Electronic Thesis and Dissertation Policy
One of the primary goals of Electronic Theses and Dissertations (ETD) is to increase access to the intellectual output of the university.
In line with the principles of the Republic Act (RA) 10055 and the Revised Intellectual Property Policy of the University of the Philippines, the ETD Program of UP Open University has the following goals:
- Enable scholarly works to be disseminated and made accessible to a broader audience while protecting the copyright of the author and the University;
- Create a comprehensive library of UP Open University’s academic output;
- Create and preserve UP’s digital heritage;
- Uncover the potential of UP’s output for the benefit of a wider community; and
- Engage the academic community’s participation in electronic publishing and digital; libraries, maximizing their benefits in the pursuit of research, scholarship, and knowledge.
This policy is rooted in the principles of RA 10055, also known as the Technology Transfer Act of 2009, and the Revised Intellectual Property (IP) Policy of the UP System (2011).
RA 10055 recognizes that “science, technology and innovation are essential for national development and progress”, that it will “give priority to research and development, invention, innovation and their utilization” and shall therefore “establish the means to ensure greater public access to technologies and knowledge generated from government-funded R&D while enabling, where appropriate, the management and protection of related intellectual property.”
Copyright and Intellectual Property of research outputs of the University are further protected under the Revised IP Policy which underscores “the traditional academic practice of treating faculty members [researchers, students, staff and visiting professors] as owners of inventions, works and other intellectual creations they produce…”
The University Library, in cooperation with the Office of the Vice Chancellor for Academic Affairs (OVCAA) and Office of the Vice Chancellor for Research and Development (OVCRD), are the implementing authority of the ETD.
Definition of Terms
- Access - n. 1. The ability to locate relevant information through the use of catalogs, indexes, finding aids, or other tools. - 2. The permission to locate and retrieve information for use (consultation or reference) within legally established restrictions of privacy, confidentiality, and security clearance. - 3. (Computing) The physical processes of retrieving information from storage media. (Society of American Archivists).
- Electronic Thesis and Dissertation (ETD) - Digital versions of theses and dissertations that can be accessed on the Web in full- or partial-text. (United States Electronic Thesis and Dissertation Association).
- Embargo - Restricting access to an electronic document for a specific period of time. Also, called Publication Delay. (United States Electronic Thesis and Dissertation Association).
- Institutional Repository - An online database that provides access to digital collections such as theses and dissertations for online viewing and provides the associated metadata regarding the documents (e.g. student and university name, year of graduation, document title, abstract, keywords). A type of digital repository designed to collect the work of a particular institution. (United States Electronic Thesis and Dissertation Association).
- Preservation - The management process of ensuring printed and digital objects and information are accessible over the long term. (United States Electronic Thesis and Dissertation Association).
- Reproduction - n. 1. A duplicate made from an original; a copy. 2. v. To make copies. (Society of American Archivists).
- Restriction - n. Limitations on an individual access to or use of materials. Access restrictions may be defined by a period of time or by a class of individual allowed or denied access. Use restrictions may limit what can be done with materials, or they may place qualifications on use. (Society of American Archivists).
- University Permission Page - n. 1. The page immediately following the Thesis Title Page granting the University of the Philippines permission to use, reproduce, allow access, and/or publish the thesisor dissertation in accordance to existing applicable laws, rules, or regulations. (FRN Memo 2015-038 (viewed 2 May 2017))
Roles and Responsibilities
The student is responsible for submitting their ETDs in UPLOAD (repository.upou.edu.ph) following the form and format as prescribed by the University. They are also responsible in renewing the embargo to their works and sending the requests through proper channels.
The adviser is responsible, upon discussion and agreement with the student of the University Policy provisions on access and restrictions, for the proper classification of the thesis/dissertation.
Academic Units are responsible for ensuring that graduating students upload their theses or dissertations to UPLOAD .
Academic Units are also responsible for coordinating with their College Libraries and/or the University Library regarding embargo requests for ETDs.
Pertinent unit librarians are responsible for verifying and authenticating ETD submissions in the Institutional Repository.
The University Library is responsible for the management and maintenance of the IR, in line with existing international standards of international repositories and ETDs, and observing proper protocols in the administration and preservation of digital materials.
The University Library is also responsible for designing and conducting ETD orientation and education to ensure uniformity and adherence to the required form and format prescribed by the University and for the regular review of the policy and revisions to the foregoing as needed.
Office of the Vice Chancellor for Academic Affairs (OVCAA)
As the link between the University Library and all academic units, the OVCAA is responsible for the smooth implementation and coordination across all units involved. As the lead office of the University in issues regarding Intellectual Property and Copyright, the OVCAA is also responsible for coordinating with the University Library of any changes and amendments that will affect the implementation of the ETD and IR Program.
Graduating students of degree-granting units of the University are required to submit the final, approved, complete and signed copy of ETDs to the Institutional Repository.
Digital copies of the final, approved, and signed version of the thesis or dissertation compliant with the requirements of the University are to be submitted to UPLOAD .
Submitted ETDs are subject to review by pertinent library personnel.
Uploading / submission of ETDs is done via UPLOAD , URL: repository.upou.edu.ph, the University’s Institutional Repository.
Full-text of ETDs uploaded to Collection Development Policy may be accessed by bona fide members of the UP Community.
Duplication and Restriction
The University follows and supports the concept of Open Access, but at the same time recognizes and respects the copyright of the authors of ETDs. As such, while reproduction of any part of ETDs is permitted, users and researchers are encouraged to respect copyright of owners and avoid plagiarism by understanding and practicing the ethical use of research materials in whatever form or format.
Intellectual dishonesty in all form and manner, including inadvertent/unintentional plagiarism, are considered punishable offenses in the academe. Students and researchers who are found to have committed the foregoing will be subject to penalties as prescribed by existing University regulations.
ETDs for Publication, pertaining to Inventions, or containing Patentable and/or Confidential information may be embargoed for a period of one year, renewable each year. Materials classified as such will not be available in the IR, except for the metadata.
Take Down and Complaints Policy
ETDs in the Institutional Repository may be taken down from the IR subject to proper procedures as determined by the University Library.
Revisions and Amendments
This ETD Policy is subject to review every three years and will be amended as needed.
Related Policy Information
UPLOAD Institutional Repository Policy
UP President Alfredo E. Pascual. Memorandum No. PAEP 2012-03
Office of the Vice-Chancellor for Research and Development. Memorandum No. BMP 12-011
Office of the Vice-Chancellor for Research and Development. Memorandum No. FRN 15-038