PhD by Publication criteria for candidacy

PhD by Publication

The PhD by Publication enables the approved candidate to submit their previously published work as the equivalent to a thesis submission for the award of a PhD. The PhD by Publication must include works of an equivalent quantity and quality to that expected for the award of a PhD by thesis submission. If an applicant does not have the equivalent quantity of published work, it is possible to supplement with new (supervised) research which would be considered as PhD by part published work and part thesis.

As well as standard academic or creative publications, ‘published work’ may include performance, exhibition, installation, media of various kinds as defined in relevant regulations and policies, provided that it is made available in an appropriate recorded format. See PGR award requirements.

The published work submitted must be formally published by the date of registration; works not yet submitted for publication are ineligible for submission.

In all cases, a written critical analysis should accompany the published work (or Practice as Research submission), as well as a statement outlining the contribution the published work makes to the relevant field(s).

The total PhD by Publication thesis submission should be equivalent to the standard thesis requirements for the degree of Doctor of Philosophy.

The maximum period of study, pre-submission of thesis, for PhD by Publication is normally six months. However, the Executive Dean or nominee can exceptionally permit a period of up to twelve months (particularly if greater supervisory input is required for the written critical analysis).

Criteria for candidacy

A candidate for the degree of Doctor of Philosophy by Publication must be either:

• a graduate of this University, or
• a current member of staff of the University and its partner institutions, or
• have been a member of staff of the University and its partner institutions within the past 12 months, and have published work of a nature and depth consistent with the doctoral level research and/or practice.

Current members of staff applying for candidacy for PhD by Publication, who also meet the requirement to be considered a staff candidate in regulation 4.44 will need to be examined in accordance with that regulation.

Application process

To apply for admission to PhD by Publication candidature, a potential candidate must consult with the Head of the relevant academic Department/School and submit to them their evidence of published work, which is of a nature consistent with the award of the degree of Doctor of Philosophy, as well as their accompanying critical analysis or plans to develop the critical analysis under the supervision of an appointed supervisor/supervisory team.

Advice can be sought from the PGRE Team.

The Head of Department will make a recommendation to the Executive Dean, or nominee, outlining the potential candidate’s eligibility (or ineligibility) for admission to the PhD by Publication, to include:

• a list of the publications or other outputs on which the assessment for the degree is to be based, accompanied by the Head’s assessment on the suitability of the submitted work. The quality of the publisher/venue/outlet(s) (i.e. scholarly journals, scholarly texts, curated productions) within which publications or other outputs have been published and the timeliness of the research must be included in the assessment, as part of the recommendation
• the supervisor(s) to be appointed to support the writing of the critical analysis and advise the candidate on the inclusions of published work and coherence of the body of research work
• a recommendation regarding the duration of registration (based on the extent of additional preparatory work required pre-thesis submission).

The Executive Dean or nominee will determine whether the intended submission is of sufficient quality and quantity to meet the criteria for PhD by Publication.

Pre-submission requirements for accepted PhD by Publication candidates

The Head of Department or nominee shall recommend for approval by the Faculty Dean Postgraduate the names of two examiners, one of whom shall be an external examiner.

This recommendation could be made at the time of recommending candidacy or during the period of registration but should not normally be made later than two months before the expected date of the submission of the work to be examined.

Examination arrangements for PhD by Publication

Candidates for the award of PhD by Publication must attend a viva, except when the Executive Dean or nominee may, on sufficient grounds submitted by the examiners, excuse a candidate from the viva.

The examination and viva for staff candidates is conducted by two external examiners appointed by the Executive Dean or nominee. The Executive Dean or nominee shall also appoint an Independent Chair for the viva examination of all staff candidates.

Otherwise, the examination follows the same process as a standard PhD examination. 

Examination outcomes

The examiners for a submission by publication may recommend any result available in regulation 4.42.

The following examination results are available for a PhD by Publication.

For the degree of Doctor of Philosophy:

• pass
• pass subject to minor corrections to the summary
• resubmission of published work on one further occasion only
• award of Master of Philosophy
• fail

The examiners may determine that the work is not of a standard to award a PhD but may recommend an alternative award, as follows.

For the degree of Master of Philosophy:

• pass
• pass subject to minor corrections to the summary
• resubmission of published work on one further occasion only
• award of Masters by Dissertation
• fail

For the degree of Masters by Dissertation:

• pass
• pass subject to minor corrections to the summary
• resubmission of published work on one further occasion only
• fail

In cases of resubmission of published work on one further occasion, if the examiners determine that the resubmitted thesis still does not meet the requirements of the award, they may recommend the award of a lower award or a ‘fail’.

Staff candidates

Candidates should complete a PhD academic staff candidature form (.doc) and submit it via email to pgresearch@essex.ac.uk.

Full details of the thesis/published work presentation, submission and examination procedures are in the guidance notes (.docx).