This is a demo version of the form used by the University of Manchester Library's Scholarly Communications Team to help our team process incoming manuscripts via our OA Gateway form.
start
 
Enter your intitials: *

 
Enter Pure ID: *

 
Paste article title: *

 
Enter source: *


 
Green: Enter acceptance date (if unknown enter 01/01/2099) *

 
Has paper been published? *

     
 
Enter publication date: *

 
External: Enter publication date: *

 
Was the paper published more than 3 months ago?

We consider first online publication date to be publication date. *

     
 
External: Was the paper published more than 3 months ago?

We consider first online publication date to be publication date. *

     
 
External: Was the paper published more than 2 months ago?

We consider first online publication date to be publication date. *

     
 
MSJ1 required

Record as External | With customer | MSJ1 | in masterfile. Create a Trello card in the OA_chaser_board. And send below email: 

Subject line:  Important REF Open Access requirements: manuscript required Pure ID 2 - Enter Pure ID:

Dear author/s,   

We are contacting you in relation to your recently published article, ‘3 - Paste article title:’ which has a recorded publication date of 5 - Enter publication date:.   

Following the launch of HEFCE’s Open Access (OA) policy on 1st April 2016, authors should send the author accepted manuscript (AAM) of all papers accepted for publication after this date to the Library via the Open Access Gateway.  The Library will then complete the deposit to Pure ensuring all Open Access requirements are met.  www.manchester.ac.uk/openaccess/gateway   

Please send the Library a copy of your Author Accepted Manuscript (AAM) in reply to this email. If we do not receive the AAM then this paper will not be eligible for submission to the next REF.  

For information, the AAM is the version that has been agreed with the editor at the point of acceptance. It is not the same as the copy-edited, typeset or published paper – which you may see described as ‘proofs’ or ‘versions of record’.   

Please note that if we do not receive a response from you by [DATE 2 months after publication] we will pass details of your paper onto colleagues in your Faculty who are responsible for managing compliance with the HEFCE policy.   

With Regards, Scholarly Communications Team

 
MSJ2 required

Check Pure record for file attachment
Check email folders to see if file has been sent -         

Sent items: search for Pure ID and ‘find related messages’ on MSJ1 email

Inbox   

Also search for journal name in Inbox. This is in case author has not simply replied to chaser email, and submitted paper directly via Gateway. In this case, paper would be triaged and awaiting deposit without us realising it’s a nudge response.

Subject line: Urgent action required: Pure ID {{answer_SdsV}}  

Dear author/s   

We are contacting you in relation to your recently published article, ‘{{answer_Fdqc}}’ which has a recorded publication date of {{answer_eVSS}}.

HEFCE’s Open Access (OA) policy requires that papers accepted from 1st April 2016 must be made Open Access in order to be eligible for the next REF.   Please send the Library a copy of your Author Accepted Manuscript (AAM) in reply to this email.

If we do not receive the AAM by [DATE 3 months from publication] then this paper will not be eligible for submission to the next REF.  For information, the AAM is the version that has been agreed with the editor at the point of acceptance. It is not the same as the copy-edited, typeset or published paper – which you may see described as ‘proofs’ or ‘versions of record’.  

Regards, Scholarly Communications Team

For BMH  = Cath Barrow
For Humanities = Louise Gorton  
For SE = Rupa Sharma + School Output Champions as Below:    

Earth Sciences                        Sam Shaw                           Chemistry                               Sabine Flitsch
Physics and Astronomy        Andy Pilkington
Mathematics                          Francoise Tisseur
Computer Science                 Gavin Brown
Chemical Engineering           Aline Miller
MACE                                       Alice Bows-Larkin
Materials                                Michael Preuss                 
EEE                                          David Foster                       

Update Trello card -          Move to Chaser 2 list -          Add notes, if needed -          Set due date for final check before compliance deadline passes*   *Set due date as last suitable working day before compliance deadline. This is to ensure we’re prompted to check to see if file has been submitted and is awaiting processing

 
Has Gold OA funding been requested? *

     
 
Is the output a journal article or a paper in a peer-reviewed conference proceedings?

