Open research policy

Overview

The fundamental purpose of the University of Dundee as stated in its strategy is to “transform lives, locally and globally through the creation, sharing and application of knowledge.”

The Open Research Policy is entirely in keeping with this aim and is underpinned by our statement on open research.

Policy statement

1. Open access to research outputs

Staff and students shall take responsibility to ensure that their research outputs are made freely available, wherever possible, and fully comply with the publishing requirements of their research funders. This is applicable to all types of research outputs, defined as published or publicly presented results of research work completed at the University of Dundee.

Typically, these outputs may be published reviews, original journal articles, books, book chapters, datasets, software code, patents, works of art or art compilations, and digital media. Published conference papers may be included, while unpublished conference paper presentations would not normally be included.

Research outputs will have normally been subject to recognised peer review processes.

1.1. Journal publications

Open Access to journal publications may be achieved by:

Publishing within an open access or "hybrid" subscription journal and paying the "article processing charge" (APC) required to ensure the article is available to all.

Publishing within an open access or “hybrid” subscription journal where that journal is part of an agreement with a publisher, whereby the article is published open access as part of that agreement.

Publishing in a free open access journal, preferably one listed in Directory of Open Access Journals (DOAJ), or on an equivalent reputable platform, which evidences long-term preservation practices.

Publishing in a journal which permits authors to deposit archival copies of either their final accepted manuscript or the publisher’s final version in a local or subject repository. In the case of the final accepted manuscript, this will be made available immediately upon publication under a Creative Commons Attribution (CC BY) licence.

1.2. Monographs and chapters

Open Access to monographs and chapters may be achieved by:

Publishing, usually through the payment of a processing charge, via an online publishing platform that fully supports the technical, accessibility and preservation requirements necessary to ensure permanent, free to read access to the output for anyone, anywhere with an internet connection.

Publishing with a publisher which permits authors to deposit archival copies of either their final accepted manuscript or the publisher’s final version in a local or subject repository, with or without an embargo period.

2. Open data

The University advocates the highest standards in the management, re-use and open accessibility of research data. It is increasingly the case that research funders require that the data underpinning research is also made available and linked to the research outputs themselves (noting that researchers have the right to a reasonable period of exclusive use of the research data and software they produce). The Library provides advisory services regarding the management of research data, the adoption of standards of good practice, and approaches to FAIR (Findable, Accessible, Interoperable and Reproducible) data. Our commitment to open access to research data is strengthened by the  University of Dundee Policy to Govern the Management of Research Data.

2.1. Original software created during research activity

Funders, such as the Wellcome Trust and UK Research and Innovation (UKRI), and an increasing number of academic journals, require researchers to consider dependencies on software and whether bespoke code will need to be made available to enable data to be read and interpreted, and results reproduced or re-analysed. Where new software has been created during research and others could make use of it, open sharing must be considered.

In some instances, it may not be appropriate for researchers to share software outputs. A commercial approach may be required where further funding is sought or, for example, where a commercial partner has been involved in developing or supporting continued use of software. Researchers should consider whether new software is likely to have greater value to others if incorporated into an existing commercial product or an existing open resource.

3. Open research good practice requirements

To comply with this policy on Open Research, staff and research students must:

Ensure that a full-text copy of the research publication, including the accompanying metadata, is deposited in the University’s institutional repository, Discovery.

Be fully compliant with the publishing requirements of the research funder(s). This may include the deposit of full-text copies of research publications within general or specialist subject repositories, for example, Europe PubMed Central.

Utilise the Creative Commons CC-BY license covering re-use of the research publication, wherever possible.

Work with Research and Innovation Services to ensure that Intellectual Property is appropriately safeguarded throughout the entire project research lifecycle.

Ensure that research data associated with the published work is openly available, wherever possible, and that a data access statement, published within the text and metadata of the output, clearly identifies the route to accessing the data.

Be compliant with the research funder guidelines.

Use a reputable specialist repository to ensure software that can be shared is shared in a way that maximises its potential re-use and provide thorough documentation for the user community; this will ensure software is reliable and can be proven to generate reproducible results.

Adhere to University of Dundee policies relating to Open Research including the Policy to Govern the Publication of Research, Policy to Govern the Management of Research Data and the Code of Good Practice in Research.

Use of Generative Artificial Intelligence (GenAI)

Central to the principles of Open Research are reproducibility and transparency. Researchers must align with sector changes and requirements regarding declaration of the use of GenAI throughout the research lifecycle, and must adhere to funder and publisher policies regarding the disclosure of use.

