Academic Dissertation Publishers

Once your thesis, dissertation, or manuscript has been accepted by the Graduate Division, it is submitted for publication to the UCSF Library and to ProQuest/UMI where it will become available to other academic institutions and to the general public.


The following information was taken from the Proquest/UMI Guide F2009.

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 Still, even if not peer-reviewed, the editorial process that turns your graduate work into a book is likely to change it substantially.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.

Requests for Delayed Publishing

Classified or Confidential Material

Occasionally there are special circumstances when a student does not want all or part of the dissertation to be published. Such circumstances may involve disclosure of patent rights before a patent is granted, disclosures of facts about persons or institutions that violate professional ethics regarding protection of confidentiality or other circumstances that would be detrimental to the rights of the author. In such cases, the dean of the Graduate Division may permit the entire thesis, dissertation, manuscript or an appendix to be held for a specified period of time, usually not longer than one year. This is called a "publishing embargo."

All requests for a publishing embargo must be made to the dean of the Graduate Division. This request should come in the form of a letter from your graduate advisor, PI, or the chair of your thesis, dissertation, or manuscript committee. Unless there are extreme circumstances, the maximum length of the embargo request should not exceed one year. Please email these requests to Ellen Levitan, together with the letter from your advisor or PI. The graduate dean will review your request and the Graduate Division will let you know if your request has been approved or not.

A publishing embargo is usually granted for reasons involving intellectual property or patent filing issues. If this is the reason for requesting the embargo, you should provide as much detail as possible about what is involved, what stage you are at in the patent process, and what needs to be accomplished to complete the patent application or process.

The Graduate Division does not automatically approve embargoes strictly for the purpose of providing additional time to prepare published works, but if there are extenuating circumstances involved (i.e. you are in the patent application process) then this will be taken into consideration.

Time/Deadline Considerations

All requests for embargoes add some time to the dissertation filing process. This is especially important to consider if you are near the end of the term deadline for filing your dissertation. Your request will take at least some time to be reviewed and approved, and the time required to gather additional details from you or others, may bring the actual acceptance date of the dissertation past the end of the deadline for that term. This, in turn, would delay your degree conferral date until the end of the following term, which would require that you be re-registered in that following term in order for the dissertation to be accepted.

Copyright
To retain the exclusive right to reproduce, publish, or sell your work you must copyright the material. To copyright your work, you must include in your thesis, dissertation, or manuscript, a copyright page, which directly follows the title page, and bears the following notice at the center of the page just above the bottom margin:

Copyright (year)
by
(Your name as it appears on the title page)

However, in order to protect your rights in a dispute or to be compensated for damages caused by infringement, you should register your copyright with the Library of Congress. Students may designate UMI to act as their agent in registering the copyright. UMI will file the appropriate forms, submit the fee, and provide a copy to the Library of Congress. If you wish to have UMI register your copyright you may elect to do so during the submission process. You may also register the copyright yourself by paying the registration fee and following the directions provided by the Library of Congress.

Using Previously Published Materials

With the approval of the thesis, dissertation, or manuscript committee and your graduate program, published materials may be accepted as part of the master's thesis, doctoral dissertation, or DPTSc manuscript when:

  • The publication(s) represents research or scholarship comparable in scope and contribution to the portion of the standard thesis or dissertation it replaces.
  • The published material is substantially the product of the student's period of study at UCSF and was primarily conducted and written by the student.

Note:

  • An introduction showing the historical development, methods used, and result is required. This may be summarized if already part of the published material.
  • The usual preliminary pages are required for a thesis, dissertation, or manuscript that includes previously published material. The acknowledgment page of your preliminary pages should include a reference to the publication in which the material originally appeared.
  • The published material and preliminary pages must meet all other formatting requirements for the thesis, dissertation, or manuscript.

Multiple Published Papers
If several papers from the thesis, dissertation, or manuscript have been published they may be used as individual chapters. Conventional thesis, dissertation, or manuscript chapters may be combined with published papers in the thesis, dissertation, or manuscript. Theses, dissertations, or manuscripts at press should be treated as published papers.

Co-Authors
If the published material lists a co-author, and the co-author is the person who directed and supervised the research, then only the student's name is listed as the author in the preliminary pages. However, the acknowledgment page should state: “The text of this thesis/dissertation/manuscript is a reprint of the material as it appears in ______________ (name of publication). The co-author listed in this publication directed and supervised the research that forms the basis for the dissertation/thesis.”

