What is Open Access?

This is access to research work through the internet, unrestricted by payment or subscription.

The principle behind Open Access is that publicly funded research should be freely available to the public. A revised Open Access Policy has been approved by the University Research Committee on 3 December 2014, and forms part of the Research Governance and Policy Handbook.

A short introduction to Open Access:

Open Access 101, from SPARC from Karen Rustad on Vimeo.

There are various modes for delivering Open Access and much debate about what constitutes 'true' Open Access. The immediacy with which published work becomes available is one such debate. The ideal conditions for Open Access are described in the Budapest definition set out by the Open Society Institute in Budapest in 2001. For Budapest Definition, see footnote.

Routes to Open Access

There are two main routes to Open Access (OA) publishing, Green and Gold.

Green OA – Instead of paying a fee to make the published version of an article or work freely available from the publisher's website, a version is submitted to an institutional or subject repository. This can be the preprint (i.e., pre-refereed), post print (post-refereed) or publisher’s version. There may be an initial embargo period enforced by the publisher when the literature is only available via the publisher and upon payment of a fee. Publishers’ embargos can vary in length from 6 to 18 months. Publishers have different policies with regard to Green OA – a listing of current policies is available on the Sherpa / Romeo web site.

Gold OA – when an author’s manuscript is accepted for publication and a payment is made by the author (or the author's institution) to allow the article to be made freely available, irrespective of whether an individual or institution has a subscription to the journal in which the article appears. The payment is known as an APC (Article Processing Charge).The fee amount can vary greatly from publisher to publisher, and even from journal to journal belonging to an individual publisher, but as a rule-of-thumb, the average charge is currently around £2000.

Funding for author payment fees are sometimes met by the funder, equally they may be met from an OA central fund provided by the institution where the research has been carried out.

The University is in receipt of a grant from RCUK to fund the cost of APC's for RCUK funded research.  In addition the LLC has signed up to some of the publisher discount schemes available, namely Sage, Wiley and Social Sciences Directory.  For more information on how to apply look at this table.

Hybrid Journals - Electronic subscription journals are not all exclusively subscription based, there are also hybrid journals which offer an author-pays option to publish individual articles as Open Access.

OA journals - a fully Open Access journal which makes all of its articles freely available, either for a cost (e.g., the Public Library of Science (PLoS), and Biomed Central journals) or for free, examples may be found contained in the listing on the Directory of Open Access Journals web site.

Examples of publishers offering Open Access publishing are:

The advantages are clear in terms of greater access to the work of fellow researchers, in addition OA publishing can result in the more timely availability of research outputs which in turn helps speed research discovery.

There is also a case to be made for an improvement in visibility and therefore citations of researchers work. Studies looking at the effect of OA on citation rates following the deposit of papers in OA journals and repositories generally indicate an increase. One study looking at the effect of OA on legal scholarship revealed an increase rate in citations of 58% compared to scholarship published in subscription journals. In another study looking at science and technology papers nearly 60% of those surveyed showed an increased citation rate over non OA work.

For more information on the effect of OA on citation rates visit the Open Citation Project (OPCIT) website.

Discovery is the University of Dundee's online collection of published research material. Where possible it makes its contents freely available via the internet. In addition it preserves that content and provides it with a persistent identifier.

Discovery is not a subject specific repository in that it does not cover a particular field of research.

There is a directory of Open Access repositories, OpenDOAR which maintains a comprehensive and authoritative list of institutional and subject-based repositories. Both types of repository describe their content using recognised standards to ensure they can be easily harvested for information by both general and specialist engines. This means that researchers do not need to identify a specific repository to find relevant information; harvesters such as OAIster, DRIVER or Google have access to multiple subject-based and institutional repositories, including Discovery.

Other subject-specific repositories that may be of interest are:

  • ArXiv: Cornell University Library: Physics, Mathematics, Computer Science, Quantitative Biology, Quantitative Finance and Statistics
  • CogPrints: Cognitive Sciences ePrint Archive
  • DBLP: University of Trier Computer Science Bibliography
  • RePEc: Research Papers in Economics
  • SSRN: Social Sciences Research Network

Where possible archive your research output in an OA compliant repository such as Discovery, or a funder’s repository. Other researchers will be able to find your work using either specialist or more general search engines.

