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Open Access, e-theses, copyright, intellectial property training

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Open Access, e-theses, copyright, intellectial property training

  1. 1. Making your thesis Open Access and Copyright & IP Vimal Shah Kate Vasili Research Information Manager Copyright Officer eprints@mdx.ac.uk K.Vasili@mdx.ac.uk Library and Student Support
  2. 2. © Middlesex University Today’s session will include: 1. Open Access 101 2. Open Access and your thesis 3. Making your work available – copyright and intellectual property rights Making your thesis Open Access; Copyright and IP | 2 From PhD Comics http://www.phdcomics.com/comics.php?f=1533
  3. 3. © Middlesex University What is Open Access? • Making research results and scholarly work available free of charge to anyone rather than keeping them hidden behind a subscription paywall. • A way of making research outputs more widely read, cited and used. • It facilitates the discovery and sharing of knowledge and may be required by your research funder. • The most common open access outputs are peer- reviewed journal articles but can also include books, chapters, conference papers, theses and research data. Making your thesis Open Access; Copyright and IP | 3
  4. 4. © Middlesex University Making your thesis Open Access; Copyright and IP | 4 CC-BY Danny Kingsley & Sarah Brown Benefits
  5. 5. © Middlesex University OPEN ACCESS PUBLISHING (There are 2 routes to OA publishing: Gold and Green) GOLD (Final print version) Author/ institution usually pay APC to publisher Free and immediate access GREEN (Accepted version) No fees paid to publisher Papers are often available after an embargo period e.g. Middlesex University Research Repository Graphic: Yvonne Budden, University of Warwick Routes to Open Access Making your thesis Open Access; Copyright and IP | 5
  6. 6. © Middlesex University Open Access publishers and journals • OA Scholarly Publishers Association: https://oaspa.org/ • Directory of Open Access Journals: https://doaj.org/ • Think Check Submit: http://thinkchecksubmit.org/ • Sherpa RoMEO: Publisher's copyright & archiving policies: https://www.jisc.ac.uk/sherpa Making your thesis Open Access; Copyright and IP | 6
  7. 7. © Middlesex University Myths and Misconceptions Due to untrustworthy journals/publishers, OA publishing has (unfairly) been regarded with suspicion and a lot of misconceptions about OA remain. However: Respectable journals nearly always offer an OA option (green or gold) OA journals can have high impact factors, and be of good quality OA articles are subject to copyright just as work published in ‘closed’ journals A reputable publisher will not ask you about OA options until after your work is accepted as this has no bearing on the peer review process If you’re ever in doubt about whether a journal/publisher is predatory, ask your supervisor, librarian or one of us! Making your thesis Open Access; Copyright and IP | 7
  8. 8. © Middlesex University Looking for OA material if the library does not subscribe to a journal • https://openaccessbutton.org/ • http://unpaywall.org/ • https://kopernio.com/ (formerly known as canaryhaz, still testing) | 8Making your thesis Open Access; Copyright and IP
  9. 9. © Middlesex University Open Access and books Knowledge Unlatched - http://www.knowledgeunlatched.org/ Developing a sustainable market where scholarly books and journals are freely accessible for each and every reader around the world. OAPEN - http://www.oapen.org The OAPEN Library contains freely accessible academic books, mainly in the area of humanities and social sciences. Directory of Open Access Books - https://www.doabooks.org/ The primary aim of DOAB is to increase discoverability of Open Access books. Making your thesis Open Access; Copyright and IP | 9
  10. 10. © Middlesex University Middlesex University Open Access Publications Policy ‘Research outputs [are] to be deposited in the institutional repository’ http://eprints.mdx.ac.uk/ Researcher responsibilities: Create record in Middlesex University Research Repository Where legally permitted, make all research outputs Open Access upon acceptance for publication, in University repository, in order to maximise visibility of research Provide link to full output, in cases where not permitted to include in repository. Support provided by LSS Guidelines in Open Access Library Subject Guide http://libguides.mdx.ac.uk/research/openaccess Making your thesis Open Access; Copyright and IP | 10
  11. 11. © Middlesex University 2. OA and your thesis Making your thesis Open Access; Copyright and IP | 11 http://eprints.mdx.ac.uk
  12. 12. © Middlesex University OA and your thesis Requirement: An electronic copy of your final thesis must be submitted for inclusion in the research repository. The copy of the thesis must be accompanied by a repository agreement form signed by you and your supervisor. Details of the rules and procedures are explained in the Regulations for Research Degree Programmes Making your thesis Open Access; Copyright and IP | 12
  13. 13. © Middlesex University OA and your thesis Don’t panic! The deposit agreement form gives you the option of restricting access to your thesis, subject to Research Degrees Board approval. You may also redact content that is copyrighted to another person or is too sensitive to share and provide a redacted and full copy of your thesis. Reasons may include: publishing thesis as a book/journal articles; confidentiality (personal / commercial content); security-sensitive content; patentable invention; etc. Making your thesis Open Access; Copyright and IP | 13
