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Making your thesis legal and depositing it online (February 2017 update)


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Workshop presentation to students who will be completing their PhD, DrPh, MPhil theses to help them understand what they can and cannot include in their thesis.

Covers: Advantages of making theses available online
Your thesis
Where to find theses
Your copyright
Criticism and review exception in CPDA
Exercise 1
Clearing copyright
Understanding Creative Commons Licences
Exercise 2
Publishing your thesis
‘Research paper style’ theses
Retaining your copyright -Author Addendums
Sensitive data and Data Protection Act & Freedom of Information Act

Originally created and delivered by Andrew Gray @OrangeShovels but adapted and made worse/better by John Murtagh @LSHTMOpenAccess

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Making your thesis legal and depositing it online (February 2017 update)

  1. 1. Making your thesis legal & depositing it online legal Updated 09 February 2017
  2. 2. Overview • Advantages of making theses available online • Your thesis • Where to find theses • Your copyright • Criticism and review exception in CPDA • Exercise 1 • Clearing copyright • Understanding Creative Commons Licences • Exercise 2 • ‘Research paper style’ theses • Retaining your copyright -Author Addendums • Redactions/embargoes • Sensitive data and Data Protection Act & Freedom of Information Act • Procedure/Format • Resources/Contact • Questions
  3. 3. In the old days • Physically visit • No copying • Could not remove from library • Access & dissemination of knowledge limited
  4. 4. 2016 • Research is now online • Theses are online • Held in university research repositories • Europe: DART-Europe E- theses Portal • Networked Digital Library of Theses & Dissertations • British Library’s EThOS service
  5. 5. EThOS • 131 UK institutions • 400,000 records • 160,000c FULL TEXT • Records dating back to at least the year 1800. • Records are held for all UK PhD-awarding institutions • 3,000 new records are added a month & additional 2,000 full text theses become accessible.
  6. 6. Theses at the School • 504 digital theses (October 2016) • Dating back to 1950 • Found via EThoS or LSHTM RO • E-thesis Policy (Oct 2013) • PhD (research paper style) • Doctorates in Public Health (DrPH) • Search by year, faculty, author and supervisor
  7. 7. They’re popular…
  8. 8. Where to find theses
  9. 9. Copyright • No copyright in ideas • Needs to be ‘fixed’ e.g. written down • Supervision, advice, edits do not qualify as copyright • You own the copyright - unless you give it away
  10. 10. Your Copyright • You the student own all of your work – essays, assignments, coursework & thesis. • Theses held in LSHTM Research Online will have the Creative Commons licence CC BY-NC-ND • Also assigned a Digital Object Identifier (DOI) to help citation
  11. 11. CC-BY-NC-ND • Must attribute your work • Cannot republish it and profit • Cannot make any changes to it • No reposting to a blog or website • No translations • Cover sheet on each thesis outlining this
  12. 12. 3rd party copyright material • Always credit, cite when you use other people’s material or ideas • Images, text, diagrams, tables, figures, photos, sound, video
  13. 13. Criticism and review (1/2) • General allowance for purposes of criticism, review or quotation is allowed for any type of copyright work. • A minimum amount of material must only be used (usually a short quote) – “fair dealing” • Sufficient acknowledgment of the source will be required.
  14. 14. Criticism and Review (2/2) • Do not use more than is necessary to make your argument. • Do not upload full articles or chapters • We have a “Take down” policy if this is contravened.
  15. 15. Examples
  16. 16. Exercise 1 • Examples of copyright
  17. 17. Clearing copyright material • Not all copyright material is covered by “criticism and review” exception (non public material for exmaple • If thesis was to be ‘published’ as journal article or book • Thesis made available online • Whole articles e.g. appendices • Contact copyright holder – publisher • State what you want to use, where and why
  18. 18. 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 rdstudentinformation/email_template___copyright_request.pdf
  19. 19. Example of clearance
  20. 20. Image clearance For some real TinEye search examples, check out the Cool Searches page. For an overview of how to use TinEye, check out their brief tutorial.
  21. 21. Creative Commons licences • Allows you to reuse copyright material • Outlines reuse conditions • CC-BY (Attribution) is most liberal • You can include the entire paper but cite it properly • Full list of licences available below • CC licences to not replace copyright – sit alongside
  22. 22. Understanding CC licences Adapted from poster on Creative Commons Australia Website at
  23. 23. Creative Commons licence CC-BY
  24. 24. Exercise 2 • Creative Commons licences
  25. 25. Research paper style theses Obtaining permission to reuse your own published paper
  26. 26. Email template 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 s/rdstudentinformation/email_template___copyright_request.pdf
