Frequently asked questions
Answers to frequently asked questions about open access (OA) publishing with further details about relevant terminology and available funding.
The topic areas covered are:
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When was open access implemented as a matter of policy?
There are three open access (OA) policies to be considered introduced by: the University of Nottingham, HEFCE and funders (e.g. RCUK/ COAF).
The University of Nottingham, Open Access Policy was revised in January 2014 in line with developments in RCUK, HEFCE and EU requirements. All academic staff are required to make their research outputs open access wherever possible through the University repository.
The RCUK OA policy has been in effect since April 2013, and the HEFCE REF OA policy directly affects journal articles and conference proceedings published after 1 April 2016.
What steps should I take to deposit my article?
You can deposit manually or use the Mediated Deposit Service offered by the library. You can find more information and guides on our Deposit your article page.
Must the final peer-reviewed work be submitted to the repository?
Yes. The author’s final, accepted manuscript should be submitted to Nottingham ePrints. This is referred to as the Author Accepted Manuscript (AAM).
Please note: the accepted manuscript is not the same as the copy-edited, typeset or published paper – these versions are known as ‘proofs’ or ‘versions of record’ and publishers do not normally allow authors to make these open-access.
What is an author accepted manuscript?
The Author Accepted Manuscript (AAM) is the post-peer review accepted version of a manuscript that is accepted by the publisher for publication. This is usually before the publisher has done the final editing and typesetting (http://www.hefce.ac.uk/rsrch/oa/FAQ/#deposit4).
When should I deposit into Nottingham ePrints?
HEFCE's policy says that outputs must be deposited within 3 months of the date of publication. However, from 1 April 2018 the policy will change to mandate that outputs must be deposited within 3 months of the date of acceptance. The University encourages you to adopt deposit-on-acceptance practices now to prepare for the policy shift in April 2018. HEFCE's FAQs cover this in more detail in points 4.1, 4.2, 4.5, 4.6, 4.7.
If you find yourself unable to establish a date of acceptance based on correspondence you have received, please contact your publisher to verify this.
My papers are in an external repository e.g. arXiv, PhilPapers. Do I still need to deposit my paper in Nottingham ePrints?
Yes. The University of Nottingham open access policy states that all papers should be deposited in Nottingham ePrints where allowable by copyright. HEFCE's REF OA policy also strongly encourages this to happen, even after deposit in a subject repository.
My papers are on academia.edu. / Research Gate. Do I need to deposit in Nottingham ePrints?
Yes. Papers should also be deposited in Nottingham ePrints to ensure compliance with HEFCE and University policies.
What subject repositories meet the requirements of the REF policy?
More information is available on the HEFCE FAQs.
HEFCE have confirmed that subject repositories do not need to be REF unit of assessment specific and can be broader e.g. SSRN (Social Sciences Research Network), however, all outputs should be deposited in Nottingham ePrints to ensure compliance with the REF and University policies
How will the University support me if a publisher says I have infringed their copyright using Nottingham ePrints?
The University has an immediate take down policy that comes into effect in the event of a publisher claiming there is a copyright infringement. The library’s deposit review process should ensure no infringements occur.
How can I check the copyright status of my article before I deposit?
You can check your Journal’s open access policy including copyright information using SHERPA/RoMEO.
If your article is already accepted for publication you can also check the copyright transfer agreement (or equivalent) from your publisher.
If your publisher has not provided this information, and the journal does not feature on SHERPA/RoMEO, please contact them and ask for written permission for deposit. You will need to supply this permission at the time of deposit.
Can I deposit unpublished manuscripts into ePrints?
Yes, Nottingham ePrints accepts unpublished manuscripts, including working papers and journal articles prior to publication in a journal (sometimes known as pre-prints). You should check SHERPA/RoMEO to verify whether your publisher's copyright rules permit deposit of these.
If your article has already been accepted by a journal, you can use the mediated deposit service. For other items, please use the self-deposit option. For the item type, select 'article' if you have already submitted the item to a specific journal. If you have not or are not intending to publish the item elsewhere, select 'monograph' and choose the most appropriate sub-category (e.g. technical report, working paper etc.).
Please note that a pre-print version of an article does not meet the criteria for REF eligibility that have been established by HEFCE. The Author's Accepted Manuscript (or, subject to publisher copyright rules, the final version of record) must be deposited in order to secure REF eligibility.
I am already sharing my papers openly on my own website. Does this meet the HEFCE requirement?
No. Papers should also be deposited in Nottingham ePrints to ensure compliance with HEFCE and University policies.
