1. HEFCE policy on open access for the next REF Liz Neilly Michelle Double June 2016

2. 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

3. The policy applies to: Journal articles accepted for publication from 1 st April 2016 Conference papers [with an ISSN] accepted for publication from 1 st April 2016 Deposit as soon as possible after acceptance and no later than 3 months

4. The policy does not apply to: Monographs and other long-form publications X Non-text, creative and practice-based research X Research data X

5. 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 University publications policy requires you to add details of ALL newly accepted outputs to Symplectic and add the full text where possible (not just those likely to be REF nominations) as soon as possible after acceptance and no later than 3 months

6. What do I need to do from 1 st April? As soon as possible after acceptance (and no later than 3 months) Add details of the output to Symplectic https://publications.leeds.ac.ukhttps://publications.leeds.ac.uk Upload the ‘author accepted’ version of the paper (see HEFCE’s explanatory image on next slide) Outputs that do not meet the above requirements are not REF eligible unless a valid policy exception applies

7. Author accepted manuscript HEFCE FAQs http://www.hefce.ac.uk/rsrch/oa/FAQ/

8. What could possibly go wrong?

9. Submit Author not at UK HEI and did not comply Accepted Author at another UK HEI, which did not comply Deposit Unlawful Security risk Delay in getting AAM Unable to access repository Author forgets Publisher disallows Technical failure Open Access 3 rd party rights Excessive embargo Technical failure

10. Policy exceptions o Deposit o Access o Technical o Other (case by case basis) HEFCE acknowledges it may not always be possible to comply The policy lists 4 exception categories

11. Policy Exceptions Unable to secure use of repository Delay in securing final peer-reviewed text (eg for multi-authored papers) Author not employed at UK HEI at point when output was submitted for publication It would be unlawful or a security risk to deposit the output Deposit Output depends on third party content for which open access rights could not be granted Publication requires an embargo period that exceeds the stated maxima, and was the most appropriate for the output Publisher actively disallows open access deposit, and was the most appropriate for the output Access Author was at another HEI when the output was accepted for publication and the other HEI failed to comply Short term failure of the repository An external service provider failure prevented compliance Technical The output has been published as “gold” open access Gold Open Access

12. Policy Exceptions – outputs should still be reported/deposited Outputs subject to a “deposit” exception should be reported in Symplectic and deposited as soon as possible, even if this is beyond the 3 month time limit Deposit Outputs subject to an “access” exception should still be reported in Symplectic and deposited (the Library will ensure publishers’ restrictions, eg embargos, are respected) within the 3 month time limit Access Outputs subject to a “technical” exception should still be reported in Symplectic and deposited as soon as possible, even if this is beyond the 3 month time limit Technical Outputs published as gold open access should be reported in Symplectic. The AAM or published PDF should be deposited or the URL of the published version provided Gold Open Access

13. Difficulties not covered by policy exceptions? Author forgets!

14. Minimising risk Alert collaborators to requirements at the beginning of the project Unable to get hold of the Author Accepted Manuscript in time Ensure you are publishing in the most appropriate place (journal impact factor is not justification in itself). See Annex to University Publication Policy Excessive embargo or open access deposit disallowed Deposit on acceptance Recurring “meeting” reminders to self? Author forgets Don’t leave deposit ‘til the last minute If you do deposit in an external repository give us a link to the output in that repository Technical failure

15. University Policy – Annex – Place of Publication It is recognized that the choice of the place of publication is an academic matter. In determining where to submit work for publication the following will be taken into consideration: Disciplinary coverage of the proposed place of publication Capacity for timely publication Reviewing and editorial standards Other relevant discipline-specific factors Compliance with funder open access requirements Where funding allows, outputs should be submitted for publication in outlets which are compliant with HEFCE’s policy on open access for the REF

16. Reporting and Validating Exceptions Report Author records output in Symplectic and provides brief details of exception Library reports proposed exception to RIS Validate RIS requests evidence from author (or HR or others as appropriate) to validate exception Confirm RIS passes evidence to Library to be held alongside the output for reference in the event of audit RIS sets the exception flag in Symplectic

17. What happens next? Library checks all newly accepted deposits and contacts you and your local OA contact if there are any problems Library checks and manages any publisher embargoes and makes the output OA when they expire Where no publisher embargo is required, the full text will be available via the repository RIS will make contact to validate policy exceptions Your local OA contact will monitor and report on compliance within your School

18. Progress to date Only approximately 38% of anticipated outputs were added to Symplectic in the 12 months from April 2015 – not all added within 3 months Official HEFCE policy from 1 st April 2016 End of May only 28% of estimated output added to Symplectic Missing papers risk being ineligible for REF

19. Take away message As soon as you have a journal article or conference paper accepted for publication Add the details to Symplectic Upload the accepted manuscript The Library and RIS will support you from there on

20. Further information/help Researcher@Library webpages – advice on HEFCE and University OA policies https://library.leeds.ac.uk/university-publications https://library.leeds.ac.uk/university-publications How to deposit (guides) https://publications.leeds.ac.uk/information.html https://publications.leeds.ac.uk/information.html HEFCE policy and FAQs http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastr uct/oa/; http://www.hefce.ac.uk/rsrch/oa/FAQ/ http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastr uct/oa/http://www.hefce.ac.uk/rsrch/oa/FAQ/ Enquiries to research@library.leeds.ac.ukresearch@library.leeds.ac.uk