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Making your thesis legal


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Workshop presentation to students who will be completing their PhD, DrPh, MPhil theses to help them understand the new LSHTM policy of making their theses available online via LSHTM Research Online …

Workshop presentation to students who will be completing their PhD, DrPh, MPhil theses to help them understand the new LSHTM policy of making their theses available online via LSHTM Research Online Discusses copyright, exceptions, thesis by publication, copyright clearance, embargos. Originally created and delivered by Andrew Gray @OrangeShovels.

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  • New born chick, new service
  • Look at the advantages of making research publically available
    Worries about copyright, how thesis by publication is affected by this
    Embargos/restricting access to the thesis, what are valid reasons
    The procedure for submitting the thesis electronically
    List of resources to help
    Pass over to colleague GK who will talk about data sharing, then VC who will discuss sensitive data and the data protection act
    Then over to you for questions
  • Years ago... To access research and of course theses you had to physically visit a library to read the thesis, you could not copy from it, could not remove from the library

    Worked in another institution where they conducted research on paper conservation, one of 2 place in the uk and very few globally, had a phone call from a researcher in the U.S who wanted to access one of our theses (found details in our library catalogue) but we could not copy or send it to him, he decided to come over in the summer (6 months later) to read, he came in every day and copied out by hand the information he wanted – incredibly laborious an slow process and tbh sure the author would have been happy for this researcher to read their thesis (we did not have any contact details for them) – the contained knowledge within the thesis had a limited geographic area and surely as researchers, those completing your thesis you would want it as widely read as possible?
  • So in the lovely future
    We mainly access our research online, though various databases, internet etc
    Theses are online, as an institution we are maybe late to the ‘party’ – 69 uk institutions have their theses online, 1240 worldwide
    The British Library has had the Ethos service since 2009, 300,000 records with nearly 50% available online
    Their earliest thesis from 1812
    We will be hosting PhD’s Mphil’s and DrPh’s – allowing all who have internet access to read new research from yourselves and your peers
  • Currently in LSHTM Research Online we have 270 theses back to 1950, they were all pre 2013 but a recently finished researcher contacted us to deposit their thesis so we now have one from 2013!
    The majority were digitised on request by BL’s ethos service
    We have had a great deal of positive feedback about having these online, from researchers in the area, from current academics (you can look to see if your current supervisor has theirs deposited), past academics
    As mentioned before we have had past academics sending through to us their theses, wanting to make it available, allowing more people to read it and as one person mentioned it saved them time since they were always getting requests from people about their thesis and now can just point them to it, or include the link in their list of publications
  • Now to copyright
    Area everyone fears
    No copyright in ideas, it has to be ‘fixed’ for it be copyrighted e.g. written down in a article, thesis
    Simply because someone supervises you, provides advice on your writing, discusses ideas, suggests edits does not qualify them to claim copyright/joint copyright
    As the creator of the work you own the copyright unless you give it away! This will often happen if you write an article in a journal since publishers will often insist that you sign copyright over to them
  • 3rd party material
    This is material created by others, whether that it is in print or onine
    You need to always always credit the use of such material, in the same way that if you are using other peoples ideas/quotes you would cite them
    It applies to images, text, diagrams, tables,figures, photos, sound, video

    There are copyright ‘exceptions’ which allow use of copyrighted material in certain strict ways
    A print thesis is originally produced for examination so can be covered by an examination exception
    However once online this exception no longer applies but we can use the ‘criticism and review’ exception for digital/online theses
  • Criticism and review is a ‘fair dealing’ exception – it allows you to use copyrighted material for non commercial use in specific ways in order to allow research and study
    Any item you use must be citiqued and reviewed, you need to discuss and assess the importance of the item you use e.g. a diagram – you must be sparing, evaluate whether you really need to use 5 diagrams when only one of them is relevant to what you are discussing
    Always acknowledge the source
    Do not include full articles or chapters in any appendices – if they are originally there they will need to be redacted and the relevant citation put in its place
    We have a take down policy where if a copyright holder makes a complaint of copyright infringement we will remove the item within 2 days and investigate the claim
  • However you may still be using copyrighted material that is not allowed under the exception, if you are it simply means that you need to clear it before you can use it – if you were to ‘publish’ your thesis as a book or part of it as an article your publisher would require you to clear that material
    In such cases you would need to contact the copyright holder – in many cases this would be the publisher
    You would then need to state what you want to use, where and why you want to use it – this can particularly apply to those who are conducting a phd by publication
    We have a couple of email templates (which are now online) which you can use to contact the copyright holder
  • Clearly states what you want to use it for and where the material will be displayed, in most cases your request will be granted but be aware that it can take time to clear material
  • Who you publish your article with will determine what you can do with the article and how easily you can include it online.
    We of course would recommend publishing with an open access publisher/journal since this will allow easy reuse for you and access for everyone else.
    The biggest OA publishers are BioMed Central, PLoS and Hindawi, new ones include E-life (WT, Max Planck, Howard Hughes) and PeerJ
    E-life currently has no charge but all the rest do, however the majority of oa journals do not charge – to look up an open access journal use DOAJ
    If you decide to publish with a traditional publisher then there can be certain issues but you need to contact them to request permission.
    If you have a number of articles, some published, some submitted/accepted it is best to wait until they are all published before we ‘release’ the thesis – so request an embargo
    We want to have the same version online as what you originally submitted
    Use email template
    Publisher may request embargo period or refuse permission – if just one article then useful to remove this and have the citation link, if all articles then implement a permanent embargo
  • Template

