IR AND ETD Policies

 
  1. Overview

    • 1.1.  Background 

      The first incarnation of the Institutional Repository (IR) of the University of the Philippines Diliman began in 2011 as a response to the call of the ASEAN University Network Inter-Library Online (AUNILO) to have an interconnected network of library resources across all members of the ASEAN University Network. In 2014, the IR was revived by the Computer Services Section, in cooperation with the University Archives, from where the bulk of its materials came from. In April 2016, during a public symposium sponsored by the Office of the Vice Chancellor for Academic Affairs, the IR was officially launched to the public, with the intention of receiving submissions from the University by the start of AY 2016-17. The IR is officially named Digital Archives@UP Diliman, or DA@UPD for short.

    • 1.2.  Administration

      The University Library is tasked with the management and maintenance of the IR. While functional and administrative policies may be decided by the University Library, higher level decisions with wider scope and impact may be decided by the OVCAA.

  2. Mission Statement

    DA@UPD is the official Institutional Repository of the University of the Philippines Diliman and as the flagship campus, it is also in charge of the permanent records of the offices of the UP System. It identifies, acquires, maintains, preserves, and allows access to the digital institutional records and memory of the University. These include materials that were created, circulated, used, and received by the legitimate members of the University, academic and administrative units, and notable alumni with significant contributions to their disciplines. These materials reflect and support the basic functions of the University, i.e. education, research and extension. It is committed to fulfill its mandate of ensuring long-term preservation and access to the digital assets and permanent records of the University.
     

  3. Authority

    DA@UPD is an initiative of the University Archives. The University Archives is mandated to collect and maintain archival materials that reflect the growth and development of the University through Executive Order No. 13, signed on 7 June 1974. (The University of the Philippines Gazette vol. 5, no. 6, page 95, (viewed 2 May 2017))  

  4. Collection Development Statement

    The Collection Development Statement of DA@UPD is rooted in the principles of the Collection Development Policy of the University Library. Materials in the IR reflect the growth and development of the University, and are permanent/archival in nature, i.e. these contain inherent administrative, legal, fiscal, research, informational, and historical value.
     

  5. Content Policy

    DA@UPD contains the following materials in digital format:

    • Electronic Theses and Dissertations (ETDs) - from degree granting academic units of the University

    • UPIANA / UP Publications published by UP Units/Offices/Faculty Publications in local and international journals

      • Special and regular publications, including flyers and brochures of UP Units / Offices

      • Faculty / REPS Publications in local and international journals

    • Permanent UP Records

    • Personal Papers of UP Faculty, Executives, Officials and Alumni with significant contributions to their discipline
       

  6. Acquisition Statement

    DA@UPD shall acquire content that are aligned with the University Library's and the University Archives' collection development policy. Acquisitions may be through direct submission, harvesting, transfer, donation, gift, bequest, licensing agreement, or purchase.
     
  7. Access Policy

    • 7.1.  Statement on Access

      All materials submitted to DA@UPD are made available in the website to bonafide members of the UP Community in support of education, research and extension. DA@UPD will only accept submissions with restrictions as per dictated by governing policies of the University.

    • 7.2.  Individual Privacy

      The University does not collect nor divulge personal information and respects the privacy of all authors and submissions to the IR.

      Contributors are advised to redact sensitive personal or private information in their submissions.

    • 7.3.  Restriction of Content

      The administrators of DA@UPD reserve the right to restrict access to items or collections, specifically only to those where noted. Otherwise, materials submitted to the IR are accessible and open to the UP Community.
       

  8. Intellectual Property Policy

    Copyright/Intellectual Property of submissions to DA@UPD remain with the creators, unless otherwise stated.

    DA@UPD subscribes and upholds the governing Intellectual Property laws of the Philippines and the University.
     

  9. Roles and Responsibilities

    Below are the key players necessary for the long-term viability and success of DA@UPD. Their roles and responsibilities are described in general terms:

    • 9.1. Contributor / Content Creator

      Due to the variety of content in DA@UPD, Students, Faculty Members, Staff, Alumni, Academic/Non-Academic Units may contribute content to the IR, provided that their contributions meet the criteria set forth in the Collection Development Policy of the University Library. It is the contributor’s responsibility to ensure that the uploaded material complies with requirements set by the University Library.

    • 9.2.  Library Committee on Institutional Repository

      The Committee is tasked to search, identify, and acquire key collections to be included in DA@UPD based on existing criteria. The Committee is also in-charge of identifying, recommending, and adopting best practices and international standards in the management of digital repositories to the University Committee on DA@UPD.

    • 9.3.  University Library

      The University Library has long been entrusted to ensure preservation of, and access to the materials in their care. This responsibility is extended to the digital assets of the University, and as such, the University Library provides the managerial and technical expertise, and commitment to guarantee the sustainability of this program, as well as its daily monitoring and implementation of policies and guidelines. The University Library is also tasked to review, amend, and implement policy changes as the need arises.

    • 9.4.  Office of the Vice Chancellor for Academic Affairs

      As the link between the implementing unit/s of DA@UPD and the University Administration, the OVCAA oversees the smooth implementation of the program University-wide.

    • 9.5.  University of the Philippines Administration

      The University will provide materials for preservation as well as the financial and administrative commitment and resources to ensure the long-term viability of the program.
       

  10. Licensing Statement

    Licensing of submitted materials to DA@UPD shall be the responsibility of the creator. Requests for licensing should be directed to creators or owners unless otherwise stated by the University.
     

  11. Commercial Use of Works

    Requests for commercial use of submitted works to the DA@UPD shall be subject to existing laws and policies and must be obtained from the University prior to commercial application and reproduction.
     

