Library: Research Publishing: What is REF?

Explanation of REF

The Research Excellence Framework (REF) is the UK's system for assessing the quality of research in UK higher education institutions. The last exercise took place in 2021.

On 12 May 2022 the results of the REF 2021 exercise were announced and Staffordshire University has achieved a substantial improvement in our research performance:68% of Staffordshire University's research was recognised as 3* and 4*, which is “internationally excellent” and “world leading” respectively.

To find out more about the last REF visit the REF 2021 page, or contact the Library via email at: store@staffs.ac.uk

The Next REF

What will the expectation be for the next REF..?

Although no announcements have yet been made about how and when any future REF exercise may be run it is generally assumed that this submissions will be due in 2027 and results announced in 2028. For Open Access it is expected to follow the new UKRI policy. However, until official guidance is announced we are expected to follow the guidance provided for REF 2021.

REF guidance:

The policy will require outputs to be deposited as soon after the point of acceptance as possible, and no later than three months after this date (as given in the acceptance letter or email from the publication to the author) from 1 April 2018.

For the purposes of REF we need the version after acceptance, but before it has been typeset by the publishers - so the raw unadulterated version. It is usually in Word format (but can be a PDF), it will usually have no information about the publisher, or reference to the journal, volume etc.

What you need to do

What do I need to do to?

You will need to deposit your research in STORE (STaffordshire university Online REpository)

For Manuscripts please deposit the Author Accepted Manuscript on acceptance of your paper. Outputs that fail to meet the criteria of deposit within 3 months of acceptance cannot be submitted to the REF. If there is a genuine reason for non-deposit within this timescale, please refer to the exceptions guidance below and send the Library team your exceptions statement with details of your deposit.

For all other research outputs please deposit the item in STORE as soon as possible after publication/creation.

If you are unsure of your deposit type please contact the Library via email at: store@staffs.ac.uk

What is an Author Accepted Manuscript?

Publishing process The author’s final, accepted manuscript is the one that has been agreed with the editor at that point. The accepted manuscript is not the same as the copy-edited, typeset or published paper – these versions are known as ‘proofs’ or ‘versions of record’ and publishers do not normally allow authors to make these open-access.‌

What is meant by the date of acceptance?

HEFCE define the date of acceptance as the point at which the author is notified that:

their output has been reviewed by the journal or conference (normally via peer review)
all academically necessary changes have been made in response to that review
the output is ready to be taken through the final steps toward publication (normally copy-editing and typesetting).

By this point, the paper should have been updated to include all changes resulting from peer review as well as any changes of an academic nature requested by the journal editor or conference organiser.

Does the REF policy require deposit within 3 months of acceptance, or publication?

The REF policy requires papers to be uploaded within 3 months after first online publication during the first year of the policy, and then within 3 months of acceptance from April 2018.

What happens once I have deposited my research?

The Library team will check the deposit to make sure it is compliant with the REF Open Access policy. They will check to see if an embargo period needs to be applied to the manuscript and check the correct license is applied to the output. They will also check that the correct version of the manuscript has been deposited. The deposit is given a final QC by the librarian and then it will be made 'live' in the repository. The team will contact you if they have any questions about the output.

Help and support

Do not hesitate to contact the Library via email at: store@staffs.ac.uk for further assistance or training.

Exceptions

To be compliant with the REF OA policy outputs will need to be deposited as soon after the point of acceptance as possible, and no later than three months after this date (as given in the acceptance letter or email from the publication to the author) from 1 April 2018.

Authors should ensure that their outputs which fall within the scope of the REF Open Access policy meet the requirements of the policy if they are to be eligible for REF submission. In certain circumstances it is understood that it is has not been possible to meet the compliance requirements of the policy. The policy does in these circumstances allow for a number of exceptions to be applied where relevant.

How to apply an exception

These exceptions are listed within this guide.

If possible authors should indicate a possible exception when they add their publication to STORE - please email the STORE team with the relevant evidence / supporting statement. For publications already added to STORE please also contact the STORE team with the information.

Overview of the exceptions (see individual tabs for details)

Deposit exceptions

The following exceptions deal with cases where the output is unable to meet the deposit requirements. In the cases listed, the output will not be required to meet any of the open access criteria (deposit, discovery or access requirements). However, Staffordshire University authors are expected to ensure their article is made open access wherever possible, in line with both the REF the university’s open access policy. Access exceptions

The following exceptions deal with cases where deposit of the output is possible, but there are issues to do with meeting the access requirements. In the following cases, the output will still be required to meet the deposit and discovery requirements, but not the access requirements. A closed-access deposit, where allowed, will be required.

