ETD Administrator - My ETDs - Submit my ETD http://www.etdadmin.com/cgi-bin/student/pubOpt?siteId=121;submissionId=179074[1/15/2013 1:45:59 PM] My Dissertations/Theses List Submit my ETD My Profile Help Submission steps: Publishing information: Instructions Publishing options ProQuest/UMI agreement University agreement Contact information About my dissertation/thesis: Dissertation/Thesis details PDF Supplemental files (optional) Notes (optional) Submission & payment: Register U.S. Copyright Order copies Shipping address Submit My ETDs Resources & Guidelines PDF Conversion Publishing Options Select the publishing options below that best fit your interests and scholarly publishing obligations. Required fields are marked with an asterisk (*). For assistance, consult your graduate school, and read our Publishing Guides . Select Type of Publishing * Traditional Publishing View agreement I want to make my work widely available and I want to be eligible to receive royalties on the sale of my work. I understand that I must maintain a current mailing address with ProQuest/UMI in order to be eligible to receive royalties. I understand that ProQuest/UMI does not charge a fee for Traditional Publishing. I understand that my graduate institution may require fees in association with my submission to ProQuest/UMI. Open Access Publishing PLUS View agreement I want the broadest possible dissemination of my work, and I want to provide free global access to the electronic copy of my work via the internet. I understand that I will not be eligible to receive royalties. I understand that the ProQuest/UMI fee for Open Access Publishing PLUS is $95.00 USD. I understand that my graduate institution may pay all or a portion of the total fee as well as may require additional fees in association with my submission to ProQuest/UMI. Select Publishing Options I want major search engines (e.g. Google, Yahoo) to discover my work. * Learn more Yes No Access options (e.g., delaying the release of your work) If you choose to delay the release of your work, access to the full text of your work will be delayed for the period of time that you specify. The citation and abstract of your work will be available through ProQuest and may be available through your institutional repository. Note: Most institutions have delayed release (or embargo) policies. Please consult with your Graduate School for more information. ETD Administrator Signed in as: Leanne Cribbs My Profile Sign Out
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My Dissertations/Theses List Submit my ETD My Profile Help
Submission steps:
Publishing information:
Instructions
Publishing options
ProQuest/UMI agreement
University agreement
Contact information
About my dissertation/thesis:
Dissertation/Thesis details
PDF
Supplemental files (optional)
Notes (optional)
Submission & payment:
Register U.S. Copyright
Order copies
Shipping address
Submit
My ETDs Resources & Guidelines PDF Conversion
Publishing Options
Select the publishing options below that best fit your interests and scholarly publishing obligations. Required fields are marked with an asterisk (*).
For assistance, consult your graduate school, and read our Publishing Guides.
Select Type of Publishing *
Traditional Publishing View agreement
I want to make my work widely available and I want to be eligible to receive royalties on the sale of my work.
I understand that I must maintain a current mailing address with ProQuest/UMI in order to be eligible to receive royalties.
I understand that ProQuest/UMI does not charge a fee for Traditional Publishing.
I understand that my graduate institution may require fees in association with my submission to ProQuest/UMI.
Open Access Publishing PLUS View agreement
I want the broadest possible dissemination of my work, and I want to provide free global access to the electronic copy of my work via the internet.
I understand that I will not be eligible to receive royalties.
I understand that the ProQuest/UMI fee for Open Access Publishing PLUS is $95.00 USD.
I understand that my graduate institution may pay all or a portion of the total fee as well as may require additional fees in association with my submission to
ProQuest/UMI.
Select Publishing Options
I want major search engines (e.g. Google, Yahoo) to discover my work. * Learn more
Yes
No
Access options (e.g., delaying the release of your work)
If you choose to delay the release of your work, access to the full text of your work will be delayed for the period of time that you specify. The citation and abstract of your
work will be available through ProQuest and may be available through your institutional repository.
Note: Most institutions have delayed release (or embargo) policies. Please consult with your Graduate School for more information.
Restrict from Google/search engines and harvesters
See your institution's technology transfer or research officer. Consult with your advisor and graduate dean.
