E LECTRONIC DEPOSIT OF THE THESIS

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E LECTRONIC DEPOSIT OF THE THESIS

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Bibliothèque interuniversitaire de Montpellier 2020

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I SSUES RAISED :

1/ Stakes of the electronic deposit 2/ Legal framework of the thesis

3/ How to prepare the electronic deposit 4/ Electronic deposit : instructions for use

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

Theses = an important part of the activity of research for universities

(taken into account for the evaluations)



They are drafted under electronic form…



… but they had a "confidential" circuit :

 restricted or problematic broadcasting

(paper+microfiche) : not much visibility, not many readers (less than 10 by thesis, most of the time)

 continuity of the data difficult to guarantee

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I

MPLEMENTATION OF ELECTRONIC DEPOSIT FOR THE THESES IN

F

RANCE

(

SINCE

2006) :

1/ S TAKES OF THE ELECTRONIC DEPOSIT

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

Order of August 7th, 2006 : electronic deposit is

possible for the universities which want to stop printed deposit



Order of May 25th, 2016 : electronic deposit is compulsory for all universities in France



In Montpellier : electronic deposit since January 2010

Some figures : Almost 5000 theses defended in the universities of Montpellier were deposited in

electronic version since 2010

⁴

1/ S TAKES OF THE ELECTRONIC DEPOSIT

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 Internet : the thesis is displayed on line on the web site of the Library and on HAL/TEL

 Intranet : the thesis is accessible from the web site of the Library only on identification or within your campus

 Confidentiality : the thesis will be on-line (internet or intranet) only at the end of the period of confidentiality defined by the jury

 you make the deposits, the broadcasting will be

effective only after the period of confidentiality defined by the jury.

! The confidentiality is time-limited in a reasonable

way. ⁵

T

HE VARIOUS SCOPES OF BROADCASTING

:

1/ S TAKES OF THE ELECTRONIC DEPOSIT

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 The PhD student, except case of confidentiality.

 The confidentiality is decided by the director of the university, at the request of the jury or the PhD student.

 Concern the theses which contain critical data (for

example, researches which can lead to a patent application).

 For reasons of scientific quality, the jury can oppose the broadcasting of your thesis on Internet

 Broadcasting is limited to the intranet

 You can display your thesis on line on a repository (TEL), but withdrawal will be impossible

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W

HO CHOOSES THIS SCOPE

?

1/ S TAKES OF THE ELECTRONIC DEPOSIT

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1/ S TAKES OF THE ELECTRONIC DEPOSIT

1. A thesis on internet is more consulted and quoted

Example : impact of the broadcasting’s scope (internet in blue, intranet in green) on the downloads and citations of the articles broadcasted in ORBi, the repository of Liege’s University

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H

OW TO CHOOSE

?

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1/ S TAKES OF THE ELECTRONIC DEPOSIT

2. A thesis on internet is better protected against plagiarism

The visibility of a thesis makes the plagiarism easier to demonstrate (anti-plagiarism softwares are

operational only if the possible source is freely accessible on-line)

A deposit dated in the institutional repository of the university is enough for proving the anteriority of a work

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H

OW TO CHOOSE

?

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1/ S TAKES OF THE ELECTRONIC DEPOSIT

3. The Internet broadcasting can be a springboard or an alternative to the publishing

Only a few theses will finally be published : the internet broadcasting is useful to disseminate the results of your work

The on-line publishing can be useful to find a publisher (beneficial effect of TEL)

Be careful about the case of the Editions universitaires européennes or the Presses académiques

francophones: no editorial work, very high prices,

print only on demand ⁹

H

OW TO CHOOSE

?

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1/ S TAKES OF THE ELECTRONIC DEPOSIT

4. The Internet broadcasting does not prevent the publication by a commercial publisher

Thesis defended at the university ≠ thesis reshaped for publication. Its on-line publishing is not necessarily forbidden by publishers.

Always verify contracts and try to keep the maximum of

rights : contracts do not stipulate necessarily the transfer of the rights for the digital technology

If the publisher requires the withdrawal of the thesis of Internet, you can change the broadcasting’s scope :

broadcasting restricted to the intranet and thesis removed from TEL

A thesis freely accessible on-line is always more visible than a thesis published in print format : try to have both! ¹⁰

H

OW TO CHOOSE

?

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1/ S TAKES OF THE ELECTRONIC DEPOSIT

5. The free broadcasting on internet benefit to all the searchers

 The free broadcasting facilitates the access to the research results

 The deposit on a repository before publishing speeds up the access to the research results

 The deposit on a repository guarantees the continuity of this access

 Development of repositories is a counterbalance to the cost of

electronic ressources ¹¹

H

OW TO CHOOSE

?