Technical and other exceptions

The following exceptions deal with cases where an output is unable to meet the criteria due to a technical issue. In the following cases, the output will not be required to meet the open access criteria (deposit, discovery or access requirements).

Two further exceptions to the policy are outlined under this section.

Exception	Evidence required for audit	Example text which could be provided as supporting evidence by author / UoA lead	Notes re: evidence required	Who is responsible for identifying if applicable
252.a. At the point of acceptance, it was not possible to secure the use of a repository	Descriptive explanation of situation and difficulties encountered required, and where applicable data held as evidencing use of this exception must respect individual’s privacy.		We cannot foresee circumstances in which a Staffordshire University author would apply this exception. See also exceptions 252c (not employed at a UK HEI at time of submission), 254a (not employed at Staffordshire University at time of acceptance) or 254b (technical failure prevented deposit)	Staffordshire University author of output
252.b. There was a delay in securing the final peer-reviewed text (for instance, where a paper has multiple authors).	Descriptive explanation of difficulties encountered required, and where applicable data held as evidencing use of this exception must respect individual’s privacy.	The corresponding author ([insert author name], [insert author ORCiD if known]), of the article ([insert DOI]) did not provide me with a copy of the accepted manuscript to deposit in STORE within the required deposit timeframe. [If applicable:] The corresponding author has ensured that this met the REF OA requirements and the output is available from repository [insert repository name], and was deposited there on [insert date].		Staffordshire University author of output
252.c. The staff member to whom the output is attributed was not employed on a Category A eligible contract by a UK HEI (defined in paragraphs 52 to 63) at the time of submission for publication.	Evidence of submission date if available (e.g. from publisher website). Evidence that author was not employed by submitting HEI at that point.	This article was originally submitted to the journal on [insert date here]. I was not employed by Staffordshire University University at that time, and I confirm I was employed by [insert employer and country] at this time.		Staffordshire University author of output Employment dates at Staffordshire University will be determined within the REF database.
252. d. It would be unlawful to deposit, or request the deposit of, the output.	Reasonable and descriptive explanation of difficulties encountered (where lawful to collect and record). Note, that this exception cannot be used where a journal’s open access policy prohibits the article form meeting the REF requirements, or where the inclusion of third party copyright prevents access to an output. These are covered by other exceptions.	It would be unlawful to deposit this output because… [insert reasons here]	NOTE: It is unlikely that this exception will apply to the vast majority of journal articles and conference papers, which will be published and in the public domain in any case. See also exceptions 39b and 39c, where the self-archiving permissions granted to an author by a journal do not meet the requirements of REF OA policy, but this was the most appropriate journal for the article to have been published in.	Staffordshire University author of output & the submitting UoA
252.e. Depositing the output would present a security risk.	Reasonable and descriptive explanation of difficulties encountered (where lawful to collect and record).	Depositing this output would constitute a security risk because… [insert reasons here]	NOTE: It is unlikely that this exception will apply to the vast majority of journal articles and conference papers, which will be published and in the public domain in any case. See also exceptions 39b and 39c, where the self-archiving permissions granted to an author to not meet the requirements of REF OA policy but this was the most appropriate journal for the article to have been published in.	Staffordshire University author of output & the submitting UoA

Exception	Evidence required for audit	Example text which could be provided as supporting evidence by author / UoA lead	Who is responsible for identifying if applicable
253. a. The output depends on the reproduction of third-party content for which open access rights could not be granted (either within the specified timescales, or at all)	Descriptive explanation of situation and difficulties encountered, where it is not obvious that the output depends on third-party material.	This output contains third party copyright material. Whilst permission was granted to include this within the published version of the article accessible by subscribers only, permission was not granted for deposit in an open access repository. The inclusion of this third party copyrighted material is fundamental to the understanding of the output, and so provision of access to the article as a whole has not been possible.	Staffordshire University author of output Authors are advised to contact the STORE team if they believe this exception may apply.
253.b. The publication concerned requires an embargo period that exceeds the stated maxima, and was the most appropriate publication for the output.	Short explanation confirming that as the author, this journal was the most appropriate venue for publishing your research. Author’s are expected to be aware of the requirements of their funder’s and the REF Open Access policy, and to take these into account alongside other factors in deciding where is the most appropriate venue to publish their research. The choice of where to publish research outputs remains the choice of the author. Guidance on selecting a journal in your subject area, and information on the open access permissions individual journals might offer, can be sought from your School.	As the author, I confirm this was the most appropriate journal in which to publish this article. Other options which do meet the REF Open Access policy requirements were considered, but were deemed not to be the most appropriate venue to reach the most appropriate audience for this research.	Staffordshire University author of output Authors are advised to contact the STORE team if they are unsure if this exception may apply.
253.c. The publication concerned actively disallows open-access deposit in a repository, and was the most appropriate publication for the output.	Short explanation confirming that as the author, this journal was the most appropriate venue for publishing your research. Author’s are expected to be aware of the requirements of their funder’s and the REF Open Access policy, and to take these into account alongside other factors in deciding where is the most appropriate venue to publish their research. The choice of where to publish research outputs remains the choice of the author.	As the author, I confirm this was the most appropriate journal in which to publish this article. Other options which do meet the REF Open Access policy requirements were considered, but were deemed not to be the most appropriate venue to reach the most appropriate audience for this research.	Staffordshire University author of output Authors are advised to contact the STORE team if they are unsure if this exception may apply.

