Producing an Alternative Format PhD Thesis

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Producing an Alternative Format PhD Thesis

• Keith Beven
• Environmental Science

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Nature of the Alternative Format PhD

• Introduction
• Series of papers submitted
• Closing Chapter
• (Summary, Conclusions, Future Work)
• Appendices

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Origins of the Alternative Format PhD

• Trial Regulations used in Environmental Science
  from 1997
• 14 theses submitted in Alternative Format to
  December 1999
• Report suggested continuation as permanent set
  of alternative format regulations
• Revised regulations agreed in 2001

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Comments from Supervisors

• Much more streamlined and forces students to
  produce results in an accessible and publishable
  format. This is an essential part of research
  training
• It is a much more user friendly document and
  is good training for the student in writing
  scientific papers
• Approach worked well and probably saved
  candidates some time and effort. I am keen to
  circulate theses more widely and this helps to
  promote students and publicise what they are
  doing

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Comments from Students

• very advantageous to the student who has
  already submitted papers.in my case it led to a
  somewhat slender thesis which was picked up by
  the external
• I am sure that the thesis by papers was a huge
  advantage for meit allowed the possibility of
  acquiring a research profile sooner
• Writing papers after the PhD would have been
  inefficient and might also have hindered
  employment possibilities
• Overall..if I started again I would
  definitely want to be able to write a thesis by
  papers

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Comments from Students

• For
• More of a test of your work. If papers have
  gone through peer review then they will have been
  judged by at least 2 revered scientists before
  being sent to PhD examiners
• Work will reach a larger audience how many
  people will see and read a conventional red book
• Will teach invaluable skills in concise paper
  writing excellent for future career
• Get publication record prior to graduation
• Excellent way to sell self, Department and
  University

7
Comments from Students

• Against
• Still need to produce red book for the library
• may be pushed by supervisor into doing a thesis
  by papers to boost Departmental research rating
• It may be felt that there is less need to
  examiners to test and change if the majority of
  the work is already published or in press. I
  disagree although the most major change I had to
  make was to add an erratum to an already
  published paper
• Expense! It cost me 500 to produce 50 copies
  of my thesis in addition to producing and paying
  for the red book

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Extracts from the Postgraduate Handbook

• SECTION 2, PART 1
• 13. DEGREE OF PH.D.
• Submission of theses
• 13.8 The thesis shall normally comply with the
  requirements for the form, submission and deposit
  of theses (see Part Six, paragraphs 1, 2).
• 13.8.1 A thesis for the degree of Ph.D. shall
  not normally exceed 100,000 words (including any
  footnotes and appendices but excluding the
  bibliography). A candidate, with the support of
  her/his supervisor and Head of Department, may
  apply for exceptional permission to exceed the
  word limit, which approval may be granted by the
  Director of the University Graduate School.
• 13.8.2. The thesis shall be written in English.
  A candidate, with the support of her/his
  supervisor and Head of Department, may apply for
  exceptional permission to present the thesis in
  whole or in part in another language, which
  approval may be granted by the Director of the
  University Graduate School.

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Extracts from the Postgraduate Handbook
13.9 A candidate for the degree of Ph.D. may
apply to submit the thesis in a format other than
that normally required (see below, paragraphs
14.6). Note such an application shall be
submitted as part of the procedure for the
Recommendation for the Appointment Examiners for
Research Degrees. 13.9.1 A candidate may make
only one such application, which shall be made no
earlier than either (i) 12 months after initial
registration for full-time Ph.D. study or (ii)
after confirmation of a change of registration
from M.Phil. to Ph.D. An application shall be
made no later than the date of appointment of
examiners. 13.9.2 To be approved, such
application shall be supported by the
supervisor(s) and Head of Department to confirm
(i) the design of the alternative format (ii)
that the alternative format is more appropriate
for the research project and (iii) that the
applicant is distinguished by her/his
intellectual capacity and possession of the
skills necessary to take full advantage of the
alternative format. Note supervising
departments are encouraged to seek, where
practicable, the advice of the external
examiner(s) with respect to the alternative
format proposed.

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Extracts from the Postgraduate Handbook
13.9.3 Approval shall be obtained from the
Director of the Graduate School or her/his
nominee. Such approval shall be granted only in
advance of a submission in an alternative format.
The withholding of approval shall be deemed an
academic judgement. 13.10 A candidate shall
make a declaration that the thesis is her/his own
work, and has not been submitted by this
candidate in substantially the same form for the
award of a higher degree elsewhere. Any sections
of the thesis which have been published, or
submitted for a higher degree elsewhere, shall be
clearly identified. If the thesis is the result
of joint research, a statement indicating the
nature of the candidates contribution to that
research shall be included, confirmed by either
the supervisor(s), or the principal author of the
material(s) accepted for publication.

