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, but it must not be regarded as formal rules or requirements.
The formal 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 4.1.2) distinguish a) a scientific treatise in book form ( monograph) and b) a compilation of a number of separate scientific articles accompanied by an introduction and conclusion that emphasize the coherence of the articles produced by the PhD candidate or under the identifiable and dominant authorship of the PhD candidate. 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) scientific publications is a common practice in our discipline. 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)?
The EUR Doctoral Regulations, article 4.4.1, state that article 4.4 (on the content of a thesis) shall apply mutatis mutandis to a dissertation consisting of a compilation of scientific publications, whether or not already published.” 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 EUR Doctoral Regulations (article 4.5.2.b) state: “The journal in which the article was or will be published must meet generally accepted academic standards, at the discretion of the (co-)promoters”.
Therefore, it is advised to discuss the publication plan in an early stage with the supervisors. The ESL journal list might be a good starting point. It is in any case desirable to publish in different academic journals that follow a (blind) peer review of articles.
- Can other publications, e.g., a chapter in a book, also be part of the dissertation?
The EUR Doctoral Regulations talk explicitly about articles/publications in journals, in article 4.1.2: The dissertation consists of either a scientific treatise in book form (monograph) on a particular subject, or a compilation of a number of separate scientific articles …”
And article 4.5.2.b: the journal in which the article was or will be published …”
Including other publications such as a chapter in a book (edited volume, with peer review process) in the dissertation is not so common, but it might be possible. This would depend on the supervisors, so our advice is to discuss this with them. 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: The publications haven been published within a period of five years before submission of the thesis for review by the (co-)promotors..
- What are the conditions for /authorization of co-authors?
The EUR Doctoral Regulations (art 4.1.2) state that the articles must be “produced by the PhD candidate or under the identifiable and dominant authorship of the PhD candidate”. Moreover, the doctorate is a proof of competence for independent and excellent research. This implies that it is recommended to include at least 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 supervisors. The EUR Doctoral Regulations (article 3.3.4) state: Research that has not predominantly taken place under the supervision of the (co)promoters cannot serve as the basis for a EUR-dissertation.
[1] In case the peer review process takes very long, there is room to deviate from this standard.