Likely submission to a peer-reviewed journal
Interested/potential interest by an academic or commercial press
Ethical need to prevent disclosure
Patentable rights in the work/ other commercial potential
University Policies
Many universities enforce explicit policies regarding the delayed release (embargo) and/or restriction
of dissemination of dissertations and thesis. These policies may also apply to the delay or restricted shelving
of a copy of your work in the university library. Such policies serve the scholarly convention of sharing one's
research with others. Simply put, you are not contributing to your field or to general knowledge if others
cannot examine the results of your scholarly work.
When you instruct us to embargo or restrict dissemination of your dissertation or thesis, we assume that you
are complying with the policies of your institution.
University policies generally require that you petition for permission to embargo or restrict the dissemination
of your dissertation or thesis. You will need to substantiate the reason for your request, and receive approval
from the required persons and/or authorities. Considerations that are likely to be deemed reasonable for
granting permission to embargo and/or restrict dissemination include:
Patentable rights in the work or other issues in which disclosure may be detrimental to the rights or
interests of the author.
The ethical need to prevent disclosure of sensitive or classified information about persons, institutions,
technologies, etc.
The interest of an academic or commercial press in acquiring the rights to publish your dissertation or thesis
as a book*.
Content that is likely to be submitted to a peer-reviewed journal*.
Your Decisions
We provide you additional choices about dissemination and restriction that your university may not be
concerned about, as long as you are fully informed of your options. These involve the extent to which you
make your dissertation or thesis available to non-academic readers, through our own distribution channels,
third-party distributors, and major search engines such as Google and Google Scholar.
PQ/UMI® Guide F2009
VII
For example, if you wish your work to be available to the largest potential population of interested
readers, both general and academic, you would choose Open Access Publishing with immediate release, opt to
have it available through third party retailers for sale to the non-academic reader, and not restrict access by
Google and other search engines. You will choose this option if you feel that society has an interest in and a
right to view the results of the research it supports by funding higher education. You should not choose this
option if considerations such as those described above would make such wide access a detriment to your
scholarly, professional, or personal future.
Internet search engines are quickly becoming a key tool for all of academia, and we believe graduate
works should be easy for researchers to find. Therefore, if you need to limit dissemination of your work, you
will need to exclude it from the data that we provide to select internet search engines. We provide you the
ability to "opt out" of such exposure through the Publishing Agreement. PLEASE NOTE, however, that internet
search engines are likely to find your dissertation or thesis through other access points, especially
through the library or institutional repository at your graduate institution. If you truly need exclusion
from search engines, you will need to petition for restriction at your graduate institution in addition to
restricting such access through ProQuest/UMI
*Publishing with UMI® Dissertation Publishing: Effects on publishing your content elsewhere
The first thing to remember is that YOU own your copyright; unlike most scholarly publishers, ProQuest/UMI
does NOT acquire copyright when we publish your dissertation or thesis. You are free to re-publish your work
in whole or in part, with whomever you choose without asking our permission.
Some authors are concerned that journals and other publishers will not accept content that has been
published in or as a dissertation or thesis. This concern is less valid in the case of peer-reviewed journals, and
potentially more valid in the case of commercial book publishers. While every case is unique, here are some
general rules of thumb in examining this issue with regard to your own work:
In most cases, you will not be submitting your dissertation or thesis as is to a peer-reviewed journal
(unless it is a journal that publishes a monograph series). Most often, the content submitted for journal
publication is an excerpt, chapter, or section of your dissertation or thesis. At the very least, it would be a
significantly shorter distillation of your graduate work. The content is likely to be rearranged and
reformatted to fit the style of the journal to which you submit. Finally, the content is likely to be revised
and updated through the peer-review process and finally the editorial process if it is accepted. All of these
processes mean that the material as finally published by a journal is substantively and substantially
refined and therefore different from the content that is published as your dissertation or thesis. For this
reason, journals are not historically concerned about your content having appeared and been distributed
as a published graduate work. This is particularly true in the STEM disciplines (science, technology,
engineering, and mathematics).
Academic presses, monograph publishers, and commercial presses are more likely to consider your
dissertation or thesis as a book. This is more often the case with the humanities, social sciences, and
arts. Still, even if not peer-reviewed, the editorial process that turns your graduate work into a book is
likely to change it substantially. The key in this consideration is whether the content changes
substantively; i.e., is there a real difference in the content that makes the press comfortable with
investing its resources in producing a book from your dissertation/thesis. Historically, presses have not
been terribly concerned that distribution of your graduate work would harm potential sales as a book.
