• Definitions
• Section 1 - Preamble
• Section 2 - Purpose
• Section 3 - Scope
• Section 4 - Procedure
• Depositing scholarly outputs
• ARC and NHMRC open access compliance
• Submission of HDR theses
• Research Outputs support
• Copyright
• Embargo periods
• Publisher permissions
• Section 5 - Non-Compliance
• Section 6 - Definitions

Definitions

Section 1 - Preamble

(1) Charles Darwin University (‘the University’, ‘CDU’) is committed to maximising the public value of its research outputs and supporting researchers in enhancing their scholarly profiles. This commitment is realised through the deposit of scholarly outputs (including datasets) in the University’s institutional repository, ensuring broad accessibility and long-term preservation.

(2) In accordance with the Open Access Policy, the University conforms to best research practice and complies with the open access requirements of the Australian Research Council (ARC) and National Health and Medical Research Council (NHMRC) and government reporting requirements.

Section 2 - Purpose

(3) This document outlines the procedure for depositing scholarly outputs, as defined in the Open Access Policy, in the University’s institutional repository.

Section 3 - Scope

(4) This procedure applies to all University staff, Higher Degree by Research candidates and adjuncts and honorary appointees, where attribution is appropriate.

Section 4 - Procedure

(5) University scholarly outputs must be submitted into the University’s institutional repository for preservation and open access in accordance with the University’s Open Access Policy.

(6) The University encourages the deposit of other works such as grey literature, works produced by staff prior to joining the University, and special collection materials or materials with cultural or historical significance.

(7) The Research Outputs team, in consultation with researchers, will ensure that scholarly outputs deposited into the institutional repository will be made publicly accessible, as far as technical, copyright, privacy and contract restrictions allow. Publications that contain material to be commercialised, confidential or culturally sensitive information, or where the availability of the publication would infringe a legal requirement by the University and/or the author/s, are excluded from the procedure. Where scholarly outputs are not able to be deposited or made open access, the University will maintain metadata records for these outputs.

(8) Where clarification is required as to how this procedure may be implemented in particular circumstances, advice should be sought from the Research Outputs team prior to submitting research outputs for publication.

Depositing scholarly outputs

(9) The University encourages the deposit of scholarly outputs into the University’s institutional repository at the time of submission of the accepted version of a manuscript to a publisher. The accepted version of a scholarly output must be deposited even if this version will not become openly accessible.

(10) Scholarly outputs may be deposited by upload to the institutional repository or by email to research.outputs@cdu.edu.au.

1. The University strongly encourages researchers to deposit research data with accompanying metadata into the institutional repository.
2. Subsequent revisions of an accepted version may also be deposited in the institutional repository by upload or email.

(11) In cases of multiple authorship, the first CDU author must deposit a copy of the accepted version to the institutional repository by self-service upload or emailing the Research Outputs team at research.outputs@cdu.edu.au.

(12) Further information can be found in the Strategic Publishing library guide.

ARC and NHMRC open access compliance

(13) The Research Outputs team will assist the researchers and the Menzies School of Health Research administration with:

1. submissions to government reporting exercises;
2. storage of metadata records and digitised publications in a retrievable and secure manner; and
3. ensuring metadata records and digitised publications meet the technical, confidentiality and other compliance requirements for storage, harvesting, archiving for reporting purposes.

(14) Researchers must ensure that publications arising from ARC or NHMRC funded projects are made openly accessible in accordance with the relevant funder Open Access policies, including depositing Author Accepted Manuscripts in an institutional repository (green OA), applying any required licensing, and making metadata publicly available within the required period.

Submission of HDR theses

(15) Higher Degree by Research students should forward electronic copies of theses and the CDU Thesis Deposit Agreement to the Research Outputs team in accordance with the Higher Degree by Research – Preparation, Submission and Examinations Procedure. Once processed, the Research Output team will upload the electronic copy of the thesis and the CDU Thesis Deposit Agreement to the institutional repository.

Research Outputs support

(16) Deposited outputs will be archived in the institutional repository for future reference and will only be made available on open access after the publisher embargo or other copyright requirements have been met.

(17) Self-service depositing enables self-archiving and provides authors a form to record specific access details and publication agreements.

(18) The Research Outputs team will check for embargo and copyright compliance before making the final record Open Access.

(19) The Research Outputs team will provide information and advice to authors to support the deposit of scholarly outputs, including:

1. appropriate open access of outputs with author permission and in accordance with relevant legal obligations and policy requirements;
2. which version of scholarly output and which documentation to deposit;
3. how to deposit scholarly outputs and related documentation in the institutional repository;
4. how to deposit relevant metadata for research datasets;
5. acquisition of publisher versions from publisher or other sites when appropriate;
6. indicating any pre-publication versions for potential readers;
7. information on how to retain the copyright of work and not assign exclusive rights to any third party; and
8. compliance with copyright and other legal requirements and open access principles as found in the Australian Code for the Responsible Conduct of Research, 2018, the ARC Open Access Policy and the NHMRC Open Access Policy statements.

(20) The version of record of a scholarly work may be deposited in the institutional repository in addition to the accepted version.

Copyright

(21) Depositing an item into the institutional repository does not affect copyright. The Research Outputs team will ensure material in the institutional repository complies with copyright and publisher agreements before making them publicly available.

Embargo periods

(22) Where an embargo period is imposed by copyright owners, authors and creators can still deposit research materials in the institutional repository. The Research Outputs team will ensure closed access pending the expiry of embargo periods and other legal obligations, then automatically make the materials visible and accessible in the institutional repository at the end of the embargo period.

Publisher permissions

(23) Research data and primary research materials will only be made open access to the public with the permission of the owner of the research material. Authors and creators are responsible for confirming that deposited material in the institutional repository does not breach any agreement made with a third party in relation to the copyright. Where possible, the Research Outputs team will provide a link from the metadata to the article’s location on the publisher's site.

(24) The Research Outputs team will check that the publisher allows author self-archiving before uploading deposited material to the institutional repository.

(25) In cases where a publisher does not permit self-archiving, depositors will be required to gain permission to deposit their material in the institutional repository.

(26) If there is any dispute over the appearance of a publication in the institutional repository, the Research Outputs team will remove the item until the dispute is resolved.

(27) If this permission is not provided, a full copy of the research material will not be accepted; however, a record of the publication metadata, including bibliographic information, must be provided.

Section 5 - Non-Compliance

(28) Non-compliance with governance documents is considered a breach of the Code of Conduct - Employees or the Code of Conduct - Students, as applicable, and is treated seriously by the University. Reports of concerns about non-compliance will be managed in accordance with the applicable disciplinary procedures outlined in the Charles Darwin University and Union Enterprise Agreement 2025 and the Code of Conduct - Students.

(29) Complaints may be raised in accordance with the Complaints and Grievance Policy and Procedure - Employees and Complaints Policy - Students.

(30) All staff members have an individual responsibility to raise any suspicion, allegation or report of fraud or corruption in accordance with the Fraud and Corruption Control Policy and Whistleblower Reporting (Improper Conduct) Procedure.

Section 6 - Definitions