ELECTRONIC DEPOSIT OF

ELECTRONIC DEPOSIT OF THE THESIS Bibliothèque interuniversitaire de Montpellier January 2017 1

ISSUES RAISED : 1/ Stakes of the electronic deposit 2/ Legal framework of the thesis 3/ How to prepare the electronic deposit 4/ Electronic deposit : instructions for use 2

1/ STAKES OF THE ELECTRONIC DEPOSIT CONTEXT Evolution of the scientific information towards an electronic form and a web access Big advantages for the research : Facilitate the documentary research (direct and remote access to the complete text, look for in full text, hypertext links) Increase the visibility of researches (the goal is not only to publish but to be quoted h-index) 3

1/ STAKES OF THE ELECTRONIC DEPOSIT In parallel with the development of internet, modification of publishing : Excessive concentration of the publishers (some very big world groups such as Elsevier, Thomson Publishing or Springer control the majority of the market and impose their conditions) Increase of the number of titles Excessive increase of the costs (from 150 to 300 % in 20 years) in a context of budgetary restriction Passage from an economy of stock to an economy of flow (we buy an access to an on-line base, no guarantee of continuity) 4

1/ STAKES OF THE ELECTRONIC DEPOSIT The traditional scientific publishing : the way of a publication 5

1/ STAKES OF THE ELECTRONIC DEPOSIT Considerable profits for the commercial publishers 6

1/ STAKES OF THE ELECTRONIC DEPOSIT Development of open access with a triple stake : Economic : in times of crisis, impossible to follow the increase of the costs many unsubscriptions Scientific : visibility, speed of distribution and continuity are major stakes for the research Politic : to whom belongs the results of the research, especially when it is widely financed by public money? Two different but complementary publishing models 7

1/ STAKES OF THE ELECTRONIC DEPOSIT POLITICAL CONTEXT : Horizon 2020 : every project financed by the H2020 program has the obligation to assure the on-line free access to the scientific publications resulting from the project. «Loi pour une république numérique» (October 7th, 2016) : whatever the contract signed with the publisher, the researchers have the right to put on-line their articles (in their post-print version) after a embargo period of 6 months for the hard sciences, 12 months for the Human an social sciences 8

1/ STAKES OF THE ELECTRONIC DEPOSIT Loi pour une république numérique (n 2016-1321), article 30 : «Lorsqu'un écrit scientifique issu d'une activité de recherche financée au moins pour moitié par des dotations de l'etat, des collectivités territoriales ou des établissements publics, par des subventions d'agences de financement nationales ou par des fonds de l'union européenne est publié dans un périodique paraissant au moins une fois par an, son auteur dispose, même après avoir accordé des droits exclusifs à un éditeur, du droit de mettre à disposition gratuitement dans un format ouvert, par voie numérique, sous réserve de l'accord des éventuels coauteurs, la version finale de son manuscrit acceptée pour publication, dès lors que l'éditeur met lui-même celle-ci gratuitement à disposition par voie numérique ou, à défaut, à l'expiration d'un délai courant à compter de la date de la première publication. Ce délai est au maximum de six mois pour une publication dans le domaine des sciences, de la technique et de la médecine et de douze mois dans celui des sciences humaines et sociales.» 9

1/ STAKES OF THE ELECTRONIC DEPOSIT A french example : HAL a national initiative (2001) : CNRS + CPU a portal dedicated to the theses : TEL (60 000 documents) auto-archiving of the publications and not published works Auto-archiving completed by institutional archiving : internet theses of UPV and UM are sent to TEL Implementation of local platforms for the broadcasting of the theses, such as Cyberthèses for Lyon II, Thèses des universités de Montpellier 10

1/ STAKES OF THE ELECTRONIC DEPOSIT IMPLEMENTATION OF ELECTRONIC DEPOSIT FOR THE THESES IN FRANCE : Theses = an important part of the activity of research for universities (taken into account for the evaluations) They are drafted under electronic form but they had a "confidential" circuit : restricted or problematic broadcasting (paper+microfiche) : not much visibility, not many readers (less than 10 by thesis, most of the time) continuity of the data difficult to guarantee 11

