Open Access & Institutional Repository: University of Southampton Policies

1. The University of Southampton Pure Board will review any takedown requests.
2. If there is proof of copyright violation then the research output in question will immediately be removed from public view.

Open Access to research outputs: supporting policy compliance

Roles and Responsibilities

1. Overarching principles, governance and responsibilities are set out in the Open Access Policy http://www.calendar.soton.ac.uk/sectionIV/open-access.html
2. Each Faculty has a Research Engagement Librarian responsible for day to day engagement and contribution to Faculty Research Committees. The Open Research Development Manager and the Research Data Development Manager have responsibility for managing the Library services supporting open access and to specifically support cultural change across the University.
3. Where the University holds awards from funders to support article processing and other open access charges the Library will manage these funds in liaison with Faculties through the Open Access Group.
4. Where outputs are deposited in the institutional repository the Library will take responsibility for ensuring:
   1. Metadata provided at acceptance is updated once the output is published where this information is publicly available and import can be automated;
   2. The correct reuse licence is applied to author manuscripts in the institutional repository where this is clear from the publisher and/or the Sherpa Romeo service. Guidance will be given to authors on the licence required by a publisher where an Article Processing Charge is paid or for other forms of output where the author negotiates directly with a publisher, the author retains copyright or the copyright is with the University of Southampton;
   3. The correct embargo is applied to an output if required, using the Sherpa Romeo service where this is appropriate;
   4. Any REF exceptions are recorded and agreed with the depositor. Where issues arise these will be referred to the UoA Champion. Aside from marking up gold open access publications it is expected that there will be few exceptions;
   5. All documents can support an in text-search, working with the author to resolve any problems. Advice will be provided on further maximising impact by facilitating text mining;
   6. Where publishers provide metadata and/or author manuscripts at point of acceptance every effort will be made to automate import of these outputs.
   7. Every effort will be made to support data exchange between repositories, but information within Pure will be the single source of information for monitoring compliance with depositing outputs. It is the responsibility of the author to ensure that sufficient bibliographic information about their publications is lodged in Pure to meet policy requirements.
5. iSolutions is responsible for ensuring that outputs remain discoverable via search engines and that platforms are configured to maximise exposure of research outputs.
6. Communications and Marketing is responsible for ensuring that research outputs are presented effectively on staff profiles and other webpages where appropriate, maximising the exposure of research.

Training and advice

1. There will be one-stop-shop information on the Library website which will include or provide links to:

   1. Funder’s policies and requirements;
   2. Guidance on retaining copyright of works and issues relating to copyright and licences;
   3. A checklist of issues to consider when selecting where to publish;
   4. Guidance on depositing in Pure and making outputs open access;
   5. How to apply for payment of article processing charges or cost publications into a grant where this is required by funders;
   6. Information on current issues in scholarly communication and the publishing landscape including appropriate innovations and cost models.
   7. Training and support from the library will include:
   8. Embedded open access training within the Doctoral College and Staff Development programmes;
   9. Bespoke seminars, talks and other forums as required for Faculties, from Faculty-wide events to discussions with individual research groups;
   10. Individual support through appointments with the Deskside Training Service;
   11. A dedicated open access enquiry service via eprints@soton.ac.uk

Evidence and reporting

8. A pre-defined open access report will be stored in Pure which will allow reporting from Pure by Faculty, Department or other group entity in Pure. The report will show for journal articles and conference proceedings:
   1. Date of metadata and file deposit and date of acceptance and online first publication;
   2. Outputs marked as REF exceptions by type;
9. Reports will also be created to provide an overview of all output types, which can be granular by type, showing the total number of open access outputs and percentage of open access outputs over a given time period.
10. The Library will provide these monthly reports to Associate Deans Research and Pure Champions as standard with bespoke reports developed and run as required by Faculties. Support will be provided to staff in Faculties and Services who wish to develop and run reports.
11. The Library will endeavour to ingest outputs once published into Pure where no record exists in Pure in order to identify lack of compliance with the policy requirements to deposit on acceptance e.g. via Scopus. However there is no guarantee this can be comprehensive as:
    1. not all outputs are covered by such databases
    2. issues with name affiliation, both organisational and personal, could lead to omission of relevant outputs. Use of ORCID by researchers is strongly encouraged.
12. Every effort will be made to support data exchange between repositories, but information within Pure will be the single source of information for monitoring compliance.
13. Where the University holds awards from funders to support gold open Finance will provide a monthly statement of spend against these funds.

