Royal Decree 99/2011 of January 28, which regulates official doctoral studies, states in Article 14.5 that, once the doctoral thesis has been approved, it must be deposited in electronic format in the institutional repository. This implies the open dissemination of the thesis through a platform (RiuNet) of the UPV.
Although according to the University Student Statute (Royal Decree 1791/2010, of December 30, approving the Statute) the intellectual property of the thesis belongs to its author, it must be taken into account that the prior publication of results in publishing houses implies the assignment of certain rights, established in the corresponding contract, which condition the open dissemination of the thesis document. Therefore, depending on the format of the thesis, the following aspects must be taken into account when preparing the final report:
– Thesis with classic format
If the thesis includes contents (text, figures, tables, etc.) that have been included in a published article, permission must be obtained from the publisher for their inclusion in the thesis, depending on the contract signed with the publisher and the rights assigned.
– Thesis by compendium of articles
The thesis presented as a compendium of articles must take into account the provisions of the Regulations for doctoral studies at the Universitat Politècnica de València.
The editorial policies found with respect to the dissemination of publications in repositories correspond to the following cases:
- The publisher allows the author to disseminate from its repository the preprint “author’s version“. This is the item before it has been revised.
- The publisher allows the author to disseminate from its repository the postprint “author’s version“. This is, the article before being formatted by the publisher, but already revised and knowing the volume and number where it will be published. This version coincides with that required by the Regulations for Doctoral Studies at the Universitat Politècnica de València.
- The publisher allows the author to disseminate from its repository the version postprint “editorial version“. This is the article in the format already published. This version is not authorized by the Regulations.
- The publisher does not allow open dissemination in any format.
In any of the first three cases, the publisher’s permission for open publication may require an embargo period prior to open dissemination.
According to the Regulations for Doctoral Studies at the Universitat Politècnica de Valencia, the doctoral thesis report in this format includes the chapters corresponding to the publications adapted to the format of the thesis: postprint “author’s version“. Therefore, when the thesis includes articles/chapters corresponding to cases 1, 3 and 4, they must be adapted for inclusion in the doctoral thesis, respecting the publisher’s requirements for open dissemination, with the necessary formal modifications and with the corresponding permissions from the publishers, so as not to conflict with the rights declared in the publication contract.
The articles or chapters included in the thesis must include the complete reference of the same on the first page of the corresponding chapter. When the chapter corresponds to the adaptation of a published article, together with the complete reference, it should be indicated that it is an adaptation for the thesis. If the article or chapter is under revision, this should be indicated, together with the title of the journal to which it has been submitted.
When the thesis does not contain any article in format postprint “author’s version” which requires an embargo period, will be published directly in the repository (RiuNet) where it will be archived in open access and can be freely consulted. When the thesis contains articles in format postprint “author’s version” that require a period of embargo, prior to open dissemination, the thesis will be archived embargoed in RiuNet. RiuNet will assign to the complete thesis a date, indicated by the doctoral student, for its open dissemination. This date must coincide with the last release date of the articles included in author format.
In case of doubt, in relation to seizure dates or publisher policies, please consult the information available at PoliScience where you will find information about copyrights, licenses for use. The UPV Library also offers an advisory service on the subject through its “Self-archiving” channel. In addition, the UPV Library offers an advisory service in this regard through its “The Library Responds” or by calling the telephone number listed on their website.
Agreement of the Standing Committee of the Steering Committee of the Doctoral School of November 19, 2014.