1/ STAKES OF THE ELECTRONIC DEPOSIT Legal context : order of August 7th, 2006 and of May 25th, 2016 Since January 2010, in Montpellier : electronic deposit and broadcasting of the on-line theses (on the web site of the Interuniversity Library or the local catalogs of schools) Some figures : 2360 theses defended in the universities of Montpellier were deposited in electronic version since 2010 12

1/ STAKES OF THE ELECTRONIC DEPOSIT THE VARIOUS SCOPES OF BROADCASTING : Internet : the thesis is displayed on line on the web site of the Library and on HAL/TEL (for UM and UPV) Intranet : the thesis is accessible from the web site of the Library only on identification or within your campus Confidentiality : the thesis will be on-line (internet or intranet) only at the end of the period of confidentiality defined by the jury you make the deposits, the broadcasting will be effective only after the period of confidentiality defined by the jury.! The confidentiality is time-limited in a reasonable way. 13

1/ STAKES OF THE ELECTRONIC DEPOSIT WHO CHOOSES THIS SCOPE? The PhD student, except case of confidentiality. The confidentiality is decided by the director of the university, at the request of the jury or the PhD student. Concern the theses which contain critical data, the immediate disclosure of which would risk to damage their author or third parties (researches which can lead to a patent application). For reasons of scientific quality, the jury can oppose the broadcasting of your thesis on Internet Broadcasting is limited to the intranet You can display your thesis on line on a repository (TEL), but withdrawal will be impossible 14

1/ STAKES OF THE ELECTRONIC DEPOSIT HOW TO CHOOSE? A thesis on internet is more consulted and quoted A thesis on internet is better protected against plagiarism The Internet broadcasting can be a springboard or an alternative to the publishing 15

1/ STAKES OF THE ELECTRONIC DEPOSIT HOW TO CHOOSE? Loan between libraries is not always possible for the electronic theses : if your thesis is only on intranet, the results of your researches will be accessible only to the community of Montpellier The choice of the broadcasting s scope is not definitive : the PhD student can restrict or widen the scope after the deposit Choose an intranet broadcasting only if you have already found a publisher and if it does not authorize the broadcasting of your thesis on Internet 16

1/ STAKES OF THE ELECTRONIC DEPOSIT SOME PRECONCEIVED IDEAS ON THE ON-LINE PUBLISHING OF THE THESES : To put my thesis on-line, I have to transfer all the rights to the university. WRONG No, you are the author of the thesis, you keep all your rights; the university = host (version of defense) The choice of the broadcasting s scope is not definitive (but intranet broadcasting is compulsory) 17

1/ STAKES OF THE ELECTRONIC DEPOSIT An on-line thesis is not protected against plagiarism. WRONG The visibility of a thesis makes the plagiarism easier to demonstrate (anti-plagiarism softwares are operational only if the possible source is freely accessible on-line) A deposit dated in the institutional repository of the university is enough for proving the anteriority of a work 18

1/ STAKES OF THE ELECTRONIC DEPOSIT It is not possible any more then to be published by commercial publisher's. WRONG The on-line publishing can be useful to find a publisher (beneficial effect of TEL) The thesis defended at the university is different from the thesis reshaped for publication. Its on-line publishing is not necessarily forbidden in contracts signed with the publishers. If the publisher requires the withdrawal of the thesis of Internet, you can write a letter to the service of the doctoral studies : broadcasting will be restricted to the intranet and thesis removed from TEL 19

1/ STAKES OF THE ELECTRONIC DEPOSIT The thesis is on the way to publication, it is useless to put it on-line. WRONG A thesis freely accessible on-line is always more visible than a thesis published in print format. Always verify contracts proposed by the publishers and try to keep the maximum of rights : contracts do not stipulate necessarily the transfer of the rights for the digital technology 20

1/ STAKES OF THE ELECTRONIC DEPOSIT Be careful with the direct requests The case of the Editions universitaires européennes or the Presses académiques francophones (since 2010 : very "aggressive" marketing policy) yet, there is no editorial work, the prices are very high, print only on demand The publication at the author's own expense No validation not much added value 21