  14. 14. © Middlesex University Patents Patent applications: If your thesis describes an invention which you may apply to patent, state this on the repository agreement form. Nothing will then be put in the repository referring to the thesis. Making your thesis Open Access; Copyright and IP | 14
  15. 15. © Middlesex University Making your thesis Open Access; Copyright and IP | 15
  16. 16. © Middlesex University OA and your thesis Whether or not you choose to make your thesis open access, you retain copyright and all applicable intellectual property rights in your work. The repository does not give your work away, it is a window for the world to see and benefit from your academic achievement. Making your thesis Open Access; Copyright and IP | 16
  17. 17. © Middlesex University Further information and help • Open Access LibGuide: http://libguides.mdx.ac.uk/openaccess/ • Repository Team: eprints@mdx.ac.uk | 17Making your thesis Open Access; Copyright and IP
  18. 18. Copyright & IP Kate Vasili Copyright Officer k.vasili@mdx.ac.uk
  19. 19. © Middlesex University Copyright and IP are important to consider from the outset to avoid disputes, disappointment or costly infringement claims. You should: A) Establish ownership in the research and outputs. B) Decide how/where the results will be publicised and include in funding bid, e.g. presented at conferences, published, broadcast, performed. C) Set aside a budget and time for copyright clearance. D) Create a Copyright / IP rights management register. E) Ask the IP team (RKTO) to look over any funding/publishing agreements or contracts before signing, allowing sufficient time for negotiation of terms. Forward Thinking: Why is it important? Making your thesis Open Access; Copyright and IP | 19
  20. 20. © Middlesex University Building on solid foundations Making your thesis Open Access; Copyright and IP | 20
  21. 21. © Middlesex University A) Ownership of the Research Outputs IPR (Intellectual Property Rights) Who owns the IP/ copyright in your research? Creator, Employer, Funding Body? Only the copyright owner/s can assign or license copyright to another e.g. to publishers or users. • University’s IP Policies state where the University asserts or waives it’s copyright ownership. “Copyright of the intellectual works produced by academic members of staff, except in relation to courseware, vests in those academic staff. Database rights are claimed in relation to funded projects where the funder requires the University to protect and exploit them, but in general for all new funded research you will be required to make data publicly available, without reservation of ownership.” Mark Gray RKTO, Middlesex University Middlesex IP Policies and Guides: https://www.intra.mdx.ac.uk/tools-policies/policies-and-guidance/intellectual-property Harvard, MIT and Imperial model (and spreading) is to assert rights in all work produced by staff under contract and only license publication rights to publishers. This enables the Universities to make work freely available on Institutional Repositories. Making your thesis Open Access; Copyright and IP | 21
  22. 22. © Middlesex University Making your thesis Open Access; Copyright and IP | 22
  23. 23. © Middlesex University B) Exposure • University Research Repository • Publishing • Conference Presentation • Exhibition • Broadcast / Public Performance • Commercial Production/Sales Making your thesis Open Access; Copyright and IP | 23
  24. 24. © Middlesex University C) Using / Clearing 3rd Party Content Making your thesis Open Access; Copyright and IP | 24
  25. 25. © Middlesex University Exceptions • Limited and specific ‘exceptions’ in UK law a.k.a. ‘Fair Dealing’ defences  Defences in possible court actions, not absolute rights  Only apply to limited copying/acts performed/hosted within the UK (beware cross border/International laws may conflict particularly with broadcasts, films and sound recordings)  Acknowledgement always required The UK has no general ‘Fair Use’ provision. This is a US term and only applies to copying within the USA. Making your thesis Open Access; Copyright and IP | 25
  26. 26. © Middlesex University What is Fair Dealing? • Fair Dealing is not defined in law but left open to the discretion of the courts in a possible copyright infringement claim. • The courts will decide on a matter of fact, degree and impression in each case i.e. what you are doing, how much are you copying and what impact your copying has on the work and its market value. Therefore any ‘fair dealing’ copying, involves an element of risk. Before copying under the ‘fair dealing’ exceptions, the IPO recommends that you should always consider all the following factors equally: a) How would a fair-minded and honest person have dealt with the work? b) Would your use substitute for possible sales and cause the rights owner loss of revenue? c) Is the amount you are using reasonable, appropriate and absolutely necessary for your purpose? d) Does the copying meet the provisos of the exception/s you are relying on? Making your thesis Open Access; Copyright and IP | 26
