Thesis by Publication – Some Guidelines
Associate Professor Jaya Earnest – Director of Graduate Studies,
Faculty of Health Sciences
Some Principles and Guidelines
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Who should consider preparing a thesis in the style of a
series of published papers?
 Publishing papers during candidacy is highly regarded in some
fields of study.
 Candidates whose research area involves several discrete stages,
or components that could form the basis for a series of papers
 The decision to present a thesis as a series of published papers
needs to be made early in candidacy and with advice from the
candidate’s Thesis Committee.
 Once a decision is made to undertake a thesis by published
papers, attention to thesis format needs to be considered in
conjunction with the relevant sections of the Rules. (Section 5
“The Rules” below.)
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Benefits of publishing during thesis candidature
 Experts in the field who are external to the University will
referee the work, thus providing valuable feedback to the
student.
 Writing for publication provides a track record which will
benefit the candidate if they opt for a career in academia or
research.
 Publishing may enhance a candidate’s career prospects,
particularly if the discipline places a high value on published
papers.
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Issues to be considered carefully
 Identifying the most appropriate journals to approach for publication is
important and should be discussed with your supervisor.
 Publishing in journals that have a high impact factor carry more
weight.
 Guidance early in candidature, especially from the supervisor, is
essential as the diversity of disciplines (such as publishing timeframes)
which need to be considered.
 Some journals take a long time to finalise the review process and
waiting for papers to be accepted can delay thesis submission.
 Thus time management and selection of journals/publishers is critical.
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The Rules
 The provisions of Section 11 (Thesis Submission For
Examination), subsection (e), parts (i) – (vi) of Rule 10:
Degree of Doctor by Research
 a full explanatory overview shall be included to link the
separate papers and to place them in the context of an
established body of knowledge;
I. a literature review shall be included;
II. If detailed data and descriptions of methods are not
otherwise given, they shall be included;
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The explanatory overview, or Exegesis
 Comprises an Introduction, and possibly three other sections with the
headings: Literature Review, Research Design and
Review/Discussion.
 An exegesis presents an academic explanation of the submitted work and
a description of the linkages between the works,
 Presents the thesis as a coherent whole.
 It identifies a theme that focuses on a particular topic area.
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The Review/Discussion
 The Review/Discussion section must integrate the significant
findings of the thesis, identify the limitations of the research
and highlight future directions.
 The review chapter must be entirely the candidate’s own work.
 If there are separate sections for the literature review and
research design, this section will also be separate,
 Otherwise it will be the concluding section of the introduction.
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The main contributions of the research
 The study identifies the main contribution of the research to
knowledge, providing a substantial contribution to the
knowledge or understanding of a field of study.
 The study needs to demonstrate the capacity of the candidate to
conceive, design and conduct to completion independent
research.
 The doctoral candidate should uncover new knowledge either
by the discovery of new facts, the formulation of theories or the
innovative re-interpretation of known data and established
ideas.
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Papers published in refereed scholarly media only
 Only papers published in refereed scholarly media and based
on research conducted during the period of enrolment may be
included in a thesis by publication.
 However, papers which have been accepted for publication in
journals but have not yet appeared in refereed scholarly media
may also be included as part of the thesis;
 Publications prepared/researched prior to enrolment in the
Higher Degree by Research may not be included.
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Conference papers and papers under review
 Papers submitted for publication and still under review may
not be included (this includes papers under revision following
referees’ reports) – only those accepted for publication may be
included (even if not yet published).
 Conference papers published in conference proceedings can
only be included where there is evidence of full paper peer
reviewing. Proof of this will be required.
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Joint Authorship
 Any published paper of which the candidate is a joint author
may only be included in the thesis provided the work done by
the candidate is clearly identified.
 The candidate must provide to the University Graduate
Studies Committee at the time of submission of the thesis:
 A written statement from each co-author attesting to the
candidate’s contribution to a joint publication included as
part of the thesis.
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Why choose a PhD by publication?
 Study designed in relatively discrete phases
 Benefits from publications during candidature
 Communicate research findings in timely manner
 Maintain stakeholder interest & support
 Progressive, concurrent and formative peer review
 Enhance academic career – track record, networks, co-author
relationships
 Current university research climate and expectation to publish
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Student considerations
 Journal selection
 Topic
 Journal aims
 Variety - international
 Excellence in Research Australia - journal rankings
 Number of issues per year
 Authorship (check the university HDR authorship guidelines)
 Order
 Contribution
 Take timelines into consideration
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Authorship Considerations
 Supervision
 Study Design
 Data collection
 Analysis and interpretation of results
 Writing the manuscript
 Critical revisions of the manuscript
 Statistical expertise
 Final approval of the manuscript
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COPYRIGHT AND PUBLISHING IN QUALITY
JOURNALS
 The candidate must check with each Publisher whether or not
there are any restrictions regarding copyright, format and style
before inclusion of the paper in the thesis.
 When papers are published the copyright is usually assigned to
the journal, therefore the candidate must take steps to avoid
copyright infringement.
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Suggested Format of Thesis by Series of Published
Papers
Two Examples of PhD in International Health
Students
 A thesis by publication
 A Hybrid thesis
The number of papers submitted should be sufficient for the
body of work to constitute a substantial contribution to
knowledge;
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A journey to PhD by publication
Rajendra Karkee
School of Public Health, Curtin University
Journey
Thesis
writing:
Ongoing
from Feb,
2014 (A
first draft
ready)
Fieldwork
Nov 1,
2011-Nov
1, 2012
Started 28 Feb, 2011
Candidacy
16 Sep,
2011
Writing phases Nov
1, 2012-Nov 1, 2013
(Five articles
published)
1. Starting

