MANDATES AND E-THESES DR NICKY CASHMAN, 2009 CADAIR – ABERYSTWYTH UNIVERSITY’S INSTITUTIONAL REPOSITORY

 LIST OF UK UNIVERSITIES WITH MANDATES OR MANDATES PENDING  FREEDOM OF INFORMATION  EXCEPTIONS/EXEMPTIONS  TAKE DOWN POLICIES  ABERYSTWYTH UNIVERSITY’S MANDATE  THE PRESENT SITUATION AND THE FUTURE FOR CADAIR Presentation Outline

UK UNIVERSITIES

UNIVERSITIES WITH PRESENT AND UPCOMING MANDATES  ABERYSTWYTH  BATH  BRADFORD  BRISTOL  BRUNEL  CARDIFF  CAMBRIDGE ?  CHESTER  EDINBURGH  EXETER  GLASGOW  IMPERIAL  LEEDS  LEICESTER  LIVERPOOL  MANCHESTER  MIDDLESEX  NAPIER UNIVERSITY  NEWCASTLE  NORTHAMPTON  NOTTINGHAM  OXFORD  ROEHAMPTON  ROBERT GORDON, ABERDEEN  SHEFFIELD  SOUTHAMPTON  STIRLING  ST ANDREWS  UCL  WARWICK  WOLVERHAMPTON

GLASGOW – Freedom of Information  Glasgow demonstrates the point that “In the interests of scholarship, theses…are normally made freely available…immediately after deposit. Electronic copies are normally made available online to increase the access to, and visibility of, the University’s research”  Reasons for restricting access to a thesis should be derived from exemptions under Freedom of Information (Scotland) Act 2002  The FOIS Act “…ensure[s] access to any information held… including theses, unless an exemption or exception applies”

LIVERPOOL – List of exceptions/exemptions  Publication, in whole or in part, of the thesis is planned  Release of the thesis would substantially prejudice the commercial interests of any person including the author, the University or an external company  The thesis includes material that was obtained under a promise of confidentiality  The thesis contains 3 rd party copyright material and the gaining of approval to publish the material electronically would be onerous or expensive; and the removal of the copyright material would compromise the thesis  The thesis contains information which might endanger the physical/mental health/personal safety of an individual or group of individuals

NORTHAMPTON – Take down policy  All material…is subject to temporary or permanent removal pending the outcome of any complaint  Complaints will normally be concerned with the ownership of IPR, moral rights and other legal issues  If the complaint is deemed to be valid, the item will be temporarily removed… and the contributor of the item will be notified. The contributor will be invited to respond to any allegations  …One of four outcomes will result: 1. The item is unchanged, and restored 2. The item is replaced…with appropriate changes 3. The item is withheld…pending completion of an embargo period 4. The item is permanently removed

ABERYSTWYTH UNIVERSITY

ABERYSTWYTH UNIVERSITY’S MANDATE From September 2008, students submitting the following theses/dissertations are required to deposit an electronic copy in CADAIR along with two hard copies for AU library and the NLW: Successful research theses (PhD and MPhil) in their final corrected form Postgraduate taught masters' dissertations (MA and MSc)  which receive distinctions (whether or not a student gets a distinction overall)  or are on the subjects of Welsh, Celtic Studies and Welsh History

PROBLEMS  Lack of Repository information for academics/students  Ignorance of Open Access issues  Creative Writing concerns – future publication  Concerns regarding 3 rd party copyright  Concerns regarding journal/publisher conditions  No forms available for students seeking an embargo  “bar on access” hidden amid myriad of regulations on web pages

THE E-THESIS DEPOSIT AGREEMENT FORM

Aberystwyth University E-Thesis Deposit Agreement Details of the Work I would like to deposit the following item in the digital repository maintained by Aberystwyth University, and/or in any other repository authorized for use by Aberystwyth University: Title …………………………………………………………………………………………………………… Supervisor Research grant (if any) This item is a product of my own research endeavours and is covered by the agreement below in which the item is referred to as “the Work”. It is identical in content to that deposited in the Library, subject to point 4 below. Non-exclusive Rights Rights granted to the digital repository through this agreement are entirely non-exclusive. I am free to publish the Work in its present version or future versions elsewhere. I agree that Aberystwyth University may electronically store, copy or translate the Work to any approved medium or format for the purpose of future preservation and accessibility. Aberystwyth University is not under any obligation to reproduce or display the Work in the same formats or resolutions in which it was originally deposited. AU Digital Repository I understand that work deposited in the digital repository will be accessible to a wide variety of people and institutions, including automated agents and search engines via the World Wide Web. I understand that once the Work is deposited, the item and its metadata may be incorporated into public access catalogues or services, such as national databases of electronic theses. I agree as follows: 1. That I am the author or have the authority of the author/s to make this agreement and do hereby give Aberystwyth University the right to make available the Work in the way described above. 2. That the electronic copy of the Work deposited in the digital repository and covered by this agreement, is identical in content to the paper copy of the Work deposited in the Library of Aberystwyth University, subject to point 4 below. 3. That I have exercised reasonable care to ensure that the Work is original, and to the best of my knowledge, does not breach any laws including those relating to defamation, libel and copyright. 4. That I have, in instances where the intellectual property of other authors or copyright holders is included in the Work, gained explicit permission for the inclusion of that material in the Work, and in the electronic form of the Work as accessed through the open access digital repository, or that I have identified and removed that material for which adequate permission has not been obtained and which will be inaccessible via the digital repository 5. That Aberystwyth University does not hold any obligation to take legal action on behalf of the Depositor, or other rights holders, in the event of a breach of intellectual property rights, or any other right, in the material deposited. 6. That I undertake to indemnify Aberystwyth University against all actions, suits, proceedings, claims, demands and costs occasioned by the University in consequence of any breach of this agreement Signature ………………………………………………………………………. Date …………….