Can I deposit outputs other than journal articles and conference proceedings in Nottingham ePrints?
Yes - in fact HEFCE's OA policy explicitly encourages this. You can deposit a wide of range of outputs in Nottingham ePrints including monographs, book chapters and compositions.
Can I deposit data in Nottingham ePrints?
I would like to make a chapter open access but I am unsure what I am contractually able to do?
Informal sources of information about publisher policies on deposit of book chapters are only now becoming available. For example, the University of Cambridge maintains a list of publishers. You are advised also to check with your publisher for clarification, and if necessary permission.
The journal I have published in is against open access. Is my paper ineligible for the future REF?
The REF OA policy has listed scenarios where there may be exceptions to making your output open access. If the journal you have published in does not allow open access but was the most appropriate venue for your publication then this may give rise to an acceptable exception. However, these exceptions should be rare and should not be used to avoid open access requirements.
Will HEFCE give credit to outputs accepted for publication before 1 April 2016 that are made openly available?
HEFCE may still give credit to institutions for journal articles and conference proceedings that were made open access before 1 April 2014. They "strongly encourage early compliance", but "cannot offer any firm guarantees that it will lead to credit being given in the post-2014 REF".
If the co-authors are based in other UK institutions, can I still deposit in ePrints?
Yes, depositing your article in ePrints does not count as part of the publication process. Also it acts as an additional precaution against missing the deposit deadlines introduced by OA policies. You do not need co-author's permission before depositing into ePrints.
What outputs do I need to make open access?
University of Nottingham Policy states all research papers, including journal articles, conference proceedings and book chapters, must be made open access, where copyright allows, through the University repository. The University supports both the green and gold approach to open access.
HEFCE state that any article or conference proceeding accepted for publication after the 1 April 2016 must be made open access to be eligible for submission to the next REF.
Funder policies vary. SHERPA/JULIET is a database detailing funders' policies on gold and green OA.
Our Policies webpages provide further details about which outputs should be made OA.
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What are the requirements for discovery of my publication?
What is a Creative Commons licence?
Creative Commons are a range of licences designed to help you in sharing your work. They determine how your work can be used by others, whilst still requiring your original work to be credited. The licence by which you publish your work open access is a decision you will need to make, although some funders and journals may mandate a specific licence.
For further information and examples of use please visit Creative Commons.
What is CC-BY?
This licence lets others distribute, remix, tweak, and build upon your work, even commercially, as long as they credit you.
What is CC-BY-NC?
This licence lets others remix, tweak, and build upon your work non-commercially
What is CC-BY-ND?
This licence allows for redistribution, commercial and non-commercial, as long as it is passed along unchanged and in whole, with credit to you.
What is CC-BY-NC-ND?
This licence allows others to download your works and share them with others as long as they credit you, but they can’t change them in any way or use them commercially.
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What is an embargo period?
During an embargo access to the full-text version of the article is only available via subscription to the journal. The bibliographic details of the deposited article are discoverable on Nottingham ePrints.
Can I set an embargo period on Nottingham ePrints?
I don't know the future date of publication by the deadline for deposit (i.e. within three months of acceptance). How do I set the necessary embargo?
If you do not know your publication date, please upload your document to Nottingham ePrints and select it to be visible to ‘Repository Staff Only’.
Once the item has been published, it is vital that you email email@example.com including a link to the published version of your output (and if possible a link to the record of your output in ePrints). This will enable us to add the correct embargo end date.
What happens at the end of an embargo?
The embargo is lifted automatically, releasing the deposited version for public access.
Can my output be closed access on Nottingham ePrints?
Yes. To do this, set your item to be visible to repository staff only when you deposit it in Nottingham ePrints. The full text will not be publicly available but the details of your output will be discoverable.
Why does The University of Nottingham ask for deposition of outputs as PDFs? HEFCE say some variants of PDF are not comprehensible to text mining?
The University requires PDFs to be deposited in Nottingham ePrints in order to facilitate storage, effective curation and long term availability of the item.
Does Nottingham ePrints support text mining?
Yes. Where items are deposited in an appropriate PDF format, their contents can be text-mined.
Can I make my publication gold open access after it has already been published?
Retrospective gold open access is making an article available under open access after publication. Once your manuscript is published, the copyright ownership of the output is signed over to the publisher. Therefore you will need to check with your journal or publisher for their policy.
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Is the date of acceptance a mandatory field in Nottingham ePrints?
Yes, the date of acceptance is required for all publications deposited in Nottingham ePrints.
What is the correct date of publication for a conference proceeding?