*If unsure escalate to Scholarly Communication Librarian *

     
 
Enter publisher's required embargo duration (in months).

http://sherpa.ac.uk/romeo

If no embargo required enter '0' and amend receipt confirmation message to author accordingly. 


*

 
Out of scope: Is the file deposited the Author Accepted Manuscript?

(If unsure then escalate) *

     
 
Out of scope: Does the publisher allow the version deposited to be made Open Access? 

http://sherpa.ac.uk/romeo *

     
 
Acceptance date unknown

Update masterfile and email author with the following template:

Subject line: Open Access Gateway deposit - Pure ID {{answer_SdsV}}

Dear author,  

Regarding your article: {{answer_Fdqc}}   

Thanks for submitting your paper via the Open Access Gateway.  On this occasion we've not been able to identify the information we need to create your publication record from the submitted manuscript. 

Please can you reply to this email providing the acceptance date.

 
MSN Out of scope; AAM deposited

No need to contact author - once AAM is deposited, submit this form to log the deposit.

 
MSO: Out of scope; incorrect version deposited

Once Pure record created, email author with the following template:

Subject line: Information: {{answer_SdsV}}

Dear author,  

We have received the following paper via the Open Access Gateway.  

{{answer_Fdqc}}

The Gateway is intended primarily to support compliance with HEFCE’s Open Access policy for the next REF, which applies to journal articles and peer-reviewed conference proceedings accepted for publication after 1st April 2016.   Although your paper [was accepted prior to this date/is a book chapter/is a monograph/is a poster] and so falls outside of the scope of the policy we are happy to arrange deposit on your behalf.  However, on checking we note that the manuscript you have submitted appears to be the final publisher’s version, which cannot be deposited. 

If so, please can you send us the Author Accepted Manuscript (AAM) in reply to this email. This is the version that has been agreed with the editor at the point of acceptance. It is not the same as the copy-edited, typeset or published paper – you may see these versions described as ‘proofs’ or ‘versions of record’.  

For reference, journal articles accepted prior to April 2016 and other output types such as chapters and monographs can be deposited directly to Pure. You can find guidance on the Pure support website.

http://www.staffnet.manchester.ac.uk/pure

 
In scope: Which version has been deposited?

See https://researchservices.slack.com/messages/nonstandard_papers/ for guidance. If still unsure escalate to Scholarly Communications Librarian. *


 
In scope: Pre-peer review version deposited

Update masterfile and copy and paste below text into email:

Subject line: Open Access Gateway deposit - Pure ID {{answer_SdsV}}

Dear author,  

Regarding your article, '{{answer_Fdqc}}'
 
Thanks for submitting your paper to the Open Access Gateway.  On checking we note that the manuscript appears to be the pre-peer review version.

If so, please can you send us the Author Accepted Manuscript (AAM) in reply to this email. This is the version that has been agreed with the editor(s) at the point of acceptance. It is not the same as the copy-edited, typeset or published paper – you may see these versions described as ‘proofs’ or ‘versions of record’.


 
Does the publisher allow the version of record to be made Open Access? 

http://sherpa.ac.uk/romeo *

     
 
In scope: final publisher's version deposited

Update masterfile and copy and paste below text into email:

Subject line: Open Access Gateway deposit - Pure ID {{answer_SdsV}}

Dear author,  

Regarding your article, '{{answer_Fdqc}}'
 
Thanks for submitting your paper to the Open Access Gateway.  On checking we note that the manuscript appears to be the final publisher's version which your publisher does not permit to be made Open Access.

If so, please can you send us the Author Accepted Manuscript (AAM) in reply to this email. This is the version that has been agreed with the editor(s) at the point of acceptance. It is not the same as the copy-edited, typeset or published paper – you may see these versions described as ‘proofs’ or ‘versions of record’.


 
Does the paper acknowledge one or more of the following funders?


 
MRC require a 6 month embargo period.

Check the publisher's standard policy on self-archiving - http://sherpa.ac.uk/romeo

Does the publisher allow the author to comply with Funder OA policy? *

     
 
COAF funders require a 6 month embargo period.

Check the publisher's standard policy on self-archiving - http://sherpa.ac.uk/romeo

Does the publisher allow the author to comply with Funder OA policy? *

     
 
European funders require a 6 month embargo period for STEM papers and 12 months for SS & Humanities.

