• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Policy Statement
• Part A - Admission
• Part B - Application
• Part C - Period of Candidature
• Part D - Academic Misconduct for Research Students
• Part E - Enrolment
• Part F - Advanced Study
• Part G - Termination of Candidature
• Part H - Leave of Absence
• Part I - Content of Portfolio for Examination
• Part J - Examination
• Part K - Award of the Degree
• Section 4 - Procedures
• Section 5 - Guidelines

Section 1 - Purpose and Context

(1) This rule may be cited as the 'Doctor of Philosophy by Publication Rule' or 'PhD (Publ) Rule'. The PhD by Publication enables the award of a doctoral level degree to candidates on the basis of their original scholarship and contribution to knowledge through demonstration of a sustained research effort. It provides formal recognition of established researchers with a solid reputation and standing based on their record of academic publication and for whom enrolment in a standard PhD or Professional Doctorate would be inappropriate. The PhD by Publication requires the candidate to have already achieved the publication of a coherent body of work that is equivalent in its combined substance to the contribution to knowledge that a PhD represents, i.e. that it requires not merely the publication of a certain number of papers or articles but that these when brought together amount to a body of sustained original work advancing knowledge in its field.

(2) The degree is awarded on the basis of contribution to knowledge and a demonstrated capacity for independent research.

(3) The Degree of Doctor of Philosophy (Publ) may be conferred by the Board of Trustees on a candidate who has to the satisfaction of the Academic Senate complied with the requirements of this rule.

(4) Grievance and appeal procedures as approved by the Academic Senate may be applied to matters under this rule.

Section 2 - Definitions

(5) In these rules:

1. The 'University' means the University of Western Sydney
2. The 'Academic Senate' means the Academic Senate of the University.
3. The 'Research Studies Committee' means the UWS Research Studies Committee (however styled) constituted under the terms of reference pertaining to research student matters determined by the Academic Senate
4. The 'College' means the College (however styled) within which the candidate is studying

Section 3 - Policy Statement

Part A - Admission

(6) Applicants will normally hold an undergraduate degree

(7) Applicants must be recognised researchers with an established record of peer-reviewed publications.

(8) Applicants who have been enrolled in a PhD or a Professional Doctorate within the previous five years are not eligible for admission.

(9) The College Research Committee must endorse the application before it is considered by the Research Studies Committee.

(10) The application will be judged by an external assessor within the discipline to determine the academic standing and/or professional standing of the applicant. The College Associate Dean, Research will provide a copy of the external assessors report and the College recommendation to the Research Studies Committee.

(11) On recommendation from the College Associate Dean Research, the Research Studies Committee shall approve the portfolio proposal portfolio and appoint a supervisory panel normally comprising a Principal Supervisor and other member(s) as recommended (the qualifications and postgraduate supervision experience of the panel members shall be provided). The Principal Supervisor shall normally hold qualifications at least at the level of the award for which the candidate is admitted and be a non-casual UWS member of staff.

(12) An applicant shall not be admitted to candidature for the degree unless the College Associate Dean Research has reported to the Research Studies Committee that adequate supervision and facilities are available.

Part B - Application

(13) Applications should be made in writing to the OAR, Research

(14) The application should contain:

1. A curriculum vitae including a list of all publications
2. A list of the publications that will be included in the portfolio, for examination, in chronological order
3. Information on citations of all the publications
4. Information on journal impact such as impact on public policy, number of citations, impact on professional or clinical practice
5. A statement from the co-authors on the applicant's contribution to jointly authored publications
6. Details of academic awards
7. Details of attempted but unsuccessful or non completed candidatures at any university
8. A brief statement of a maximum of five pages that:
   1. Indicates the way the work has developed to form a significant body of academic achievement within the discipline
   2. Demonstrates contemporary relevance of each publication
   3. Indicates the way in which the publications make an original contribution to knowledge
   4. Provides a thematic overview into an integrated whole
   5. Confirms that the papers have not been previously submitted as part of a degree at any institution.

Part C - Period of Candidature

(15) The period of candidature for the degree of Doctor of Philosophy (Publ) shall be one semester full time or two sessions part time

(16) The Research Studies Committee may, in exceptional circumstances, vary the period of candidature.

(17) All candidates must be onshore.

Part D - Academic Misconduct for Research Students

(18) UWS has an expectation that all research will be conducted during the candidature will be within the terms of international best practice. All research candidates are expected to adhere to the UWS Research Code of Practice.

Plagiarism

(19) The Supervisory Panel should if necessary explain to the candidate that if plagiarism is detected in early draft material prepared by the candidate, it is imperative that sources are acknowledged.

(20) The Principal Supervisor should refer the matter to the Dean of Research Studies for consideration under the Research Code of Practiceand Procedures Relating to Allegations of Research Misconductagainst students if the candidate:

1. does not heed advice about proper acknowledgment of work and ideas; or
2. insists on presenting material as their own when the supervisor believes it is not; or
3. presents work for an examination that the supervisor believes is plagiarised; or
4. otherwise breaches the Research Code of Practice.

