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Open Access & Institutional Repository: Policies and Information for Depositors/Authors

University of Southampton Policy on Open Access

A revised policy was approved at Senate in February 2016 and is now available from the University Calendar, Section IV

Please update any links you may have to this document. 

ePrints Soton Statement on Takedown

  1. The University of Southampton ePrints Systems 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

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 Access 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 REF 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 REF 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

  1. 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;
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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

Deposit Agreement

Deposit Agreement

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. Only Our employees and students who are 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 to upload Material on Your behalf, they are acting as Your agent and You remain liable to Us under the terms of this agreement;
  4. 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;
  5. 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

  1. You must abide by Our Charter, Statutes, Regulations, Policies and Procedures (“University Regulations”) and in particular consider the following before You deposit Material:
    6.1.1   Our Intellectual Property Regulations available at section IV of the University Calendar at http://www.calendar.soton.ac.uk/sectionIV/ipr.html;
    6.1.2 Our Research Data Management Policy available at section IV of the University Calendar at http://www.calendar.soton.ac.uk/sectionIV/research-data-management.html;
    6.1.3   Our Data Protection Policy available at section IV of the University Calendar at http://www.calendar.soton.ac.uk/sectionIV/data-protection.html;
    6.1.4   Our Open Access Policy available at section IV of the University Calendar at http://www.calendar.soton.ac.uk/sectionIV/open-access.html

Ownership

  1. 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.
  2. 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 12 to 20 of this Agreement.
  3. We own the database rights in and relating to the institutional repository.

Do Not Deposit

  1. You must not deposit or upload Material to the institutional repository where:
    10.1 You have not been involved in creating all the Material or subject to clause 11, in collaboration with other parties;
    10.2 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;
    10.3 the identity or personal details of any living individual may be ascertained;
    10.4 to do so will place You in breach of any of the confirmations given to Us at clauses 23 to 28 of this Agreement.
  2. 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 clause 4 above.

When making a deposit or uploading Material to the institutional repository where 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:

  1. Incorporate the Material in the institutional repository however constituted;
  2. Communicate, make available, publish, and distribute the Material in any variety of formats;
  3. Copy and make multiple copies of the Material as are necessary to ensure efficient use, preservation and storage of the Material;
  4. Catalogue, enhance, incorporate and re-format the Material in any way to ensure efficient use, preservation and storage of the Material;
  5. To extract (replicate) unchanged parts (or all) of the Material for reuse into another work or repository;
  6. To translate unchanged parts (or all) of the Material;
  7. To use the Material (or parts of it) as part of a composite work, collection of works or in other repositories;
  8. To add notations and/or commentaries to the Material;
  9. Make the Material available to third party end users in accordance with the University’s Open Access Policy 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 You give end users:

  1. The rights to use the Material in accordance with either an end-user licence You select at the time of the deposit or in the absence of this, the principles of fair dealing.
  2. Commercial Use of Metadata
    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 confirm that:

  1. You have the authority to make this agreement and give Us the right to make the Material available in the way described above;
  2. any errors or omissions in the content of the Material You upload will be Your responsibility;
  3. You have exercised reasonable care to ensure that the Material is original and has not previously been published;
  4. the Material does not contain anything which is obscene, libellous, defamatory, harassing, offensive or malicious;
  5. 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
  6. 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

  1. We may manipulate, redact, or remove any part of Material which is in breach of Clauses 9 to 11 or which could otherwise damage Our reputation as determined in Our sole discretion and without notice to You.
  2. 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

  1. If We are reasonably of the view that You have deposited Material 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

  1. The invalidity or unenforceability of any provision of this Agreement shall not affect the validity or enforceability of the other provisions.
  2. 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.

Institutional Repository Deposit Agreement v6 2016.02.05 7098



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