ISSUES RAISED : 1/ Stakes of the electronic deposit 2/ Legal framework of the thesis 3/ How to prepare the electronic deposit 4/ Electronic deposit : instructions for use 22

2/ LEGAL FRAMEWORK OF THE THESIS A thesis is at the intersection of 6 main legal domains : Statut juridique d une thèse. R. Creppy, 2007. 23

2/ LEGAL FRAMEWORK OF THE THESIS Heritage Code : Administrative document = compulsory broadcasting Education Code Research Code And others specific cases : respect for private life and image, military secret But especially : law on intellectual property 24

2/ LEGAL FRAMEWORK OF THE THESIS Intellectual property = protection of the mind s works! Ideas or concepts are not protected by themselves, they must be realized Two aspects of the intellectual property : Industrial property : needs a registration (patents, brands ) Literary and artistic property = the copyright is acquired only because of an original work s creation Copyright in 2 parts : Moral right (eternal) : paternity, respect of the work Property right (until 70 years after the author s death) : exploitation right of the work 25

2/ LEGAL FRAMEWORK OF THE THESIS You are the author of the thesis : you benefit automatically from the copyright and its protection protection against plagiarism nobody can broadcast your thesis on Internet without your explicit agreement But you probably have to use in your thesis elements which you are not the author or the only author you have to respect the intellectual property and make sure to have the right to use these elements. Examples : texts but also plans, graphs, photos, reproductions of art, maps 26

2/ LEGAL FRAMEWORK OF THE THESIS The cases in which the reproduction of a work is authorized : (with compulsory mention of the author and the source) Work of the public domain (70 years after the death of the author) Short quotation or analysis Exception for research (see following slide) Explicit agreement of the author (or of his beneficiaries) for a specific use (thanks to a Creative Commons licence, or because you contacted him and he gave you his written agreement) If you reproduce a work without being in one of these cases, you cannot insert it into the version of broadcasting of your thesis (but tolerance for the print version) 27

2/ LEGAL FRAMEWORK OF THE THESIS The exception for research (specified by the agreement of July 22th, 2016) allows you to broadcast in your thesis, including on Internet : Books (paper or digital, except textbooks) : reasonable fragments (except short works such as poems, that you can put entirely) Textbooks : 4 consecutive pages (within the limit of 10% of the work) Articles : at most 2 articles from a same journal, within the limit of 10% of the journal Printed music : no authorized Internet broadcasting, but possible intranet broadcasting of 3 consecutive pages (within the limits of 10 % of the work) Visual arts : at the most 20 works, definition limited to 400 x 400 pixels, resolution of 72 DPI. 28

2/ LEGAL FRAMEWORK OF THE THESIS An exception with conditions : The university has to declare the use of these works to the authors representatives The images cannot be extracted from the thesis The author of the thesis must not have signed a contact with a publisher before the on-line publishing 29

2/ LEGAL FRAMEWORK OF THE THESIS Two possible situations : 1. There is no problem of copyright in your work In this case, only one version of your thesis : version of broadcasting = complete version = printed version given to the jury 2. You do not have all the rights for the reproduced works In this case, creation of 2 versions : a complete version (archiving version), which will be archived at the CINES a partial version of broadcasting = version without the problematic elements. 30

2/ LEGAL FRAMEWORK OF THE THESIS For a work the author of which you are not: Remark: figures are numbered, captioned, there is the indication of 31 the source. All these elements are resumed in the table of illustrations.