You can also deposit the descriptive information about your research output, its metadata, with Discovery. Discovery will provide a link to the location where it can be accessed.

Many UK funders now have a mandatory Open Access policy which requires researchers make publications resulting from funded research freely available. This can be achieved by depositing work in an institutional repository, such as Discovery, in a subject specific repository or in an OA journal.

Researchers should be aware of the terms of their funding before submitting their work to a publisher to ensure they are able to fulfil their funder’s requirements with regard to OA.

Our table gives brief details of the policies of a selection of the major research funders including those most commonly used by researchers at the University of Dundee.

For more detailed information visit the Melibea website which provides links to the OA policy documents of 449 funding bodies; also see SHERPA / ROMEO for publisher copyright policies and self archiving information.

SHERPA/FACT

SHERPA/FACT is a tool to help researchers check if the journals in which they wish to publish their papers comply with their funder's requirements for open access to research. It covers all of the RCUK funding councils and the Wellcome Trust.

 

 

Funding organisation includes links to open access policies

Mandated Open Access

Where to archive
In all cases we recommend that you deposit your research output in Discovery

OA fees paid by the funder

License required

 

Arts and Humanities Research Council RCUK

Arts and Humanities Research Council Open Access Policy

 

Yes

Note AHRC does not currently require scholarly monographs that they fund to be made available through Open Access

Discovery

 

 

Yes*

CC-BY if APC paid from RCUK fund

 

Arthritis Research UK

Arthritis Research UK Open Access Policy

  

Yes

Policy does not cover reviews, book chapters, editorials and conference proceedings

Discovery and Europe PubMed Central

Yes

For funding awarded from 1st October 2014  - APC’s will be paid from the COAF block grant**

CC-BY if APC paid from COAF fund

Bill and Melinda Gates Foundation Open Access Policy

Yes

See Gates Foundation FAQs for instructions

Discovery

Yes

Foundation Will Pay Necessary Fees.  The foundation would pay reasonable fees required by a publisher to effect publication on stated terms. 

APCs are paid using the Chronos system

All publications shall be published under the Creative Commons Attribution 4.0 Generic License (CC BY 4.0) or an equivalent license. 

 

Biotechnology and Biological Sciences Research Council RCUK

 BBSRC Open Access Policy

 

Yes

Books, monographs, critical editions and catalogues should be included in indirect costs

 

Discovery and Europe PubMed Central

Yes*

 

CC-BY if APC paid from RCUK fund

Bloodwise

Bloodwise Open Access Policy

 

                                                          Yes

          Discovery and 

Europe PubMed Central

Yes

For funding awarded from 1st October 2014  - APC’s will be paid from the COAF block grant*

CC-BY if APC paid from COAF fund

Breast Cancer Now

Breast Cancer Now Open Access Policy

Yes

Green OA within 12 months of publication

Breast Cancer Now continues to encourage publications in open access journals and open access format and fees can be paid using any underspend on existing grants.

Discovery and Europe PubMed Central

 

 

No longer from COAF fund

 

None stipulated for green OA

 CC-BY if APC paid from grant

 

British Heart Foundation

BHF Open Access Policy

 

Yes

Green acceptable within 6 months of publication

Discovery and Europe PubMed Central

Yes

For funding awarded from 1st October 2014  - APC’s will be paid from the COAF block grant**

 CC-BY if APC paid from COAF fund

 

Cancer Research UK

CRUK Open Access Policy 

 

Yes

Within 6 months of publication

Discovery and Europe PubMed Central

Yes

For funding awarded from 1st October 2014  - APC’s will be paid from the COAF block grant**

 

 CC-BY if APC paid from COAF fund

Chief Scientist Office, Scottish Executive (CSO)

 

CSO Open access policy

CSO Application for Open Access publication costs

 

Yes

Discovery and Europe PubMed Central

Yes

Up to £6000

Application for APC must be made within 18 months of submitting final report

 None stipulated

DEBRA

Terms and conditions DEBRA International research grants

Encourages publication in open access journals

Discovery

 DEBRA will fund actual costs of open-access publication of Results, up to one year after completion of the grant, subject to a maximum of €5000 in total.