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

Excessive concentration of the publishers : some very big world groups control the majority of the

market and impose their conditions



Excessive increase of the electronic ressources’

costs (from 150 to 300 % in 20 years) in a context of budgetary restriction  many unsubscriptions



Passage from an economy of stock to an

economy of flow (we buy an access to an on-line

base, no guarantee of continuity)

₁₂

1/ S TAKES OF THE ELECTRONIC DEPOSIT

T

HE SCIENTIFIC PUBLISHING TODAY

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1/ S TAKES OF THE ELECTRONIC DEPOSIT

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Considerable profits for the commercial publishers

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1/ S TAKES OF THE ELECTRONIC DEPOSIT

Cost of electronic ressources for the 2 Universities

of Montpellier in 2018 : 1 761 000 €

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• European programs « Horizon 2020 » (2014-2020) and « Horizon Europe » (2021-2027) : every project financed by these programs has the obligation to

assure the on-line free access to the scientific publications resulting from the project.

• « Loi pour une république numérique » (2016) : whatever the contract signed with the publisher, the researchers payed by the State have the right to put

on-line their articles (in their post-print version) after a embargo period of 6 months for the hard sciences, 12 months for the Human an social sciences

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OLITICAL CONTEXT

:

1/ S TAKES OF THE ELECTRONIC DEPOSIT

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• National plan for Open Science (2018, July ) :

Ministère de l’Enseignement Supérieur, de la Recherche

et

3 axes :

 Generalize open access to publications

Mandate open access publishing of articles and books from research financed by calls for projects on public funds

 Structure and open research data

Mandate the open dissemination of research data from programs financed by calls for projects on public funds

 Join a sustainable, European and international dynamic

Develop open science skills, especially in doctoral schools de l’Innovation

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OLITICAL CONTEXT

:

1/ S TAKES OF THE ELECTRONIC DEPOSIT

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P

OLITICAL CONTEXT

:

1/ S TAKES OF THE ELECTRONIC DEPOSIT

• Plan S (2018, September ) :

Plan adopted by an international consortium of research funders : 13 national funders, including ANR

Goal for 2021 : all articles and books from

research financed by these research funders will

have to be freely accessible without delay

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P

OLITICAL CONTEXT

:

1/ S TAKES OF THE ELECTRONIC DEPOSIT

• CNRS roadmap for open science (November 2019) :

Goal of 100% of CNRS’s publications in open access

Data produced by CNRS researchers have to be as open as possible, and closed as necessary

Evaluation of researchers must be compatible with

the objectives of open science and the contribution of

researchers to open science will be taken into account

in the evaluation

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P

OLITICAL CONTEXT

:

1/ S TAKES OF THE ELECTRONIC DEPOSIT

• Joint statement by the network of French funding agencies for open science (June 2020) :

 Publications from funded projects must be deposited in an open archive

 Recommends prioritizing publication in native open access journals and books

 Research data sharing: “as open as possible as closed as necessary”

 Assessment of the scientific quality of projects in accordance with the recommendations of the San Francisco Declaration on Research Evaluation

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

Local platforms : for example, broadcasting of the theses of the 2 Montpellier’s universities on the website of the BIU



A national repository : HAL

 More than 750 000 documents online

 A portal dedicated to the theses : TEL (more than 100 000 documents)

 Auto-archiving of the publications and not published works

 Auto-archiving completed by institutional archiving : internet theses of UPV and UM are sent to TEL ²⁰

1/ S TAKES OF THE ELECTRONIC DEPOSIT

R

EPOSITORIES

:

THE GREEN WAY TO OPEN ACCESS

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 Encourage the short-term consultation

 Publications are less easily accessible (obligation to become member to access to the resource)

 No guarantee of free access or continuity

 When you agree the conditions of use, you give to the social network the exploitation rights on your documents

 The deposit in a social network is not provided in the law (conflict between publishers and social network)



An advice : do not deposit anything in a social

networks, put only a link towards a repository ²¹

1/ S TAKES OF THE ELECTRONIC DEPOSIT

T

HE SOCIAL NETWORKS

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 Choose an intranet broadcasting only if you have

already found a publisher and if it does not authorize the broadcasting of your thesis on Internet

 If you choose an intranet broadcasting, give the

autorisation to the loan between libraries (unless your work will be accessible only to the community of Montpellier)

 If you change your mind : the choice of the broadcasting’s scope is not definitive, the PhD student can restrict or widen the scope after the deposit

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T

O CONCLUDE

1/ S TAKES OF THE ELECTRONIC DEPOSIT

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I SSUES RAISED :

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1/ Stakes of the electronic deposit 2/ Legal framework of the thesis

3/ How to prepare the electronic deposit

4/ Electronic deposit : instructions for use

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2/ L EGAL FRAMEWORK OF THE THESIS

Statut juridique d’une thèse. © R. Creppy, 2007.

