Open Access Policy

1.1. The University is committed to making research outputs openly accessible via its Institutional Repository at the earliest opportunity to maximise the visibility and impact of research, recognising that there will be instances where ethical or contractual restrictions apply. 

1.2. Specifically, the University: 

  1.2.1. engages with a mixture of Open Access models to support a sustainable transition to Open Access publishing which provides authors with the freedom of choice between suitable venues for publication;

  1.2.2. engages with models of Open Access which offer transparent and appropriate pricing where cost is relevant;

  1.2.3. does not endorse paying to publish in Hybrid Journals unless no suitable alternative exists and the costs are fully offset against the University’s subscription;

  1.2.4. endorses innovation in scholarly communication where this leads to effective dissemination and reuse of high-quality research, including information to facilitate the public understanding of research;

  1.2.5. requires that all outputs are made available with an appropriate licence for reuse and that this licence maximises the reuse of the output where it is possible to do so;

  1.2.6. supports interoperability with external systems and commitment to metadata standards to facilitate data exchange, eliminate duplication of effort, and ensure efficient use of resources. 

2.1. This Policy applies to all Researchers, which means any person publishing and/or disseminating research outputs which shall include but not be limited to employees, workers, visiting researchers, postgraduate research students.

2.2. The following research outputs must be deposited and made publicly available in the University's Institutional Repository:

  2.2.1. the bibliographic metadata of all forms of published output, so there is a comprehensive record of research activity;

  2.2.2. the: 

    2.2.2.1. final, refereed, corrected, accepted manuscripts of all peer-reviewed journal articles and peer-reviewed conference articles; and

    2.2.2.2. final manuscripts submitted for publication by a journal or conference proceedings which do not require peer review, at the point of acceptance for publication;

  2.2.3. research work submitted as a thesis for a higher degree as set out in the University's Higher Degree Regulations (see paragraph 11.4 of this Policy) and Code of Practice for Research Degree Candidature and Supervision (see paragraph 11.5 of this Policy);

  2.2.4. research data identified as significant under the University's Research Data Management Policy (see paragraph 11.6), including data underpinning publications, if it is not suitable for an established disciplinary or other external repository;

  2.2.5. other forms of research output not suitable for an established disciplinary or other external repository, where Open Access is specified by a funding body as a condition of award;

  2.2.6. outputs which the University issues with a Persistent Identifier (PID), such as an ISSN, ISBN or DOI (see paragraph 11.7 of this Policy); and

  2.2.7. all In-scope Works, which shall (irrespective of whether or not they also fall under the types of work described in paragraphs 2.2.1 to 2.2.6 of this Policy), be deposited into the Institutional Repository at the Date of Acceptance.

2.3. Deposit of other forms of research outputs in the Institutional Repository are encouraged, subject to publishers' restrictions, which include: 

  2.3.1. Preprints;

  2.3.2. post publication updates and corrections; 

  2.3.3. research data where there is a requirement to monitor access or have specific storage requirements met by our Institutional Repository; 

  2.3.4. conference and workshop papers;

  2.3.5. software papers;

  2.3.6. books, book chapters, monographs, reports and working papers; 

  2.3.7. grey literature e.g. government documents;

  2.3.8. image, video and audio representations of creative works. 

4.1. Each Researcher shall: 

  4.1.1. follow the principles of this Policy in order to maximise the accuracy, timeliness and quality of data collected and recorded, analysed and reported;

  4.1.2. co-operate with and provide all information requested of them to the University and/or the Library (including but not limited to (if known) the proposed Date of Acceptance and/or Date of Publication, and any information which may affect the University’s ability to make a research output subject to Open Access) in respect of each research output (including but not limited to each In-scope Work) which the Researcher proposes to make subject to Open Access, or to otherwise deposit into the Institutional Repository;

  4.1.3. clear with any relevant third parties (as described in paragraph 5 of this Policy) the use of each research output (including but not limited to each In-scope Work) which the Researcher proposes to make subject to Open Access, or to otherwise deposit into the Institutional Repository, in accordance with this Policy;

  4.1.4. enter into a Deposit Agreement in respect of each research output (including but not limited to each In-scope Work) which the Researcher proposes to otherwise deposit into the Institutional Repository, prior to making such deposit;

  4.1.5. work with their Finance colleagues to ensure that costs for Open Access are factored into funding grants where this is required by the funding body;

  4.1.6. have the funds or an agreement in principle for access to funds ahead of agreeing with a publisher to pay for Open Access publishing. This is usually done at the point of submission to a journal, or when making a book agreement.

4.2. Each Researcher further grants to the University the rights described in paragraph 6 of this Policy.

4.3. The Research and Enterprise Executive Group (REEG), oversees this Policy, and monitors compliance with it to ensure the University meets the Open Access requirements of its funding bodies. 
REEG will liaise with the Research and Academic Systems Board and advise the University on the functionality of systems required to support the implementation of this policy and/or mandatory reporting requirements on Open Access, which the University may be required to implement from time to time.