 None stipulated

Diabetes UK

Diabetes UK Open Access Policy

Yes

Within 6 months of publication 

The ‘Green’ route to open access incurs no fee to the journal but requires authors to deposit a copy of the full text in an open access repository. 

Discovery

Please note that it is a conditionof Diabetes UK grants that a version of any paper which results from their funding is archived to the Europe PubMed Central repository within six months of publication. 

 From June 2014, [...] grant terms and conditions require researchers to publish articles resulting from Diabetes UK grant funded projects as open access within six months of their first publication.

 None stipulated

Economic and Social Research Council RCUK

ESRC guidance for grant holders with regard to open access

 

Yes

Discovery and  

 Gateway to research and Researchfish

Final Reporting guidance

Yes*

CC-BY if APC paid from RCUK fund

Engineering and Physical Sciences Research Council RCUK

EPSRC Policy on Open Access

RCUK open access policy

 

Yes

Discovery and subject repository

Yes*

CC-BY if APC paid from RCUK fund

EU Funding includes FP7 and ERC

 Working group on Open Access

Guidelines for researchers funded by the ERC

 

Yes

Within 6 months of publication

(12 months for Social Sciences and Humanities)

Discovery

 

Europe PubMed Central

 

ArXiv

Yes (APCs)  incurred  are eligible for reimbursement during the duration of the project

 

Encourages authors to retain their copyright in order that they can retain certain rights for various scholarly purposes including self-archiving

 

Horizon 2020 Open Access Policy

Yes

Green OA acceptable within 6 months of publication for STEM subjects

12 months in the social sciences and humanities

 

Discovery

 

 Yes (APCs)  incurred  are eligible for reimbursement during the duration of the project

 

Encourages authors to retain their copyright and grant adequate licences to publishers

Suggests CC-BY or CC0

 

Medical Research Council RCUK

 

MRC Open Access Policy

 

Yes

Within 6 months of publication

Discovery and Europe PubMed Central required or PubMed Central (PMC) required

Yes*

CC-BY if APC paid from RCUK fund

National Institutes of Health

 

National Institutes of Health Public Access Policy 

NOT-OD-08-033 

 

Yes

 All investigators funded by the NIH submit or have submitted for them to the National Library of Medicine’s PubMed Central an electronic version of their final, peer-reviewed manuscripts upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication

 

Discovery and PubMed Central 

Yes

 

CC-BY not required

Natural Environment Research Council RCUK

 

NERC guidance on Open Access to research outputs

 

 

Yes

This is facilitated by NERC staff

Discovery and NERC Open Research Archive

Yes*

CC-BY if APC paid from RCUK fund

Parkinson's UK

Parkinson's Open Access publishing Information for authors

Yes

Deposit in Europe PMC within 6 months of publication

          Discovery and Europe PubMed Central

 

 

Yes

For funding awarded from 1st October 2015  - APC’s will be paid from the COAF block grant**

    CC-BY if APC paid from COAF fund

Science and Technology Facilities Council

 

STFC grants handbook

 Dissemination of results

Yes

Where conditions permit

Discovery

Yes*

CC-BY if APC paid from RCUK fund

Tenovus

No Policy

Discovery

 

 None stipulated

Wellcome Trust

Wellcome Trust Open Access Policy

Yes

Discovery and Europe PubMed Central required and PubMed Central (PMC) 

Yes

For funding awarded from 1st October 2014  - APC’s will be paid from the COAF block grant**

 CC-BY if APC paid from COAF fund

 

Worldwide Cancer Research Open Access Policy

formally Association for International Cancer Research

 

 Yes

Discovery and Europe PubMed Central

Yes

Publication costs must not be charged to individual grants

The maximum contribution AICR will make towards a single APC is £2000

Do not include APCs on your grant invoices. You can apply for the reimbursement of an APC when your paper is accepted for publication and, if awarded, these costs must be invoiced separately from your grant. 

