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UKRI Open Access Policy: Overview

On 1 April 2022, UKRI’s new Open Access Policy will come into effect and will apply to all research articles submitted for publication from this date which acknowledge funding from one of the UK Research Councils. We have provided a brief overview of the significant changes, and links to where you can seek additional support and guidance. 

This overview covers:

Scope of the policy

The new UKRI Open Access Policy will apply to:

  • peer-reviewed research articles submitted for publication on or after 1 April 2022

Authors (including PGRs) acknowledging funding from one of the UK Research Councils will be required to make sure their article complies with the new policy via one of the two routes to open access below.  

Compliant routes to open access (research articles)

There are two compliant routes to making your article open access in line with UKRI Open Access Policy requirements:

Route 1: 'Publish the research article open access in a journal or publishing platform which makes the Version of Record immediately open access via its website.' You may be familiar with this known as 'gold' open access.  

Route 2: 'Publish the research article in a subscription journal and deposit the Author’s Accepted Manuscript (or Version of Record, where the publisher permits) in an institutional or subject repository' You may be familiar with this known as 'green' open access. 

Funding

We will still receive an Open Access Block award for use by all Durham authors, although we have not yet been notified as to how much funding we will receive. 

Please be aware there are limits on what this funding can be used for, so please get confirmation that your preferred journal of publication offers a compliant route to open access, and that any costs can be covered, before committing to pay any open access charge. 

If you aren't sure, you can check with us at openaccess.publishing@durham.ac.uk. 

Challenges

The requirement from UKRI, and form other funders, for immediate open access will present some challenges to some authors.

Where publishing open access in a hybrid or fully subscription-based journal:

  • Individual APCs can not be paid from the UKRI or Wellcome Trust Open Access Block Awards, unless that journal meets the requirements under a Transitional Agreement with a publisher, or as a Transformative Journal as defined by that funder.
  • It is unclear how some publishers may respond to the inclusion of any 'rights retention' or submission statement about use of an open licence.
  • Where a Tranistional Agreement is in place with a publisher;
    • This will only apply to papers where the Corresponding Author has a Durham affiliation.
    • Not all publishers offer a Tranistional Agreement (although 80% of publishers which have previously publisherd UKRI funded research do)
    • For some publishers, not all of their journals may be included in a Transitional Agreement.

It is essential that authors consider their options offered by their preferred journals, and ensure they can meet the terms of the funding contract when publishing the outcomes of that research. UKRI have outlined their approach to author choice in their guidance.

If you aren't sure, you can check with us at openaccess.publishing@durham.ac.uk. 

Key actions for authors to meet UKRI requirements

Any Durham author submitting an article for publication on or after 1 April 2022 which acknowledges Research Council funding will need to act before submitting their manuscript. Please familiarise yourself with UKRI’s expectations, and contact the University’s Open Access team if you need further assistance or guidance. 

Before you submit your manuscript:

  • Check if your chosen journal offers an option which will allow you to meet your funder’s requirements.  
    • JISC and UKRI will be providing a tool to help authors check the options available for most journals. 
    • If you aren’t sure, you can check with us at openaccess.publishing@durham.ac.uk.  
  • Ensure that if there is a cost that you know how that cost may be covered (this may be through the University’s UKRI Open Access Block Awards, or through one of our publisher agreements). 

When you submit your manuscript:

Ensure that you have:

  • Included an acknowledgement of any sources of funding for the research - See our Authorship and Acknowledgements Guide; 
  • Included a ‘Data Access Statement’, even where there is no data, or where the data can not be made available - See examples of 'Data Access' statements on our F.A.I.R Data Principles Guide. 
  • If you intend to use Route 2, or may need Route 2 as a back-up, include a ‘Rights Retention Statement’ - See our UKRI Open Access Policy Guide (or page 3 of the UKRI Open Access Policy) for further information.

When your article is accepted for publication:

Firstly - congratulations! Please, also make sure to:

  • If there is a cost payable, check that everything is in place to cover this before committing to pay. Contact us at openaccess.publishing@durham.ac.uk to be sure; 
  • Make sure that if presented with a choice of licence, you select the CC-BY licence required by UKRI (unless you have requested and received permission from UKRI to use a more restrictive CC BY-ND licence) - See our UKRI Open Access Policy Guide 
  • Deposit your accepted manuscript in Durham Research Online. Do this within 3 months of the date of acceptance (and no later than the date of publication) to ensure it meets the REF Open Access requirements - See our Durham Research Online Guide.

Further Guidance

We are still awaiting full guidance from UKRI regarding implementation.  

Please direct any questions that you have to openaccess.publishing@durham.ac.uk  

Monographs and Book Chapters

Open access requirements for monographs, book chapters, and edited collections are also included in the new UKRI Open Access Policy.  The policy will apply to in-scope long-form publications that are published on or after 1 January 2024. However, where a contract has been signed between the author and the publisher before this date that prevents adherence to the policy, these publications will be exempt from meeting the requirements of the policy.  

Overview and Q&A Sessions

We are running short online sessions for UKRI funded authors during March and April 2022. These sessions will comprise of a short presentation providing an overview of the policy, and a chance to ask questions or discuss concerns.

BOOK A SPACE: Please book to attend a session using the form available here.

Workshop times and dates:

  • Monday March 7th, 10:00-11:00 GMT
  • Wednesday March 16th, 13:00-14:00 GMT
  • Thursday March 17th, 11:00-12:00 GMT
  • Wednesday March 23rd, 14:00-15:00 GMT
  • Tuesday March 29th, 12:00-13:00 BST
  • NEW Wednesday April 13th, 13:00-14:00 BST
  • NEW Monday April 18th, 13:00-14:00 BST
  • NEW Thursday 21st April, 12:00-13:00 BST
  • NEW Tuesday 26th April, 14:00-15:00 BST