Theses and Dissertations Copyright at Carleton University

All Carleton University graduate students are required to submit a copy of their thesis to Carleton University’s institutional repository CURVE, where it will be made available to the public. In certain circumstances a students may request that the thesis be temporarily embargoed (withheld) from publication by writing the Vice Provost (Graduate Studies) for permission. Submission into CURVE requires that you sign a non-exclusive license that gives Carleton University the rights necessary to make the thesis available to the public. Further details can be found in section 12.7 and 12.8 of the Graduate Calendar. You are personally responsible for ensuring that your thesis complies with Canadian copyright law, and the Carleton Thesis License requires that you confirm that you have done so.

You will also have the option to deposit your thesis through the Theses Canada program at Library and Archives Canada.

In both cases, you keep the copyright to your thesis. The text of both these licenses can be viewed here: https://library.carleton.ca/copyright/licenses-theses.

Copyright is the sole and exclusive right of a copyright owner to control their work. This includes the right to produce, copy, perform, publish, adapt, translate and telecommunicate including posting online, sending by email, etc., and to control the circumstances in which others may do any of these things.

Copyright law in Canada protects a wide range of works. Producing, copying, performing, publishing, adapting, translating and telecommunication a “substantial” part of someone else’s copyrighted work is copyright infringement, unless you fall within one of the exemptions set out in the Copyright Act; or you have written permission from the copyright owner.

What is considered a “substantial” part of a work depends on numerous factors, including:

• the work,
• the quantity of what is being copied,
• whether what (the portion) is being copied forms a material or essential part of work, and
• what purpose the copied portion will be put to.

It is commonly understood that, for most purposes, copying more than a few sentences of a literary work, a few words of a short poem, a few bars of music, or a few seconds of a film is a “substantial” portion of the work. Also, copying any important part of a painting, graph or table, etc., is a “substantial” portion of a work.

Copyright protection comes into effect as soon as a work is created and put in some fixed form; there is no requirement that the work be registered, or that the word “copyright” or the symbol © appear on the work. Accordingly, works that are publicly available on the internet (such as images found via Google) are treated the same way under copyright law as materials distributed in any other way. In Canada, generally speaking, copyright expires 70 years after the death of the author, regardless of who holds the copyright.

This means that if you have started writing your thesis, then your draft is already protected by copyright, which gives you control over the ways in which it can and cannot be legally used by others. At the same time, this also means that you need to think very carefully about how you are using the works of others, and about whether you will need permission to quote from or include these works in your thesis.

For more information about copyright in general, please see Copyright Definitions and FAQ.

Fair dealing is one of the user rights in the Copyright Act that allows any person to make a copy of a copyrighted work without permission under certain circumstances. In order for fair dealing to apply to your use of others’ works in your thesis, the copying must be for one or more of the following purposes: research, private study, education, satire, parody, criticism, review, or news reporting; and the copying must be fair.

When using copyrighted works in a thesis, such copying is primarily for the purposes of research, criticism, and/or review. Any fair dealing for the purpose of criticism or review must mention the source and, if given in the source, the name of the author or creator of the work. Fair dealing should never be used merely for illustrative purposes or enhancing the aesthetics of the thesis. The third-party copyrighted materials must be used for the fair dealing purposes listed above.

Sometimes you may hear that “copying for research or educational purposes is always fair” but this can be a misleading oversimplification. While there are no objective criteria, or concrete definitions of what is fair in the Copyright Act, some guidelines derived from court decisions are below.

To determine whether a particular instance of copying may be considered “fair” for the purposes of fair dealing, the Supreme Court of Canada has stated that all relevant factors need to be considered, including the following, which comprise what is sometimes referred-to as the “six-factor” fair dealing test:

1. the purpose of the proposed copying, including whether it is for research, private study, education, satire, parody, criticism, review or news reporting;
2. the character of the proposed copying, including whether it involves single or multiple copies, and whether the copy is destroyed after it is used for its specific intended purpose;
3. the amount of the dealing from the individual user’s perspective, including the proportion of the work that is copied and the importance of that excerpt in relation to the whole work; this is often referred to as a “short excerpt” and must contain no more of the work than is required in order to achieve the fair dealing purpose;
4. alternatives to copying the work, including whether there is a non-copyrighted equivalent available;
5. the nature of the work, including whether it is published or unpublished; and
6. the effect of the copying on the work, including whether the copy will compete with the commercial market of the original work.

