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					UNIVERSITY OF ULSTER                              PAPER NO. RDC/09/39

RESEARCH DEGREES COMMITTEE                                Agenda Item 6

01 June 2009




               Electronic Theses Online Service (EThOS)
UNIVERSITY OF ULSTER

RESEARCH DEGREES COMMITTEE

Electronic Theses Online Service

Introduction

Electronic Theses Online Service (EThOS) is a national initiative, built on a
partnership between the UK Higher Education Institutions and the British Library
(BL), the objective of which is to make the full text of UK Doctoral theses available to
any researcher, regardless of location, via the Web. The EThOS service is now fully
operational and replaces the existing BL microfilm service and the University now
needs to take the following steps to take advantage of the service:

   1. To sign the EThOS Memorandum of Understanding (MoU);

   2. To build into the relevant policies and regulations the need for the student, in
      future, to sign a Deposit Agreement, appropriately worded, licensing their
      thesis to be made available via EThOS (and/or Ulster Institutional Repository
      when appropriate to do so);

   3. To endorse the “opt-out” approach to the deposit of Ulster theses taken by
      EThOS prior to the introduction of the Deposit Agreement and apply that
      approach to the digital deposit of older not yet digitised Doctoral theses in UIR
      when available. This means “EThOS will digitise, store and distribute existing
      Ulster theses and any submitted outside of the Deposit Agreement in future
      WITHOUT gaining specific distribution rights”;

   4. To note that the completion and signing of the British Library Theses
      Agreement Form is no longer required. The title page and abstract need only
      be supplied in future, something which the Library will continue to do, and

   5. To note the End-User Licence Agreement that any individual using the service
      must agree to each time they request/download a thesis from the EThOS
      repository.

Proposed amendments to Research Degree Regulations and Notes of Guidance

Regulations for the Degree of Doctor of Philosophy (PhD) and Associated
Rules and Guidelines:

Rules for the Final Presentation of Theses following Examination

                                      Sub-section 2
 PRESENT WORDING                             PROPOSED WORDING


 Two copies of each complete PhD thesis,         Two copies of each complete doctoral thesis,
 together with an electronic copy on an easily   together with an electronic copy in PDF format
 read medium e.g. CD, must be lodged with the    on an easily read medium e.g. CD, must be
 Research Office and shall become the property         lodged with the Research Office and shall
 of the University. The copies of the thesis shall     become the property of the University. The
 be securely bound and a summary or abstract           printed copies of the thesis shall be securely
 of the work not exceeding 300 words in length         bound and a summary or abstract of the work
 shall be bound with each copy. The abstract           not exceeding 300 words in length shall be
 shall be in a form suitable for publishing in         bound with each copy. The abstract shall be in a
 learned journals. One additional copy of the          form suitable for publishing in learned journals.
 abstract and title page(s) shall be provided by       One additional copy of the abstract and title
 the candidate to be forwarded to the British          page(s) shall be provided by the candidate to be
                         1
 Library Thesis Service . The examiners will           forwarded to the EThOS. The examiners will
 accept a thesis for adjudication prior to binding.    accept a thesis for adjudication prior to binding.
 No degree will be awarded, however, until the         No degree will be awarded, however, until the
 bound copies are received. The Senate shall           bound copies are received. The Senate shall
 approve guidelines for the typing and binding of      approve guidelines for the typing and binding of
 theses and for the presentation of supporting         theses and for the presentation of supporting
 material.                                             material.




                                            Sub-section 9
 PRESENT WORDING                                   PROPOSED WORDING


 It is a requirement that the theses be presented      It is a requirement that the theses be presented
 in electronic format for library storage. For this    in electronic format so they can be stored and
 purpose, students should use industry standard        made available, by the library, through the
 software, e.g. Microsoft Word, in the production      Ulster Institutional Repository and/or EThOS
 of the thesis.                                        under the terms of the Ulster eTheses
                                                       Deposit Agreement. For this purpose, students
                                                       should use industry standard software, e.g.
                                                       Microsoft Word, in the production of the thesis
                                                       and submit the final digital copy in PDF
                                                       format and as a single file where possible.



Notes of Guidance for the Presentation of Theses for Research Degrees

    6. Introduction of Thesis

    f)     Note on access to contents

Candidates are required to include one or other of the following declarations:

