Instructions for Open AccessObligation of disseminating your doctoral
thesis on the Internet
Kobe University Library Digital Library Section

Agenda1. Obligation of Disseminating Doctoral theses
1-1. Principle of making doctoral theses available on the Internet
1-2. How theses are disseminated?
1-3. Checkpoints

2. Open Access
2-1. Basics of Open Access
2-2. How to make your articles open access
2-3. How Kobe University supports open access

Note：Choosing a journal to post
We expect you to understand at a practical level the checkpoints,
copyright matters, etc., on making doctoral theses and academic
articles available on the Internet.
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Obligation of Disseminating
Doctoral theses31-1. Principle of making
doctoral theses available
on the Internet

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Obligation by the Degree Regulations of Japan• Obligation of disseminating your doctoral thesis• The dissemination of the doctoral theses on the Internet is an obligation
established by the Degree Regulations of Japan. (on and after April 1,
2013)• On and before March 31, 2013: publication in print had been mandate.

• Available at Kobe University Library and National Diet Library• Including theses awarded on and before March, 2013

• If you have unavoidable reasons, you don’t have to make itavailable on the Internet.
• Instead of it, you need to make available the summary on the internet.
• During non-disclosure, theses are available for visitors at Kobe
University Library and National Diet Library.
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Disseminating doctoral theses on the Internet at
Kobe University
Principles of disseminating doctoral theses on the Internet• うりぼーポータル「学位関係 ≪博士論文提出者の方へ≫」(inJapanese)• http://www.office.kobe-u.ac.jp/stdnt-kymsys/student/blue04/index.html• Kobe University Library「Doctoral Theses」• https://lib.kobe-u.ac.jp/kernel-en/deposit_thesis-en/• Notes• Please ask each department about the procedure of submitting a doctoral
thesis, including the case when you would like to postpone of (or refrain from)publishing the thesis due to the reasons like planning publication in academic
journals or acquisition of patent.
• It is not permitted to publish the versions of thesis manuscripts which are notgranted as doctoral theses in Kernel.
• During non-disclosure, theses are available for visitors at Kobe University
Library and National Diet Library.
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Unavoidable reasons• Including 3D shape etc.
• Copyright protection• Privacy protection• Posting in academic journals prohibiting multiple publications• Publishing• Applying for a patent

出典：神戸大学における博士論文の公表に関する取扱要項

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FAQ： Non-disclosure (temporary/permanent)• Temporary non-disclosure : You can postpone internet dissemination for 2
years• If you have a plan to post your doctoral thesis in an academic journal which prohibit
disseminating.
• You can postpone more than 2 years if you have clear reason.
• Please finish the procedure to continue postponing (1 year in principle) or switch topermanent non-disclosure until the end of the deferment period if necessary.
• You can continue postponing more than 1 year if you have clear reason.
• "I don't want to postpone repeatedly." cannot be accepted as a reason for permanent
non-disclosure.

• Permanent non-disclosure : In cases where unavoidable reasons persist
indefinitely• E.g.) In the case the publisher prohibits making article available which is used as adoctoral thesis on the Internet.
• When the unavoidable reasons are solved, you should make your doctoral thesis
available on the Internet.

If you would like to know about the procedures, please contact the
Academic Affairs Section in your department.

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Summary： Disseminating, Non-disclosure(temporary/permanent)• If you don't submit an application, your doctoral thesis will bemade available on the Internet.
• Temporary non-disclosure• You have to submit your graduate school an application for Postponing
internet publication of doctoral thesis.

• Permanent non-disclosure• You have to submit your graduate school an application for Refraining
from internet dissemination of doctoral thesis.

If you would like to know about the procedures, pleasecontact Academic Affairs Section in your department.
91-2. How theses are
disseminated?

