Fair Use
Material included in a thesis or dissertation that exceeds fair use requires permission of the copyright owner. Although a thesis or dissertation is primarily nonprofit and educational in purpose and character, there is generally no fair use if an entire previously copyrighted work (published or unpublished) is reproduced. A statement from the copyright owner giving the student permission to use the material must be submitted with the thesis or dissertation. It is the student’s responsibility to secure all necessary permissions before e-filing their thesis or dissertation.
Permission letters/emails for theses and dissertations must state that the copyright owner is aware that the requested permission extends to any future revisions and editions of the thesis or dissertation, including nonexclusive world rights in all languages, and to the prospective publication of the thesis or dissertation by ProQuest.
Permission letters/emails should be uploaded via ProQuest’s website at the same time as e-filing the thesis or dissertation. Students may contact ProQuest to inquire about any aspect of the review and the possible need for copyright permissions at (800) 521-0600, ext. 7020.
For more information and sample permission letters please read the “Copyright Law and Graduate Research” document.
Copyright
Copyright protection exists from the moment your manuscript is created. Placement of the copyright notice in the proper form and place on published copies of the manuscript is not required, but recommended as a means to protect the material. Whether or not a notice of copyright is affixed to the manuscript, students retain the right to publish all or any part of it by any means at any time. See a sample thesis or dissertation for proper formatting of the copyright notice.
In order to enforce copyright (in case of infringement), a copyright must be registered with the United States Copyright Office. Copyright registration is a legal formality intended to make a public record of the basic facts of a particular copyright. Copyright registration helps protect against infringement of the author’s intellectual and property rights. Since decisions by others whether or not to copy a manuscript are often guided by the existence of a registered copyright, prudence dictates that students register the copyright soon after publication.
Students may have ProQuest register their copyright for a fee. Students can choose this option during the electronic filing process. Although ProQuest acts as a publisher, students are not assigning ProQuest the copyright; ProQuest holds no copyrights to the thesis or dissertation. The contract gives ProQuest reproduction, sales, and distribution rights, but authors retain control of the work’s intellectual content.
Students also have the option to register the copyright directly through the U.S. Copyright Office.
Graduate Council Thesis & Dissertation Policies
Co-authorship, Previously Published Material, Copyright, and Acknowledgements
The thesis, dissertation, or equivalent (hereafter called the capstone) may include chapters or other segments that involve co-authored work, if allowed by the department and appropriate for the discipline. In cases of coauthorship, the student’s capstone committee’s approval will be taken as certification that the student’s individual contributions are sufficient for the capstone requirement. The acknowledgements or introductory portion of the capstone should clearly detail the role and contributions of the student in coauthored works.
Published, accepted, or in preparation for publication works are included in this policy. To the extent possible, graduate programs should offer guidance about the expectations for co-authorship or single authorship in formal policies. Whenever conflicts arise over collaborative authorships, Graduate Council urges the parties involved to resolve their conflict on the basis of professional ethics, integrity and fair play
A capstone is expected to conform to appropriate copyright laws. If portions have already been published or presented in copyrighted form, the student must obtain the appropriate permissions from the copyright holder(s). Previously published material must be acknowledged appropriately, as established by a discipline or by the original publication agreement. Published material included in the capstone should be substantially the product of the student’s period of study at UCSB; the student’s capstone committee’s approval will be taken as certification of this requirement.
The acknowledgements portion of the capstone should include acknowledgement of funding sources.
Policy on Open Access Theses and Dissertations
This policy applies to all graduate students who prepare theses or dissertations within the University of California system. The University of California (“University”) is committed to disseminating research and scholarship conducted at the University as widely as possible. This policy requires theses or dissertations prepared at the University to be (1) deposited into an open access repository, and (2) freely and openly available to the public, subject to a requested delay of access (“embargo”) obtained by the student.
Review the UCOP Policy on Open Access Theses and Dissertations here.
Embargo/Delayed Release
Students may choose to delay the release (embargo) of their ETD due to a pending patent, publication, or other reason. An embargo of 6 months, 1 year, or 2 years may be requested directly via ProQuest at the time of electronic submission. UCSB requires students obtain approval from their Committee Chair and the Graduate Division Dean when requesting to embargo their ETD for a period longer than 2 years. An Embargo Request Form must be completed and submitted to the Graduate Division if requesting to delay release of the manuscript for longer than 2 years.
Please review ProQuest’s Embargoes and Restrictions for helpful information.