2/ LEGAL FRAMEWORK OF THE THESIS For an article the author of which you are : Generally, the authors can use the preprint version of their published article, but the reference and the link to the web site of the publisher must be explicit. 32

2/ LEGAL FRAMEWORK OF THE THESIS Pour un article publié dont vous êtes l auteur (cas de thèses sur travaux) : Publisher copyright policies : see Héloïse, SHERPA/RoMEO and Dulcinea Law «Pour une république numérique» (October 7th, 2016) : searchers are allowed to put online their articles (post-print version) after an embargo period of 6 months for hard sciences, and 12 months for social sciences and humanities 33

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ISSUES RAISED : 1/ Stakes of the electronic deposit 2/ Legal framework of the thesis 3/ How to prepare the electronic deposit 4/ Electronic deposit : instructions for use 36

3/ HOW TO PREPARE THE ELECTRONIC DEPOSIT MODEL OF TITLE PAGE (COMPULSORY) http://collegedoctoral.pres-suddefrance.fr/ 37

3/ HOW TO PREPARE THE ELECTRONIC DEPOSIT TO PUT NECESSARILY ON THE TITLE PAGE : Logos of the Collège doctoral and of your university Type of doctorate Names of your establishment, your Doctoral school and your research team Disciplinary field Name and first name of the author Title of the thesis in French Date of the PhD presentation Composition of the jury 38

3/ HOW TO PREPARE THE ELECTRONIC DEPOSIT To insert necessarily at the beginning of the document : summary+ keywords in french and in english, then table of contents. At the end of the document : appendices, then bibliography (compulsory), and finally table of illustrations and indexes. Advise : for the electronic version, avoid blank pages! 39

3/ HOW TO PREPARE THE ELECTRONIC DEPOSIT INSTRUCTIONS FOR THE WRITING Use a header and a footer Number pages (from the title page to appendices) Simple line spacing Justified text Use a classic and medium-sized font, with an encoding Unicode (for example Times New Roman, Verdana or Arial, of size 12; avoid certain special characters as the font Symbol of Word) 40

3/ HOW TO PREPARE THE ELECTRONIC DEPOSIT LANGUAGE OF WRITING If you draft in a foreign language, you will have to integrate into your thesis a substantial summary in French (approximately 10 % of the length of your thesis) Case of theses in guardianships : you write your thesis in the language of defense, and you integrate into your thesis a substantial summary in the other language 41

3/ HOW TO PREPARE THE ELECTRONIC DEPOSIT EACH VERSION OF THE THESIS (ARCHIVING AND/OR BROADCASTING) HAS TO BE : in PDF format (version 1.4 or more). No other formats (ex. multimedia) in a single file, unless very heavy file (+ 80 Mo) in this case, split the file Named this way : [year]_[name]_[type of file] Ex. : 2016_DUPONT_arch OR 2016_DUPONT_diff 42

3/ HOW TO PREPARE THE ELECTRONIC DEPOSIT TO KNOW: You can generate PDF directly from Word or OpenOffice Be careful : for the archiving version, do not put protections Verify your file : http://facile.cines.fr 43

3/ HOW TO PREPARE THE ELECTRONIC DEPOSIT TO VERIFY YOUR PDF : 44

ISSUES RAISED : 1/ Stakes of the electronic deposit 2/ Legal framework of the thesis 3/ How to prepare the electronic deposit 4/ Electronic deposit : instructions for use 45

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE IS THE DEPOSIT COMPLUSORY? The electronic deposit is compulsory for all the PhD students in France (order of May, 25 th, 2016) Two compulsory deposits : 1st deposit before the defense, 2nd deposit (containing the corrections wanted by the jury) at the latest 3 months after the defense The broadcasting of the thesis is compulsory, at least on the intranet of your university, and possibly after a period of confidentiality 46

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE HOW TO DEPOSIT? The electronic files must be put down on the web site of ADUM (http://www.adum.fr/), in your personal account Printed copies for the jury still exist, but they have no legal value. The official version is the electronic version 47

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4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE STAGES FOR THE PROCEDURE OF DEFENSE AT UM : 1. At the latest 2 months before the defense In the section «Procédures» on your ADUM account, click on «Je soutiens ma thèse dans les 3 mois» : Check all the informations registered on your ADUM account and register all the details about your defense Make the 1st deposit of your thesis Click on «Transmission des données» in the section «Je finalise la procédure». 50

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE In your ADUM personnel account Declare the presentation of the thesis Update all the forms Register the details of the defense 51