If the published material lists co-authors other than the research advisor, a statement from the research advisor clarifying what work the student completed should be included in the acknowledgment page. This statement should also explain how the work is comparable to a standard thesis or dissertation.

See more information on formatting your thesis, dissertation, or manuscript. Or see general information on submitting these documents.

There are a number of items to consider as you prepare to submit your graduate work.

If your university does not participate in ProQuest Dissertation and Theses Dissemination program, you can still submit your work to us; use this form to request a publishing agreement.
 
Preparing your manuscript for submission

Depending on the method supported by your graduate school, you will submit your manuscript in one of three ways:

  • As a PDF file through our online submission tool (preferred), ETD Administrator
  • Via your university delivering the files to ProQuest via another electronic means (typically via FTP)
  • As a paper copy we will digitize

Regardless of your submission method, there are several things that you can do to optimize your manuscript.  Please see the Preparing Your Manuscript Guide for further information.

Author Agreement

Authors enter into a non-exclusive publishing agreement with ProQuest, where the author keeps the copyright in their graduate work. Authors are paid a 10% royalty for sales in all formats. See the full traditional publishing agreement for the details.

Inclusion of other people's copyrighted material

Including material produced by other authors in your dissertation or thesis can serve a legitimate research purpose, but you want to avoid copyright infringement in the process. Republishing someone else's work, even in abbreviated form, requires permission from the author or copyright owner. You must receive permission from the author(s) and include it with your submission before we can publish it in your dissertation or thesis.

For more detailed guidance on avoiding copyright infringement, please see our Copyright Guide. In addition, Dr. Kenneth D. Crews, a Professor at Indiana University's School of Law, has kindly given us permission to provide a PDF copy of his booklet Copyright and Your Dissertation or Thesis: Ownership, Fair Use, and Your Rights and Responsibilities. It provides a detailed overview of copyright law that no new dissertation author should miss.
 
Optional Copyright Registration at Participating Institutions

If you live in the United States, registering for U.S. copyright can be a significant benefit for the protection of your work because of the availability of content on the open web via repositories and other avenues. For only $55, you can protect your dissertation or master’s theses 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 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.

At ProQuest, we make copyright registration easy—by submitting your application to the United States Copyright on your behalf and providing you with the certificate from the Library of Congress. Once your dissertation is published, a permanent link to your citation is created for your curriculum vitae and to refer scholars to your work.

Registering with the U.S. Office of Copyright establishes your claim to the copyright for your dissertation (which you already own) and provides certain protections if your copyright is violated. If you wish, ProQuest 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. We will prepare an application in your name, submit your application fee, deposit the required copy or copies of the manuscript, and mail you the completed certificate of registration from the Library of Congress.
 
Embargo Options

ProQuest Dissertation and Theses Dissemination program offers a number of mechanisms that can help address concerns about prior publication and its potential to impact future publishing opportunities. The following statement explains in detail how we assist author’s with prior publication concerns.

Who can submit their dissertation?

ProQuest welcomes graduate (post-graduate) works from all countries. As long as your work is a Master's Theses or PhD Dissertation / Thesis, ProQuest is able to accept the work. In the United States, ProQuest's policy is to accept master's theses and dissertations from all institutions which have been accredited by one of the six regional accrediting bodies (Middle States Association, New England Association, North Central Association, Northwest Association, Southern Association and Western Association) for inclusion in the ProQuest Dissertations & Theses database. Regional accreditation means that the accredited institutions are eligible for membership in the Council of Graduate Schools, which is the standard by which the United States higher education community judges itself. Master's theses and dissertations from independent medical and law schools accredited by the AMA and ABA are also accepted. Learn more.

2013-2014 Agreement Forms (United States)

2013-2014 ProQuest Dissertation Publishing Paper Submission Agreement (PDF)

 

2017-2018 Agreement Forms (United States)

2017-2018 ProQuest Dissertation Paper Submission Agreement
2017-2018 FTP/CD ProQuest Dissertation Submission Agreement

2017-2018 Agreement Forms (Outside United States and Canada)

2017-2018 AFTA ProQuest Dissertation Submission Agreement

2017-2018 Subject Guides

ProQuest Subject Categories 2017-2018 Academic Year

ProQuest Subject Categories 2017-2018 Academic Year (French)

ProQuest Subject Categories 2017-2018 Academic Year (Spanish)

Contacting ProQuest Dissertation Dissemination

If you have any questions that are not answered here or elsewhere on the ProQuest website, you can contact our Author and School Relations team directly at 1-800-521-0600 ext. 77020 or via email at disspub@proquest.com.

 

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