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Manuscript-Based (Article-Based) Theses

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FAQ on manuscript-based theses

As an alternative to the traditional format, a thesis may be presented as a collection of scholarly papers of which the student is the first author or co-first author. A manuscript-based doctoral thesis must include the text of a minimum of two manuscripts published, submitted or to be submitted for publication. A manuscript-based Master’s thesis must include the text of one or more manuscripts. Articles must be formatted according to the requirements described below. Note that a manuscript-based thesis must follow the general structure of a thesis as explained here . An FAQ explaining the difference between a standard and a manuscript-based thesis is available here .

Manuscripts for publication in journals are frequently very concise documents. A thesis, however, is expected to consist of more detailed, scholarly work. A manuscript-based thesis will be evaluated by the examiners as a unified, logically coherent document in the same way a traditional thesis is evaluated. Publication of manuscripts, or acceptance for publication by a peer-reviewed journal, does not guarantee that the thesis will be found acceptable for the degree sought.

A manuscript-based thesis must:

• be presented with uniform font size, line spacing, and margin sizes (see Thesis Format under Preparation of a Thesis );
• conform to all other requirements listed under Thesis Components on the Preparation of a Thesis page;
• contain additional text that connects the manuscript(s) in a logical progression from one chapter to the next, producing a cohesive, unitary focus, and documenting a single program of research - the manuscript(s) alone do not constitute the thesis;
• stand as an integrated whole.

Any manuscripts that are under review, accepted or published in a journal must be included in your manuscript-based thesis without changes (i.e. identical to the published or submitted versions). The only change is with respect to the font/size which should be the same as the one used for the rest of the thesis for consistency and homogeneity reasons. So each chapter represents a full manuscript and has its own reference list. Then at the end of the thesis, you have a master reference list which includes all the other references cited throughout the other sections of the thesis, mostly within the general introduction but also from the general discussion.

Depending on the feedback of your examiners and/or the oral defence committee, you may be required to make revisions to your thesis before final submission. The committee’s comments must be addressed in the connecting text between chapters and/or the discussion section. You must not make any changes to the manuscripts themselves in your final thesis.

In the case of multiple-authored articles, the student must be the first author . Multiple-authored articles cannot be used in more than one thesis. In the case of students who have worked collaboratively on projects, it may be preferable for both students to write a traditional format thesis, identifying individual contributions. Consult this page for information on intellectual property and required permissions/waivers.

In the case of co-first authored articles , only one student can use the article in a manuscript-based thesis and must have a written agreement from the other co-first author student(s).

This work is licensed under a Creative Commons Attribution Non-Commercial 4.0 International License . Graduate and Postdoctoral Studies, McGill University .

Department and University Information

Graduate and postdoctoral studies.

Guidelines for the introductory chapter of article-based theses at the Faculty of Humanities

From the programme plan:

"The scope of a PhD thesis should be such that it can be completed within the framework of the PhD programme, nominally 3 years net time for research training. A PhD thesis will normally consist of 200-250 pages (550-700,000 characters).

The thesis can consist of one continuous work or several smaller works. A thesis based on several smaller works shall normally consist of at least 3 works, as well as a summary/introductory article. In case of co-authorship, the thesis shall normally encompass more than 3 works. The candidate shall normally be the sole author of at least one of the contributions."

Introductory chapter

Theses that are composed of a number of individual works must have an introductory chapter, or if relevant an introduction and a conclusion (known in Norwegian as a ’kappe’), that explains how the individual works are interconnected. The introductory chapter must be a scholarly text of high academic standard. It shall both summarize and compare the issues and conclusions presented in the individual works, giving them an overall perspective and thus ensuring that the thesis forms a coherent whole. Even though the individual works may have co-authors, the candidate shall be the sole author of the introductory chapter. If the thesis contains previously-published articles, the introductory chapter shall if necessary also contain updated information so that the thesis as a whole is presented as academically updated. Each article can be updated if appropriate.

The length will vary, but the introductory chapter will normally consist of between 40 and 80 pages (110-220,000 strokes including spaces), excluding references and appendices.

Although the guidelines and practices for different subjects may vary, the introductory chapter should normally contain the components given below.

Introduction

The introduction presents the overarching topic of the thesis, the issue(s) discussed and the research questions, and gives grounds for the choice of issue(s). In addition the titles of the articles on which the thesis is based should be listed, along with information on how far the articles have progressed in the publication process.