Assistant Professor


Teaching experience
3 articles published on national journals

Got Australia Award to do PhD

PhD started at 28, Feb 2011
July 17, Curtin Uni Library
2. Candidacy Phase (28 Feb-16 Sep, 2011)

Outlined the projected papers

End note folder for each papers

Motivated by a previous similar thesis by publication --it can be done—model for me

Supervisor said we can publish 10 articles !!

Motivation


Academic career boost
Two things: PhD and Publication together !!
July 17, Curtin Uni Library
ANTICIPATED PAPERS LINKED WITH OBJECTIVES
To measure women’s perceived need of facility delivery in Kaski district of Nepal
( Influence of women’s knowledge of pregnancy and child birth on facility delivery in Central Nepal:
results from prospective cohort study)
To compare rural/urban differences in socio-cultural and economic factors determining choice of delivery in Kaski district
of Nepal
To measure women’s perceived quality of maternity services and to determine its impact on service utilisation in Kaski
district of Nepal
(Measuring perceived quality of maternity services in Nepal)
To identify specific aspects of perceived quality which have an impact on maternity services utilization
To assess the outcome of deliveries in the Kaski district of Nepal
(Utilisation of delivery services and outcome of pregnancy : result from a prospective cohort study in a
central hilly district of Nepal )
To assess post-natal service utilisation by mothers delivering in different locations
(Utilisation of post natal services in central Nepal)
To compare breastfeeding practices between urban and rural mothers in the Kaski district of Nepal
(Breastfeeding initiation and exclusive breastfeeding in central Nepal)
3. Data Collection (Nov 1,2011-Nov 1, 2012

Collect quality data; adequate sample;
July 17, Curtin Uni Library
4. Analysis and writing

Mapping of analysis and possible papers

Analyse the data; see the results; make table; and then
write the draft of the paper

