Tohoku University Open Access Policy Proceedings
March 26, 2018

How to submit data to TOURThe process to submit research outcomes (academic papers etc.) are as follows:1.

Library requests faculty to submission of research outcomes from.

2.

Faculty voluntarily hands over the research outcomes to the library.

In either case, the work required faculty staff to do is same: check the terms of use indicate
by copyright holder, build up the research outcomes, and submit it to the library.
The figure bellow illustrates the steps taken to submit files to TOUR. Faculty, please beadvised that steps (1) – (3) need to be completed.
1.Library Requests for Submission

2. Voluntarily Submission(1)

Contact copyright holder

Check publisher's copyright policy(2)(Build up the style ofresearch outcomes)

Request submission of research outcomesfrom faculty member(3)

Submit to library

Library

Contact copyright holder

Check publisher's copyright policy(2)(Build up the style ofresearch outcomes)

Make PDF(3)

Submit to library

Register to TOUR

Make PDF

Feedback on registration status toTohoku University information DB

Register to TOUR
Feedback on registration status to
Tohoku University information DB

Outline of the procedure
The library searches for research outcomes registered in the Tohoku University
information database (DB), check the publisher’s copyright policy, and requests the faculty tosubmit research outcomes to be published in the institutional repository.
Copyright policy is a guideline on web publishing that is set by each publisher. The copyrightpolicy will stipulate whether the outcomes can be registered in the institutional repository,
what version of the outcomes can be registered, and what are the conditions for registration.
If registration is not permitted, the library reports back to the Tohoku University
information DB that registration is not possible. If the copyright policy is not defined, the1

Library

Faculty(1)

Faculty

Library

Search for faculty outcomes from theTohoku University information DBlibrary will obtain permission from the publisher.
If registration is permitted, the library creates a PDF of the research outcomes submitted by
the faculty, registers it on TOUR, and reports that it is registered in the Tohoku University
information DB.
Faculty work
If the library requests registration of research outcomes, faculty should do the following:(1) Check the terms of use copyright holder(2) Build up the style of research outcomes(3) Submit to library(1) Check the terms of use copyright holder
In order to register the research outcomes in the institutional repository, it is necessary toacquire permission to copy and transmit the information from the copyright holder. Thelibrary sends faculty members the form "Tohoku University Repository (TOUR) Registration
Request Form (hereinafter called “TOUR Registration Request Form”) which lists all theinformation in regards to the research outcomes. Faculty must check the copyright bysubmission guideline and performing the following process according to the specification ofthe copyright.
1) In the case the copyrights are transferred to the publishers:
Confirmation of co-author(s) is not an obligation, but it is preferable to obtain consent
from corresponding author.
Check the “Copyright Holder is Publisher” column on the “TOUR Registration RequestForm” and submit it.
2) In the case the copyright holder is the author or association (not transferred to thepublishers)2.1) In the case the copyright holder is only the author:
Check the “Sole Author” column on the “TOUR Registration Request Form” and submit
it.
2.2) In the case the copyright holder is the author and coauthor(s):Ask co-author(s) to fill out the “Tohoku University Repository Registration Permit”(hereinafter called “TOUR Registration Permit”).
Check the “I got the consent from the coauthor” column on the “TOUR Registration
Request Form” and submit it along with the “TOUR Registration Permit.”
2.3) In the case the copyright holder is the association:
Ask association to fill out the “TOUR Registration Permit”
Check the “I got the consent from the conference” column on the “TOUR Registration
Request Form” and submit it along with the “TOUR Registration Permit.”
3) Note of caution
It is necessary to obtain permission from all copyright owners in relation to the research2

outcomes. For example, if you use images created by others, you must obtain permission
from the copyright holders in order to be able to publish the research outcomes.
(2) Submit research outcomes
In the “TOUR Registration Request Form” there is a section on the version of the researchoutcomes that is being submitted to the library. There are different steps that faculty
members must follow depending on the version that is submitted.
1) When the publication of the publisher’s version is permitted:
Faculty members do not need to do anything. The library will download the researchoutcomes directly from the publisher’s website.
However, if Tohoku University does not have subscription to the journal and the libraryis unable to download the research outcomes, then the faculty member should send thepublisher’s version to the library.
2) When the author’s post print version is permitted:
Faculty members should send the post print version of the research outcomes in either
Word or PDF format to the library.
If changes in the appearance need to be made, download the template from the library’s
website, make the appropriate modifications, and then send the PDF to the library.
3) When the author’s preprint version is permitted:
Faculty members submit the preprint version of the research outcomes in either Word orPDF format to the library.
If problem would occur to this version (for example, this version differs greatly from thefinal version that has been reviewed and revised), submit the “Non-public ApplicationForm” to the library.
See “Non-Disclosure Procedures” below for more details.
The figure below illustrates the different versions that can be submitted to the library.
Writing

Post

Review

Typesetting

Publication

Requestfor
review

PublisherC

Reviewer
AcceptAuthor

ProofreadingA
author’s preprintCBauthor’s postprint

publisher version

3PDF

Papermedium

A: Author’s preprint version: These are the research outcomes that were initiallysubmitted to the academic journal.

