Introduction
Over the past years, Erasmus Graduate School of Law has increasingly received questions about the requirements and tips and tricks for an article-based PhD dissertation.
This Q&A provides guidance about the most frequently asked questions. The requirements for an article-based dissertation can be found in the EUR Doctoral Regulations, specifically article 4.5. Moreover, ESL’s journal list provides guidance for discussing a publication strategy.
What are the possible forms for a PhD dissertation?
A dissertation can be written in different forms. The EUR doctoral regulations (article 4.1) distinguish a) a scientific treatise on a particular subject (a monograph) and b) a compilation of scholarly publications by the PhD candidate that have appeared or a yet to appear (an article-based dissertation). The latter forms the topic of this Q&A. A monograph may also contain articles that have been published during the PhD, provided that this is clearly referenced in the monograph.Who decides in which form the dissertation will be written, and when?
In the first three months of the PhD trajectory, PhD researcher and supervisors lay down agreements about the PhD trajectory in the Training and Supervision Plan (TSP). This includes discussing the form of the dissertation and initial ideas about a publication plan (e.g. journals, type of publications). The TSP naturally can be adapted throughout the PhD trajectory. It is however advised to make the decision about the form of the dissertation (monograph or an articles-based dissertation) and a publication plan before the end of the first year.How many articles are needed for a dissertation on articles? Is there a minimum or maximum?
EUR doctoral regulations do not set formal rules on a minimum or maximum of articles. Including four (4) to five (5) scholarly publications is a common practice. The PhD researcher should discuss this with the supervisors at the beginning of the PhD trajectory, as different disciplines and sub-fields have different publication practices and requirements. The PhD dissertation should in any case fulfil the requirements set by the EUR doctoral regulations and the standards in the discipline. Supervisors, and at a later stage, the assessment committee, will decide whether the dissertation meets these criteria.What should the status of these articles be (published, accepted, submitted)?
EUR doctoral regulations do not set any formal rules other than referring to the possibility of a “compilation of “scholarly publications”. It is desirable that most articles[1] have been published or accepted for publication. Yet, given the duration of the peer review process it is generally accepted to include publications that are under review. This is at the discretion of the supervisors. The PhD candidate needs to include a statement describing the status of the various articles.Are there requirements for the journals in which the articles are/will be published?
The publication plan should be discussed with the supervisors. The ESL journal list might be a good starting point. It is in any case desirable to publish in academic journals that follow a (blind) peer review of articles. See also the doctoral regulations article 4.5.2.b.Can other publications, e.g., a chapter in a book, also be part of the dissertation?
Including a chapter in a book (edited volume, preferably with peer review process) in the dissertation is not so common, but it might be possible (not more than one). This would depend on the supervisors, but in all cases the EUR requirements for a PhD dissertation should be met.Is there a minimum number of words per article?
No, but the article should meet the standards of an academic article (also see question 5).What is the time elapsed since the first publication?
See doctoral regulations, article 4.5.2.a: 5 years. Only in case of long-term illness, pregnancy leave or parental leave, one could request for an exemption at the beadle’s office.What are the conditions for /authorization of co-authors?
The EUR Doctoral Regulations state that the final manuscript must include a statement that the PhD candidate’s contribution forms an essential part of the publication. Moreover, the doctorate is a proof of competence for independent and excellent research. This implies that it is recommended to include preferably 2 single authored articles in the final manuscript. We therefore also advise caution when considering including co-authored publications that form an integral part of the thesis, even more so when written with PhD’s supervisors.
Co-authoring publications should be discussed with the supervisors in all cases.Should you decide to include co-authored publications in your dissertation, it would be necessary to ask written permission from co-authors to include the publications in the final dissertation.
Be aware that co-authors cannot be part of the assessment and doctoral committee.Of course, the above does not apply to co-authored publications that fall outside the scope of the PhD dissertation.
What does it mean for the assessment by the supervisors and/or the assessment committee, when an article already has been peer reviewed and accepted by a journal?
The supervisors and assessment committee assess the quality of the PhD dissertation and whether the whole meets the requirements for a PhD dissertation. These requirements can be different from the requirements that are applicable for the peer review process and publication of an article. Whether the articles have been published or not, does not play a role for the assessment.- Can I use articles that I have published before the start of my PhD, as part of my PhD dissertation, so that I only have to add an introduction and conclusion?
No, the PhD dissertation must be written under the guidance of 2 supervisors (article 4 doctoral regulations).
[1] In case the peer review process takes very long, there is room to deviate from this standard.