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A thesis is at the intersection of 6 main legal domains :

⇒

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 Heritage Code :

Administrative document = compulsory broadcasting

 Education Code

 Research Code

 And others specific cases : respect for private life and image, military secret…

But especially : law on intellectual property

 Intellectual property = protection of the mind’s works

! Ideas or concepts are not protected by themselves, they must be realized

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2/ L EGAL FRAMEWORK OF THE THESIS

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

Two aspects of the intellectual property :

 Industrial property : needs a registration (patents, brands…)

 Literary and artistic property = the copyright is acquired only because of an original work’s creation



Copyright in 2 parts :

 Moral right (eternal) : paternity, respect of the work…

 Property right (until 70 years after the author’s death) : exploitation right of the work

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2/ L EGAL FRAMEWORK OF THE THESIS

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

You are the author of the thesis : you benefit automatically from the copyright and its protection

⇒ protection against plagiarism

⇒ nobody can broadcast your thesis on Internet without your explicit agreement



But you probably have to use in your thesis elements which you are not the author or the only author

⇒

you have to respect the intellectual property and make sure to have the right to use these elements.

Examples : texts but also plans, graphs, photos, reproductions of

art, maps… ₂₇

2/ L EGAL FRAMEWORK OF THE THESIS

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The cases in which the reproduction of a work is authorized :

(with compulsory mention of the author and the source)

 Work of the public domain (70 years after the death of the author)

 Short quotation or analysis (texts)

 Explicit agreement of the publisher / author (see following slides)

 Exception for research (see following slides)

 If you reproduce a work without being in one of these

cases, you cannot insert it into the version of broadcasting of your thesis (but tolerance for the print version)

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2/ L EGAL FRAMEWORK OF THE THESIS

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Explicit agreement of the publisher / author :

Check the licence linked to the work :

broadcasted on websites, see the section Terms and conditions : example of Louvre)

 Creative Commons licences allow reproduction under some conditions

 Possibility to search free for use pictures on a search engine (see the buttons Filters or Tools)

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2/ L EGAL FRAMEWORK OF THE THESIS

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Explicit agreement of the publisher / author :

If necessary, contact the publisher or the author :

 Before any step, check if your case is not covered by the exception for research (see following slides)

 If the work is published, contact the publisher

 If the work is not published, contact the author or his beneficiaries

 You have to get a written agreement for a specific use (for example, non-commercial broadcasting of your

thesis on internet)

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2/ L EGAL FRAMEWORK OF THE THESIS

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The exception for research (specified by the agreement of July 22th, 2016) allows you to broadcast in your thesis,

including on Internet :

 Books and articles (paper or digital, except textbooks) :

reasonable fragments (except short works such as poems, that you can put entirely)

 Textbooks : 4 consecutive pages (within the limit of 10% of the work)

 Printed music : no authorized Internet broadcasting, but

possible intranet broadcasting of 3 consecutive pages (within the limits of 10 % of the work)

 Visual arts : at the most 20 works, definition limited to 400 x 400 pixels, resolution of 72 DPI.

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2/ L EGAL FRAMEWORK OF THE THESIS

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An exception with conditions :



The university has to declare the use of these works to the authors’ representatives



The images cannot be extracted from the thesis



The author of the thesis must not have signed a

contact with a publisher before the on-line publishing

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2/ L EGAL FRAMEWORK OF THE THESIS

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Two possible situations :

1. There is no problem of copyright in your work

In this case, only one version of your thesis :

 version of broadcasting = complete version = printed version given to the jury

2. You do not have all the rights for the reproduced works

In this case, creation of 2 versions :

 a complete version (archiving version), which will be archived at the CINES

 a partial version of broadcasting = version without the problematic elements.

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2/ L EGAL FRAMEWORK OF THE THESIS

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Remark: figures are numbered, captioned, there is the indication of the source. All these elements are resumed in the table of

illustrations.

For a work the author of which you are not:

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Generally, the authors can use the preprint version of their

published article, but the reference and the link to the web site of the publisher must be explicit.