    As much detail as possible
  • There may be specific information you will need to redact/remove so that the thesis can be online
    Personal data should either be anonymised or redacted – more discussion about this in later session
    Any material obtained under promise of confidentiality should also be redacted
    If you have been unable to clear copyright material
    Where you are submitting a redacted version for online distribution, you need to also submit the ‘unredacted’ version for archival purposes
  • While we believe that havign your thesis online immediately once you have been awarded your degree is of great advantage to you in disseminating your research and ideas and advantage to others within your discipline there may be occasions where an embargo is justified – this must be agreed with your supervisor and an embargo of up to 24 months will be given, any such request must be supported by evidence/reasons and there are of course always ‘exceptional circumstances’ outside of the list of agreed reasons can occur
    You can request an embargo at a later date
    As the thesis is put online you will receive an email informing you of this so that if circumstances have changed you can then request an embargo and we will start the official procedure for this to be put in place but it will be immediately embargoed of one month on your request pending the completion of the necessary forms
  • Publication is pending, e.g. your article has been accepted
    Questions about what do publishers think if you have a thesis already online will it this prevent later publication, this varies from publisher to publisher, theses are recognised as ‘unpublished’ works, often you will need to rewrite certain amounts of your thesis for publication as an article or book, so they may contain considerable differences – ask your publisher
    If the thesis contains patents then it can be embargoed so that yourself or commercial partner can obtain the ‘relevant’ reward
    If thesis is done on behalf of a commercial company, funded by a commercial company and/or contains commercially sensitive or legally sensitve material then it can be embargoed – do check with the commercial sponsor about this, they may allow it online - If you are funded by one of the research councils e.g MRC, ESRC, Wellcome they will expect you to make your thesis immediately publically available, if there is a reason not to then you must clear that with them
    Material obtained under confidentiality, where simple ‘redaction’ will not suffice
    Personal data that cannot be redacted e.g. that if the removing such material would mean that the thesis would not be coherent then you can request this embargo
    If the thesis contains a substantial amount of uncleared copyright material that does not meet criticism and review exceptions and the redaction of such material would render the thesis incoherent/incomplete then the thesis will be embargoed – I doubt this would happen in many examples within the disciplines here at the school
  • You will be completing the relevant submission form 4 months before you’re actual submission, at this point you can indicate if you require an embargo/restriction on access to your thesis
    You will submit 2 electronic copies
    1 at the examination stage and another post viva ( the post viva version will be placed within LSHTM Research Online) the earlier version will be stored elsewhere electronically
    This does not include having to submit ‘redacted’ versions
    You will hand these in either via cd to registry or email
  • Usual formats for theses, in the main a pdf if not rtf, doc, docx ( we will convert to a pdf format) if any of your appendices are in other formats e.g excel then please highlight this
    Naming convention as follows…

    If you are submitting a redacted version you need to also indicate that in the naming of the file
  • Here’s the list of current resources on the School page
    1st free are available from the research degree student pages
    Then information on copyright and open access

    These slides will be placed probably on research degree pages
  • Image credits – all free to use from flickr
  • Issues around copyright, lshtm research online
  • Transcript

