graduate research candidature management thesis preparation and submission procedures

PhD Resources

Graduate research school.

GRS coordinates UTS-wide PhD and indeed all researcher development. We encourage you to build your network of peers across the disciplines (also bearing in mind that your learning analytics research may well need to partner with one or more academic teams in the faculties/centres).

PLEASE NOTE: The CIC HDR procedures are a companion document to the UTS Graduate Research Candidature Management, Thesis Preparation and Submission Procedures (known as Procedures – first link below).  Where there is any inconsistency between the two documents, the Procedures take precedence. The CIC procedures clarify how particular processes work specifically at CIC. For anything not covered here, refer to the Procedures.

• Graduate Research Candidature Management, Thesis Preparation and Submission Procedures (pdf)
• The UTS Research Environment (Staff Connect home) includes the UTS research strategy
• Research Education and Development
• Research Student Workshops
• UTS HDR Handbook (pdf)
• Managing, archiving and publishing research data (Stash)

UTS Library

UTS Library runs a range of workshops throughout the year for researchers. Check out their research site for more information.

• Video on research data management and Stash

Key resources

• The UTS Graduate Research School runs a number of workshops, and supports a mentoring programme
• You may find the resources at Vitae (and the research development planner there) useful

Around the web

• Thesis whisperer
• Vitae Innovate Handbook of social media for researchers and supervisors, Open University 2012
• The Art of Doing a PhD
• How to be stupid in research
• Pat Thomson
• The Chronicle’s researcher development site
• Many people at UTS blog, e.g. Simon (K)’s blog on the PhD viva may be useful
• Using Trello for organising the PhD life
• Google Keep for shareable ToDo Lists
• Use a citation management tool
• Setup google scholar alerts for citations to key papers/authors
• Statistical methods for HCI

Share exemplar thesis citations here – the best way to learn how to write a PhD, and the many different PhD shapes and styles, is to read them.

• Huffman, S. R. (2015). Exploring learner perceptions of and interaction behaviors using the Research Writing Tutor for research article Introduction section draft analysis. Retrieved from http://lib.dr.iastate.edu/etd/14418/
• Feng, Hui-Hsien (2015). Designing, implementing, and evaluating an automated writing evaluation tool for improving EFL graduate students’ abstract writing: a case in Taiwan

General thesis resources

• UTS theses are available online UTS Digital Theses Collection (OPUS)
• British Library EThOS/ – Search and order theses online
• Theses now searchable via Trove

General Reference Books that might prove useful include:

• 5 books to help you with your PhD
• Burns, R.B. (1994) Introduction to Research Methods, Melbourne: Longman Cheshire (esp. parts 1 and 3).
• Creswell, J. (1994) Research Design: Qualitative and Quantitative Approaches, Thousand Oaks, Sage
• Crotty, M. (1998) The Foundations of Social Research: Meaning in the Research Process, Sage
• Leedy, P. & Ormrod, J. (2000) Practical Research: Planning & Design, Prentice Hall (7th ed)
• Martella, R., Nelson, R. & Marchand-Martella, N. (1998) Research Methods: learning to Become a Critical Research Consumer, Allyn & Bacon
• Punch, K.F. (1998) Introduction to Social Research: Quantitative & Qualitative Approaches, Sage, London
• Peterson, R. A. (2000), Constructing Effective Questionnaires, Sage Publications Inc., Thousand Oaks

Thesis Preparation & Submission

The final examination of a candidate for a Research Masters or PhD degree is based on the explanation of the candidate’s research in a thesis describing the context, nature, methodology and outcomes of the research, prepared in accordance with international norms.

• You will prepare your thesis under the direction of the Principal Supervisor and with the support of your Research Studies Panel. Please liaise with both on your thesis
• The  Thesis Submission Guidelines outlines the process for preparation, submission, processing and examination of graduate research degree theses. The  Theses in Graduate Research Programmes Policy  identifies the responsibilities of each party within the University with respect to the preparation, submission, processing, examination, and dissemination of graduate research degree theses.

See  Thesis Submission Dates

Submission of Thesis for Examination

• You must be a fully registered student and not owe any fees at the time when your thesis is submitted for examination.

You may submit your thesis in 2 ways:

1.  via the UCD eThesis System : please see here  for further information.  Through the system, you will be able to submit your thesis electronically, verify authorship and programme compliance, and track progress through all stages of the examination process.

2. via hard copy: ( note:subject to restrictions due to COVID-19: please see  FAQ  for further info ) 

You submit to the Student Desk in the Tierney Building as many soft bound copies of the thesis as there are members on your Examination Committee. There are usually three people on the Examination Committee i.e. internal examiner, extern examiner and the Chair of the Examination Committee. The members of your examination committee are listed on the "UView - Student Enquiry" Screen on your UCD student SIS Web account under the heading "Other Advisors". The theses must be accompanied by a completed Research Degree Examination Form signed by both you and your Principal Supervisor (download  Research Degree Examination Form  /access  here  in our Documents & Files).

