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Open Access policies and payment: Frequently Asked Questions

HELP & SUPPORT

Publication Funds

1. What funds are available at UCL to cover article processing (Open Access) charges?

UCL’s Publication Fund covers research articles and proceedings papers arising from research funded in whole or in part by RCUK. More information about the RCUK Open Access policy.

UCL’s Wellcome Trust Open Access grant covers research articles arising from research funded in whole or in part by the Wellcome Trust. More information about the Wellcome Trust Open Access policy.

If an author is not funded by an external funder, and wants to publish their research output as a Gold OA output, UCL will cover reasonable APC payments costs. Please contact the UCL Open Access Team for more details.

2. I am not funded by RCUK or the Wellcome Trust. Does my funder have an Open Access policy?

The policies of a number of key UCL research funders are summarised here. The SHERPA-JULIET database summarises the policies of funders worldwide.

3. How can I comply with my funder’s Open Access policy if I am not funded by RCUK or the Wellcome Trust?

If your funder mandates Open Access, it may be possible to comply by depositing in UCL Discovery. In some cases, though, your funder’s requirements may necessitate payment of article processing (Open Access) charges. UCL will meet all reasonable APC payment costs. Please contact the UCL Open Access Team for more details.

4. How do I meet article processing charges if my research is neither RCUK- nor Wellcome-funded?

Article processing charges for papers outside the scope of the RCUK and Wellcome policies can be met by UCL direct. It is advisable to check your funder’s policy at the outset. Please contact the UCL Open Access Team for more details.

RCUK and Wellcome Trust requirements

5. Which types of paper are covered by the RCUK and Wellcome Open Access requirements?

The RCUK policy applies to peer-reviewed research articles (including review articles not commissioned by publishers) and proceedings papers. The Wellcome policy applies only to peer-reviewed research articles, not review articles or proceedings papers. Neither policy covers editorials, non-peer-reviewed articles, books, chapters, monographs, digital outputs or any other type of publication.

6. The RCUK requires authors to include in their paper a statement on how the underlying research materials – such as data, samples or models – can be accessed. Am I obliged to release all such materials, even if they involve intellectual property rights or valuable physical items?

See section 3.3(ii) of the RCUK guidelines, which state: "The RCUK policy does not require that the data must be made open. If there are considered to be good or compelling reasons to protect access to the data, for example commercial confidentiality or legitimate sensitivities around data derived from potentially identifiable human participants, these should be included in the statement." UCL has a Research Data Policy which advises researchers how UCL Research Data Services and UCL Library Services can facilitate the management of research datasets by researchers.

RCUK payments: pre-existing grants and papers

7. The RCUK policy started on 1 April 2013. Will UCL pay APCs for (a) articles published, accepted and/or submitted before 1 April 2013 and/or (b) papers whose grants began before 1 April 2013?

Yes, in all cases. From 1 April 2013 UCL’s Publication Fund will pay APCs and other publication charges provided the eligibility criteria are met. This applies regardless of the start date of the grant and the dates of the paper’s submission and acceptance.

8. My RCUK grant contains provision for Open Access charges. Should I pay from the grant or claim from UCL’s Publication Fund?

You should pay from your grant, and report your compliance using the RCUK > Green option in UCL's Open Access submission procedure.

Requesting the Gold (paid) Open Access option (RCUK and Wellcome papers)

9. What billing details should I give to the publisher?

Give your own contact details. When you receive the invoice, complete the relevant sections in UCL’s Open Access submission procedure, attaching the invoice using the option provided.

10. Is UCL exempt from VAT on Article Processing Charges?

UCL pays VAT on invoices sent from the UK. Invoices not from the UK should not include VAT. There is usually an option on the publisher’s Open Access form to enter UCL’s VAT number. It is: GB 524 3711 68.

When you send your claim to UCL Library Services, the open access team will check the address on the invoice. If VAT is included on an invoice sent from a non-UK address, the open access team will ask the publisher to send a replacement invoice, excluding VAT.

11. How do I supply a purchase order number?

Some publishers’ forms include a section for a purchase order number. UCL Library Services does not normally issue purchase numbers at this stage in the payment process. Publishers are able to generate invoices without this information, so there is no need to complete that section. If you wish, you can clarify this on the publisher’s form with the wording below, or similar:

UCL Library Services will make payment, and does not normally issue purchase orders for open access charges. Please contact open-access-funding@ucl.ac.uk if you have any queries.