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Extracts from the Postgraduate Handbook

• 14.6 Special regulations for a thesis in an
  approved alternative format
• 14.6.1 The candidates department of
  registration shall maintain and publish
  guidelines on the alternative format(s) judged
  appropriate to the discipline, for the
  information of students, supervisors and
  examiners. See Handout for Environmental Science
  Interpretation
• Notes
• a candidate is encouraged to seek advice within
  her/his department of registration that the
  alternative format is more appropriate for the
  research project and that s/he can take full
  advantage of the alternative format
• supervising departments are encouraged to seek,
  where practicable, the advice of the external
  examiner(s) with respect to the alternative
  format proposed and
• the guidelines shall form the basis of agreement
  between the student, supervisor and Head of
  Department (or her/his nominee) on the
  alternative format to be employed in the
  submission.

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Extracts from the Postgraduate Handbook

• 14.6.2 The thesis shall include original,
  researched materials, of which a significant
  proportion shall be derived from original
  research undertaken after the date of first
  registration (see paragraph 13.10, above). The
  thesis may include materials which are in a
  style/format appropriate to scholarly publication
  within the candidates discipline, eg as used in
  scholarly journals.
• Notes materials may be
• already published and/or
• accepted for publication, and/or
• submitted for publication in externally referred
  contexts such as journals, conference proceedings
  and on-line sites, and may include materials
  which are solely and/or partly authored by the
  candidate. It is not a requirement that the
  materials be published or accepted or submitted
  for publication, prior to the submission of the
  thesis for examination.
• For the award of the Ph.D. by previously
  published work to eligible members of the
  University, see paragraphs 15.1-15.10 below.

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Extracts from the Postgraduate Handbook
14.6.3 Examiners shall satisfy themselves that
the thesis as a whole meets the criteria for
award of the degree, as outlined above in
paragraphs 13.2 and 13.3. Notes examiners may
wish to pay particular attention to satisfying
themselves that of any multi-authored materials
included, a significant proportion is the work
principally of the candidate. Examiners are
reminded, of the freedom to specify additional
tests as part of the examination (for which see
13.2, above).

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Extracts from the Postgraduate Handbook
Criteria for the award of the degree 13.2 The
degree shall be awarded on the examination of a
thesis embodying the results of a candidate's
research, and on an oral examination. The nature
of the student's research programme should be on
a scale which should be completed during three
years, or at most four years, of full-time study
or equivalent. In addition the candidate may be
required to undertake such other tests as the
examiners may decide. 13.3 A successful candidate
for the degree of Ph.D. shall show convincing
evidence of the capacity to pursue scholarly
research or scholarship in his or her field of
study on a scale which should be completed during
three years of full-time research. The results of
this research shall then be embodied in a thesis
which makes an original contribution to knowledge
and the completed thesis must contain material of
a standard appropriate for scholarly publication.
The thesis shall comply with the requirements for
the form, submission and deposit of theses (see
Part 5 of these regulations).

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Extracts from the Postgraduate Handbook
PART 6. 2. LENGTH, STYLE, LAYOUT AND
PRESENTATION 2.1 A thesis for the degree of
M.Phil. shall not normally exceed 60,000 words
(including any footnotes and appendices but
excluding the bibliography) a thesis for the
degree of Ph.D. shall not normally exceed 100,000
words (including any footnotes and appendices but
excluding the bibliography). Theses shall be
written in English save where, in exceptional
circumstances, the Director of the University
Graduate School gives permission to present the
thesis in another language. 2.5 The text of
the thesis shall be word processed in double
spacing on one side only of good quality A4 paper
(210 mm. x 297 mm.), leaving a left hand margin
of 38 mm., and a margin of 25 mm. on the other
three sides. Diagrams and illustrations shall be
reproduced or mounted on similar paper any which
cannot be folded on A4 size must be submitted in
a suitable portfolio which shall bear the
particulars listed in 2.4 above.

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Extracts from the Postgraduate Handbook
2.8 Candidates must make a declaration that
the thesis is their own work, and has not been
submitted in substantially the same form for the
award of a higher degree elsewhere. Any sections
of the thesis which have been published, or
submitted for a higher degree elsewhere, shall be
clearly identified. If the thesis is the result
of joint research, a statement indicating the
nature of the candidate's contribution to that
research, confirmed by the supervisor(s), shall
be included.

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What you need to do to produce a successful
alternative format thesis

• Agree with your supervisor/supervisory
  committee that this is a good strategy for you.
• Remind your supervisor to get approval for
  submission in the alternative format from the
  faculty Graduate Studies committee. This is
  done simply by filling in the appropriate boxes
  on the Appointment of External Examiner form
• Produce a thesis that conforms to the
  regulations for the alternative format thesis
• Breeze through the vivaremember that it is
  the examiners who are the only people that you
  have to convince regardless of how many papers
  have been published and regardless of thesis
  format

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How to avoid upsetting your external examiner
with an alternative format thesis

• Repetition of material across a number of
  papers and other chapters (may be inevitable in a
  sequence of papers but repetition of text should
  be avoided)
• Incomplete literature review/description of
  methods/sufficient data to allow duplication of
  work because of paper page limits (use
  introduction or methodology chapter or
  appendices)
• Looking up references at the end of each
  chapter rather than in a single biography
  (judgement call!! Use easily identifiable
  separators between chapters)
• Looking up additional material in multiple
  appendices (but also applies to standard theses)