PhD Thesis

According to the University's guidelines for doctoral education the doctoral dissertation is the main part of the doctoral degree. In addition to the doctoral dissertation the doctoral degree includes 40 credits of studies.

According to the University's guidelines the doctoral education will be organised so that the doctoral degree can be completed in four years of full-time study.

The Rector's decision (nro 498/2017) of the general criteria for doctoral dissertations at the University of Helsinki and the criteria at the Faculty of Science are presented below.

Gen­eral cri­teria for doc­toral dis­ser­ta­tions

1. A doctoral dissertation must consist of peer-reviewed scholarly publications or manuscripts accepted for publication, as well as a summarising report on the said documents (an article-based dissertation); or it must be a scholarly work in the name of the doctoral candidate alone and based on previously unpublished research results (a monograph). The doctoral dissertation may also take the form of another work that meets the appropriate scientific criteria, provided that the doctoral candidate’s independent contribution to it can be verified. All doctoral dissertations should meet the following scholarly criteria: they must a) contain new scientific knowledge, b) demonstrate critical thinking on the doctoral candidate’s part, c) demonstrate profound familiarity with the field, d) demonstrate mastery of research methods and their application, e) be scientifically convincing, f) contain justified results, and g) demonstrate scientific integrity and adhere to the ethical norms of research.
2. The supervisor and the doctoral candidate must limit the topic and content of the dissertation in such a way that the degree can be completed in four years of full-time study.
3. The doctoral dissertation must have a brief abstract of one to two pages, providing a summary of the dissertation and its key results. The abstract must outline the doctoral candidate’s objectives or research questions as well as the core research methods, results and conclusions.
4. Doctoral candidates must be informed of the requirements and grading criteria for doctoral dissertations when they are granted the right to complete a doctoral degree. The same information must also be provided to supervisors, supervising professors and monitoring groups as well as preliminary examiners and opponents when they are appointed. The dissertation requirements and grading principles must also be publicly available, for example, on the faculty website.

Art­icle-based dis­ser­ta­tions

1. Article-based dissertations consist of scholarly publications discussing a single group of issues as well as a summarising report written by the doctoral candidate. The summarising report of an article-based dissertation must present the background, objectives, methods, material, results, discussion and conclusions of the research. The summarising report must be a balanced work based on both the publications included in the dissertation and the research literature.
2. A doctoral dissertation may include not only articles that have been previously published or accepted for publication, but also articles that have not yet been accepted for publication. In such cases, the preliminary examiners must be instructed to pay particular attention to the unpublished articles. The number of articles required depends on their a) scope, b) scientific quality and significance and c) publishing forum as well as d) the author’s independent contribution. The number of articles may vary between disciplines, but the number must be determined by taking into account the equal treatment of doctoral students and the target duration of four years for completing the degree. Typically, the number of articles ranges from three to five.
3. Article-based dissertations may include co-authored publications. The doctoral candidate’s input in these must be clearly demonstrable. One co-authored publication may be used in several dissertations by different authors. To determine the doctoral candidate’s independent contribution to co-authored publications, the doctoral candidate and his or her supervisor must draft a statement on the doctoral candidate’s contribution to each publication. If the co-authored publication has been used in another dissertation, this must be mentioned in the report. The doctoral candidate should deliver the draft of the report on his or her contribution also to the other authors of the publication. The doctoral candidate must deliver the report to the faculty when submitting the dissertation for preliminary examination and to the preliminary examiners, opponent and custos at a later date. The report may also be included in the summarising report or an article included in the dissertation.

Mono­graphs

1. Previously published texts cannot be accepted as monographs. Before completing the dissertation proper, however, the author of a monograph may publish articles on related topics and refer to these in the dissertation.
2. The maximum recommended length of a monograph is 250 pages.
3. Supervisors of monographs must take particular care to ensure the quality of the manuscript before it is submitted for preliminary examination.

