Thank you, Katie, Peggy, and Marty for your comments and suggestions!
I agree that it is most unlikely that publishers would take any actions if one of their articles appears in open access as part of a dissertation, especially when they have policies like the ones Katie linked to.
Guidance for the extremely cautious authors would be: Check the publisher policies (I might even do it if it is just a couple of articles) and if there is still any doubt, contact the publisher. Most authors are happy to hear that thesis-to-article or article-to-thesis is common practice.
Best
Michael
-------------------------
Michael Ladisch
Scholarly Communication Officer
University of California Davis, Library
100 North West Quad
Davis, CA 95616-5292
[log in to unmask]<mailto:[log in to unmask]>
(530) 752-6385
From: Scholarly Communications CKG <[log in to unmask]> on behalf of "Brennan, Martin J." <[log in to unmask]>
Reply-To: "Brennan, Martin J." <[log in to unmask]>
Date: Thursday, June 8, 2023 at 10:08 AM
To: "[log in to unmask]" <[log in to unmask]>
Subject: Re: [SCCKG] Scholarly articles in dissertations and OA
Katie,
Yes, I would encourage contact, I think we’re on the same page about this.
Cheers,
Marty
On Jun 8, 2023, at 12:36 PM, Katie Fortney <[log in to unmask]> wrote:
Marty, would you still encourage authors to contact the publisher when their current policies are like the ones below? I realize that the authors of these old dissertations signed earlier agreements that may not have looked the same as the publishers' current ones, but the likelihood seems really low that a publisher would have a problem with this, since their current policy clearly seems to view use in a thesis as noncompetitive. Especially given the optics of it.
Sage<https://us.sagepub.com/en-us/nam/journal-author-archiving-policies-and-re-use>: "You may use the Final Published PDF (or Original Submission or Accepted Manuscript, if preferred) in the following ways: ...in your dissertation or thesis, including where the dissertation or thesis will be posted in any electronic Institutional Repository or database."
Elsevier<https://beta.elsevier.com/about/policies-and-standards/copyright?trial=true#1-author-rights>: "Author rights in Elsevier’s proprietary journals:
-Use and share their works for scholarly purposes:
5. Include in a thesis or dissertation (provided this is not published commercially)"
Springer<https://www.springer.com/gp/rights-permissions/obtaining-permissions/882>: "Authors have the right to reuse their article’s Version of Record, in whole or in part, in their own thesis. Additionally, they may reproduce and make available their thesis, including Springer Nature content, as required by their awarding academic institution."
On Thu, Jun 8, 2023 at 6:34 AM martinjbrennan <[log in to unmask]<mailto:[log in to unmask]>> wrote:
Katie is right, I deal with this issue often. But this requires action by the author. Sometimes permissions must be sought, and 90+% of publishers will happily give it.
You say “authors don’t want to contact the publisher to ask for permission” – that is true and it is unfortunate You can and should advocate for it quite forcefully. I’d lay out a bullet list of how to accomplish it, and tell them only they can do it. Once done, the dissertation is freely available forever – that’s the appeal of the effort.
Cheers,
Marty
\\\\\/////\\\\\/////\\\\\/////\\\\\
Martin J. Brennan, MLS
Scholarly Communication Education Librarian
Charles E. Young Research Library, UCLA
Box 951575, Los Angeles, CA 90095-1575
Email: [log in to unmask]<mailto:[log in to unmask]>
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From: Scholarly Communications CKG <[log in to unmask]<mailto:[log in to unmask]>> On Behalf Of Katie Fortney
Sent: Wednesday, June 7, 2023 6:40 PM
To: [log in to unmask]<mailto:[log in to unmask]>
Subject: Re: [SCCKG] Scholarly articles in dissertations and OA
CAUTION: EXTERNAL EMAIL
I would tell them that it is common practice to turn an article into a chapter of a dissertation, or to turn a chapter of a dissertation into an article, and publishers know this. I've often seen it specifically called out in publishing agreements as a right reserved to the author. I've also seen articles *from publishers* giving advice on *how* to get an article from your dissertation. E.g.
• Elsevier<https://www.elsevier.com/connect/authors-update/eight-top-tips-to-help-you-turn-your-phd-thesis-into-an-article>
• Wiley<https://www.wiley.com/en-us/network/publishing/research-publishing/preparing-your-article/how-to-turn-your-dissertation-into-journal-articles>
• Taylor & Francis<https://authorservices.taylorandfrancis.com/extracting-a-journal-article-from-your-thesis/>
Publishers don't see this as a competitive use for good reason. Partly this is because if someone wants the article they usually want the peer reviewed formatted VOR, and in every case I've seen it's not like the student has added a publisher version of record into their dissertation. It's just the same or similar text, formatted according to the department/grad division guidelines instead. I can't see a publisher sending a takedown notice over it.
Best,
Katie
Katie Fortney, J.D., M.L.I.S.
Copyright Policy & Education Officer
California Digital Library
UC Office of the President
[telecommuting from Santa Cruz]
Pronouns: she, her, hers
On Wed, Jun 7, 2023 at 2:56 PM Michael Ladisch <[log in to unmask]<mailto:[log in to unmask]>> wrote:
Hi all,
Our Special Collections department is digitizing older dissertation/theses to make them available open access on HathiTrust. They ask the authors for permission to do so.
Most authors agree apparently (many are flattered that “my dissertation from 1982 is of interest!” 😊). But in some disciplines there are dissertations that include author’s previously published articles in scholarly journals. And these authors ask me about the copyright situation since the copyright, especially in the old pre-OA days, was transferred to the publisher. The authors don’t want to contact the publisher to ask for permission to make the work OA and certainly don’t want to pay a fee. And the publisher policies are not really clear about open access of paywalled articles that are part of dissertations. HathiTrust has a Take-Down Policy, but some authors are very cautious.
Does any of you provide guidance on this issue and what guidance would this be?
Best
Michael
-------------------------
Michael Ladisch
Scholarly Communication Officer
University of California Davis, Library
100 North West Quad
Davis, CA 95616-5292
[log in to unmask]<mailto:[log in to unmask]>
(530) 752-6385
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