Wendy White last revised 06/04/16
Subject to continual review

Part 1 - Deposit Agreement – for University employees and students

Background

(1)         The University of Southampton’s public electronic institutional repository for research outputs is available at http://eprints.soton.ac.uk and deposit is via https://pure.soton.ac.uk/. The University of Southampton is referred to as “Our/We/Us” in this Agreement;

(2)         Our employees and students who are also one of the co-authors of the Material (as defined below) in question are allowed to upload Material  (“You”) or authorise another individual to upload Material on their behalf to the institutional repository;

(3)         When You authorise another individual or identifiable group of individuals to upload Material on Your behalf, he/she/they are acting as Your agent and You remain liable to Us under the terms of this Agreement;

(4)         Material means information and other materials in whatever form from time to time available through, on or otherwise forming part of the institutional repository.

Applicable University Regulations

(5)         You must abide by Our Charter, Statutes, Regulations, Policies and Procedures (“University Regulations”) and in particular consider the following before You deposit Material:

5.1.1   Our Intellectual Property Regulations available at section IV of the University Calendar at http://www.calendar.soton.ac.uk;

5.1.2 Our Research Data Management Policy available at section IV of the University Calendar at http://www.calendar.soton.ac.uk;

5.1.3   Our Data Protection Policy available at section IV of the University Calendar at http://www.calendar.soton.ac.uk

5.1.4   Our Open Access Policy at section IV of the University Calendar http://www.calendar.soton.ac.uk

Ownership

(6)         Where Our Intellectual Property Regulations state that We own the intellectual property rights in some or all of the Material, then nothing in this Agreement changes that.

(7)         Where Our Intellectual Property Regulations state that You own the intellectual property rights in some or all of the Material, then nothing in this Agreement changes that and You will remain the owner of the relevant whole or part of the Material but by depositing the Material you give Us the rights set out in clause ‎(11) to ‎(15) of this Agreement.

(8)         We own the database rights in and relating to the institutional repository.

Do Not Deposit

(9)         You must not deposit or upload Material, or allow Your agent to deposit or upload Material on Your behalf, to the institutional repository where:

9.1         You have not created the Material either by yourself, or subject to clause ‎(10), in collaboration with other parties;

9.2         You need the permission of a company or grant body sponsoring the research to approve any publication of the Material and You do not have their written permission;

9.3         the identity or personal details of any research participant may be ascertained;

9.4         to do so will place You in breach of any of the confirmations given to Us at clauses ‎(18) to ‎(23) of this Agreement.

(10)       Where any third party owns rights to part or all of the Material You must be duly authorised by the owners(s) or other holders(s) of these  rights to upload and make this Material available to the institutional repository.

When making a deposit or uploading Material to the institutional repository or allowing Your agent to deposit or upload Material on Your behalf, where under Our Intellectual Property Regulations We are not the owner of all the rights in the Material You give the University an irrevocable, worldwide, non-exclusive right, free from any royalty to:

(11)       Store the Material in the institutional repository however constituted;

(12)       Copy and make multiple copies of the Material , including changing the format of the Material, as necessary to ensure efficient use, preservation and storage of the Material;

(13)       Catalogue, enhance, incorporate and re-format the Material in any way to ensure efficient use, preservation and storage of the Material;

(14)       To extract (replicate) unchanged parts (or all) of the Material for reuse into another repository;

(15)       Communicate, make available, publish, distribute and make the Material available to third party end users in accordance with the University’s Open Access Policy, unless the Material has been embargoed for any reason, and either an end-user licence You select at the time of the deposit or in the absence of this, the principles of fair dealing;

in all of the instances above for the legal term of copyright and any and all extensions, renewals and revivals thereof throughout the world using any media or technology.

When making a deposit or uploading Material to the institutional repository or allowing Your agent to deposit or upload Material on Your behalf, You give end users:

(16)       The rights to use the Material in accordance with clause ‎(15).

Commercial Use of Metadata

(17)       Metadata means data that describes an information resource or helps provide access to an information resource comprised within the Material.  Where You create Metadata as part of the upload process, the copyright (if any) in the Metadata is owned by Us and You assign all rights to the Metadata to Us and We can use the Metadata for any purpose including any commercial use.