For an article the author of which you are :

2/ L EGAL FRAMEWORK OF THE THESIS

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• Law « Pour une république numérique » (October 9th, 2016) : searchers payed by the State are allowed to put online their articles (post-print version) after an

embargo period of 6 months for hard sciences, and 12 months for social sciences and humanities

• A tool to help you :

https://decadoc.typeform.com/to/W2ZZMV

• Publisher copyright policies : see Héloïse, SHERPA/RoMEO and Dulcinea

For an article the author of which you are :

2/ L EGAL FRAMEWORK OF THE THESIS

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I SSUES RAISED :

1/ Stakes of the electronic deposit 2/ Legal framework of the thesis

3/ How to prepare the electronic deposit 4/ Electronic deposit : instructions for use

37

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3/ H OW TO PREPARE THE ELECTRONIC DEPOSIT

M

ODEL OF TITLE PAGE

(

COMPULSORY

)

http://collegedoctoral.pres-suddefrance.fr/

UPV UM

http://www.umontpellier.fr/recherche/ecoles- doctorales/soutenance-en-doctorat

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

Logos of the Collège doctoral (UPV only) and of your university



Names of your university (UPV only), your Doctoral school and your research team



Disciplinary field



Name and first name of the author



Title of the thesis in French



Date of the PhD presentation



Name of the supervisor of your thesis



Composition of the jury

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T

O PUT NECESSARILY ON THE TITLE PAGE

:

3/ H OW TO PREPARE THE ELECTRONIC DEPOSIT

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 To insert necessarily at the beginning of the document : summary+ keywords in french and in english, then table of contents.

 At the end of the document : appendices, then bibliography (compulsory), and finally table of illustrations and indexes.

 Advise : for the electronic version, avoid blank pages!

3/ H OW TO PREPARE THE ELECTRONIC DEPOSIT

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

Use a header and a footer



Number pages (from the title page to appendices)



Justified text



Use a classic and medium-sized font, with an encoding Unicode (for example Times New Roman, Verdana or Arial, of size 12; avoid certain special characters as the font Symbol of Word)

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I

NSTRUCTIONS FOR THE WRITING

3/ H OW TO PREPARE THE ELECTRONIC DEPOSIT

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

If you draft in a foreign language, you will have to integrate into your thesis a substantial summary in French (approximately 10 % of the length of your thesis)



Case of theses in guardianships : you write your thesis in the language of defense, and you integrate into your thesis a substantial summary in the other language

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L

ANGUAGE OF WRITING

3/ H OW TO PREPARE THE ELECTRONIC DEPOSIT

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

in PDF format (version 1.4 or more).

No other formats (ex. multimedia)



in a single file, unless very heavy file (+ 80 Mo)

 in this case, split the file



Named this way :

[year]_[NAME]_[type of file]

Ex. : 2020_DUPONT_arch

OR 2020_DUPONT_diff ₄₃

E

ACH VERSION OF THE THESIS

(

ARCHIVING AND

/

^OR

BROADCASTING

)

^{HAS TO BE}

:

3/ H OW TO PREPARE THE ELECTRONIC DEPOSIT

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

You can generate PDF directly from Word or OpenOffice



Be careful : for the archiving version, do not put protections (but put protections on the version of broadcasting, if you want to avoid downloads and printings of your document)



Verify your file : http://facile.cines.fr

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T

O KNOW

:

3/ H OW TO PREPARE THE ELECTRONIC DEPOSIT

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T

O VERIFY YOUR

PDF :

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3/ H OW TO PREPARE THE ELECTRONIC DEPOSIT

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I SSUES RAISED :

1/ Stakes of the electronic deposit 2/ Legal framework of the thesis

3/ How to prepare the electronic deposit 4/ Electronic deposit : instructions for use

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4/ E

LECTRONIC DEPOSIT

:

INSTRUCTIONS FOR USE

 The electronic deposit is compulsory for all the PhD students in France (order of May, 25

^th

, 2016)

 Two compulsory deposits : 1st deposit before the defense, 2nd deposit (containing the corrections

wanted by the jury) at the latest 3 months after the defense

 The broadcasting of the thesis is compulsory, at least on the intranet of your university, and possibly after a period of confidentiality

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I

S THE DEPOSIT COMPLUSORY

?

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 The electronic files must be put down on the web site of ADUM (http://www.adum.fr/), in your personal

account

 Printed copies for the jury still exist, but they have no legal value. The official version is the electronic version

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H

OW TO DEPOSIT

?