B: Author’s post print version: These are the research outcomes after they have beenreviewed but before the publication by the publisher.

C: Publisher’s version: These are the research outcomes that are published in journals andformatted by publishers.

(3) Submit to library
Submit “TOUR Registration Request Form”, (“TOUR Registration Permit”), researchoutcomes, and the confirmation of copyright to the library.

Submit to:
附属図書館総務課学術情報基盤係
学内便：川 A29 附属図書館総務課学術情報基盤係
Address：〒980-8576 宮城県仙台市青葉区川内 27-1
mail：tour@grp.tohoku.ac.jp

With the submission of steps (1) - (3), the library will register the research outcomes to TOUR.

Non-Disclosure Procedures
If the faculty decides that it is necessary to keep the research outcomes private, faculty canapply for non-disclosure procedures to the library.
Likewise, if the library confirms that the publisher does not allow the publication of theresearch outcomes in the repository, the library will follow the procedures for non-disclosure.
Non-disclosure procedures are as follows:(1) Faculty decision
Faculty must submit the “Tohoku University Repository（TOUR）Non-disclosureApplication Form” to the library.
The Open Access Committee conducts an examination and when it is accepted, statusof outcomes will be changed to non-disclosure.
(2) Library decision
Upon verifying that the publisher does not allow research outcomes to be published,
the library will consultwith the Open Access Committee. After a examination has been
made the non-disclosure process follows.

4

様式１
東北大学機関リポジトリ（TOUR）登録依頼書
Tohoku University Repository (TOUR) Registration Request Form
申請日 Date: ________ ________ _____
YearMonthDay

東北大学附属図書館長 殿所属 Division
氏名 Name
連絡先 Tel.
Email.
下記資料の TOUR 登録を申請します。
Application for the registration of research outcomes to TOUR.
記
研究成果情報論文名 Article name:

Article information

雑誌名 Journal name:
出版社・学会等 Publisher name:
出版年 Publication year:

提出する版□出版社版 Publisher’s version

Submitted version□査読後著者版 Author’s post print

巻号 Volume:□査読前著者版 Author’s pre print
提出媒体□電子媒体（PDF）

Submitted medium□電子媒体（その他 Word etc.）□紙媒体 Printed※紙媒体からの PDF 化は電子媒体が残っていないものに限る

著作権者の同意□著作権は出版社へ移譲 Copyright holder is publisher

Copyright holder□著作権は著者に帰属 Copyright holder is author□単著 Sole author□共著者許諾済（要添付「登録許諾書」）
I got the consent from the coauthor□学協会許諾済（要添付「登録許諾書」）
I got the consent from the conference※注：東北大学機関リポジトリ（TOUR）登録を希望する上記コンテンツについて、著作権は附属図書館に委譲されません。ただし附属図書館がコンテンツの複製物を作成（複製権）し、サーバで公開（公衆送信権）することについて、著作権者の了解を得る必要があります。
Note: Copyright is not transferred to the library. Therefore; it is necessary to obtain
permission from the copyright holder in order to copy (copy rights) and publish (publictransmission rights) the research outcomes.
5

様式 2-1
著作権者の方へ
東北大学では、本学教員の研究成果（学術論文等）を東北大学機関リポジトリ（TOUR）（https://tohoku.repo.nii.ac.jp/）へ登録し広く公開することとしています。
TOUR への登録により、研究成果のインターネット上での閲覧、プリントアウト、ダウンロード、保存が可能となります。登録にあたっては、原則として、研究成果を PDF 化し、改変防止や印刷禁止等の制限は施しません。
つきましては、本学教員を著者とする下記の研究成果につき、上記の態様による TOUR への登録をお認めいただきたく、当該研究成果の登録（登録にかかる複製・公衆送信）について許諾いただけるか否か、別紙「東北大学機関リポジトリ（TOUR）登録許諾書」にご記入の上、依頼者へお送りくださいますようお願いいたします。なお、TOUR への登録により、当該研究成果の著作権が本学に移転することはありません。
記
研究成果情報
論文名：
雑誌名：出版社・学会等：
出版年：