Always remember your objectives and framework

Choice of journals




First paper by supervisor
Then I suggested based on similar articles publication
It took around 6 months to get accepted
Only one article get rejected and has to find another journal
July 17, Curtin Uni Library
Targeted papers
Independent/Exposure
Influence of women’s knowledge of pregnancy and child birth on facility delivery in
Central Nepal: results from prospective cohort study.
Health knowledge (having got information?? Unexpected
problem in delivery?? Delivery Plan?? Necessary to deliver
baby in health facility?? Can tell any two birth
preparedness activities??)
Birth preparedness in central Nepal: Did intention change into action?
Assessing women's awareness of danger signs of obstetric complications in Nepal.
Dependent/Outcome
Delivery place: Home or Institutional
Socio-demographic--Previous facility use ---previous
complication
Birth Preparedness : well prepared/not prepared (delivery
plan—identified transport—Money saved—having ANC
checked—identified blood donator)
Birth preparedness:
Delivery place: Home or Institutional
Socio-demographic: age, parity, caste, education,
husband’s education, family type, income, previous facility
use, previous complication
Awareness of danger signs: none/one/two
Demographic, distance (time to facility), residence
(urban/rural), perceived quality
Delivery place: Home or Institutional
Measuring perceived quality of maternity services in Nepal.
Utilisation of delivery service in Nepal: how much important is perceived quality?
Demographic, residence
quality by pregnant women
Perceived quality (Score)
delivery place
Quality and utilisation of post-natal services in central Nepal.
Delivery outcome in central Nepal: Assessing intra-and post-partum perceived
morbidity and health service utilisation.
demographic, residence , post-natal components
Breastfeeding initiation and exclusive breastfeeding in Central Nepal.
Demographic, residence, delivery place
Determinants of utilisation of delivery service use in central Nepal: results from a
prospective cohort study.
Perceived
Post-natal check up(Yes/No) ;
morbidity (intra- and post-partum; neonatal)
Exclusive breastfeeding; first feed (colostrum?); Time of
first feed (less or more than an hour)
Why women do not utilise the facility services FOR
PREVENTIVE OBSTETRIC CARE?
Because of these factors: PERCEIVED NEED; CULTURE;
DISTANCE; COST; AND QUALITY
PERCEIVED NEED is the root factor for initiating of the
service use. Does women have perceived need of
facility delivery and post-natal services?
If they have perceived need, will they actually go to
the facility? If NOT, it is either due to DISTANCE; COST;
AND QUALITY.
If delivery services are available at primary health care
centre and free of charge, why do not they still go to
the facility? The most important factor , then , is the
QUALITY and It is the WOMEN’S PERCEIVED QUALITY
that is strongly associated with the decision to seek
care, and choice to make (utilisation).
How have women perceived the quality of maternity
services and what aspects are important in their
definition of quality?
What is the perceived quality among women who use
and who do not use the services?
What are women's characteristics that use the facility
delivery?
Framework of Determinants of Delivery Service Use
(adapted from Thaddeus and Maine , 1994 and modified to incorporate preventive
obstetric care by Gabrysch and Cambell, 2009)
Only a first and second phase are relevant for preventive
obstetric care. Perceived quality, and perceived accessibility of
distance and money all act on the first delay.
After utilisation, the actual quality is concerned.
Receiving adequate and appropriate treatment for
complication is crucial to averting mortality
So…
Vision
Data
Time
Supportive
supervisors
Get Ahead: Publish during your PhD
Seminar for Research Week
Bruce Ridley
Copyright Compliance Officer
Curtin Library
July 2014
The cartoons used in this presentation have been copied from a ‘Copyright
Compliance Guide’ (2008) published by the Australian Copyright Council.
COMMONWEALTH OF AUSTRALIA
Copyright Act 1968
WARNING
This material has been reproduced and communicated to you by or on
behalf of Curtin University of Technology under Part VB of the
Copyright Act 1968 (the Act)
The material in this communication may be subject to copyright under the
Act. Any further reproduction or communication of this material by you
may be the subject of copyright protection under the Act.
Do not remove this notice.
Copyright issues to be considered
Similar copyright issues arise for both publications
(journal articles, conference papers) and Higher Degree
theses.
 Requirement to deposit digital version of thesis with
Curtin Library – made available in e-space online
repository.
 Also requirement of some funding bodies (ARC &
NHMRC) to make research outputs available in open
access repository.
 Thesis is being copied and communicated online on a
public website.
Copyright issues to be considered

When submitting scholarly work for publication, or
digital version of thesis, students/authors are
required to verify that work isn’t subject to any
copyright restrictions, or that they’ve obtained any
necessary permissions or clearance to use third-party
material.
Extract from form for submission of digital
theses
Does your thesis contain any material (other than short, duly
acknowledged quotations or occasional diagrams) in which the
copyright is owned by another party (e.g. journal articles,
questionnaires, reports, photographs)?