Dis­ser­ta­tions other than mono­graphs or those based on art­icles

1. The faculty council shall decide, based on a proposal by the relevant doctoral programme, on the scope and structure of dissertations that take a form different than a monograph or article-based dissertation. In such cases, supervisors must take particular care to ensure the quality of the manuscript before it is submitted for preliminary examination.

Cri­teria for doc­toral dis­ser­ta­tions at the Fac­ulty of Science

At the Faculty of Science the summarising report of an article-based dissertation is typically 50 pages long.

At the Faculty of Science doctoral dissertations are either article-based or monographs.

Dissertations are assessed by the following criteria: a) The significance and status of the research within the research field b) The scope of the work and adequacy of the research material c) Application and development of research methods d) The deduction of results from the material studied e) The consistency of the structure of the work f) Familiarity with and use of literature g) The composition of the dissertation (presentation, style and language) i)  The doctoral candidate's performance at the public defence.

If a doctoral dissertation is highly distinguished and ambitious in the light of assessment criteria, it may receive the grade Pass with Distinction. The preliminary examination process is used to ensure that the dissertation can be approved after the public defence. The dissertation can however be receive the grade Fail if it contains deficiencies that are serious enough in the light of assessment criteria and does not meet the minimum requirements for a dissertation.

The Faculty Council will appoint preliminary examiners of the dissertation, decide on the permission to defend the dissertation in a public examination and finally decide on the approval of the dissertation and on the grade. When planning the schedule for graduation, it is good look at the days of meeting of the Faculty Council.

1. Once the doctoral candidate has finished the dissertation manuscript and has completed all the required postgraduate studies, the supervising professor and supervisor(s) will look for preliminary examiners.
2. After hearing the doctoral candidate and the supervisors, the supervising professor will make a proposal for the appointment of the preliminary examiners of the dissertation (e-form). The doctoral candidate may submit an objection to the selection of the preliminary examiners.
3. Before the preliminary examination a plagiarism recognition must be done the dissertation (Urkund).
4. The Faculty Council will appoint the preliminary examiners.
5. The candidate submits his/her dissertation manuscript as a single pdf-file including the published and unpublished articles to kumpula-phd@helsinki.fi within a week after the Faculty Council has appointed the preliminary examiners. At the same occasion, in the case of co-authored publications, the candidate submits an account of his/her contribution to them if it is not included in the manuscript. 
6. The Faculty Office will provide the preliminary examiners with instructions about the process.
7. The preliminary examiners have two months to give their written statement.
8. The Faculty Office will deliver the statements forward.
9. The doctoral candidate may submit an objection to the preliminary examiners’ statements.
10. The supervising professor will propose the appointment of an Opponent, a Custos and a Faculty representative for the public examination of the dissertation (e-form).
11. The doctoral candidate may submit an objection to the selection of the Opponent and the grading committee.
12. The Faculty Council will decide on the appointment of the Opponent, the Custos and the grading committee and on the permission to defend the dissertation in a public examination.
13. The PhD affairs will inform the Opponent of his or her appointment, provide instructions for the Opponent, and inform the doctoral candidate of the permission to defend. Also the instructions for the public defence will be sent. 
14. The public examination, also called the public defence, of a doctoral dissertation.
15. The Opponent will submit a statement on the dissertation to the Faculty within two weeks of the public examination.
16. The dissertation grading committee will propose a grade for the dissertation and give an assessment of the doctoral candidate’s performance in defending it.
17. The doctoral candidate will submit a written notification that he or she has read the Opponent’s statement and that he or she has no objections to it or to the grade proposed by the grading committee (form). The doctoral candidate may also submit to the Faculty an objection concerning the statement and appeal against the proposed grade.  
18. The Faculty Council will decide on the approval of the dissertation and on the grade.
19. The doctoral candidate will submit to the Faculty Office an application for a diploma. 
20. Graduation ceremonies.