Submission of Final Thesis

Following the viva voce examination for PhD students and once you have the approval of the internal examiner that you have met the requirements of the Examination Committee you follow these steps:

• Step 1: produce a hardbound copy of your thesis
• eThesis submission: no corrections sign-off form needed with hardbound thesis 
• Traditional submission: corrections sign-off form needed with hardbound thesis
• Step 3: you submit the hardbound thesis to the UCD Student Desk with the signed Thesis Correction Sign Off Form ( note: subject to restrictions due to COVID-19: please see  FAQ  for further info ) 

Further Resources

Documents & files.

View or download the most useful policies, regulations and forms for graduate research students

PhD Lifecycle

View the lifecycle of the PhD programme at UCD, from application to conferring

Viva Voce Examination

View guidance and procedures relating to the viva voce oral examination

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Publish and share 

• Understand how to publish strategically for impact and avoid predatory publishers. 
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Build your publishing track record 

• Maintain your online profiles and understand how to use citation metrics to demonstrate the impact of your research.  
• Find and be discovered by potential collaborators. 
• Strategic Publishing, Research Impact & Researcher Profiles Guide  covers scholarly publishing strategies, how to choose a journal, discusses Open Access publishing models, how to evaluate research impact, and provides tips around managing researcher profiles. 

Support for HDR students 

• Submit your digital thesis to the UTS Digital Thesis collection.  
• See the  Copyright Guidelines for UTS Digital Thesis submission(PDF) .  
• Explore guidelines on formatting and submitting your thesis in the  Graduate Research Candidature Management, Thesis Preparation and Submission Procedures(PDF) .  
• An introduction to Library support  
• Finding information  
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• Visit the Scholar’s Centre for quiet study, printing facilities, lockers and dedicated research space.  
• RES Hub  is an online and physical space for all UTS researchers to access research systems, capability development training and induction materials. 

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The Library can provide personalised advice, training and support at all stages of your research journey. 

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UTS acknowledges the Gadigal people of the Eora Nation, the Boorooberongal people of the Dharug Nation, the Bidiagal people and the Gamaygal people, upon whose ancestral lands our university stands. We would also like to pay respect to the Elders both past and present, acknowledging them as the traditional custodians of knowledge for these lands.

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Higher Degrees by Research Thesis Submission and Examination - Procedures | UniSC | University of the Sunshine Coast, Queensland, Australia

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Higher Degrees by Research Thesis Submission and Examination - Procedures

• Authorship and Dissemination of Research Findings - Procedures
• Copyright - Governing Policy
• Higher Degrees by Research - Academic Policy
• Higher Degrees by Research Candidature - Procedures
• Higher Degrees by Research Supervision - Procedures
• Intellectual Property - Governing Policy
• Intellectual Property: Student IP - Procedures
• Managing and Investigating Breaches of Responsible Research Conduct - Procedures
• Research Data Management - Procedures
• Responsible Research Conduct - Governing Policy
• Student Conduct - Governing Policy
• Higher Degrees by Research - Procedures
• Higher Education Support Act 2003 (Cth)
• Australian Code for the Responsible Conduct of Research (2018)
• Australian Qualifications Framework

1. Purpose of procedures

1.1 These procedures provide the structure for submission and examination of a higher degree by research thesis at the University.

2. Scope and application

2.1 These procedures apply to all Doctoral degrees and Research Master degrees. They apply to all candidates enrolled in a HDR program.

2.2 These procedures apply to all staff working in the HDR environment at the University.

2.3 These procedures, together with the Higher Degree by Research Candidature – Procedures and the Higher Degree by Research Supervision – Procedures support the Higher Degrees by Research - Academic Policy .

2.4 These procedures are supported by the following guidelines: 

• Higher Degree by Research Candidature Progression – Guidelines
• Higher Degrees by Research Independent Academic Reviews – Guidelines
• Higher Degree by Research Thesis Format – Guidelines
• Higher Degree by Research Thesis Examination – Guidelines

3. Definitions

Refer to the university’s Glossary of Terms for policies and procedures . Terms and definitions identified below are specific to these procedures and are critical to its effectiveness:

Candidate means a person admitted to a Higher Degree Research (HDR) program at the university.

Candidature means duration of enrolment in a higher degree by research program. A Research student is considered to be a “candidate” for the higher degree by research program in which they are enrolled. All research and related work towards fulfilment of the requirements for a higher degree by research must be completed during enrolled candidature.

Creative work means an original product designed, created, or constructed by a candidate during candidature derived from one or more of the creative arts including graphical and new media techniques.

