Alternative Format Thesis
This guidance sets out how students may submit a thesis which contains sections which are in a format suitable for
submission for publication in a peer-reviewed journal or other appropriate outlet for academic research, alongside more traditional thesis chapters. Those sections will be presented in the format of ‘scientific’ (in the widest possible sense of the word) papers, book chapters or other appropriate published formats. The papers or chapters may have been published, be accepted for publication, or planned for submission for publication where a specific format is expected. There may be no intention of submitting them for publication because of the nature of the results, but the purpose is to prepare the candidate for academic publishing and to familiarise them with the conventions and formats.
The aims of making this format available are to: (a) reduce the time spent rewriting publications into thesis chapters;
(b) enhance the writing for publication skills of early career researchers; (c) encourage students aiming for an academic research career to consider their publication aims early.
This guidance does not aim to provide a ‘PhD by Publication’ route for student candidates. It rather aims to allow students to interlace traditional thesis chapters with material suitable for publication, or which has been published.
The University does not have a preference for either the traditional thesis or alternative format. Students should discuss with their supervisory team which option would be most beneficial to their learning and career path.
Sponsored students are advised to check first with their sponsor whether an alternative format thesis is acceptable before proceeding with an alternative format thesis. Some sponsors may only allow the submission of a traditional format thesis.
Existing requirements for research degree programmes
Before the award of a higher degree by research, each candidate is required to complete a prescribed period of training and research, and:
(i) Present a thesis containing the results of the candidate’s research and showing the sources from which the information it contains is derived and the extent to which the candidate has made use of the work of others; and
(ii) Pass an oral examination in matters relevant to the subject of the thesis.
Candidates must satisfy the examiners that his or her thesis:
(i) Is original work which forms an addition to knowledge; and
(ii) Shows evidence of systematic study and of the ability to relate the results of such study to the general body of knowledge in the subject; and
(iii) Is worthy of publication either in full or in an abridged form.
The form of the thesis should be such that it is demonstrably a coherent body of work. Depending on the number of papers used as chapters, additional chapters will be required to ensure that the coherence is demonstrated. There will at least be sections for a summary, an introduction and discussion and conclusions which set the whole work in context. In addition, and depending on the content of any papers or other alternative format material, there may need to be: a description of the aims of the research, an analytical discussion of the related findings to date, a description of the methods deployed and the theoretical basis underpinning them.
Additional requirements for presentation of an alternative format thesis
In addition to the requirements above, candidates who wish to present an alternative format thesis must:
(i) Obtain the support of their supervisory team and seek permission from the relevant Faculty Officer, by their third
year of study (or pro-rata for part-time candidates). This could be linked to the submission review process and the formal request must be made by the end of month 36 by the very latest. The Faculty Officer will consider the supervisory team’s case for support, whether the proposed format fits with the existing expectations of a research degree and whether the proposed submission is achievable within the student’s time limit.
(ii) Use the introductory section of the thesis to explain how the constituent papers form a coherent body of work
and to justify in full the nature and extent of their own contribution to sections which have multiple authors and
which have either already been published, submitted for publication, accepted for publication or which are planned
to be submitted for publication. A significant majority of the materials contained in the thesis should be the outcome of original research undertaken by the student since their date of registration with the University.
Where co-authored works are included, the candidate must also provide a written statement alongside each paper, signed by the candidate and by the major contributory co-authors, specifying the candidate’s individual contribution. The normal expectation is that the candidate should be the primary contributor to the writing of each of the papers, including the design and conduct of the reported research. It is relatively commonplace in some disciplines for students to co-author journal papers with their supervisory team or wider research group. Contributions such as to individual experiments within a larger piece of research would not be considered sufficient for the student to be considered the ‘primary contributor’. In many disciplines, ‘primary contributor’ would be denoted by the student being the first or last author. This is not, however, the case in all disciplines and it may be necessary for this to be covered in the case for support to submit an alternative format thesis.
If there is any doubt as to the specific contribution of the student to material with multiple authors, the University
retains the right to contact other authors to seek assurance about the student’s contribution.
(iii) If an alternative format thesis contains published material the length of which has been determined by a particular publisher’s requirements, candidates must ensure that additional explanatory text pertaining to methodology or detailed and critical analysis of the work or supplementary statistical data or other aspects are included to ensure the thesis is a coherent whole.
(iv) Confirmation that permission has been obtained where appropriate to include material which has been published
or accepted for publication in the thesis.
Since the alternative format thesis may include published material which already have their own pagination, the pages of those publications will not normally be part of the pagination sequence of the thesis (except where it makes sense for the examination process for all pages to be consecutively numbered). An A4 sheet should be included before each publication, with the publication number, title and page number of the thesis. The pagination sequence of the thesis will then resume at the end of the publication.
A paper which has been published or accepted for publication may have involved the candidate signing a copyright transfer agreement, transferring the copyright to the publisher. Some publishers allow the retention of certain rights, sometimes including reprinting a whole paper or parts of it in a thesis. Candidates must confirm this with the publisher at the time of publication. If not confirmed at the time of publication, retrospective permission must be sought.
Candidates should deposit the author accepted manuscript (post peer review) version of journal articles accepted for
publication in the University repository, White Rose Research Online, via myPublications at the point of its acceptance by a publisher. The University Library will then offer assistance managing adherence with any embargo periods. Publishers may permit the inclusion of the author accepted manuscript in the e-thesis under embargo for the relevant period.