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Kobe University Repository (Kernel)• At Kobe University, we
disseminate doctoral theses in“Kobe University Repository(Kernel)”.

http://www.lib.kobe-u.ac.jp/infolib/meta_pub/engG0000003kernel
11How theses are disseminatedAvailable forvisitors(All theses)

Searching and
Linking

CiNii Dissertations

Kobe Univ. Library
Metadata

Available forvisitors(All theses)

KernelAvailable via theInternet

Metadata and
PDF

National Diet Library

Searching and
Linking12After submitting thesis
Available at Kobe
Available on Kernel Available on Kernel
Univ. Library（Within 3 months） （Within a year）（Within a year）

Available at National
Diet Library

NormalAbstract

FullText

FullText

FullText

Disseminatingmasked thesis

Abstract

Masked FullText

FullText without
masking

FullText without
masking

Summary of thedoctoral thesis

FullText

FullText

Non-disclosure(temporary/permane Abstractnt)

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FAQ：Will the copyright be transferred to the library?
• You don’t have to transfer the thesis’s copyright.
• Please allow Kobe University Library to use 2 rights of the
copyright you have.
• Reproduction Right(Copyright Act: article 21)：Uploading the PDF to theserver for registration to the repository.
• Rights of public transmission(Copyright Act: article 23)：Disseminating
thesis through the internet.

• If anyone attempts to reproduce beyond private use, permission
from the copyright holder is required.

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1-3. Checkpoints

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Checkpoints : Writing articles• If you want to use academic articles in your doctoral thesis,• Are you authorized to use it by publisher?

• Are you quoting abiding the rules “Quotation" established in
Article 32 of the Copyright Act?
• Are references appropriate?
• If you reproduce other’s work (sentences, diagrams, pictures,photographs, musical scores and lyrics, etc.) beyond the scopeof quotation,• Do you have permission to reprint from the right holder?

• Compliance with research ethics for personal information16

Checkpoints : disseminating on the Internet• Shape : Can you disseminate it on the Internet?
• Yes ⇒Disseminating• No (including 3D shapes etc.) ⇒ Non-disclosure (permanent)• Others’ works：Do you have permission to disseminate on theInternet?
• Yes ⇒Disseminating• No ⇒Disseminating with masking, Non-disclosure(temporary/permanent)• Personal Information： Do you have permission to disseminate
on the Internet?
• Yes ⇒Disseminating• No ⇒Disseminating with masking, Non-disclosure(temporary/permanent)
17Checkpoints : disseminating on the Internet• If you have a doctoral dissertation published or submitted to an
academic journal, or plan to do so,
Do you have permission from the publisher to disseminate on theInternet within one year after the award?
• Yes ⇒Disseminating• I don’t know ⇒⇒ Non-disclosure (temporary)• ※Please take appropriate action when dissemination is confirmed.
• No but permitted after a certain period exceeding one year ⇒ Non-disclosure(temporary)• No and impossible forever ⇒ Non-disclosure (permanent)• Patent• For details ⇒ksui-chizai[at]office.kobe-u.ac.jp• Office for Academic and Industrial Innovation, Industry-University Collaboration
and IP Management Section18About quotations and references
Altering the content of a source or quoting a sentence without
showing the source is considered plagiarism.
The description method varies depending on the academic field,
but the principle is as follows.
• Clarify quoted / referenced parts• Annotate• Describe the source (the source of the text) as a reference

19Quotation Rules• Quotation is allowed only when necessary.
• You must not excessively cite.
• Your own writing should consist main part of the work.

• You have to distinguish between your own sentences and quotations.
• Short quotations: You can use「 」or “ ” to enclose with a quotation.
• Long quotations: Decrease paragraph height, changing font size and line
spacing.

• You have to specify the source of the citation and its author.
• If you reproduce beyond the citation, you must be authorized by the
copyright holder.
• To reprint in a doctoral thesis• To disseminate on the Internet
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Privacy of examinees
It is necessary to comply with applicable research ethics and ensure
proper investigation, analysis and description in an appropriate manner,
regardless of whether it is disseminated on the Internet.
• When you include parts personally identifiable facial photographs or
personal information that are not suitable for disseminating on theInternet.
• You have to obtain permission, if not, you need to mask it.
• You need masked version for internet dissemination and complete version forbrowsing in the library.

• It is also important to consider for privacy and personal information
when submitting to a journal.
• Please comply with submission rules, writing guidelines, and ethical rules.

If you have any questions, seek advice from your academic
advisor.
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Using a journal article as a doctoral thesis
1.