The date of publication will be the date that the conference proceeding was published. Prior to this, the date of acceptance is when the proceeding has been peer-reviewed and the author has received confirmation that it will be published.
How many fields do I need to fill in on Nottingham ePrints when I deposit?
You need to fill in all the mandatory fields for your item type in ePrints to make a deposit. If you have the necessary information stored in reference manager software, then Nottingham ePrints will allow you to import this information automatically.
Does Nottingham ePrints provide usage metrics?
Yes, the University is a member of IRUS-UK. Download statistics from March 2015 onwards are available by logging on to the portal at www.irus.mimas.ac.uk with your University login details.
May I import my articles from reference management software (e.g. Endnote, Mendeley, Bibtex) into Nottingham ePrints?
Yes. Nottingham ePrints supports import of bibliographic details directly from specific reference management software. Please select check the drop down menu on ‘Manage deposits’ in ePrints. Please note, import from Mendeley is not yet fully supported.
How do other researchers find my paper in Nottingham ePrints?
Other researchers can find work which you have deposited in Nottingham ePrints via Google; by searching or browsing the Nottingham ePrints interface; or via other services such as BASE, which harvest the data.
We are working to make Nottingham ePrints content accessible via NUSearch, our library catalogue and discovery tool.
How do you replace the final peer reviewed draft with the publisher version of record once you have paid for gold?
Once you have the final version, please send an email to firstname.lastname@example.org with a copy of the PDF and a link to the published version, requesting substitution of the PDF.
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Gold Open Access
What is an Article Processing Charge (APC)?
An Article Processing Charge (APC) is the fee payable to hybrid and pure OA journals to make your article open access.
Will the University pay the publisher fee for gold open access to my article?
The University receives block grants from RCUK and Charity Open Access Fund (COAF) for this purpose.
If your research is funded by RCUK or one of the COAF funders the funding is centrally available for you to publish gold open access.
If you are not eligible for the block grants, you will need to obtain a project code from your School or Research Group.
Can I pay for gold OA through the prepayment schemes the University has with certain publishers?
The University's prepayment accounts are paid for through the block grants from RCUK and Charity Open Access Fund. They offer a discount on APC's, and the rest of the charge will need to be covered by either the block grants or a project code from your school.
Please see above for further information.
Does it matter how I acknowledge funding in my paper?
It is important that you acknowledge your research in exactly the format outlined in the RIN guidance.
In order to be compliant with RCUK and COAF funding policies you must ensure that the acknowledgement format is consistent with that outlined in the RIN guidance. This is in order to support data and text mining to monitor compliance and track RCUK and COAF funded outputs.
See our making your publications count page for further help.
I am an associate staff member. Am I eligible to make use of the block grants and/ or prepayment accounts for my publication?
Eligible staff members will have a valid contract with the University of Nottingham. Casual workers such as teaching affiliates, although known as 'associate staff', must have a valid contract with the University, not just a letter of assignment. Fixed-term contract holders are considered associates and hold a valid contract, so are eligible. The contract should be with the University of Nottingham and external entities, such as research partners, QMC, NUH-NHS or other Universities do not meet this description.
I've gone for gold open access. Do I have to deposit in Nottingham ePrints too?
Please note: if you processed the funding using the OA funding application form sent to us together with the accepted version of your manuscript, the Mediated Deposit Team will have already deposited the article on your behalf. You can replace the accepted version with the publisher's version if copyright allows.
Are extra fees associated with publishing, such as submision or publication fees, able to be charged to the APC block grants?
Some publishers may impose charges relating to the publication process, such as extra page(s) and colour charges, that are in addition to the APC. However, the block grants provided to the University are primarily intended to cover only the fees directly associated with the process of making a publication available via gold OA.
How do I apply for funding?
It is the author's responsibility to arrange with the publisher to submit their gold open access invoice to the University. Upon your paper's acceptance, please fill in the form available on our Requesting open access funding page and return to us together with your author accepted manuscript.
I have the funds to cover the costs of open access publishing in my research budget. Is there an additional form I need to complete prior to publication?
Please complete an OA funding application form (see above) and send it to email@example.com along with a copy of the author's accepted manuscript, for deposit into Nottingham ePrints.
My publisher requires billing information for OA costs. What billing address do I provide?
The billing address that you should provide to your publisher is Open Access Administrator, Research and Innovation, The University of Nottingham, King's Meadow Campus, Lenton Lane, Nottingham, NG7 2NR.
Research and Innovation process the APC payments, so you may want to contact them to confirm that your invoice was received. Their email address is firstname.lastname@example.org.
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