Exegesis means a scholarly, critical commentary on the original creative work in dialogue with, and informing that original work or collection of works, resulting from research undertaken and produced during. The exegesis also includes explicit reference to the research methodologies employed in the creation of the original creative work.

Higher degree by research (HDR) means a supervised research program that requires original research in an area.

Principal Supervisor means a UniSC academic staff member who meets the criteria for and has been approved for registration as a UniSC Principal HDR supervisor. A registered principal supervisor may join an individual student’s supervision panel as the student’s principal supervisor or as a co-supervisor. Refer to the Higher Degree by Research Supervision – Procedures for a principal supervisor’s roles and responsibilities.

Thesis means an original substantial piece of scholarly writing resulting from research undertaken by a candidate and produced during candidature to meet the requirements of the degree.

4. Thesis preparation

.1 For an award of a PhD or Research Masters, the thesis must fulfil the requirements of the program, as stated in the Higher Degree by Research – Academic Policy .

4.2 The candidate must prepare and format their thesis in accordance with ‘ Higher Degree by Research Thesis Format – Guidelines’.

5. Thesis Review and Feedback

5.1 This section should be read in conjunction with the ‘ Higher Degree by Research Independent Academic Reviews – Guidelines’ .

5.2 The supervision panel provides feedback to students throughout candidature on the content and format of the thesis.

5.3 Prior to recommending approval of the submission of the thesis for external examination, the principal supervisor must arrange for:

(a) the thesis to be run through the university’s plagiarism detection software; and

(b) an independent academic review of the thesis prior to submission for external examination. Refer to the ‘Higher Degrees by Research Independent Academic Reviews – Guidelines ’ for further information about the thesis review.

5.4 At thesis submission, the principal supervisor will be required to declare that the above requirements have been met.

6. Examiner Nomination

6.1 The Intention to Submit form lodged by the Candidate eight (8) weeks prior to the Thesis Submission will serve as a prompt for the principal supervisor to nominate Thesis Examiners.

6.2 Thesis Examiner nominations will include:

(a) the examiner nomination form; and

(b) a brief abstract of the thesis.

6.3 The principal supervisor will discuss potential Thesis Examiners with the Candidate so that any conflicts of interest can be dealt with. Refer to the HDR Thesis Examination - Guidelines for examples.

6.4 On submission of examiner nomination to the Dean, Graduate Research, the principal supervisor ceases communication with the nominated examiners. Subsequent communication relating to the examination is undertaken by the Graduate Research School.

6.5 An examination panel will consist of:

6.6 Members of the examination panel are invited by the Graduate Research School on behalf of the Dean, Graduate Research. Invited examiners respond via the form provided.

6.7 When a thesis requires examination under obligations of confidentiality, the external examiners are required to sign and return a Confidentiality Agreement in addition to the examiner acceptance form provided.

6.8 The examination is a confidential process. Candidates are not advised of the identity of their appointed examiners until the end of the examination process, and only if the examiner has indicated that their identity may be made available. Members of the examination panel may not normally consult with one another. An examiner wishing to enter into dialogue with another examiner, should direct any questions to the Dean, Graduate Research via the Graduate Research School. An examiner may not communicate with the candidate or a member of their supervision panel.

7. Submission of thesis for examination

7.1 The following sections should be read in conjunction with the Higher Degree by Research Thesis Examination – Guidelines.

7.2 A candidate will submit their thesis for examination via UniSC’s candidate management system.

7.3 The Graduate Research School will confirm the candidate has successfully completed all compulsory program requirements.

7.4 In the event that the principal supervisor declines to support the examination of the thesis or exegesis and creative work, the Dean, Graduate Research will determine whether the thesis or exegesis and creative work will be accepted for examination and if required, identify an appropriate examination panel. In making the determination, the Dean, Graduate Research may seek written or oral representations from the candidate, the supervisors and may seek information from any other sources.

7.5 If the Dean, Graduate Research, determines that the thesis or exegesis and creative work may not be submitted for examination, the Graduate Research School will advise the candidate in writing of the decision, the reasons for the decision and, where appropriate, any actions that the candidate needs to take in order that the thesis or exegesis and creative work may be made ready for examination.

7.6 Consumption of candidature is suspended when the thesis or exegesis (and creative work) is approved for submission, effective as of the date submitted. If the candidate has been in receipt of a scholarship, the Graduate Research School advises Student Finance to cease stipend payments.

8. Examination

8.1 When the thesis submission has been approved and when the approved Thesis Examiners have accepted the University’s invitation to examine the thesis, the Graduate Research School will provide the examination materials to the Thesis Examiners.

8.2 Each examiner must submit to the Graduate Research School a concise written report on the thesis and must recommend one of the following:

8.3 Upon receipt of the examiner’s reports, the Dean, Graduate Research determines the outcome of the examination as one of the options described in Section 8.2.

