Policy on the Publication of Research with guidance

The University of York Policy on the Publication of Research was approved by Research Committee on 11 June 2014.

1. Introduction
2. Purpose
3. Scope
4. Infrastructure
5. Process
    Preparing publications
    5.1 Ensure the publication route meets funder requirements
    5.2 Use a standard author identifier
    5.3 Acknowledge affiliation to the University of York
    5.4 Acknowledge research funding
    5.5 Retain copyright
    Recording information about published research outputs
    5.6 Record all published research outputs in the CRIS
    5.7 Deposit full text, post-print copies of peer-reviewed journal articles & conference papers in the CRIS
    5.8 Deposit other published research outputs to the CRIS or an appropriate repository
    5.9 Deposit postgraduate research theses
    Providing access to published research outputs
    5.10 Provide Open Access to peer-reviewed journal articles and conference papers
    5.11 Provide Open Access to other published research outputs
    5.12 Provide Open Access to postgraduate research theses
    5.13 Provide copies of publications if requested
6. Responsibilities
    6.1 University Research Committee
    6.2 Individual authors
    6.3 Principal Investigators (PIs)
    6.4 Supervisors
    6.5 Departmental Research Committees
    6.6 The University
7. Further information and support
Appendix 1

1. Introduction

1.1 University of York recognises publication of research outputs as an essential part of the research process, having a vital role in the dissemination and generation of knowledge and in the promotion of individual researchers and the institution1.

1.2 Increased emphasis within the UK higher education sector on public accountability and impact assessment has made it increasingly important for the University to be able to manage information about, and access to, research outputs, and to help researchers maximise the dissemination of their research outputs and comply with funder requirements. An important development has been the increased drive, particularly in the UK, towards Open Access publication as part of a wider research impact agenda. This policy has been informed by publication policies for national and international research funders and other UK, US and European universities.

1.3 This policy complements the following:

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1.4 This policy does not affect the intellectual property rights of authors or the University as set out in the University Ordinances and Regulations.

2. Purpose

2.1 This policy aims to provide the University with the means by which

  • to make knowledge generated by the research conducted under its auspices available to the widest possible audience
  • to help researchers disseminate research to achieve the greatest impact
  • to raise the profile of research outputs through the York Research Database and White Rose Research Online
  • to meet Freedom of Information obligations to publish publicly funded research outputs and data in a proactive manner
  • to meet the requirements of research funders to make research outputs Open Access
  • to manage information about its research outputs effectively, both for internal management and external research assessment
  • to facilitate long term storage and preservation of research outputs.

2.2 This policy provides direction on the publication process, from preparing publications through to facilitating access. The University values the right of authors and contributors to decide on the best avenue for the publication for their research findings while encouraging publication in an open and accessible way and ensuring funder requirements are met.

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3. Scope

3.1 This policy applies to all published research outputs created by employees of University of York in the course of their employment, where publication is an expectation of their employment, and by postgraduate research students in the course of their studies. This includes submission of Doctoral and Masters by Research theses.

3.2 This policy addresses all research outputs which have already been generated and are intended for publication in some form. It does not place any obligation on researchers to generate or publish additional outputs.

4. Infrastructure

4.1 The Current Research Information System (CRIS) as the University official record of research outputs: The CRIS (currently PURE) will be the official record of the University’s research output and the mechanism for submitting research outputs for performance review, research assessment, and facilitating reporting where possible.

Guidance

You can find out more about PURE from the PURE at the University of York web pages.

4.2 The Institutional Repository (IR) as the University archive for research outputs: The IR (currently White Rose Research Online [WRRO]) is populated with metadata and full texts (where available) from the CRIS to create an archive of research outputs.

Guidance

White Rose Research Online (WRRO) is the institutional repository shared with the Universities of Leeds and Sheffield. It is populated with content via PURE (see also 5.6 and 5.7). Staff and students not registered on PURE can deposit direct to WRRO. See also Deposit your research.

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5. Process

Preparing publications

5.1 Ensure the publication route meets funder requirements: Authors will check the funder and external research assessment requirements before choosing their publication route.

