Funders and open access

Many funders require funded published outputs to be made open access. 

Find more information about individual funder requirements below. Always check the terms and conditions of your own grant to ensure compliance.

  • If your funder is not listed, check Sherpa JULIET for guidance.

In addition, HEFCE now requires all published articles and proceedings submitted to the post-2014 REF to be made open access.

Funder open access policies

Charity Open Access Fund (COAF)

The Charity Open Access Fund (COAF) is a partnership between seven medical funders to enable free and unrestricted access to the published outputs of funded research.

COAF provides a single combined block grant to the University to meet open access article processing charges for peer-reviewed research publications resulting from research funded by one or more of the six partner charities.

COAF has been established for an initial pilot phase of two years, beginning 1st October 2014. The Wellcome Trust is administering the Fund on behalf of the partners for this pilot phase.

COAF open access policy

The policy applies to:

  • Any published peer-reviewed research publications submitted for publication after 1st October 2014.
  • Peer-reviewed publications fully or partially funded by COAF.

How do I comply?

You must make your work open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

  • You are required to include funding information within the acknowledgement section of the paper. Guidance on how to acknowledge funding information is provided by the Research Information Network.
  • If applicable, you are required to include a statement on how underlying research materials, such as data, samples or models, can be accessed.

'Green' open access

COAF permits 'green' OA with a 6 month embargo for STEM subjects, and 12 months for SSH.

  1. Check your publishers’ policy regarding 'green' open access self-archiving, by checking Sherpa Romeo.
    • You can also check if the publisher's self-archiving policy is compatible is compatible with COAF using Sherpa FACT.
  2. If you are able to go 'green' OA, deposit the accepted version of your publication (PDF format), into UBIRA using Pure immediately on acceptance.
    • The accepted version is also known as the authors final manuscript, or post print.
    • It is the version after peer review and before final publisher formatting or copy-editing.
    • Add an embargo to the document, if required by the publisher. 
  3. Ensure your publication is linked to the grant using the ‘Projects’ link in Pure.
  • If your publisher is uncompliant with 'green' OA, you will need to choose the 'gold' OA route.

'Gold' open access

  1. If choosing 'gold' OA, the Article Processing Charge (APC) to the publisher is paid by the University through the COAF block grant.
    • The block grant is only available to cover APCs, any additional costs (page, colour charges) must be paid by the department. For more information about this please contact the team.
    • You are not permitted to pay for an APC through your COAF grant.
  2. If choosing 'gold' open access, the output should be published with a Creative Commons Attribution Licence (CC-BY).
  3. Your chosen publisher may have a membership scheme with the University to reduce the work flow for 'gold' OA submission.
  4. On publication, you are also encouraged by the University to deposit a copy of the final PDF of your 'gold' OA publication into University of Birmingham Research Archive (UBIRA), using PURE.

For more information

 

COAF includes:

  • Arthritis Research UK 
  • Bloodwise
  • Breast Cancer Now
  • British Heart Foundation
  • Cancer Research UK
  • Parkinson's UK
  • Wellcome Trust

Chief Scientist Office (CSO)

CSO open acess policy 

Since 2006 CSO Standard Conditions of Grant (for project and all personal awards) has required researchers to make the papers published as a result of CSO funded research publicly available within 6 months of the date of publication (clause 13.7). 

Any CSO funded research funded research must also be made freely accessible via PMC and Europe PMC.

How do I comply ?

You must make your work open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

'Green' open access

CSO permits 'green' OA with a 6 month embargo.

  1. Check your publishers’ policy regarding 'green' open access self-archiving, by checking Sherpa Romeo.
  2. If you are able to go 'green' OA, deposit the accepted version of your publication (PDF format), into UBIRA using Pure immediately on acceptance.
    • The accepted version is also known as the authors final manuscript, or post print.
    • It is the version after peer review and before final publisher formatting or copy-editing.
    • Add an embargo to the document, if required by the publisher. 
  3. Ensure your publication is linked to the grant using the ‘Projects’ link in PURE.
    • If your publisher is uncompliant with 'green' OA, you will need to choose the 'gold' OA route.