Have you obtained all necessary permissions from the copyright
owners to reproduce their material in the thesis?

Does your thesis contain any material that is subject to
Intellectual Property obligations, claims or restrictions imposed
by external organisations that supported your research?
(Such restrictions might include constraints on publishing,
confidentiality agreements, pending patents etc.)

Elements included in “Agreement to Publish”
The article is accepted for publication in the [Name of Journal] on
the basis that:

The article is the sole and original work of the named author(s),
and all material from other sources has been clearly
acknowledged and referenced.

The article has not been published or submitted for publication
in any other journal or medium.
 The article does not contain any material that infringes the
copyright of a third party.

The author(s) has/have obtained written permission wherever
necessary to reproduce or adapt illustrations or text in which
the copyright is held by another party.

The article does not contain any offensive, defamatory or illegal
material.
Copyright issues to be considered
• Am I allowed to publish/communicate what I’ve
written? Am I the rightful copyright holder?
• Have I obtained any necessary permissions to include
third-party material in my publication/thesis?
• Am I allowed to re-use my own previously-published
material – e.g. to include in my PhD thesis, selfarchive in a repository?
• Am I in breach of terms and conditions of a
publishing agreement?
TRUE / FALSE QUIZ


Curtin normally owns the copyright in
any work that students produce as part
of their course or research project?
(TRUE/FALSE?)
FALSE!
Who owns copyright in work produced at
Curtin?




Usually first author/creator owns copyright – but can
assign or license copyright.
Under “Intellectual Property: Ownership and
Commercialisation Policy” students own copyright in
work they produce for Curtin course or research
program.
Exception: research projects with external funding or
commercial agreement.
Shared copyright: articles, conference papers written
jointly with co-author.
TRUE / FALSE QUIZ


Students who want to include thirdparty copyright material in their thesis
or publication may need to get prior
permission from the copyright owner.
(TRUE/FALSE?)
TRUE!
Using and communicating copyright
material in my publications

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OK to include brief quotations from another
publication [because not substantial amount] - but
must acknowledge source.
OK under ‘fair dealing’ to include reasonable amount
of material for purpose of criticism or review –
still need to acknowledge author and work.
OK to use material from another source if permitted
by terms and conditions of licence or website.
OK to use Creative Commons/open access material in
accordance with licence – attribution, noncommercial, no derivative work, share alike, etc.
Using and communicating copyright
material in my publications

•
OK to use material where copyright has expired
(more than 70 years).
OK to merely provide a link to an external website
rather than reproduce the content in your
thesis/publication.
Copying/Communicating with
Permission





For more substantial amounts of text, or material protected by
contract, need to GET PERMISSION from copyright holder or
website administrator.
Also need to get permission to use images (including
photographs, graphs, diagrams, illustrations, cartoons), tables,
questionnaires, video clips, screen shots, etc.
Author may not be copyright owner – could be publisher or
another organisation.
Get permission in writing and keep it (email is usually
acceptable).
If unsure whether you’re allowed to copy material (e.g. if
Internet conditions are unclear), safer to seek permission.
Copying / Communicating with Permission




Publishers prescribe wording to be used when
requesting permissions – to ensure all necessary
rights are obtained.
Specify material you want to use and for what
purpose. (Many organisations willing to grant
permission, esp. for non-commercial purposes.)
Allow ample time to obtain permissions – don’t leave
it until the last minute!
Always acknowledge source of any copyright material
used – accepted academic practice, but also required
under ‘moral rights’. (For Internet material, cite URL.)
Postgraduate theses



