Funder requirements

Funder Requirements

Many funders have Open Access requirements for the outputs of research they fund. It is important to check the terms of your grant. You can also search for funder requirements and permitted embargo periods using the SHERPA/JULIET database.

 

Plan S

Plan S: In Brief

  • Plan S is an initiative for full immediate Open Access publishing
  • From 1st January 2021 funders requiring Plan S compliance are: Wellcome, European Commission (Horizon) and other funders
  • From 1st April 2022 UKRI funders will be closely Plan S aligned

  

To comply:

  • When authors submit manuscripts for publication include this "rights retention" statement*** in the funding acknowledgement section of the manuscript: 

This research was funded in whole, or in part, by [Funder name, Grant number xxxxx]. 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.

  • As usual, upon acceptance from the publisher, deposit the Author Accepted Manuscript (peer reviewed version) in STORRE via Worktribe (in the University Portal: select ‘Access Worktribe (Research System)’ under ‘I want to’).
  • (Where the final publication is Open Access at the journal web site - Library staff will replace the Author Accepted Manuscript with the Version of Record once it is available)

 

When publishing there are three possible routes to compliance:

  1. *Route 1: Publish in a fully Open Access journal or platform. Funders will help cover charges. The University APC Fund supports publishing in fully Open Access journals.
  2. Route 2: Publish in a subscription journal and upon publication make the Author Accepted Manuscript openly available in STORRE via Worktribe
  3. *Route 3: Publish in a subscription journal through a transformative arrangement (see University of Stirling's transformative agreements)
  •   Use the Journal Checker Tool to see which routes to compliance you can use for your preferred journals

* = Plan S preferred routes

 ***Inclusion of the rights statement is part of the Plan S “Right Retention Strategy”; it aims to allow you to continue to publish in the journal of your choice whilst still meeting Plan S requirements. If the publisher accepts your submission with the Rights text, then under copyright law you have the right to make your Author Accepted Manuscript Open Access without an embargo and with a CC BY licence. The Rights statement takes legal precedence over later statements or attempts at copyright assignment that the publisher may routinely ask for from authors. Note however that some publishers may later ask you to sign a contract that includes statements saying you will embargo your Manuscript.  In this case, if you then later share your Manuscript without an embargo then technically this risks you being exposed to legal action a publisher could take based on contract law. Given this situation, the Wellcome Trust have said you should not sign a publishing contract that conflicts with their open access requirements. Therefore, before you submit a manuscript for publication you should consider the journal's/publisher's practices in this area.

 

 

Brief Plan S leaflet

Download the brief Plan S leaflet

 

 

Plan S: In Detail

  • Plan S is an initiative for Open Access publishing
  • Supported by cOAlition S, an international consortium of research funders
    • From 1st January 2021 a number of funders have Plan S compliant Open Access policies. For example:
    • From 1st April 2022 the UKRI Open Access policy will become Plan S aligned

 

Plan S: Key Principles and Requirements

  • No publication should be locked behind a paywall
  • Open Access must be immediate, i.e. no embargo periods
  • No copyright transfer
  • Publications must be under a CC BY licence by default (exceptionally CC BY-ND licence for individual articles)
  • Preference for the Version of Record (rather than the Author Accepted Manuscript)
  • Will not support publication in hybrid journals unless they are part of a transformative arrangement (will not support after end of 2024)
  • Transparency about pricing and contracts
  • Funders commit to support publication fees at a reasonable level (could cap APCs in future)
  • Multiple routes to Open Access compliance
  • Commitment to assess research outputs based on their intrinsic merit and NOT venue of publication

 

Plan S: Authors Rights Retention Strategy

Plan S is underpinned by an important Rights Retention Strategy for funded authors:

  • Authors (or their organisations) must retain sufficient intellectual property rights to comply with Plan S Open Access requirements – University of Stirling does not assert ownership or ask for copyright assignment for publications - our authors retain these rights
  • Authors/institutions must ensure Open Access to Author Accepted Manuscripts, or the Version of Record, of research articles at the time of publication
  • When authors submit original research articles to peer-reviewed journals for publication they must include a statement like the following:

This research was funded in whole, or in part, by [Funder name, Grant number xxxxx]. 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.