'Gold' open access

You can apply to CSO for up to £2000 towards the costs of 'gold' open access publishing of a paper arising from CSO funded research project.

    • Such applications are only valid up to 12 months after acceptance of the final report and should be made after the paper has been accepted for publication.
  1. You should apply to CSO using Form 6a.
  2. On publication, you are also encouraged by the University to deposit a copy of the final PDF of your 'gold' OA publication into University of Birmingham Research Archive (UBIRA), using PURE.

For more information

 Dept. for International Development

DFID research open and enhanced access policy 

The Department for International Development (DFID) requires researchers to make peer reviewed journal articles open access.

If data enters the public domain ahead of publication, (e.g. as a conference or working paper), it is to be made available for DFID use. This is to counter the time lag between initial paper submission and final publication.

The policy also covers: reports and other written materials; books and book chapters; datasets; video, audio and images; websites; and computer software. For more information about compliance please check the DFID policy.

How do I comply?

You must make your any peer reviewed journal articles open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

  • You must deposit metadata for all research outputs in R4D on publication or before, and include a link to an online digital version of the output or to a site from where a digital or hard copy version may be obtained.
  • You are required to use the following acknowledgement with all written outputs and associated metadata: ‘This work was supported by the UK Department for International Development [insert project title and Aries number]’. A statement on how to access original datasets must also be added.

'Green' open access

DFID permits 'green' OA with a 6 month embargo.

  1. If your chosen publisher or journal does not offer a ‘gold’ OA option, you are required to make available in R4D the accepted version (after peer-review, before final formatting) of the research paper within six months of first publication.
    • If your chosen publisher has an embargo longer than six months, it will have to be agreed by DFID as an exemption.
  2. If you are able to go 'green' OA, deposit the accepted version of your publication (PDF format), into UBIRA using Pure immediately on acceptance.
    • The accepted version is also known as the authors final manuscript, or post print.
    • It is the version after peer review and before final publisher formatting or copy-editing.
    • Add an embargo to the document, if required by the publisher.
  3. Ensure your publication is linked to the grant using the ‘Projects’ link in PURE.
  • If your publisher is uncompliant with 'green' OA, you will need to choose the 'gold' OA route.

'Gold' open access

DFID will include the cost of APCs in the overall project budget, and expect authors to follow the ‘gold’ route whenever it is available.

  1. If choosing 'gold' open access, you are encouraged to publish with a Creative Commons Attribution Licence (CC-BY).
  2. On publication, you are encouraged by the University to deposit a copy of the final PDF of your 'gold' OA publication into University of Birmingham Research Archive (UBIRA), using PURE.

For more information

 European Commission FP7

The Commission strategy is to develop and implement open access to research results from projects funded by the EU Research Framework Programmes, including FP7.

Open access requirements are based on a balanced support to both 'green' open access (immediate or delayed open access that is provided through self-archiving) and 'gold' open access (immediate open access that is provided by a publisher).

How do I comply?

FP7 grant recipients in seven areas (energy, environment, health, information and communication technologies [only cognitive systems, interaction, and robotics], research infrastructures [only e-infrastructures], science in society, and socioeconomic sciences and humanities) are expected to:

  • Make your work open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

'Green' open access

EC FP7 permits 'green' OA with a 6 month embargo for STEM subjects (health, energy, environment, information and communication technologies, research infrastructures), and 12 months for SSH (science in society, socioeconomic sciences and humanities) after publication.

  1. If you are able to go 'green' OA, deposit the accepted version of your publication (PDF format), into UBIRA using Pure immediately on acceptance.
    • The accepted version is also known as the authors final manuscript, or post print.
    • It is the version after peer review and before final publisher formatting or copy-editing.
    • Add an embargo to the document, if required by the publisher.
  2. Ensure your publication is linked to the grant using the ‘Projects’ link in PURE.
  • If your publisher is uncompliant with 'green' OA, you will need to choose the 'gold' OA route.

