XClose

Library Services

Menu

FAQs: REF & open access

These FAQs provide supplementary information about the REF open access policy for UCL researchers and administrators.

What if I don't have the final accepted manuscript?

You need to ask the corresponding author or your co-authors for the final accepted manuscript so that you can upload it. Alternatively, the journal may be able to provide you with a copy that you can use. If you have not been able to obtain the final accepted manuscript, contact the Open Access Team.

When asking non-UK authors for the final accepted manuscript you can use the following explanation:

UK research funders require UK authors to deposit their final accepted manuscripts in their institutional repository. The manuscript, which is the version of the article that was peer-reviewed but without the publisher's typesetting, will be made open access in UCL Discovery after the embargo period on open access, according to the publisher's policy. Meeting this requirement has a significant impact on future funding.

Can I include changes made in copy-editing?

The REF policy requires authors to upload their final accepted manuscript, after peer-review but before publisher copy-editing and typesetting.

While the accepted manuscript contains all changes arising from peer-review, it does not usually contain changes made during copy-editing and typesetting. If you would prefer to upload a version that contains these changes, you can either copy them into the accepted manuscript, or ask the publisher for a later version that can be made open access.

Whose responsibility is it to upload?

It is every UCL author's responsibility to make sure that the final accepted manuscript is uploaded to RPS. Where a paper is co-authored by several UCL researchers, only one of them needs to upload the paper to RPS. If a paper involves authors at more than one UK institution, the accepted manuscript must be uploaded to each institution's repository.

If your paper was uploaded to another institution's repository or a subject repository - but not to RPS - within the required period, it may be possible to demonstrate that it complies with the REF policy. Contact the Open Access Team, providing the URL of the paper in the other repository, to discuss this.

Can someone else upload my paper for me?

Although it is each author's responsibility to maintain their publications records in RPS, authors can delegate access to someone else with an RPS account - an administrator or PA, for instance. Delegates can manage publication records and upload files to them, though the author must provide the final accepted manuscript. To set up a delegate, in RPS go to Menu (top left) > My Profile > Settings > Manage Delegates. Enter the surname of your delegate, then select their name from the drop-down box that will appear. Click 'Add delegate'.

Where a paper is co-authored by several UCL researchers, only one of them needs to upload the paper to RPS.

I am a new member of staff. Do I need to upload my old papers?

No. Papers qualify for an exception from the REF open access requirement, and are eligible for submission to the REF, where:

  • when the paper was accepted, the author to whom the paper is attributed in the REF submission was employed at a UK HEI other than UCL, and it is not possible to determine (from any other repository) that it complies with the policy.
  • when the paper was submitted, the author to whom the paper is attributed in the REF submission was not employed at a UK HEI.

If I won't be at UCL at the time of the next REF. Do I still have to upload?

Yes. It is important that all papers that fall under the policy are uploaded, so that they are eligible for submission - regardless of where the authors are based at the time of the next REF.

I am a Post-Doctoral Research or Teaching Assistant/honorary staff. Why am I being reminded to upload?

Post-Doctoral Research and Teaching Assistants, and honorary staff, are encouraged to upload all their papers. Papers co-authored with other UCL researchers must be uploaded, because they need to be made eligible for REF submission. Post-Doctoral Research and Teaching Assistants, and honorary members of staff who co-author a paper with a full member of staff, will receive reminders to upload. Only one co-author needs to upload the final accepted manuscript.

The REF policy promotes open access for all outputs, and Units of Assessment can demonstrate their wider commitment to open access in their REF Environment statements. Uploading papers allows authors to take advantage of the benefits of making their research freely available, including increased citations and downloads.

Do I risk breaching my publisher's copyright conditions?

No. Uploading your accepted manuscript to RPS does not make it openly available automatically. After you upload, the Open Access Team will check the file and apply the relevant open access embargo period.

Publishers normally impose an embargo (delay) on making papers open access (this is set out in the terms and conditions/copyright transfer agreement you agree to when you publish), except where a fee is paid for Gold open access. The citation and abstract will appear in UCL Discovery after the Open Access Team has processed the file, but the accepted manuscript itself will only be made open access after the embargo period.

If you are uploading before publication, you can contact the Open Access Team to request that the citation and abstract are not made public until after publication - though publishers do not normally consider that making this information available in an open access repository breaches any publication embargo.

Does the REF policy affect where I can publish?

The REF open access policy does not restrict authors' choice of the most appropriate journal for their output.

Most journals are compliant with the policy. Where a journal does not comply, because it does not allow open access in a repository within 12 months (REF panels A and B) or 24 months (REF panels C and D) of publication, or doesn't allow open access in a repository at all, the author is encouraged to consider publishing in an alternative journal. See REF Units of Assessment for more information on panels and units of assessment.

If the author still wishes to publish in the chosen journal, and considers that it is the most appropriate publication for the work, an exception to the policy applies. The accepted manuscript should still be uploaded to RPS within the required period.

If my paper is (or will be) published open access, should I still upload it?

If your paper is published as Gold open access - i.e. open access on the publisher's website - as soon as it is published, under a licence that permits copying and reuse, you do not need to upload it to RPS. The paper complies with the REF policy. Most Gold open access papers are published under a Creative Commons (CC) licence, which meets these requirements. If your paper is open access, but does not have a Creative Commons (CC) licence, you should upload the final accepted manuscript to RPS within the required period.

Accepted manuscripts deposited in other repositories (e.g. Europe PubMed Central or another institution's repository), either by authors or publishers, should be uploaded to RPS as well. If your paper was uploaded to another repository, but not to RPS, within the required period, it may be possible to demonstrate that it complies with the REF policy. Contact the Open Access Team, providing the URL of the paper in the other repository, to discuss this.  

Does putting my paper in a pre-print service, ResearchGate or another repository comply?

Unless your paper is published as Gold open access, the final accepted manuscript should be uploaded to RPS, even if the paper is available through a pre-print service (e.g. arXiv, bioRxiv, chemRxiv, medRxiv or SSRN). These services cannot be used to demonstrate compliance with the REF open access policy, because they do not usually identify the version that was uploaded. However, where a version identical to the accepted manuscript/final version was uploaded to a pre-print service before first online publication, the paper can be treated as compliant with the REF open access policy under a special provision in the policy. Contact the Open Access Team if this applies to any of your papers. 

If your funder requires open access in a subject repository such as Europe PubMed Central, and your paper is not Gold open access, you will need to upload your manuscript both to Europe PubMed Central and to RPS. If your paper was uploaded to another institution's repository or a subject repository, but not to RPS, within the required period, it may be possible to demonstrate that it complies with the REF policy. Contact the Open Access Team, providing the URL of the paper in the other repository, to discuss this.

Sites like ResearchGate and Academia.edu are social networking sites with commercial business models. They do not ensure long-term access to deposited publications. Uploading to these sites does not satisfy the requirements of the REF open access policy.

My paper is "free", or shows an open padlock. Do I still have to upload it?

Publishers often make papers freely available for a limited period of time. This is not the same as Gold open access, which means that the paper will be openly available in perpetuity on the publisher's website, with a licence that permits copying and reuse. Where a paper is labelled "free" or "free to view", the accepted manuscript still needs to be uploaded to RPS.

An open padlock on the publisher's website may not denote open access. It is often just an indication that the content is available through a UCL subscription.

Gold open access papers are normally labelled "open access", and usually contain a Creative Commons licence statement. See If my paper is (or will be) published open access, should I still upload it?