Please contact kumpula-phd@helsinki.fi in all matters related to PhD thesis.

The Regulations on Degrees and the Protection of Students' Rights at he University of Helsinki includes provisions regarding the preliminary examination of doctoral dissertations. In addition, the Rector has given a decision about the preliminary examination of doctoral dissertations on 20 June 2017 and the Faculty issued its own instructions on preliminary examination on 12 December 2017.

The doctoral candidate is responsible for the content of the work he or she submits for preliminary examination. The supervisor(s) are responsible for ensuring that the quality of the work is such that it can be submitted for preliminary examination. The primary supervisor decide if language revision is necessary.

Before the preliminary examination a plagiarism recognition must be done the dissertation (Urkund). 

Ap­point­ment of pre­lim­in­ary ex­am­iners

The Faculty Council appoints at least two pre-examiners for each dissertation. The pre-examiners should be professors or have the title of docent or PhD's with other equivalent academic qualifications. The pre-examiners are appointed outside the Faculty and normally outside the University of Helsinki. The Faculty Council considers exceptions to the above rules only on the basis of a written reasoned request. The supervisor of a dissertation cannot be appointed as its pre-examiner.

A pre-examiner cannot be:

• a person, who is a co-author in a publication included in the dissertation
• a person, who has or has had collaboration with the doctoral candidate during the disseration process
• a person, who has close collaboration with the candidate's supervisor in the past three years
• a close relative of the doctoral candidate
• immediate superior or subordinate of the candidate or his or her supervisor
• a member of the thesis committee.

The Faculty Council discusses the appointment of pre-examiners on the initiative of the doctoral candidate’s supervising professor (e-form). The nominated pre-examiners are notified in writing of the Faculty Council’s decision. Doctoral candidates must be provided with the opportunity to lodge an objection with the Faculty Council against the appointment of pre-examiners.

In­struc­tions for pre­lim­in­ary ex­am­iners

The pre-examiners must, within two months, submit a written statement, either jointly or individually, recommending explicitly that the doctoral candidate be granted or denied permission to defend the dissertation at a public examination. The time period within which this statement must be submitted cannot be longer than three months, unless there are special grounds.

In their statements, pre-examiners must pay attention to at least the following:

• The significance and status of the research within the research field
• The scope of the work and adequacy of the research material, the significance and deficiencies of any manuscripts submitted for publication
• Application and development of the research methods
• The deduction of results from the material studied
• The consistency of the structure of the work
• Familiarity with and use of the literature
• The composition of the dissertation (presentation, style and language)
• The doctoral candidate’s contribution to the attainment of the dissertation’s research results (if the dissertation includes co-authored publications): has the doctoral candidate made a sufficiently independent contribution to the dissertation as a whole?

The pre-examiners should in their statement either

• recommend that the permission to defend the dissertation should be granted or
• recommend that the permission to defend the dissertation should be denied due to serious deficiencies in the dissertation.

If a pre-examiner identifies shortcomings which he or she believes must be addressed before the doctoral candidate can be granted permission to defend the dissertation at a public examination, the pre-examiner must contact the candidate and agree on a course of action. The Faculty requests that pre-examiners not set conditions in their statements for granting a doctoral candidate permission to defend his or her dissertation. Instead, the pre-examiners’ statements should clearly indicate whether or not they recommend that the candidate be granted that permission.

Doctoral candidates must be provided with the opportunity to object to a pre-examiner’s statement before the Faculty Council decides on permission to defend the dissertation at a public examination.

Because of differences of opinion between the pre-examiners or shortcomings in the dissertation, the pre-examination process cannot be concluded in some cases within the set time period or a reasonable extension period that the pre-examiners and the doctoral candidate have agreed on with the issuance of a statement recommending that the doctoral candidate be granted permission to defend his or her dissertation at a public examination. In such cases, the pre-examination process is terminated unless the doctoral candidate wishes to take the matter to the Faculty Council.