There is no specific Canadian case law on how the six-factor test would apply to use of third-party content in theses that are freely distributed on the Internet, or what kind of copying would be permitted. The CAUT Guidelines for the Use of Copyrighted Material is a useful resource to learn about the six-factor test and to help determine if using others’ works in your thesis might be considered fair. For more information on fair dealing in general, including the University’s approach to determining whether something is a “short excerpt”, please see Carleton University’s Fair Dealing policy which can be found here.

In summary, if you believe your use of others’ work in your thesis is “fair” according to the six-factor test, then you do not need to ask for permission to use it. If your use of the work would not be “fair”, then you must seek permission to use it. As a graduate student, you are responsible for the content of your thesis and, thus, for determining whether your proposed use of copyrighted works qualifies as fair dealing or whether you need to seek permission. The University is unable to provide you with legal advice in this regard. Carleton University Library offers workshops and consultation to support graduate students in the application of these guidelines. Contact [email protected] to book a consultation.

Because the University requires you to submit your thesis to CURVE (which means that it is published online) and offers you the option to submit your thesis to Library and Archives Canada, it is important for you to understand that any improper use of fair dealing by you may constitute copyright infringement and risks exposing you, and the University, to legal liability from a work's rightsholders.

In addition, you may wish to publish your thesis (or parts of it) in an academic journal. Please note some publishers may not be satisfied with copyright works used under fair dealing and may require authors to obtain permission for third-party copyrighted materials prior to publication.

Seek permission if your thesis contains any of the following and you are unsure if the work can be used pursuant to fair dealing, as described in the previous section:

1. Images of any form that have been obtained from copyrighted sources. This includes any tables, figures, maps, graphs, photographs, screenshots, drawings, logos, video screen captures, etc. that have been obtained from websites, newspapers, journals, books, brochures, professors’ lecture notes, etc.
   • Since you will typically be using the whole of the copyrighted image (as opposed to a small portion of the image), you should be particularly careful in undertaking your fair dealing analysis or obtain permission before including it in your thesis.
   • Altering an image does not necessarily remove the need to seek permission nor change the fair dealing analysis. Common alterations include cropping, re-sizing, modifying colours, and annotating with text, arrows, and other visual call-outs.
   • Keep in mind that just because something is freely available on the web does not necessarily mean that you have permission to reproduce it. Always check if there are Terms of Use or copyright licence information on the website where the image was found.
   • When using images from the web, try to find the original source of the image as that is where the copyright and credit information will be found.
2. Long quotations or excerpts from any one source. Common sources of quotations include books, academic journals, newspapers, magazines, short stories, plays, and poems.
3. Articles or parts of articles that you wrote and previously published in a journal to which you assigned copyright. Academic publishing agreements commonly require authors to assign their copyright to the publisher. Check the contract you signed with the publisher to verify your rights.
4. Material co-authored with others. Each co-author shares copyright and must consent to your use of the work if you are seeking permission to use it.
5. Scripts and recordings of any performance.
6. Translations of copyrighted work.
7. Testing instruments such as standardized tests, questionnaires, forms, and surveys.

Important: This list is not exhaustive. If your use of copyrighted material is not described above, that does not necessarily mean that you do not need to undertake a fair dealing analysis or to seek permission. If you have questions, contact [email protected] to book a consultation.

Seeking permission is a straightforward process, but obtaining responses from copyright owners can take a long time. You are strongly encouraged to send out your permission requests as early as possible.