巻号：

登録する版： □出版社版□査読後著者版□査読前著者版
東北大学附属図書館

To the copyright holder
At Tohoku University, research outcomes (academic papers, etc.) of our faculty will be
published and made widely available through the Tohoku University Repository (TOUR)(https://tohoku.repo.nii.ac.jp/). By publishing the research outcomes on TOUR, the material
can be browsed, printed, downloaded, and saved on the Internet. The Tohoku University
Library will convert the research outcomes into PDF format which will not be subjected tomodification or printing restrictions.
Please fill out the “Tohoku University Academic Information Repository (TOUR)
Registration Agreement” outlining whether or not the publication of research results isapproved and send it to the client. By allowing the registration of the research results, youagree to the copying and public transmission of said results. Lastly, registering to TOUR will
not transfer the copyrights to our university.
Article information
・Article name:
・Journal name:・Publisher name:・Publication year:

Volume:・Version: □ Publisher’s version □ Author’s post print

6□ Author’s preprint参考：出版社への掲載許諾メール文例
件名：東北大学機関リポジトリへの論文掲載について
本文：○○御中東北大学では「オープンアクセスポリシー」により学術論文を「東北大学機関リポジトリTOUR」へ登録することが定められています。つきましては以下の論文について掲載してよろしいか伺います。
記
論文名：
雑誌名：
出版年：
巻号：
ご許可いただける場合、リポジトリに掲載してよい版（出版社版、査読後著者版、査読前著者版のいずれか）も合わせてお知らせください。
よろしくお願いいたします。
参考：
東北大学オープンアクセス方針：
http://www.library.tohoku.ac.jp/research/openaccess/policy.pdf
東北大学機関リポジトリ TOUR：https://tohoku.repo.nii.ac.jp/
参考：出版社への掲載許諾メール文例（英文）Subject: Request for agreement/approval to register paper at Tohoku University Repository
Dear Publisher,
The purpose of this email is to request an approval for the registration of my paper at myuniversity’s repository. At Tohoku University faculty members must register their academic
papers in the Tohoku University Repository (TOUR).
Below are bibliographic data of my paper.
・Article name:
・Journal name:・Publisher name:・Publication year:

Volume:Please let me know if registration is approved. In that case I can register, please tell me
which version (publisher’s version, author’s post print, or author’s preprint) will be allowed.
Thank you very much for your time and consideration. I look forward to hearing from yousoon.
Reference:
Tohoku University Open Access Policy
http://www.library.tohoku.ac.jp/research/openaccess/policy-e.pdf
Tohoku University Repository "TOUR"https://tohoku.repo.nii.ac.jp/7様式 2-2
東北大学機関リポジトリ（TOUR）登録許諾書
Tohoku University Repository（TOUR）Registration Permit
申請日 Date: ________ ________ _____
YearMonthDay

東北大学附属図書館長 殿

下記著作物について、東北大学機関リポジトリ（TOUR）への登録をRegistration to the Tohoku University Repository (TOUR)□ 許諾します。登録にかかる当該研究成果の複製および公衆送信について許諾します。
I agree. I agree to the copying and public transmission of the research outcomes.
□ 許諾しません。
I don’t agree.
所属 Division:
氏名 Name:

記
研究成果情報 Article information
論文名 Article name:
雑誌名 Journal name:
出版社・学会等 Publisher name:
出版年 Publication year:
登録する版 Version:

巻号 Volume:□出版社版 Publisher’s version□査読後著者版 Author’s post print□査読前著者版 Author’s preprint
以上8様式 3東北大学機関リポジトリ（TOUR）非公開申請書
Tohoku University Repository（TOUR）Non-disclosure Application Form
申請日 Date: ________ ________ _____
YearMonthDay

東北大学附属図書館長 殿
所属 Division
氏名 Name
連絡先 Tel.
Email.
下記研究成果について、非公開とすることを希望します。
Application for the non-disclosure of the following research outcomes
記
研究成果情報論文名 Article name:

Article

雑誌名 Journal name:information

出版社・学会等 Publisher name:
出版年 Publication year:

非公開の理由Reason fornondisclosure

巻号 Volume:□ 共著者の合意が得られなかったため
Co-author(s) agreement could not be obtained.
□ 研究成果に他者の権利を侵害する内容が含まれていることが判明した
ため
Research outcomes contains content that violates the right of otherresearch.
□ データ改ざん等の研究不正が判明したため
Research fraud, such as data falsification, was found.
□ 査読により過ちが指摘されており公開に向かないと判断したためMistakes pointed out by peer review have made it unsuitable forpublication.
□ その他 Other:（）9