections arising from Training Grants may be exempt. Open access is not required for long-form outputs arising from UKRI training grants, where the training grant is the only UKRI funding source acknowledged. Where possible, UKRI expects Research Organisations to support researchers to make such outputs OA; however, UKRI recognises that publication may occur sometime beyond the lifetime of a training grant.
Theses - requirements for the publication of theses in the UKRI Standard Terms and Conditions of Training Grants still apply.
UKRI new open access policy - articles FAQs
You are free to publish in any journal you choose, providing UKRI's open access requirements are met. This includes:
- publish in a full open access (OA) journal [listed in DOAJ] - funds are available to pay, contact Open Research at submission to apply for funds
- publish open access in a journal included in a Transformative Agreement that the University signed up to, when you are corresponding author, OA publication has already been paid for
- publish not-OA in a subscription or hybrid journal (no publishing fees will be paid) and make your accepted manuscript OA with CC BY licence immediately upon publication, in a repository ('repository route')
Always include UKRI's set text in article submissions - in the manuscript acknowledgements section and in any covering letter: ‘For the purpose of open access, the author has applied a CC BY public copyright licence to any Author Accepted Manuscript version arising'. (where permitted by UKRI, ‘Open Government Licence’ or ‘CC BY-ND public copyright licence’ may be stated instead)
Check compliance before submitting using Journal Checker Tool. If your chosen journal does not offer a compliant publishing option, contact the publisher to explain your funder requirements and ask if they can offer a compliant publishing option. If the publisher is unable to offer a compliant publishing option, contact the Open Research team for advice or consider submitting elsewhere.
Check compliance of journals with new UKRI open access policy using Journal Checker Tool. This will show you if it's:
- a full open access journal with CC BY licence, eligible for central UKRI funds
- a journal included in a Transformative Agreement that the University signed up to - when you are corresponding author, you can publish open access at no extra cost, as it has already been paid for
- a journal that offers a compliant self-archiving option
- a hybrid journal that offers OA with CC BY but is not in a transforamtive arrangement - in this case it's not eligible for UKRI funds
We recommend submitting to journals that are compliant with UKRI OA policy via the first three routes above. If you wish to submit to a hybrid journal that's not in any transformative arrangement, we cannot pay the APC using UKRI funds. Make sure you include UKRI's set text (see FAQ above) in your submission and in the first instance, seek a compliant self-archiving option from the publisher. If they do not agree, contact us to discuss your options.
UKRI open access block grant (OABG) is administered by the Open Research team. This can be used to pay Article Processing Charges (APCs) in full OA journals. If you are publishing in a journal that's included in a Transformative Agreement, you can publish open access without APCs, as it has already been paid for.
UKRI no longer pay APCs for hybrid journals without any transformative arrangement; UKRI no longer paper other publication charges, such as page or colour charges.
To pay an APC from UKRI OABG, lead or corresponding author must meet the affiliation eligibility criteria. Contact us to discuss when this does not apply, we can consider paying APCs in full OA journals when the lead / corresponding author is not affiliated if the fee must be paid to publish and no OA funds are available from lead / corresponding author institution.
If a journal is not full open access and not in any transformative arrangement, we cannot pay the open access publishing fee (or other publication charges) using UKRI funds. You will need to select the subscription (not open access) publishing option and comply by uploading the accepted manuscript via Symplectic for immediate open access in ORE with a CC BY licence.
Ensure you include UKRI's set text in your submission: ‘For the purpose of open access, the author has applied a CC BY public copyright licence to any Author Accepted Manuscript version arising' (where permitted by UKRI, ‘Open Government Licence’ or ‘CC BY-ND public copyright licence’ may be stated instead). Check the publishing contract before signing to ensure there is no conflict with new UKRI open access policy. You may wish to contact the publisher before submission to advise of your funder obligations.
If the research being published was funded by UKRI and your output is within scope of the policy, it must be made open access in line with UKRI's requirements. If you hold UKRI funding but you are not the corresponding author, you will need to discuss your funder obligations with your co authors and the corresponding author, to ensure the output is published compliantly - it's a good idea to do this before submission, so you can be certain the journal you are submitting to offers a compliant publishing option.
To access Exeter's central open access funds e.g. to publish in a full open access journal, lead or corresponding author must meet the affiliation eligibility criteria. If the lead / corresponding author are affiliated with another institution, please approach that institution to apply for open access funding.