Research status

The introductory chapter shall contain a literature review that shows the results that other researchers have previously reported in the relevant subject area. To demonstrate that the thesis makes a significant contribution, the candidate must document that he/she is familiar with the current state of knowledge in the field in question.

Theoretical framework

This part shall present the overarching theoretical approach that ties the theoretical suppositions and the issues discussed in the individual articles together. Here the candidate may discuss relevant theory and research literature in more detail than in the individual articles, although in a way that is justified in relation to the articles. It is important that the candidate operationalises and clearly specifies how theories and key concepts will be used in the rest of the thesis.

Methodology

There is often insufficient room in thesis articles for an in-depth discussion of methodological considerations and choices. The methodology of the thesis should therefore be assigned more space in the introductory chapter. In this part the methodological and strategic research choices made in the articles are justified and accounted for. The data collection process is presented, and the quality of the data and the data analysis work are discussed.

The introductory chapter shall provide a short summary of each article. The main findings of the thesis shall be reported in a brief and systematic manner that allows the main theme of the thesis and the connection between the content of the various articles to be clearly seen.

Discussion and conclusion

The candidate shall give an account of how findings presented in the articles contribute to existing research literature in the field and shall discuss the theoretical implications of the results. The introductory chapter also gives the candidate the opportunity to update the content of the articles. Such academic updating can be necessary due to the publication dates of the articles or the completion date. However, the candidate shall not introduce new empirical data.

The discussion shall also allow for competing interpretations of the results in the thesis, and shall show that the candidate has the critical distance and ability to reflect on the limitations of his/her research and that of others. The candidate is expected to address any research-methodological issues such as the validity of the methods in the light of the issues discussed and the limitations of the work that has been performed. Where relevant the candidate shall also address ethical problems associated with his/her research and shall demonstrate the practical implications of the findings and the need for future research. The conclusion of the introductory chapter shall be clearly related to the issues and research questions of the thesis.

Reference list

In connection with the introductory chapter, a complete reference list shall be compiled that conforms to the standard that is used in the relevant academic field.

The thesis may have an appendix if required. Interview guides, questionnaires and other documents of significance for understanding the results, and which are not covered by the articles, shall be included here. The appendix is given at the end of the thesis after the individual articles.

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PhD thesis types: Monograph and collection of articles

Starting PhD students often face a difficult choice. They have to decide whether they want to write their dissertation in the form of a monograph, or as a collection of journal articles. Some universities have strict requirements, not leaving a choice. But most offer both options. The decision is left to students and their supervisors and requires careful consideration.

Advantages of writing a monograph

Disadvantages of writing a monograph, advantages of a cumulative dissertation, disadvantages of a cumulative dissertation, checklist before deciding on a monograph or an article-based phd, writing a thesis as a monograph.

A monograph is a detailed study in one piece. Think of a book.

A monograph resembles an academic book. It typically has an introductory chapter, a methodology chapter, and a literature review chapter. Then, the empirical results of the PhD study are presented in several chapters of analysis. The final discussion and conclusion chapter wraps up the study.

A monograph is generally the first thing that comes to mind when thinking about a PhD thesis.

In some countries, monographs are still the norm. In others, theses based on academic articles are becoming increasingly popular.

• Writing a coherent thesis is easier: You can edit all chapters of your thesis until your submission deadline.
• You can write very detailed empirical analyses. In contrast, many journals have word limits for their articles.
• You gain valuable skills in writing and editing long (academic) texts. When you finish your PhD, you can even try to publish your monograph as a book.
• You are never done. If you change something in Chapter 5, you might have to adjust Chapter 2 as well.
• A PhD as a monograph does not automatically lead to journal publications. Journal publications are key indicators for academic careers.
• Writing good, publishable articles for high-ranking academic journals is a skill. You are not developing these skills as part of your thesis writing process.

Writing a thesis as a collection of articles (cumulative dissertation)

A thesis based on a collection of articles is based on individual journal publications. Universities tend to require 3-5 academic articles, published or submitted to academic journals.

The specific regulations differ from university to university, so make sure that you check what applies to you!

Combined, the individual articles form the body of the thesis. Nonetheless, a PhD thesis in the form of articles begins with an introduction. Some also have an extra chapter here and there, which is not published as a journal article.

Then, the journal articles are packed together, and followed by a general conclusion that rounds up the thesis.