Guidance

In order to ensure that you fulfill the requirements of your research funders it is important that you understand both the requirements of your funders and the options offered to you by the journal or publisher of your choice.

You should also understand the open access requirements of the REF.

Further help and advice is available from the Library's Research Support Team (email lib-research-support@york.ac.uk).

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5.2 Use a standard author identifier: Authors will use a persistent author identifier when submitting author details for a publication, where this option is given by the publisher.

Guidance

The use of a unique author identifier disguishes you from other authors. An author iD helps ensure that you get the credit for your research outputs.

The University endorses the use of ORCID iDs for this purpose. ORCID iDs have been adopted by universities, research funders and publishers across the world. For more information and to register for an ORCID iD visit http://www.york.ac.uk/orcid.

Your publisher’s online submission system may give you the option (or require you) to enter your ORCID iD during the submission process.

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5.3 Acknowledge affiliation to the University of York: Authors will acknowledge University of York in all their research outputs. The address will be in the form below.

[Parent department], University of York, Heslington, York, YO10 5DD, United Kingdom.

If there are constraints on the space available for the address, the phrase “University of York” will be used.

Guidance

Most publishers will have a standard way of presenting this information and may provide space for it on their submission template. Alternatively, they may ask you for this information as part of the submission process. Where the publisher does not provide a standard way of presenting the address you should provide it as a footnote on the first page of text.

For non-textual outputs it is left to you as the author to decide the best place in which to give the University address.

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5.4 Acknowledge research funding: Authors will acknowledge all funding sources with relevant external grant numbers (in the correct format) in their research outputs.

Guidance

Grants should be acknowledged on the published material itself, as part of the manuscript submission process, and when entering publication details to the CRIS (PURE).

The Research Information Network have developed guidance on acknowledgement of funders. This guidance is accepted by most funders and should be followed where possible. Under this guidance, funding should be acknowledged in the format: 

"This work was supported by the Medical Research Council [grant number xxxx]."

Where more than one grant is acknowledged, this should be done in the format: 

"This work was supported by the Wellcome Trust [grant numbers xxxx, yyyy]; the Natural Environment Research Council [grant number zzzz]; and the Economic and Social Research Council [grant number aaaa]."

Grant number format must exactly match that used by the funder, including the correct punctuation (e.g. EP/F098765/1; RES-010-99-0099; 098765/Z/10/Z).

For textual outputs such as journal articles, conference papers or book chapters, most publishers will have a space for this information on the submission template. In addition, they may also ask for this information as part of the submission process. Where the publisher does not give a standard way of presenting this information you should provide it as a footnote on the first page of text. Where your funder gives specific instructions about acknowledging funding these should be followed.

For non-textual outputs it is left to you as the author to decide on the most appropriate place to give the funder information. Again, where your funder gives specific instructions about acknowledging funding these should be followed.

In PURE, funder and grant information should be added by linking to the relevant projects in the ‘Relations’ section of the research output record. See the PURE user guides for more information on how to add publication and project details to PURE.

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5.5 Retain copyright: Authors are encouraged to seek to retain copyright and other reuse rights for research outputs in contracts with collaborators, funders and publishers.

Guidance

It is recommended that you discuss and agree copyright with collaborators and funders as part of the design of your research.

Under the University’s Ordinances and Regulations (Regulation 12), copyright of books, journals articles and conference papers remains with the author or authors. However, publishing agreements will often ask for the transfer of copyright from you, as the author, to the publisher. Authors can request retention of copyright by offering a different publishing agreement or appending a statement to the agreement offered by the publisher.

For other outputs the University claims the copyright and other intellectual property rights so authors are not in a position to retain or sign them over.

For advice on contracts with collaborators and funders contact the IP & Legal Team.

For further information on retaining copyright as part of agreements with publishers visit the Copyright web pages.

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Recording information about published research outputs

5.6 Record all published research outputs in the CRIS: Authors will add metadata for all published research outputs to the CRIS; for new outputs this will be as soon after the date of publication2 as possible, and no later than three months after this date; existing outputs will be added not later than six months after appointment.