To publish open access through Transformative Agreements, corresponding author must meet the affiliation eligibility criteria. If the corresponding author is affiliated with another institution, you may be able to publish open access through that institution's publishing agreement. If the corresponding author is not affiliated with an institution that has a Transformative Agreement in place, you cannot publish open access at no cost and it's unlikely we will be able to pay the open access publishing fee. In this case, you will need to rely upon the 'repository route' to open access - uploading the accepted manuscript to ORE for immediate CC BY open access there. Ensure you include UKRI's set text upon submission ‘For the purpose of open access, the author has applied a CC BY public copyright licence (where permitted by UKRI, ‘Open Government Licence’ or ‘CC BY-ND public copyright licence’ may be stated instead) to any Author Accepted Manuscript version arising'. Check the publishing contract before signing (or liaise with the corresponding author who will be signing on your behalf) to ensure there is no conflict with UKRI open access policy.
Ensure you include UKRI's set text in all article submissions: 'For the purpose of open access, the author has applied a CC BY public copyright licence to any Author Accepted Manuscript version arising' (where permitted by UKRI, ‘Open Government Licence’ or ‘CC BY-ND public copyright licence’ may be stated instead)
If a publisher rejects your submission based on the inclusion of UKRI's set text and the journal does not offer a compliant open access publishing option, consider publishing elsewhere.
If a publisher has accepted your submission with the statement included, they should allow you to make your author's accepted manuscript open access in a repository under a CC BY licence to comply via Route 2 of UKRI’s policy. If the publisher subsequently refuses to permit this, contact the Open Research team.
In-scope publications that are required to acknowledge UKRI funding must comply with the policy, even if they are only partly UKRI funded or if they are published with co-authors who are not UKRI funded. As a UKRI funded researcher, you will need to be clear on funder requirements that you are subject to when agreeing collaborations, ensure that UKRI funding is acknowledged on the paper including UKRI's set text (see FAQ above) and published in compliance with UKRI policy with a compliant licence.
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. Apply for an exception using this form, then submit the form by email to UKRI at email@example.com. Allow ten working days for a response from UKRI. Please include firstname.lastname@example.org in 'cc' to the exception request email, or as an additional email contact on the ND exception request form. This helps the Open Reseach team when monitoring compliance to keep track of ND exceptions that have been granted by UKRI. If we come across your published article with CC BY-ND licence and we are not aware of an exception having been granted, we may get in touch to check that the appropriate process was followed before selecting the No-derivatives licence.
UKRI open access policy allows CC BY-ND licence for open access monongraphs, without any exception needed.
The new UKRI open access policy applies to peer-reviewed journal articles including reviews and conference papers accepted to a journal, conference proceedings (with an ISSN) or publishing platform that are submitted for publication on or after 1st April 2022. This refers to the date of first submission to the publisher.
You can share multiple versions of your research outputs, in addition to your research data, processes, software, code.
- Pre-printing. Share the pre-peer-review version of your paper on a preprint server to provide rapid access to your research findings (if you plan to publish, check your chosen publisher allows this).
- Open access in a repository. Upload your accepted manuscript via Symplectic, it will be made open access in the institutional repository ORE, in accordance with publisher policy. There are no charges associated with this option, which is referred to as self-archiving or “green” open access.
- Open access on the publisher website. Your final full text will be published as open access on the publisher website immediately upon online publication, with a licence such as one of the Creative Commons licences eg CC BY. This may involve payment of a fee to the publisher ("gold" open access), if we have signed up to a Transformative Agreement with the publisher there may be no fee as the cost of open access publishing is already covered by an annual fee that we pay to the publisher, or there may be no author fees ("diamond" or "platinum" open access).
Open Research Exeter (ORE) is the University of Exeter’s institutional repository for storing, preserving and providing access to the research outputs of the institution. ORE is integrated with Symplectic, the University's Current Research Information System (CRIS).
All research publications produced by University of Exeter researchers should be made available in ORE, providing a showcase for the University's research activity.
An embargo is a period of time following publication before an output can be made available as open access in a repository such as ORE. Many publishers allow you to upload your accepted manuscript to a repository, but they may require than an embargo is applied. Upload upon acceptance, Open Research will apply the embargo as part of the process of checking your upload before approving to ORE. The embargo will run from the date of publication and lift automatically once the embargo period has passed.
Yes. Upload upon acceptance (comply with REF 2021 open access policy). An embargo will be applied to your paper, in compliance with publisher requirements. The embargo will lift automatically once the embargo period has passed.
REF policy respects publisher embargoes (maximum 12 months for REF panels A and B / 24 months for REF panels C and D). Papers that are still under embargo will be eligible to be submitted for the REF.