'Gold' open access

In the Seventh Framework Programme (FP7), 'gold' open access fees (i.e. 'open access publishing' and 'author pays' fees) are eligible for reimbursement.

  1. Details can be found in the FP7 model Grant Agreement, article II.16.4 'other activities'.
  2. On publication, you are encouraged by the University to deposit a copy of the final PDF of your 'gold' OA publication into University of Birmingham Research Archive (UBIRA), using PURE

Post-grant publications

The EC has launched a Pilot to fund OA publications for finalized FP7 projects through the OpenAIRE project.

 

  1. To apply for this fund, authors should complete a University APC request form on acceptance to the chosen journal.
  2. If eligible, the University will apply on your behalf to the fund to cover the article processing charge.
  3. This fund is applicable for post-EUFP7 publications published in fully open access journals only.
  4. Only up to 3 publications per project will be funded.

For more information

European Commission Horizon 2020

The Commission strategy is to develop and implement open access to research results from projects funded by the EU Research Framework Programmes, including Horizon 2020.

Open access to scientific publications and research data in Horizon 2020

Open access requirements are based on a balanced support to both 'green' open access (immediate or delayed open access that is provided through self-archiving) and 'gold' open access (immediate open access that is provided by a publisher).

How do I comply?

Under Horizon 2020, you must ensure open access to all peer-reviewed scientific publications relating to its results. The detailed legal requirements on open access to publications are contained in article 29.2 of the Model Grant Agreement

You must make your work open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

You must make the bibliographic metadata immediately available as open access in the University of Birmingham Research Archive (UBIRA) using PURE, including:

  • the terms ["European Union (EU)" and "Horizon 2020"]["Euratom" and Euratom research and training programme 2014-2018"]
  • the name of the action, acronym and grant number
  • the publication date
  • length of embargo period if applicable
  • a persistent identifier

'Green' open access

EC Horizon 2020 permits 'green' OA with a 6 month embargo for STEM subjects and 12 months for SSH after publication.

  1. If you are able to go 'green' OA, deposit the accepted version of your publication (PDF format), into UBIRA using Pure immediately on acceptance.
    • The accepted version is also known as the authors final manuscript, or post print.
    • It is the version after peer review and before final publisher formatting or copy-editing.
    • Add an embargo to the document, if required by the publisher.
  2. Ensure your publication is linked to the grant using the ‘Projects’ link in PURE.
  • If your publisher is uncompliant with 'green' OA, you will need to choose the 'gold' OA route.

'Gold' open access

The Article Processing Charges (APCs) for 'gold' open access incurred by beneficiaries are eligible for reimbursement during the duration of the project.

  1. Details can be found in the Model Grant Agreement (see article 6.2.D.3). 
  2. On publication, you are encouraged by the University to deposit a copy of the final PDF of your 'gold' OA publication into University of Birmingham Research Archive (UBIRA), using PURE.

The costs of 'gold' open access publications incurred after the end of projects are not eligible for reimbursement via the budget of the specific action.

However, at the beginning of Horizon 2020, a mechanism will be piloted for also dealing with open access publication charges incurred after the end of grant agreements with the Commission. This pilot is supported via 2014-15 European Research Infrastructures Work Programme (e-Infrastructures part, topic EINFRA-2-2014 – e-Infrastructure for Open Access).

Details of this pilot will become available in 2014-15.

Open research data

Horizon 2020 has introduced an open research data pilot, which aims to improve and maximise access to and re-use of research data generated by projects.

  • The legal requirements for projects participating in this pilot are contained in the optional article 29.3 of the Model Grant Agreement.
  • Other relevant information, such as the scope of the pilot, is provided in the introduction to the Horizon 2020 Work Programme.
  • The pilot will be monitored throughout Horizon 2020 with a view to further developing EC policy on open research.

