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UKRI OA policy requirements for repositories and how to meet them
1. UKRI OA policy requirements for repositories
and how to meet them
Petr Knoth, Knowledge Media institute, The Open University
Balviar Notay, Jisc
Friday 5.11.2021
Acknowledgements: Matteo Cancelierri, Viktoriia Pavlenko, Nancy Pontika
2. Outline
1. Current metadata landscape vs UKRI OA requirements
2. How CORE assists repositories in meeting compliance
3. Recommendations and future outlook
5.11.2021
3. To be considered compliant with UKRI’s open access
requirements research articles made available via repositories
must meet the following technical requirements:
• PIDs for:
• (DOI, URN or Handle) for research papers
• all authors and contributors (ORCID)
• ISSN
• Research management PIDs (funder, organization, grant?, project?,
…)
• machine-readable licence
• version information (AAM, VoR, …)
• deposit date
5.11.2021
Metadata requirements for research
papers in repositories
4. UKRI OA policy metadata requirements
UKRI will monitor the implementation of this
policy to assess compliance of research
organisations and to evaluate the efficiency and
effectiveness of the policy and progress towards
open access.
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7. Assessing OA compliance rates across the UK
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Aggregate metadata of
research papers from
repositories
Consolidate / harmonise
the aggregated data to
raise its quality.
Analyse / develop
compliance monitoring
tools
9. • 65 UK repositories supporting RIOXX
• 1,673,513 metadata records
• 1,467,268 metadata records of type ("Book", "Book
chapter", "Conference Paper/Proceeding/Abstract",
"Journal Article/Review", "Monograph", "Journal
Article" )
• 67 remaining Dublin Core (or DC +OpenAIRE) repos
amount for 2M metadata records
• Only 162,732 metadata records can be identified as
research outputs within scope.
5.11.2021
Analysed data
15. 5.11.2021
Deposit compliance
• REF2021: deposit within 90 days of
acceptance
• new UKRI policy: “… at the time of final
publication.” (research articles)
• deposited version must be free and
unrestricted to view and download.
• have a CC BY licence, or other licence
permitted by UKRI
Herrmannova, Drahomira; Pontika, Nancy and Knoth, Petr (2019). Do Authors Deposit on Time? Tracking Open
Access Policy Compliance. In: 2019 ACM/IEEE Joint Conference on Digital Libraries, 2-6 Jun 2019, Urbana-
Champaign, IL
16. Official supplier of data to Research
England for REF2021 OA audit
5.11.2021
Delivered information for 139k
research REF research outputs
CORE's role in the REF2021
compliance monitoring
18. Current Repository Dashboard assists HEIs with:
5.11.2021
Harvesting issues
tracking
Deposit compliance
monitoring
Enriching metadata
with PIDs
Metadata compliance
monitoring and
RIOXX validation
19. UKRI OA policy monitoring enhancement in
CORE Repository Dashboard (1/3)
5.11.2021
• Assist UK HEIs with
discovering and
identifying non-compliant
outputs, improve their
monitoring and help
them with meeting
output compliance
• Regular downloadable
and web compliance
reports.
21. 5.11.2021
• Enhanced deposit compliance tracking
• Ambition to create notifications for
outputs at risk of non-compliance
• Working closely with Jisc to improve
CORE Repository Dashboard and further
support compliance monitoring
UKRI OA policy monitoring enhancement
in CORE Repository Dashboard (3/3)
22. Planned actions (Balviar)
• Working together to deliver enhanced
CORE tools to support the community in
meeting UKRI OA policy requirements
• Going through a product development
process
• In the process of getting formal approval to
start technical development.
5.11.2021
23. Recommendations for repositories
• Adopt RIOXX (v3).
• Pay attention to the completeness of mandatory
metadata fields.
• Register for CORE Repository Dashboard and use
the existing and upcoming compliance features.
• Give us feedback about how we can make your
life simpler.
5.11.2021
Not-for-profit service run by the Open University with the support of Jisc. CORE aggregates outputs from around the world, but also acts as the national aggregator for research outputs.
The question to ask here is how can we quantitatively measure compliance?
If you cannot measure “If you cannot measure it, you cannot improve it.”
If you cannot measure “If you cannot measure it, you cannot improve it.”
Global aggregator of full text and metadata (over 200 million metadata records from 10k repositories and 40 million active users)
UK national aggregator
Explain the legend on the graphs.
Short vs long terms.
Insights: good levels of compliance for RIOXX short-form records.
The first one just shows that the licence field is populated. The second that the licence is one of the CC licences.
Significantly less for long- form
Under each dc:relation:
deposit_date
resource_exposed_date
Record level
record_public_release_date
These are new fields in RIOXX v3. OpenAIRE application profile doesn’t have this.
So how does it look from the perspective of repositories?
Still talk about the REF example. Examplin how similar it is for the new UKRI OA policy.
However, we want to enhance these services so that they are fully supporting this new UKRI and other relevant policies as well.
This slide shows the content breakdown.
