Regulations for awards (research degrees): Section F

Section F: Regulations for the Award of PhD by Publication

The following regulations govern the specific rules for award for the degree of Doctor of Philosophy by Publication. They should be read in conjunction with the General Regulations Governing all Research Degrees.

This award may only be offered in Schools where published guidelines exist, that have been through validation and subsequently been approved by the University Research Committee and the Senate.

F1. The Award

F1.1.1 Doctoral degrees are awarded to candidates who have demonstrated:

• The creation and interpretation of new knowledge, through original research or other advanced scholarship, of a quality to satisfy peer review, extend the forefront of the discipline, and merit publication.
• A systematic acquisition and understanding of a substantial body of knowledge which is at the forefront of an academic discipline or area of professional practice.
• The general ability to conceptualise, design and implement a project for the generation of new knowledge, applications or understanding at the forefront of the discipline, and to adjust the project design in the light of unforeseen problems.
• A detailed understanding of applicable techniques for research and advanced academic enquiry. 

F1.1.2 Typically, holders of the qualification will be able to:

• Make informed judgements on complex issues in specialist fields, often in the absence of complete data, and be able to communicate their ideas and conclusions clearly and effectively to specialist and non-specialist audiences.
• Continue to undertake pure and/or applied research and development at an advanced level, contributing a substantial body of work to the development of new techniques, ideas or approaches.

F1.2 PhD by Publication

F1.2.1 The PhD by Publication is awarded to a candidate who has:

• Submitted a series of peer-reviewed academic papers, books, cited works or other materials that have been placed in the public domain as articles that have been published, accepted for publication, exhibited or performed, prior to enrolment.
• Presented a substantial commentary linking the published work, putting it in context and outlining its coherence and significance in terms of knowledge creation
• Demonstrated the acquisition and utilisation of research skills equivalent to those of a traditional PhD student.
• Included a literature review in the submission.
• Successfully presented and defended the body of work by viva examination to the satisfaction of examiners.

F2. Thesis length

F2.1 The work as a whole should be equivalent in length or volume to the work required for a full Doctoral thesis.

F2.2 It is expected that the majority of publications presented will be recent.

F2.3 Examples of work which might be suitable for PhD by Publication could include:
Four or five articles which have been published in quality academic journals;
One or more academic books, chapters, monographs, scholarly editions of a text.

F2.4 The text of the commentary should be a minimum of 15,000 words (excluding references and appendices). 

F3. Period of enrolment

F3.1 Candidates must submit their work at the end of the permitted period of enrolment. Failure to do so will lead to a termination of the candidate’s registration on the grounds of non-submission.

F3.2 PhD by Publication candidates are not permitted to apply for additional time or a writing-up period. 

F3.3 Interruptions are not normally available to PhD by Publication candidates, but they may apply in very exceptional circumstances.

F4. Admission criteria  

F4.1 In addition to the general criteria, normally the minimum level of attainment required for entry is:

• A body of published work which, prima facie, is appropriate for the award of a Doctorate; AND
• A Master's degree from a UK University or equivalent, normally with a classification of merit or distinction, in a discipline appropriate to the proposed programme to be followed; AND
• An upper second class honours degree from a UK university in a discipline appropriate to that of the proposed programme to be followed; AND
• Appropriate research or professional experience at postgraduate level, which has resulted in published work, written reports or other appropriate evidence of accomplishment.

F5. Final thesis examination

F5.1 Final thesis examination 

F5.1.1 A PhD by Publication candidate shall be examined by at least two external examiners and one internal examiner who has undergone University training for the role. 

F5.1.2 The examination for PhD by the publication route has two stages:

• The submission of the actual publications with a commentary and an abstract.
• Its defence by viva examination. 

F5.1.3 On referral, the requirement for a viva examination is at the discretion of the examiners. However, the examiners may not recommend that a candidate fail without holding a second viva examination.   

F5.2 Recommendations Following Examination: 

F5.2.1 Following examination including a viva examination, the examiners may recommend:

• Award (without amendments).
• Award subject to the completion of editorial, presentational and minor corrections. The revised submission must be presented to the satisfaction of the internal examiner only, normally within one month from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made. Any further editorial corrections, given as an outcome of the revised resubmission, must be completed within 2 weeks from the date of the notification of the outcome of the examination.
• Award subject to minor amendments. The resubmission addressing all amendments must be completed to the satisfaction of the internal examiner within three months from the date of the notification of the outcome of the examination. No award will be conferred unless the internal examiner is satisfied that all corrections have been made.
• Referral to complete major amendments. The candidate may be required to make amendments to the commentary and/or possible additions to the publications.  Any additions must be from a body of work published prior to enrolment for the award. The resubmission addressing all amendments must be completed to the satisfaction of all examiners within six months from the date of the notification of the outcome of the examination. On receipt of the resubmitted work, the examiners reserve the right to require a further viva examination.
•  Fail so that the candidate is not awarded a degree.