For more information

 Leverhulme Trust

Leverhulme Trust open access policy 

The Leverhulme Trust does not require either mandatory archiving, or open access publication for research outputs. However you are permitted to include open access charges as an expense.

  • OA charges should be included either within the 25% associated costs allowable on Research Project Grants and Research Programme Grants or within the research expenses category for Fellowships.
  • OA charges should only be incurred during the period of a Leverhulme award, rather than being built into a budget but with anticipated expenditure after the research and award has concluded.
  • If OA costs are not incurred during the life of the grant, the funds cannot be switched to any other budget heading, and must be returned to the Trust.

You can make your work open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

For more information

 National Institute for Health Research

As a publically funded research body, the National Institute for Health Research (NIHR) requires authors to make outputs from its research publicly available.

NIHR policy on open access

The policy applies to:

  • Any peer-reviewed published journal article or peer-reviewed published conference paper/proceeding submitted for publication after 1st April 2014.
  • Peer-reviewed publications fully or partially funded by NIHR.

The NIHR, in common with the other Research Councils has a preference for the 'gold' approach to open access, recognising that this will be progressive over a period of time. NIHR Programmes will monitor compliance with this policy.

How do I comply?

You must make your work open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

  • You are required to include funding information within the acknowledgement section of the paper. Guidance on how to acknowledge funding information is provided by the Research Information Network.
  • If applicable, you are required to include a statement on how underlying research materials, such as data, samples or models, can be accessed.

'Green' open access

NIHR permits 'green' OA with a 6 month embargo.

  1. Check your publishers’ policy regarding 'green' open access self-archiving, by checking Sherpa Romeo.
  2. If you are able to go 'green' OA, deposit the accepted version of your publication (PDF format), into UBIRA using Pure immediately on acceptance.
    • The accepted version is also known as the authors final manuscript, or post print.
    • It is the version after peer review and before final publisher formatting or copy-editing.
    • Add an embargo to the document, if required by the publisher.
  3. Ensure your publication is linked to the grant using the ‘Projects’ link in PURE.
  • If your publisher is uncompliant with 'green' OA, you will need to choose the 'gold' OA route.

'Gold' open access

From the commencement of this policy (see above) the cost of Article Processing Charges (APCs) and other appropriate publication charges will be supported either through the original NIHR award, or where applicable an NIHR Open Access Fund.

  1. Researchers will need to contact the awarding NIHR Programme Coordinating Centre to review the correct approach.
    • This does not apply to any recipient of NIHR funding prior to 1st April 2014, which remain under the requirements of their original contract.
  2. If you are unable to cover the costs through this route, you may be able to apply for 'gold' OA through the University APC request form.
    • The University open access budget is only available to cover APCs, any additional costs (page, colour charges) must be paid by the department. For more information about this please contact the team.
  3. If choosing 'gold' open access, the output should be published with a Creative Commons Attribution Licence (CC-BY).
  4. Your chosen publisher may have a membership scheme with the University to reduce the work flow for 'gold' OA submission.
  5. On publication, you are encouraged by the University to deposit a copy of the final PDF of your 'gold' OA publication into University of Birmingham Research Archive (UBIRA), using PURE.

For more information

 Research Councils UK (RCUK)

RCUK policy on open access 

The policy applies to:

  • Any peer-reviewed published journal article or peer-reviewed published conference paper/proceeding submitted for publication after 1st April 2013.
  • Peer-reviewed publications fully or partially funded by RCUK.
  • Future, current and ceased RCUK grants.

How do I comply?

You must make your work open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

  • You are required to include funding information within the acknowledgement section of the paper. Guidance on how to acknowledge funding information is provided by the Research Information Network
  • If applicable, you are required to include a statement on how underlying research materials, such as data, samples or models, can be accessed.

'Green' open access

RCUK permits 'green' OA with a 6 month embargo for STEM subjects, and 12 months for SSH.