When making a deposit or uploading to the institutional repository or allowing Your agent to deposit or upload Material on Your behalf, You confirm that:

(18)       You have the authority to make this Agreement and give Us the right to make the Material available in the way described above;

(19)       any errors or omissions in the content of the Material You upload will be Your responsibility;

(20)       You have exercised reasonable care to ensure that the Material is original;

(21)       the Material does not contain anything which is obscene, libellous, defamatory, harassing, offensive or malicious;

(22)       the Material does not contain the confidential information of a third party or if it does that You have that party’s written permission to deposit the Material and make it available as set out in this Agreement; and

(23)       the Material does not infringe the rights of third parties including but not limited to their intellectual property rights, rights of privacy or contractual rights.

Removal of Material and Assistance

(24)       We may manipulate, redact, or remove any part of Material which is in breach of Clauses ‎(9) to ‎(10) or which could otherwise damage Our reputation as determined in Our sole discretion and without notice to You.

(25)       If We receive notification that the Material or any part of it infringes the rights of another individual or organisation We will immediately remove access to the Material and will investigate the complaint. This means amongst other things that We will examine computer logs and use other information we hold to determine who deposited the Material in the institutional repository. In accordance with University Regulations, You must assist Us in dealing with any queries We raise and provide us with the information we require and proof of the written permissions from third parties mentioned in this Agreement. These obligations continue even after You leave the University.

Breach of the Agreement

(26)       If We are reasonably of the view that You have deposited Material or caused Material to be deposited in breach of this Agreement or our University Regulations then in addition to removing the Material as set out above We may take any action envisaged by the applicable University Regulations, which includes but are not limited to taking disciplinary action against You in accordance with the relevant disciplinary procedure where You are still one of Our members.

General

(27)       The invalidity or unenforceability of any provision of this Agreement shall not affect the validity or enforceability of the other provisions.

(28)       This Agreement is governed by, and construed in accordance with, English Law and the exclusive jurisdiction of the English courts as regards any claim or matter arising in relation to this Agreement.

 

Part 2 - Deposit Agreement – for visitors authorised to access the repository

Background

(1)         The University of Southampton’s public electronic institutional repository for research outputs is available at http://eprints.soton.ac.uk and deposit is via https://pure.soton.ac.uk/admin/. The University of Southampton is referred to as “Our/We/Us” in this Agreement;

(2)         An individual who has visitor status with Us and is authorised in writing by Us to upload Material and who are one of the co-authors of the Material (as defined below) in question are allowed to upload Material (“You”) to the institutional repository;

(3)         Access to the Material (as defined below) in the institutional repository is available to a wide variety of people and institutions, including automated agents, via the world wide web, who can use the Material as set out in this Agreement;

(4)         Material means information and other materials in whatever form from time to time available through, on or otherwise forming part of the institutional repository.

(5)         References to clauses are to the clauses of this Agreement.

(6)         Unless the context otherwise requires, words in the singular shall include the plural and in the plural shall include the singular.

(7)         A reference to any party includes that party’s personal representatives, successors and permitted assigns.

(8)         A reference to a statute, statutory provision or subordinated legislation is a reference to it as it is in force from time to time, provided that, as between the parties, no such amendment or re-enactment shall apply for the purposes of this Agreement to the extent that it would impose any new or extended obligation, liability or restriction on, or otherwise adversely affect the rights of, any party. This proviso does not, however, apply in relation to taxation.

(9)         A reference to a statute or statutory provision shall include any subordinate legislation made from time to time under that statute or statutory provision.

(10)       Any words following the terms including, include, in particular, for example or any similar expression shall be construed as illustrative and shall not limit the sense of the words, description, definition, phrase or term preceding those terms.

Ownership and Licensing

(11)       You retain all copyright and other rights in the Material, or any part of it where you are the copyright owner.

(12)       When making a deposit or uploading Material to the institutional repository You give Us an irrevocable, worldwide, non-exclusive right, free from any royalty to:

                     i.        Store the Material in the institutional repository however constituted;

                    ii.        Copy and make multiple copies of the Material, including changing the format of the Material, as necessary to ensure efficient use, preservation and storage of the Material;

                   iii.        Catalogue, enhance, incorporate and re-format the Material in any way to ensure efficient use, preservation and storage of the Material;

                   iv.         To extract (replicate) unchanged parts (or all) of the Material for reuse into another repository;

                    v.        Communicate, make available, publish, distribute and make the Material available to third party end users in accordance with the University’s Open Access Policy (available at section IV of the University Calendar http://www.calendar.soton.ac.uk) and either an end-user licence You select at the time of the deposit or in the absence of this, the principles of fair dealing;

in all of the instances above for the legal term of copyright and any and all extensions, renewals and revivals thereof throughout the world using any media or technology.

