Open Access: UKRI Longform publications: application forms

***UKRI have Capped Costs***

Maximum funding levels will apply as outlined below.

For monographs and edited collections, authors/organisations may claim up to £2000 from the above limits to clear rights for this part, materials if needed; however, these costs can be part of research grants. 

Two-stage application

Applications to the fund will be via a staged application process where:

• at Stage 1 the research organisation registers the output(s) with UKRI for funding. A publishing contract does not need to be signed for a stage 1 application
• at Stage 2 the research organisation provides final confirmation of publication to allow UKRI to release funds

As UKRI funds institutions, authors and publishers will not usually apply directly to UKRI for this fund, except in some exceptional circumstances, such as when an author is no longer employed by a research organisation.

The process will involve the UKRI-funded author’s research organisation applying directly to UKRI via an online form. The information below will be required for each output funding is being requested for.

At stage 1:

• Name of research organisation
• UKRI funding reference
• Author name(s)
• Title of publication
• Name of publisher
• Estimated cost (if known)
• Statement about relationship of the output to the UKRI funded project or grant, including the authors role in this

At stage 2:

• Date of publication
• Confirmation of open access publication
• Financial information
• Any changes to the information provided at stage 1

We will confirm if a publication is eligible for funding after stage 1. Successful applications will need to demonstrate a substantial link between the publication and UKRI research funding, as well as between the author and UKRI research funding. See UKRI Information page https://www.ukri.org/what-we-do/supporting-healthy-research-and-innovation-culture/open-research/open-access-policies-review/implementing-our-open-access-policy/ 

Exemption application forms

UKRI have stated that authors do not need to seek approval from UKRI to use one of the exemptions, but UKRI need to be notified by the author's institution that an exemption has been applied

Please use the forms below to note the exemption you will be applying to your long-form publication; please use the appropriate form.

UKRI Exemption application: Monograph and edited collections

UKRI Exemption application: Book chapters

Please refer to Annex 3: Guidance for authors on using policy exemptions for long-form monographs, book chapters and edited collections, to note your reason

The library Open Research Team will keep a record and will supply as directed by UKRI.  

UKRI Exemptions

UKRI recognises there may be rare instances where meeting open access requirements for long-form publications may not be possible. Therefore, the following exemptions may apply:

a) If the only appropriate publisher for your work does not provide a compliant open access option. UKRI expects this to be rare, and only after significant consideration of options and liaison with the publisher.

b) If the sole funding acknowledgement is for a UKRI ‘training grant’ (eg PhD stipend).

c) If permissions for third party material cannot be obtained and there is no suitable alternative which enables open access publication.

d) Trade books are exempt from the policy, except in cases where they are the sole output of UKRI funded research. The classification of a book as a ‘trade book’ will be at the discretion of author and publisher.

e) Scholarly editions, exhibition catalogues, scholarly illustrated catalogues, textbooks and all types of fictional work are exempt from the policy.

f) If a contract has been signed between author and publisher before 1 January 2024 which prevents adherence to the policy (however, UKRI strongly encourages authors to think about open access options in advance of the policy start date).