FOURTH EDITION HOW TO GET A PhD A handbook for students and their supervisors Worldwide Bestseller Reviews of the third edition: This remains the best general…introduction to working on the PhD. How to get a PhD It is well worth consulting by anyone considering the PhD as a route to take, either part-time combined with employment, or full time as a route into academia. Social Research Association How to get a This is an excellent book. Its style is racy and clear…an impressive array of information, useful advice and comment gleaned from the authors’ systematic study and experience over many years…should be required reading not only for those contemplating doctoral study but also for supervisors, new and experienced.
PhD Higher Education A handbook for students and their supervisors Since the first edition of this innovative book appeared in 1987 it has become a worldwide bestseller. Through it many thousands of students in all faculties and disciplines have been helped to gain their PhDs. Practical and clear, this book examines everything students need to know about getting a PhD through research in any subject. It also helps supervisors and examiners to better understand their role in the process.
New to this edition: Phillips and Pugh • Completely updated throughout • New section on increasingly popular professional doctorates such as EdD, DBA and D.Eng • New material for overseas, part-time and mature students, and their supervisors • New diagnostic questionnaire for students to self-monitor progress • Takes in the impact of the new Code of Practice of the Quality Assurance Agency Includes stories of other PhD students, problems they encountered and how they dealt with them! How to get a PhD is the essential handbook for doctoral students! Dr Estelle M. Phillips is an independent educational consultant. She specializes in giving advice on appropriate provision for research students, and in conducting training for doctoral students and supervisors. Pugh is Emeritus Professor of International Management of the Open University Business School.
He has considerable experience in the design of doctoral programmes and the successful supervision of PhD students. Cover illustration: Chris Madden Cover design: Kate Prentice ISBN 0-335-21685-4 Estelle M. Phillips and Derek S. Pugh 9 780335 216857 I I HOW TO GET A PhD Fourth edition I I I I HOW TO GET A PhD A handbook for students and their supervisors I I FOURTH EDITION revised and updated ESTELLE M.
PHILLIPS and DEREK S. PUGH Open University Press Open University Press McGraw-Hill Education McGraw-Hill House Shoppenhangers Road Maidenhead Berkshire England SL6 2QL email: enquiries@openup.uk world wide web: <www.uk> and Two Penn Plaza, New York, NY 10121-2289, USA First published 1987 Reprinted 1988 (twice), 1989, 1990, 1991, 1992, 1993 Second edition first published 1994 Reprinted 1994, 1995, 1996, 1998, 1999 Third edition first published 2000 Reprinted 2000, 2001, 2002, 2003, 2005 First published in this fourth edition 2005 Copyright © Estelle M. Phillips and Derek S. Pugh 2005 All rights reserved.
Except for the quotation of short passages for the purpose of criticism and review, no part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form, or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior written permission of the publisher or a licence from the Copyright Licensing Agency Limited. Details of such licences (for reprographic reproduction) may be obtained from the Copyright Licensing Agency Ltd of 90 Tottenham Court Road, London, W1T 4LP. A catalogue record of this book is available from the British Library ISBN–10: 0 335 21684 6 (pb) 0 335 21685 4 (hb) ISBN–13: 978 0 335 21684 6 (pb) 978 0 335 21685 7 (hb) Library of Congress Cataloging-in-Publication Data CIP data applied for Typeset by RefineCatch Limited, Bungay, Suffolk Printed in the UK by Bell & Bain Ltd, Glasgow Dedicated to SHELDON, JEROME AND BRADLEY REBACK and THE PUGHS and THE ARIELS I I CONTENTS I I Preface to the fourth edition xiii 1 On becoming a research student 1 The nature of doctoral education 2 The psychology of being a research student 4 The aims of this book 5 Action summary 5 2 Getting into the system 7 Choosing the institution and field of study 7 The scientific research programme 9 Eligibility 10 Grants and research support 11 Distance supervision? 12 Choosing your work context 13 Selecting your supervisor 14 Starting out as a research student 16 Myths and realities of the system 17 The ‘ivory tower’ 17 Personal relationships 17 Teamworking 18 Action summary 19 3 The nature of the PhD qualification 20 The meaning of a doctorate 20 Becoming a fully professional researcher 22 viii I HOW TO GET A PhD Differences between the MPhil and the PhD 24 Aims of students 25 Aims of supervisors 26 Aims of examiners 28 Aims of universities and research councils 29 Mismatches and problems 30 Action summary 31 4 How not to get a PhD 33 Not wanting a PhD 33 Not understanding the nature of a PhD by overestimating what is required 35 Not understanding the nature of a PhD by underestimating what is required 37 Not having a supervisor who knows what a PhD requires 39 Losing contact with your supervisor 40 Not having a thesis 41 Taking a new job before finishing 43 Action summary 44 5 How to do research 46 Characteristics of research 46 Intelligence-gathering – the ‘what’ questions 47 Research – the ‘why’ questions 48 Characteristics of good research 48 Research is based on an open system of thought 48 Researchers examine data critically 49 Researchers generalize and specify the limits on their generalizations 49 Hypothetico–deductive method 50 Basic types of research 51 Exploratory research 51 Testing-out research 52 Problem-solving research 52 Which type of research for the PhD? 52 The craft of doing research 54 Action summary 55 6 The form of a PhD thesis 56 Understanding the PhD form 56 Background theory 57 Focal theory 58 Data theory 58 Contribution 59 CONTENTS I ix Detailed structure and choice of chapter headings 60 The concept of originality 61 Writing the thesis 63 Writing as a process of rewriting 63 Different types of writers 64 Getting down to it 65 The thesis itself 66 Alternative thesis styles 67 To publish or not to publish prior to submission? 