Regulations for Managing Official Doctoral Studies at the University of The Basque Country of 25 April 2024

Article 55. Definition.

1. A doctorate by publication is a specific option for drafting and defending a doctoral thesis in order to earn a doctorate and is subject to the specific provisions of this chapter, as well as all other applicable provisions in these regulations.

2. The thesis leading to a doctorate by publication is made up of various different scientific papers focusing on a single theme, of which the doctoral candidate must provide proof of authorship and which must have been published or accepted for publication.

Article 56. Requirements.

1. To present and defend a thesis of this nature, the following conditions must be met:

• The doctoral candidate in question must have had at least 3 contributions written during their time in the doctoral programme published or accepted for publication. 
• This number may be reduced to 2, providing the doctoral candidate has made 2 additional contributions to the scientific literature in the 5 years prior to their enrolment on the doctoral programme.
• 1 of these contributions must be an original paper on the state of the art of the area under research, which complies with the conditions established by the CNEAI in the corresponding scientific field.
• In all cases, the contributions must correspond to the aims of the thesis as laid out in the candidate’s research plan and personal training plan.
• Contributions must be papers published in scientific journals featuring in the latest list published by the Journal Citation Reports (SCI and/or SSCI) or SCOPUS, or in databases listed by the National Assessment Committee for Research Activities (CNEAI) for the scientific fields corresponding to the areas of knowledge covered by the doctoral programme.
• At least 1 of them must be in the first or second quartile of their category.
• In the Arts and Humanities and Social and Legal Sciences fields, contributions may be books or book chapters, providing they carry the Seal of Quality in Scholarly Publishing or are included in Scholarly Publishers Indicators in Humanities and Social Sciences.
• In cases of co-authorship in which authors are not listed alphabetically, the doctoral candidate must be named first or second. The thesis supervisor(s) shall confirm that the doctoral candidate’s contribution is both relevant and in keeping with the research plan.
• Papers published after the date on which the doctoral candidate enrolled on the doctoral programme must include their affiliation with the UPV/EHU, as well as, where appropriate, that of their supervisor(s).
• Works which form part of a thesis by publication may not form part of any other thesis within the same category.

2. The Academic Commission of each doctoral programme may establish additional requirements for this means of presenting a thesis, providing that said requirements are compatible with the procedure outlined herein and are approved by the Postgraduate Commission.

3. The doctoral programme’s Academic Commission may accept an artistic-creative project as one of the contributions mentioned in this article, providing it complies with the conditions established by the CNEAI for the corresponding scientific field. Any candidate wishing to take advantage of this option must determine the conditions and requirements to be complied with and submit their proposal to the Postgraduate Commission for approval. Only 1 of the 3 contributions required in section 1.a) may be of this nature.

Article 57. Structure of a thesis leading to a doctorate by publication.

A thesis leading to a doctorate by publication must comprise a set of works published and/or accepted for publication which focus on a single topic, in accordance with the structure established by the Postgraduate Commission.

Article 58. Specific documents required for the thesis to be accepted for processing.

In addition to the general documents required for depositing the doctoral thesis (outlined in article 24), the following documents must also be submitted:

• Request form for submitting a doctoral thesis of this nature, signed by the doctoral candidate with the express authorisation of their supervisor(s).
• A document signed by the non-PhD-holding co-authors of the publications to be presented, expressly waiving their right to use said publications as part of any future doctoral thesis.
• Report by the thesis supervisor attesting to the fact that the publications presented are in keeping with the doctoral candidate's research plan and confirming that, in the event of co-authored papers, the candidate's contribution was substantial.
• For accepted contributions, the DOI or publisher's certificates.