Restricted vs. open access to ETDs A problem for public science J. Schöpfel, H.Prost, M.Piotrowski GERiiCO, University of Lille 3 E.R. Hilf, T. Severiens, P. Grabbe Institute for Science Networking, Oldenburg ETD 2014 - Leicester - 2014 July 24

Evidence (2012-2013)

Typologies of restricted access Limited availability Access via login and password On-campus (intranet) or off-campus (internet) Embargo Delayed access From 6 months to 5 years (or more) No access Confidentiality (copyright protection) Metadata without full text

The French-German survey (2009-2012) Increase from 12% to 24% of all PHD Increase from 5% to 28% of all ETD No ETD in 2009 7% of ETD in 2012 Stable 2% of all ETD Increase from 41% to 47% of all PHD No limited access No embargo Less than 1% of all ETD

University presidency PHD student Jury Colleagues Graduate school Academic library University presidency Service provider National library Publisher The decision making People & institutions

SPARC adapted Reader Rights Reuse Rights Free readership rights immediately upon posting Free readership rights after 6 months embargo Free readership rights after 12+ months embargo Free readership rights only on-campus (Intranet) Total embargo (confidentiality) Reuse Rights Generous reuse & remixing rights (CC-BY license) Reuse, remixing & further building upon the work subject to certain restrictions & conditions (CC BY-NC & other CC licenses) Reuse (no remixing or further building upon the work) subject to certain restrictions and conditions No reuse rights beyond fair use/limitations & exceptions to copyright (all rights reserved copyright) SPARC adapted

Copyrights Institution Policy No third party claim Third party requires embargo Third party claims full IP protection (confidentiality, privacy) Institution Rights Obligation of free dissemination Obligation of dissemination with restrictions (campus) No institution rights Institution Policy OA mandat Institutional repository OA support Interest for OA No OA policy

Posting Workflow Machine Readability No embargo option available in workflow, embargo needs special procedure Opt-out if claim for embargo Opt-in for free dissemination Machine Readability Full text, metadata, citations & data, incl supplementary data , provided in community machine-readable standard formats through a community standard API or protocol Full text, metadata, citations & data, incl supplementary data may be crawled or accessed through a community standard API or protocol Full text, metadata & citations may be crawled without special permission or registration Full text, metadata & citations may be crawled with permission Full text & metadata not available in machine-readable format

Why Roles of Contradiction the development of digital infrastructure and open access produce fears and whishes for secrecy this contradiction between willingness for open access but lack of knowledge Why the workflow the legal environment the tradition Roles of

Stagnation in OA for ETD opens Questions Why the demands for keeping the document not open to the public for fear of copyright infringement are increasing ? Is there increasing pressure of commercial publishers to not allow OA distribution if a book is planned? Are there more recent other ways of posting an ETD in OA which are not counted by the institutional repository network?

To develop practical and helpful guidelines and recommendations Project ETD4OA To produce and disseminate reliable and consistent empirical data on the processing of ETD To build a sustainable European community focussing on the open access to ETD To contribute to the development of the acceptance and usage of open access ETD infrastructures, by the research communities, by industry and business and by the Internet community To develop practical and helpful guidelines and recommendations

Five work packages Dissemination and communication Policy coordination Strategy development Policy coordination Mapping of ETD initiatives and data for decision Monitoring uptake Usage and acceptance Outreach Community building Project management

The project members

Questions ? joachim.schopfel@univ-lille3.fr Thank you Questions ? joachim.schopfel@univ-lille3.fr Acknowledgement: This paper has been prepared with funding support from the European Institute of Social Sciences and Humanities (MESHS–USR 3185), Lille, France