Do Not Deposit unless properly authorised

(13)       You warrant, represent and undertake not to deposit or upload Material to the institutional repository where:

i.     You have not created the Material either by yourself, or subject to clause ‎(14), in collaboration with other parties;

ii.    You need the permission of a company or grant body sponsoring the research to approve any publication of the Material and You do not have their written permission;

iii.   the identity or personal details of any research participant may be ascertained;

iv.   to do so will place You in breach of any of the confirmations and warranties given to Us at clauses ‎(17) to ‎(24) of this Agreement.

(14)       Where any third party owns rights to part of the Material You must obtain their permission in writing for that part of the Material to be uploaded to the institutional repository and ensure they are aware the Material will be available to a variety of people as set out in this Agreement.  You shall obtain in writing all consents necessary for the reproduction of any material in which a third-party right subsists, including quotations, photographs and illustrations, for the legal term of copyright and any and all extensions, renewals and revivals thereof throughout the world, and shall provide to Us on demand the original copies of such consents for inspection or (at Our option) photocopies of such consents.

When making a deposit or uploading Material to the institutional repository You give end users:

(15)       The rights to use the Material in accordance with clause 12 (‎v).

Commercial Use of Metadata

(16)       Metadata means data that describes an information resource or helps provide access to an information resource comprised within the Material.  Where You create Metadata as part of the upload process, the copyright (if any) in the Metadata is owned by Us and You assign all rights to the Metadata to Us and We can use the Metadata for any purpose including any commercial use.

When making a deposit or uploading to the institutional repository You warrant and represent that:

(17)       You have the authority to make this Agreement and give Us the right to make the Material available in the way described above;

(18)       any errors or omissions in the content of the Material You upload will be Your responsibility;

(19)       The Material is Your original work and has not previously been published, wholly or substantially from any other work or material or any other source;

(20)       the Material does not contain anything which is obscene, libellous,  defamatory, harassing, offensive or malicious;

(21)       the Material does not contain the confidential information of a third party or if it does that You have that party’s written permission to deposit the Material and make it available as set out in this Agreement; and

(22)       the Material does not infringe the rights of third parties including but not limited to their intellectual property rights, rights of privacy or contractual rights;

(23)       the Material is original and has not already been assigned or exclusively licensed and whilst this Agreement is in force, will not be assigned or exclusively licensed to a third party;

(24)       The rights granted by this Agreement are free from any security interest, option, mortgage, charge or lien.

Removal of Material and Assistance

(25)       We may manipulate, redact, or remove any part of Material which is in breach of Clauses ‎(13) to ‎(14) or which could otherwise damage Our reputation as determined in Our sole discretion and without notice to You.

(26)       If We receive notification that the Material or any part of it infringes the rights of another individual or organisation We will immediately remove access to the Material and will investigate the complaint. This means amongst other things that We will examine computer logs and use other information we hold to determine who deposited the Material in the institutional repository. You must assist Us in dealing with any queries We raise and provide us with the information we require and proof of the written permissions from third parties mentioned in this Agreement. These obligations continue even after Your affiliation with the University ends.

Indemnity

(27)       You shall indemnify Us against all liabilities, costs, expenses, damages and losses (including but not limited to any direct, indirect or consequential losses, loss of profit, loss of reputation and all interest, penalties and legal costs (calculated on a full indemnity basis) and all other reasonable professional costs and expenses) suffered or incurred by Us arising out of or in connection with any breach by You of this Agreement, including but not limited to a breach of Your warranties in Clause ‎(17) to ‎(24) above. At Our request and at Your own expense, You shall provide all reasonable assistance to enable Us to resist any claim, action or proceedings brought against Us as a consequence of that breach.

Infringement

(28)       If We are reasonably of the view that You have deposited Material in breach of this Agreement then in addition to removing the Material as set out above (which decision shall be solely at our discretion) We shall notify you that We will be relying on the indemnity in clause ‎(27) above and we may take any further action, which includes but is not limited to notifying your current employer of Your breach of this Agreement.

