Open access (OA) in the Research Excellence Framework (REF) - Ben Johnson, HEFCE
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Part of the Jisc event: How compliant is your institution? Meeting RCUK and REF metadata and policy requirements, which took place on on 24 November 2015. More information about the event can be found on the Jisc website: https://www.jisc.ac.uk/events/how-compliant-is-your-institution-24-nov-2015
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Open access (OA) in the Research Excellence Framework (REF) - Ben Johnson, HEFCE
- 1. OA in the REF BEN JOHNSON HEFCE
- 2. Shape of this presentation OA policy overview Approach to compliance Something about audit Q&A
- 3. OA policy Aims and objectives The policy in a nutshell ◦ It’s an eligibility requirement ◦ Deposit in IR/SR within three months of acceptance ◦ Make discoverable straightaway ◦ Make accessible ASAP (and within embargo maxima) ◦ Exceptions ◦ FAQs
- 4. How does it look? Deposit on acceptance Full text and basic metadata Closed deposit if necessary Date of acceptance DOI and ORCID Sort out the repository entry Remaining metadata Dates Link to CRIS? Any supporting info? Sort out the REF submission Compliance checking Exceptions REF verify and audit Data verified by REF system Random audits Panel- generated audits
- 5. How does it look? Deposit on acceptance Full text and basic metadata Closed deposit if necessary Date of acceptance DOI and ORCID Sort out the repository entry Remaining metadata Other dates Link to CRIS? Any supporting info? Sort out the REF submission Compliance checking Exceptions REF verify and audit Data verified by REF system Random audits Panel- generated audits
- 6. Verification and audit - principles a. The collection, retention and submission requirements should be minimal. b. The audit process should give assurance that the information and data submitted are accurate and reliable and that declarations made about compliance are accurate. c. The audit process should be light-touch, checking processes rather than data wherever possible. d. Where samples are taken for auditing the use of exceptions, these should be weighted towards units of assessment within an HEI’s REF submission that show higher than average uptake of exceptions. e. Processes and data relating to outputs published by an individual while not employed by the submitting HEI will not be audited. This includes outputs published while at a different UK HEI. f. Information requirements should be unified with those of the research councils wherever possible.
- 8. A typical record Field Data DOI 10.9999/12345.6789a Output type (rioxxterms:type) Journal article Acceptance date 2017-05-22 Version of deposited file (rioxxterms:version) AM Deposit date 2017-06-11 Publication date 2017-07-11 Embargo end date 2018-07-11
- 9. A typical record Field Data DOI 10.9999/12345.6789a Output type (rioxxterms:type) Journal article Acceptance date 2017-05-22 Version of deposited file (rioxxterms:version) AM Deposit date 2017-06-11 Publication date 2017-07-11 Embargo end date 2018-07-11 Output is within the scope of the REF OA policy
- 10. A typical record Field Data DOI 10.9999/12345.6789a Output type (rioxxterms:type) Journal article Acceptance date 2017-05-22 Version of deposited file (rioxxterms:version) AM Deposit date 2017-06-11 Publication date 2017-07-11 Embargo end date 2018-07-11 Deposit happened within three months of acceptance Output is within the scope of the REF OA policy
- 11. A typical record Field Data DOI 10.9999/12345.6789a Output type (rioxxterms:type) Journal article Acceptance date 2017-05-22 Version of deposited file (rioxxterms:version) AM Deposit date 2017-06-11 Publication date 2017-07-11 Embargo end date 2018-07-11 Deposit happened within three months of acceptance Deposit was correct version Output is within the scope of the REF OA policy
- 12. A typical record Field Data DOI 10.9999/12345.6789a Output type (rioxxterms:type) Journal article Acceptance date 2017-05-22 Version of deposited file (rioxxterms:version) AM Deposit date 2017-06-11 Publication date 2017-07-11 Embargo end date 2018-07-11 Deposit happened within three months of acceptance Deposit was correct version Output became OA within permitted embargo length Output is within the scope of the REF OA policy
- 13. We will be flexible In theory, all outputs can comply or meet exception criteria But it’s easier said than done! Communicating the policy will take time – best endeavours Flexibility in Year 1 while technology to support DoA gets up to speed We are considering setting a firm and final date for deposit Legitimate human error or oversight is OK ◦ Especially given how the mix of disciplines can affect progress Numbers of exceptions claimed will not affect the result