  12. Security Statement

    The University Library employs applicable technology and security measures to protect content and privacy of contributors. Legal action will be taken by the University for any entity who shall illegally obtain and/or use information and content from the repository.
     

  13. Citation/Linking Policy

    Citation and linking of any material in DA@UPD is permissible and is the sole responsibility of the user. It is recommended that the user follow existing and appropriate citation and linking standards. The University Library ensures that all materials in the repository will be given permanent links or URL for continued access.
     

  14. Liability Policy

    The University reserves the right to restrict or remove access to submissions that violate existing University policies or laws. The University disclaims any responsibility for the improper/illegal use of submissions nor from any damage incurred from such as is permissible by law.
     

  15. Arrangement/Description Policy

    Arrangement and description of materials submitted to the IR are according to accepted international archiving and digital preservation standards to facilitate research and maximize interoperability.
     

  16. Submission Policy

    DA@UPD accepts submissions in digital or converted works from bona fide members and offices of the UP Community. Submissions must comply with requirements and procedures dictated by the IR, unless otherwise waived by appropriate authorities within the University. DA@UPD does not accept short term deposit of materials or content.
     

  17. Contributor Policy

    DA@UPD accepts submissions from students, staff, faculty and alumni of the University. In addition, academic and administrative units of the University are encouraged to submit permanent records to the IR.
     

  18. Embargoes

    The University recognizes and supports the application of embargoes to certain works of members of the UP Community. Works under embargo will not appear in DA@UPD save for metadata for a period of one (1) year, renewable annually. Contributors/Content creators/Authors are responsible for the renewal of the embargo; after the period has lapsed, restricted submissions will then be made available freely to the UP Community.
     

  19. Take-Down Policy

    DA@UPD reserves the right to remove submissions and materials in the repository subject to proper procedures. Moreover, requests for removal of materials in DA@UPD must be submitted to the University Library following proper procedures and will be acted upon on a case to case basis.
     

  20. Deposit Policy

    Materials submitted to DA@UPD reflect the intellectual output, as well as the growth and development of the University. These materials are selected, maintained and preserved for current and future users of the IR; as such DA@UPD does not accept materials for short-term deposit.
     

  21. Preservation Policy

    The University Library, as the key implementing and administrating office of DA@UPD, is committed to, and is responsible for, the planning, maintenance, management and long-term preservation of all digital materials submitted to the IR.  As such, DA@UPD will use and maintain accepted international standards in the preservation of its digital resources, and the use of reliable hardware and software to accomplish this mission.
     

  22. Privacy Policy

    The University Library is committed to protecting the privacy of the users and authors/content providers of DA@UPD. It strictly adheres to Republic Act 10912 (Data Privacy Act of 2012) and applies the same provisions and restrictions in the Approved Acceptable Use Policy for Information Technology Resources of the UP System.
     

  23. Succession Policy

    In the event that the University Library ceases to exist, all content in DA@UPD will remain with the University in perpetua.
     

  24. Documentation and Amendment Statement

    This policy is considered a permanent record and subsequent amendments and updates should be noted accordingly. Superseded versions must be deposited to DA@UPD. This policy will be reviewed every three years and will be amended as needed.


     

  25. Related Policy Information

Collection Development Policy

Electronic Thesis and Dissertation Policy

Revised Policy on Access to Theses and Dissertations (2017)

Public Access to Theses and Dissertations (OVCRD Website)

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

 

 

 

Overview

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 Diliman 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 Diliman’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.
  1. Mandate

    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…”
     

  2. Authority

    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.
     

  3. 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))
       

  4. Roles and Responsibilities

4.1. Students

The student is responsible for submitting their ETDs in DA@UPD (digitalarchives.upd.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.

4.2. Advisers

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.

4.3. Colleges / Academic Units

Academic Units are responsible for ensuring that graduating students upload their theses or dissertations to DA@UPD.

Academic Units are also responsible for coordinating with their College Libraries and/or the University Library regarding embargo requests for ETDs.

4.4. Librarians

Pertinent unit librarians are responsible for verifying and authenticating ETD submissions in the Institutional Repository.

4.5. University Library

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.

4.6. 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.

4.7. Office of the Vice Chancellor for Research and Development (OVCRD)

As the lead office of the University in issues regarding Intellectual Property and Copyright, the OVCRD is responsible for coordinating with the University Library of any changes and amendments that will affect the implementation of the ETD and IR Program.

 

  1. Submission Policy

    5.1.  Contributors

    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.

    5.2.  Content Submissions

    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 DA@UPD.

    Submitted ETDs are subject to review by pertinent library personnel.

    5.3.  Submission Platform

    Uploading / submission of ETDs is done via Digital Archives @ UP Diliman (DA@UPD, URL: digitalarchives.upd.edu.ph), the University’s Institutional Repository.
     

  2. Access Policy

6.1.  Accessible Materials

Full-text of ETDs uploaded to DA@UPD may be accessed by bona fide members of the UP Community.

6.2.  Methods of Access

There are two ways to access DA@UPD:

  • On Campus. ETDs are accessible to library users in full text from any computer connected via <DilNet> network.
  • Off Campus. ETDs are accessible to authorized members of UP Diliman (students, faculty and staff). Access is via login using DilNet account username (i.e. jadelacruz) and password.

 

Researchers / users must go to the website of UP’s IR in order to access ETDs.
 

 

  1. 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.
 

  1. 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.
 

  1. Revisions and Amendments

This ETD Policy is subject to review every three years and will be amended as needed.
 


  1. Related Policy Information

Collection Development Policy

Institutional Repository Policy

Revised Policy on Access to Theses and Dissertations (2017)

Public Access to Theses and Dissertations (OVCRD Website)

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