    • 1. Making your thesis legal Improving health worldwide Updated 26 September 2014
    • 2. Overview • Advantages of making thesis available online • Copyright implications • Research Paper Style Thesis • Reasons for embargoes • Procedure • Resources/Contact • Data sharing • Sensitive data and Data Protection Act • Questions
    • 3. In the old days • Physically visit • No copying • Could not remove from library • Access, dissemination of knowledge limited
    • 4. 2013 • Research is online • Theses are online • 69 UK institutions • 1240 Worldwide institutions • British Library Ethos service • PhD, Mphil, DrPh • Greater dissemination, wider impact, increased health knowledge
    • 5. LSHTM Research Online • 359 theses • Pre 2013, back to 1950 • Digitised by BL on request • E-thesis Policy (Oct 2013) • Positive feedback • Saves time
    • 6. Copyright • No copyright in ideas • Needs to be ‘fixed’ e.g. Written down • Supervision, advice, edits do not qualify for copyright • You own the copyright unless you give it away
    • 7. 3rd party material • Always credit, cite when you use other people’s material or ideas • Images, text, diagrams, tables, figures, photos, sound, video • Print thesis covered by ‘examination’ exception • Digital thesis can use ‘criticism and review’ exception
    • 8. Criticism and Review • Copyright exception under fair dealing • Non commercial use • Discuss and assess the importance of the item • Acknowledge the source • Do not use more than is necessary • No full articles, chapters • Take down policy
    • 9. Clearing copyright material • Everything is not covered by criticism and review exception • If it was to be ‘published’ in journal, book • Whole articles e.g. Appendices • Contact copyright holder – publisher • State what you want to use, where and why • Email templates
    • 10. Email template: use copyright material Dear Sir/Madam [Name if known], I am currently studying for a research degree at London School of Hygiene and Tropical Medicine. I am contacting you to seek permission to include the following material within the electronic version of my PhD thesis: [Provide full details of the material you intend to include] If you are not the rights holder for this material I would be grateful if you would advise me who to contact. The thesis will be made available within LSHTM Research Online our institutional repository The repository is non-commercial and openly available to all. Yours Sincerely
    • 11. 'Research Paper Style Thesis' • Go Open Access - DOAJ • PLoS, BMC, E-Life, PeerJ • Ensure all articles ‘published’ before ‘online’ • Same version as your post-viva version • Email template • If permission refused – citation link or permanent embargo
    • 12. Email template: 'Research Paper Style Thesis' Dear Sir/Madam [Name if known], I would like to request permission to include the following article(s) that I published and authored with you: [include full citation of articles] in the digital copy of my thesis which will be made publically available through LSHTM Research Online . This is our institutional repository and is non commercial and openly available to all. Yours sincerely
    • 13. Redaction • Personal/sensitive data • Material obtained under promise of confidentiality • Uncleared copyrighted material • Need to also submit an ‘unredacted’ electronic version
    • 14. Embargos! • Up to 24 months • Agreed with your supervisor • Exceptional circumstances • Evidence needed to support request • Can be requested at later date • Further extension can be requested • Email notification once online • Abstract and metadata will be visible
    • 15. Reasons for embargo • Publication is pending • Contains patents • Contains commercially/legally sensitive information • Material obtained under promise of confidentiality • Personal/sensitive data • Uncleared copyrighted material
    • 16. Procedure • Sign thesis submission form 4 months before • Complete embargo/restriction of access form • Examination stage electronic submission • Post viva stage electronic submission • CD or email • Creative Commons license CC-BY- NC-ND
    • 17. Format • Pdf, rtf, doc, docx • Thesis naming convention Year_Faculty_Name of Award_Surname_Initial e.g. 2013_ITD_PhD_Gray_A • Appendices naming convention Year_Faculty _Name of Award _ _Surname_Initial_ Appendices e.g. 2013_ITD_PhD_ Gray_A_ AppendixA_ • If redacted indicate in file name e.g Redacted_2013_ITD_PhD_Gray_A_
    • 18. Resources • Policy and email templates mation/e_thesis_submission_policy.pdf • E-thesis Policy FAQs mation/e_thesis_faq.html • PhD forms mation/phdexamentry/index.html • DrPH forms mation/drphexamentry/index.html • Embargo/Restriction of access form mation/phdexamentry/restriction_of_access_form.pdf • Copyright Guidance
    • 19. Summary • Increases access to health research • Can use ‘criticism and review’ exception for copyrighted materials • Use email templates to seek clearance for 'Research Paper Style Thesis' material and other uncleared material • Redact uncleared material for online copy • Embargo of up to 24months decided with your supervisor • Post viva version goes online • Redacted and unredacted versions to be submitted • Emailed once online if later need an embargo • PDF format ideally • CC-BY-NC-ND license • Queries contact us
    • 20. Image credits 1. No known copyright restrictions 2. No known copyright restrictions - State Library of New South Wales 3. Some rights reserved by internet and tacos 4. Some rights reserved by its*me*red 5. Some rights reserved by Pryere 6. Some rights reserved by lism 7. Some rights reserved by Roo Reynolds 8. Some rights reserved by marsmet548 9. Some rights reserved by kenteegardin 10. Some rights reserved by Sam, W 11. No known copyright restrictions – Nationaal Archief 12. Some rights reserved by hockadilly 13. No known copyright restrictions – Museum of Photographic Art 14. No known copyright restrictions – Museum of Photographic Art 15. Some rights reserved by A. Diez Herrero 16. No known copyright restrictions – Australian War Memorial Collection
    • 21. Contact Library and Archives Service