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

2. 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

3. 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 )
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

4. 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.”

5. 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.

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

7. Open access at Heriot-Watt

8. Open access support structure
RCUK open access fund administration is devolved to Schools; prepayment schemes with publishers managed by Library. (£157k )
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

9. 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)

10. 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 s 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

11. 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 s me asking for my papers”

12. 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

13. 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.

14. Challenges
How to engage staff who don’t come to meetings, or read their s
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?

15. 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)

16. Research Support Librarian
Linda Kerr
Research Support Librarian
Phone ext: 3572