  27. 27. © Middlesex University General UK Fair Dealing Exceptions • S. 28A - Temporary (transient) copies e.g. Computer memory caching, faxes • S. 29 – Non-commercial research and private study Covers single personal copying done by individuals from any type of work. Strictly non-commercial (future uses included) • S29A - Copies for text and data analysis for non-commercial research (i.e. Text and data mining) using automated processes, only from owned or subscribed content. • S.30 - Criticism, Review, Quotation or News Reporting (Photographs excluded from exception for News reporting) • S.30A - Caricature, parody or pastiche CJEU found that parody must be humorous • S.31 - Incidental Inclusion of a work in an artistic work, broadcast, film or sound recording (except where a whole or large part of a musical work is deliberately included) Contract terms can’t override these exceptions except in S28A i.e. if licence or subscription terms prohibit or restrict the making or transmitting transient copies, the terms prevail over the exception. The provisions in the exceptions prevail in all other cases. Making your thesis Open Access; Copyright and IP | 27
  28. 28. © Middlesex University Public Licensing • OGL – Open Government Licence Public sector information , Parliamentary/legislative papers, reports, from publicly accessible or subscription based content (personal / E- Resources) • Open Source /‘Copyleft’ Licensing e.g. Creative Commons and GNU/FSF Free Software Foundation, GNU / Making your thesis Open Access; Copyright and IP | 28
  29. 29. © Middlesex University Creative Commons Licences https://creativecommons.org/licenses/ Licence Symbol Attribution alone (by) Attribution + No Derivatives (by-nd) Attribution + Share-Alike (by-sa) Attribution + Non-commercial (by-nc) Attribution + Non-commercial + No Derivatives (by-nc-nd) Attribution + Non-commercial + Share-Alike (by-nc-sa) PUBLIC DOMAIN SYMBOLS Copyright Waived - Public Domain Copyright Free/Expired – Public Domain Making your thesis Open Access; Copyright and IP | 29
  30. 30. © Middlesex University Assigning Creative Commons Licences • If using CC-SA Creative Commons Share Alike Licensed content, you must attach the same CC licence to your work i.e. no more or less restrictive. • Once you have assigned a CC Licence to your work and made it available, you can’t change or retract that licence to be more restrictive. Consider carefully because the least restrictive CC licences could have an impact on future publishing agreements. Making your thesis Open Access; Copyright and IP | 30
  31. 31. © Middlesex University Collective Licensing The University holds various Licences which permit copying for Educational and Research purposes within defined limits and mandates. • CLA - Covers multiple copying from mandated books, journals magazines for education and research purposes • NLA - Covers multiple copying from UK national newspapers for educational purposes • ERA - Covers recording of off-air TV and Radio broadcasts • Orphan Works Licensing Scheme - Launched by the government in 2014, to enable the reuse of protected works where the copyright owner is unknown or untraceable. Making your thesis Open Access; Copyright and IP | 31
  32. 32. © Middlesex University Orphan Works • Works with unknown or untraceable Copyright owners • Still protected by copyright but impossible to request permission • Solution = ‘Orphan Works Licensing Scheme’ launched by the government 2014 https://www.gov.uk/guidance/copyright- orphan-works Applicants must have performed a due diligent search before applying for a licence. However, OW licences can be expensive. Disclaimers/Take Down procedures may be a solution for low risk, Non- Commercial re-use. (See JISC/SCA IPR Toolkit) Making your thesis Open Access; Copyright and IP | 32
  33. 33. © Middlesex University Requesting Permissions  Permission requests must: • cover all required uses/formats/audiences/time periods • be fully documented e.g. letter, email (oral permissions are generally invalid unless evidenced)  Always leave sufficient time to clear rights. It takes a lot longer than you might think e.g. mostly 6-8 weeks from publishers.  Consider an alternative if you are refused permission or the fee is too high. NB. If the rights owner is known and contactable, but no response received, you must assume that your request has been rejected.  You are strongly advised to keep track of all permissions requested, received or granted by you in a Rights Management Database/Spreadsheet. Permissions Letter Template is available at : https://www.intra.mdx.ac.uk/tools-policies/policies-and-guidance/copyright/quick-links Making your thesis Open Access; Copyright and IP | 33
  34. 34. © Middlesex University Making your thesis Open Access; Copyright and IP | 34
  35. 35. © Middlesex University D) Register of Permissions received, granted and challenged Keep a thorough record of all documents proving that: • Register of permissions requests to use third party content - You have requested the permission of an IP rights holder to use their IP in your work. The permissions requested and received must specify the scope of use you intend to make. The register should also evidence dates and method of attempts made to contact rights owners, even if unsuccessful (to prove diligent search). • Register of permissions granted to third parties to use our/your IP - You have granted controlled and restricted permissions to any third-party to access (through a NDA) or use (through license) yours or the University’s IP. • History of challenges to title - You have defended (entirely or partially) your ownership and the validity of title of your Intellectual Property. Making your thesis Open Access; Copyright and IP | 35