8.4 Where there is substantial disagreement between the external examiners, the Dean, Graduate Research, may seek input from the Chairperson of Examiners, or may request that an additional external examiner be appointed to examine the thesis.

8.4.1 If the Dean, Graduate Research determines an additional examination of the thesis, the Graduate Research School will invite the reserve examiner (in accordance with Section 6.4) who will examine the thesis and provide an additional report for the Dean, Graduate Research to consider.

8.4.2 In the case of referral to an additional external examiner, the Graduate Research School provides an update to the relevant principal supervisor to explain the delay to the final examination outcome.

8.5 The Graduate Research School communicates the final examination outcome advice to the Candidate, principal supervisor, and Chairperson of Examiners.

9. Additional requirements for HDR Creative Arts submission and examination

9.1 For candidates producing non-print creative work as part of a higher degree by research, additional submission requirements are described in this section. Such candidates are required to submit for examination, an activation/presentation event of their creative work, which includes but is not limited to one or more appropriate exhibitions, showcases, performances, industrial releases, or digital recordings (or recording of an activation and an exegesis.

9.2 A candidate must advise the Graduate Research School of the date of their final exhibition, showcase, performance, or industrial release and submit the relevant ‘Notice of Intention to Submit Form’, stipulating dates, times and locations of activation/s and programming, two months prior to the first activation date. In cases where there is to be more than one activation, candidates must include a listing of all activation dates.

9.3 Prior to the activations, candidates submit the ‘Activation Approval Form’ to the Graduate Research School, signed by their principal supervisor and the Head of enrolling unit or nominee. The nominee must be another appropriate senior academic staff member. This form demonstrates that the principal supervisor and the Head of enrolling unit or nominee agree that the creative work is ready for exhibition, showcase, industry release, performance, or other activation.

9.4 With respect to the activation of the creative work, the examiners are invited, but not required, to attend the activation.

9.5 The exegesis, activation recording(s) (where applicable) and digital copy of the creative work must be submitted within three months of the final activation.

9.6 The candidate is required to lodge:

(a) a digital version of the examinable creative work/s and the exegesis for examination (or soft-bound copies where a digital version is not possible, one for each of the examiners nominated plus a university copy);

(b) a recording of the activation of the creative work (where appropriate); and

(c) a completed ‘Higher Degree by Research Thesis Submission Form’.

9.7 Submission is to be made to the Graduate Research School by the agreed thesis completion date. Where the candidate has been given permission to submit their thesis in a form other than a printed volume, the candidate must comply with the directions of the Dean, Graduate Research regarding the material to be presented for examination.

9.8 At the conclusion of examination, prior to awarding of degree, candidates must submit final exegesis to the UniSC Research Bank in a manner and form to be prescribed by the Director, Library Services, and must provide the principal supervisor with a copy of the final exegesis. Candidates may apply for “restricted access” to ensure the exegesis is kept only for university records purposes and not to display the exegesis to the public. Applications for restricted access should be made in writing to the Dean, Graduate Research prior to the conclusion of the examination process.

10. Submission of a revised thesis for award

10.1 This section applies to Candidates who receive the outcome of B) – Award with revisions. The thesis will be accepted as satisfactory and the Candidate awarded the degree, submit to revisions as listed being addressed by the Candidate to the satisfaction of the Chairperson of the Examination Panel.

10.1.1 Refer to the Higher Degree by Research Thesis Examination – Guidelines for more detailed information on the process.

10.2 The Candidate, with advice from the supervisor panel, revises the thesis for re-submission. They may consult with the Chairperson of the Examination Panel prior to re-submission.

10.3 The revised thesis must be submitted within three (3) months (FTE) of advice of the examination outcome.

10.4 The Chairperson of the Examination Panel reviews the revised thesis.

10.4.1 In the event that the Chairperson is satisfied with the revised thesis they will recommend to the Dean, Graduate Research to accept the revised thesis for award.

10.4.2 In the event that the Chairperson is not satisfied with the revised thesis they will communicate with the Candidate and supervisory panel to request further revisions. This will continue until the Chairperson is satisfied with the revised thesis.

11. Submission of revised thesis for re-examination

11.1 This section applies to Candidates who receive the outcome of C) – Revise and Resubmit for External Examination. The thesis has not yet been accepted for award and the revised thesis will be assessed by external Thesis Examiners.

11.1.1 Refer to the Higher Degree by Research Examination – Guidelines for more detailed information on the process.

11.2 The Candidate, with advice from the supervisory panel, revises the thesis for re-submission.

11.3 The revised thesis must be submitted within six (6) months (FTE) from advice of the examination outcome.

11.4 A thesis sent for re-examination will be sent to the original examiners, providing they are willing to re-examine the thesis.

11.4.1 The Graduate Research School will contact the original examiners on behalf of the Dean, Graduate Research and invite them to re-examine the thesis. The invitation will be issued eight (8) weeks prior to the due date of the thesis submission.

