Open access (OA) in the Research Excellence Framework (REF) - Ben Johnson, HEFCE

OA in the REFBEN JOHNSON

HEFCE

Shape of this presentationOA policy overview

Approach to compliance

Something about audit

Q&A

OA policyAims 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

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

DatesLink 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

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 datesLink 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

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.

Information and audit requirements

http://is.gd/refaudit

http://is.gd/refaudit

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

A typical recordField Data

DOI 10.9999/12345.6789a


Journal article



AM




Output is within the scope of the REF OA policy


DOI 10.9999/12345.6789a


Journal article



AM




Deposit happened within three months of acceptance



DOI 10.9999/12345.6789a


Journal article



AM





Deposit was correct version



DOI 10.9999/12345.6789a


Journal article



AM





Deposit was correct version

Output became OA within permitted embargo length


We will be flexibleIn 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

Questions?

[email protected]@hefce.ac.uk

mailto:[email protected]

mailto:[email protected]

Open access (OA) in the Research Excellence Framework (REF) - Ben Johnson, HEFCE

Education

Transcript of Open access (OA) in the Research Excellence Framework (REF) - Ben Johnson, HEFCE