SOLUTIONS  Presentations & workshops – spreading the word to departments and postgraduates  Individual meetings with HoDs and PG Directors – points of view sought and noted  Research undertaken/advice sought from AU copyright manager  Contact with publishers and funding councils  Proposed additional form to Research Degree Board

Proposal to AU Research Degrees Board  Corresponding with several IR managers around the UK  “Borrowing” information from online forms  Amalgamating such information to suit AU  Liaising with AU management, department & IS colleagues  Putting forward the proposal to the RDB

IMPORTANT NOTES FOR RESTRICTION TO ACCESS In the interests of scholarship, the hard copies of successful theses/dissertations are freely available for consultation in the university ’ s libraries, or within the National Library of Wales, immediately after deposit. Electronic copies are made available online to increase the access to, and visibility of, AU ’ s research. Candidates should consult CADAIR and talk to their supervisor before completing and signing this section to establish whether there is likely to be a valid reason for restricting access to their work for a limited period of time. Candidates should consult any sponsoring organisations that may hold intellectual property rights in a thesis before completing this form. The Freedom of Information Act allows access to information held by Aberystwyth University including theses, unless an exemption or exception applies. Candidates will be required to declare at the point of electronic deposit that the copy being deposited is the same in all respects as the print copy with the exception of any 3rd party copyright material removed because permission for its inclusion has not been granted. Candidates who believe there is a valid reason to restrict access to the electronic version of their thesis should select the appropriate category in the list below and provide specific details in the space provided: Publication of the thesis is planned The thesis includes material that was obtained under a promise of confidentiality The thesis contains material whose copyright belongs to a third party and the gaining of approval to publish the material electronically would be onerous or expensive; and the removal of the copyright material would compromise the thesis The thesis contains information which might endanger the physical or mental health or the personal safety of an individual or group of individuals An organisation other than Aberystwyth has an interest in the intellectual property rights to this thesis (Please specify the organisation and the nature of their interest). ……………………………………………………………………………………… ……………………………………………………………………………………………. …………………… Candidates who have selected one of the above categories above should give specific details of why an exemption/exception is necessary (continue on an attached sheet of paper as necessary). Access may be restricted for a maximum of five years (exceptional cases will be dealt with individually). Please select the number of years for which you want to restrict access to your thesis:  One  Two  Three  Four  Five  Indefinitely Candidates should consult their primary supervisor before completing this form to establish whether there is to be a valid reason for restricting access to their thesis for a limited period of time Please note that Aberystwyth University may be required to overturn any request for restricted access to any thesis under The Freedom of Information Act. To be completed by the student: I confirm that the information I have given on this form is complete and accurate. Signed (Author): ………………………………………………………….… Date :…………………… This section must be completed by your primary supervisor: I confirm that I agree with the decision indicated on this form by the author of the thesis with respect to restriction/exemption to the thesis. Name (Supervisor):………………………………………………………………………………….…….. Signature (Supervisor): Date :……

 ONGOING WORK WITH PG STUDENTS  CONTINUAL CONTACT WITH ACADEMICS  PROMOTION OF CADAIR  GRADUAL CHANGE OF ATTITUDES  SUPPORT OF MANAGEMENT PRESENT SITUATION

 BETTER UNDERSTANDING OF OPEN ACCESS ISSUES BY CREATING ONLINE WORKSHOPS SO AS TO INFORM ALL AU PG STUDENTS  MORE DEPOSITING OF ACADEMIC MATERIAL FROM ALL AU DEPARTMENTS – REMINDERS SEND OUT PERIODICALLY  INCLUSION OF AU RESEARCH GROUPS – ART, THEATRE, GEOGRAPHY, COMPUTER SCIENCE  CONTINUED TEACHING AND RAISING AWARENESS THE FUTURE?

THANK YOU