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LECTRONIC DEPOSIT

:

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1. At the latest 2 months before the defense

In the section « Procédures » on your ADUM account, click on « Je soutiens ma thèse dans les 3 mois » :

 Check all the informations registered on your ADUM account and register all the details about your defense

 Click on « Transmission des données » in the section « Je finalise la procédure »

 In the section « Document administratifs », download and print the documents « Désignation des rapporteurs » and

« Désignation du jury de soutenance », to give to the supervisor of your thesis

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STAGES FOR THE PROCEDURE OF DEFENSE AT UPV

:

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LECTRONIC DEPOSIT

:

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In your ADUM personnel account

Declare the presentation of the thesis

Update all the forms

Register the details of the defense

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LECTRONIC DEPOSIT

:

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2. At the latest 3 weeks before the defense

 Make the 1st deposit of your thesis on your ADUM account

 Download and print 2 copies of the documents « Certificat de conformité avant soutenance » and « Contrat

autorisant l'établissement à diffuser une thèse électronique », to sign and to give to the service of the doctoral studies

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LECTRONIC DEPOSIT

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3. At the latest 3 months after the defense

 Add to your thesis the corrections possibly required by the jury (if no corrections required, the 2nd deposit will be the same as the 1^st one)

 Make the 2nd deposit of your thesis on your ADUM account

 Download and print 2 copies of the documents « Certificat de conformité Dépôt définitif », to sign and the give to the service of the doctoral studies

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LECTRONIC DEPOSIT

:

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1. At the latest 2 months before the defense

In the section « Procédures » on your ADUM account, click on

« Je soutiens ma thèse dans les 3 mois » :

 Check all the informations registered on your ADUM account and register all the details about your defense

 Make the 1st deposit of your thesis

 Click on « Transmission des données » in the section

« Je finalise la procédure ».

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STAGES FOR THE PROCEDURE OF DEFENSE AT UM

:

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LECTRONIC DEPOSIT

:

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Then, in the section « Documents administratifs » on your ADUM account :

 Download and print the documents « Demande

d’autorisation de soutenance » and « Certificat de conformité avec la version de soutenance », and 2 copies of the document « Contrat autorisant

l'établissement à diffuser une thèse électronique »

 All these documents must be signed by the supervisor of your thesis, then give the file to your Doctoral School

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:

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LECTRONIC DEPOSIT

:

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In your ADUM personnel account

Declare the presentation of the thesis

Update all the forms

Register the details of the defense

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LECTRONIC DEPOSIT

:

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2. At the latest 3 months after the defense

 Add to your thesis the corrections possibly required by the jury (if no corrections required, the 2nd deposit will be the same as the 1^st one)

 Make the 2nd deposit of your thesis on your ADUM account

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LECTRONIC DEPOSIT

:

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The certificate of deposit :

Guarantee that the broadcasted electronic file is the same as the thesis presented in front of the jury

Specify if the version of broadcasting is different from the version of archiving (you guarantee that the broadcasted version respects the intellectual property)

Remind the terms of the contract : choice of the

broadcasting’s scope and the use license (rights of copy, recording, printing)

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LECTRONIC DEPOSIT

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The broadcasting contract:

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LECTRONIC DEPOSIT

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

It is registered in catalogs : catalog of the Library, Sudoc, Thèses.fr, other catalogs (DART-Europe…)



It is broadcasted : on the website of the Library, on HAL/TEL if the thesis is broadcasted on internet (for UM and UPV)



Reminder : if auto-archiving on TEL, no possibility of withdrawal for the author. But if the deposit was made by the Library, the withdrawal is possible



It is kept in a long-lasting way : at Cines

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A

ND THEN

,

WHAT HAPPENS TO MY THESIS

?

4/ E

LECTRONIC DEPOSIT

:

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Example of the Sudoc :

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LECTRONIC DEPOSIT

:

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Example of the Library website :

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LECTRONIC DEPOSIT

:

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I NFORMATION AND CONTACTS

Texts et websites :

 Guide du doctorant, on the Abes website :

http://www.abes.fr/Theses/Espace-pour-les-doctorants

http://documentation.abes.fr/aidetheses/thesesfr/index.html#jai-une- question

 Website « Thèses en ligne : mode d’emploi »

http://theses-en-ligne.fr/montpellier

 Guides for defense at UM and UPV :

 https://www.umontpellier.fr/recherche/etudes-doctorales-et- hdr/soutenance-en-doctorat

 https://ed58.www.univ-montp3.fr/fr/procédure-de-soutenances

For legal issues :

http://www.education.gouv.fr/pid285/bulletin_officiel.html?cid_bo=106736

http://eduscol.education.fr/internet-responsable/textes-legislatifs-et-

reglementaires.html ⁷⁰

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Contacts :



For legal issues :

□ Legal service of your university



For administrative issues :

□ Service of the doctoral studies of your university



For the electronic deposit :

 UM : scd-theses@umontpellier.fr

 UPV : theses_elect@univ-montp3.fr ₇₁