However, as dissertations and theses have become widely available over the internet through libraries,
consortia and institutional repositories as well as from our subscription database, more presses may look
more carefully at the question of marketability.
PQ/UMI® Guide F2009
VIII
As with exercising caution around open access, you should seek the advice of well-established mentors in
your field if you feel that your future ability to publish dissertation/thesis content might be jeopardized by
wide dissemination. If you decide that it might, you will want to take one or more of the precautions shown in
the table above.
Loyola University Chicago Libraries Loyola eCommons 1032 W. Sheridan Rd. | Chicago, Illinois 60660 p (773) 508-2632 libraries.luc.edu | ecommons.luc.edu
NON-EXCLUSIVE DISTRIBUTION LICENSE and DISSERTATION/THESIS AVAILABILITY AGREEMENT
By signing and submitting this license, you, “the author,” grant to Loyola University Chicago the non-
exclusive right to reproduce and distribute your submission online in electronic format via Loyola
eCommons, as well as the right to migrate or convert your submission, without alteration of the content, to
any medium or format for the purpose of preservation and/or continued distribution.
Loyola University Chicago acknowledges that this is a non-exclusive license; any copyrights in the submission remain with the author or other copyright holder and subsequent uses of the submitted
material by that person(s) are not restricted by this license.
Loyola will make the submission available using a Creative Commons "Attribution / Non-commercial / No
derivative works" license, which means that your work cannot be used commercially or changed in any way by others, and any authorized use must be properly attributed. Your submission will also be
accompanied by a copyright statement indicating the author’s continuing rights. Loyola will take all
reasonable steps to ensure that the author’s name remains clearly associated with the submission and that
no alterations of the content are made. (For more on Creative Commons licenses, see
http://creativecommons.org/licenses/.)
The author agrees that Loyola University Chicago may keep more than one copy of this submission for
purposes of security, backup and preservation.
The author represents that the submission covered by this license is his/her original work and that he/she
has the right to grant this license to Loyola University Chicago. The author further represents that the
submission does not, to the best of his/her knowledge, infringe upon any third-party’s copyright. If the
submission contains material for which the author does not hold copyright, the author represents that he/she
has obtained the unrestricted permission of the copyright holder to grant this license, and that such third-
party material is clearly identified and acknowledged within the text or content of the submission. In the
event of a subsequent dispute over the copyrights to material contained in this submission to Loyola, the
author agrees to indemnify and hold harmless Loyola University Chicago and its employees or agents for
any uses of the material authorized by this license.
If this submission is based upon work that has been sponsored or supported by any agency or organization
other than Loyola University, the author represents that he/she has fulfilled any right of review or other
obligation required by contract or agreement with the supporting entity.
* You may wish to consult with your faculty advisor before choosing an embargo option, as your selection
may impact any future publications based on your thesis or dissertation. If you wish to restrict access to your
submission for more than two years, you must obtain permission from the Graduate School for all PhD, M.A,
and M.S. degrees, or the School of Education for all EdD degrees.
My Dissertations/Theses List Submit my ETD My Profile Help
Submission steps:
Publishing information:
Instructions
Publishing options
ProQuest/UMI agreement
University agreement
Contact information
About my dissertation/thesis:
Dissertation/Thesis details
PDF
Supplemental files (optional)
Notes (optional)
Submission & payment:
Register U.S. Copyright
Order copies
Shipping address
Submit
My ETDs Resources & Guidelines PDF Conversion
Register U.S. Copyright
At ProQuest, we make copyright registration easy - by submitting your application to the United States Office of Copyright on your
behalf and providing you with the certificate from the Library of Congress. Registering your copyright via ProQuest is the fastest and
most efficient method currently available.
How to take advantage of our copyright service:Registering with the U.S. Office of Copyright establishes your claim to the copyright for your dissertation/thesis and providescertain protections if your copyright is violated. Because of the availability of content on the open web via repositories and other
avenues, registering for U.S. copyright can be a significant benefit for the protection of your work. By registering for U.S. copyright,
you can protect your dissertation or thesis and become immediately eligible for statutory damages and attorney fees. Registering for
copyright allows for the claimant to receive statutory damages set out in Title 17, Section 504 of the U.S. Code, which range from
$750 - $150,000 USD plus attorney fees per copyright infraction. This contrasts with those who do not register for copyright - authors
without copyright registration can claim only actual damages and no attorney fees.
