1. MEGHAN BANACH BERGIN MBANACH@LIBRARY.UMASS.EDU OCTOBER 26, 2011 Open Access and Copyright for Theses and Dissertations

2. Definitions What does open access mean? What exactly is campus access? What is an embargo?

3. Options Options for your dissertation or thesis: Open access Open access with embargo Campus access Campus access with embargo

4. Reasons Some reasons you might be thinking about choosing campus access: Concerns about future publication Concerns about applying for a patent Concerns about the use of copyrighted work in your thesis or dissertation

5. Open Access 101

6. Fame: Why I Heart Digital Repositories

7. Ways You Can Support Open Access Choose open access for your theses or dissertation (Use an embargo if you need to delay the release of your dissertation or thesis for publication or patent application reasons) Publish your future articles in open access journals Know your author rights: Read SPARC Author RightsSPARC Author Rights (Scholarly Publishing and Academic Resources Coalition) Retain your right to post open access versions of your articles in an open access digital repository like ScholarWorks@ UMass Amherst by attaching the SPARC Addendum to all of your future agreements with publishers

8. Author Rights SPARC Author Addendum http://www.arl.org/sparc/bm~doc/Access- Reuse_Addendum.pdf http://www.arl.org/sparc/bm~doc/Access- Reuse_Addendum.pdf

9. Using Copyrighted Works In Your ETD There are three ways to do this legally: Use works that are in the public domain Apply the fair use doctrine Request permission from the copyright holder

10. Public Domain Definition of Public Domain: a public domain work is a creative work that is not protected by copyright and which may be freely used by everyone. The reasons that the work is not protected include: (1) the term of copyright for the work has expired (2) the creator failed to comply with required formalities to protect the copyright (3) the work is a work of the U.S. Government.

11. Public Domain All works published before 1923 are in the public domain due to copyright expiration For materials published after 1923 it’s more complicated

12. Copyright Slider http://www.librarycopyright.net/digitalslider/

13. The Four Factors of Fair Use 1. The purpose and character of your use 2. The nature of the copyrighted work 3. The amount and substantiality of the portion taken 4. The effect of the use upon the potential market

14. Purpose & Character of Use In Favor of Fair Use Teaching Research Scholarship Nonprofit Educational Institution Criticism Comment News reporting Transformative or productive use (changes the work for new utility) Parody In Favor of Copyright Holder (not fair use) Commercial activity Profiting from the use Entertainment Bad-faith behavior Denying credit to original author

15. Nature of the Copyrighted Work In Favor of Fair Use Published work Factual or nonfiction based Important to educational objectives In Favor of Copyright Holder (not fair use) Unpublished work Highly creative work (art, music, novels, films, plays) Fiction

16. Amount of the Work In Favor of Fair Use Small quantity Portion used is not central Amount is appropriate for educational purpose In Favor of Copyright Holder (not fair use) Large portion or whole work used Portion used is central to work or significant to entire work or "heart of the work"

17. Effect on the Market: In Favor of Fair Use User owns, lawfully acquired, or purchased copy of original work One or few copies made No significant effect on the market or potential market for copyrighted work No similar product marketed by the copyright holder Lack of licensing mechanism Restricted access (to students or other appropriate group) In Favor of Copyright Holder (not fair use) Could replace sale of copyrighted work Significantly impairs market or potential market for copyrighted work or derivative Reasonably available licensing mechanism for use of the copyrighted work Affordable permission available for using work Numerous copies made You made it accessible on Web or in other public forum Repeated or long-term use

18. Copyright Decision Chart --From University of Minnesota Libraries

19. Seeking Permission Step 1: Find the Copyright Owner Look for a copyright notice on the work (ex. Copyright © 2010, XYZ Corporation) Check for copyright registration or renewal with the United States Copyright Office (For more information see: http://www.copyright.gov/records/)http://www.copyright.gov/records/ Search the Internet Check with the Copyright Clearance Center (For more information see: http://www.copyright.com/)http://www.copyright.com/ Contact any person associated with the work and ask about the copyright status and ownership of the work