Payment (RCUK and Wellcome papers)

12. Can UCL pay page, colour and other publication charges?

UCL’s Wellcome Trust Open Access funding cannot be used to pay any charges other than for Open Access. Wellcome-funded authors should use their Wellcome grant, or Flexible Funding Allowance, to pay these costs.

Because RCUK-funded authors can no longer pay these charges from their grants, UCL’s Publication Fund can meet these costs, both where they are charged in addition to an APC, and where a researcher opts for Green Open Access, provided that the eligibility criteria are met. If the article is both Wellcome- and RCUK-funded, UCL can pay the publication charges.

13. How do I arrange payment of APCs?

UCL Library Services will pay invoices directly, and handle all payment administration on your behalf.

UCL has special arrangements with certain publishers for administering and paying article processing charges (APCs). These publisher schemes provide discounts on APCs. In most cases, they involve payment from prepaid funds held by the publisher on UCL’s behalf, with no invoicing, making the payment process simpler and quicker. Please check UCL’s Open Access memberships schemes to see whether your publisher is one of those with which UCL has a membership, and follow the appropriate guidelines. In most cases you will not need to complete UCL’s Open Access submission procedure.

If payment is by invoice, once the invoice has been received, the UCL corresponding author or grant holder, or their administrator or PA, should complete the relevant sections in UCL’s Open Access submission procedure, attaching the invoice using the option provided. The submission procedure requires a UCL login. If you are unable to access it, please contact open-access-funding@ucl.ac.uk.

14. How long does it take to make payment?

Once UCL Library Services has received the invoice, it normally takes around a month for payment to be made by UCL Finance. Where payment needs to be made swiftly to avoid publication or Open Access delays, authors can pay on a departmental credit card and request reimbursement from UCL Library Services. See 16, below.

If the Open Access charges are being made from prepaid funds, under a membership scheme that UCL has with the publisher (see above), payment will be applied more quickly, usually within a few days of your requesting the Open Access option.

15. How do I deal with invoice reminders from the publisher?

Forward them to open-access-funding@ucl.ac.uk. The Open Access team will check the status of payment and contact the publisher directly, keeping you informed.

16. Will UCL reimburse me if I have already paid an invoice for APCs?

Unless UCL has an Open Access membership arrangement with the publisher, the simplest payment method is for UCL Library Services to pay the invoice directly.

Where payment needs to be made swiftly to avoid publication or Open Access delays, authors can pay on a departmental credit card and request reimbursement from UCL Library Services. If payment has been made by the department, the author will need to provide

1) a copy of the invoice, 2) proof of payment (a screenshot from FIS or credit card statement)

Reimbursements to departments are usually more straightforward than to individuals. If payment has been made by an individual, though, it is possible to place an iExpenses claim on FIS. Please contact open-access-funding@ucl.ac.uk for more information.

Funders (RCUK and Wellcome papers)

17. Can APCs still be paid if more than one funder contributed to the research?

Yes. For papers partially funded by the Wellcome Trust and an RCUK funder, payment will be split between UCL’s Wellcome Trust Open Access grant and UCL’s Publication Fund, in the relevant proportions.

In cases involving the RCUK and another funder (not the Wellcome Trust), UCL will meet publication charges provided that the eligibility criteria are satisfied.

Where the research was funded by the Wellcome Trust and another funder (not the RCUK), the Wellcome expects the Open Access costs to be split proportionally (see Wellcome Trust authors’ FAQs). Contact open-access-funding@ucl.ac.uk for more information.

18. If there is more than one funder, how is the proportion of the different contributions calculated?

The authors of the paper should make a judgement about the relative contributions from different funders.

19. Which grant reference(s) do I need to supply with my claim, and why?

Please provide the funder’s reference for the grant(s) involved in the paper, not your UCL grant code. For example, Wellcome Trust grant references are normally in this format: WT012345/Z/09/Z. UCL needs this information for its reports to the funding bodies.