 

Plan S: Routes to Compliance

*Route 1: Publish in a fully Open Access journal or platform

  • Funders will cover fair and reasonable article processing charges (APCs) (if certain conditions are met)
  • The University has the APC Fund to support Open Access publishing in fully OA journals. Apply to the APC Fund

 

Route 2: Publish in a subscription journal and upon publication make the Author Accepted Manuscript (AAM) openly available in a repository

  • When complying by this route, no APC should be paid to the publisher
  • Deposit your Author Accepted Manuscript (peer reviewed version) in the University’s Open Access Repository STORRE via Worktribe. (To deposit via Worktribe: in the Portal - under the ‘My Stirling Life’ tab select ‘Access Worktribe (Research System‘ listed in the ‘I want to section’
  • Route 2 relies on the presence of the Rights Retention Statement in your submitted manuscript - read the above important notes on the Strategy before submitting your manuscript to a publisher.

 

*Route 3: Publish in a subscription journal through a transformative arrangement that is available via University of Stirling

  • The University Library has joined a number of transformative agreements to support this route – see the Where to publish page

 

*Preferred routes: the Plan S preference is for the Version of Record (publisher’s final version) to be made Open Access for this reason the preferred routes are routes 1 or 3.

 

Plan S: Journal Checker Tool

A Journal Checker Tool is available for checking which routes to compliance can be used for your preferred journals – see: https://journalcheckertool.org/

 

Note on Transformative Arrangements

Plan S supports three transformative strategies:

 

1. Transformative Agreements - these consist of contractual agreements between publishers and library consortia (e.g. JISC in the UK context) whereby subscription costs are reallocated to support costs of open access publishing. Such agreements are also known as 'Read & Publish' deals. Under this model subscription costs are to be phased out by the end of 2024 but Universities who are parties to such agreements continue to make payments to support publication costs. Plan S calls for such agreements to comply with ESAC Guidelines. University of Stirling is a member of a number of Transformative Agreements – see the asterisked Agreements on our ‘Where to publish’ page.

 

2. Transformative Model Agreements - these involve smaller publishers, such as Society Publishers, but otherwise follow similar principles to Transformative Agreements with libraries continuing to pay a subscription charge to the journal / publisher and in exchange authors from their University are able to publish with the journal in a compliant open access fashion without additional payment needing to be made.

 

3. Transformative Journals - where a journal commits to incrementally increasing the proportion of open access articles published year on year, with a corresponding decrease in subscription costs. The journal commits to fully 'flipping' to become an open access journal once 75% of its content is being published open access. Although Plan S does not require the journal to become fully Open Access by a specific date, Plan S funding for Transformative Journals will cease at the end of 2024. For example: the Elsevier publisher has made a number of their titles Transformative Journals.

 

 

UK Research and Innovation (UKRI, formerly Research Councils UK (RCUK))

The UKRI Open Access Policy will become Plan S aligned, the policy will require: 

  • Immediate Open Access for peer-reviewed research articles submitted for publication from 1 April 2022 (includes reviews and conference papers with an ISSN)
  • Open Access within 12 months of publication for monographs, book chapters and edited collections published from 1 January 2024

Until the new policy commences use the current UKRI Open Access Policy.

 

New policy for peer-reviewed research articles

In summary, two routes are permitted:

  • Route 1
    • Publish in an open access journal or publishing platform with immediate Open Access under a Creative Commons Attribution (CC BY) licence (or by exception CC BY-ND).
    • This includes publishing in Open Access only journals (for example as listed in DOAJ) and journals covered by the University's transformative arrangements

 

  • Route 2
    • Publish the research article in a subscription journal and deposit the Author’s Accepted Manuscript (or Version of Record, where permitted) in a compliant institutional or subject repository at the time of final publication. No embargo period is permitted.
    • Note: publishing in a hybrid journal will not be covered by UKRI funds nor by the University's APC Fund (that is, a subscription journal where only some articles are available open access).
    • For articles to be published under Route 2, 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 to any Author Accepted Manuscript version arising
      • Note the use of this statement closely aligns with the Plan S Rights Retention Strategy – read the above important notes on the Strategy before submitting your manuscript to a publisher.

Note:

  • All Stirling research articles should be deposited in STORRE via Worktribe in addition to any other repositories used.
  • Biomedical research articles that acknowledge MRC or BBSRC funding are required to be archived in Europe PubMed Central.
  • UKRI requires in-scope research articles to include a Data Access Statement, even where there are no data associated with the article or the data are inaccessible.
  • See full details of the policy in the UKRI Open Access Policy document.

