[GOAL] Re: FW: REF Open Access policy - information and audit requirements

Fri Oct 31 13:25:52 GMT 2014

A little bit of (easily resolved but very important) ambiguity has crept
into the HEFCE instructions and FAQ:

Many items conflate DEPOSIT and OPEN-ACCESS DEPOSIT.

It is ever so important, in order to prevent misunderstanding and to ensure
timely compliance, to *clearly distingush DEPOSIT rules from OPEN-ACCESS
rules*.

DEPOSIT IMMEDIATELY UPON ACCEPTANCE (with 3-month grace period) has to be
mandatory.

Rules concerning when the deposit is made OA should be clearly separate
from this.

Here are the ambiguous passages:

"The policy states that, to be eligible for submission to the post-2014
REF, authors’ final peer-reviewed manuscripts *must have been deposited in
an institutional or subject repository on acceptance for publication*.
*Deposited
material should be discoverable, and free to read and download, for anyone
with an internet connection*. “

The article must be *deposited* immediately upon acceptance but deposits do
not need to be made *OA* immediately upon acceptance.

11. From what start point is the embargo period active, and how can this be
calculated? (NEW)
<http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/faq/#>
Embargo periods are normally calculated from the date of first publication,
including online publication, but publishers may set their own policy. *If
the paper is not published by the time it is deposited*, the embargo end
date must be entered into the repository record at a later point.
Institutions may choose to ask for ‘closed’ deposits from authors, and when
they know the output has been published (perhaps assisted by a publications
index), they may set the embargo period based on information found in
SHERPA/RoMEO. Over time, publications metadata will evolve to include
embargo information, allowing for this step to be completely automated.
Publishers are committed to implementing the NISO-approved <license_ref>
tag to provide the publication date, the embargo end date and any licence
metadata for green open-access via CrossRef. Repositories will be able to
ingest these metadata from CrossRef automatically, meaning deposits can be
made accessible at the end of the embargo period without any additional
manual work.

Deposit is upon acceptance. Papers are almost never published immediately
upon acceptance.

19. Some publishers ask that institutions sign agreements before allowing
deposit of outputs in the repository (specifying that embargo periods will
be respected etc.) Must institutions sign these in order to create the
conditions for compliance? (NEW)
<http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/faq/#>
This is a question that concerns the relationship between institutions and
publishers. If institutions wish to achieve open access via their
institutional repository, and *agreements are required by publishers in
order for outputs to be deposited*, then we do not see these as a barrier
to compliance. If agreements are signed, we would welcome a brief report on
these to be emailed to openaccess at hefce.ac.uk.

Publishers have absolutely no say over deposit itself, only over when the
deposit is made OA.

21. What should Medical Research Council and Wellcome Trust-funded authors
do? (NEW) <http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/faq/#>

Authors who receive funding from the Medical Research Council, the Wellcome
Trust and a number of other funders are required *to deposit their papers
in Europe PubMed Central*. This repository is a permitted venue for
complying with the REF open-access policy requirements. However, authors,
when publishing in a fully OA journal (or a hybrid journal in which they
have selected the author pays option) should not deposit their accepted
manuscripts in Europe PubMed Central because the final, version of record,
paper will be automatically deposited by the publisher into the Europe PMC
repository.

If this automatic deposit happens within three months of acceptance, the
REF deposit requirements will be met and no further action is needed by the
author. *If automatic deposit does not happen within three months of
acceptance, the author will need to deposit their manuscript
elsewhere* (typically
in an institutional repository) in order to meet the REF deposit
requirements.
(1) Deposit is supposed to be immediately (within 3 months) of acceptance,
not publication. It is OA that is calculated from date of publication.
(2) How is it to be determined whether automatic publisher (OA) deposit has
taken place within 3 months of publications? And what about
publisher-embargoed OA?

MRC/Wellcome authors should, like all other authors, have to comply with
the immediate-deposit requirements of HEFCE. It is a big mistake to loosen
the rules for them. In PMC deposits, the “automatic deposit” can be as late
as subsequent to the OA embargo (6-12 months), which is far, far later than
the immediate-upon-acceptance requirement for everyone else.

29. If a publisher actively disallows deposit, but has a ‘hybrid’ gold OA
option, is the author expected to pay the APC in order to get permission to
deposit? (NEW) <http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/faq/#>
No. We do not wish for authors and their institutions to pay publishers for
permission to deposit their work. *If the publication does not allow
open-access deposit*, and it is the most appropriate publication for that
work, *there is a relevant access exception in the policy*. (This assumes
the author is not already publishing via the gold route.)

A publisher can only disallow OA, not deposit. There can be an exception
for OA but not deposit.

These loopholes can easily be patched be very clearly reiterating the
distinction between the no-exception immediate-deposit-upon-acceptance rule
and all rules on OA timing, version choice, or repository choice.

Stevan Harnad

On Oct 31, 2014, at 6:30 AM, Ben Johnson (HEFCE) <b.johnson at HEFCE.AC.UK>
wrote:

Dear colleagues

**For information, and with apologies for cross-posting**

We have today published information and audit requirements for the policy
for open access in the post-2014 REF. These can be found on our website at
the following link, under ‘Technical resources’:
http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/policy/

We have also updated our FAQs to include a number of new questions (all
marked with ‘NEW’):
http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/faq/

I’d be grateful if you could pass this to the relevant contact within your
institution.

If you have any questions about these requirements or next steps, relevant
contact information is given in the documentation. Alternatively, please
email openaccess at hefce.ac.uk.

Best wishes

*Ben Johnson*
Policy Adviser (Research)
HEFCE, Northavon House,
Coldharbour Lane, Bristol BS16 1QD
0117 931 7038
b.johnson at hefce.ac.uk
www.hefce.ac.uk

On Fri, Oct 31, 2014 at 7:43 AM, Richard Poynder <richard.poynder at cantab.net
> wrote:

> Forwarding from the JISC-REPOSITORIES mailing list.
>
>
>
>
> *Sent:* 31 October 2014 10:31
> *To:* JISC-REPOSITORIES at JISCMAIL.AC.UK
> *Subject:* REF Open Access policy - information and audit requirements
>
>
>
> Dear colleagues
>
>
>
> **For information, and with apologies for cross-posting**
>
>
>
> We have today published information and audit requirements for the policy
> for open access in the post-2014 REF. These can be found on our website at
> the following link, under ‘Technical resources’:
> http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/policy/
>
>
>
> We have also updated our FAQs to include a number of new questions (all
> marked with ‘NEW’):
> http://www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/oa/faq/
>
>
>
> I’d be grateful if you could pass this to the relevant contact within your
> institution.
>
>
>
> If you have any questions about these requirements or next steps, relevant
> contact information is given in the documentation. Alternatively, please
> email openaccess at hefce.ac.uk.
>
>
>
> Best wishes
>
>
>
> *Ben Johnson*
>
> Policy Adviser (Research)
>
> HEFCE, Northavon House,
>
> Coldharbour Lane, Bristol BS16 1QD
>
> 0117 931 7038
>
> b.johnson at hefce.ac.uk
>
> www.hefce.ac.uk
>
>
>
> _______________________________________________
> GOAL mailing list
> GOAL at eprints.org
> http://mailman.ecs.soton.ac.uk/mailman/listinfo/goal
>
>
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