  1. Check your publishers’ policy regarding 'green' open access self-archiving, by checking Sherpa Romeo.
    • You can also check if the publisher's self-archiving policy is compatible is compatible with RCUK using Sherpa FACT.
  2. If you are able to go 'green' OA, deposit the accepted version of your publication (PDF format), into UBIRA using Pure immediately on acceptance.
    • The accepted version is also known as the authors final manuscript, or post print.
    • It is the version after peer review and before final publisher formatting or copy-editing.
    • Add an embargo to the document, if required by the publisher.
  3. Ensure your publication is linked to the grant using the ‘Projects’ link in PURE.
  • If your publisher is uncompliant with 'green' OA, you will need to choose the 'gold' OA route.

'Gold' open access

You are able to apply for 'gold' OA through the University APC request form.

  1. If choosing 'gold' OA, the article processing charge (APC) to the publisher is paid by the University through the RCUK block grant.
    • The block grant is only available to cover APCs, any additional costs (page, colour charges) must be paid by the department. For more information about this please contact the team.
    • You are not permitted to pay for an APC through your RCUK grant.
  2. If choosing 'gold' open access, the output should be published with a Creative Commons Attribution Licence (CC-BY).
  3. Your chosen publisher may have a membership scheme with the University to reduce the work flow for 'gold' OA submission.
  4. On publication, you are encouraged by the University to deposit a copy of the final PDF of your 'gold' OA publication into University of Birmingham Research Archive (UBIRA), using PURE.

For more information

RCUK includes:

  • Arts and Humanities Research Council (AHRC)
  • Biotechnology and BioSciences Research Council (BBSRC)
  • Economic and Social Science Research Council (ESRC)
  • Engineering and Physical Sciences Research Council (EPSRC)
  • Medical Research Council (MRC)
  • Natural Environment Research Council (NERC)
  • Science and Technology Facilities Council (STFC)

 Wellcome Trust

Wellcome Trust open access policy 

The policy applies to:

  • Any published research outputs submitted for publication after 1st April 2013.
  • Peer-reviewed publications fully or partially funded by Wellcome Trust.

How do I comply?

You must make your work open access via the 'green' route (self-archiving for free) or via the 'gold' route (paid open access).

  • You are required to include funding information within the acknowledgement section of the paper. Guidance on how to acknowledge funding information is provided by the Research Information Network
  • If applicable, you are required to include a statement on how underlying research materials, such as data, samples or models, can be accessed.

'Green' open access

The Wellcome Trust permits 'green' OA with a 6 month embargo for STEM subjects, and 12 months for SSH.

  1. Check your publishers’ policy regarding 'green' open access self-archiving, by checking Sherpa Romeo.
    • You can also check if the publisher's self-archiving policy is compatible is compatible with Wellcome Trust using Sherpa FACT.
  2. If you are able to go 'green' OA, deposit the accepted version of your publication (PDF format), into UBIRA using Pure immediately on acceptance.
    • The accepted version is also known as the authors final manuscript, or post print.
    • It is the version after peer review and before final publisher formatting or copy-editing.
    • Add an embargo to the document, if required by the publisher.
  3. Ensure your publication is linked to the grant using the ‘Projects’ link in PURE.
  • If your publisher is uncompliant with 'green' OA, you will need to choose the 'gold' OA route.

'Gold' open access

You are able to apply for 'gold' OA through the University APC request form.

  1. If choosing 'gold' OA, the Article Processing Charge (APC) to the publisher is paid by the University through the Wellcome Trust block grant.
    • The block grant is only available to cover APCs, any additional costs (page, colour charges) must be paid by the department. For more information about this please contact the team.
    • You are not permitted to pay for an APC through your Wellcome Trust grant.
  2. If choosing 'gold' open access, the output should be published with a Creative Commons Attribution Licence (CC-BY).
  3. Your chosen publisher may have a membership scheme with the University to reduce the work flow for 'gold' OA submission.
  4. On publication, you are also encouraged by the University to deposit a copy of the final PDF of your 'gold' OA publication into University of Birmingham Research Archive (UBIRA), using PURE.

For more information

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