1. OA, metadata, REF Ben Johnson HEFCE

2. Contents Reminder of REF policy for open access Introduction to information and audit requirements Next steps Questions

3. 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

4. Discoverable

5. Accessible As soon as possible (embargo periods respected) Free to read, download, perform in-text search No special licence beyond publisher basic green OA

6. Accessible

7. Exceptions Technical problems Deposit not possible Access not possible Other

8. 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?

9. Information and audit requirements http://is.gd/OAREFm

10. 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.

11. 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.

12. 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.

13. RIOXX and REF RIOXX terms REF terms Common terms

14. RIOXX NISO DC REF OA RIOXX/REF and CASRAI

15. Bumps in the road? Metadata on acceptance Embargo end dates Interoperability

16. Next steps Information and audit requirements SHERPA REF Jisc services Supporting repository platform vendors Continued working with other funders

17. Questions? openaccess@hefce.ac.uk