Open Access Theses

Until your thesis has been made open access, it is an untapped resource of original research. A thesis under embargo cannot be downloaded or read, significantly limiting the potential impact your research can have.

By making your thesis freely available to the public, you help to advance scholarly discourse in your field. You also make it available to other researchers, students, policy makers, and practitioners, all of whom could build on your research in significant and meaningful ways.

For University of Melbourne graduates, your thesis being open access in Minerva Access results in it being discoverable through Google, Google Scholar, the National Library of Australia’s Trove database, and other platforms.

Making your thesis open access means it can easily be provided as an example of your work and expertise in your chosen discipline, helping to raise your researcher profile.
It can also help to build your impact narrative, spark conversations, and lead to exciting collaborations, both within and beyond the academy. Once open, your thesis can also start gathering views, downloads, shares, and citations – none of which are likely if your thesis remains inaccessible to most potential readers.

Researchers in low- and middle-income countries often face significant barriers when it comes to accessing research. Making theses open access increases the amount of high-quality research available to researchers of the Global South, whose institutions may struggle to afford expensive journal descriptions or costly books (Tennant et al., 2016).

Most major scholarly journal publishers today have clear policies supporting the submission of articles derived from theses or dissertations that are publicly available. In doing so, they are following COPE best practice guidelines that recommend treating theses, like preprints, as not being prior publications for the purposes of publishing. The shift to accepting openly available theses as publications is ongoing, but in the University’s experience it is already very rare that an open access thesis is ultimately a barrier to publication.

Consider the following publisher policy examples:

Elsevier’s policy on prior publication confirms that they do not consider online publication of an academic thesis as prior publication. Like preprints, they are considered prior uses of a work that can be considered for publication. They note, however, that Lancet journals, Cell Press journals, and some society-owned journals have their own policies on prior publication that can be found on the journal homepages.

Likewise, Springer’s journal author FAQ states: “Springer will consider submissions containing material that has previously formed part of a PhD or other academic thesis including those that have been made publicly available according to the requirements of the institution awarding the qualification.” Other Springer Nature imprints have similar policies, confirming that theses are not considered prior (or duplicate) publication – see BMC, SpringerOpen, Palgrave, and Nature.

Sage’s prior publication guidelines follow COPE guidelines and states: “Excerpts or material from your dissertation that have not been through peer review will generally be eligible for publication.”

Taylor & Francis’s Editorial Policies state that the publisher supports “the need for authors to share early versions of their work.” Although the policy does not mention theses or dissertations specifically, preprints and other Author’s Original Manuscript versions can be shared anywhere, without embargo.

Although Wiley’s overarching policies do not mention theses, their Preprints Policy confirms that the publisher will consider submissions already available online as preprints, and allows submitted manuscripts to be shared to preprint servers at any time. Individual journals’ author guidelines often confirm that theses do not count as prior publications. For example, “Articles submitted to Journal of Anatomy are done so on the following conditions: that the work described has not been published previously (except in the form of an abstract or as part of a published lecture or academic thesis)” (Journal of Anatomy Author Guidelines).

Major academic book publishers differ in their approaches to publishing monographs based on theses, but most are happy to consider book proposals based on theses that are available online. Some publishers have strong statements clarifying that open access theses do not present barriers to publication, while others consider matters on a case-by-case basis.

Palgrave Macmillan, for example, provides the following advice on their Early Career Researcher Hub: “Palgrave Macmillan will consider submissions containing material that has previously formed part of a PhD or other academic thesis including those that have been made publicly available according to the requirements of the institution awarding the qualification. Prospective authors should bear in mind that every PhD thesis will need to undergo rigorous revision in order to be published as a monograph with our press.”

Likewise, Cambridge University Press considers theses and dissertations to be preprints, as covered by their Green Open Access Policy. If a monograph is based on a thesis, the policy supports that thesis being shared in full, at any time, under any licence (including a Creative Commons licence).

Some other major publishers, such as Routledge, do not have blanket statements of this kind, but consider requirements on a case-by-case basis. Such publishers will usually take into account university expectations around theses being made open access.

Be aware that some publishers who do not accept open-access theses for consideration as monographs may also ask the author to assign rights that the author does not have, such as requiring the author to assign exclusive rights for all time. Embargoes are only for a limited period, after which the University will exercise its right to make the thesis available; this right cannot be removed by the author and thus cannot be assigned in a publication contract. Some publishers go further, for example requiring that the material has not and never will be used for academic assessment, which means that they cannot consider material such as a thesis that was used in award of a degree.

Creative Commons licences make it clear to authors and readers how a work can be shared and used. University of Melbourne graduates can apply a Creative Commons licence to their thesis in Minerva Access using the following process:

1. Choose a Creative Commons licence that would be suitable for your thesis. See “Selecting a licence for your work” on our Copyright website for guidance.
2. Receive written permission from your thesis supervisor to apply the chosen Creative Commons licence.
3. Email minerva-access@unimelb.edu.au to request your chosen Creative Commons licence be applied to your thesis, attaching the supervisor’s permission.

Note that if your thesis includes publications, you may be restricted in what licence can be applied. Consult your publishing agreement or your publisher’s website for more information. For further advice, contact the University’s Copyright Office.

