Work on a dissertation is usually combined with other tasks of a scientist: teaching, participation in projects and preparation of articles. Publications are among the conditions for admission to the defence and must reflect the main results of the dissertation. It is therefore advisable to plan them in parallel with the writing of the chapters.
Which publications are required for a dissertation defence in Kazakhstan?
The publication requirements are set out in paragraph 6 of the “Rules for Awarding Degrees”, approved by Order No. 127 of the Minister of Education and Science of the Republic of Kazakhstan dated 31 March 2011. The main scientific results of a dissertation for the degree of Doctor of Philosophy (PhD) or Doctor by Profile must be published before the defence in journals included in the List of Recommended Publications (the List) of the Committee for Quality Assurance in Science and Higher Education and/or in an international peer-reviewed journal.
Paragraph 6 allows several options, including:
- at least one article or review in an international journal that has a JCR impact factor, is indexed in the Web of Science Core Collection (SCIE, SSCI or AHCI sections) or has a CiteScore percentile of at least 25 in Scopus, together with articles from the List
- at least two articles, or one article and one review, in journals that are indexed in the Arts and Humanities Citation Index, rank in the first three quartiles by JCR impact factor or have a CiteScore percentile of at least 35
- at least one article in a journal in the first or second JCR quartile (or with a CiteScore percentile of at least 35) and one publication in the proceedings of an international conference that has a JCR impact factor and is indexed in the Web of Science Core Collection
- a chapter in a monograph of at least one printed sheet, published by a trusted publisher
The number of articles required from the List depends on the sub-list to which the journal belongs: one article is sufficient for sub-list 1, two for sub-list 2 and three for sub-list 3. One article in an international journal that meets the requirements of paragraph 6 counts as two articles from journals in the List.
Combining a dissertation and publications: a work plan
It is advisable to begin planning by clarifying the requirements: for universities with a special status, paragraph 6-3 of the Rules allows additional publication requirements. The following sequence of steps can then be used:
- Identify which chapters of the dissertation can serve as the basis for individual articles.
- Draw up a calendar plan with a time reserve for peer review and revision.
- Agree on article topics, the roles of co-authors and the order of authors with the scientific advisers.
- Check the status of the journal and its quartile or percentile before submitting the article and before the defence.
A separate option that combines the tasks is to present the dissertation as a series of articles (paragraph 5-1). This requires at least two articles and one review, or three articles, in journals in the first and/or second JCR quartile, with the doctoral candidate named as first author or corresponding author in one of the articles. In this case, the requirements of paragraph 6 do not apply to the doctoral candidate.
Can dissertation materials be used in publications?
Paragraph 6 assumes that the main results of a dissertation are published before the defence, so material from the chapters usually serves as the basis for articles. At the same time, the Rules treat the use of one’s own material and data without reference to oneself (self-plagiarism) as a breach of academic integrity. Works on the dissertation topic produced by the doctoral candidate independently or with co-authors are referenced in the text (paragraph 7).
Common mistakes when combining a dissertation and publications
Common mistakes include postponing work on articles to the final stage of the dissertation, choosing a journal without checking its indexing and subject scope, and underestimating the time needed for peer review and revision.
A journal’s quartile or percentile may change, and the indexing of a publication may be discontinued. The Rules allow the indicator to be taken for the year of publication, for the preceding year or at the time of the defence, so it is advisable to check the status of the journal in advance.
Combining work on a dissertation with publications involves taking into account the requirements of paragraph 6 of the Rules, peer review timelines and the rules on referencing one’s own works. Planning chapters and articles in parallel, agreeing the authors’ roles with scientific advisers and checking the status of the journal before submission make it possible to organise the tasks with the defence deadlines in mind.
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