68 Action summary 70 7 The PhD process 71 Psychological aspects 71 Enthusiasm 71 Isolation 72 Increasing interest in work 73 Transfer of dependence from the supervisor to the work 74 Boredom 76 Frustration 76 A job to be finished 77 Euphoria 78 Others ‘getting in first’ 79 Practical aspects 80 Time management 80 The duration of the process 82 The stages of the process 82 Redefining long-term and short-term goals 86 The importance of deadlines 87 Self-help and peer support groups 89 Internet groups 90 Teaching while studying for a PhD 91 Casual teaching 91 Teaching assistantships 92 Action summary 93 8 How to manage your supervisors 94 The supervisory team 94 The supervisory team’s limitations 95 What supervisors expect of their doctoral students 97 Supervisors expect their students to be independent 97 Supervisors expect their students to produce written work that is not just a first draft 98 Supervisors expect to have regular meetings with their research students 99 x I HOW TO GET A PhD Supervisors expect their research students to be honest when reporting on their progress 100 Supervisors expect their students to follow the advice that they give, especially when it has been given at the request of the postgraduate 101 Supervisors expect their students to be excited about their work, able to surprise them and fun to be with! 101 The need to educate your supervisors 103 How to reduce the communication barrier 105 Improving tutorials 105 Changing supervisors 108 Inappropriate personal relationships in supervision 110 Action summary 111 9 How to survive in a predominantly British, white, male, full-time, heterosexual academic environment 112 Part-time students 112 Overseas students 114 Settling in to Britain 115 Expressing yourself in English 116 The culture of British doctoral education 117 Ethnic minorities 119 Racial harassment 120 Women students 121 Difficulties concerning legitimacy of topics and methodology 122 Problems of communication, debate and feedback 123 Scarcity of academic role models 124 Sexual harassment and exploitation 125 Gay, lesbian, bisexual and trans-gender students 127 Heterosexist harassment 128 Mature students 129 Students with disabilities 130 Disability legislation 130 Harassment of people with a disability 131 Action summary 131 10 The examination system 135 Upgrading to doctoral student status 135 Giving notice of submission 136 The appointment of examiners 136 Submitting the thesis 136 The oral examination – the ‘viva’ 137 Preparing for the viva 138 The results of the examination 140 CONTENTS I xi The appeals procedures 142 Litigation 144 Action summary 144 11 How to supervise and examine 145 What students expect of their supervisors 145 Students expect to be supervised 145 Students expect supervisors to read their work well in advance 147 Students expect their supervisors to be available when needed 148 Students expect their supervisors to be friendly, open and supportive 149 Students expect their supervisors to be constructively critical 150 Students expect their supervisors to have a good knowledge of the research area 151 Students expect their supervisors to structure the tutorial so that it is relatively easy to exchange ideas 151 Students expect their supervisors to have sufficient interest in their research to put more information in the students’ path 153 Students expect supervisors to be sufficiently involved in their success to help them get a good job at the end of it all! 153 Establishing a role model 154 Teaching the craft of research 154 Giving effective feedback 155 Introducing a structured ‘weaning’ programme 160 Maintaining a helpful ‘psychological contract’ 162 Encouraging students’ academic role development 164 Supervising non-traditional students 165 Part-time students 165 Problems of access 165 Organizing work 166 Overseas students 166 Ethnic minorities 169 Women students 170 Gay, lesbian, bisexual and trans-gender students 171 Mature students 172 Disabled students 173 Supervising your research assistant 173 Outcomes of good supervision 174 Training for supervision 175 How to examine 175 The oral examination 178 Action summary 179 xii I HOW TO GET A PhD 12 Institutional responsibilities 181 University responsibilities 183 A university-wide graduate school for doctoral students 183 Participation in a regional hub 183 Support for students 184 Facilities for departments to support doctoral research activity 184 A university-wide structured induction procedure 185 A handbook for university research degree students 186 English language support where necessary 186 Support for non-traditional students 187 Resources for supervisors 187 The training of supervisors 187 Teaching credit for doctoral supervision 188 Faculty/departmental doctoral research tutor 189 Providing appropriate regulations 189 Selection of doctoral students 189 Monitoring of students’ progress 190 Upgrading from MPhil to PhD registration 191 Appointment of external examiners 192 A forum for review of the PhD 192 The PhD as a series of projects 192 Intellectual copyright and appropriate recognition for doctoral students’ work 193 The PhD in a practice-based discipline 195 Professional doctorates 196 Departmental responsibilities 198 The departmental research tutor 198 Improving the selection of students into the department 200 Selection of supervisors 201 Guidelines on appropriate supervisory behaviour 202 Support groups for research students 203 A departmental doctoral programme 204 The doctoral cohort system 205 Action summary 206 Conclusion 206 Appendix 207 References 211 Index 215 I I PREFACE TO THE FOURTH EDITION I I The gratifying response to the previous editions of this book testifies to the need of research students and their supervisors to understand the processes of effective doctoral education. The number of translations into other languages – Reformed Chinese, Spanish, Portuguese, Classical Chinese, Russian, Arabic and Korean (in chronological order) – demonstrates that the issues covered here are highly relevant in many countries.
This need to understand is reinforced by the considerable institutional change taking place in the higher education system in the UK.