11.4.2 If they are unavailable, the principal supervisor will be asked to nominate new examiners for approval by the Dean, Graduate Research. If the principal supervisor has not nominated new examiners within one (1) month of the thesis submission due date, the Dean, Graduate Research will identify new examiners.

11.5 The thesis examination process outlined in Section 7 is followed, with examination outcomes as per Section 8.2, with the exclusion of outcome (c), as a thesis can only be re-examined once.

12. Conferral of award

12.1 At the conclusion of examination, prior to award of the degree, candidates must:

(a) submit their final thesis to the UniSC Research Bank in a manner and form to be prescribed by the Director, Library Services, and must provide the principal supervisor with a copy of the final thesis;

(i) in the case of a thesis that includes published works or works that are subject to copyright or patent or similar intellectual property restrictions, the candidate must lodge with the thesis a copy of any contract or formal agreement or legal instrument that binds the candidate or the university with respect to those works;

(ii) the copy of the thesis lodged with the Library will be available to any person for consultation or copying unless, on the application of the candidate concerned, the Dean, Graduate Research, determines that it will not be made available without the written consent of the author for a period which must not exceed 52 weeks or unless prohibited by any restrictions required by any legally enforceable instrument lodged by the candidate;

(b) return all University equipment to the relevant department (e.g., UniSC laptop and associated equipment to be returned to IT Services); and

(c) ensure all outstanding fees and charges have been resolved.

12.2 Candidature ends when the final thesis is successfully submitted to the UniSC Research Bank and all University equipment has been returned and any outstanding fees and charges have been resolved.

12.3 As per Academic Board’s Terms of Reference, the Board is the approval authority to confer awards. The Graduate Research School seeks approval to confer the award via expedited executive action from the Chairperson of Academic Board as outlined in the Academic Board Standing Orders by submitting the ‘Recommendation to Confer Award Form’ to the Chairperson, Academic Board, via the Office of Deputy Vice-Chancellor (Academic) with copies to Student Services and Engagement.

12.4 If approved, the Office of the Deputy Vice-Chancellor (Academic), on behalf of the Chairperson, Academic Board, notifies the Graduate Research School, Academic Secretariat and Student Services and Engagement. On receipt of the correspondence, Student Services and Engagement updates the student’s academic record to indicate that the candidate has been awarded a Pass grade for their thesis, and the conferral is reported to Academic Board at its next meeting by the Academic Secretariat.

12.5 Student Services and Engagement prepares and sends a letter to the graduand officially informing them of the conferral of the award, inviting the graduand to participate in the next graduation ceremony, and, where appropriate, informing the graduand that they are entitled to use the title of Doctor.

12.6 Rescission of awards 

12.6.1 In exceptional circumstances the University may rescind an award that has been conferred.

The circumstances include, but are not limited to, situations in which: 

(a) an administrative error has resulted in the conferral of an award for which the student was not eligible; or 

(b) the student is in breach of a policy of the University where rescission of an award is a valid penalty for such a breach.

12.6.2 The decision to rescind the conferral of an award is made by Council on the recommendation of the Chairperson of Academic Board.

13. Grievances

13.1 A candidate who has a grievance concerning any action or decision of a supervisor, or any other member of staff, and is unable to reach a satisfactory resolution through informal discussions and conciliation, may lodge a formal grievance under the Student Grievance Resolution – Governing Policy and associated procedures via the Student grievance resolution webpage .

Managing Interests Matrix (Australian Council of Graduate Research Good Practice Guidelines – Disclosing and Managing Interests in Graduate Research

Preparation of graduate theses

Prior to inclusion on a degree list, each accepted thesis shall be submitted to the headquarters of the department or program in which the candidate is registered. Master’s and doctoral theses must be submitted electronically.  The process for electronic thesis submission  is described on the website for the MIT Libraries.

In order to permit evaluation and grading of theses,  due dates  for their receipt in department headquarters are published each term by the Registrar. Departmental graduate officers are responsible for ensuring that each candidate for an advanced degree has submitted an acceptable thesis document to their department before the final degree list is reviewed and approved by the Graduate Academic Performance Group, acting under the authority of the Committee on Graduate Programs, at its end-of-term meeting.

The academic department delivers a digital copy no later than one month after the end of the term in which the thesis was accepted to the MIT Libraries, which preserves and makes the thesis publicly available. The Institute is committed to the preservation of each student’s thesis because it is both a requirement for the MIT degree and a record of original research that contains information of continuing value.

Guidance on the digital preparation of theses is described in the  Specifications for Thesis Preparation , published annually by the Director of Libraries as prescribed by the Committee on Graduate Programs for graduate theses. The document specifies the submission procedure for the thesis document and information, and explains the policies concerning copyright, temporary restrictions, and changes after publication.