Exception

Evidence required for audit

Example text which could be provided as supporting evidence by author / UoA lead

Notes re: evidence required

Who is responsible for identifying if applicable

253. a. The output depends on the reproduction of third-party content for which open
access rights could not be granted (either within the specified timescales, or at all)

Descriptive explanation of situation and difficulties encountered, where it is not obvious that the output depends on third-party material.

This output contains third party copyright material. Whilst permission was granted to include this within the published version of the article accessible by subscribers only, permission was not granted for deposit in an open access repository. The inclusion of this third party copyrighted material is fundamental to the understanding of the output, and so provision of access to the article as a whole has not been possible.

Staffordshire University author of output

Authors are advised to contact the STORE team if they believe this exception may apply.

253.b. The publication concerned requires an embargo period that exceeds the stated
maxima, and was the most appropriate publication for the output.

Short explanation confirming that as the author, this journal was the most appropriate venue for publishing your research.

Author’s are expected to be aware of the requirements of their funder’s and the REF Open Access policy, and to take these into account alongside other factors in deciding where is the most appropriate venue to publish their research.

The choice of where to publish research outputs remains the choice of the author.

Guidance on selecting a journal in your subject area, and information on the open access permissions individual journals might offer, can be sought from your School.

As the author, I confirm this was the most appropriate journal in which to publish this article. Other options which do meet the REF Open Access policy requirements were considered, but were deemed not to be the most appropriate venue to reach the most appropriate audience for this research.

Staffordshire University author of output

Authors are advised to contact the STORE team if they are unsure if this exception may apply.

253.c. The publication concerned actively disallows open-access deposit in a repository,
and was the most appropriate publication for the output.

Short explanation confirming that as the author, this journal was the most appropriate venue for publishing your research.
Author’s are expected to be aware of the requirements of their funder’s and the REF Open Access policy, and to take these into account alongside other factors in deciding where is the most appropriate venue to publish their research.

The choice of where to publish research outputs remains the choice of the author.

Staffordshire University author of output

Authors are advised to contact the STORE team if they are unsure if this exception may apply.

Exception	Evidence required for audit	Example text which could be provided as supporting evidence by author / UoA lead	Notes re: evidence required	Who is responsible for identifying if applicable
254. a. At the point of acceptance, the staff member to whom the output is attributed was employed at a different UK HEI, and it has not been possible to determine compliance with the criteria.	Evidence that author was not employed by submitting HEI on the date of acceptance.	This article was originally accepted by the journal on [insert date here]. I was not employed by Staffordshire University at that time. I was employed at [INSERT INSTITUTION NAME HERE]		Staffordshire University author of output Employment dates will be determined within the REF database.
254. b. The repository experienced a short-term or transient technical failure that prevented compliance with the criteria (this should not apply to systemic issues).	Reasonable and descriptive explanation of technical failure.		N/A - If this exception is selected by an author, this will be confirmed against system logs to confirm it matches a period where access was lost for an extended period whihc prevented meeting the REF OA requirements.	Library/Digital Services to evidence
254.c. An external service provider failure prevented compliance (for instance, a subject repository did not enable open access at the end of the embargo period, or a subject repository ceased to operate)	Reasonable and descriptive explanation of external service failure.		Please detail what the external service provider is, and why you believe they failed to meet the requirements. Please contact the library for advice if required.	Staffordshire University author of output

Exception

Evidence required for audit

Example text which could be provided as supporting evidence by author / UoA lead

Notes re: evidence required

Who is responsible for identifying if applicable

254. a. At the point of acceptance, the staff member to whom the output is attributed was employed at a different UK HEI, and it has not been possible to determine compliance with the criteria.

Evidence that author was not employed by submitting HEI on the date of acceptance.

