Open Access Guidelines

University staff and doctoral candidates undertaking research in association or affiliation with the University.

To set out expectations of University researchers in regards to making their research outputs freely available, and to provide guidance on how to do so.

The University supports the principles of open access to research outputs.

The University is committed to:

• making University-generated research outputs, ideas and knowledge freely available, without barriers to their reuse, provided proper attribution is given to the authors;
• maintaining infrastructure components, including a University research repository, to facilitate open access to scholarly information.

University Research Repository

• For each of their research outputs within the categories listed below, all University researchers are expected to deposit into the University Research Repository:
  • a full-text copy of a peer-reviewed pre-publication (“author’s accepted manuscript”) version of the research output or
  • a full-text copy of the final published version of the research output or
  • in the case of non-text creative works, documentation of the presentation of the research output
• This expectation applies to those research outputs which are published on or after the date of this guideline
• Depositing involves uploading the full-text of the research output to the Research Repository via the Research Outputs research publication management system. The upload should take place as soon as possible after acceptance by the publisher
• This expectation applies to all research outputs within the following categories: journal articles, published conference papers, chapters, reports, books, creative works and software products
• This expectation includes research outputs whose public availability would infringe a legal requirement by the University and/or the author (see below)
• The only exceptions to this expectation are:
  • outputs that contain Artistic or Literary works relating to a Patentable Invention or Design that would prevent the obtaining of a patent or design registration for those inventions or designs
  • outputs that contain confidential or commercially-sensitive information
  • outputs that have such large data requirements that hosting them is beyond the capacity of the University’s research repository. Internet addresses to where such outputs are publicly hosted should be entered instead
• The University takes responsibility for keeping the following research outputs within the Research Repository unavailable to the public:
  • those subject to publisher requirement to be kept publicly unavailable
  • those which the author indicates include third party intellectual property (such as, but not limited to, images copyrighted to a third party) and which therefore are not permitted to be made publicly available via the Research Repository
  • those which the author indicates, for another stated reason, that they wish to keep unavailable to the public
• If an author wishes that a deposited research output not be made publicly available via the University research repository, but the research output is publicly available on another website, the author is expected to include the research output’s web address in research repository metadata
• The University is required to manage and store all research outputs uploaded into the University’s research publication management system, and is responsible for accurately determining, and acting in accordance with, the relevant copyright arrangements for each research output
• The copyright arrangement for each research output depends on the publisher of the research output and the version of the research output deposited in the research repository. Where a publisher does not allow the version deposited in the research repository to be made publicly available, only metadata will be made available, and access to the full-text deposit will remain closed
• Those researchers wishing to ensure open access to their research via the research repository can find which, if any, versions are permitted to be made open access by checking their publisher’s website, their author agreement/contract or the Sherpa/Romeo database http://www.sherpa.ac.uk/romeo. They can also contact staff in the Library’s Research Support Services team to clarify
• For research outputs with multiple University of Auckland authors, the responsibility to ensure upload is held in common by those authors

Creative Commons Licences

• All University academic researchers are encouraged to apply an open Creative Commons Licence (CC-BY or CC-BY-SA) or other open copyright licence to their research outputs to indicate how material may be used, reused or repurposed

The following definitions apply to this document:

Author’s Accepted Manuscript is the author’s version of the manuscript of an article that has been accepted for publication and which may include any author-incorporated changes suggested through the processes of submission processing, peer review, and editor-author communications. AAMs do not include other publisher value-added contributions such as copy-editing, formatting, technical enhancements and (if relevant) pagination. (Definition adapted from Elsevier).

Creative Commons is an organisation that provides licences and tools that copyright owners can use to allow others to share, reuse and remix their material legally. Material covered by Creative Commons licences and tools can be used with more freedom than material covered by full copyright in which no unauthorised use is permitted, but with less freedom than material in the public domain, where permission is not required at all.

• There is a suite of six Creative Commons licences each having different rules and granting a different range of freedoms. All Creative Commons licences require that the original creator is credited when their work is re-used in any way.
• Creative Commons Aotearoa New Zealand (www.creativecommons.org.nz/, CCANZ) guides author(s)/content creator(s) in describing how and when to use a Creative Commons licence in the New Zealand context. These licences are easy to understand and legally robust. (Definition adapted from http://creativecommons.org.nz/)

Open Access means “immediate, free availability on the public internet, permitting any users to read, download, copy, distribute, print, search or link to the full text of these [research outputs], crawl them for indexing, pass them as data to software or use them for any other lawful purpose.” – The Budapest Definition of Open Access, applied to research outputs.

University means the University of Auckland including all subsidiaries.

University Researcher is anyone employed under a University of Auckland or Auckland UniServices Limited employment agreement or as an independent contractor, and/or enrolled in a University of Auckland doctoral programme, who is undertaking research in association or affiliation with the University of Auckland.

Version is a particular form of a research output, such as an Author’s Accepted Manuscript or a final published form.

Research output see Research Outputs: Definitions and Categories.

Include the following:

• Copyright Materials Policy
• Intellectual Property Created by Staff and Students Policy
• Research Outputs: Definitions and Categories
• Authorship and Publication Guidelines

Owner: DVCR
Content manager: Analyst & Researcher to the DVCR
Date approved: November 2015
Review date: November 2017