Publication Procedures

Everyone publishing a paper in a refereed journal, whether as the lead author or as a co-author of a paper where the lead author is based outside Durham MUST follow the procedure below. This applies when any author has full or partial UKRI funding (e.g. STFC grant, either as PI or CoI or directly funded as a PDRA or student) and will ensure we satisfy the rules that require that

• the author accepted manuscript is deposited in Durham Research Online (DRO) on acceptance (sometimes referred to as self-archiving or “green” open access – see definitions )
• the final version of the paper is published open access on the journal website (sometimes referred to as “gold” or “hybrid” open access)

Meeting these requirements will also ensure that an article will satisfy the open access requirements for the current Research Excellence Framework (REF2029).

If you have any queries then please contact the open access publications officer (openaccess.publishing@durham.ac.uk).

The UKRI Open Access Policy for research articles states that in-scope articles (i.e. all original research papers acknowledging funding from a UK Research Council such as STFC, EPSRC etc) submitted for publication from 1 April 2022 must:

• Be immediately open access from publication
• Be assigned a Creative Commons Attribution (CC BY licence)
• Contain a data access statement, even where there are no data associated with the article or the data are inaccessible

It is important to note that publishing open access via the journal’s website may incur a fee (an Article Processing Charge (APC)). The University Library has a number of publisher deals which may cover this fee and they hold the UKRI Block Grant which can potentially be used to cover this fee for fully open access journals. If making your article open access via depositing the accepted manuscript into DRO, please note that this will be made available from publication with a CC BY licence in accordance with the University’s Research Publications Policy

If you are unsure of how to comply with the UKRI Policy for the journal that you wish to submit to, please check with the Open Access Team prior to submission – openaccess.publishing@durham.ac.uk or dro.admin@durham.ac.uk for questions relating to depositing your accepted manuscript.

1. BEFORE SUBMITTING THE PAPER [required even if you are a co-author on a paper led from outside Durham]
   1. Make sure your affiliation(s) correctly list both the ICC or CEA and the Department of Physics in one of the following forms:
      • Institute for Computational Cosmology, Department of Physics, Durham University, South Road, Durham DH1 3LE, UK
      • Centre for Extragalactic Astronomy, Department of Physics, Durham University, South Road, Durham DH1 3LE, UK
      or separate multiple listing for each of your affiliations including Department of Physics:
      • Institute for Computational Cosmology, Durham University, South Road, Durham DH1 3LE, UK
      • Centre for Extragalactic Astronomy, Durham University, South Road, Durham DH1 3LE, UK
      • Institute for Data Science, Durham University, South Road, Durham DH1 3LE, UK
      • Department of Physics, Durham University, South Road, Durham DH1 3LE, UK
   2. Add to the paper an acknowledgement of STFC funding including the appropriate grant references for the support of any Durham co-authors including STFC-funded students to the paper.
      
      • The 2023-2027 consolidated grant for CEA, ICC or CfAI is ST/X001075/1. ( The 2020-2024 consolidated grant for CEA, ICC or CfAI is ST/T000244/1.)
      • STFC-funded students MUST contact the Physics Postgraduate Administrator (physics.postgraduate@durham.ac.uk) to obtain the actual STFC grant code to include in the acknowledgements of any papers on which they are a co-author.
      • Most ICC papers should also include this DiRAC acknowledgement.

      The recommended wording is This work was supported by Agency A [grant numbers 1,2]; Agency B [grant numbers 3,4]; and Agency C [grant number 5].

      It is particularly important to mention any EU funding that contributed to the project, e.g. from ERC grants or the Horizon Europe Staff Exchange program, LACEGAL.

   3. Add to the paper a statement regarding the access to the data used in the analysis. The following is taken from the UKRI Open Access Policy
      
      "the policy requires all research papers, if applicable, to include a statement on how any underlying research materials, such as data, samples or models, can be accessed. However, the policy does not require that the data must be made open. If there are considered to be good or compelling reasons to protect access to the data, for example commercial confidentiality or legitimate sensitivities around data derived from potentially identifiable human participants, these should be included in the statement."
      
      See also http://www.dcc.ac.uk/resources/policy-and-legal/research-funding-policies/stfc for the STFC policy.
      
      For observational data, a statement that the raw data are available through the appropriate telescope archive will be sufficient to cover this. However, if you wish to provide the reduced data products, these can also be uploaded to e.g. ESO. An alternate option is to state that the data are available from the lead author.
      
      An option at the ICC is to put a link to your data on the ICC published data and software page (by sending John Helly the links to the data and to the paper) and include a link to http://icc.dur.ac.uk/data/ in your paper. An alternative is to state that the data are available from the lead author.
   4. You are encouraged to also add a Rights Retention statement to the acknowledgements section of your submitted manuscript. This will help to ensure that the option remains for you to meet REF and UKRI open access requirements. The statement included in the Research Publications Policy is: “For the purpose of open access, the author has applied a Creative Commons Attribution (CC BY) licence to any Author Accepted Manuscript version arising from this submission”
   5. If you have funding from other funding agencies, check whether their rules require you to acknowledge funding and do so as appropriate.
   6. Unless Article Processing Charges (journal page charges) are to be paid by your own non-UKRI grant or that of one of your co-authors then:
      1. Make sure you are acknowledging a UKRI grant such as the Consolidated Grant or a Doctoral Training Grant
      2. Contact openaccess.publishing@durham.ac.uk prior to submission to ensure funds from the Block Grant are reserved. At this point the Open Access Team will need to know the UKRI grant code, article type and title, the journal, and whether the requestor is the corresponding author.
   7. Please re-read the Abstract and Conclusions of your paper and ensure that they highlight the interest, uniqueness and impact of the work in a way which would be accessible to a non-specialist reader.
   
   
2. WHEN SUBMITTING THE PAPER

   Use your Durham institutional email address when making the submission as this is used by the journal to check if you belong to an institution which has an open access agreement (potentially allowing you to publish open access if all other criteria are met). Ensure that you are clear at this point how you will meet the open access requirements and if there are any mandatory open access (or other publication charges) how these will be covered. More extensive information is available on the Publisher Agreements web pages maintained by the Durham open-access team.

   
   
   
3. WHEN THE PAPER IS ACCEPTED [STEP 2 below should be followed even if you are a co-author on a paper led from outside Durham]
   1. Complete the licence agreement for the publisher - if the corresponding author is from Durham then when submitting the paper to MNRAS you can tick the "Gold OUP licence" (See the webpage maintained by Durham's open access team for more details of the types of articles covered), for other journals "Standard Licence" is fine as we will be complying with the University's Open Access policy by uploading the final version of your paper to the DRO (The University's institutional repository) from the ArXiv. See the library's OUP Open Access Account User Guide for step-to-step instructions on how to fill in the MNRAS manuscript licence.
      
   2. SUBMITTING TO THE PRE-PRINT ARCHIVE ARXIV When submitting your paper to arXiv please indicate in the authors field the Durham co authors along the lines of "(Durham-CEA)", "(Durham-ICC"), "(Durham-CfAI") for individual research groups and "(Durham-CEA, Durham-CfAI, Durham-ICC)" when listing multiple research groups. The wording does not need to be exactly the same as the examples given here - the most important thing is to indicate Durham-led papers. ArXiv asks you to choose a licence – we suggest CC-BY. For open access compliance requirements, it is also important that the version of the article is clearly detailed on Arxiv. It is the accepted version that is needed for compliance for both UKRI and REF, so please update the ArXiv posting with a version that matches the accepted version on acceptance by the journal.
   Journal Colour Printing and Page Charges
   It is not possible to use our UKRI (e.g., STFC) grant funds to pay for page charges in journals. We are also unable to provide astronomy-group funds (either ICC or CEA) to pay for either page charges, the costs of colour figures in printed versions of journals. The previous UKRI block grant, administered by the library, also can no longer be used for any of these costs. In general individuals will need to identify other funds to cover these costs. However, note that the UKRI block grant can be used to cover some article processing charges but should be used very sparingly as the funds are limited and are intended to support all research groups across Durham University