 

New policy for monographs, book chapters and edited collections

In summary, for in-scope monographs, book chapters and edited collections:

  • The final Version of Record or the Author’s Accepted Manuscript must be free to view and download via an online publication platform, publishers’ website, or institutional or subject repository within a maximum of 12 months of publication.
  • UKRI permits some exemptions, for example, where the work is the outcome of a UKRI Training Grant.
  • The open access version to be published under a Creative Commons licence, preferably Creative Commons Attribution (CC BY) Licence.
  • See full details of the policy in the UKRI Open Access Policy document.

 

Current UKRI Open Access Policy 

From 1 April 2013, any research paper that stems from a project funded by any of the Research Councils must follow the conditions of the Research Councils UK (RCUK) Policy on Open Access.  They have also published updated FAQs (updated April 2018)

The policy applies only to peer-reviewed research articles (including review articles) and conference proceedings that acknowledge funding from the UK’s Research Councils. The policy does not apply to monographs, books, critical editions, volumes and catalogues, or forms of non-peer-reviewed material. However, the Research Councils encourage authors of such material to consider making them open access where possible.

The main points of the policy are as follows:

  • Supports ‘gold’ and ‘green’ routes to open access. Although it does have a preference for gold it states that ‘the ultimate decision on which model to follow remains at the discretion of the researcher and their institution’.
  • From 1 April 2013 funds for open access publishing in respect of peer-reviewed research papers cannot be included within RCUK grant applications but block grant funds will be provided to support open access publishing through a block grant. This does not affect grants already awarded. Any funds specified for APCs within already awarded grants should be used before using block grant funding. It remains permissible for grant proposals to request costs associated with the production of other types of outputs such as monographs, books, critical editions, volumes and catalogues.
  • Papers must include details of the funding that supported the research and, if applicable, a statement on how the underlying research materials – such as data, samples or models – can be accessed.
  • To be compliant with the RCUK policy a compliant journal must be used. To be compliant, journals must either:
  • Provide, via its own website, immediate and unrestricted access to the final published version of the paper using the Creative Commons Attribution (CC BY) licence. This route may involve the payment of an article processing charge (APC) to the publisher. This is the gold route.

Or

  • Allow the deposit of the final accepted manuscript (this is the final version of the article that has been accepted for publication and has been through a peer-review process) in any repository, without restriction on non-commercial re-use and within a defined period. (CC-BY licence is preferred but a CC-BY-NC licence, or equivalent is acceptable. A CC-BY-NC-ND licence is not compliant). No APC will be payable to the publisher. This is the green route.

Embargo periods

  • If the green route is followed, on-line publication must be allowed within 6 months or 12 months in the case of papers funded by the Arts and Humanities Research Council (AHRC) and the Economic and Social Research Council (ESRC) during the five year transition period to Open Access.
  • However, there are exceptions to this rule: if the journal allows for publication via the gold route but funding for APCs is unavailable during the transition period a longer embargo period of 12 months is allowable, or 24 months for papers funded AHRC and ESRC. Despite this allowance, it is RCUK’s preference for the author to seek an alternative (cheaper) gold route or a journal with a shorter embargo period.
  • Research papers in biomedicine should be published with an embargo of no longer than six months, as has been the Medical Research Council’s mandated policy since 2006.  

A decision tree regarding embargo periods is detailed in Section 3.6 of 'RCUK Policy on Open Access and Supporting Guidance'.

The embargo periods of various journals can be easily checked using SHERPA Romeo

 Repositories

  • Generally, Research Councils require deposits of a paper in a repository of the author’s choice. Any specific requirements are detailed in the terms and conditions of the grant. It is University policy that all publications should be deposited in STORRE in addition to any other repositories used.
  • The MRC requires that papers must be deposited in Europe PMC

 

Wellcome Trust

  • Wellcome's Open Access Policy applies to original, peer-reviewed research articles arising from work funded, or partly funded, by Wellcome
  • Applies to articles submitted for publication from 1 January 2021
  • The policy is in line with the key principles of Plan S
  • Research articles must be: 
    • Published under a Creative Commons attribution licence (CC BY), unless Wellcome agreed an exception, to allow publication under a CC BY-ND licence
    • Made freely available through PubMed Central (PMC) and Europe PMC by the official final publication date

All grantholders will:

  • Automatically grant a CC BY public copyright licence to all their future funded Author Accepted Manuscripts
  • So authors must include the following statement in all submissions of original research to peer-reviewed journals:

This research was funded in whole, or in part, by the Wellcome Trust [Grant number xxxxx]. 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.