The technical requirements for the thesis are also explained. Each thesis submitted for an advanced MIT degree must conform to these specifications. Individual departments may dictate more stringent requirements. Individual departments, not the MIT Libraries, are responsible for the digital quality of the thesis document provided to the Institute Archives. Additional advice and assistance in thesis preparation are available from the MIT Libraries.

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Thesis & Dissertation Preparation & Submission

Old Dominion University requires a dissertation from all doctoral candidates and a thesis from all thesis option master's candidates. The thesis/dissertation should be presented in a scholarly, well-integrated, properly documented manner, which reports the original work done by the student under the supervision of the advisory committee.

This Guide for Preparation of Theses and Dissertations has been authorized by the Graduate Administrators Council of Old Dominion University to assist graduate students and their committee members in the preparation of theses and dissertations. The primary purpose of this manual is to provide uniform standards regarding style and format while allowing enough flexibility to satisfy the acceptable practices of each academic discipline. The word "thesis" will be used in reference to general instructions equally applicable to all theses and dissertations. "Journal model" will be used in reference to general style instructions.

Presentation

The finished work must reflect a comprehensive understanding of the pertinent literature and express in clear and legible English the method, significance, and results of the student's research. Full documentation and appropriate tabular and/or graphic presentation are especially important. The completed manuscript should be no longer than is necessary to present all pertinent information. The length will vary widely according to research topic, academic discipline, and the degree sought.

The thesis should be presented as a single unit; continuity from chapter to chapter is important. Several studies or experiments may be presented in separate chapters or major sections. Continuity in the thesis is provided by common Abstract, Introduction, Conclusion, and Reference sections. Each study or experiment may have subdivisions such as Introduction, Materials and Methods, Discussion, and Summary. The thesis may have only one Abstract and one Reference section; a study or experiment cannot have a separate Abstract or Reference section.

Each graduate program maintains an approved list of journal styles and/or accepted style manuals. The style specifications for the thesis should be approved during the preparation of the research proposal, and the appropriate instructions should be cited in the graduate student's permanent file.

The journal will be followed for:

• placement of table titles
• placement of figure titles
• reference format

Whenever there are differences in format and layout between the specifications of this Guide for Preparation of Theses and Dissertations and the journal model, this guide overrules the journal. Consistency of style and form should be the rule throughout the manuscript. The thesis is not expected to duplicate a published journal in typographic arrangement and display. The more sophisticated publication and layout practices of some journals (such as the use of double columns on a text page, etc.) are not to be followed. A journal's "Instructions to Contributors" are not to be followed exactly when writing a thesis. These instructions are for the convenience of the editors and printers of a journal and do not necessarily apply to the format of a thesis.

Check with the graduate program director in your department for further style instructions.

Publication of Research

Graduate students may publish material that subsequently will be used as part of the thesis provided that the student's graduate committee is notified at the time the student submits the paper for publication. In addition, students should be aware of the agreement that is signed when a journal accepts an article for publication. At that time, the student assigns rights to the journal as publisher and the student may no longer possess rights. See Copyright section for more information.

Use of Other Sources

Copyright protection extends for a statutory period on creative, original works of authorship fixed in a tangible medium. Since a thesis is legally classified as a literary work, care must be taken not to violate copyright laws. If the manuscript contains any material (figures, tables, text, etc.) taken from other sources, the student has the responsibility to determine if a license or a letter of permission from the copyright holder is needed. This is true even if the student is an author of the other source - - a letter of permission from the publisher may still be needed should the publisher own the copyright. Note: A work need not bear the copyright symbol in order to be protected under copyright law. If a letter is needed, it must be included in a separate appendix. In addition, an extra copy of the letter must be provided to the Office of the University Registrar.

Your thesis, being an original, written work, is automatically protected by copyright law even without a copyright notice or registration with the U.S. Copyright Office. Your document, once written, is automatically protected. Including the copyright notice and/or registering with the U.S. Copyright Office does add additional protections, however. Students who desire an additional layer of protection may register their work through ProQuest. If you wish ProQuest to act as your agent in securing additional copyright protection, you must indicate this when completing the ETD process and pay the copyright registration fee directly to ProQuest. Registration offers certain advantages to the copyright holder in the event of an infringement.

The copyright notice, if included, must be placed on a separate page immediately after the Abstract page. Refer to the sample pages in this manual for specific directions. A copyright notice should also appear on all other material included in the thesis (e.g., audio, video/film, other digital content). A thorough explanation of how copyright law applies to theses and dissertations is available in "Copyright and Your Dissertation or Thesis: Ownership, Fair Use, and Your Rights and Responsibilities," available from ProQuest  here .

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Procedures - Submission of Theses or Dissertations

The below content is organized in order for the standard process of submitting theses or dissertations. Please consult with the appropriate GPD for more specific procedures.