If you wish, ProQuest/UMI Dissertation Publishing will act on your behalf as your agent with the United States Copyright Office and
apply for copyright registration as part of the publishing process. Learn more
We will:
Prepare an application in your name
Submit your application fee
Deposit the required copy or copies of the manuscript
Mail you the completed certificate of registration from the Library of Congress
1. Previous U.S. Copyright RegistrationHas registration for your published dissertation/thesis, or for an earlier version of the manuscript, been made with the Copyright
Office?
Yes - copyright was previously filed No
2. Requesting ProQuest/UMI to file for U.S. Copyright Registration
Do not file for copyright - I am requesting that ProQuest/UMI not file for copyright on my behalf.
File for a new copyright - I am requesting that ProQuest/UMI file for copyright on my behalf.
I understand that an additional fee of $55.00 (USD) will be charged.
I authorize ProQuest/UMI to submit an application for registration of my copyright in the Work in
my name. I will receive the registration confirmation directly from the U.S. Office of Copyright.
If I have previously registered my published dissertation/thesis, or an earlier version of the
manuscript with the U.S. Office of Copyright, I have provided the registration number and year of
• Registration establishes a public record of the copyright claim.
• Before an infringement suit may be filed in court, registration is necessary for works of U.S. origin. If made before or within five years of publication, registration establishes prima facie evidence in court of the validity of the copyright and of the facts stated in the certificate.
• Registering for copyright allows for the claimant to receive statutory damages set out in Title 17, Section 504 of the U.S. Code, which range from $750 – $150,000, plus attorney fees, per copyright infraction
• If registration is made within three months after publication of the work or prior to an infringement of the work, statutory damages and attorney's fees will be available to the copyright owner in court actions.
• Also, registration allows the owner of the copyright to record the registration with the U.S. Customs Service for protection against importation of infringing copies.
Source: United States Copyright Office websitehttp://www.copyright.gov/help/faq/mandatory_deposit.htmlhttp://www.copyright.gov/title17/92chap5.html#504
Avoiding Copyright Infringement in Your Dissertation or Thesis Copyright law protects "original works of authorship" that are "fixed in any tangible medium of expression." Legal use, without permission, of copyrighted work is limited to "fair use" of the work. Educational and research use is not necessarily "fair use", especially if the work is published, as your dissertation or thesis will be with ProQuest/UMI and as (hopefully) many of your future journal articles or books will be. You may be better off acquiring permission to use the work in question from the start, or to figure out how not to use material of questionable copyright in your dissertation or thesis. The table here, taken from Crew's book, shows general guidelines for determining whether the age, authorship, and status of a work means that it is, or is not likely to be copyrighted. At the end of this section is a sample permission letter (again, taken from Crews) that will satisfy our requirements for using material under another copyright in your dissertation or thesis.
Creation/Publication of the Work General Rule of Duration Created in or after 1978 by a named author acting in an individual capacity, whether published or not.
Life of the author, plus seventy years.
Created in or after 1978 by an anonymous or pseudonymous author, or by a corporate author, or a work-made-for-hire.
The earlier of either ninety-five years from publication, or 120 years from creation.
Created before 1978, but not published.
The later of either seventy years after the death of the author, or through December 31, 2002. The expiration date is extended through December 31, 2047, if the copyright owner publishes the work before the end of 2002.
Published after 1922 and before 1978 with a copyright notice and renewed if required. Ninety-five years from the date of original publication.
Created and published before 1923. Copyright has expired.
The following are the kinds of materials that we might expect to see accompanied by a permission letter if they appear in your manuscript, or that may cause us to contact you regarding permission or other resolution. You are responsible for obtaining proper permissions for all material used within your work.
Long quotations from pre-existing materials that extend for more than one and one-half single-
spaced pages.
Reproduced publications. Examples include copies of standard survey instruments or questionnaires and journal articles. This applies even if you are the author of the original work, as the original publisher may have acquired copyright.