  • This statement should be included in the funding acknowledgement section of the manuscript and any cover letter that accompanies the submission

 

There are three compliant routes for publication:

1. Route 1: Publish in a fully Open Access journal or platform that takes responsibility for making the Version of Record for the article freely available from Europe PMC at the time of publication, under a CC BY licence

 

2. Route 2: Publish in a subscription journal and take responsibility for making the Author Accepted Manuscript (AAM) freely available from Europe PMC at the time of publication

  • This route relies on the Rights Retention Strategy that aims to enable deposit of your Author Accepted Manuscript (AAM) in Europe PMC where the AAM can be made immediately publicly available with zero embargo. However, before you submit your manuscript for publication see the important notes above on use of the Rights Retention Statement.
  • Wellcome advise that when you select a journal you should check the terms of the publishing contract to make sure that it doesn't affect your ability to comply with their policy. You should not sign a publishing contract that:
  1. applies an embargo period to the self-archiving of the AAM post publication, and
  2. does not allow the AAM to be made freely available under a CC BY licence.

 

3. Route 3: Publish in a subscription journal through a transformative arrangement that is available to you via your organisation

  • The University Library has joined a number of transformative arrangements to support this route – see our page “Publisher memberships and transformative arrangements” at http://stir.ac.uk/4fx
  • Under this route, the publisher takes responsibility for making the Version of Record for the articles freely available in Europe PMC at the time of publication, under a CC BY licence.

Wellcome’s preference is for the Version of Record to be made Open Access so their preferred routes are routes 1 or 3. However, Wellcome have also said that the preference for the Version of Record is not unconditional and at any price.  So if the APC price levied via Route 3 seems to be neither fair or reasonable, authors can instead use the Rights Retention Strategy (Route 2) to meet their open access requirements.

A Journal Checker Tool is available so you can check which routes you can use for your preferred journals – see: https://journalcheckertool.org/

 

Further Wellcome requirements include:

  • Data Statements:
    • Articles must include a statement explaining how other researchers can access any data, original software or materials underpinning the research - see: Wellcome's Data Guidelines
  • Preprints:
    • Where there is a significant public health benefit to preprints being shared widely and rapidly, such as a disease outbreak, Wellcome require the posting of preprints
  • Monographs and book chapters:
    • All original scholarly monographs and book chapters: 
      • Must be made freely available through NCBI Bookshelf and Europe PMC as soon as possible and no later than within 6 months of the official final publication date - see Depositing your Wellcome-funded research
      • Where a fee has been paid to the publisher to make the work open access, it must be published under a Creative Commons licence (preferably CC BY). 
  • Wellcome-funded organisations must sign or publicly commit to the San Francisco Declaration on Research Assessment (DORA) (Stirling is a DORA signatory)

 

See full details of the Wellcome open access policy

  • Note: researchers  who do not comply with this policy will be subject to appropriate sanctions. These may include Wellcome:
    • not accepting new grant applications
    • suspending funding to organisations in extreme cases

 

Note: to fulfill Stirling's policies you should also deposit your published article or Author Accepted Manuscript in the University’s Repository STORRE where it will be made publicly available with zero embargo.  Deposit via Worktribe: in the University Portal: select ‘Access Worktribe (Research System)’ under ‘I want to’.

 

Chief Scientist's Office (Scottish Government) 

CSO requires that papers published as a result of their funding are:

  • Made publically available within six months of the date of publication (through an open access journal or deposit in a repository such as STORRE)

And

Researchers can apply to CSO for up to £2000 towards the costs of Open Access publishing of a paper arising from a CSO funded research project.

Full details of the CSO policy and how to apply for additional funding are available on the CSO open access webpages

 

National Institute for Health Research (NIHR)/Department of Health and Social Care (DHSC)

Policy for articles submitted before 1 June 2022:

  • NIHR/DHSC (Department of Health and Social Care) open access policy applies to peer-reviewed research articles, including review articles not commissioned by publishers, final reports and executive summaries, supported in whole or in part by NIHR funding.
  • The policy does not apply to editorials, letters, commissioned reviews, scholarly monographs, conference proceedings or book chapters.
  • NIHR-funded researchers must publish their main study findings in a peer-reviewed, fully open access journal under the CC BY licence.
  • All outputs must be made open access in PubMedCentral within six months of the official date of publication.
  • Complying via Green Open Access: With the exception of your main study findings, if you are publishing in a subscription journal, provided that the journal's embargo on Green open access is no longer than 6 months you can comply by uploading your final accepted manuscript to Europe PubMedCentral.
  • Complying via Gold open access: If you are publishing in a subscription journal with a Gold open access option (known as a hybrid journal), or you are publishing in a fully open access journal, you can comply through Gold open access. 
  • NIHR/DHSC expects grantholders to make provision from their funding award to cover the costs of open access publishing in an open access journal. If necessary, researchers may need to contact the awarding NIHR coordinating centre to discuss covering open access costs.