Initial Creation/Revisions

The student and committee ensure quality of content and correctness of form of the thesis. The student may be given ongoing evaluations by the committee, but final approval may be given only on the completed document. The student must apply for graduation prior to the semester of graduation and be enrolled in the University.

Submission to Thesis/Dissertation Committee

The finalized document must be submitted to the thesis or dissertation director a minimum of two weeks prior to the oral defense. If the director, committee, and graduate program director agree that the document is in acceptable form for presentation at an oral defense, announcements will be published and distributed.

Thesis/Dissertation Defense

Theses/dissertations must be defended in front of designated examining committees. The decision as to whether a student has passed or failed the examination rests with the committee, but it shall take into account the opinions of other participating faculty members. A majority of the committee, including a majority of those from the student's major department, must approve the thesis or dissertation. A unanimous decision is not necessary.

Committee Recommendations

Immediately following the examination, the chair of the committee shall communicate the results to the student. In some cases, further revision of the document may be required. The Thesis/Dissertation Acceptance form and the thesis or dissertation should be transmitted to the graduate program director for review and approval.

Begin ProQuest ETD Process

The student is advised to begin the ProQuest ETD (Electronic Thesis & Dissertation) process but should not upload the pdf version of the thesis/dissertation. The student may create the ProQuest account and familiarize her/himself with ProQuest publishing options and complete contact information and graduate work details sections.

Review by Dean's Office

The Dean's Office shall review the thesis/dissertation for compliance with this guide and return it for correction if necessary. The manuscript must be corrected and resubmitted as a new document, and the Dean's Office review process begins anew. All original submission deadlines must be met during the re-submission process in order to graduate that semester. The student should not submit the thesis/dissertation to ProQuest until it has been approved by the Dean's Office. Note: Graduation will be postponed if corrections are not made on time.

Finalize ETD Submission to ProQuest

The student must submit a final, error-free pdf version of the document to Proquest. Do not submit the pdf until all previous steps have been completed.

Department Submit Forms

The student's department must email the Thesis/Dissertation Acceptance and Processing form (M3 or D5) and the Result of the Master's/Doctoral Examination (M2 or D3) form to the ETD Manager ( [email protected] ). Forms emailed by students will not be accepted. Once forms have been submitted, the ETD Manager will approve and send the submitted thesis to ProQuest Dissertation Publishing, and the student will receive an email confirmation.

Please Note for Capstone and Paper Submissions: Do not submit your work to ProQuest unless it is an official thesis or dissertation. Capstone projects and paper submissions should be sent to  Karen Vaughan  for inclusion in the ODU Digital Commons. Contact your GPD with any questions.

Human Subjects Research and Research Involving Animals, Hazardous Chemicals, Biohazard Materials, Radioactive Materials.

Any proposal for research involving human subjects must be reviewed and approved according to the ODU Procedures for Review of Human Subjects Research. The process and approval must be cited in the text of the thesis.

All research involving human subjects, and certain human cultured cell lines, must conform to federal, state, and university policies providing for the protection of human subjects. While some forms of research may be classified by federal and state regulations as being exempt (i.e., survey research involving standard educational testing materials), all student research must first be reviewed and approved.

The student's thesis/dissertation director, acting as lead investigator, determines whether or not the project should qualify as exempt from Institutional Review Board (IRB) review. If the investigator believes it to be exempt and the study does not have a federal funding source, it can be submitted to the College Human Subjects Review Committee (HSRC) for review. If the College committee approves the project, the process stops there. If the College committee believes the project to be non-exempt, the project is forwarded to the IRB for review. The exception to this process is that federally funded exempt research needs to be reviewed by the IRB. These projects bypass college committees.

The student will receive an approval number that must be cited in the thesis or dissertation.

Any proposal for thesis or dissertation research involving vertebrate animal subjects, hazardous chemicals, biohazardous materials, or radioactive materials and/or radiation producing machines must be reviewed and approved according to the guidelines established by the appropriate committee. The process and approval must be cited in the text of the thesis or dissertation.

Guidelines Established By:

Additional questions regarding the review and approval processes outlined here should be directed to the University Research Compliance Officer. More information and appropriate forms can be found  here .

ETD (Electronic Thesis & Dissertation) Submission to ProQuest - General Specifications

All theses and dissertations must be submitted electronically to ProQuest. Fees for registering with the U.S. Copyright Office and ordering bound copies of the thesis or dissertation are payable directly to ProQuest. Click  here  to read through our ProQuest guide for submitting electronically.

Digitized Reproductions

Digitized reproductions of photographs or other materials are acceptable if there is enough resolution and contrast for viewing. The recommended minimum resolution for digitized images and/or photographs is 300dpi.

Tables & Figures

All figures and tables should be sharp black and white, clearly legible, and of professional quality. Hand-drawn material must be of publishable quality. If color is used for tables and figures, a consistent color scheme should be used. For example, tables should not differ drastically from one another in form, color, or general appearance.

