REF open access requirements

There are number of exceptions to the requirements of the REF Open Access policy. If an output falls under an exception, it can be submitted to the REF even if has not met all the Open Access requirements. In most cases, evidence will need to be provided before an exception is applied to an output.

This page provides a summary of the exceptions; full details can be found in the REF Open Access policy.

The output was not deposited within three months of acceptance, but was deposited within three months of the earliest publication date

All other requirements must be met for this exception to apply. This exception is not relevant for outputs published from 2026 onwards, as a change to the requirements means outputs meeting these criteria will be compliant. This exception is currently checked and applied by the Library; please email the Library REF team via libraryref@leeds.ac.uk regarding any outputs where this exception may apply.

Delay acquiring the accepted manuscript

If the author cannot acquire the accepted manuscript within the timeframe required, for example because a co-author did not provide it in time, an exception applies if there is evidence that reasonable attempts were made to acquire the manuscript within the required timeframe.

The output cannot be made openly available because it includes content where copyright is held by a third-party

If the output includes third-party content, and the rights to make that content open access in line with REF requirements cannot be obtained, an exception will apply. The output must still be deposited within the required timeframe.

The publisher does not permit open access for the output

Authors will need to provide evidence that the output was published in the most appropriate publication. For outputs published between 2021 and 2025, the accepted manuscript must still be deposited within the required timeframe. For outputs published from 2026 onwards, the output does not have to be deposited for this exception to apply.

The embargo period required by the publisher is longer than the policy permits

Authors will need to provide evidence that the output was published in the most appropriate publication. The output must still be deposited within the timeframe required by REF and must be made available at the end of the embargo period required by the publisher.

Deposit would be unlawful

An exception applies if it would be unlawful to deposit the output, unlawful to request its deposit or unlawful to otherwise make it openly available.

The author was no longer employed by the University of Leeds at the time of publication

Outputs published after the end of the author’s period of employment at the University of Leeds may be eligible for an exception.

The author was not employed by a UK institution when the article was submitted or was not employed by the University of Leeds when the article was accepted

These outputs are eligible for an exception if published 2021–2025. Such outputs would still need to have a substantive link to the submitting institution to be eligible for submission, as per Section 6 of the Contributions to Knowledge and Understanding (CKU) guidance.

The author is, or was, not eligible to be included in the volume measure for the REF

See Volume Measure guidance – REF 2029 for information on which staff are included in the volume measure.

Any other circumstances beyond the control of the University which prevent compliance

There is a general “Other” exception for any circumstances beyond the control of the University which prevent compliance, including personal circumstances of the authors, industrial action, closure days and software issues.

Additional exceptions for outputs published 2021–2025

For outputs published between 2021 and 2025, the following additional exceptions may also apply if:

• at the point of acceptance, it was not possible to secure the use of a repository.
• depositing the output would present a security risk.
• the repository experienced a short-term or transient technical failure that prevented compliance with the criteria.
• an external service provider (such as a subject repository) failure prevented compliance.

For outputs published 2026 onwards, these would fall under the “Other” exception.