OA, metadata, REF

Ben JohnsonHEFCE

Contents

• Reminder of REF policy for open access

• Introduction to information and audit requirements

• Next steps

• Questions

REF policy

• Next REF will have an OA requirement on submitted outputs

• Immediate deposit mandate (AAM within three months of acceptance)

• ‘Discoverable’ straightaway

• ‘Accessible’ as soon as possible

Discoverable

Accessible

• As soon as possible (embargo periods respected)

• Free to read, download, perform in-text search

• No special licence beyond publisher basic green OA

Accessible

Exceptions

• Technical problems

• Deposit not possible

• Access not possible

• Other

Questions

• What exactly do we need to keep?

• How will this be audited?

• What metadata are needed?

• How will this link with the RCUK data requirements?

Information and audit requirementshttp://is.gd/OAREFm

Principles• The collection, retention and submission requirements should be

minimal.

• The audit process should give assurance that the information and data submitted are accurate and reliable and that declarations made about compliance are accurate.

• The audit process should be light-touch, checking processes rather than data wherever possible.

• 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.

• 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.

• Information requirements should be unified with those of the research councils wherever possible.

Principles• The collection, retention and submission requirements should be

minimal.

• The audit process should give assurance that the information and data submitted are accurate and reliable and that declarations made about compliance are accurate.

• The audit process should be light-touch, checking processes rather than data wherever possible.

• 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.

• 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.

• Information requirements should be unified with those of the research councils wherever possible.

Metadata• Repositories are not libraries. Open access

can be delivered perfectly well with ‘fuzzy’ metadata.

• There are lots of competing standards, so best to specify requirements at a broad level.

• Emerging practices and standards being adopted by others should be compatible, where applicable.

RIOXX and REF

RIOXXterms

REFterms

Commonterms

RIOXX

NISO DC

REF OA

RIOXX/REF and CASRAI

Bumps in the road?

• Metadata on acceptance

• Embargo end dates

• Interoperability

Next steps

• Information and audit requirements

• SHERPA REF

• Jisc services

• Supporting repository platform vendors

• Continued working with other funders

Questions?

openaccess@hefce.ac.uk