At the University of Melbourne, it is a requirement of all PhD, Doctorate, and Masters Research candidates that their final thesis is made open access in Minerva Access, unless exceptional circumstances mean that an embargo or ongoing access restrictions are required.

This requirement is outlined in the Graduate Research Training Policy (MPF1321) and the Intellectual Property Policy (MPF1320). The latter policy reads:

4.19. Student theses must be made openly available to the public through the University’s Institutional Digital Repository, unless otherwise agreed with the University (for example where an embargo has been approved by the University). The University is deemed to have been granted by the Student a non-exclusive, royalty free, world-wide and irrevocable licence to use and reproduce the Student theses for non-commercial educational, teaching and research purposes, including making the thesis available to the public through the University’s Institutional Repository.

Students must retain all necessary rights to enable the University to publish and share the thesis and not grant exclusive copyright licence to a thesis to any other person or organisation.

Likewise, our Principles for Open Access to Research Outputs at Melbourne states:

10. Graduate researchers are expected to make their research thesis publicly available via the University’s institutional repository unless otherwise agreed with the University, and to make their thesis available within the University via the repository in all but exceptional cases. Note that the University’s right to publish and share a thesis is irrevocable and cannot be overridden by a private publication agreement.

For information on how to apply a temporary embargo or formally request permanent access restrictions, see the FAQ item below and consult the “My thesis in the library” page.

If you are a University of Melbourne graduate researcher, you may apply a temporary embargo to your thesis or formally request permanent access restrictions when certain criteria are met. Embargoes and access restrictions can also be applied to portions of your thesis, whether this is through the redaction of third-party copyright material or through the embargo or restriction of certain chapters or appendices.

When summitting your final thesis in the Thesis Examination System (TES), you can request a two-year embargo, which will be granted if you meet the required criteria. This can be either an external embargo, where access is limited to interlibrary loans and University of Melbourne staff and students, or a full embargo, where the thesis not available by any means. Full embargo is only granted in highly exceptional circumstances. The two-year embargo period can be shortened, or extended to four years, with the support of your supervisor. Further information on embargoes and embargo criteria can be found on the “My thesis in the library” page.

As covered in the Graduate Research Training Policy (MPF1321), ongoing restricted access arrangements must be approved by the Pro Vice-Chancellor (Graduate & International Research) in consultation with the relevant Dean. Further information, and the restricted access request form, can be found on the “My thesis in the library” page.

Note that applications to have embargoes extended purely for publishing reasons are only granted when extenuating circumstances apply. Requests for permanent access restrictions that are sought to comply with publisher contracts are never granted. In most cases, however, these are not required, as most publishers today understand the requirements for theses to be freely available in institutional repositories.

Yes. Any University of Melbourne graduate who opted to embargo their thesis can choose to release it from embargo early. To end an embargo before its original end date:

1. Check to make sure that ending the embargo early would not conflict with any agreements made with third parties (for example, publishers).
2. Receive written permission from your thesis supervisor to shorten the embargo period.
3. Email minerva-access@unimelb.edu.au to request a change to embargo end date, attaching your supervisor’s permission.

When preparing a thesis with publications, candidates should follow the guidelines on the “Incorporating your published work in your thesis” and “Submitting my thesis” pages, as well as the “Preparation of Graduate Research Theses Rules.”

If your publication is still in review and has not yet been formally accepted for publication, you should include the submitted manuscript in your thesis.

Once accepted for publication, or published, you should use the Author Accepted Manuscript (AAM) – the final manuscript accepted for publication after peer review and revisions.

Final published versions can only be included when you have explicit permission to do so and when it does not conflict with your publishing agreement. Final PDFs can be always used for open access publications carrying Creative Commons licences.

It is important to check publisher policies to determine which version can be shared and whether an embargo is required. In the absence of policies pertaining specifically to inclusion in online theses, candidates should follow policies governing what can be shared in institutional repositories. These policies should be available on journal or publisher websites and may be referred to as open access policies, sharing policies, or self-archiving policies. For journal articles, the Sherpa Romeo deposit policy register can be used to determine sharing policies and embargo requirements.

Also note that some publishers offer specific permissions to include Author Accepted Manuscripts (AAMs) or final published versions in theses. For example, the publisher Sage allows the final PDF of a candidate’s article to be included in their thesis and made available online. Their Author Archiving and Re-Use Guidelines states: “You may use the Final Published PDF (or Original Submission or Accepted Manuscript, if preferred) … in your dissertation or thesis, including where the dissertation or thesis will be posted in any electronic Institutional Repository or database.”

For more information, see the “My thesis in the library” page, along with the advice contained on the Copyright Office’s “Copyright and your thesis” page. The “Declaration for publication incorporated in a thesis” form can be found on the “Submitting my thesis” page.

Some theses contain information that cannot be made public, such as confidential or private data, or third-party copyright material where permission to publish has not been obtained. In these cases, it may be necessary to submit a redacted version of your thesis with third-party copyright content removed. You would then be submitting two copies:

• The original, examined thesis, which will be archived (not available for online public access).
• A redacted “public access” copy, with non-compliant material removed (ensure you maintain page number integrity).

Guidelines on how and when to seek permissions, recording copyright statuses, and redacting copyright material can be found on the “Copyright and your thesis” and the “My thesis in the library” pages. For more information, please consult the Copyright Office.