Open Access: the post 2014 REF and the University Publications Policy

Pat SpoorNicola Barnett

June 2015research@library.leeds.ac.uk

HEFCE policy on open access

The policy states that certain outputs must be available in an open-access form to be eligible for submission to the next REF

The policy applies to:

• Journal articles accepted for publication from 1st April 2016

• Conference papers [with an ISSN] accepted for publication from 1st April 2016

Implementing HEFCE requirements from April 2015

• Encouraged by HEFCE• Raising author awareness• Testing new processes and systems• Assessing Library staffing requirements• Monitoring compliance

What is meant by date of acceptance?

Add metadata (red star = mandatory field)

Enter the date of acceptance (also vital)

What happens next?

• Where no embargo applies, the Library has one month to make the full text available in WRRO

• Where the publisher requires an embargo, this will be applied and the item made open access as soon as it expires

• Where the wrong file has been deposited or no date of acceptance provided we will contact the author and the school support contact asap

• We will only contact you if there is a problem

Policy exceptions

• These are set out in the HEFCE policy documento Deposit o Access o Technicalo Other

• Where a journal or conference paper covered by the policy is not compliant, and is not covered by an exception, it will not be eligible for submission to the REF

Deposit exceptions (3 month deadline doesn’t apply – but must still be deposited at the first possible opportunity):

• Individual was not employed by a UK HEI at the point of acceptance

• Individual was unable to secure the use of a repository• Individual experienced a delay securing the final peer-reviewed

text (e.g. for multi-authored papers)• It would be unlawful, or present a security risk, to deposit the

output

Access exceptions (these outputs must still be deposited):• Output depends on third party content for which open access

rights could not be granted• The publication concerned requires an embargo period that

exceeds the stated maxima, and was the most appropriate for the output

• The publication concerned actively disallows open-access deposit, and was the most appropriate for the output

Technical exceptions (3 month deadline doesn’t apply – but must still be deposited at the first possible opportunity):• At acceptance, the individual was at a different UK HEI that

failed to comply• A short-term technical failure within the repository prevented

compliance• An external service provider failure prevented compliance (e.g.

a subject repository ceased to operate)

Tell us about any exceptions

HEFCE audit of compliance

• Provisional guidelines availablehttp://tinyurl.com/http-hefce-ac-uk-oaaudit

• Emphasis on processes and systems

• Expectation - small number of exceptions. RIS will contact you to collect some more information.

Monitoring REF compliance

• No easy way of doing this• Library will work with School contacts to periodically produce

lists of submitted items so schools/faculties can check and report on what’s missing

• OA Monitor

What is not covered by the HEFCE policy?

• Monographs and other long-form publications

• Non-text, creative and practice-based research

• Research data

• However, where an institution can demonstrate that it has taken steps towards enabling open access for outputs outside the scope of the policy, credit will be given in the research environment component of the post-2014 REF.

Updated University Publications policy

• Takes effect from April 2015 - in preparation for the HEFCE requirements

• Requires outputs to be deposited at the point of acceptance for publication

• Applies, where practical, to all forms of publications • Requires publications to be linked to grants in Symplectic• Encourages authors to sign up for an ORCiD identifier

http://orcid.org/

Pre-April 2015 publications

• Do not create a manual record

The author should • Wait till they are notified that a record has been added to

Symplectic• Check and claim it in Symplectic• Upload the author accepted manuscript (AAM) – unless they

have paid for gold OA

• Gold OA means that the published version can be uploaded

Don’t forget about funder policies

• Check them at http://www.sherpa.ac.uk/juliet/ • You may need to

–Use a specific licence eg. CC-BY–Publish in a journal that will deposit the full text in PubMed Central or similar repository within a time limit–Acknowledge funder in the paper–Provide access to research data

Further information/help

• Guides in Symplectic Help menu https://publications.leeds.ac.uk/information.html

• Researcher@Library OA pages http://library.leeds.ac.uk/open-access

• University Publications Policy http://library.leeds.ac.uk/university-publications

• HEFCE policy http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/

• HEFCE FAQs http://www.hefce.ac.uk/rsrch/oa/FAQ/

• Enquiries about OA to research@library.leeds.ac.uk

School level help

• Authors can request support by emailing see-publication@leeds.ac.uk