After a pre-examination process has been terminated, the doctoral candidate can request another pre-examination of his or her dissertation, once the changes referred to in the rejecting pre-examination statements or other changes have been made to the dissertation manuscript, and once the supervisor or another professor in the subject area has recommended that the pre-examination be restarted.

Regulations on Degrees and the Protection of Students’ Rights (Flamma)

Dissertations are examined at a public examination after the preliminary examiners have recommended that the doctoral candidate should be granted the permission to defend his or her dissertation. The public examination should be organised within 12 months after the permission to public defense is granted.

Ap­point­ment of op­pon­ents and cus­tos

The Faculty Council appoints one opponent or two opponents for a public examination (e-form). The opponent(s) must have the qualifications of a docent or other equivalent academic qualifications. The opponent must be appointed from outside the Faculty and normally outside the University of Helsinki. The supervising professor will propose the appointment of opponents.

The opponent can have no relationship with the doctoral candidate, the doctoral dissertation or another party involved that may compromise his or her impartiality. Consequently, the following persons cannot serve as an opponent:

• A person, who has co-authored at least one of the articles in the doctoral dissertation or who is currently engaged in research cooperation with the doctoral candidate or was engaged in such research cooperation during the dissertation project
• A person who has been engaged in close research cooperation with the dissertation supervisor during the three years prior to the preliminary examination of the doctoral dissertation
• A close relative of the doctoral candidate or the immediate superior or subordinate of the doctoral candidate or the supervisor
• A member of the thesis committee

Doctoral candidate must be provided with the opportunity to object the appointment of the opponent to the Faculty Council.

The nominated opponent is informed of their duties. They also receive a brochure by the University Communications on the practices and procedures followed at the public examination. The PhD affairs office provides the instructions on the opponent’s statement.

In his or her statement, the opponent must pay attention to the following

A. The scientific value of the dissertation:

1. The significance and status of the dissertation in the field

2. The scope of the dissertation and the sufficiency of the material; the significance and shortcomings of any manuscripts submitted for publication

3. The doctoral candidate’s ability to obtain results from the material examined in the dissertation

4. The logic of the dissertation’s structure

5. The knowledge and use of literature in the field

6. Language

B. The doctoral candidate’s defence:

1. The doctoral candidate’s input into the achievement of the dissertation results 

2. The knowledge of the dissertation field

3. The knowledge of literature in the field

4. The ability to apply research methods

5. The ability to discuss, debate and respond to criticism

The Faculty Council appoints one of the Faculty professors as the Custos. The Custos can also be one of the Faculty's associate professors, on the level 2 of tenure track. The pre-examiner of a dissertation cannot be appointed as the Custos.

Pub­lic ex­am­in­a­tion and its language

The public examination begins with an introductory lecture (lectio praecursoria) given by the doctoral candidate on the topic of the dissertation. The opponent the Faculty Council has appointed then presents his or her comments on the dissertation. This part of the public examination cannot last longer than four hours. Afterwards, others attending the public examination may also comment on the dissertation. The public examination cannot last longer than six hours.

The language of the public examination is decided in advance by the custos (the chair of the public examination) after consulting both the doctoral candidate and the opponent. The language of the examination is usually Finnish, Swedish or the language of the dissertation, but it can be another language if the doctoral candidate agrees to it. In addition, the doctoral candidate and the opponent can use different languages at the public examination if they agree to such an arrangement.

The Faculty Council decides on the approval of the dissertation. It also decides on the grade of the dissertation after hearing the grade committee. The grading is based on the opponent's and preliminary examiners' statements.

Op­pon­ent's state­ment

The opponent is required to submit to the Faculty Council a reasoned written statement on the dissertation within two weeks of the public examination. If there is two opponents they can give a joint statement. The grading of the dissertation must also take into account the doctoral candidate’s defence of the dissertation at the public examination.

Before the grading of the dissertation, the doctoral candidate must be provided with the opportunity to object to the opponent’s statement.