An embargo often applies to the accepted manuscript. Always upload upon acceptance.
If your article has not yet been published, we will apply a temporary indefinite embargo, then revisit it upon publication to add metadata including DOI and a link to the publisher version. We will also set the publisher embargo, which runs from the date of publication and will lift automatically once the period has passed.
Check individual journal policies using SHERPA/RoMEO. If the journal embargo period for the accepted manuscript exceeds the maximum allowed by your funder, you may need to pay for open access.
Please upload all of your University of Exeter research outputs via Symplectic to ORE.
All outputs should be uploaded via Symplectic to ORE. If you are publishing open access with a Creative Commons licence, you may wait and upload the final published PDF, as soon as possible after publication.
Often it is not permitted to make the final published PDF available in a repository. Check journal policies using SHERPA/RoMEO. If you paid to publish with open access, you can upload the final published PDF.
Once the publication has been approved to ORE, you cannot change the file within Symplectic.
Contact us; we may be able to switch the files within ORE.
If your research was funded by one of the 27 PubMed Central (PMC) funders, your article should be made available in PMC. Wellcome Trust funded monographs and book chapters must be uploaded to PubMed Central Bookshelf.
If you paid for open access, the publisher might deposit on your behalf. If they do not, self-archive your accepted manuscript using Europe PubMed Central Plus. The Wellcome Trust require, if an APC is paid, that the publisher submits the final full text with CC BY licence to PMC. For Wellcome Trust funded monographs and book chapters, use the PMC Bookshelf deposit form.
You might not need to pay to publish open access. Many journals listed in the Directory of Open Access Journals (DOAJ) do not charge for open access publishing. We have signed up to Transformative Agreements with publishers that include open access publishing at no extra cost for University of Exeter authors, as the cost is already included in an annual fee that we pay to the publisher.
If a fee is charged, your funder might pay this, either through your research grant or via central open access funds provided to the University. Check your funder open access policy for details.
Contact us for more information, and to apply for funding from one of these.
Most funders, including Horizon Europe, NIHR, UKRI and the Wellcome Trust will no longer pay other publication costs such as page charges, colour, figure or excess length charge. We recommend seeking a publishing option that does not incur these types of costs, or requesting a waiver from the publisher.
If you wish to publish as open access on the publisher website and have no funding to pay an APC, consider the options below
- Approach your research funder to ask if they will pay.
- Ask the publisher to waive the fee.
- Submit to a journal that does not charge APCs e.g. many journals listed in the Directory of Open Access Journals (DOAJ) do not charge fees to authors to publish (filter by "without publication fees").
- Take advantage of Transformative Agreements that we have signed up to, which include open access publishing at no extra cost for University of Exeter researchers.
- Apply for open access funding from the Institutional open access fund.
Apply to the Open Research team for open access funding upon submission to a fully open access journal that charges publishing fees.
Contact us upon acceptance to a hybrid journal (not fully open access) to discuss your open access options - before the paper is published online (any version). From 01 January 2021, we can only pay open access publishing fees in hybrid journals when this is essential for funder compliance; you can publish open access in hybrid journals through Transformative Agreements that we have signed up to.
The central open access funds are limited so we cannot guarantee that we can pay your open access fee until the point at which we raise the Purchase Order. We cannot pay for open access if the output is already published online, so please ensure you apply to us in plenty of time before it is published.
In order for us to pay an open access publishing fee using our central open access funds, lead / corresponding author must meet the affiliation eligibility criteria.
If the lead / corresponding author is not affiliated with University of Exeter, please apply to the current institution / organisation of the lead / corresponding author for open access funding. If the lead / corresponding author has no open access funding and the open access fee is mandatory to publish e.g. in a fully open access journal, you are welcome to contact us to discuss whether the fee can be paid using the University of Exeter's open access funds, we will consider such requests on a case by case basis.
If you received an invitation to publish, we suggest using Think, Check Submit to ascertain whether this is a journal that you wish to publish in, especially if the publisher is charging a fee to publish your work.
If the publisher is inviting / commissioning you to write a specific piece, we recommend agreeing with the publisher that it will be published open access at no extra cost, as part of agreeing to do this.
Your funder might pay your open access fee, providing the publication is within the scope of their open access policy. Invited / commissioned reviews are excluded from institutional open access funds.
All research publications produced whilst at the University of Exeter must be uploaded to ORE, as per the open access and research data management policy for PGRs.
If your publications acknowledge external funding, you need to make sure you publish in compliance with the open access requirements of your funder of research.