CC-BY if AICR pays APC 

* The University of Dundee is in receipt of a block grant from Research Councils UK (RCUK) to fund open access publication of research outputs.  Researchers are invited to submit details of suitable research outputs for consideration for funding to provide their articles in an open access form.  This is now a requirement of RCUK funding, follow this link to submit an application for RCUK funding

NB All grants awarded before 1st April 2013 should include anticipated APC charges

** COAF Charity Open Access Fund. The University has a grant from the Charities Open Access Fund (COAF)* to support their Open Access policy.  Send us your manuscript and we’ll let you know if your paper is eligible for these funds. For all enquiries email discovery@dundee.ac.uk

Last updated October 5th 2016

 

 

 

'[The Wellcome Trust] require [s] electronic copies of any research papers that have been accepted for publication in a peer-reviewed journal, and are supported in whole or in part by Wellcome Trust funding, to be made available through PubMed Central (PMC) and Europe PMC as soon as possible and in any event within six months of the journal publisher's official date of final publication (similarly, monographs and book chapters must be made available through PMC Bookshelf and Europe PMC with a maximum embargo of six months)'

The Wellcome Trust imposes sanctions for non-compliance with their OA mandate, these are outlined below.

'Where Wellcome-funded researchers have not complied with our open access policy, three sanctions will apply:

  • Applicants will be required to ensure that Wellcome-funded publications resulting from current or previous grants are compliant before formal notification of any funding renewals or new grants can be issued.
  • Researchers will not be permitted to include any non-compliant Wellcome-funded publications in any application submitted to us. Such publications will be removed from the application and discounted when we consider a researcher's track record.
  • Where non-compliant publications are identified in an end of grant report, the Trust will withhold the final 10 per cent of the 'total transferable funds' budget on the grant until all papers comply. See our 10 per cent retention policy.

These sanctions apply to:

  • all original Wellcome-funded research papers published since 1 October 2009
  • to monographs and book chapters for which a contract was signed after 1 October 2014.'

For details on how to comply with Wellcome's open access policy follow this link.

Note, '[The Wellcome Trust] encourage[s] – and where it pays an open access fee, require[s] – authors and publishers to licence research papers using the Creative Commons Attribution licence (CC-BY) so they may be freely copied and re-used (for example, for text- and data-mining purposes or creating a translation), provided that such uses are fully attributed (CC-BY is also the preferred licence for monographs and book chapters)

More information can be found by reading the Wellcome Trust Authors' FAQs.

 

See the Wellcome Trust Open Access guidance for more information and links.

'The new policy, which will apply to all qualifying publications being submitted for publication from 1 April 2013, states that peer reviewed research papers which result from research that is wholly or partially funded by the Research Councils: 

  • must be published in journals which are compliant with Research Council policy on Open Access, and;
  • must include details of the funding that supported the research, and a statement on how the underlying research materials such as data, samples or models can be accessed.

The research councils define Open Access to mean unrestricted, on-line access to peer reviewed and published scholarly research papers. Specifically a user must be able to do the following free of any publisher-imposed access charge:

  1. Read published papers in an electronic format
  2. Search for and re-use (including download) the content of published research papers both manually and using automated tools (such as those for text and data mining) provided that any such re-use is subject to proper attribution'

RCUK currently support a mixed approach to Open Access which includes both green and gold routes for delivering access. For more detail on their policy visit the RCUK website.  It should be noted that this policy was revised on 8th April 2013.  RCUK have provided a set of FAQ's designed to provide guidance on the implementation of the policy.  These too can be accessed from the link above.

SHERPA/FACT

A new tool is under development by the University of Nottingham which helps researchers and librarians find clear and up to date information on issues surrounding compliance with both RCUK and Welcome Trust policies with regard to publishing Open Access and use of Creative Commons licenses.  The tool is straightforward to use and saves considerable time searching publisher's websites for their policies.

This can be accessed at www.sherpa.ac.uk/fact/

Since the start of the academic session of 2009, PhD and Research Masters students at the University of Dundee have been required to submit one digital copy of their thesis to Discovery.

Generally the benefits of institutional repositories are global. Access to research worldwide is enabled regardless of the economic status of a country. This in turn will increase the potential for international collaboration between Dundee and other organisations.

In cases where it is necessary to restrict access to the full text of a thesis, an embargo which can vary its duration, can be applied following consultation with your PhD supervisor.

