Complying with the UKRI open access policy for publishers: long-form publications
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How publishers can help researchers make UKRI-funded monographs, book chapters, and edited collections openly available.
Introduction
UKRI’s open access (OA) policy extends to long-form publications, specifically monographs, book chapters, and edited collections. This applies to works published on or after 1 January 2024. There is funding available to help authors comply with this policy. This guide outlines steps that you can take to ensure publication options for UKRI-funded authors.
A companion version of this guide is also available for institutions.
Read our complying with the UKRI open access policy for researchers: long-form publications guide.
Requirements for monographs, book chapters, and edited collections
| OA within 12 months | Authors must ensure that either the final published book or chapter, or the author’s accepted manuscript, is freely available no later than 12 months after publication. They can do this via:
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| Creative Commons licence required |
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Why publishers should offer compliant options
Publishers play a crucial role in helping authors comply with UKRI’s policy, by providing suitable routes (open access publishing option or compliant self-archiving policy) and by working with authors to implement the licence and availability requirements.
Accessing UKRI OA funding for long-form content
UKRI offers up to £10,000 (including VAT) towards OA publishing costs for a monograph. The application for this funding is made through the author’s institution as follows:
Stage one: approval
An initial application for funding approval is made as soon as the author enters into publishing discussions.
Tip: institutions require a formal quote from the publisher to complete this stage which details the fee (and confirms it is within the £10,000 limit, inclusive of VAT) and states that it is for open access.
Stage two: reclaim costs
Institutions can claim a reimbursement of the invoice once a final invoice is received and the book has been published.
Tip: UKRI processes payments twice yearly. Publishers may be asked to coordinate timing with institutions so that they avoid a delay in reimbursement.
Help explore diamond models for OA
We're working with UKRI to support diamond models for OA.
Diamond open access models are publishing models that facilitate open access to the version of record without incurring book processing charges, for example through community funding or subscribe to open models, or other modes for financing the production and publication of a book.
If a supporting institution has a UKRI funded author published as part of a Diamond OA initiative, they will be entitled to claim up to £6,000 of their supporter fee (£9,000 if two or more titles by eligible funded authors are published) from the UKRI ring-fenced fund.
The diamond open access models for monographs and edited collections offered via Jisc require a ‘green’ open access backstop that will enable UKRI-funded authors to comply with UKRI’s open access requirements by self-archiving the author’s accepted manuscript within 12 months in a repository to comply with UKRI’s open access requirements, should the agreement not be fully funded.
Find out more about our routes to fully open access agreements
Practical steps for publishers
1. Communicate with authors about the policy
- Ensure you are aware if your author is UKRI-funded
- Clearly communicate your OA options in your author guidelines or directly in conversations with authors
- If you offer a gold OA option, have OA costs clearly summarised and what it includes
- Ensure you are aware if your author is UKRI-funded
- Clearly communicate your OA options in your author guidelines or directly in conversations with authors
- If you offer a gold OA option, have OA costs clearly summarised and what it includes
2. Allow for OA within the author contract
- What licence will the work be published under (CC BY preferred)
- What is the fee and who will pay for it (eg “The author’s institution will pay publisher a book processing charge of £X to cover open access publication, payable upon acceptance of the final manuscript/invoice issuance.”)
- If you allow green self-archiving, ensure your contracts have the necessary language
- What is the timeline for making the work OA (immediately on publication if a BPC is paid; or delayed if green self-archiving allowed)
- Clarify any exceptions regarding third-party content (like “third-party images are excluded from the OA licence”)
- What licence will the work be published under (CC BY preferred)
- What is the fee and who will pay for it (eg “The author’s institution will pay publisher a book processing charge of £X to cover open access publication, payable upon acceptance of the final manuscript/invoice issuance.”)
- If you allow green self-archiving, ensure your contracts have the necessary language
- What is the timeline for making the work OA (immediately on publication if a BPC is paid; or delayed if green self-archiving allowed)
- Clarify any exceptions regarding third-party content (like “third-party images are excluded from the OA licence”)
3. Coordinate with institutions
Your author’s library or research office will need to process the application with UKRI, so it’s important to coordinate the process with them, and ensure all requirements are met (including licensing and meeting the funding cap):
- At stage one discuss information required and that the contract complies with the policy
- At stage two coordinate on timing of final invoicing to enable quick reimbursement to the institution
Your author’s library or research office will need to process the application with UKRI, so it’s important to coordinate the process with them, and ensure all requirements are met (including licensing and meeting the funding cap):
- At stage one discuss information required and that the contract complies with the policy
- At stage two coordinate on timing of final invoicing to enable quick reimbursement to the institution
4. Support third party rights clearance
If there are third-party rights for any content within the title, support the author in applying for copyright clearance.
If there are third-party rights for any content within the title, support the author in applying for copyright clearance.
5. Make sure book is published OA
Ensure the published version has the correct metadata for OA. Consider sending metadata to DOAB, or deposit in OAPEN.
Ensure the published version has the correct metadata for OA. Consider sending metadata to DOAB, or deposit in OAPEN.
6. Make sure to capture in your systems which titles are UKRI-funded
Add the funder name (UK Research and Innovation) and ideally the specific grant number to the metadata.
Add the funder name (UK Research and Innovation) and ideally the specific grant number to the metadata.
Checklist for peer-reviewed articles monographs, book chapters and edited collections
Use this checklist to confirm your readiness to support UKRI-funded authors:
- OA routes for authors are highlighted in author communication, including BPC cost (within £10,000 for monograph including VAT) or self-archiving policy (within 12 months)
- Creative Commons licence offered
- Third-party rights cleared or excluded from OA licence
- Institution is contacted to arrange application for stage one funding at contract stage
- Institution is contacted to coordinate payment timing for final invoice
- Book is published OA on publication (if BPC paid) with correct OA licence.
- Metadata shared
Further information
- Take a look at the UKRI funding roadmap
Contact
For help and guidance on the above, please contact us by phone 020 3006 6088 or email help.digitalresources@jisc.ac.uk