1. Check if permission is already given through a statement, or a licence such as the Creative Commons licence or the Open Government Licence. This is typically found in the front matter of a book, or the bottom of a website. It’s worth reading the Terms, Rights & Permissions, or Copyright links to see if your use is already permitted. If such permission exists, note any requirements you must meet (format for giving credit, linkbacks etc.).
2. Identify the Copyright Owner - Often you will be able to identify the owner somewhere on the work by looking for the copyright symbol ©, which should have the copyright owner’s name next to it. You’ll often find this at the beginning of a book, at the side of a photograph or at the bottom of a web page. If you cannot identify the owner, contact [email protected] for assistance.
3. Permission from Individuals - If the copyright owner is an individual, then the next step is to email or write to that individual, explaining how and why you want to use the work and requesting permission. The permission should be in writing; an email message will suffice. It’s also a good idea to keep a record of who gave the permission, what was permitted, the date, and how to contact the person who gave the permission. (For more information about what information to include in your permission requests, see the next section of this guide.)
4. Permission from Commercial Publishers - If the copyright owner is a commercial publisher, the fastest course of action is often to search for the work in question at the Copyright Clearance Center (CCC). The CCC handles permissions for a large number of publishers, and permission to include material in theses can often be obtained through the CCC website swiftly and at no cost. If you cannot obtain permission through the CCC, then the next step is to check the publisher’s website. Many publishers will require that you submit your request directly to their permissions department, while others will require that you use an online form. When you arrive at the website, look for a link such as “Rights and Permissions” (or something similar), then read through the available information to determine the correct method for requesting permission.
5. Permission from Journals - If the copyright owner is an academic journal (or an academic association/society that publishes a journal), then you may be able to obtain permission through the Copyright Clearance Center (CCC), as discussed above. If permission is not available through the CCC, then you should check the journal’s website, which may provide one or more of the following:
   • Advance permission for specific uses.
   • Advance permission to journal authors who have signed over copyright.
   • Information on how to request permission.
   • Information on uses that are specifically prohibited.
   • If you can’t locate any information about copyright and permissions on the journal’s website, then visit the website of the company or organization that publishes the journal.
6. Permission for material on the web - If permission to use copyrighted material is given on a website, then print out or save an electronic copy of the web page that states this and keep it for your records. If the date is not included, make note of it. Saving a link to the page is not sufficient, as the link may break .or the content of the website may change.

Proof of Permission - You should keep copies of all letters and forms granting you permission to use copyrighted material. These copies are for your own records; do not include them in your thesis or dissertation. As mentioned above, email permissions are acceptable. The best possible proof of permission is an original signed letter on the copyright owner’s letterhead. Originals are best, though scanned copies work well too.

Remember - the copyright holder does NOT have to give permission and can ask for a fee. Make sure your letter is polite and that you are asking for, and not demanding, permissions. The wrong approach can generate a quick “no” or an expensive “yes”.

1. Introduce yourself clearly - Tell the copyright owner that you are a graduate student preparing a thesis or dissertation for submission as part of the requirements for your degree at Carleton University.
2. Identify the work you are seeking permission to use - Give standard reference information for the work you wish to use, including figure/table number, if any, and page numbers. You should briefly describe the context in which you propose to use the work in your thesis.
3. Tell the copyright owner where their work will be distributed - that your thesis will be publicly available in Carleton University’s online digital repository, and if you will be granting non-exclusive licences to Library and Archives Canada so that the thesis will be available through Theses Canada. Provide links to CURVE and, if using, Theses Canada.
4. If you are planning to publish your thesis, or a work based on your thesis, as a journal article, book or book chapter, you may be tempted to ask for permission for that use at the same time. As publishers require a different set of permissions than those required for a thesis in an institutional repository, you may need to make this request separately once the decision to publish in another venue is definite.
5. Request a reply by a given date – but do not wait until the last minute for this request. Give the copyright holder plenty of time to decide. Permissions can take weeks or months.
6. Offer to send the copyright owner a copy of your completed work.
7. Keep copies of request letters and all correspondence with the copyright owner.

