F/1.3 Open access for QUT research outputs (including theses)

Contact Officer	Director, Library Services
Approval Date	14/09/2018
Approval Authority	University Academic Board
Date of Next Review	30/09/2021

1.3.1 Purpose
1.3.2 Application
1.3.3 Roles and responsibilities
1.3.4 Full-text access
1.3.5 Copyright
1.3.6 Definitions
Related Documents
Modification History

1.3.1 Purpose

The purpose of this policy is to outline Open Access mechanisms used at QUT to facilitate the widest possible availability, dissemination and reuse of QUT research by other researchers nationally and internationally, and by the wider community.

The policy is based on the ARC Open Access Policy and the NHMRC's Open Access Policy and allows the University to adhere to open access policies of state, national and international granting bodies and to support the global infrastructure of open access research.

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1.3.2 Application

This policy applies to QUT staff and higher degree research students. It also applies to all University affiliates (visiting academics, academic title holders, industry fellows, emeritus professors, adjunct and honorary title holders, and conjoint appointments), where a QUT attribution is appropriate in the publication in question.

The policy applies to research outputs intended for publication, for the purpose of conferring a higher degree or for academic recognition and impact. It does not apply to social media communications, research outputs intended for commercial purposes or which contain culturally sensitive or confidential material.

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1.3.3 Roles and responsibilities

Position	Responsibility
Authors and researchers	deposit the appropriate version of refereed research articles and published conference papers to QUT ePrints either upon acceptance for publication or as soon as a Digital Object Identifier (DOI) has been issued for the work. Where a publication has more than one QUT author, only one QUT author is required to take responsibility for ensuring this policy is met retain the right to disseminate a full-text version of peer reviewed articles no later than 12 months from the date of first publication seek external co-author consent where applicable
Higher degree research students	arrange permissions for any third party copyright materials included in their thesis on conclusion of the thesis examination process, submit a digital copy of their final thesis in accordance with the Higher degree research candidates policy (D/5.3) and the Requirements for Presenting Theses (QUT staff access only)
Director, Library Services	provides the institutional repository service (QUT ePrints) annually, through the Deputy Vice-Chancellor and Vice-President (Education), reports to University Research and Innovation Committee and the Office of Research Services on the status of QUT ePrints
Vice-President (Administration) and University Registrar	implements policy and issues guidance regarding compliance with this policy
Pro Vice-Chancellor (Graduate Research and Development)	provides strategic oversight of higher degree research development, chairing the Research Degrees Committee (D/5.2) and responsibility for issuing guidance regarding policy compliance
Graduate Research and Development	ensures that higher degree research theses (in digital format), and accompanying research data, together with documentation relating to any approved embargoes, restrictions or copyright permissions, are forwarded to QUT Library for processing

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1.3.4 Full-text access

The following materials must be made available via QUT ePrints:

all refereed research articles and published conference papers at the post-peer review stage. The version provided to QUT ePrints by the author must be the author's accepted manuscript version except where the published version is open access in which case the published version must be provided
digital theses submitted by research higher degree candidates (for the awards of Doctor of Philosophy (PhD), Professional Doctorate by Research, Higher Doctorates and Masters by Research) via Graduate Research and Development. Exemptions and embargoes must be approved by the Research Degrees Committee.

Refereed research articles and published conference papers should be deposited to QUT ePrints upon acceptance for publication or as soon as a Digital Object Identifier (DOI) for the work is available. The article metadata will be made accessible immediately. While QUT’s preference is to make the work available immediately, an embargo period of up to12 months will be applied to the full-text if required by the publisher.

QUT Library does not receive, catalogue, or archive physical items which form part of a thesis. For some theses by creative work, only the exegesis is made available via QUT ePrints. Digital copies of theses submitted prior to 2005 and not under embargo or other restrictions are stored in QUT ePrints but, except where the author has given permission for open access, the theses are only available on request via Document Delivery (QUT staff access only).

The Pro Vice-Chancellor (Graduate Research and Development) and/or the Research Degrees Committee may request temporary or permanent removal of a thesis from QUT ePrints when issues with the thesis are identified.

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1.3.5 Copyright

The documents in QUT ePrints are protected by copyright according to Intellectual Property policy (D/3.1).

Refereed research articles and published conference papers

QUT assigns staff the right to publish work performed while at QUT, subject to a perpetual, irrevocable, world-wide, royalty-free, non-exclusive licence in favour of QUT which allows QUT to make the work available via QUT ePrints.

Author accepted manuscript versions will be made available under a Creative Commons Attribution-NonCommercial Licence (CC-BY-NC).

QUT Theses

As part of the enrolment process higher degree research students grant QUT a perpetual, worldwide, royalty-free, non-exclusive licence to communicate their submitted thesis and peer reviewed journals articles via QUT ePrints. When a thesis includes copyright materials owned by a third party, such as a publisher, and permission of the copyright holder has not been obtained, an abridged version of the thesis will be made accessible via QUT ePrints and an intact version will be stored as an archive copy.

Except where a more liberal licence is requested, theses will be made available under a Creative Commons Attribution-NonCommercial-No-Derivatives Licence (CC-BY-NC-ND).

Document Delivery (QUT staff access only) supply of digital theses held in QUT ePrints is undertaken subject to the provisions of the Copyright Act 1968 (Cth).

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1.3.6 Definitions

Thesis means a substantive work as submitted for examination for the award of a higher degree by research and as defined in Higher degree research candidates (D/5.3).

Embargo in academic publishing is a period of time during which access to a specific version of the work is restricted by the publisher. For example, access to the author’s accepted manuscript may be restricted for a period of six months from the date of first publication.

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Modification History

Date	Sections	Source	Details
12.12.18	F/1.3.3	Deputy Vice-Chancellor (Research and Commercialisation)	Revised to include department name change to Office of Research Services
14.09.18	All	University Academic Board	Revised and simplified policy to consolidate F/1.3 QUT ePrints repository for research output and F/1.10 Library treatment of theses
09.12.16	F/1.3.2, F/1.3.4	Enhancing the Student Experience REAL Difference Change Manager	Revised policy to include REAL Difference initiative, approved name change for position title, Deputy Vice-Chancellor (Technology, Information and Learning Support) to Deputy Vice-Chancellor (Technology, Information and Library Services) - effective 03.01.17
01.02.13	All	Associate Director, Library Services (Information Resources and Research Support)	Periodic review - minor revisions only
07.10.10	All	Deputy Vice-Chancellor (Technology, Information and Learning Support)	Revised due to the removal of Australasian Digital Theses (ADT)
18.09.09	All	University Academic Board	Policy revised and renamed
24.03.06	All	University Academic Board	Revised policy (endorsed by University Research and Innovation Committee 01.03.06)
26.09.03	All	University Academic Board	New policy (endorsed by University Research and Development Committee) - effective from 01.01.04

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