Part E - Enrolment

(21) A candidate is expected to establish and maintain registration in the University by completing the requirements for enrolment. Students are responsible for ensuring that the University Office of the Academic Registrar is advised of any changes to their personal and contact details during the period of their enrolment and examination. Except when the candidate is on approved leave, failure to re-enrol will lead to the candidate being deemed to have abandoned the course.

(22) The fee to be paid on acceptance as a candidate shall be prescribed from time to time by the Vice-Chancellor.

Part F - Advanced Study

(23) A candidate for the degree shall follow a program of advanced study and research approved by the College Associate Dean Research concerned.

(24) An approved program of advanced study and research shall be supervised by a supervisory panel appointed by the Research Studies Committee in the first instance.

(25) At the end of session one of enrolment the College Associate Dean, Research will report on progress of the candidate to the UWS Research Studies Committee.

(26) The candidate will be required to make a presentation of their work to the university community during the enrolment period.

Part G - Termination of Candidature

(27) Candidature may be terminated for failure to make academic progress during the period of candidature, or for academic misconduct.

(28) Supervisors should seek to resolve the problem through informal dispute resolution pathways before taking steps to initiate a termination of candidature. Informal measures include discussions within the School/Centre or College with key staff such as School/Centre Coordinators, College Associate Dean Research and other staff members. Students and/or staff may invoke the UWS Grievance Policy.

(29) If the Principal Supervisor is at any time of the opinion that the candidate is not making satisfactory progress, the Principal Supervisor, in consultation with the supervisory panel, shall recommend to the College Associate Dean Research that the candidate be invited to "show cause" why the candidature should not be terminated.

(30) The College Associate Dean Research will bring a recommendation to the Research Studies Committee, which will also consider the "show cause".

(31) The student will have the right of appeal under the Appeals and Appeals Procedures under Higher Degree Rulespolicy in respect of decisions made by the Research Studies Committee under this clause.

Part H - Leave of Absence

(32) In special cases, the College Research Studies Committee may grant leave of absence. The period of such leave shall not be counted as part of the period of candidature for the degree. The maximum amount of leave will be one session.

(33) As a general guide, valid reasons for leave of absence are any unexpected events that are outside a candidate's control to prevent or overcome. It must be sufficiently grave in nature or duration to have caused significant disruption to a candidate's capacity to study effectively. Circumstances may include: serious medical reasons, family/personal reasons or employment-related reasons, such as substantial change to routine employment arrangements or status.

(34) On resuming candidature after leave of absence a candidate shall be enrolled for not less than one session before being permitted to submit a portfolio.

Part I - Content of Portfolio for Examination

(35) The portfolio will be comprised of:

1. a collection of original authored published works and
2. an overarching statement.

(36) It is expected that the applicant will be the sole author of a number of the significant publications or that the applicant's contribution will be formally acknowledged by co-authors in disciplines where sole authorship is a less common practice.

(37) The collection may include:

1. Books and monographs
2. Chapters in books
3. Scholarly articles, e.g. refereed articles in research journals
4. Work in media other than text such as exhibition, performance, novel, film, video, computer program, etc.

(38) The publications must have been subjected to peer review.

(39) The submission will not include unpublished work, review articles, newspaper articles, articles in non refereed professional journals, work that has already been submitted successfully or unsuccessfully for the award of a degree at any university or works where the applicant role was that of editor.

(40) The Overarching Statement will:

1. Be the equivalent of a single publishable scholarly work in the discipline
2. Demonstrate the contemporary relevance of each publication
3. Make clear the way in which the publications make an original, scholarly contribution to knowledge at doctoral level
4. Provide a thematic overview which converts the individual publications into an integrated work
5. Make clear the applicant's contribution to all jointly authored publications.
6. List the publications being presented for examination in chronological order
7. Indicate the way in which the applicant's work has developed
8. Be the candidate's own account of the work undertaken.

(41) The language of expression and analysis of all work in the portfolio must be English and reach a high standard of literary presentation.

(42) A candidate may not submit as the main content of the portfolio any work or material which has been previously submitted for any degree, but may incorporate work or material in the portfolio if the candidate specifies the work or material which has been so incorporated.

(43) The portfolio will be submitted in a bound form, sewn and bound in boards covered with bookcloth or buckram or other binding fabric. The bound portfolio will include the overarching statement and the text based material submitted as part of the collection of publications.

Lettering on Cover and Spine

(44) The cover should include:

1. The portfolio title
2. Student's initials and family name

(45) The spine should include:

1. an abbreviated portfolio title
2. candidate's initials and surname
3. abbreviated title of the degree, PhD (Publ)
4. year of submission.

(46) Before a candidate may submit a portfolio the supervisory panel must be satisfied that the work meets the prescribed format and presentation and a certificate to this effect signed by the panel shall accompany the portfolio when it is submitted. If the supervisory panel does not so certify, the candidate may refer the matter of submission of the portfolio for examination to the Research Studies Committee for determination.