• The overwhelming task of writing a PhD is divided into concrete parts. Many PhD students write one article every 9 to 12 months.
• Once an article is published, you cannot edit it anymore. This saves you from obsessive perfectionism, editing your work over and over again.
• You will have a head start in terms of publications. Publishing is a lengthy process. 3-5 completed articles at the end of your PhD is a big advantage.
• Cumulative PhD theses are often less coherent than monographs. It is difficult to integrate independent journal articles into a coherent whole.
• For each journal article, you need to develop a distinct theoretical framework. If the theory is not your forte, you might struggle with this.
• In some countries, PhD theses based on articles are considered worth less than monographs, and are looked down upon.

There is no right or wrong. Both monographs and theses based on a collection of articles have advantages and disadvantages.

One is also not easier than the other. But one might be more suited to your specific situation.

When making a decision, ask yourself the following questions:

• What are your university’s regulations when it comes to thesis types?
• What is the reputation of both thesis types in your (national) context? And in the context in which you aspire to work in?
• What is your strength? (conducting detailed empirical analyses vs abstract theoretical thinking)
• What is your end goal? (a non-academic career vs. an academic career requiring high numbers of journal publications)
• Which thesis type fits best with your research topic?

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PhD School in the Humanities

• PhD thesis, assessment and defence
• Formats and content-re...

Formats and content-related guidelines for the thesis

The PhD thesis is the final output after a three-year PhD research programme. The thesis is the result of extensive, original research and presents the findings of the PhD student’s research project.

A PhD thesis must clearly demonstrate the author’s ability to generate new knowledge and understanding in relation to the international state of the art of the relevant research field(s). The thesis must engage with the academic theories and concepts and apply relevant methods of the field and present a research effort corresponding to the international standards for PhD theses.

A PhD thesis is usually written in Danish or English. Theses written in other languages than Danish, Norwegian, Swedish, or English must be approved by the PhD committee following application. The thesis should include an abstract in both Danish and English, with each abstract limited to one page.

A PhD thesis can be either a monograph or an article-based thesis. The format depends on your field and should be discussed with your supervisor at the beginning of your PhD program.

Monograph PhD thesis​

A monograph is usually 150-250 pages long and does not usually exceed approx. 100,000 words, including footnotes, endnotes, and captions. The word count does not include bibliography, table of content, abstracts, indexes, image inventory, appendices, etc. However, PhD projects, dissertations and fields of research vary, and these word counts should be taken as a rule of thumb rather than a hard limit. In addition to the research and analysis in each chapter, the monograph should include:

• An introduction detailing the objectives and research questions of the thesis.
• A comprehensive review of the international state of the art.
• An account and explanation of key theories, concepts and methods used in the thesis.
• A description of the empirical material and criteria for its selection (if applicable).
• A conclusion summarizing the thesis and a discussion of its contribution to the advancement of the research field(s).

It is perfectly acceptable for parts of the monograph (e.g. a chapter, or parts of a chapter) to be published in the same form or in a different form as an article or a contribution to an anthology before handing in the thesis. The publication status of chapters in question should be clearly stated in the thesis, and the reprinted or edited/rewritten parts clearly marked.

See further guidelines on research integrity (UCPH intranet)

Article-based PhD thesis

An article-based thesis consists of a number of articles related in content, tied together and framed by an introductory chapter (a ‘cape’). The articles must cohere in terms of subject matter, theory or methodology and may be single- or co-authored. An article-based thesis is usually shorter than a monograph.

Articles included in a PhD thesis adhere to general academic standards for articles published with peer review. However, it is not necessary for the articles to have been published, undergone peer review, or submitted for publication before the thesis submission. The publication status of the articles will not impact the assessment of the thesis.

The introductory chapter, for which the PhD student must be the sole author, serves as an introductory and summarizing text approximating a major review article. In addition to presenting the objectives and overall research questions of the thesis, the chapter should include the following:

• A review of the international state of the art.
• A description of the empirical material and criteria used for its selection (if applicable).
• A synopsis for each of the articles, outlining their results and elucidating their interrelationships and cohesion.

In cases where the PhD thesis includes co-authored articles, the introductory chapter should also provide a detailed account of the PhD student's role in and independent contributions to each article for which they are not the sole author.

If one or more of the above subjects is adequately met in the individual articles (e.g. international state-of-the-art, definition of central concepts etc.) it does not need to be repeated in the introductory chapter, which may be shortened accordingly.

