Policies and procedures

Policy No.
Information Management
Authoring Organisational Unit
Library - Information Services
Date Approved
Next Review Date
Approving Body

The University of Western Australia

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University Policy on: UWA Research Repository

Overtype “Policy Name” with the name of the policy.  This must convey specifically, accurately and succinctly what the policy addresses eg Award of Honours, Study Leave.

Purpose of the policy and summary of issues it addresses:

This policy defines the scope, roles and responsibilities, and legal requirements for management and development of the UWA Research Repository.

The Research Repository promotes the University’s research profile by providing an open access platform to capture, store, index, and distribute globally a wide range of UWA research outputs.  The Repository supports the University in fulfilling its obligations in relation to open access mandates from funding agencies as well as in meeting the reporting requirements of the Australian Research Council’s Excellence in Research for Australia (ERA) initiative

This must be in Normal, Policy style.

Provide a brief summary of the reasons for the policy and issues it addresses.  This section is designed to stand alone.  The aim is to provide the reader with enough information to make a decision about whether or not this is the policy they are looking for.  It must not be longer than 200 words. 

Example 1

This policy defines the nature and purpose of study leave provisions for academic staff and sets out eligibility criteria and other conditions that apply.

Example 2

This policy seeks to rationalise the award of honours across the University by addressing such issues as: entry standards, course content and structure, supervision, assessment, examination, grades, classifications, benchmarking and the maintenance and provision of documentation relating to these matters.  It is based on resolutions of the Academic Board flowing from the 1999 report of the Honours Working Party.



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Policy statement:

All material in the Research Repository contains bibliographic details (metadata), which are made available for harvesting by search engines such as Google Scholar, Trove, and OAIster.

Wherever possible, the full text of the material is also made freely available, subject to copyright law and publishers’ licence agreements.

The following materials must be included in the Research Repository:

Digital theses submitted by UWA higher degree by research (HDR) and Masters candidates via the Graduate Research and Scholarships Office, or Faculty, where applicable.

Materials which must be made available to external assessors as part of the Excellence in Research Australia (ERA) research assessment process.

The following materials may be included in Research Repository, subject to copyright law and licence agreements:

•           Refereed research articles and conference papers (either the author’s accepted manuscript or the publisher’s version)

•           Books and book chapters

•           Conference contributions, chapters in proceedings (the accepted draft)

•           Technical reports, commissioned reports, and other un-refereed research outputs such as working papers, seminar papers and presentations and discussion papers

•           Creative works with a research component, e.g. recorded/rendered creative works and curated or produced substantial public exhibitions and events.

Current outputs which are subject to a funding agency Open Access mandate such as NHMRC (from 2012) and ARC (projects beginning 2013) will be processed for open access by Library staff.

The following types of material are NOT included in the Repository:

•           Material intended for commercial purposes

•           Material containing confidential or proprietary information

•           Material restricted due to cultural sensitivity

•           Material that would infringe a legal obligation of UWA and/or the author(s) or creator(s), or the legal rights of a third party.

1 Copyright

1.1 The Research Repository is managed in accordance with the UWA Intellectual Property Policy and Australian copyright law.

1.2 Copyright owners retain the copyright for their material stored in the Research Repository. The material is made available by the University Library under a non-exclusive licence.

1.3 The University Library makes every endeavour to observe and abide by current publishers' policies and Australian copyright law as they relate to open access institutional repositories.

1.4 Author(s), creator(s) and contributor(s) of publicly available research outputs warrant that all necessary copyright clearances have been obtained for any third party material included in those outputs.

2 Roles and responsibilities

2.1 University Library

The University Library is responsible for

· co-ordinating the collection and auditing of required publications by UWA staff

· meeting reporting requirements

· ensuring that all research outputs and related bibliographic information (metadata) required for Excellence in Research for Australia (ERA) are available to ERA assessors and that outputs and their associated bibliographic information (metadata) required to be openly accessible under funding mandates are openly accessible (subject to copyright).