 

Other Funders:

You should always check the requirements of your funder. Other funders who have a policy on open access publishing include:

 

Funder Acknowledgement

All papers should include acknowledgement of the funder name(s) and official award number.  In the format: 

This work was supported by the Medical Research Council [grant number XXX].

A list of standard names for major UK research funders is available on the Research Information Network pages.

Note you must include the official award number.

See also points 7, 8 and 9 in the 'Acknowledgement of Funders Articles' at: https://www.ukri.org/wp-content/uploads/2020/10/RIN-251020-FundersAcknowledgementInScholarlyjournalArticles.pdf

Where research is not funded by any specific project grant, the suggested text is: 'This research received no specific grant from any funding agency in the public, commercial or not-for-profit sectors.'

 

If you have an editorial role and are considering quoting Funding in Edited collections:

  • When quoting funding sources, editors should distinguish between funding that applies to the creation of the collection as a whole, and the funding underpinning each individual article (the latter should be quoted in each article, where relevant). Please do not add a standard acknowledgement to all articles in an edited collection unless it can be evidenced that the funding specifically supported the research in each article
  • If an award underpins an entire edition then acknowledge the award on each article.  

 

Statement on Research Materials/Data

Publications should include a statement on how the underlying materials - such as data, samples or models - can be accessed. It is not necessary that the data be openly accessible if there are compelling reasons against this. For more information, please see our Data Access Statement page.

Publications that acknowledge EPSRC must include a data statement (if relevant).  Failure to comply may result in sanctions.

DataSTORRE is the University’s repository for data – you can deposit data or records about data in DataSTORRE. You will be given a DataSTORRE persistent identifier and citation that can be used in your publications’ data statements.  See more about DataSTORRE.

 

Licences

Before publication publishers usually ask authors to sign and return a licence agreement, sometimes called an author publishing agreement.

When paying an open access fee, authors should normally choose a licence of type 'CC-BY'.  Other licence types such as CC-BY-NC or other extensions are generally unacceptable to funders.

If authors are asked to provide a copyright line for the article the format is:

Copyright symbol, year, author name, standard copyright statement. For example:

© 2019 Initial. Surname. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.

If there is more than one author add et. al. after the surname.

 

Europe PubMed Central

Full-text of articles that acknowledge the following funders must be deposited and made freely available in Europe PubMed Central (PMC) within 6 months of publication*:

  • Bloodwise
  • British Heart Foundation
  • Cancer Research UK
  • Chief Scientist's Office (Scottish Government)
  • Parkinson’s UK
  • Versus Arthritis
  • Wellcome Trust (*no delay permitted: must be deposited immediately upon publication)

Biomedical articles funded by UKRI must also be deposited in Europe PMC within 6 months.  This is typically, but not only, articles funded by The Medical Research Council and sometimes the Biotechnology and Biosciences Research Council. The full list of Europe PMC funders can be found at: https://europepmc.org/Funders/.

Where an open access fee has been paid to the journal you must deposit the final version of the article - often the journal will do this on behalf of the author but you should check this is the case. Where the article is not open access at the journal, the author must self-deposit their final accepted version, that is the Author’s Accepted Manuscript, to Europe PMC within 6 months of final publication.

When you deposit to Europe PMC you should ultimately receive a PMCID for the final referenced article.

Note: the PMCID should not be confused with a PMID which does not necessarily indicate compliance with funder's policies as it is only a metadata reference and the record may not contain the full-text of the article.  The full-text can arrive in PubMed Central later than the metadata if the publisher is depositing (due to embargo or some other publisher delay).  The PMCID indicates that the full-text is available.

It can take a few weeks for text of publications that authors submit via Europe PMC to be processed, approved and pubished on PubMed Central with the PMCID.

 

Further details on how to deposit to Europe PMC: