HEFCE state that:
"Any output submitted to the next REF that falls within the scope of this policy but does not meet its requirements or exceptions will be treated as non-compliant. Non-compliant outputs will be given an unclassified score and will not be assessed in the REF.
HEFCE allow certain exceptions to the Open Access Policy. Please read paragraphs 38-41 of the REF2021 Policy for further details.
The ePrints team will record exceptions regarding embargo length or where publications disallow Open Access.
The REF Planning Group has set up a sub-group to approve any other exception. Please email firstname.lastname@example.org for further information.
Tim Elliot, interim PVC Research on why it is important to act on acceptance.
To be eligible for the next REF exercise, upload all articles and conference proceedings to our institutional repository on acceptance.
You must also upload the Accepted Manuscript of your article, i.e. the peer-reviewed version of your article with publisher's edits, but not the final published layout.
More information about the Research Excellence Framework (REF) and why it is important.
The University of Southampton revised its Open Access Policy in February 2016.
Further information on services provided by the Library to support the policy, including monitoring progress, is available via Open Access to research outputs: supporting policy compliance (March 2016)
Accepted Manuscript (AM) - The peer-reviewed version of an article/conference proceeding that has been accepted for publication. The content of the article is the same as the published version, but it is not the final published article with the publisher's typesetting and layout (e.g. page numbers).
Embargo - an embargo is a time period during which your article must not be made publicly available via the institutional repository. The embargo will vary depending on the publisher. The paper will be locked down and set to release automatically on the appropriate date.
Every Southampton author/co-author of articles or conference proceedings (with an ISSN).
Even if you are not the corresponding author, it is your responsibility to upload, or at least check that the paper has been uploaded, to PURE.
Upload accepted manuscripts of articles or conference proceedings (with an ISSN). Monographs, books and other book chapters do not need to be uploaded.
An author or administrator can create a basic record with author, title and DOI if you have it at acceptance. The Library will update this to a full record after publication.
Manuscripts can be uploaded by an author, or an administrator or you can email the manuscript file to email@example.com
Each co-author should upload their accepted manuscripts or check that the manuscript has been uploaded. Duplicate detection at the point of deposit is in place. If any should slip through the Library will sort these out.
This is the final accepted version of the manuscript that is ready for publisher typesetting. You don’t usually have the right to deposit typeset or ‘publisher’ versions. What HEFCE require is the final ‘author version’, before the publisher’s copy-editing, proof corrections, layout and typesetting (e.g. page numbers).
If your journal requires you to submit your article using a template, the post-peer review version of the article in the template is permissible as an accepted manuscript version, as long as it has not yet gone through final copy editing, i.e. before the volume, issue, page etc. information has been added.
No, the ‘act on acceptance’ requirement does not apply to research students. Whilst PhD researchers may publish outputs that are later submitted to REF, those produced while the author was a student are exempt. They are covered by a policy exception, which excludes individuals not employed by a UK HEI at the time of submission for publication from the requirement to act.
As soon as your peer-reviewed manuscript has been accepted and is available, and at the very latest within 3 months of the date of acceptance.
For conferences where papers are submitted in full after the conference, the date of receipt of the final manuscript by the publisher is taken as the date of acceptance.
No. Books/book chapters do not have to be Open Access in order to qualify for the REF and they do not have to be deposited into PURE immediately.
However as our REF return is compiled from items listed on our institutional repository, you will need to create a record for the book or other output eventually.
HEFCE have stated that additional credit many be given in the next REF if we do make books, data and other forms of output not listed in this policy available.
As we cannot guarantee that subject repositories will meet the metadata requirements of the policy you must deposit the manuscript into PURE. This ensures publication complies with HEFCE’s requirements. For example, subject repositories do not always collect ‘date of acceptance’ or information about the document version.
ResearchGate, Academia, and Sci-Hub are not subject repositories and would not meet the requirements of the policy. You can ensure compliance by depositing your author manuscript into Pure.
This is the date when the output was ‘firmly’ accepted for publication (after all peer-review changes have been made and it is ready for publication), as opposed to any earlier ‘provisional’ or ‘conditional’ acceptance. For more on this see HEFCE’s FAQ at http://www.hefce.ac.uk/rsrch/oa/FAQ/#deposit4.
The HEFCE policy states that when a researcher moves between two HEIs, it will be acceptable for their deposited outputs to move to the new institution’s repository, as long as there is no interruption to discovery or access during the transition. Please contact firstname.lastname@example.org for advice on adding your publications to Pure.
If you were not employed by a UK HEI at the time of submission for a publication, the publication will not be required to meet any of the open access criteria, and should be considered beyond the scope of this policy.
Further information can be found in the HEFCE Open Access policy
There is no way to know with certainty which publications may be needed for a future REF submission. Therefore researchers need to take individual and timely action for every journal article or conference proceeding that they produce. Depositing your manuscript into PURE doesn’t mean that it will be made open access immediately.
The policy requires this, but there is usually a time delay before this happens. The Library will check embargo periods. The manuscript will only be made openly available (post-publication) if and when it complies with the requirements of the publisher and/or funder, e.g. 12 months after publication.
No. You still need to upload your accepted manuscript but if the publisher does not allow open access, or has an embargo period that is too long, these are permitted exemptions to the policy and the embargo can remain in place. The funder may require you to pay e.g. we hold central funds for RCUK and COAF, but you should never have to use your services rendered or any other source of individual or Faculty funds to pay for open access.