1. Theses and TDX: Legal aspects
Doctoral programme in Information and Communication Technologies
June 9th 2016

2. SUMARI TDX and RD99/2011 Declaration by the author
Copyright and Creative Commons Licences
Published articles and dissertations by papers
Full-text embargoes
Theses under knowledge protection or technology transfer
Research data

3. Most common lie on the Internet?
Theses and TDX: legal aspects
Most common lie on the Internet?

4. Theses and TDX: legal aspects
23.787 thesis deposited from 18 universities
searchable theses
from 33 more universities
1.402 UPF theses
deposited (of read)
152 from your Departament (of 156 read)

5. UPF Academic regulations for doctorate courses
Theses and TDX: legal aspects
RD99/2011, Spanish Royal decree regulating official doctoral studies. Art. 14, section 5
UPF Academic regulations for doctorate courses

6. Theses and TDX: legal aspects
RD99/2011, Spanish Royal decree regulating official doctoral studies. Art. 14, section 6
The Declaration by the author and TDX introduction process
are developed from these regulations.
Most commont problems and issues are taken into account.

7. Theses and TDX: legal aspects
ARCHIVE
Deposit
Reading
Dissemination

8. Theses and TDX: legal aspects
Read carefully!
Select options
Sign and deliver to the PhD. Administration
Questions:

9. Declaration by the author
Theses and TDX: legal aspects
Declaration by the author
Acknowledges being the thesis’ author
The thesis is an original work
Author is aware of the legal framework
Author is not transferring publication rights to TDX/UPF

10. Theses and TDX: legal aspects

11. Theses and TDX: legal aspects
ALL RIGHTS RESERVED
SOME RIGHTS RESERVED
Author’s permission needed according to intellectual property law. Option by default.
Authors that want to share their work can define terms of use depending on the chosen CC licence.

12. Theses and TDX: legal aspects
ATTRIBUTION
SHARE ALIKE
NON-COMMERCIAL
NO DERIVATIVE WORKS

13. By Attribution / Share Alike
By Attribution / Share Alike
By Attribution / No derivatives
By Attribution / Non-Commercial
By Attribution / Non-Commercial / Share Alike
By Attribution / Non-Commercial / No Derivatives

14. 1 2 3 Theses and TDX: legal aspects Articles in the thesis
Author does not want to publish thesis yet 3
Knowledge protection or technology transfer

15. 1 Theses and TDX: legal aspects
Articles in the thesis
Chapters / sections of the thesis have been published as an article in a scientific journal >> Assignment of rights and a problem for TDX
Dissertation by papers: Thesis structured around 3 or more articles published/accepted by scientific journals >> Assignment of rights and a problem for TDX
Derived/resulting publications: Articles based on the ideas of the thesis but do not correspond to a specific chapter, and published after the thesis’ defence >> It does not affect thesis’ publication in TDX

16. 1 Problema 1: articles Submitted Accepted Published
Theses and TDX: legal aspects 1
Problema 1: articles
Articles in the thesis
Submitted
Preprint
Before peer-review
Accepted
Postprint
After peer-review
Published
PDF
Journal version

17. 1 Mark the option in the Declaration!! Theses and TDX: legal aspects
Articles in the thesis
Mark the option in the Declaration!!

18. 1 Mark the option in the declaration!!
Theses and TDX: legal aspects 1
Articles in the thesis
Mark the option in the declaration!!
Please insert a separate page with the full bibliographic reference in the thesis
The Library will check all articles and establish if the article can be included or not
If not possible, the article is suppressed from the thesis and only the reference remains.

19. 2 Author expects to publish articles and/or books or
Theses and TDX: legal aspects 2
Author does not want to publish thesis yet
Author expects to publish articles and/or books or
Research is still underway
What to do?
Mark the option “delayed publication/embargo” in the Declaration
Choose prefered embargo period

20. 2 Theses and TDX: legal aspects
Author does not want to publish thesis yet

21. Theses and TDX: legal aspects

22. 3 Theses and TDX: legal aspects
Knowledge protection or technology transfer
Special procedure developed by the UPF PhD School!
Author needs to submit an application before thesis deposit
Author is required to provide documents justifying the application
The Academic Committee of your Doctoral Programme will decide.
For TDX, a redacted thesis will be used.

23. Tesis i TDX: aspectes legals

24. A note about research or raw data…
Theses and TDX: legal aspects
A note about research or raw data…

25. A note about research or raw data…
Theses and TDX: legal aspects
A note about research or raw data…
Requirements:
Author has produced research data
Author wants to disseminate the data > NOT compulsory
Data does not have legal issues (copyright, data protection, image rights….)
Deposited in the UPF e-Repositori de la UPF, with cross references to TDX

26. Theses and TDX: legal aspects

27. Thank you for your attention!
Rosa Montañà
Theses and TDX Coordinator
UPF Library