  36. 36. © Middlesex University Disclosure of IP • You are encouraged to disclose new IP to the RKTO. • Early notice of arising IP in ALL forms allows the RKTO to offer top professional advice on strategies for achieving returns AND impact. • In other words, early disclosure to the RKTO means your work will help the University make money through research funding. • NEVER disclose details of new, original ideas or inventions to anyone other than the RKTO as this may void any possible patent applications. Making your thesis Open Access; Copyright and IP | 36
  37. 37. © Middlesex University Evidence of origination and/or contribution to collaborative IP • Format is irrelevant as long as there is a record and the originality of the record is hard to dispute. Examples: – Make electronic records (metadata will confirm date and other info). Separate record for a separate entry makes it easy to prove date – Upload electronic records to your University server. Do not use third-party cloud storage services, as it is against basic security considerations and possibly against University policy – Application for a trade mark or design right Making your thesis Open Access; Copyright and IP | 37
  38. 38. © Middlesex University Evidence of origination and/or contribution to collaborative IP Alternatively, we need to have the story of each creation documented in clear detail. A clear and detailed story that makes sense can serve as evidence, even if its parts cannot stand alone. •Thorough records should include: – Title of work – Date of creation or modification – Version number (if applicable) – Name of author(s) – Early drafts and prototypes references; anything that can help reconstruct the creation process. •Again, these records should be kept in a log book (or anything else of similar function) and a back up in your servers could prove a life saver. •Written disclosure of IP to the RKTO at an early stage. Making your thesis Open Access; Copyright and IP | 38
  39. 39. © Middlesex University Practical examples of Evidence Format of creation Format of record Record keeping method Text (script, novel, journal articles, lyrics etc.) Save as pdf Save locally Upload to our server Drawing / Picture / Installation Digital picture Save locally Upload to our server Performance Digital audio / video recording Save locally Backup locally Partially upload to our server (due to file size limitations) Making your thesis Open Access; Copyright and IP | 39
  40. 40. © Middlesex University E) Publishing Agreements Common terms include:  a copyright assignment or a licence - full rights assignment in perpetuity or a limited licence in terms of time and/or format)  a copyright declaration that you have cleared all third party rights in the content (regardless of legal exceptions). Publishers rarely accept ‘fair dealing’ exceptions and will protect themselves against all eventualities. This declaration ensures that the risk assessment and responsibility for compliance remains with you.  re-Use terms i.e. what you are permitted to do with your work i.e. the pre or post edited, or final published versions of your work. These can range from: ‘no reuse permitted without express permission’ to: ‘may make final published full text version freely accessible online via your personal blog/website and/or your Institutional Repository’ Making your thesis Open Access; Copyright and IP | 40
  41. 41. © Middlesex University Accepting Terms in Publishing Agreements It is an agreement between two parties and you are within your rights to negotiate any term/s you are not happy with . •Assignment /Licence - If you are assigning/licensing you rights to the publisher, please make sure there is provision in the terms for you to be able to re-use your work • For personal use (definite must) • For your teaching (very likely) • For your institution to use (likely) • For Open Access and institutional /research repository FT access (varies) TIPS: •Always read the small print before signing a contract. You may be giving away more than you intended. •Ask the IP team to check over any funding/publishing agreements or contracts before signing. •Don’t leave contract signing to the last minute. If there is a deadline. Leave time for negotiation. Making your thesis Open Access; Copyright and IP | 41
  42. 42. © Middlesex University Copyright and Open Access Journals - Versions Preprint = Pre-edited author’s original submission Post-print = (also known as Author Accepted Manuscript) Peer reviewed, edited version Publisher PDF = Final published PDF version Permissions / re-use rights Creative Commons e.g. CC-BY, CC-BY-NC-ND All rights reserved Books / Book chapters / Reports Check the copyright transfer agreement / contract you have signed with the publisher. If a report is produced for a government department it may be covered under Open Government Licence. Making your thesis Open Access; Copyright and IP | 42
  43. 43. © Middlesex University “Only one thing is impossible for God: to find any sense in any copyright law on the planet.” - Mark Twain’s Notebook, 1902-1903 Making your thesis Open Access; Copyright and IP | 43
  44. 44. © Middlesex University Images: • Mimi & Eunice Cartoons by Nina Paley http://mimiandeunice.com/ • Ownership image: CC licensed http://leadershipfreak.wordpress.com/2012/09/04/overco ming-the-danger-of-taking-ownership/ • Question: http://clipartix.com/wp- content/uploads/2016/08/Cliparts-about-questions-clipart- clipart-kid-3.jpeg Making your thesis Open Access; Copyright and IP | 44

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