Termination and consequences of termination

(29)       Without affecting any other right or remedy available to it, either party may terminate this Agreement with immediate effect by giving written notice to the other party if the other party commits a material breach of any term of this Agreement which breach is irremediable or (if such breach is remediable) fails to remedy that breach within a period of 30 days after being notified in writing to do so.

(30)     The expiry or termination of this Agreement for any reason shall not affect any provision of this Agreement which is expressed to survive or operate in the event of expiry or termination (including clause ‎(27)) and shall be without prejudice to the provisions of clause ‎(29) to ‎(30) and to any rights of either party which may have accrued by, at or up to the date of such expiry or termination.

i.    all licences granted by this Agreement shall cease to have effect, save that You shall be obliged to honour the terms of any continuing sub-licences for the remaining duration of their terms;

ii.    We shall remove the Material (but not the metadata associated with the Material) from the institutional repository.

General

(31)       Nothing in this Agreement shall impose any obligation on Us to publish or promote the Material.

(32)       If We do not insist immediately that You do anything You are required to do under these terms, or if We delay in taking steps against You in respect of your breaking this Agreement, that will not mean that You do not have to do those things and it will not prevent Us taking steps against You at a later date.

(33)       Each of the paragraphs of this Agreement operates separately. If any court or relevant authority decides that any of them are unlawful, the remaining paragraphs will remain in full force and effect.

(34)       Each party agrees that it shall have no remedies in respect of any statement, representation, assurance or warranty (whether made innocently or negligently) that is not set out in this Agreement.

(35)       You confirm that You are only acting on Your own behalf and not on behalf or for the benefit of another person or company.

(36)       If You wish to contact us in writing, or if any condition in this Agreement requires You to give Us notice in writing, you can send this to us by email or by pre-paid post to University of Southampton, Director of Library Services at University Road, Highfield, Southampton, SO17 1BJ  or by email to eprints@soton.ac.uk. We will confirm receipt of this by contacting You in writing, normally by email. If We have to contact You or give You notice in writing, we will do so by email or by pre-paid post to the address You provide in the form in which you have requested access to the institutional repository.

(37)       These terms are governed by English law and you can bring legal proceedings in respect of them in the English courts. If you live in Scotland you can bring legal proceedings in respect of the products in either the Scottish or the English courts. If you live in Northern Ireland you can bring legal proceedings in respect of the products in either the Northern Irish or the English courts.

Institutional Repository Deposit Agreement v.2 (12th of December 2017)

When a new member of staff starts at the University, their back catalogue from previous employment can be added to Pure. 

The Library can undertake this for new members of staff (up to six months after they start at the University) when a BibTeX or RIS file of their research outputs is supplied. Such a file can be obtained from their previous employer’s institutional repository – the new staff member will need to supply this file to the Library. 

The timeframe for the Library to undertake this will depend on other workflow demands at the time – it may be quicker for Faculty or the new staff member to add the back catalogue. We can always advise on this via eprints@soton.ac.uk 

New Staff with an ORCID 

New staff can import their back catalogue into Pure using their ORCID identifier. This will automate much of the deposit process for you. 

Importing using your ORCID identifier will generate a list of individual research outputs in Pure that you will have to import one by one. You cannot ‘bulk import’ the entire list. The Library team will need to ‘validate’ each of these imports - the timeframe for this work will depend on other workflow demands at the time. 

Find out more in our guide to importing to Pure using your ORCID identifier.

University of Southampton Thesis Copyright Declaration

Copyright © and Moral Rights for this thesis and, where applicable, any accompanying data are retained by the author and/or other copyright owners.

A copy can be downloaded for personal non-commercial research or study, without prior permission or charge. This thesis and the accompanying data cannot be reproduced or quoted extensively from without first obtaining permission in writing from the copyright holder/s. The content of the thesis and accompanying research data (where applicable) must not be changed in any way or sold commercially in any format or medium without the formal permission of the copyright holder/s.

When referring to this thesis and any accompanying data, full bibliographic details must be given, e.g.

Thesis: Author (Year of Submission) "Full thesis title", University of Southampton, name of the University Faculty or School or Department, PhD Thesis, pagination.

Data: Author (Year) Title. URI [dataset]