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Directrices para la presentación de tesis doctorales en la UPV con resultados previamente publicados
Doctoral School Regulations Institutional Tesis Doctoral Directrices para la presentación de tesis doctorales en la UPV con resultados previamente publicados  ...

The Spanish regulation (Real Decreto 99/2011 28/01/2017), which regulates the official doctoral studies, indicates in article 14.5 that, once successfully defended, the doctoral thesis must be deposited in electronic format in the institutional repository. This implies the public dissemination of the thesis through a platform (RiuNet) of the UPV.

Although the Universitary Student Statute (Real Decreto 1791/2010, 30/12/2010) states that the intellectual property of the thesis belongs to its author, it is necessary to take into account that the previous publication of results in editorials assumes the assignment of certain rights, established in the corresponding contract, which may affect the conditions of dissemination of the thesis document. Therefore, depending on the format of the thesis, the following aspects must be taken into account in the preparation of the final version:

Thesis with classical format

Shall the thesis include contents (text, figures, tables, etc.) that have been included in a published article, the appropriate permission must be obtained from the publisher for its inclusion in the thesis, according to the contract signed with the publisher and rights granted.

Thesis by compendium of articles

The thesis presented by compendium of articles must meet UPV regulation about doctoral studies in its article 11 "Doctoral thesis", point 4-e:

Those doctoral theses that opt ​​for the incorporation of articles (compendium of publications) must attach the document of acceptance of the coauthors agreeing to the presentation of the article as part of the thesis, and their express resignation to present the same article as part of another doctoral thesis.

These theses must meet the following structure:

  1. Introduction / objectives
  2. Chapters corresponding to the publications adapted to the format of the thesis
  3. General discussion of results
  4. Conclusions

The original format of the publication will not be accepted for the chapters corresponding to published articles, in order to avoid possible copyright problems.

When the thesis includes articles or book chapters published (or, eventually, under revision), and prior to the presentation of the thesis, editorial policies regarding open dissemination should be taken into account.

Recommended reading when choosing where to publish.

The editorial policies found regarding the dissemination in repositories of publications respond to four cases:
  1. The publisher allows the author to spread from his repository the preprint "author's version", that means the article before having been revised
  2. The publisher allows the author to publish from his repository the postprint "author's version", that is, the article before being edited by the publisher, but already reviewed and knowing the volume and the number where it will be published. This version coincides with UPV requirements
  3. The publisher allows the author to disseminate from his repository, the post-print version "editorial version", that is, the article with the format already published. This version is not authorized by the Regulations.

In addition, in any of these three cases the permission of the publisher may require a period of embargo before its dissemination.

  1. The publisher does not allow the broadcast in any format.

According to Doctorat rules of study ), the report of the doctoral thesis in this format includes the chapters corresponding to the publications adapted to the format of the thesis: postprint "author version". Therefore, when the thesis includes articles / chapters corresponding to cases 1, 3 and 4, they must be adapted for its inclusion in the doctoral thesis, respecting the editorial requirements for open dissemination, with the formal modifications that are necessary and counting with the corresponding permissions of the publishers, in order not to conflict with the rights declared in the contract of publication.

The articles or chapters included in the thesis must include the complete reference first page of the corresponding chapter. When the chapter corresponds to the adaptation of a published article, next to the complete reference, it will be indicated that it is an adaptation for the thesis. In the event that the article or chapter is being reviewed, it must be indicated, together with the title of the journal where it is sent.

When the thesis does not contain any article in postprint format "author version" that requires a period of embargo, it will be published directly in the UPV repository (RiuNet) in open access and can be consulted freely. When the thesis contains articles in postprint format "author version" that requires a period of embargo, previous to its open broadcast, the thesis will be stored in RiuNet. RiuNet although its open broadcast will be delayed to the last date of release of the articles included in author format.

In case of doubt, in relation to the embargo dates or the policies of publishers, you can consult the information available in PoliScience, where you will find information about copyright, usage licenses, magazine policies, addenda to request authorization to publishers and similar topics. In addition, the UPV library offers a counseling service through its channel called ""La Biblioteca Responde" (The library answers)" or through the telephone number indicated on its website.


Acuerdo de la Comisión Permanente del Comité de Dirección de la Escuela de Doctorado de 19 de noviembre de 2014.

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