Details a workflow for considering filing/publishing questions, copyright issues, and other legal concerns (privacy, agreements with archives, etc.) to be considered when preparing to file (publish) a UC Berkeley dissertation on ProQuest's ETD Admin system. Also updates participants on some recent changes to the UC Berkeley Graduate Division's dissertation filing procedures.

1. 15Dec2016
Rachael G. Samberg
DISSERTATIONS:
PUBLISHING & COPYRIGHT WORKFLOW
Image by Gaia Tech.,
http://www.gaia-tech.com/ict-services/
integrated-solutions-for-improved-workflow/

2. Why do we think about
what we include, or
how we publish?
By Rachael G. Samberg

3. Using content by or about other people?
By Rachael G. Samberg

4. What’s the difference from the last slide?
By Jojo V (Own work), CC BY-SA 4.0, available at https://commons.wikimedia.org/wiki/File%3ABurgersfig.png

5. Non-Copyright Legal Questions
• Agreements with archives
• Privacy & publicity rights
• Etc.

6. Decisions as student submits (publishes) online
• Student owns ©. Meaning?
• Should student register it?
• Does student need an embargo?
• Should student license the work?

7. The Workflow
http://guides.lib.berkeley.edu/copyright-dissertation

8. SUBMISSION PROCEDURES

9. Submission Procedures
• Use ProQuest ETD Admin
• Metadata à Library for catalog
• Additionally, submit Grad Div Release form
• Embargo elections are separate:
• Proquest: Zero, 6 mos, 1 yr, 2 yrs
• Grad Div: Zero or 2 yrs
• If no Grad Div embargo:
• Grad Div tells Library à eScholarship
• If Grad Div embargo:
• Library waits until thumbs up before à eScholarship
http://grad.berkeley.edu/academic-progress/dissertation/

10. Grad Div Updates to Filing Procedures
Remove print storage, add eScholarship
Update embargo lengths in Release Form
Add embargo extension petition process; distinguish
ProQuest vs. Grad Div extension requests
Copyright information
Update Release Form to make it “electronically” on any
platform (eSchol vs. lib catalog)

11. COPYRIGHT & PUBLISHING
WORKFLOW

12. I’d rather nap in
the massage
chair at Moffitt
By Rachael G. Samberg

13. What is copyright?
Exclusive rights to make certain uses
for limited period of time

14. The Copyright Act:
Reward of Exclusive Rights…
• Reproduction
• Derivative works
• Distribution
• Public performance
• Public display
• Public performance of
sound recordings via digital
audio transmission
By Rachael G. Samberg

15. …for Limited Periods of Time
• Varies but at least author’s life + 70 years
Within “protected” period,
author’s permission needed to
reproduce, display, perform, etc.

16. A Few Other © Prerequisites
Protects expressions,
not facts
Must be original,
authored, and fixed
By Rachael G. Samberg
Ghana’s GDP
Ghana Statistical Service, “Gross Domestic Product 2016,”
http://www.statsghana.gov.gh/gdp_new.html

17. Copyright vs.
Attribution
By Rachael G. Samberg

18. Copyright &
Underlying Work
By Rachael G. Samberg

19. Works in Public Domain Not Protected
Works by U.S. Federal
Government
Works whose copyright
term has expired
https://commons.wikimedia.org/wiki/
File:Britannica_Shakespeare_Droeshout_Engraving.jpg
https://www.nasa.gov/sites/default/files/atoms/files/journey-to-
mars-next-steps-20151008_508.pdf

20. Other Limitations
• Statutory exemptions
• Undertake exclusive rights
• Without obtaining permission
• Without payment of license fee

21. Statutory Exemption: Fair Use
1. Purpose & character of use
(commercial purposes less likely fair
than nonprofit educational; whether use
is “transformative” often dominates)
2. Nature of copyrighted work
(more likely fair if you’re using factual/
scholarly work)
3. Amount and substantiality
(size & importance of portion used in
relation to whole)
4. Effect upon potential market
(less likely fair if use is substitute for
purchasing original)
By Rachael G. Samberg

22. Is use fair?
• All four factors
• No 10% rule
• Always fair to link
By Rachael G. Samberg

23. Still in © (i.e. not public domain), and your
use exceeds fair use?
• You need permission!
• Permission (license) be
“pre-fab,” applied in
advance by the author

24. How to apply all
this when writing?
By Rachael G. Samberg

25. STEP 1:
Do you need
permission?
Ø Has a license already been granted?
Ø Is the work in the public domain?
Ø Would publishing the content be fair use?
If YES to any, skip to STEP 3.

26. Applying Step 1
2011 Don Quixote translation
By Miguel de Cervantes Saavedra (Author), Tom Lathrop (Translator), Penguin Classics

27. Applying Step 1
By Aphelpsmd - Own work, CC BY-SA 4.0,
https://commons.wikimedia.org/w/index.php?curid=47336939
https://commons.wikimedia.org/wiki/File:Acide_sulfurique_semi_dev.png

28. STEP 2:
Seek
permission
if needed
Ø Research who holds copyright & send request.
Ø Keep records for your files.
Ø Ensure permission covers all intended uses.
Ø Plan ahead.

29. Applying Step 2:
Sample Permission Procedures
https://www.ieee.org/publications_standards/
publications/rights/permissions_faq.pdf

30. Finding Rights Holders

31. Sample Permission Request

32. STEP 3:
Address non-
© policy
concerns
Ø Concerns about rights of privacy or publicity?
Ø Contractual limita7ons with archives or library
special collec7ons?

33. Rights of Privacy
• © protects copyright holders' property rights
• Privacy protects people who are subjects of works
• Vary by state
• Expire at death
• Newsworthiness and permission are defenses

34. Rights of Publicity
• Right to control commercial use of identity
• Survive death
• Usually applicable only if commercial use

35. Contractual Limitations

36. Applying Step 3

37. Applying Step 3

38. Applying Step 3
http://www.oac.cdlib.org/findaid/ark:/13030/kt087022kf
Tom (William S.) Photographs
ONE National Gay & Lesbian Archives

39. STEP 4:
Address
publica.on
issues
Ø Should you register your copyright?
Ø Can you publish open access immediately?
Ø Need an embargo due to patent, privacy, etc.?
Ø Do you want to license the use of your work?

40. By Rachael G. Samberg

41. Get Help
http://guides.lib.berkeley.edu/copyright-dissertation

42. rsamberg@berkeley.edu
http://guides.lib.berkeley.edu/copyright-dissertation
http://www.slideshare.net/RachaelSamberg/121516-
dissertations-publishing-copyright-workflow