4.4. The Library

The Library will: 

  4.4.1. ensure that all appropriate research outputs, including In-scope Works, are assigned a resource identifier to support long-term access. This includes DOIs as appropriate, for datasets, theses, original publications, working/technical papers and reports;

  4.4.2. provide guidance on appropriate curation, archiving and storage to preserve outputs in the long-term; 

  4.4.3. where applicable, work with Researchers to support them in ensuring they are compliant with this Policy and the principles of Open Access;

  4.4.4. work with Faculties to provide support and training to Researchers and research support staff to ensure awareness of this policy and of the Open Access requirements of its funding bodies.

4.5. Faculties 

  4.5.1. Deans, through their Associate Deans of Research, will monitor their Faculty's compliance with this Policy.

5.1. Researchers shall obtain all consents, approvals, authorisations, permissions or licences from any third parties as may be required in relation to a work (e.g. copyright of co-authors), including any In-scope Works, before depositing that work or allowing another person to deposit that work on their behalf in the Institutional Repository and shall provide copies of the same, and such other information relating to the relevant works, if requested by the University.

6.1. The Researcher grants to the University a non-exclusive, worldwide, royalty free right to use the copyright in their research outputs, including in the Institutional Repository. Nothing in this Policy has any limiting effect on the licence granted by University employees, in respect of their intellectual property rights in such research outputs, to the University through their contract of employment.

6.2. From the moment any Researcher creates an In-scope Work, the relevant Researcher: 

  6.2.1. warrants to the University that: 

    6.2.1.1. they own the copyright in that In-scope Work; and

    6.2.1.2. no licence has been granted or applied in relation to that In-scope Work.

  6.2.2. appoints the University its agent to apply a Creative Commons Attribution Licence (CC BY – Attribution 4.0 International, available at the following URL: https://creativecommons.org/licenses/by/4.0/legalcode.en#s6a), or such other licence as the University may in its discretion determine is appropriate, to that In-scope Work on the Researcher’s behalf;  

  6.2.3. agrees: 

    6.2.3.1. to comply with all obligations in their capacity as the “Licensor” under the licence applied to that In-scope Work in accordance with paragraph 6.2.2; 

    6.2.3.2. not to grant or apply any licence, or allow any licence to be granted or applied, in relation to that In-scope Work which would restrict the University’s ability to apply the licence described at paragraph 6.2.2 of this Policy; and

    6.2.3.3. not to do anything (including by omission), or allow anything to be done (including by omission), which would run counter to or restrict the Institutional Licences;

  6.2.4. acknowledges and agrees that the University may permit third parties to access that In-scope Work, including but not limited to through the Institutional Repository, unless otherwise agreed in writing with the University.

6.3. It is best practice for the Researcher to notify any publisher of the Institutional Licences upon submission of any In-scope Work to them, and the Researcher agrees to promptly provide copies of any such communications with publishers if so requested by the University.

However, the Researcher also authorises the University to contact any publisher on the Researcher’s behalf, to inform that publisher of the existence of the Institutional Licences (or any part thereof) and their application to any outputs relating to In-scope Works submitted to that publisher by the Researcher. 

6.4. The licences and rights granted and applied, warranties given, and appointments made, by the Researcher as described in this Section 6 of this Policy, shall remain in force in respect of the relevant In-scope Works following any end of the Researcher’s affiliation, employment, engagement, or status as a student with the University.

7.1. The deposited records and outputs (including but not limited to In-scope Works) may be used for internal review of research performance, modelling profiles and submitting information for external review e.g. the Research Excellence Framework.

7.2. Any confidential information which relates to deposited outputs (including but not limited to deposited In-scope Works) and/or metadata may be subject to appropriate levels of restricted access.

7.3. Any research assessment done by the University using information available from the Institutional Repository is governed by the University’s Responsible Research Metrics Policy (see paragraph  11.1 of this Policy).

8.1. This Policy will be subject to periodic audit and review by REEG, to provide assurance to Senate that they remain fit for purpose. 

8.2. This Policy will be reviewed at least every five years or as appropriate to respond to changes in relevant legislation or national guidance.

9.1. Researchers will be made aware of procedural document updates as they occur via team briefs, team meetings and notification via the internal University notification systems.

9.2. A current version of this Policy is available to all members of staff and students online in the University Calendar.

10.1. This policy applies irrespective of age, race, colour, religion, disability, nationality, ethnic origin, gender, sexual orientation or marital status, domestic circumstances, social and employment status, HIV status, gender reassignment, political affiliation or trade union membership. In implementing this policy, the University will implement reasonable adjustments where appropriate.

10.2. Authors are encouraged to report any attempt to coerce them into gifting authorship in return for the payment of an APC.

11.1. Responsible Research Metrics Policy

11.2. Authorship, Contribution and Publishing Policy

11.3. Intellectual Property Regulations

11.4. University's Higher Degree Regulations

11.5. Code of Practice for Research Degree Candidature and Supervision

11.6. Research Data Management Policy

11.7. Registration of DOIs via DataCite

11.8. “Berlin Declaration.” Berlin Declaration | Max Planck Open Access, 2003, web.archive.org/web/20151027030958/openaccess.mpg.de/Berlin-Declaration