In the case of Ph.D. theses funded by Research Councils [UK], metadata describing the thesis should be lodged in the institution's repository as soon as possible after award and a full text version should be available within a maximum of 12 months following award. It is expected that metadata in institutional repositories will be compatible with the metadata core set recommended by the ETHOS e-thesis online service.

Link to terms and conditions of training grants 

Open Access publishing is not solely concerned with journal articles. The University repository, Discovery, has the capacity to hold information from books and book chapters.

The Open Access Publishing in European Networks project (OAPEN) which will run until 2015 'aims to develop and implement a long term European approach to realising the supply, visibility and usability of high quality OA monographs in the humanities and social sciences.'

With the widespread adoption of Open Access publishing and Author Pays models unscrupulous counterfeit publishers, set up with the sole purpose of cashing in on author payment charges, have emerged globally. These so-called 'publishers' create websites that have the same look and feel as legitimate publishers' sites but produce journals of questionable quality. Most claim to be based in the USA, UK, Canada or Australia but are often based elsewhere. They target researchers via email and usually request that authors sign over their copyright as part of a publishing contract.

Jeffrey Beall, Scholarly Initiatives Librarian at the University of Colorado, Denver, has been researching this problem and has created a website where he lists 'dubious Open Access publishers'. Before selecting an Open Access journal to submit to it is worth checking a publisher that is new to you against Beall's list.

Be aware it is possible that some counterfeit publishers may be listed within the Directory of Open Access Journals. It is also possible that a researcher's work could be plagiarised within a counterfeit journal or that their name could appear on an editorial board without their knowledge. For more information see Beall's article 'Predatory publishers corrupting Open Access'.

In 2011 the government commissioned Dame Janet Finch CBE and former vice-chancellor of Keele University, to head a team including academics, librarians, funders and publishers to report on delivering Open Access in the UK. The report looked at how the UK could make its funded research available free of charge while still observing current peer review procedures. Its remit was to recommend 'how to develop a model, which would be both effective and sustainable over time, for expanding access to the published findings of research.' Finch Report Executive Summary.

The report was published in June 2012 and endorsed the 'gold' Open Access model – under which authors pay article processing fees.

On July 16th 2012 the Times Higher Education reported that 'The Department for Business, Innovation and Skills has accepted all the recommendations of the Working Group on Expanding Access to Published Research Findings...'

The Finch report has been generally accepted by bodies such as Research Councils UK - RCUK, Joint Information Services Committee - JISC, British Pharmacological Society - BPS and the Scholarly Publishing and Academic Resources Coalition - SPARC (Europe).

During Open Access Week, 22 - 28 October 2012, the LLC hosted five lunchtime events to help promote awareness of the issues surrounding OA. The guest speakers have kindly allowed us to reproduce their presentations here.

If you have any queries regarding the content of these presentations, or suggestions for future Open Access Week events, please contact the Discovery support team.

During Open Access Week, 21 - 27 October 2013, the LLC hosted five lunchtime events to help promote awareness of the issues surrounding OA.  The guest speakers have kindly allowed us to reproduce their presentations here.

Open Access (OA) Monographs Why, How and What Next?
Caren Milloy, JISC Collections

Open Access - Everything you wanted to know but were afraid to ask
John McCaffrey, Library & Learning Centre

Thinking beyond the 'traditional' academic journal Case study: Journal of Terrorism Research
Gillian Duncan, Editor of Journal of Terrorism Research

If you have any queries regarding the content of these presentations, or suggestions for future Open Access Week events, please contact the Discovery support team.

The Budapest Open Access Initiative public statement of principles which resulted from the Open Society Institute Conference on 1-2 December, 2001:
"..By "open access" to literature, we mean its free availability on the public internet, permitting any users to read, download, copy, distribute, print, search, or link to the full texts of these articles, crawl them for indexing, pass them as data to software, or use them for any other lawful purpose, without financial, legal, or technical barriers other than those inseparable from gaining access to the internet itself. The only constraint on reproduction and distribution, and the only role for copyright in this domain, should be to give authors control over the integrity of their work and the right to be properly acknowledged and cited."