Grad­ing com­mit­tee

The Faculty Council appoints the dissertation grading committee after the proposal from the supervising professor (form). The grading committee consists of the Custos, the opponent and one or two faculty representatives. The faculty representative must be a professor or a member of the research and teaching staff who has the qualifications of a docent. If the Custos has supervised the dissertation, he or she will have the right to speak but not to vote at the committee meeting. The committee must include at least two members entitled to vote.

The grading committee makes a proposal of the grade of the dissertation. The proposal should take into account the scientific value of the dissertation and the doctoral candidate’s defence of the dissertation at the public examination. The proposal should also take into account the preliminary examiners' statements.

As­sess­ment cri­teria in the fac­ulty of science

The University of Helsinki, and thus also The Faculty of Science, assesses doctoral dissertations using the grades Pass with Distinction, Pass and Fail. Doctoral dissertations are graded by the Faculty Council. The dissertation grading committee proposes the grade. The documents that serve as the basis for the grading of doctoral dissertations include statements by the preliminary examiners, the opponent and the dissertation grading committee.

The approval and grading of doctoral dissertations is governed by Section 44 of the Universities Act (Act No 558/2009) and Sections 42–44 of the Regulations on Degrees and the Protection of Students’ Rights at the University of Helsinki. To supplement the above regulations, the Faculty of Science issued on 4 December 2012 instructions entitled “The doctoral dissertation and its preliminary and public examinations, approval and grading” as well as this decision on the Faculty’s dissertation assessment criteria and grade descriptions.

According to Government Decree No 794/2004 on University Degrees (Section 21), the objective of scientific  postgraduate education is that the student

1. becomes well-versed in his or her own field of research and its social significance and gains knowledge and skills needed to apply scientific research methods independently and critically and to produce new scientific knowledge within his or her field of research;
2. becomes conversant with the development, basic problems and research methods of his or her own field of research; and
3. gains such knowledge of the general theory of science and of other disciplines relating to his or her own field of research as enables him or her to follow developments in them.

According to the Faculty’s decision, a doctoral dissertation is a consistent scholarly work based on independent research that makes an original contribution to knowledge. The author must master the most salient rules of academic writing and demonstrate an ability to produce independent and critical work. The research must be scientifically convincing and the results well-grounded. The research must be scientifically honest and meet the norms set for research ethics.

• The significance and status of the research within the research field
• The doctoral candidate’s contribution to the attainment of the dissertation’s research results
• The scope of the work and adequacy of the research material
• Application and development of the research methods
• The deduction of results from the material studied
• The consistency of the structure of the work
• Familiarity with and use of the literature
• The composition of the dissertation (presentation, style and language)
• The doctoral candidate’s ability to defend his or her research at the public examination

The grade of Pass with Distinction will be awarded only to dissertations of exceptional quality under the assessment criteria. The purpose of the Faculty’s preliminary examination procedure is to ensure that the dissertation can be approved after its public examination. However, a dissertation study authored by a doctoral candidate who has been granted the right to defend his or her dissertation at a public examination must be failed if, in the light of the assessment criteria, the dissertation has serious deficiencies and cannot be deemed to fulfil the minimum requirements set for doctoral dissertations

A dissertation cannot be accepted at a Faculty Council meeting before the Faculty has received a written statement from the doctoral candidate, indicating that

• the doctoral candidate has read the opponent’s statement
• the doctoral candidate does not wish to object to the opponent’s statement or the grade proposed for the dissertation.

The Faculty notifies the doctoral candidate of its decision on the acceptance of the dissertation.

According to the Regulations on Degrees and the Protection of Students’ Rights at the University of Helsinki, students dissatisfied with the grading of their Licentiate thesis or doctoral dissertation may appeal in writing to the Academic Appeals Board within 14 days of the receipt of the grading decision.  The Board can refer the grade back to the Faculty Council for reconsideration.