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Open Access: Open Access Policies & Compliance

Open Access Library Guide

Within three months of the date accepted for publication, authors need to deposit in RIS:

 metadata (description of research output)   
 full text (author's accepted manuscript) 

Outputs under publisher embargo can be submitted to REF 2021.

Policy Information - What do I need to do?

What type of material is covered by the requirements for the next Research Excellence Framework?

REF Open Access requirements apply to papers accepted from 1 April 2016

The policy covers journal articles and conference papers which are in a publication with an ISSN. No other type of material is required but HEFCW  / HEFCE are keen to see universities make as much as possible open access and universities will get credit for going beyond the requirements.

You must deposit your author accepted manuscript within 3 months of the date of acceptance to be eligible for REF. 
There are some exceptions to the REF Open Access requirements.  Exceptions include:

  • You were not employed by a UK HEI at the time of publication submission
  • You were employed at a different UK HEI which failed to comply with the criteria
  • It would be unlawful to deposit
  • It would present a security risk to deposit
  • The publication concerned requires an embargo period that exceeds the stated maximum, and it was the most appropriate publication for the output
  • Open Access rights could not be granted for third party content
  • The publication concerned actively disallows open access deposit, and it was the most appropriate publication for the output

The policy does not apply to monographs or other long form publications, to non-textual outputs, research data, conference proceedings published with an International Standard Book Number (ISBN), or publications that must remain confidential for security or commercial reasons. Journal articles and conference proceedings published before 1 April 2016 are not subject to the policy.

Contact us if you require support or visit our FAQ tab on this guide.  
The REF2021 at Swansea University site is also available behind a Collaborate login.

What do I need to do to comply with the University / HEFCW open access policy?
  • All Swansea University researchers are expected to ensure that their published outputs align with the University OA policy and the requirements for submission to REF 2021. Many external funders also have open access requirements that exceed the REF policy which will apply to any research acknowledging funding.
  • When you have an article or conference paper accepted for publication make sure you deposit it in the Research Information System (RIS) straight away. It must be the peer reviewed version with the text basically as it will appear in the journal but without the publisher formatting (unless you have paid an article processing charge to the publisher).
  • You will need to check that your publisher allows you to do this and whether they require an embargo period. Use the Sherpa Romeo tool to see a summary of the publisher copyright and self-archiving policy for your chosen title.

Find out more about RIS & Cronfa in our Institutional Repository Guide.

Horizon 2020 grant holders must ensure open access to all peer reviewed publications from research funded by the project

In order to comply with the policy using either green or gold open access routes:

  • You can choose to charge the cost of gold open access back to your Horizon 2020 grant using a reimbursement mechanism during the life of the project. You should also deposit a self-archived copy in RIS to ensure long term preservation.
  • The green open access repository can be a disciplinary repository (e.g. arXiv or PubMed) or the Swansea University institutional repository.
  • Deposit the author's accepted manuscript (AAM) in the Research Information System (RIS) for publication in Swansea University's research repository, Cronfa under the required embargo (green self-archiving).
    • Horizon 2020 expect open access using the self-archiving green route with an embargo that is no longer than six months or 12 months for social sciences and humanities.

Please ensure that you include the following metadata:

  • (DOI), a persistent digital identifier which links to an authoritative version 
  • acknowledge the funder, for example:  'The research has received funding from the European Union's Horizon 2020 Programme under grant agreement xxxxx'
  • publication date, embargo period if applicable

Research Data (from January 2017-)
You should make your data 'as open as possible, as closed as necessary'. The open access requirement only applies to research data related to scientific publications. See the research data management website for further information.

EC Open Research Data Pilot


Sherpa Romeo Tool

Publisher copyright policies
& self-archiving

Sherpa Juliet Tool

Funders & Authors Compliance Tool