Check the publisher's standard policy on self-archiving - http://sherpa.ac.uk/romeo

Does the publisher allow the author to comply with Funder OA policy? *

     
 
NIHR require a 6 month embargo period.

Check the publisher's standard policy on self-archiving - http://sherpa.ac.uk/romeo

Does the publisher allow the author to comply with Funder OA policy? *

     
 
RCUK (non-MRC) require a 12 month embargo period.

You stated that the pubilsher's required embargo period is {{answer_DNZu}}months.

Does the publisher allow the author to comply with Funder OA policy? *

     
 
MRC: Does the journal offer a Gold OA option which is compliant with the funder's OA policy?

http://sherpa.ac.uk/fact *

     
 
COAF: Does the journal offer a Gold OA option which is compliant with the funder's OA policy?

http://sherpa.ac.uk/fact *

     
 
RCUK (non-MRC): Does the journal offer a Gold OA option which is compliant with the funder's OA policy?

http://sherpa.ac.uk/fact *

     
 
MRC
1. CREATE AN APC REQUEST
2. FLAG AS 'PENDING' IN APC REQUEST SYSTEM
3. EMAIL AUTHOR WITH BELOW TEMPLATE:

Dear [Author],

We recently arranged deposit of your paper detailed below into Pure, ensuring compliance with HEFCE's Open Access requirements for the next REF, '{{answer_Fdqc}}'

We’ve also assessed the paper to ensure that you are able to meet any other funder Open Access requirements. As this journal’s {{answer_DNZu}} month embargo exceeds the maximum embargo of 6 months required by your funder MRC, you need to publish this paper OA on the journal website (Gold OA) to satisfy your funder’s mandate.

The Library manages the institutional funds for Gold OA, so we can handle payment of the fee and liaise with your publisher to arrange for your paper to be published Gold OA under the Creative Commons Attribution (CC-BY) licence. We’ve created APC ID [COPY IN FROM APC SYSTEM] to handle payment, pending your approval.

Please reply to this email confirming that we can proceed with arranging Gold OA for your paper.

We look forward to hearing from you.

Regards, Scholarly Communications Team

 
COAF
1. CREATE AN APC REQUEST
2. FLAG AS 'PENDING' IN APC REQUEST SYSTEM
3. EMAIL AUTHOR WITH BELOW TEMPLATE:

Dear [Author],

We recently arranged deposit of your paper detailed below into Pure, ensuring compliance with HEFCE's Open Access requirements for the next REF, '{{answer_Fdqc}}'

We’ve also assessed the paper to ensure that you are able to meet any other funder Open Access requirements. As this journal’s {{answer_DNZu}} month embargo exceeds the maximum embargo of 6 months required by your funder [enter COAF funder], you need to publish this paper OA on the journal website (Gold OA) to satisfy your funder’s mandate.

The Library manages the institutional funds for Gold OA, so we can handle payment of the fee and liaise with your publisher to arrange for your paper to be published Gold OA under the Creative Commons Attribution (CC-BY) licence. We’ve created APC ID [COPY IN FROM APC SYSTEM] to handle payment, pending your approval.

Please reply to this email confirming that we can proceed with arranging Gold OA for your paper.

We look forward to hearing from you.

Regards, Scholarly Communications Team

 
EUROPE
EMAIL AUTHOR WITH BELOW TEMPLATE:

Dear [Author],  

We recently arranged deposit of your European-funded paper detailed below into Pure, ensuring compliance with HEFCE's Open Access requirements for the next REF, '{{answer_Fdqc}}'  

We’ve also assessed the paper for any other funder Open Access requirements. Your publisher's embargo period is {{answer_DNZu}} months, so although the paper is able to comply with HEFCE's REF OA policy, it is not currently possible to comply with the OA policy of your funder, [the EU/EC/ERC], which requires a maximum embargo of [6 months from publication for STEM papers/12 months from publication for HSS papers].  