Is the copyright transferred to the publisher or not? (If so, what is the scope of rights to betransferred?)
2. Are you authorized to use your own paper posted in a scholarly journal as your doctoral
thesis?
3. Are you further authorized to disseminate such a doctoral thesis on the Internet?
• When you submit a paper published in a journal (published version) as a doctoral thesis.
• published version ：a version of paper which is published by publisher or academic society including
excerpts）• Sometimes included as part of a doctoral thesis• Some publishers and academic societies admit to use a published version.
• Elsevier：You can submit as a doctoral thesis and disseminate on the Internet.
• Japan Society of Civil Engineers：You can submit as a doctoral thesis and disseminate on the Internet.
• Open access articles with Creative commons licenses can be disseminated on the internet.（ref 35
slide ）

Please check "copyright transfer agreement" and confirm any unclear points with the
publisher.

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Planning to post /publish your doctoral thesis
1. Does publisher accept you to post article which you have submitted
as a doctoral thesis? (Is it duplicated posting?)
2. Is it possible to disseminate on the Internet?
3. What version of the paper does the doctoral thesis correspond to?
• When will it be possible to disseminate on the Internet? After embargo
period?
• It is different when can it be disseminated depending on version.
• Pre-print：Mostly possible to disseminate on the Internet after publication.
• Final Accepted Manuscript：Mostly possible to disseminate on the Internet
after embargo.

Please check "copyright transfer agreement" and confirm any
unclear points with the publisher.
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Final Accepted Manuscript
PublishPublisher
Referee and Editor

Publisher ver.
SubmitModifyAccepted

Preprint

calibration

ProofreadingMany publishers allow authors to disseminate
author's final accepted manuscript on the internet.

Final Accepted Manuscript24

Others• Publication as a book
• If you’re going to publish doctoral thesis as a book, possibility isdepending on agreements with publishers.

Please ask publisher if you have any unclear points.
• Patents• For details ⇒ksui-chizai[at]office.kobe-u.ac.jp• Office for Academic and Industrial Innovation, Industry-University
Collaboration and IP Management Section

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Open Access26

2-1. Basics of Open Access27

What is open access?

Free access to articles on the Internet• Definition of Open Access varies.
• Free Access (viewing, downloading and printing)• Free secondary use (Inclusion in crawling software for reprinting andindexing)• There are many types of open access publisher’s policies.

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Why open access is so important?

• Improve accessibility to academic papers• Counter the price increases in electronic journals• Viewpoint that research results using public funds should bemade publicly available• Creation of interdisciplinary research and innovation• Promote sharing of research results• Returning these results to society

29Trend of Open Access in Japan• Major Policies• 我が国におけるオープンサイエンス推進のあり方について (in Japanese)
2015/03/30• 第5期科学技術基本計画ついて (in Japanese) 2016/01/22• Funders recommending Open Access• Japan Science and Technology Agency• Japan Society for the Promotion of Science• Japan Agency for Medical Research and Development30

2-2. How to make yourarticles open access31

Routes to open access publication• Publishing as Open Access• Open Access (OA) journal• Hybrid journal• Self archiving

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Publish in an
open accessjournalPay APC if required

Immediate open access(via publisher)

Gold OA RouteResearcher

Publish in a
Subscription basedjournalGreen OA
Route

Self archive in a
repository, basedon publisher policy.

Immediate or delayed
open access, depending
on publisher’s policy

If option exists

Pay APC if required
出典：Jones, Sarah (2015). FOSTER / Open Science and its advocacy

Immediate open access(via publisher)33

Publishing as Open Access
Authors pay publishing fees (APC *) for Open Access• Open Access journal• All articles are open access.
• Scientific Reports, PLOS ONE…etc.

• Hybrid journal• A subscription based journal that has a paid open access option.
• Subscription fee + APC• * APC (Article Processing Charge) is priced between $1,000 and$5,000, and APC for hybrid journals tend to be more expensive.
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Notes on Open Access publishing：
Creative Commons License• The Creative Commons License gives everyone a simple,
standardized way to grant copyright permissions to theircreative work.
• When publishing open access articles, Creative Commons Licenses
are often applied.
Attribution （BY）

NoDerivs（ND）

You must give appropriate
credit

You may not distributethe modified material

ShareAlike（SA）
You must distribute yourcontributions under thesame license as theoriginal.

