Open access in REF – Planning Workshop Heriot-Watt University update Linda Kerr Information Services, Heriot-Watt University

Heriot-Watt, Research and Open Access LOCH project - JISC Open Access Pathfinder Edinburgh University, St Andrews Interest in collaborating together as shared research environment - joint REF submissions Interest in exploring Centralised /devolved OA management Heriot-Watt University - 33rd position in the UK in the new Research Excellence Framework (REF) outcomes. 82% of research ranked as world class 480 academic and 180 research staff. 6 academic schools and 2 postgraduate institutes

Open access at Heriot-Watt Repository (Pure). Managed by Planning Directorate with input from Information Services (IS) for Publications and Data Purchased for the REF (2012) IS-managed theses repository (Dspace - 2009) Steep change in organisational culture to add full-text - create a “repository” in addition to a publications database/CRIS/REF tool New staff in general more familiar with concept than long-established staff

Open access at Heriot-Watt Heriot-Watt Research Publications Policy – July 2014 : “In order to comply with the UK HE funding bodies “Policy for open access in the post-2014 Research Excellence Framework”, authors must record details of all journal articles and conference proceedings in Pure, and upload the Accepted Version of the paper to Pure, no more than three months after acceptance.” http://www.hw.ac.uk/documents/research-publications-policy.pdf

Open access at Heriot-Watt Onus is on academic staff to make sure their publications are added to Pure However, Pure is regularly updated with published papers from Scopus and Web of Science (central admin Library task) School research admin staff and Library will help authors to upload papers or will upload paper on their behalf Varies from School to School Recent analysis showed that School with research admin staff have higher “compliance” of full-text.

Open access at Heriot-Watt Pure has 33,899 research outputs (from 1899 onwards) / 1,773 full-text REF eligible publications : 2008 - 2017 9,549 outputs / 1,301 full-text 2014 - 2017 2,098 outputs / 535 full-text 2015 - 2017 735 outputs / 266 full-text Strong tradition of open access publishing using subject repositories by staff in physics, maths, computer science eg arXiv

Open access at Heriot-Watt

Open access support structure RCUK open access fund administration is devolved to Schools; prepayment schemes with publishers managed by Library. (£157k 2015-6) Compliance recorded via a shared spreadsheet – reported to RCUK by Planning Directorate Support and advice on OA from Library – copyright etc Not all Schools have research admin staff to manage OA fund Other open access payments managed by individual researcher

OA Engagement across University Initial meetings between research administrator and Library / Planning staff – Pure new template, advocacy - Dec 14 Support materials developed in School of Engineering and Physical Sciences – flow-chart of OA REF process printed and given to every researcher in the School EPS Template circulated to other Schools More detailed Pure deposit guide developed by IS Support materials from Pathfinder projects used in discussions - Responsibility matrix (Edinburgh); OA Advocacy (UCL)

Engagement with researchers Oct - Dec 14 : Briefing sessions in Schools by research administrative staff – part of research briefings June 15 : as part of validation process in Pure authors contacted with a pre-prepared emails asking them to upload copy of manuscript to Pure. Response rate about 50%. Responses fed into support materials to address: Which version? (guide for research admin staff and authors) Publishers’ policies summaries Strategies for identifying accepted papers in arXiv & on publishers’ websites Update procedures – eg now upload supporting documents from authors or publishers

Engagement with researchers via Pure Advantages: Reaches all who publish as records are systematically loaded weekly from Scopus Enables us to see real-world issues More papers have been uploaded. Disadvantages: Leads to the expectation that central or School admin will upload the papers for staff Papers already been published (issue beyond 2016) Staff who are not REF eligible or don’t expect to be or don’t expect a paper to be selected are contacted Open access increasingly expected by funders - “least convincingly” it is University Policy “Are you the person who emails me asking for my papers”

More better ..Advocacy Re-stating of University Policy via the Research and Knowledge Exchange Board Continuing message to staff via Directors of Research Possible “OA symposium” Posters and support printed materials updated, web pages updated Pure to be part of staff induction (new staff) Tie in with research data management work

Monitoring How many of our papers are compliant? Pure will be used to monitor this Staff resource required to monitor compliance manually - at this stage Pure is used to monitor progress towards compliance System not yet ready to produce the data - worry.

Challenges How to engage staff who don’t come to meetings, or read their emails Is the author-centred approach working? How do we know if it is working? Where and when does the responsibility of repository managers end and Unit of Assessment coordinators begin?

Progress towards April 2016 How will new REF rules affect us? Policy of “deposit accepted manuscript in Pure asap” will not change More leeway for systems to develop and staff to get the message Possibility of monitoring via third-party repositories (eg arXiv)

Research Support Librarian Linda Kerr Research Support Librarian Phone ext: 3572 Email: l.kerr@hw.ac.uk open.acess@hw.ac.uk