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4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE STAGES FOR THE PROCEDURE OF DEFENSE AT UM : 1. At the latest 2 months before the defense Then, in the section «Documents administratifs» on your ADUM account : Download and print the documents «Demande d autorisation de soutenance» and «Certificat de conformité avec la version de soutenance», and 2 copies of the document «Contrat autorisant l'établissement à diffuser une thèse électronique» All these documents must be signed by the supervisor of your thesis, then give the file to your Doctoral School 54

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4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE STAGES FOR THE PROCEDURE OF DEFENSE AT UM : 2. At the latest 3 months after the defense Add the name of the president of the jury on the first page of your thesis Add to your thesis the corrections possibly required by the jury (if no corrections required, the 2nd deposit will be the same as the 1 st one) Make the 2nd deposit of your thesis on your ADUM account 56

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE STAGES FOR THE PROCEDURE OF DEFENSE AT UPV : 1. At the latest 2 months before the defense In the section «Procédures» on your ADUM account, click on «Je soutiens ma thèse dans les 3 mois» : Check all the informations registered on your ADUM account and register all the details about your defense Click on «Transmission des données» in the section «Je finalise la procédure» In the section «Document administratifs», download and print the documents «Désignation des rapporteurs» and «Désignation du jury de soutenance», to give to the supervisor of your thesis 57

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE In your ADUM personnel account Declare the presentation of the thesis Update all the forms Register the details of the defense 58

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4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE STAGES FOR THE PROCEDURE OF DEFENSE AT UPV : 2. At the latest 3 weeks before the defense Make the 1st deposit of your thesis on your ADUM account Download and print 2 copies of the documents «Certificat de conformité avant soutenance» and «Contrat autorisant l'établissement à diffuser une thèse électronique», to sign and to give to the service of the doctoral studies 61

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4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE STAGES FOR THE PROCEDURE OF DEFENSE AT UPV : 3. At the latest 3 months after the defense Add to your thesis the corrections possibly required by the jury (if no corrections required, the 2nd deposit will be the same as the 1 st one) Make the 2nd deposit of your thesis on your ADUM account Download and print 2 copies of the documents «Certificat de conformité Dépôt définitif», to sign and the give to the service of the doctoral studies 64

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE The certificate of deposit : Guarantee that the broadcasted electronic file is the same as the thesis presented in front of the jury Specify if the version of broadcasting is different from the version of archiving (you guarantee that the broadcasted version respects the intellectual property) Remind the terms of the contract : choice of the broadcasting s scope and the use license (rights of copy, recording, printing) 65

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE The broadcasting contract: 66

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE AND THEN, WHAT HAPPENS TO MY THESIS? It is registered in catalogs : catalog of the Library, Sudoc, Thèses.fr, other catalogs (DART-Europe ) It is broadcasted : on the website of the Library, on HAL/TEL if the thesis is broadcasted on internet (for UM and UPV) Reminder : if auto-archiving on TEL, no possibility of withdrawal for the author. But if the deposit was made by the Library, the withdrawal is possible It is kept in a long-lasting way : at Cines 67

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE Example of the Sudoc : 68

4/ ELECTRONIC DEPOSIT : INSTRUCTIONS FOR USE Example of the Library website : 69

INFORMATION AND CONTACTS Texts et websites : Guide du doctorant, on the Abes website : http://www.abes.fr/theses/espace-pour-les-doctorants Website «Thèses en ligne : mode d emploi» http://theses-en-ligne.fr/montpellier Guides for defense at UM and UPV : https://www.adum.fr/as/ed/um/document/guide_soutenance_um.pdf http://recherche.univ-montp3.fr/hdr_theses/soutenance-de-these/ For legal issues : http://www.legifrance.gouv.fr/ http://eduscol.education.fr/internet-responsable http://www.cfcopies.com/copie-pedagogique 70

INFORMATION AND CONTACTS Contacts : For legal issues : Legal service of your university For administrative issues : Service of the doctoral studies of your university For the electronic deposit : UM : scd-theses@umontpellier.fr UPV : theses_elect@univ-montp3.fr 71