For published articles or articles accepted for publication, the name and date of the publication must be listed.

See guidelines for article-based PhD theses on the right side

Guidelines for article-based PhD theses

Please follow the link to see the guidelines for article-based PhD theses at the Faculty of Humanities. 

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My PhD: Weaving the Web of an Article-Based Doctoral Thesis

9 December 2020

Featured articles

An article-based thesis has become common in media studies. Publishing articles implies stepping into the world of academic publishing. However, it is not easy to get your work published as a young scholar, in particular not as a sole author.

An article-based thesis in media studies can have many shapes. When I started working on my doctoral dissertation quite a few years ago, there weren’t many examples to follow in writing a thesis that consisted of several research publications. Neither is there very much advice for how to construct the introduction of an article-based dissertation.

Stepping into the world of academic publishing as a doctoral student, I quickly found that it wasn’t so easy to get your work published as a young scholar writing alone. The publication processes were long and arduous. As years went by, and the articles took long to publish, my panic started to grow. Will this work ever be finished? Will my funding run out before it is?

In this essay, I want to share some of my experiences in writing an article-based thesis. Naturally, I had the original plan for how the articles in my doctoral dissertation would come together, but as it often happens in research, the path was not so straight-forward as I had planned. Other research projects, highly critical reviewers, and methodological hurdles appeared. My finished work ended up being, in some parts, quite different from the original plan. 

One of the biggest struggles for me was the slow publishing process. I found it very difficult to get my work published, which slowed down progress considerably. I think one of the articles was in the process altogether 2–3 years, which is a long time in a four-year project!

“Switching to Finnish had many advantages; I found that my thinking was clearer, the language I used was more expressive, and I was able to publish much more quickly.”

Eventually I felt I needed to change strategy and I decided to switch from writing in English, to writing articles in Finnish, my native tongue. Switching to Finnish had many advantages; I found that my thinking was clearer, the language I used was more expressive, and I was able to publish much more quickly. Of course, there were also disadvantages, it was harder to make it to international conferences and to get my work known outside Finland.

My advice for PhD students thinking about the choice of language is this, think carefully about what your aims are. If you are sure you want to pursue a career internationally, English is the best option for you. However, if you want to have societal impact in your own country or if you want to make your work known for broader audiences or, for example, policymakers, maybe writing in your own language is an option? 

Knitting together the introduction

In the last year of my PhD, I decided to also write the introduction article, the “kappa”, in Finnish. Often writing the introduction is a difficult task, but I also found it enjoyable.

Finally, I was able to write more freely, not bound by the strict forms and limitations of article publishing! My research articles were very heterogeneous in their methods and approaches, so I really had to get creative in finding the common ground. My first step was to look at other article-based dissertations to see how others had constructed the introduction.

I then started the writing process by reading carefully all my articles and trying to find out what they had in common, in terms of themes, concepts, and methodologies. I found themes that cut across many of them, so I decided to build the introduction around these themes. In this part of the PhD process, you need to be able to look at your work from a distance. I collected all the abstracts of my articles and tried to formulate one paragraph of what the abstract of the whole thesis would be. I felt I had a vision for how the introduction would turn out, but this was probably not yet clear to my supervisors at this point.

All the themes in my sub-studies were not included in all the articles, so combining them into one book required some brain work. However, this task was a great writing exercise! I thought of writing the introduction through craft-metaphors, weaving and knitting together yarns of different shapes and colours.

Thesis in a nutshell

Online hate and the emotional landscape of the socially withdrawn.

• Title: Prekarisaation tunnemaisema: vastustavat taktiikat, tunnelmat ja elämänpolitiikka verkon julkisuudessa (Emotional landscapes of precarity: Moods, life politics and tactics of resistance in a networked public)
• Years of active studies: 2015–2019
• Day of defence: September 4, 2020 (virtual event on Zoom)
• Object of study: Anonymous online discussions
• Findings: Spaces of anonymous online communication counterbalance the more mainstream social media platforms, where visibility and work on the self are ideals.
• Structure: Five journal articles published in the journals Lähikuva , Media & viestintä , European Journal of Cultural Studies and Participations + introduction in Finnish
• Supervisors: Kaarina Nikunen, professor at Tampere University, and Seija Ridell, professor at Tampere University
• Pre-examinators: Johanna Sumiala, associate professor at the University of Helsinki, and Tuija Saresma, adjunct professor at the University of Jyväskylä
• Opponent: Tero Karppi, associate professor, University of Toronto, Canada

For me, formulating the big questions of the thesis was the most difficult task. I ended up answering questions such as, what kind of public is formed on the Finnish image-board forum Ylilauta , how do affordances of the online platform allow anti-social behaviour and hate speech, and how are political discussions, politization, and social criticism born in this online public.