If you have any funds available in your grant we could assist you in arranging Gold Open Access for the paper. Alternatively, we suggest using the below template to contact the journal requesting that the embargo be reduced on this occasion. In this way you will have done everything you can to comply with your funder's OA policy. [Attach doc at location S:\Research Services Division\Open Access\FP7]  

We are happy to assist you in considering journal embargoes for future publications; just let us know when you are planning to submit papers. 

Regards, Scholarly Communications Team

 
NIHR
EMAIL AUTHOR WITH BELOW TEMPLATE:

Dear [author],

We recently arranged deposit of your paper detailed below into Pure, ensuring compliance with HEFCE's Open Access requirements for the next REF, '{{answer_Fdqc}}'.

We’ve also assessed the paper for any other funder Open Access requirements. The above journal's embargo period is {{answer_DNZu}} months, so although the paper is able to comply with HEFCE's REF OA policy, it is not currently possible to comply with the OA policy of your funder, NIHR, which requires a maximum embargo of 6 months from publication.

NIHR prefers Gold Open Access for the main output arising from an NIHR grant, with Gold OA fees to be paid from NIHR grants (Gold OA fees should be costed in). If this is the main research output for your project, and if you’re able to draw on grant funds, we could assist you in arranging Gold Open Access for this paper.

If not, it will not be possible to comply with your funder’s Open Access policy on this occasion. We are happy to assist you in considering journal embargoes for future publications; just let us know when you are planning to submit papers. 

Regards, Scholarly Communications Team

 
RCUK (non-MRC)
1. CREATE AN APC REQUEST
2. FLAG AS 'PENDING' IN APC REQUEST SYSTEM
3. EMAIL AUTHOR WITH BELOW TEMPLATE:

Dear [Author],

We recently arranged deposit of your paper detailed below into Pure, ensuring compliance with HEFCE's Open Access requirements for the next REF, '{{answer_Fdqc}}'

We’ve also assessed the paper to ensure that you are able to meet any other funder Open Access requirements. As this journal’s {{answer_DNZu}} month embargo exceeds the maximum embargo of 12 months required by your funder, you need to publish this paper OA on the journal website (Gold OA) to satisfy your funder’s mandate.

The Library manages the institutional funds for Gold OA, so we can handle payment of the fee and liaise with your publisher to arrange for your paper to be published Gold OA under the Creative Commons Attribution (CC-BY) licence. We’ve created APC ID [COPY IN FROM APC SYSTEM] to handle payment, pending your approval.

Please reply to this email confirming that we can proceed with arranging Gold OA for your paper.

We look forward to hearing from you.

Regards, Scholarly Communications Team

 
AUTHOR LIAISON escalation

 
In scope: AAM deposited; paper is compliant

Ensure that full text has been attached to Pure record, and send one of the below confirmation emails to author, depending on publication status: 

Paper not yet published
Subject: Pure ID {{answer_SdsV}} REF OA: Acknowledgement of receipt of Author Accepted Manuscript

Dear author,

Thank you for depositing the Author Accepted Manuscript (AAM) for the following article, '{{answer_Fdqc}}'.

We've created a record in Pure, ID {{answer_SdsV}}.

We will now continue to monitor online databases for the publication of the paper at which point we will apply a {{answer_DNZu}} month embargo in line with your publisher's requirements. However, if you receive notification directly from the publisher that your paper has been published then please feel free to alert us via uml.scholarlycommunication@manchester.ac.uk

This will ensure that this paper meets all funder Open Access requirements and will be eligible for submission to the next REF.

Kind regards,
Scholarly Communication Team

Paper published:
Subject: Pure ID {{answer_SdsV}} REF OA: Acknowledgement of receipt of Author Accepted Manuscript

Dear author,

Thank you for depositing the Author Accepted Manuscript (AAM) for the following article, '{{answer_Fdqc}}'.

We've created a record in Pure, ID {{answer_SdsV}} and applied a {{answer_DNZu}} month embargo in line with your publisher's requirements. 

The paper has now met all funder Open Access requirements to be eligible for submission to the next REF.

Kind regards,
Scholarly Communication Team

 
Now log record in Masterfile including Pure ID, Deposit route, Depositor, Status, and Code.

 
In scope: This paper is not compliant with HEFCE's Open Access policy for the next REF.

Ensure AAM has been deposited to Pure record and required embargo applied.