Guidance

Published outputs are defined in Appendix 1.

University of York authors are responsible for ensuring that their published research outputs are correctly recorded in PURE. You will add metadata for all published research outputs for the period of the previous REF exercise onwards, or the period over which evidence for promotion will be gathered, whichever is longer. In addition, you will add metadata for sufficient additional outputs to adequately represent yourself to the outside world.

Confidential research outputs can be marked as such in PURE so that they are only viewable to University members with edit rights to that record (you can see a list of staff at the time of marking it). Authors are responsible for ensuring they meet funder requirements.

Information about how to add published research outputs into PURE can be found on Pure user guides web page.

Once you have added a record for your output, Library staff will take responsibility for reviewing the record to ensure that it is complete and accurate and adding any additional information which it is useful to have. You can go back and edit your record, including changes made by Library staff, at any time.

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5.7 Deposit full text, post-print copies of peer-reviewed journal articles and conference papers in the CRIS: Authors will ensure deposit of the final peer-reviewed, corrected and accepted draft (post-print) of journal articles and conference papers in the CRIS as soon after the date of publication2 as possible, and no later than three months after this date.

Guidance

Staff on contracts which include research, or are in a role where publication is formally expected should deposit such publications by uploading them to their publication record on the CRIS (PURE). Information about how to do this can be found on the Deposit your research web page.

Other staff and students will not be registered on PURE and therefore are unable to add content to PURE. They can deposit copies of research publications directly to the institutional respository, (White Rose Research Online (WRRO)). Information on how to do this can be found on the Deposit your research web page.

Authors must deposit the author accepted manuscript (post print) version of publications; this is a version which has undergone peer-review and been accepted with any corrections made. This is the version required to meet the Open Access requirements for the REF.

Some funders also require deposit in a specific subject repository. Authors are responsible for ensuring this is achieved. This is in addition to this policy’s requirement to deposit in PURE. For more on funder requirements, see the Funder OA policies web page.

Making deposits Open Access: note that Library staff will make publications Open Access where and when this is permitted by the publisher (see Item 5.10).

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5.8 Deposit other published research outputs to the CRIS or an appropriate repository: Authors will deposit copies of other published research outputs, in addition to peer-reviewed journal articles and conference papers, to the CRIS, or an appropriate repository where required by research funders. Outputs should be deposited as soon after the date of publication as possible, and no later than three months after this date.

Guidance

As well as depositing peer-reviewed journal articles and conference papers, you should deposit other outputs where possible. Common output types will include:

  • Books and book chapters
  • Contributions to journals or conference proceedings which have not been peer-reviewed
  • Reports
  • Working papers or discussion papers
  • Contributions to anthologies, scholarly editions, or encyclopedias
  • Compositions, films and other digital or visual products
  • Websites
  • Computer software
  • Exhibition catalogues.

Staff on contracts which include research, or are in a role where publication is formally expected, should deposit such publications by uploading them to their publication record on the CRIS (PURE). Information about how to do this can be found on the Deposit your research web page.

Other staff and students will not be registered on PURE and therefore are unable to add content to PURE. They can deposit copies of research publications directly to the institutional respository, (White Rose Research Online (WRRO)). Information on how to do this can be found on the Deposit your research web page.

Making deposits Open Access: note that Library staff will make outputs Open Access where this is possible (see Item 5.11).

Note that research data that underpins published results are covered by the Research Data Management Policy. The Recording datasets in PURE web page provides further advice.

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5.9 Deposit postgraduate research theses: Postgraduate research students (PhD and Masters by Research) who register from October 2009 will deposit the final, corrected version of their thesis to the Institutional eTheses Repository after award of their degree. Embargo periods must be formally requested and approved.

Guidance

The Institutional eTheses Repository for University of York is White Rose eTheses Online (WREO). See the Submit your thesis web page for further advice and guidance on the deposit of theses after examination.

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Providing access to published research outputs

5.10 Provide Open Access to peer-reviewed journal articles and conference papers: Peer-reviewed journal articles and conference papers which have been deposited in the CRIS will be made Open Access via the Institutional Repository if and when this is permitted by the publisher.