  27. 27. Author Addendum • Author Rights: Using the SPARC Author Addendum to secure your rights as the author of a journal article • rs/addendum • Add this to the end of a publishing agreement – usually signed by corresponding author and yourselves. • Retains self-archiving rights of your paper.
  28. 28. Redaction • Personal/sensitive data • Material obtained under promise of confidentiality • Uncleared copyrighted material • Need to also submit an ‘unredacted’ electronic version • 2 versions therefore
  29. 29. 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 online
  30. 30. 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 • Accepted for publication
  31. 31. …for publication Accepted by Mark Morgan CC-BY
  32. 32. I have just submitted my single monograph thesis to a publisher; will having it online affect its chances of being accepted? Theses have been classified as ‘unpublished’ works and most publishers take this view. However a few publishers (only OUP that we are aware of) view theses online as being published. You should check with the particular publisher for their position on this. If it will affect your chance of publication you can request an embargo of up to 24 months on your thesis being made available online.
  33. 33. Caveats: • Publishers *do* allow you to make your thesis available online • Whole theses are *very* different to individual published journal articles • “Pending publication” is not the same as submitted to a journal or ‘thinking’ about submitting to a journal • It’s been accepted and is pending publication…. I hope to submit some or all of my single monograph thesis to a publisher at some time in the future; should I request an embargo at the point that I complete my examination forms? The School’s policy is to make theses available online wherever possible. If your thesis has not yet been accepted for publication then your digital copy will be made available online. If your thesis is subsequently accepted for publication and the publisher will not allow an online version to be made accessible by the School, you can then request an embargo on the grounds of “pending publication”
  34. 34. Research Paper style theses ONLY One of the articles in my thesis has just been submitted to a publisher should I still make this available in my online thesis? Individual chapters can be embargoed if necessary … HOWEVER – do this first: 1. If the paper is to be Open Access & has a Creative Commons licence – you can make available in thesis 2. Refer to SHERPA RoMEO site for journal policy on self-archiving final draft version online Sherpa – many allow it!
  35. 35. Research Paper style theses ONLY 3. Finally – you can request permission in Access Restriction form – but be clear about publishing status/progress so supervisor can approve decision to embargo. 4. Ask if unsure!
  36. 36. Video Guide to using SHERPA RoMEO (4:26)
  37. 37. The Freedom of Information Act and your thesis • subject to the Freedom of Information Act • we must supply a copy of your thesis to anyone who requests it. • Exemptions included • For advice see Freedom of Information website at the School.
  38. 38. 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
  39. 39. Format of your thesis • 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_
  40. 40. In Summary • Increases access to 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 • Both redacted and un- redacted versions to be submitted • Emailed once online if later need an embargo • PDF format ideally • CC-BY-NC-ND license • Queries - contact us
  41. 41. Copyright guidance
  42. 42. Web Resources 1 • LSHTM E-thesis Policy FAQs dents/rdstudentinformation/e_thesis_faq.html • LSHTM Copyright Guidance • Open Access Publishing at LSHMT • SHERPA RoMEO
  43. 43. Resources 2 • PhD forms dentinformation/phdexamentry/index.html • DrPH forms dentinformation/drphexamentry/index.html • Intellectual Property Rights Policy at LSHTM rty_policy_2005_.pdf • Policy and email templates dentinformation/email_template___copyright_request.pdf • Embargo/Restriction of access form dentinformation/phdexamentry/restriction_of_access_form.pdf
  44. 44. Resources 2 • Freedom of Information at LSHTM • The Networked Digital Library of Theses and Dissertations (NDLTD) • Author Rights: Using the SPARC Author Addendum to secure your rights as the author of a journal article m
  45. 45. Contact Library and Archives Service Copyright Guidance
  46. 46. Image credits • No known copyright restrictions • No known copyright restrictions - State Library of New South Wales • Some rights reserved by internet and tacos • Some rights reserved by its*me*red • Some rights reserved by Pryere • Some rights reserved by lism • Some rights reserved by Roo Reynolds • Some rights reserved by marsmet548 • Some rights reserved by kenteegardin • Some rights reserved by Sam, W • (CC-BY-SA) by Hugo Fernandes • (CC-BY) via Flickr. • No known copyright restrictions – Nationaal Archief • Some rights reserved by hockadilly • No known copyright restrictions – Museum of Photographic Art • No known copyright restrictions – Museum of Photographic Art • Some rights reserved by A. Diez Herrero • No known copyright restrictions – Australian War Memorial Collection
  47. 47. Questions