The University Library will restrict access to a thesis for a defined period if approval has been granted by the Dean of Graduate Research and Postdoctoral Training.

2.2 Business Information and Technology Services

Business Information and Technology Services is responsible for management and maintenance of the software, hardware and network infrastructure for the Research Repository.

2.3 UniPrint

UniPrint is responsible for forwarding digital copies of all Higher Degree theses and a copy of the certification of final version form for inclusion in the UWA Research Repository.

2.4 UWA HDR and Masters student

UWA HDR and Masters students are responsible for supplying a digital copy of their thesis to the Graduate Research and Scholarships Office, or Faculty office if applicable. They are also responsible for completing the certification of final version form in conjunction with the Graduate Research and Scholarships Office or Faculty if applicable.

2.5 UWA Project/Chief Investigators

UWA project/chief investigators or other nominated authors are responsible for recording NHMRC and ARC grant numbers against all research outputs resulting from these grants and providing copies of author accepted manuscripts upon request.

2.6 The Office of Research Enterprise (ORE)

The ORE oversees the HERDC audit and the ERA submission for the University. The Deputy Vice-Chancellor (Research) is the owner of Minerva, the UWA publications database, which is the source of truth for UWA publications. The ORE is responsible for the maintenance and development of Minerva.

The ORE will inform the University Library as to which publications need to be made available to ERA assessors.

The ORE is the owner of InfoEd, which manages UWA’s research grants, including those funded by the NHMRC and ARC. InfoEd is the source of truth for all grant data, including the number of the grant and the chief investigators involved in the grants.

The Graduate Research and Scholarships Office or Faculties, are responsible for administering master’s and doctoral theses, including obtaining copyright warranties and Restriction Certificates.

2.7 Researcher Profiles

A researcher profile is generated and displayed in the research repository for the following UWA staff and students:

· all currently employed staff at UWA who are classified as teaching and research or research only (regardless of whether they have publications or not in the repository)

· any other staff members currently employed at UWA who have a publication which is listed in the UWA Research Repository

· any current higher degree research students who have a UWA publication listed in the UWA Research Repository. Students wishing to remove their profile will be referred to the Graduate Research School (GRS) for a decision.

Policy or Procedure?

Policies are statements of the principles1 which govern decision-making.

Procedures are the functional steps used to implement policies.

1 Principles in this context are to be understood as being both broad and detailed.

The policy statement makes clear the intent of the policy.  It must be written in clear, precise and direct language.  Short sentences are preferable.  Any specialist words or acronyms must be defined at the beginning of the statement.  (A guide to writing styles will be available soon.)

If the policy includes procedural elements you will need to identify these as Procedures by including this word above the relevant text.  The procedures style from the styles drop-down list must be applied to the whole of the procedures text, including the word Procedures.  Note: Administrative procedures can be approved by the relevant Director.

Related forms: (Link)

Provide links to any forms associated with the policy (eg Approved Leave form) and/or to information on on-line submission.

Note: Forms are a means through which policy is processed, not made.  Forms must reflect policy and must not be used to create policy.

TRIM File No:


F32908Insert the appropriate TRIM file number.  All policies must have a TRIM file for storing information relating to policy development and other related information.  Note this is not the policy number.  Apply for a TRIM file number at http:/

Contact position:

Associate University Librarian
(Resources and Development)

Associate University Librarian

(Resources and Development)

State the name of the position that is to be contacted for any queries regarding the policy, eg University Secretary.  Note: As this will link through to the University’s Contact Directory, the position name must be given exactly as it appears in that directory.

Related Policies or legislation:

Provide details of, and, if appropriate, web links to, other policies, legislation or committee resolutions that relate to the subject of the policy, if known, eg Statute(s), University General Rule(s).  If unsure what these might be, try one or more of the following:

Conduct a search on TRIM.

Make an enquiry to Archives and Records.

Seek help from staff in the relevant section. 

If related policies are stored in University Policy format on the University Policies site, please provide the relevant policy number(s). 

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