Guidance

Library staff will undertake permissions checking of the published research outputs deposited in PURE with a view to making those outputs Open Access via White Rose Research Online (WRRO) if and when this is permitted by the publisher. Authors should be reassured that publisher embargo periods will be respected.

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5.11 Provide Open Access to other published research outputs: Other research outputs, in addition to peer-reviewed journal articles and conference papers, will be made Open Access where possible.

Guidance

Library staff will undertake permissions checking of the published research outputs deposited in PURE with a view to making those outputs Open Access via White Rose Research Online (WRRO) if and when this is permitted by the publisher. Authors should be reassured that publisher embargo periods will be respected.

The aim is to make all other publications Open Access where possible. However, it is more difficult to make some types of research outputs Open Access due to the complexity of rights ownership.

Note that research data that underpins published results are covered by the Research Data Management Policy. The Sharing, preserving and depositing your data web page provides further advice.

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5.12 Provide Open Access to postgraduate research theses: Postgraduate theses are made Open Access in accordance with the University’s submission requirements for theses and dissertations.

Information on embargo and redaction is available from the Deposit of theses after examination section of the Submit your thesis web page.

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5.13 Provide copies of publications if requested: Authors are encouraged to provide copies of their publications on request where this is for fair-dealing purposes and does not breach legal restrictions.

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6. Responsibilities

6.1 University Research Committee, chaired by the Pro-Vice-Chancellor for Research, is the owner of this policy.

6.2 Individual authors: Each author will ensure that information about their publications and other outputs is entered to the CRIS (PURE) and that a copy is deposited where required by this policy. For jointly authored works it is the responsibility of authors to decide who is responsible for providing this information.

6.3 Principal Investigators (PIs): PIs, or the investigator considered to be the York lead, on research projects are responsible for ensuring that requirements on dissemination of research made by any external funders are met in full. This includes ensuring that authors publish in suitable publications and that funding for publication and Open Access is included in research grant proposals (except RCUK and Wellcome) where costs will be incurred and this is acceptable to the funder.

Guidance

The Funder OA policies web page provides further information on the Open Access requirements of research funders.

RCUK (including AHRC, BBSRC, EPSRC, ESRC, MRC, NERC and STFC) and the Charity OA Fund partners (including the Wellcome Trust and a range of medical charities) provide a central University fund for APCs (Gold Open Access), managed through the York Open Access Fund. If other funders require paid Open Access or apply other publication costs (such as page charges) PIs need to include any costs in their research grant.

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6.4 Supervisors: Supervisors of postgraduate research students (Masters by research and PhD) are responsible for ensuring their supervisees deposit a copy of their thesis and research publications.

6.5 Departmental Research Committees: DRCs are responsible for promoting awareness and understanding of this policy in their department.

6.6 The University: The University is responsible for ensuring that systems are in place to support the policy. This includes:

  • Providing help and advice on all aspects of the policy, including funder requirements and publisher policies relating to Open Access
  • Providing help and advice on maintaining information in the CRIS (PURE)
  • Under discussion: Taking action to ensure data quality, deposit and Open Access are achieved.

Guidance

The Library's Research Support Team will provide advice on all aspects of this policy, including recording and depositing outputs in PURE (and White Rose Research Online (WRRO)) and making them Open Access, funder requirements and publisher policies relating to Open Access. It will also provide advice on issues relating to copyright.

For further information see www.york.ac.uk/open-access. Email lib-research-support@york.ac.uk.

The Research Strategy and Policy Office will provide help and advice on the use of PURE.

For further information see https://www.york.ac.uk/staff/research/pure/. Email reo-pure-support@york.ac.uk.

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7. Further information and support

The Policy document [with appendices] is available as part of the Information Policy web pages.

Further information is available at: www.york.ac.uk/open-access

1 Definitions are provided in Appendix 1

2 To be amended to date of acceptance for publication if this is confirmed as a requirement of the HEFCE Policy for open access in the post-2014 Research Excellence Framework (March 2014/07) www.hefce.ac.uk/pubs/year/2014/cl072014/#d.en.86764