I also ended up making a visualization of the most important concepts in my study, which depicted the relations of these concepts in my work. This mind map was also included in the final thesis. Visualizations are often a good way of clarifying things both for yourself and your readers.

To conclude, I think the most important qualities for the writer of an introduction to an article-based thesis are an open mind, limited amount of self-criticism and, of course, perseverance. After all, as we have all heard many times, the best thesis is a finished one!

Eliisa Vainikka is currently working as a post-doctoral researcher at the Faculty of Social Sciences at Tampere University in Finland .

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Guidelines for article-based theses

Guidelines concerning PhD degrees consisting of compilations of several smaller papers were determined in session by the PhD programme board at the Faculty September 21, 2006. These guidelines were revised by the programme board September 20, 2012. The guidelines also include provisions on the introductory section for these compilations, as well as on co-authorship.

1. General requirements for PhD theses consisting of several smaller works

§ 10.1 in the Regulations for the degree of Philosophiae Doctor (PhD) at the University of Oslo states:

"The thesis shall be an independent, scientific work that fulfils international standards with regard to ethical requirements, academic standards and methodology. The thesis shall contribute to the development of new scientific knowledge and must be of sufficiently high quality to merit publication as part of the scientific literature in the field. A compilation of several shorter papers may be approved as a thesis provided that the papers are related and the relationship between them is clearly explained."

The academic quality of the thesis is the same whether it is a monograph or a compilation of several smaller papers (hereafter called articles). The articles should display a academic level sufficient for publishing in recognized peer-review academic journals.

Requirements and guidelines for the introductory section (the account of the unifying elements of the thesis articles) are specified below.

2. Scope of the articles

The thesis, excluding the introductory section, should typically be equivalent of three journal articles of normal length, with the candidate as sole author. If there are co-authors for one or more articles, the candidate should consider an increase in the number of articles so that the independent contribution and comprehensive effort of the PhD candidate is evident. To be considered for evaluation, it is assumed that the PhD candidate is the main author of the articles, with a comprehensive academic responsibility for the majority of articles included in the thesis.

3. The introductory section

The introductory section of the thesis shall not only summarize but also compare the research questions and conclusions that are presented in the articles in a holistic perspective, and through this demonstrate the coherence of the thesis. This also includes a summary of the thesis' contribution to the research field.

If the thesis includes previously published articles, the introductory section should also include eventual new information so that the thesis as a whole is academically up to date. If not previously published, these updates are made to each article.

The introductory section should be written in English if all the articles are written in English, and can be written in Norwegian if one or more articles are written and published in Norwegian.

The PhD candidate must be the sole author of the introductory part.

4. Guidelines for the declaration of co-authorship

Declarations on co-authorship are intended to help identify and evaluate the PhD candidate's academic effort compared to the requirements of a PhD degree.

All publications included in a doctoral thesis should comply to conventional ethical standards and guidelines concerning quality assurance of research. This requirement applies to all contributors to a thesis. In the case of co-authorship the Vancouver Protocol is used as a basis, with some minor changes. The short version in English: Authorship should entirely be based upon: a) Substantial contributions to the conception and design, or development and analysis of the theoretical model, or data collection, or analysis and interpretation of data b) Drafting of the manuscript itself or critical revision of the intellectual content of the article c) Approval of the article version to be published All of the criteria's above (a, b and c) must be fulfilled to justify co-authorship.

If co-authorship with the supervisor is considered, this should be clarified as early as possible with the PhD candidate, and for each article separately.

Upon completion of each article the PhD candidate must electronically distribute the form on co-authorship to all co-authors. These forms must also be filled out by the PhD candidate. The candidate is him/herself responsible for obtaining all necessary signatures. The completed forms with confirmations and signatures is submitted, along with the thesis and the application for its evaluation, to the relevant unit/department. The forms then follows the administrative procedure, and is sent to the evaluation committee along with the thesis itself. The form can be downloaded here

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