20. If my funder requires deposit in specific subject repository, how do I comply?

The Wellcome Trust and the MRC require copies of research papers to which their funding has contributed to be made freely available from PubMed Central and Europe PMC as soon as possible, and in any event within six months of publication. ESRC-funded research papers must be deposited in the ESRC Research Catalogue at the earliest opportunity. The ERC requires articles supported by ERC funding to be made Open Access no later than six months after publication, and strongly encourages deposit in Europe PubMed Central (for Life Sciences) and ArXiv (for Physical Sciences and Engineering.)

Authors should ensure that the journal to which they plan to submit has an Open Access option that is compliant with their funder’s policy. SHERPA/FACT and SHERPA/ROMEO contain information about publishers’compliance with funders’ policies, but it is advisable to check the journal’s webpages, too. Publishers’ policies concerning paid Open Access, licences (including the mandated CC BY licence for Wellcome Trust- and RCUK-funded authors) and self-deposit in Europe PubMed Central can be confusing. Please contact open-access-funding@ucl.ac.uk if you need assistance.

See the UCL Wellcome Trust authors' guide and the UCL RCUK authors’ guide for more information on the process of complying.

If a publisher’s paid Open Access and self-deposit (Green) Open Access options are both compliant with the Wellcome Trust’s policy, the Trust prefers authors to choose the paid Open Access option, and will fund the Open Access charges via UCL’s Wellcome Trust Open Access grant. A publisher’s paid Open Access option is only compliant with the Wellcome Trust’s policy if the publisher undertakes to deposit the article in Europe PubMed Central on behalf of the author. See the Wellcome Open Access flowchart for information on how to comply.

If UCL pays the Article Processing Charges for an MRC- or ESRC-funded article, the publisher will usually deposit the article in Europe PMC or the ESRC Research Catalogue automatically. Otherwise, the author will need to deposit the article. See the RCUK Open Access flowchart and MRC Open Access flowchart for information on how to comply.

Checking Open Access status (RCUK and Wellcome papers)

21. How do I make sure that the publisher makes the article Open Access?

If you are complying using a Gold (paid) open access option, the publisher should make the article Open Access on its site very soon after payment is received. If this has not happened eight weeks after you sent the invoice to the Open Access team, contact open-access-funding@ucl.ac.uk, who will check the payment details and contact the publisher.

Deposit in UCL Discovery

22. I am an RCUK-funded author choosing the Green Open Access route. What will happen when I submit my final manuscript using UCL’s Open Access submission procedure?

UCL Discovery staff will check the relevant copyright permissions and, if those permissions allow, will make the article openly available via UCL Discovery, subject to any embargo period stipulated by the publisher. If necessary, UCL Discovery staff will seek clarification of the rights and permissions associated with the article from you and/or from the publisher.

23. I am an RCUK-funded author, and am complying with my funder’s Open Access mandate via the Gold (paid) Open Access route. Do I still need to deposit my final manuscript in UCL Discovery, in compliance with UCL’s Publications Policy?

In most cases, the Open Access Team will arrange for the publisher PDF to be deposited in UCL Discovery. If this is not possible under the terms of the publisher licence, you will need to deposit your final manuscript in order to comply with UCL’s Publications Policy.

24. I am a Wellcome-funded author. Do I also need to submit my final manuscript to UCL Discovery?

In most cases, the Open Access Team will arrange for the publisher PDF to be deposited in UCL Discovery. If this is not possible under the terms of the publisher licence, you will need to deposit your final manuscript in order to comply with UCL’s Publications Policy.

25. My article is not covered by the Wellcome/RCUK Open Access policy. Should I still submit it to UCL Discovery?

UCL’s Publications Policy stipulates that, copyright permissions allowing, a copy of all research outputs should be deposited in the UCL repository (UCL Discovery) in Open Access.

If you have chosen the Gold open access route, and UCL Library Services is paying open access charges for your article, in most cases the Open Access Team will arrange for the publisher PDF to be deposited in UCL Discovery. If this is not possible under the terms of the publisher licence, you will need to deposit your final manuscript in order to comply with UCL’s Publications Policy.

If you have not chosen Gold open access, you will need to comply with UCL’s Publications Policy by depositing your final manuscript in UCL Discovery. How to deposit.


Last modified 12 August 2013

 

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