Revised Open Access Policy
The University of Melbourne
22 August 2017
Mr Justin Withers

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The Australian Research Council

  • Established as an independent body under the Australian Research Council Act 2001, the ARC is a Commonwealth entity and reports to the Minister for Education and Training.
  • The ARC is responsible for:
    • funding excellent research and research training
    • measuring the quality, engagement and impact of research, and
    • providing policy advice on research matters. 
  • The ARC administers the National Competitive Grants Program (NCGP), through which it supports excellent research and research training across all disciplines, awarding funding on the basis of a competitive peer review process.
  • Clinical and other medical research is primarily supported by the National Health and Medical Research Council.

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2016–17 Federal Budget—R&D $10.1 billion

2016–17 Federal Budget—R&D $10.1 billion

Diagram to illustrate proportion of funding allocated in 2016–17 Federal Budget to all Australian departments and agencies. Dollars allocated to agencies are shown by the size of the circles of each department and agency. This graph draws attention to the proportion of R&D allocated funding.

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ARC: Open Access 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, the ARC has in place an Open Access Policy to ensure that Research Outputs from ARC-funded research are disseminated as broadly as possible.
  • The ARC Open Access Policy took effect from 1 January 2013. 
  • Any Research Output from ARC funded research must be made openly accessible within a twelve (12) month period from the publication date.
  • The Policy does not apply to research data and research data outputs.
  • A review of the policy took place in 2016 and early 2017
  • Extensive consultation occurred during the review: 
    • Council of Australian University of Librarians
    • Australasian Open Access Strategy Group
    • National Health and Medical Research Council
    • Deputy Vice-Chancellors Research
  • Ensured any revisions were consistent with current international trends in open access as well as being compatible with institutional processes and NHMRC requirements.
  • The latest version (2017) was released on 30 June 2017.
  • The scope of the policy remains the same. This remains consistent with the NHMRC’s requirements.
  • Clarifies the policy’s purpose, scope and commencement, as well as providing a summary statement outlining the policy’s central requirements. 
  • Key changes: 
    • Inclusion of “non-traditional research outputs” 
    • clarification around requirements for metadata 
    • ensuring arrangements are consistent with any copyright or licensing.

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ARC: Open Access Policy Key Changes

2015 version

2017 version

Research Outputs to be made openly accessible in an institutional repository

Research Outputs to be made openly accessible either in an institutional repository or elsewhere

Research Outputs defined as journal articles and scholarly monographs only

Research Outputs further clarified all outputs not just journal articles and scholarly monographs

Metadata must be submitted ASAP after the paper is accepted for publication

Metadata must be made openly accessible ASAP, but no later than three months from the date of publication of the research output

Limited advice on access and re-use rights

The need for appropriate licensing of Research Outputs providing guidance on allowable reuse and access

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Location of Research Outputs

  • Research Outputs can be deposited in an Institutional Repository or somewhere else for example:
    • On publisher’s website with an associated license
    • In a publicly digital archive such as PubMed Central
  • Whilst Research Outputs do not have to be submitted to the Institutional Repository if made openly accessible elsewhere your institution may still require you to submit Research Outputs to their institutional repository.
  • If there is no Institutional Repository available this will need to be recorded in the Final Report.

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Types of Research Outputs

  • Research Outputs types that the ARC Open Access Policy applies to:
    • Scholarly books
    • Edited research books
    • Scholarly book chapters
    • Refereed journal articles
    • Refereed conference papers only when the paper was Published in full in the proceedings
    • Non-traditional research outputs
    • Other Research Outputs.
  • Preprints are not included as a type of outputs.
  • Research data and research data outputs are not included in the policy.

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Metadata

  • Metadata must include the following: 
    • ARC Project ID
    • Listing the ARC as the funding source
    • A permanent DOI or URL to the Research Output
  • It can also contain other relevant information such as:
    • ORCID identifier
    • Authors or Creators, type of output, volume, issue.
  • The Project Leader, Fellow, Awardee or Director of the ARC project must ensure that the Research Output Metadata are provided to an Institutional Repository.

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Licensing

  • The ARC’s preference is for the Creative Commons Attribution licence (CC-BY).
  • It is acceptable to use other licences other than the preferred CC-BY.
    • Note: owner of the copyright is the one to apply the licence. 
  • If licencing prevents the output from being openly accessible within the 12 months then it must be made openly accessible as soon as possible after this date.
  • Licencing may mean that the output will never be made openly accessible.

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Funding Rules and Agreements

  • The ARC Open Access Policy is mandated by the ARC funding rules and funding agreements. 
  • Where a Research Output is not made openly accessible within a twelve (12) month period a justification must be provided in the Final Report.
  • Budget items supported when applying for ARC funding includes publication and dissemination of Project Research Outputs and outreach activity costs. 
  • The ARC may also seek additional information about subsequent outputs and outcomes after submission of the Final Report.

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