If you are unable to obtain permission or there is an unreasonable charge for obtaining permission:

• Assess whether the figure/quotation/image/etc. is necessary. If it’s not advancing your argument or crucial to an explanation, consider removing it completely.
• If it is necessary, consider replacing the material with a different work for which permission is either obtainable or not required (such as works that are covered by Creative Commons licenses or that are in the public domain).
• If you must use that material, your thesis must still be as complete as possible. Omitting material is only acceptable if you are denied permission, if an unreasonable fee will be charged for use of the material, or if you receive no response from the copyright owner after making a concerted effort at contact. You must discuss this with your thesis advisor and Graduate Studies https://gradstudents.carleton.ca/.

If you have removed copyrighted material from your thesis and not replaced it, typically, you must insert the following:

• A statement that the material has been removed because of copyright restrictions.
• A description of the material and the information it contained, plus a link to an online source, if one is available.
• A full citation of the original source of the material. For example: Figure 3 has been removed due to copyright restrictions. It was a diagram of the apparatus used in performing the experiment, showing the changes made by the investigating team. Original source: Wu, G. and Thompson, J.R. (2008) Effect of Ketone Bodies on Dairy Cattle. Biochem J. 255:139-144.

The brief description of the removed figure is important, as it gives the reader a chance to follow the thesis argument without needing to look up the actual figures. If possible, including a link to an online source is also very useful.

Typically, when you reproduce or adapt copyrighted figures, graphs, images, maps, photographs, tables or similar, you should include the citation as a caption. Follow your chosen citation style. Each citation should include the copyright symbol, name of the copyright owner (who may or may not be the author), and, if applicable, a statement that the use of the material or adaptation is by permission of the copyright owner.

Examples of direct citations to copyright owners:

• Image title (© 2001 Jane Doe, by permission)
• Graph Title (© 2003 John Smith, adapted with permission)
• Poem Title (© 2005 Jane Doe, by permission)
• Testing Instrument Title (© 2007 Company Name, by permission)

Citations from published works should follow your chosen citation style (e.g., APA, MLA, etc.) but include reference to the specific page. Examples of sources from published works:

• Table 1 from © Author, A., Author, B., & Author, C. (2007). Book
• Title. City: Publisher. Page 45. By permission from publisher.
• Figure 4.1 from © Author, A., Author, B., & Author, C (2009).
• Article Title. Journal Title, 38(2), 186-204. Page 191. Adapted with permission from publisher.
• Photo Title from © Author, A. & Author, B. (2012, May 5). Title of Web Article. Website Title. Retrieved from URL. By permission from author.

Sometimes copyright owners will ask you to use a specific wording in your citation. If so, it’s important to follow their instructions exactly, word for word.

Otherwise, craft your citations in accordance with your degree program’s preferred style guide. If you are unsure about which style guide to use, ask your supervisor. If you need help with using a particular style guide, check out the Library’s Citing Your Sources guide or contact the Research Specialist for your discipline:

This is briefly described in Uploading The EXAMINATION Copy of Your Thesis/Dissertation Step 4, Section B of Graduate Students Electronic Thesis Deposit page.

Contributor Documents for a regular thesis are any copyright permissions letters. If you do not have permission letters because you are using fair dealing or because the permission is already granted (CC licenses, publisher permission to re-use material in a thesis etc.) then you do not have Contributor Documents to add.

Contributor Documents for an integrated thesis:

• Include both copyright permissions letters, and statements detailing the contribution of the thesis author.
• Copyright permission letters are the same as for a regular thesis but note that if there are co-authors, each must provide a copyright permission letter.
• Contribution statements from the supervisor and student are included in the preface of the thesis; but statements from co-authors are separate Contributor Documents. This is detailed in chapter 12.4, sections C and D of the Graduate Calendar .

Supplementary files are supporting material that does not fit into the thesis itself. It can include code, extensive tables, datasets, raw data, questionnaires, surveys, maps and primary material. Most theses do not have supplementary files. Discuss with your supervisor what should be included in your thesis, what should be added as a supplemental file and what should be stored elsewhere. There are only a limited set of file formats that can be accepted by the ETD system. Check the Supplemental Files section of the ETD page for details.