open access (oa) in the research excellence framework (ref) - ben johnson, hefce
TRANSCRIPT
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.
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
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
A typical recordField 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
A typical recordField 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
A typical recordField 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
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