(47) A candidate shall submit to the Academic Registrar four copies of the portfolio prepared in a form approved by the Research Studies Committee, and include a 300 word summary and a certificate signed by the candidate to the effect that the work has not been submitted for a higher degree to any other institution. The candidate shall also indicate in the portfolio the sources of information and the extent to which the candidate has used the work of others.

(48) Any component(s) of the portfolio in media other than print shall be submitted in a form approved by the Research Studies Committee.

(49) All copies of the portfolio presented for examination will be returned to the candidate. Examiners will be requested to return their copies unless they specifically request to keep their copy and the candidate agrees.

(50) On successful completion of the degree, a candidate must submit to the Academic Registrar one copy of the portfolio in a form approved by the Research Studies Committee and incorporating all amendments and/or rewriting (identified by the examiners). The copy may be digitised or presented on acid-free paper in a form suitable for archival purposes, and will be held in the University Library. Digitising includes presentation as a CD, or disc in PDF format.

(51) A copy of the portfolio deposited in the University Library will be available for consultation, loan and photocopying forthwith unless the Research Studies Committee, on the application of the candidate and on the recommendation of the College Associate Dean Research, determines in exceptional cases that it will not be available until after the expiry of a period, which shall not normally exceed one year. Digitised portfolios are available electronically. Students who need to restrict access for commercial purposes should indicate this information on the right of access form.

Part J - Examination

(52) On the recommendation of the Principal Supervisor the College Associate Dean, Research shall appoint three external examiners of the portfolio. No person may be appointed as an examiner who has been a member of the supervisory panel for that candidate.

(53) An external examiner is a person who is not employed as a member of the staff of the University at the time when invited to examine.

(54) There will not normally be more than one examiner from any one institution

(55) Examiners will hold qualifications at the level of or the equivalent to that which they are examining and be recognised academic leaders in their discipline

(56) Examiners will be given guidelines for the examination of the overarching statement.

(57) Each examiner shall report in writing to the Academic Registrar within six weeks of the date of posting of the portfolio. Examiners will be replaced if a report is not received within two months unless the examiner is given leave to report late.

(58) Upon consideration of the portfolio, each examiner shall report in writing to the Academic Registrar, recommending one of the following:

1. the degree be awarded - outcome A
2. the degree be awarded, subject to minor editorial amendments (as identified by the examiners) of the overarching statement to the satisfaction of the supervisory panel and the College Associate Dean Research - outcome M
3. the candidate be required to undertake rewriting of the overarching statement (as identified by the examiners) to the satisfaction of the supervisory panel and the College Associate Dean Research before the degree is awarded - outcome R
4. the candidate be required to revise and resubmit the overarching statement for further examination within a specified time - outcome X
5. the degree not be awarded - outcome F

(59) Option X shall be available only for initial examination.

(60) Examiners will be asked to assess the portfolio on the basis that:

1. The portfolio as a whole makes an original contribution to the knowledge of the subject with which it deals.
2. The portfolio provides a sufficiently comprehensive study of the topic appropriate to the degree in the discipline area, or in related interdisciplinary areas.
3. The research findings are suitably set out, accompanied by adequate exposition and are discussed critically in the context of the discipline.
4. The quality of English and general presentation is satisfactory.

(61) The examiners may in addition submit a conjoint report if they wish. The Research Studies Committee may also request an additional report from the Principal Supervisor.

(62) The examiners reports will be sent to the principal supervisor for comment and advice. The principal supervisor will prepare a written report for the College Associate Dean Research that will recommend an initial outcome and list in detail any recommended changes to the overarching statement.

(63) Where the examiners present recommendations of A, M or R the College Associate Dean Research may approve the initial examination outcome and report its finding to the Research Studies Committee.

(64) Where one or more examiners recommend rewriting and re-examination or fail, the College Associate Dean Research will seek the advice of the supervisory panel and refer the matter to the Research Studies Committee.

(65) The UWS Research Studies Committee (RSC) will consider the College report and the Office of the Academic Registrar will advise the student of the Research Studies Committee decision.

(66) Examination outcomes remain confidential until a final recommendation is decided.

(67) The Research Studies Committee may specify the time within which any additional work shall be completed. Normally all corrections will be made within one session of the student being advised to make changes or rewrite for re-examination.

(68) Principal Supervisors must advise OAR if a student who is re-writing will need to access to the library and other facilities.

(69) In certain circumstances where the outcome is not clear, before making any determination the Research Studies Committee may take one or more of the following actions:

1. appoint an additional examiner
2. appoint an arbiter
3. invite the examiners to confer with each other and/or with the Research Studies Committee with a view to the presentation of a consolidated recommendation
4. direct that the candidate undertake such further examinations either oral, written or practical as the Research Studies Committee may specify.

Examiner's Report

(70) Candidates will be given a copy of each examiner's report upon request, at the completion of the examination process. Each report will include the name of the examiner unless he/she requests, in writing, that his/her name be withheld.

Part K - Award of the Degree

(71) When the Research Studies Committee is satisfied that all requirements have been met, it shall recommend to the Academic Senate that the degree be awarded.

Section 4 - Procedures

(72) Nil.

Section 5 - Guidelines

(73) Nil.