Update Masterfile to record this paper as MSX.

Do not contact author to advise. (Awaiting approval of non-compliance templates)



 
Note the type of funding being requested

APC
Colour fee
Page charge
Publication fee

 
Does the paper acknowledge funding from RCUK or COAF which was awarded to Manchester?

See Guidance Material Y [LM TO CREATE] on determining where grant went *

     
 
Is other funding acknowledged? *

     
 
What funding is acknowledged? *


 
GOLD: EU

1. Check journal embargo using Sherpa/RoMEO
2. If embargo allows compliance via Green, send template A below.
3. If embargo exceeds funder requirement, send template B below.

Template A

Dear [Author],

You recently requested Open Access funding for your paper, {{answer_Fdqc}}

We have now arranged deposit of your paper into Pure, {{answer_SdsV}} ensuring compliance with your funder's Open Access policy and HEFCE's OA requirements for the next REF.

The Library is only able to pay Gold Open Access fees for papers acknowledging funding from RCUK or certain medical charities, however, as confirmed above, you do not need to publish your paper Gold OA - ... Lucy to think!!

Template B

Dear [Author],

You recently requested Open Access funding for your paper,

We have now arranged deposit of this paper into Pure, {{answer_SdsV}} ensuring compliance with HEFCE's Open Access requirements for the next REF.

The above journal's embargo period is 12 months, so although the paper is able to comply with HEFCE's REF OA policy, it is not currently possible to comply with the OA policy of your funder, [the EU/EC/ERC], which requires a maximum embargo of [6 months from publication for STEM papers/12 months from publication for HSS papers].

Unfortunately, the Library only has access to Open Access funds for papers that acknowledge funding from RCUK or certain medical charities, and we are unable to cover the cost of publishing your paper Gold Open Access. If you have any funds available in your EC grant we could assist you in arranging Gold Open Access for the paper. Alternatively, we suggest using the attached template to contact the journal requesting that the embargo be reduced on this occasion. In this way you will have done everything you can to comply with your funder's OA policy. [Attach doc at location S:\Research Services Division\Open Access\FP7]

[Sign off]

 
GOLD: NIHR

1. Check journal embargo using Sherpa/RoMEO
2. If embargo allows compliance via Green, send template A below.
3. If embargo exceeds funder requirement, send template B below.

Template A

Dear [Author],

You recently requested Open Access funding for your paper, {{answer_Fdqc}}

We have now arranged deposit of your paper into Pure, ID {{answer_SdsV}} ensuring compliance with your funder's Open Access policy and HEFCE's OA requirements for the next REF.

The Library is only able to pay Gold Open Access fees for papers acknowledging funding from RCUK or certain medical charities. As this journal's [X month] embargo exceeds that required by your funder, LUCY TO THINK 
NIHR prefers Gold Open Access for the main output arising from an NIHR grant, with Gold OA fees to be paid from NIHR grants (Gold OA fees should be costed in). If this is the main research output for your project, and if you’re able to draw on grant funds, we could assist you in arranging Gold Open Access for this paper. If not, it will not be possible to comply with your funder’s Open Access policy on this occasion. We are happy to assist you in considering journal embargoes for future publications; just let us know when you are planning to submit papers.

Template B

Dear [Author],

You recently requested Open Access funding for your paper,

We have now arranged deposit of this paper into Pure, ensuring compliance with HEFCE's Open Access requirements for the next REF.

The above journal's embargo period is 12 months, so although the paper is able to comply with HEFCE's REF OA policy, it is not currently possible to comply with the OA policy of your funder, [the EU/EC/ERC], which requires a maximum embargo of [6 months from publication for STEM papers/12 months from publication for HSS papers].

Unfortunately, the Library only has access to Open Access funds for papers that acknowledge funding from RCUK or certain medical charities, and we are unable to cover the cost of publishing your paper Gold Open Access. If you have any funds available in your EC grant we could assist you in arranging Gold Open Access for the paper. Alternatively, we suggest using the attached template to contact the journal requesting that the embargo be reduced on this occasion. In this way you will have done everything you can to comply with your funder's OA policy. [Attach doc at location S:\Research Services Division\Open Access\FP7]

[Sign off]

 
GOLD: Other funding

Send email:

Dear [Author],

You recently requested Open Access funding for your paper, {{answer_Fdqc}}

The Library is only able to pay Gold Open Access fees for papers acknowledging funding from RCUK or certain medical charities. We are therefore unable to approve your request for Gold Open Access funding.

