Copyright LibGuide

Concerns about Prior Publication for Dissertations

Students planning to publish their dissertation as a book or article often wonder if publishers will view an open-access, full-text dissertation as a prior publication. Dissertations that are later developed into books or journal articles are often extensively revised, resulting in a final publication that is significantly different from the original dissertation. In these cases, most publishers are unlikely to view an open-access ETD as prior publication. However, students should proceed with caution. If they intend to publish their dissertation and are concerned about open access being seen as prior publication, they should consult prospective publishers in advance.

Please read for additional details on this subject.

• An Investigation of ETDs as Prior Publications: Findings from the 2011 NDLTD Publishers’ Survey
• Electronic theses and dissertations as prior publications: what the editors say

Prior Publication for Dissertations: Things to consider 

Research Publisher Policies:

• Since publication policies vary widely and not all publishers have explicit policies on Electronic Theses and Dissertations (ETDs), students should investigate each prospective publisher’s stance on prior publications. This information can often be found on the publisher’s website or by contacting the editorial office directly.

Consult with Potential Publishers Early

• If you are concerned that making your dissertation open access might be seen as prior publication, reach out to potential publishers before submitting the dissertation to an online repository. Discuss your intent to publish and inquire about any restrictions related to open-access ETDs.

Plan for Significant Revisions

• Most dissertations are revised considerably when converted into books or journal articles, often resulting in a new, distinct work. Publishers generally do not consider an open-access dissertation as prior publication if substantial revisions differentiate it from the final published version.

Consider an Embargo

• Students who anticipate publishing their dissertation and are concerned about prior publication can request an embargo period, during which the full text will remain inaccessible. Typical embargo durations are 6 months, 1 year, or 2 years, though some institutions may allow longer periods upon request.

Reusing your own published research articles

If you have prior publications that you intend to incorporate into your dissertation, such as including a journal article as a chapter, you should review the publishing agreement or consult the publisher’s website to understand their policies on reusing material in a dissertation. Many agreements permit authors to include their article in a thesis or dissertation, but it’s essential to review and understand the rights you retain upon signing. If you plan to use an article as part of your dissertation, you may also negotiate with the publisher at the time of submission to secure the right to reuse it. 

Things to Consider

Publisher Permissions:

• Most journals require authors to retain permission to reuse published work in a thesis or dissertation, often subject to certain conditions. Check your publishing agreements or contact the publisher directly to confirm you have the right to include the article in your dissertation.

Proper Citation:

• Even though it’s your own work, it's essential to properly cite the previously published material in the dissertation. Reference the article as it appeared in the journal, including the journal name, publication date, and other relevant citation details. This maintains academic integrity and helps readers trace the original source.

Formatting and Consistency:

• Since published articles may follow different formatting styles, you may need to adjust the article to ensure consistency with the rest of the dissertation. This may involve updating figures, tables, and referencing styles, as well as modifying sections to maintain cohesion in the dissertation.

Self-plagiarism:

• This leads to the presumption that research publications may not be used for future works by the same author after they are published. In theory, reusing your own research publication and content is subject to the same guidelines as reusing other authors' data and material.