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HomeResearchYork Graduate Research SchoolPolicy, forms and documentsPolicy on Research Degrees13. Dissemination of research results, IP rights and responsibilities

13. Dissemination of research results, IP rights and responsibilities

13.1 The University requires all PGRs to obtain an ORCID(tm) personal identifier (ID). ORCID gives researchers and authors a single unique ID which works across the research landscape, ensuring that all research outputs and activities are correctly attributed. PGRs will be expected to submit their ORCID ID upon enrolment and, if not submitted at enrolment, required to have signed up for an ORCID ID by the first Thesis Advisory Panel meeting. PGRs are expected to comply with reasonable requests from the University and funding bodies (where applicable) for recording the outputs of research conducted as part of a PGR programme, and career progression information.

13.2 PGRs will be encouraged to make presentations on the results of their research in the University and at external meetings, and where appropriate to different audiences (e.g., academic peers, undergraduate students, school pupils). They should receive appropriate training for this purpose. PGRs should also be encouraged to submit work for publication during the course of their studies, where appropriate. PGRs are bound by the University’s Policy on the publication of research, and authorship of publications should be decided in line with University policy on authorship. 

Open research

13.3 The University is committed to the values, principles and culture of open research. PGRs should work with their supervisors to explore how open research practices might apply to their work.

13.4 In line with the University’s commitment to Open Research, all theses deposited by PGRs after examination will be available to the general public, in full, for consultation and for reproduction (as permitted in copyright law), unless approval is obtained for embargo or redaction (as set out below). Where PGRs create scholarly articles during or as a consequence of their programme, they are strongly encouraged to follow the principles set out in Research Publications and Open Access Policy.

13.5 When a PGR is requested to do so by the Library, they must obtain a DOI (Digital Object Identifier) for their thesis and include this in the version deposited with WREO.  

Embargo and redaction policy

13.6 In certain circumstances, it may be appropriate for a thesis to be embargoed (ie withheld from the general public and, normally with the exception of an abstract, none of the material reproduced) for a fixed period AND/OR made available with redaction (the PGR should deposit a redacted version of the thesis, which will be made publicly available (i.e. in addition to their examined (unredacted) thesis which will not be made publicly available). 

13.7 Embargo may be for one or more of the following reasons: (i) intent to publish; (ii) commercial sensitivity; (iv) issues of personal safety or national security; (vi) exemption under the Freedom of Information Act 2000. An embargo should not be used when redaction could be used to achieve the desired goal. 

13.8 Redaction may be for one or more of the reasons specified for embargo and/or for (v) data protection compliance; (vi) unlicensed reproduction of third-party copyright material (copyright guidance is provided by the Library). Redaction for third-party copyright infringement will be indefinite unless notification of clearance is received.  

13.9 In considering whether to embargo or redact a thesis, all appropriate considerations must be taken into account, including funding requirements, intellectual property issues and Research Data Management expectations. 

12.10 A request for embargo or redaction may be made by the PGR and/or the supervisor(s) and/or the funder of the PGR's research, subject to a valid reason as set out above. 

13.11 Any embargo period (counting from the date of the Award) should be as short as reasonably possible, ideally no more than 12 months. Where a PGR is in receipt of ANY UKRI money (ie including collaborative projects such as CASE and CDAs), the maximum embargo period is normally 12 months (counting from the date of the Award).
 
13.12 An embargo of up to 12 months (total period, including any extensions) can be approved by the PGR and their supervisor(s). An embargo of between 13 and 24 months (total period, including any extensions) requires the additional approval of the Graduate Chair and - for UKRI-funded PGRs - the PGR Faculty Lead. An embargo of between 24 months and five years (total period, including any extensions), requires the additional approval of the Dean of YGRS. Lifting an embargo in advance of the set date requires the consent of the PGR and their supervisor(s) and the funder if applicable.

13.13 Unredacted theses for copyright and privacy may be permanently embargoed without further approval as long as a redacted thesis is in the public domain and the redaction does not affect the cohesiveness and value of the thesis (NB the redacted thesis can also be subject to temporary embargo where there is good reason).

13.14 If a dispute about the embargo of a thesis arises between the PGR and their supervisor(s), the decision of the supervisor(s) is final; if a dispute arises between supervisors, the decision of the Graduate Chair is final. 

13.15 Funder requirements around permitting or restricting access to the thesis (or material within the thesis) may be determined from the outset in the funder's terms and conditions and/or a studentship agreement OR a written request made by the funder (to the supervisor/PGR) when the thesis is finalised. Approval for any requested embargo period should be sought as above. 

13.16 The PGR and their supervisor(s) are jointly responsible for adhering to any embargo or redaction terms agreed with the funder at the outset and/or facilitating reasonable requests from the funder for embargo or redaction once the thesis is finalised. 

13.17 A thesis may be subject to a long-term (more than 5 years) or permanent embargo in the following circumstances: (i) contractual agreement with a funder where they are exceptional grounds; (ii) issues of national security or personal safety, or (iii) when requested by the Pro-Vice Chancellor for Research for a breach of the Code of Practice on Research Integrity. All requests for long-term or permanent embargo must be approved by the Dean of YGRS and the SCA. 

Creative work embargos

13.18 The University recognises that it can take significantly longer to find a publisher or other suitable outlet for creative work (e.g. novels, poetry, theatre plays, screenplays, music scores, architectural designs) that is produced as part of a PGR programme by practice. In recognition of this fact, the University may offer an initial embargo period of up to five years for creative work (renewable if evidence is provided that justifies an extension, with the length of the extension determined on a case by case basis).

13.19 The creative work should be physically separated (e.g. into a separate document) from the critical component of the thesis (or alternative assessment format) to enable the critical component to be made publicly available in accordance with the usual rules on embargo periods and to meet the University’s - and where applicable the funder’s - commitment to open research.

13.20 The division into separate creative and critical components should ideally be undertaken prior to submission for examination (e.g. for creative writing, the thesis could be submitted as two separate documents, one comprising the creative work, one comprising the critical component) but could also be undertaken post-examination but pre-deposit.

Copyright of thesis

13.21 Except by formal agreement between the PGR and an external organisation, copyright in the original material in a thesis is owned by the PGR. In many cases, however, other forms of intellectual property arising from the thesis, including patentable inventions and software, may be subject to contractual conditions, for example with sponsors of the research, which may require ownership to be vested in a third party or in the University. Furthermore, in many instances, intellectual property is jointly conceived by a PGR together with his or her supervisor(s) or with other colleagues in the same research group. In such cases, the University would expect to own such IPR but would share any benefits accruing from its exploitation with the PGR according to the University's Intellectual Property Regulation (Regulation 12). 

Contractual responsibilities to external organisations

13.22 Where the PGR studentship is sponsored by a commercial or other external organisation, such as UKRI, to which the University owes contractual responsibilities, the supervisor will ensure that the PGR receives and, where appropriate, signs a copy of the contract covering the research.