This article was originally accepted by the journal on [insert date here]. I was not employed by Staffordshire University at that time. I was employed at [INSERT INSTITUTION NAME HERE]

Staffordshire University author of output

Employment dates will be determined within the REF database.

254. b. The repository experienced a short-term or transient technical failure that
prevented compliance with the criteria (this should not apply to systemic issues).

Reasonable and descriptive explanation of technical failure.

N/A - If this exception is selected by an author, this will be confirmed against system logs to confirm it matches a period where access was lost for an extended period whihc prevented meeting the REF OA requirements.

Library/Digital Services to evidence

254.c. An external service provider failure prevented compliance (for instance, a subject
repository did not enable open access at the end of the embargo period, or
a subject repository ceased to operate)

Reasonable and descriptive explanation of external service failure.

Please detail what the external service provider is, and why you believe they failed to meet the requirements.

Please contact the library for advice if required.

Staffordshire University author of output

255. Two further exceptions to the policy are outlined below:

Exception	Evidence required for audit	Example text which could be provided as supporting evidence by author / UoA lead	Notes re: evidence required	Who is responsible for identifying if applicable
255. a. ‘Other exception’ should be used where an output is unable to meet the criteria due to circumstances beyond the control of the HEI, including extenuating personal circumstances of the author (such as periods of extended leave), industrial action, closure days, and software problems beyond those listed in the technical exceptions. If ‘other’ exception is selected, the output will not need to meet the open access criteria (deposit, discovery or access requirements).	A short written explanation for why the output could not meet the open access requirements at the point of submission to the REF		Please provide details to explain why this output did not meet the requirements. If these are related to any personal or private circumstances, please discuss with the REF Team or your assigned Unit of Assessment.	Staffordshire University author of output
255. b. The output was not deposited within three months of acceptance date, but was deposited within three months of the earliest date of publication. In this instance, the output will need to meet all other policy requirements. This exception does not need to be applied retrospectively to outputs compliant with the policy from 1 April 2016 to 1 April 2018 which fulfilled the policy requirements within three months of publication.	We would advise Staffordshire University authors to provide a short descriptive explanation as to any situation or difficulties encountered which account for the later deposit of the output.	I was unable to deposit the accepted manuscript prior to the date of publication due to: (1) an agreed publicity embargo with the publisher. (2) substantial changes being made to the article following acceptance and peer-review, which I was seeking permission from the publisher to reflect in the manuscript version deposited in the repository. (3) [insert another reason here]	IMPORTANT NOTE: In most cases, whilst an author may have a personal preference to refrain from depositing until after publication, please note that the REF audit may require a valid reason as to why the author could not deposit upon acceptance. If the relevant REF Panel do not accept the reason given, it is possible this output will receive an ungraded score in the REF.	Staffordshire University author of output

Exception

Evidence required for audit

Example text which could be provided as supporting evidence by author / UoA lead

Notes re: evidence required

Who is responsible for identifying if applicable

255. a. ‘Other exception’ should be used where an output is unable to meet the criteria
due to circumstances beyond the control of the HEI, including extenuating personal
circumstances of the author (such as periods of extended leave), industrial
action, closure days, and software problems beyond those listed in the technical
exceptions. If ‘other’ exception is selected, the output will not need to meet the
open access criteria (deposit, discovery or access requirements).

A short written explanation for why the output could not meet the open access requirements at the point of submission to the REF

Please provide details to explain why this output did not meet the requirements. If these are related to any personal or private circumstances, please discuss with the REF Team or your assigned Unit of Assessment.

Staffordshire University author of output

255. b. The output was not deposited within three months of acceptance date, but was
deposited within three months of the earliest date of publication. In this instance,
the output will need to meet all other policy requirements. This exception does
not need to be applied retrospectively to outputs compliant with the policy from
1 April 2016 to 1 April 2018 which fulfilled the policy requirements within three
months of publication.

We would advise Staffordshire University authors to provide a short descriptive explanation as to any situation or difficulties encountered which account for the later deposit of the output.

I was unable to deposit the accepted manuscript prior to the date of publication due to:

(1) an agreed publicity embargo with the publisher.
(2) substantial changes being made to the article following acceptance and peer-review, which I was seeking permission from the publisher to reflect in the manuscript version deposited in the repository.
(3) [insert another reason here]

IMPORTANT NOTE: In most cases, whilst an author may have a personal preference to refrain from depositing until after publication, please note that the REF audit may require a valid reason as to why the author could not deposit upon acceptance. If the relevant REF Panel do not accept the reason given, it is possible this output will receive an ungraded score in the REF.

Staffordshire University author of output