Obligation on postgraduate students to obtain
prior permission or clearance to include
copyright material in their thesis.
Indicate basis on which you are using
copyright material – e.g., permission
obtained, conditions of Internet site or licence
agreement.
Or arrange to have material suppressed when
you lodge digital thesis with Library.
TRUE / FALSE QUIZ


You’re entitled to re-use any published
material that you’ve written because it
belongs to you. (TRUE/FALSE?)
FALSE!
Including journal articles/papers in your
thesis


Potential problem if you plan to include your own
previously published work (journal articles,
conference papers, etc.) in another publication/thesis
or place them in an institutional repository.
YOU WILL PROBABLY HAVE ASSIGNED COPYRIGHT
OR GRANTED EXCLUSIVE LICENCE TO PUBLISHER.
Need to check publishing agreement re. ownership of
copyright and right to re-use own material (e.g., selfarchiving). The rights an author retains will affect
subsequent control of the work.
Publisher agreements

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

Wide variety of Publisher agreements – some are
more generous/restrictive than others.
Established academic publishers normally require
authors to assign (i.e. surrender) copyright.
Open Access publishers generally allow author to
retain all or most rights.
Some publishers allow placement in repository, some
don’t – some impose embargo period.
Points for authors to note:
Have I retained copyright or transferred copyright to
the publisher?
 Am I allowed to deposit the article/paper in an
institutional repository (such as espace) or a subject
repository (such as the SSRN)?
 Can I reproduce some or all of the article in my
thesis?
 Can I post the article to scholarly sharing sites (such
as ResearchGate or Academia.edu) or place a copy
on my personal website?
[These uses involve reproduction & communication.]

Terminology for different versions of
journal articles
Publishing agreements / policies may include permissions or
restrictions that apply to specific versions of journal article. These
versions are:

Pre-print (aka the submitted version or submitted manuscript) =
version as first submitted to publication for peer review.

Post-print (aka the accepted version or accepted manuscript) =
version accepted for publication, including revisions suggested
by referees, but without copy-editing and formatting supplied by
publisher.

Published version (aka version of record or publisher PDF) –
formatted, paginated version as published in journal.
Retention of rights



Terms of agreement determine whether or not preprint, post-print or publisher versions can be made
available in Open Access.
Agreements usually contain terms that allow authors
to retain certain limited rights to deal with material –
e.g., permission to include copy in a repository under
certain conditions (such as imposing embargo
period).
More than 65% of subscription-based journals allow
for self-archiving a version of the published
manuscript.
Publishers’ policies
Useful websites are Sherpa-Romeo http://www.sherpa.ac.uk/romeo/ and OAKList
http://www.oaklist.qut.edu.au/
These sites provide information on publishers’ standard
policies regarding ownership of copyright plus summary of permissions normally given as part of
each publisher’s copyright transfer agreement.- e.g.
 right to place articles in electronic repository or make
available online;
 right to use pre- or post-prints.
Publishers’ policies
Check websites of major academic publishers to see what terms
and conditions are contained in their standard publisher
agreements, and what rights are retained by authors. For example:

Elsevier - http://www.elsevier.com/journal-authors/authorrights-and-responsibilities

Wiley-Blackwell http://authorservices.wiley.com.dbgw.lis.curtin.edu.au/bauthor/f
aqs_copyright.asp
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Taylor & Francis - http://journalauthors.tandf.co.uk/

Emerald Group http://www.emeraldgrouppublishing.com/authors/index.htm
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Sage http://www.sagepub.com/journalgateway/authorGateway.htm
Further information

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Main copyright website: http://copyright.curtin.edu.au –
especially section on ‘Research & study’
http://copyright.curtin.edu.au/research/high_degree_theses.cfm
Copyright Do’s and Don’ts Brochures for Staff/Students http://copyright.curtin.edu.au/resources/
Very useful Library Guide on Open Access publishing in online
repositories (e.g. Curtin espace) – see
http://libguides.library.curtin.edu.au/open-access
CONTACTS:

Bruce Ridley - Copyright Officer, Curtin Library (Ext 7494)

Faculty Librarians http://library.curtin.edu.au/about/organisationalstructure/faculties/index.cfm