NonCommercial（NC）
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Self archiving• Authors and their proxies make their articles OA outside thepublisher's site.
• In most typical cases, the copyright on a paper submitted by an author istransferred to the publisher.
• You are required a permission from copyright holder, which is notnecessarily an author, to disseminate your article on the Internet.
• Many publishers allow authors to disseminate author's final accepted
manuscript.

• Where you can archive?
• Institutional repository• Preprint server• Website• Social media for researchers（ResearchGate, Mendeley…etc）
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Final Accepted Manuscript
Publication

Publisher
Referee and Editor

Publisher ver.
SubmitModifyAccepted

Preprint

calibration

ProofreadingMany publishers allow authors to disseminate
author's final accepted manuscript on the internet.

Final Accepted Manuscript37

2-3. How Kobe University
supports Open Access38How Kobe University supports Open Access• The Kobe University Repository Kernel• Storage and disclosure system for digital resources• Metadata that conforms to international standards• Academic papers which have appeared in journals and bulletins,
doctoral theses, books, research reports, databases and teachingmaterials created by faculty members and graduate program students(master/doctor) of Kobe University (Including who belonged to Kobe
University as the status above)

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Kobe University Open Access Policy• Articles published on and after February 1, 2017
• Scholarly articles authored or co-authored by Faculty Members andpublished in scholarly journals of commercial publishers, academic
societies or university departments• The university recommends to make research results of faculty
members available to the public on the internet via the Kobe
University Institutional Repository, Kernel.

40How to deposit②①
ArticlesSubmitted,
Acceptedandpublished③④

Input to KUID
Email or sending article
information

Request for
manuscripts

Checking
copyright policies⑤
Library

Depositing into
Kernel andDisseminating

Sendingmanuscripts

Based on the information provided, the library confirms a policy survey of the
publisher and requests the submission of manuscripts. If the publisher's version isapproved for publication, the library obtain the manuscript by ourselves.
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After depositing into Kernel
CiNii Articles
CiNii Books

Google scholar
Auto
Sending

Searching

NDL Search

KernelLinking

KUID

Linking

医中誌(ICHUSHI)
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FAQ• Should I obtain permission from co-authors?
• Yes. You can do it verbally or by email.

• What is final accepted manuscript?
• It is written in Word, LaTeX and template.
• Draft and manuscript without page numbers and logo

• What should I do if I have an article pdf and images separately?
• You can send us all of them as they are. We can merge them.

• Is it possible to deposit movie files in Kernel?
• Yes. Feel free to contact us about distribution of multimedia files as well.

43Other contents

The permission of the publisher, sponsor and author must be
obtained before disclosure.
• Departmental Bulletin Paper (change to E-journal)• Handouts and presentations from conferences, academic
conferences, symposiums, and study groups

44Choosing a journal to post

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Choosing a journal to post
Predatory journals• Journals only aiming for APC revenue• Poor quality assurance and peer review processes• Papers rejected by other journals are often accepted• Quality assurance as a journal is questionable• Hijacked journals• Similar to famous journals• Some people posts to by mistake.

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Choosing a journal to post
• Check the white lists and black lists• It is only a temporary expedient.
• White lists : Web of Science and Directory of Open Access Journals• Black lists : Cabell’s Blacklist (fee-charging) and Beall’s List of Predatory
Journals and Publishers（no charge but update stopped）• Self-defensive measures• Trying to doubt the sales mail asking to post
• Checking Review editors and editorial boards

If you have any questions, seek advice from your academic
advisor.

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Sources of Reference Materials• 『Open Access Handbook』(in Japanese) (Tokyo university)
http://hdl.handle.net/2261/72694• 『Guide for Doctorate Theses and Copyrights』(Tokyo
university)
http://doi.org/10.15083/00043124• 「Afternoon Talk on Open Access and Predatory Journals」(Hokkaido University)
http://hdl.handle.net/2115/71762• 「Open science and its advocacy」(Sarah Jones)
https://www.fosteropenscience.eu/content/open-science-and-its-advocacy
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Thank you!

If you have any questions, feel free to ask us!
Kobe University Library Digital Library Section
https://lib.kobe-u.ac.jp/about-en/contactus-en/

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