4. Research excellence framework (REF)

All journal articles, and conference proceedings with an International Standard Serial Number (ISSN), accepted for publication after 1 April 2016, must be open access. This policy is likely to extend in future years to cover long-form research outputs, defined as academic monographs, book chapters and edited collections. This policy allows for full compliance with current REF requirements and will adapt to conform to future iterations of REF, and those of major funders.

To meet the current policy requirements governing REF, and to encourage an open research culture, with regard to articles, conference proceedings, academic monographs, book chapters and edited collections, University of Dundee staff and research students must:

Deposit a copy of their accepted and final peer-reviewed manuscript within Discovery, the University’s institutional repository, ideally upon acceptance and not later than 3 months following acceptance..

Deposit evidence of the date of acceptance within Discovery (typically dated correspondence from the publisher confirming acceptance of the article) and, when possible, deposit a copy of their publisher’s copyright agreement.

Include a Rights Retention Statement with their initial submission for publication. This is applicable to outputs published in journals and conference proceedings, and should also be a consideration for long-form outputs.

Be cognisant of opportunities for open access to diverse output types, for the purpose of improving our approach to an open and inclusive research environment.

5. Funding

Funding support for open access publishing is available from research funders and from the University of Dundee institutional fund.

Where dedicated open access publishing funds exist, for example from Wellcome Trust and UKRI, staff in receipt of these grants must make use of them and may do so by contacting the Library Open Research and Publishing team.

Research which is supported by funders who permit open access costs, both for open access publication and for the management and long-term preservation of open data, as part of the application process, must include such costs in the application and ongoing management of these research grants.

Where research is not directly funded, or if the funder does not support open access, staff and research students may apply for funding for open access publication from the University institutional fund by contacting Library Open Research and Publishing. Funding for approaches to open and FAIR data should be a consideration throughout the lifecycle of a research project and should be costed appropriately.

6. Dissemination and social media

As part of our approach to best practice in  Open Research, the University expects the widest possible dissemination of its research, through both formal and informal methods. The application of Digital Object Identifiers (DOIs) provides a mechanism to cite work and to allow tracking  the reach and dissemination of research, aiding the evidencing of impact. DOIs can be requested from Library Open Research and Publishing and may be applied to a variety of outputs.

Researchers extending the reach and impact of their work using social media, are expected to do so in line with University of Dundee guidance on branding and style. DOIs should be cited in press releases and public engagement opportunities whenever possible.

7. Exemptions and flexibility

The University acknowledges that the Open Research environment is undergoing a considerable degree of change. The University accepts justifiable exemptions will occur but requires the ethos of  Open Research  to be evident throughout the lifecycle of all research projects.

8. Guidance and monitoring

The Library Open Research and Publishing team will provide information and guidance to staff and students regarding all aspects of Open Research including open access publishing, open and FAIR data, copyright and licencing, choice of publisher and/or journal, choice of repository, funder requirements and measures of impact. Final decisions on the publication of research, including diverse output types and research data, will be taken by the authors/creators in consultation with their academic managers, in compliance with their funders’ and University policies.

The University will monitor and report upon the extent of our Open Research activities, with a view to maintaining best practice and an inclusive Open Research Environment.

9. ORCID

As required by the University’s Policy to Govern the Publication of Research, staff and research students must register for an ORCID (Open Researcher and Contributor ID) and ensure it is recorded in their Discovery profile. This is to facilitate accurate identification of individual researchers, with the aim of easing administrative burdens for job applications, grant applications and research activity reporting.

10. Compliance

Authors, their schools, Research and Innovation Services, Finance Office, Digital and Technology Services and Library Open Research and Publishing will work together to ensure overall compliance with this policy. The University of Dundee is committed to developing an Open Research environment and culture for the benefit of the University, its students, staff and collaborators, and the public as a whole.

11. Assistance with application of policy

The Library Open Research and Publishing team provide services necessary for a positive and successful open research environment. They support open access funder and institutional compliance through the management of publication data held in Discovery and through a mediated deposit service, ensuring accuracy and completeness of data. They manage the funder block grants and institutional fund available for the payment of open access fees. 

Other services underpinning an open research environment include; advocacy and advisory services for open and FAIR data; advocacy and planning for responsible use of metrics and responsible research assessment; publication services including the use of Creative Commons licenses and the application of DOIs; research post-graduate theses archiving; advisory services for research dissemination planning.

Contact [email protected] for more information.

If there is uncertainty around the applicability or interpretation of this policy, the matter must be referred to the Convener of the University’s Research Committee (contact the University Librarian and Director of Library Academic and Cultural Services in the first instance: [email protected]).

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