We have, however, arranged deposit of your paper into Pure, ID {{answer_SdsV}} ensuring compliance with your funder's Open Access policy and HEFCE's OA requirements for the next REF.

[Sign off]

 
GOLD - No funding acknowledged

Dear [Author],

You recently requested an [Article Processing Charge/publication fee/other fee] for the following paper:
{{answer_Fdqc}}

We have deposited your paper into Pure, ID {{answer_SdsV}}, to ensure compliance with HEFCE's Open Access policy for the next REF.

The Author Accepted Manuscript (AAM) you have submitted does not include a funder acknowledgement. If you still wish to request Gold OA fees, please can you advise if this acknowledgement was provided to the journal during the submission process? If so, reply to this email with a copy of the funder acknowledgement, so we can assess your request for Open Access funds.

[Sign off]

 
GOLD: COAF Policy check

[If paper does not acknowledge COAF, or the paper passes the checks below without concern, please Continue.]

1. COAF can only be used to cover costs directly associated with publishing a paper Gold Open Access. It cannot be used to cover colour, page or other publication fees. If paper acknowledges COAF and author has requested non-APC fees, send Template A below.

2. COAF cannot be used to pay APCs for commissioned reviews. If author has indicated that paper is a review, send Template B below.

Template A

Dear [Author],

We have received your funding request for your paper, {{answer_Fdqc}}.

We note that your paper acknowledges funding from a member of the Charity Open Access Fund (COAF). Unfortunately, we are only able to use our institutional COAF funds to pay fees directly associated with publishing your paper Open Access. We are unable to use these funds to pay additional costs, such as page, colour or publication charges. We in the Library do not have recourse to any other funds to pay these charges, so are required to reject your request for funds.

Please be assured that we have deposited your paper into Pure, ID {{answer_SdsV}} to ensure compliance with HEFCE's Open Access policy for the next REF. 

[Sign off]


Template B

Dear [Author],

You recently requested an Article Processing Charge (APC) for the paper {{answer_Fdqc}}

You have indicated that this paper is a review article. To determine if we are able to cover the Open Access charges, please advise if this review was commissioned or non-commissioned?

We will be able to advise you further once you have provided this information.

[Sign off]

 
GOLD: RCUK/COAF

Check Sherpa/FACT: http://www.sherpa.ac.uk/fact/

Does the journal offer a Gold Open Access option that's compliant with the funder's OA policy?

     
 
GOLD: Sherpa/FACT = Yes

Consider the publisher.

1. Is the publisher on our list of trusted publishers? LUCY TO CREATE LIST AND GUIDANCE
2. If so, proceed
3. If no, see GUIDANCE MATERIAL X to check credibility of journal, and discuss this with colleagues

Do we trust the publisher? *

     
 
GOLD: Sherpa/FACT = No

1. Double check journal website to check for Gold OA option with CC-BY, and deposit to PMC within 6 months for COAF-funded papers. If unsure, pause and escalate to Scholarly Communications Librarian
2. If definitely no complaint Gold OA option, check Green option using Sherpa/RoMEO
3. If compliant Green option exists, email author with template below
4. If there is no compliant Green option, escalate to Scholarly Communications Librarian

Dear [Author],

You recently submitted an Article Processing Charge (APC) request for your paper {{answer_Fdqc}} 

Unfortunately, the journal does not offer a Gold Open Access option that is compliant with your funder's Open Access policy. We are therefore unable to use our institutional OA block grant to cover these costs. 

It is possible, however, to comply with your funder's mandate through Green Open Access, which involves self-archiving your paper in a suitable repository. We have deposited this paper to Pure, ID {{answer_SdsV}}, to ensure compliance with the Open Access policy of both your funder, and HEFCE for the next REF. There is no need to take any further action.

[Sign off]



Thank you for checking out this form. Please send any comments or questions to uml.scholarlycommunications@manchester.ac.uk
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