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City Research Online and REF

Research outputs exempted from meeting Open Access requirements

In some cases it will not be possible for a publication within the scope of the policy to meet the requirements set out by the policy. These exemptions are listed below and need to be recorded and submitted to REF 2021. 

Access exceptions

In some cases it will be possible to deposit publication output as set out by the policy but it won't be possible to make the full text openly accessible. In these cases, the publication outputs still need to be deposited in CRO. Access exceptions apply in the following cases.

  • Output depends on reproduction of third party content for which Open Access rights cannot be granted

In the following cases the publishers must have been identified as the most appropriate ones for the research outputs

  • The embargo set out by the publisher exceeds the maximum allowed embargo period set out by the policy
  • The publisher actively disallows Open Access archiving in repositories 

Deposit exceptions

Exeptions permissible where outputs were not deposited within 3 months of acceptance. 

  • Author didn't have access to a repository at a time of acceptance
  • Submitting author was not able to secure access to Author Accepted Manuscript 
  • Author was not employed by UK HEI at a time of submission for publication
  • It would be unlawful to submit the publication
  • Deposit of the publication would present a security risk
  • The output is published using Gold Open Access route

Technical Exceptions

  • Author was employed by different UK HEI who failed to comply with Open Access criteria
  • The repository experienced a technical issue preventing the output to comply with the Open Access criteria 

Publications within the scope of the Open Access policy for REF 2021 but not put towards REF 2021

There will be publications identified by the system as within the scope of the Open Access policy for the REF 2021 which will not be put towards REF 2021.

These can be, but are not limited to:

  • Editorials
  • Conference abstracts only
  • Corrections
  • Book reviews

How to tell us about these publications?