Unpublished materials. Extensive reference to unpublished works raises a variety of issues
about copyright and about privacy and access to collections.
Poetry and Music Lyrics. Fair use for highly creative works is relatively limited. Lengthy excerpts will raise critical questions. Some publishers require permission for all quotations from poems.
Dialogue from a play, screenplay, broadcast, or novel. While fair use is relatively narrow for
creative and fictional works, it should allow brief quotations in the context of scholarly critiques. Music. Excerpts in your dissertation should be brief and should be closely tied to your research
objectives. Graphic or pictorial works. The material should be closely related to your research objectives,
tied to critical analysis, and not supersede the market for the original.
Computer Software. Dissertations embodied in new media, such as on a website or on CD-ROM, may incorporate reader programs or other application software to make the new work accessible or useful. Reproducing such programs to accompany your dissertation will almost invariably require permission. Consult any license agreement that may apply to the programs, and prepare to seek permission from the copyright owner. "Shareware" is also not necessarily freely available for copying. Shareware is a protected work made available under generous or lenient licensing terms; read the license carefully before integrating the program into your dissertation.
Sources located on the Internet. Easy availability does not change copyright status. Materials
on the Web are protected by copyright just as if they appeared in a book or on tape.
Because of the availability of content on the open web via repositories and other avenues, registering for U.S. copyright can be a significant benefit for the protection of your work. For only $55, you can protect your dissertation or master’s thesis and become immediately eligible for statutory damages and attorney fees. Registering for copyright allows for the claimant to receive
PQ/UMI® Guide F2011
VIII
statutory damages set out in Title 17, Section 504 of the U.S. Code, which range from $750 – $150,000, plus attorney fees, per copyright infraction. This contrasts with those who do not register for copyright – authors without copyright registration can claim only actual damages and no attorney fees.
Sample Permission Letter for Use of Previously Copyrighted Material Modified from Crews, Kenneth D. 2000. Copyright Law & Graduate Research: New Media, New Rights, and Your New Dissertation http://www.proquest.com/products_umi/dissertations/copyright/
[Letterhead stationery or return address]
[Date]
[Name and address of addressee]
Dear _______:
I am completing a doctoral dissertation at __________ University entitled "__________." I would like your permission to reprint in my dissertation excerpts from the following:
[Insert full citation and description of the original work.]
The excerpts to be reproduced are: [insert detailed explanation or attach copy].
The requested permission extends to any future revisions and editions of my dissertation, including non-exclusive world rights in all languages, and to the prospective publication of my dissertation by ProQuest through its UMI® Dissertation Publishing business. ProQuest may produce and sell copies of my dissertation on demand and may make my dissertation available for free internet download at my request. These rights will in no way restrict republication of the material in any other form by you or by others authorized by you. Your signing of this letter will also confirm that you own [or your company owns] the copyright to the above-described material.
If these arrangements meet with your approval, please sign this letter where indicated below and return it to me in the enclosed return envelope. Thank you very much.
Sincerely,
[Your name and signature]
PERMISSION GRANTED FOR THE USE REQUESTED ABOVE:
__________________________ [Type name of addressee below signature line]
1. Be sure to include your return address, telephone and fax numbers, and date at the top of the letter.
2. Spare no effort in confirming the exact name and address of the addressee. Call the person to confirm the copyright ownership.
3. State clearly the name of your university and your dissertation's title. 4. Describe precisely the proposed use of the copyrighted material. If necessary or
appropriate, attach a copy of the quotations, diagrams, pictures, and other materials. If the proposed use is extensive, such as the general use of an archival or manuscript collection, describe it in broad and sweeping terms. Your objectives are to eliminate any ambiguities and to ensure that the permission encompasses the full scope of your needs.
5. The sample signature form at the end of the sample letter is appropriate when an individual grants the permission. When a company, such as a publishing house, is granting permission, use the following signature format:
PERMISSION GRANTED FOR THE USE REQUESTED ABOVE:
[Type name of company]
By: ________________________________
Title: ______________________________
Date: ________________
6. For More Information about Permissions. Various organizations grant permissions for certain works. For example, the Copyright Clearance Center offers a "Republication Licensing Service" that may prove helpful: www.copyright.com.