20. Seeking Permission Step 2: Contact the Copyright Owner SAMPLE LETTER [Your Letterhead stationery or return address] [Date] [Name and address of addressee] Dear [insert name if known; if not then type Dear Sir or Madam] : I am completing a [thesis or dissertation] at [University's Full Name], entitled "[insert manuscript title]." I would like your permission to reprint in my [thesis or dissertation] excerpts from the following: [Insert full citation and description of the original work] The excerpts to be reproduced are: [insert detailed explanation or attach copy]. The requested permission extends to any future revisions and editions of my [thesis or dissertation] by ProQuest Information and Learning (ProQuest) through its UMI® Dissertation Publishing business. ProQuest may produce and sell copies of my [choose one: thesis, project report, or dissertation] on demand. In addition my [thesis or dissertation] will be available for free internet download through the ScholarWorks@UMass Amherst digital repository. These rights will in no way restrict republication of the material in any other form by you or by others authorized by you. Your signing of this letter will also confirm that you own (or your company owns) the copyright to the above-described material. If these arrangements meet with your approval, please sign this letter where indicated below and return it to me in the enclosed return envelope. Thank you very much. [Tailor this statement appropriately, if emailing request] Sincerely, [Your name and signature] PERMISSION GRANTED FOR THE USE REQUESTED ABOVE: _____________________________ [Type name of addressee below signature line] Date: ______________

21. Seeking Permission Step 3: Secure Permission Permission Granted  Keep a record Permission Denied  Find out why  Try to negotiate a better result  Change your plans or look for alternative materials Permission Granted, but at a Cost  Copyright owner may charge a fee for the permission  Try to obtain a lower fee by changing your plans, e.g., by using a smaller portion of the work  Look for alternative materials

22. Seeking Permission Step 4: Keep a Record Keep a copy of everything!  To demonstrate your efforts to obtain permission if you are ever challenged  In case you need to contact that same copyright owner again for a later use of the work

23. Seeking Permission Potential problems: 1. You cannot identify a copyright owner 2. You cannot locate the copyright owner 3. You have contacted the copyright owner, but received no response

24. Seeking Permission Potential solutions: 1. Return to fair use 2. Replace the materials with alternative works 3. Alter your planned use of the copyrighted works 4. Conduct a risk-benefit analysis

25. Creative Commons

28. Sources for Creative Commons Licensed Materials Music: Images: Video:

29. Sources for Creative Commons Licensed Materials http://search.creativecommons.org/ http://wiki.creativecommons.org/Content_Curators

30. References Brewer, Michael. American Library Association Office for Information Technology Policy, Copyright Advisory Committee. Digital Copyright Slider: http://www.librarycopyright.net/digitalslider/http://www.librarycopyright.net/digitalslider/ CaliforniaState University, Long Beach, Thesis and Dissertation Office. Sample Permission letter: http://www.csulb.edu/library/guide/serv/permis.html http://www.csulb.edu/library/guide/serv/permis.html Columbia University Libraries, Copyright Advisory Office. Requesting Permission: http://copyright.columbia.edu/copyright/permissions/requesting-permission/ http://copyright.columbia.edu/copyright/permissions/requesting-permission/ Copyright Management Center,Indiana University Checklist for Fair Use. http://www.copyright.iupui.edu/ http://www.copyright.iupui.edu/ Creative Commons: http://creativecommons.org/http://creativecommons.org/ Gasaway, Lolly. University of North Carolina. When U.S. Works Pass into the Public Domain: http://www.unc.edu/~unclng/public-d.htm http://www.unc.edu/~unclng/public-d.htm University of Minnesota Libraries, Copyright Use Map: http://www.lib.umn.edu/copyright/usemaphttp://www.lib.umn.edu/copyright/usemap

31. Comments? Questions? Thank You for Your Attention! Contact Information: Meghan Banach Bergin Metadata Catalog Librarian W. E. B. Du Bois Library 413-545-6846 mbanach@library.umass.edu