July 2013/16 This document sets out proposals for implementing an open access requirement in Policy development the post-2014 Research Excellence Consultation Framework. Responses to this consultation should be made online by 1700 on 30 October 2013 Consultation on open access in the post-2014 Research Excellence Framework © HEFCE 2013 Consultation on open access in the post-2014 Research Excellence Framework To Heads of HEFCE-funded higher education institutions Heads of HEFCW-funded higher education institutions Heads of SFC-funded institutions Heads of universities in Northern Ireland Of interest to those Research management and administration, Library and information responsible for management Reference 2013/16 Publication date 24 July 2013 Enquiries to Research policy team, e-mail [email protected], tel 0117 931 7470 Executive summary Purpose 1. This document sets out proposals for the implementation of an open access requirement in the post-2014 Research Excellence Framework (REF). Key points 2. Following an informal consultation on open access in the post-2014 REF, in which the four UK higher education funding bodies sought advice on an initial view, we have developed full proposals for the implementation of an open access requirement in the post-2014 REF. These proposals have been informed by the advice we received through the informal consultation process. 3. This consultation seeks comments on the proposed criteria for open access in the post- 2014 REF, the definition of the research outputs to which the criteria will apply, and the proposed approaches to allowing exceptions from the open access requirement. 4. We invite responses from higher education institutions and other groups, organisations and individuals with an interest in scholarly publishing and research. Action required 5. Responses to this consultation should be made online by 1700 on 30 October 2013, using the electronic response form which can be accessed alongside this document at www.hefce.ac.uk/pubs/year/2013/201316/ (see paragraph 14). 1 Introduction Background 6. The landscape of scholarly publishing is in a period of transition. New technology has opened up significant new modes of academic discourse and possibilities for sharing research findings. The desirable situation where all outputs from publicly funded research are freely available on first publication (‘open access’) is now within reach, and ‘delayed open access’, where the material is available after a short embargo period, is commonplace. 7. In the past year there have been significant moves by governments and funders of research, nationally and internationally, to encourage the transition of scholarly publishing towards open access. These moves have created discussion and debate about the mechanisms and effects of the transition, but it is clear that the principle of open access has wide support. 8. In February 2013, HEFCE published a letter (hereafter ‘February letter’) seeking advice on the developing intentions for open access policy of the four UK higher education (HE) funding bodies (hereafter ‘funding bodies’)1. At the same time, the other three UK HE funding bodies also wrote to their institutions in similar terms. In that letter, we set out our commitment to the principle of open access, our view of the potential benefits it will deliver, and an overview of the definitions and context for open access (February letter, paragraphs 1 to 4). We also set out our initial proposals for implementing a requirement that all outputs submitted to the post-2014 Research Excellence Framework (REF) exercise be published on an open-access basis, and invited respondents to provide advice on the detailed aspects of this requirement to inform our consultation proposals. 9. HEFCE received over 260 direct responses to our letter from a wide range of higher education institutions (HEIs) in England and Scotland, organisations, groups and individuals with interests in research and scholarly publishing. The HE funding bodies in Wales and Northern Ireland provided HEFCE with a summary of the views expressed by their institutions. All of this advice was reviewed and analysed to inform the development of our consultation proposals during April and May 2013. HEFCE will publish an analysis of the advice received2. Consultation proposals 10. This consultation invites views on the funding bodies’ proposals for implementing an open access requirement in the post-2014 REF. The proposals have been developed following full consideration of the advice we received in response to the February letter. The proposals have no relevance to the 2014 REF. 11. In developing these proposals, we have made a number of assumptions about aspects of the next REF that have not yet been formally decided. This has been necessary in order to provide due notice to the HE sector on the policy requirement. The main assumption is that there will be a post-2014 REF that operates, substantially, on the same basis as the 2014 REF. For example, it is our assumption in this document that there will be four main panels with disciplinary remits broadly similar to those of the current REF main panels. 1 The four UK higher education funding bodies are: the Department for Employment and Learning, Northern Ireland, the Higher Education Funding Council for England (HEFCE), the Higher Education Funding Council for Wales, and the Scottish Funding Council. The letter is available on the HEFCE web-site under ‘Open access and submission of outputs to a post-2014 REF’ at www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/openaccess/. 2 Also to be made available at www.hefce.ac.uk/whatwedo/rsrch/rinfrastruct/openaccess/. 2 12. The outcomes from this consultation will inform the final policy decisions of the funding bodies on implementing an open access requirement in the post-2014 REF. It is our intention to announce the policy decisions early in 2014. Responding to the consultation 13. A summary of questions is available in Annex A. Responses to this consultation are invited from any organisation, group or individual with an interest in research or scholarly publishing. All responses received by the deadline will be considered. 14. Responses should be made online, using the form provided alongside this document. The deadline for responses is 1700 on 30 October 2013. Following the deadline, HEFCE will copy responses from: institutions in Scotland to the Scottish Funding Council institutions in Wales to the Higher Education Funding Council for Wales institutions in Northern Ireland to Department for Employment and Learning. 15. We will be holding a number of consultation events for HEIs in the autumn. The events will outline the proposals and provide an opportunity for institutions to raise any issues for clarification and discussion. Registration will be available online, using the form provided alongside this document. HEIs across the UK may register up to two delegates each for these events. Next steps 16. The responses to this consultation will be considered by the boards (or equivalent) of the funding bodies early in 2014. The final policy decisions on open access in the post-2014 REF will be announced shortly thereafter. 17. We will commit to read, record and analyse the views of every response to this consultation in a consistent manner. For reasons of practicality, usually a fair and balanced summary of responses rather than the individual responses themselves will inform any decision made. In most cases the merit of the arguments made is likely to be given more weight than the number of times the same point is made. Responses from organisations or representative bodies which have high relevance or interest in the area under consultation, or are likely to be affected most by the proposals, are likely to carry more weight than those with little or none. 18. We will publish an analysis of the consultation responses and an explanation of how the responses were considered in our subsequent decision. We may publish individual responses to the consultation within the summary. Where we have not been able to respond to a significant and material issue raised, we will usually explain the reasons for this. 19. Additionally, all responses may be disclosed on request, under the terms of the Freedom of Information Act. The act gives a public right of access to any information held by a public authority, in this case HEFCE. This includes information provided in response to a consultation. We have a responsibility to decide whether any responses, including information about your identity, should be made public or treated as confidential. We can refuse to disclose information only in exceptional circumstances. This means that responses to this consultation are unlikely to be treated as confidential except in very particular circumstances. For further information about the act see the Information Commissioner’s Office website, www.ico.gov.uk. 3 1 Section 2: Open access policy for the post-2014 REF Policy requirement 20. As we have previously made clear, the established policy of the four funding bodies is that the outputs from all research supported though our funding should be as widely and freely accessible as the available channels for dissemination permit. To support and encourage the further implementation of open access, we intend to introduce a requirement that all outputs submitted to the post-2014 Research Excellence Framework that meet the definition proposed in paragraph 41, be published on an open-access basis according to the criteria set out at paragraph 25. 21. In our February letter seeking advice, we set out our proposal to accept material published via either gold or green routes as eligible, recognising that it is not appropriate to express any preference in the context of research assessment3. This position received widespread support in the responses made to our letter. It remains part of our policy, in recognition that the transition to full open access will occur over time.