ARC: Open Access
Open Science Forum RMIT University 
20 October 2016
Professor Marian Simms

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Overview

  • ARC and Open Access
    • ARC Open Access Policy
    • Implementation
    • Recent Clarifications
    • Compliance Advice
  • ARC and Research Data
    • Current ARC requirements
    • Future Developments

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ARC Open Access Policy

  • From 1 January 2013, the ARC has required that any publications arising from an ARC supported research project institutional repository within a 12 month period from the date of publication
  • Updated in NEW Funding Rules (2016 Ed.): All ARC-funded research Projects must comply with the ARC Open Access Policy on the dissemination of research findings, which is on the ARC website. In accordance with this policy, any Research Outputs arising from a Project must be deposited into an open access institutional repository within a 12 month period from the date the Research Output was published or made publicly available. Where this requirement cannot be met, reasons must be provided in the Final Report for the Project. Research Output metadata must be made available in an institutional repository immediately upon publication. The ARC Project ID must be included in the metadata.

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Differences between ARC/NHMRC policies

  • Current ARC policy covers all publications, including monographs; new ARC policy covers all research outputs, the NHMRC covers journal articles only
  • NHMRC relates to any publication after 1 July 2012, regardless of the grant that supported the research
  • NEW ARC policy only affects research outputs arising from Funding Rules and new successful grants from January 2018

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Implementation of ARC policy

 

  • Graduated approach to implementation
  • Not applied retrospectively
  • First publications in 2014
  • Researchers are required to report on compliance in the ARC Final Report
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Open Access and ERA 2015

  • Institutions required to state whether a research output is available in an open access repository
  • Open access data used for reporting and analysis purposes only
  • Expected that the analysis and data will provide a useful baseline prior to the requirements in the OA policy taking effect (reference period for ERA 2015 was 2008 – 2013).

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International Perspective

  • Global Research Council (GRC) 2014 Survey of Participating Organizations 
    • International Nature of Open Access - over half of organisations have formal open access policies
    • concern regarding Article Processing Charges (APCs)
    • predominant focus on peer-reviewed journal articles
    • Most funders allow for ‘Gold’ and ‘Green’, although a majority of organisations express a preference for Green and encourage deposition of articles into a repository.

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Current Revision of ARC Policy

  • The Australian Government makes a major investment in research to support its role in improving the wellbeing of our society.
  • To maximise the benefits from this investment, we are reviewing the ARC OA policy to ensure research outputs resulting from ARC-funded research are disseminated as broadly as possible.
  • Adjustments have been made to the ARC OA Policy to improve clarity and consistency, including:
    • New definitions / making wording more direct and internally consistent
    • Clarifying the role of the institutional repository
    • Clarification that the policy covers NTROs
    • Advice regarding access and re-use rights
    • Research metadata requirements revised / clarified

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Compliance Advice

  • In June 2014, AOASG, in collaboration with CAUL and the ARC, released an ARC Open Access Policy: Compliance Advice guide 
  • The guide covers:
    • General information/Policy background
    • Scope of ARC policy
    • Copyright Issues
    • How to comply with the policy

Available at AOASG website.

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What information needs to be submitted to the repository and when?

  • Publication metadata must be submitted ASAP after the paper is accepted for publication, regardless of whether the paper will become openly accessible
  • The manuscript/journal article should be submitted to the institutional repository ASAP after the publication date
  • The repository manager should ensure it is made available at a date that complies with the journal’s copyright transfer agreement
  • If the journal never allows the article to be made available, this information must be provided at the time of Final Report submission

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Which version should be made available via the institutional repository?

  • Both the full text author’s version following peer review revisions (‘Accepted Manuscript’ or ‘Post print’) and the publisher’s version are acceptable under the ARC’s policy
  • Publishers may have different policies regarding the version that can be made available and the timing of availability – this information should be included in any copyright/licensing agreement

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If an article is published in an openly accessible publication or digital database, does it also need to be submitted to an institutional repository?

  • No – if the print version of the article is openly accessible via the publisher’s website or via a service, it is sufficient to just make the article metadata available in the institutional repository 
  • A link should be provided to the site where the print version is available
  • Note that some institutions may still require the article to be submitted to their institutional repository

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Who is responsible for depositing the work and where

  • The Project Leader – the first named Chief Investigator (CI) on the ARC-funded Project is responsible for ensuring the open access conditions of the grant are met
  • A full text version need only be deposited to one open access institutional repository
  • Duplicate metadata may be deposited with additional repositories at the discretion of co-authors from other institutions
  • The Project Leader should ensure that all co-authors are aware of the open access arrangements

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Policy Compliance Flowchart

ARC and NHMRC Policy compliance decision tree  

The ARC recommends the ‘Policy Compliance Flowchart by an Institution’ developed by the Australian Open Access Support Group as a useful guide to making publications available in an institutional repository.

 

Source: Australian Open Access Support Group on a CC BY licence

Alt text:
This flow chart shows the process in identifying  the deciding circumstances in releasing an article/chapter/book as open access.

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ARC and Research Data

  • The ARC is committed to maximising the benefits from ARC-funded research, including through ensuring greater access to research data
  • To continue to foster a culture of good data management by data generators and users, the ARC introduced a new data management requirement in February 2014
  • Broadly consistent with practices in place in key comparator countries (US, UK) and emerging practices in the EU and Canada
  • The ARC’s requirement does not mandate open data
  • Instead, the ARC is encouraging researchers to consider the ways in which they can best manage, store, disseminate and re-use data generated through ARC-funded research
  • The ARC’s approach enables researchers to take into account differences that may exist between institutions, disciplines and research projects

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Data management requirement

Funding Rules – DP18 example

  • A11.5.2 Researchers and institutions have an obligation to care for and maintain research data in accordance with the Australian Code for the Responsible Conduct of Research (2007). Researchers must outline briefly in their Proposal how they plan to manage research data arising from a Project. The ARC strongly encourages the depositing of data arising from a Project in an appropriate publically accessible subject and/or institutional repository. Where appropriate, the Final Report must outline how data has been made publicly accessible. A11.5.3 The ARC strongly encourages all researchers applying for funding to have an ORCID Identifier in their RMS Profile. 

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How will the requirement be assessed?

  • The data management requirement will be assessed holistically as part of the overall application
  • Whilst the ARC has not changed selection criteria, the management of data is particularly relevant to the Feasibility and/or Benefit criteria depending on the scheme
  • External assessors and selection panels will expect best practice in the particular discipline of the project being assessed

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Future Developments

  • Developments in data management (and open data) continue to reflect an international trend toward open access to data generated through publicly funded research
  • Options exist to show leadership in continuing to advance open data and strengthen ARC’s data management requirement, such as:
    • Develop a set of principles on open data
    • Clarify ARC guidance to both applicants and assessors
    • Consider ways to better support data management

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Sustainability?

  • Financial support for publication/dissemination of Research Outputs in ARC Funding Rules (A5.2.1), not an open access fund as in the UK
  • Results will be shown in Final Reports of Projects covered by the ARC Open Access policy
  • Other issues identified include member/society subscription journals; slower take up in the HASS disciplines (UK data); conversation about the benefits/relevance of data mining (facilitated by open access) to HASS research.