                    THESIS NOT EMBARGOED
 PRESENT DECLARATION            PROPOSED DECLARATION

 "I hereby declare that with effect from the date      "I hereby declare that with effect from the date
 on which the thesis is deposited in the Library of    on which the thesis is deposited in the Library of
 the University of Ulster, I permit the Librarian of   the University of Ulster, I permit
 the University to allow the thesis to be copied in
 whole or in part without reference to me on the       1. the Librarian of the University to allow the
 understanding that such authority applies to the         thesis to be copied in whole or in part
 provision of single copies made for study                without reference to me on the
purposes or for inclusion within the stock of             understanding that such authority applies to
another library. This restriction does not                the provision of single copies made for
apply to the British Library Thesis Service               study purposes or for inclusion within the
(which is permitted to copy the thesis on                 stock of another library.
demand for loan or sale under the terms of a
separate agreement) nor to the copying or             2. the thesis to be made available through
publication of the title and abstract of the             the Ulster Institutional Repository and/or
thesis.                                                  EThOS under the terms of the Ulster
                                                         eTheses Deposit Agreement which I
IT IS A CONDITION OF USE OF THIS THESIS                  have signed.
THAT ANYONE WHO CONSULTS IT MUST
RECOGNISE THAT THE COPYRIGHT RESTS                    IT IS A CONDITION OF USE OF THIS THESIS
WITH THE AUTHOR AND THAT NO                           THAT ANYONE WHO CONSULTS IT MUST
QUOTATION FROM THE THESIS AND NO                      RECOGNISE THAT THE COPYRIGHT RESTS
INFORMATION DERIVED FROM IT MAY BE                    WITH THE AUTHOR AND THAT NO
PUBLISHED UNLESS THE SOURCE IS                        QUOTATION FROM THE THESIS AND NO
PROPERLY ACKNOWLEDGED".                               INFORMATION DERIVED FROM IT MAY BE
                                                      PUBLISHED UNLESS THE SOURCE IS
                                                      PROPERLY ACKNOWLEDGED".

       OR

                                     THESIS EMBARGOED
PRESENT DECLARATION                           PROPOSED DECLARATION

"I hereby declare that for 2 years following the      "I hereby declare that for 2 years following the
date on which the thesis is deposited in the          date on which the thesis is deposited in the
Library of the University of Ulster, the thesis       Library of the University of Ulster, the thesis
shall remain confidential with access or copying      shall remain confidential with access or copying
prohibited. Following expiry of this period I         prohibited. Following expiry of this period I
permit the Librarian of the University to allow the   permit
thesis to be copied in whole or in part without
reference to me on the understanding that such        1. the Librarian of the University to allow the
authority applies to the provision of single             thesis to be copied in whole or in part
copies made for study purposes or for inclusion          without reference to me on the
within the stock of another library. This                understanding that such authority applies to
restriction does not apply to EThOS -                    the provision of single copies made for
formerly the British Library Thesis Service -            study purposes or for inclusion within the
(which, subject to expiry of the period of               stock of another library.
confidentiality, is permitted to copy the
thesis on demand for loan or sale under the           2. the thesis to be made available through
terms of a separate agreement) nor to the                the Ulster Institutional Repository and/or
copying or publication of the title and                  EThOS under the terms of the Ulster
abstract of the thesis.                                  eTheses Deposit Agreement which I
                                                         have signed.
IT IS A CONDITION OF USE OF THIS THESIS
THAT ANYONE WHO CONSULTS IT MUST
RECOGNISE THAT THE COPYRIGHT RESTS                    IT IS A CONDITION OF USE OF THIS THESIS
WITH THE AUTHOR AND THAT NO                           THAT ANYONE WHO CONSULTS IT MUST
QUOTATION FROM THE THESIS AND NO                      RECOGNISE THAT THE COPYRIGHT RESTS
INFORMATION DERIVED FROM IT MAY BE                    WITH THE AUTHOR AND THAT NO
PUBLISHED UNLESS THE SOURCE IS                        QUOTATION FROM THE THESIS AND NO
PROPERLY ACKNOWLEDGED."                               INFORMATION DERIVED FROM IT MAY BE
                                                      PUBLISHED UNLESS THE SOURCE IS
                                                      PROPERLY ACKNOWLEDGED."
   12 Submission of Theses for Library Deposit

 PRESENT WORDING                                    PROPOSED WORDING


 Following examination two copies of each           Following examination two copies of each
 thesis, bound in accordance with the               thesis, bound in accordance with the
 requirements in Section 11 Binding (above)         requirements in Section 11 Binding (above)
 shall be submitted to the Research Office. In      shall be submitted to the Research Office. In
 addition, students are required to submit an       addition, students are required to submit an
 electronic copy of their final thesis on CD for    electronic copy of their final thesis on CD for
 depositing with the library. One additional copy   depositing with the library and sign the Ulster
 of the abstract, title page and contents page(s)   eTheses Deposit Agreement licensing their
 shall also be provided (for PhD only) by the       thesis to be made available via Ulster
 candidate to be forwarded to the British Library   Institutional Repository and/or EThOS. One
 Thesis Service and ASLIB Index to Theses.          additional copy of the abstract and title page
                                                    shall also be provided by the candidate to be
                                                    forwarded to the EThOS and Index to Theses.




EThOS ‘opt-out’ approach for Doctoral authors

The following outlines the approach EThOS has taken in not seeking or insisting on
the permission for digitisation being retrospectively obtained from authors of existing
Doctoral theses. It is recommended that Ulster adopt the same policy.

       The intention of EThOS is to promote the work of the author and institution of
        UK doctoral theses
       The service is run on a cost recovery basis. That is no one is benefiting from
        the supply of the theses other than the author and the institution (by making
        the quality of their work known).
       It would be impractical to contact all authors of all existing theses in a bid to
        obtain clearance for supply.
       The system offers an immediate take down policy should any author have
        cause to complain about the supply of their thesis

Legal advice and advice from Higher Education colleagues has been taken and the
advice is that it is extremely unlikely that the mitigating factors and actions listed
above would not be enough to satisfy an aggrieved author.

Recommendations

This Committee should consider making use of the Alumni magazine/newsletter to
request that authors contact them if they do not wish for their thesis to be digitised
and to invite authors to provide electronic versions of their theses. This Committee
should also consider the proposed amendments to regulations as noted above.

				
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