Published Articles as Dissertation Chapters

Previously Published, Accepted, and Submitted Articles as Chapters of a Dissertation

In the case where students use a previously published, submitted, or accepted article as one or more chapters of their dissertation, the following rules apply. 

Each previously published reprint and accepted or submitted article (or chapter as an article prepared for publication) is treated as a separate chapter. The dissertation must have a general abstract that covers all components. A general introduction and general conclusion are recommended. If a dissertation incorporating previously published articles as chapters is selected, references must be placed at the end of each chapter—not at the end of the manuscript. Each set of references may follow a different style guide, depending on the journal in which the chapter is published or will be published. Table titles and figure captions must be locally numbered. 

Copyright issues frequently arise with previously published material. Students need to obtain permission to duplicate copyrighted material (and, possibly, multiple author releases). A full credit line (stating “Reprinted with permission from” followed by the source) must be placed on the part-title page preceding a reprint or as a footnote on the first page of a chapter that contains a previously published article that has been reformatted to the University of Utah’s format requirements outlined herein. 

For all previously published chapters, permission to reuse or reprint or adapt must be provided by the student to the Thesis Office. Releases from coauthors must also be provided, even if the coauthors are members of the student’s committee or even if the student is the leading author. 

Reprints

Reprints (published article pages inserted as images on the pages of the manuscript) are acceptable. However, some departments require that previously published articles be reformatted to match all other chapters. Check with your department and committee to see if they accept the use of reprints. 

Reprints are preceded by a part-title page. The chapter title must match exactly the title of the journal article. The part-title page must include the attribution required by the publisher. The reprints are accepted as they are except that they must fit within the thesis margins and manuscript pages must be numbered consecutively with the rest of the text. All other chapters (whether accepted, submitted, or in preparation) must fit University of Utah guidelines, as specified in the handbook (margins, subheads, figure and table placement, etc.). 

In the List of Figures and List of Tables, figures and tables from reprints are treated as if they are numbered with respect to the rest of the text. A local numbering scheme must be used. For example, in the List of Figures, the first figure in Chapter 5, which is a reprint, is listed as 5.1. 

The requirement that all print be at least 2 mm does not apply to reprints. The text may be smaller than that as long as the words, figures, and tables are of sufficient resolution to remain crisp. 

Students using reprints should check the accessibility of the document and make adjustments to the document to make sure that it is accessible to screen readers.

As for any other thesis or dissertation, students are urged to submit their manuscripts prior to the defense for a preliminary review.