Oversized Tables & Figures

Each table and figure in the text must have a unique title. If a figure or table is reduced in size, the title must remain normal size (10-12 point or 12-14 point). Ensure consistent formatting of table/figure titles - capitalization, placement, use of a period at the end.

Each table and figure in the text must have a unique number. Figures and tables are numbered consecutively throughout the text, and each table or figure must be mentioned by number in the text. When possible, first mention of each table or figure must be either within 1.5 pages before the table/figure or on the page immediately following the table/figure. Exceptions must be approved, in advance, by the Dean of the College.

The minimum font size within a table or figure is 10 point.

Tables and figures may be included on a page with text, or they may appear on separate pages. If a table or figure is placed on a page with other material, the table or figure should be separated from the text (or other materials) by a minimum of 2 double spaces (4 single spaces) at the top and bottom.

Placement of titles on tables and figures (above or below) is determined by the style format chosen as a model. If the table or figure is placed lengthwise (landscape position), the top of the table or figure must be at the left-hand, binding side of the page. The caption is placed in the same direction as the figure or table. The page number stays in regular (portrait) position.

Tables or figures longer than one page in length must have the complete title and number of the table/figure on the first page only. Subsequent pages have the table or figure number and the word "Continued" and necessary column headings for ease of reading. The end line of a table appears only on the last page of the table.

Captions or titles on a facing page are to be used only when absolutely necessary. Facing page captions may be used for figures only, never tables. This format applies only when the caption cannot be placed directly onto the page on which the figure appears. If a facing page caption is necessary, the facing page must face in the normal manner. The caption page comes first with only the page number on the front side of the page; (facing page is blank) the caption is placed on the back side of the page in the same direction as the figure. The facing page with the caption and the page with the figure are both numbered consecutively, with the page numbers in the standard position. The number of the page on which the figure itself appears is the only one recorded in the List of Figures.

Manuscript Details

The following tabs provide guidelines for proper manuscript details.

The entire thesis must be of uniform font or typeface. Do not attempt to replicate a journal's use of varying sizes and styles of typeface or font. Any standard bookface font may be used. The graduate program director will make the final decision regarding the legibility and acceptability of fonts. Acceptable printers will produce solid, unbroken lines of type. Consult with your graduate program director if there is doubt about the acceptability of a printed document.

Italics or boldface print (in the same point size as the text) may be used for major headings, subheadings and for emphasis. Underlining is an acceptable alternative to italics, but do not use underlining and bold together. Exceptions: tables, figures, and material in appendices may be in different fonts.

The thesis must be of uniform font size (10 point minimum - 12 point maximum).

Exceptions:

• Tables, figures, and appendix material can vary in point size.
• Major headings may be up to two point sizes larger than the text (maximum suggested size is 14 point). If this option is chosen, it must be used for all headings throughout the entire manuscript.
• Point size reduction may be made in narrative text footnotes, tables, figures and appendix material only. The minimum size for numbers and upper-case letters is 1.5 millimeters; symbols must be large enough to remain legible. The font of the preliminary pages, narrative text, endnotes, reference section, and vita may not be reduced.

Margins are 1.0" on all sides -- left side, right side, top, and bottom. All typing except page numbers must be within the area defined by the margins. Justified right-hand margins may be used in theses only with the approval of the Graduate Program Director.

Every page in the thesis except the Title/Approval Page and the Abstract must be numbered. Preliminary pages are numbered with lower-case Roman numerals beginning with the Title/Approval Page, understood to be i (no page number appears on this page), and the Abstract, understood to be ii (no page number appears on this page). The text and supplementary pages are numbered with Arabic numerals beginning with the first page of text (numbered 1). Every page following will have a page number. The Vita is the last numbered page.

Page numbers are placed in the upper right-hand corner of the page, one-half inch below the top edge of the paper and one inch from the right-hand edge.

Major Headings

All headings must be consistent regarding point size and the use of bold type. All major headings must be centered at the top of a new page in all capital letters. Point size may be the same size as the body text or up to 2 points larger: 12 point if text is 10 point or 14 point if text is 12 point.

The manuscript may be double-spaced or one and one-half spaced. Mixing of spacing in the text is unacceptable. Single spacing is used only for long, blocked, and inset quotations; footnotes; endnotes; and itemized or tabular material. For spacing of specialized pages (Table of Contents, List of Figures, etc.) see the sample pages included at the end of this guide.

Content Order

The first tab provides the list of contents in the proper order of presentation. The following tabs provide guidelines for each section.

Preliminary Pages (with Roman numeral page numbers)

All sections in italics are optional

• Title/Approval Page (no page number - understood to be i)
• Abstract (no page number - understood to be ii)
• Copyright Notice
• Acknowledgments
• Nomenclature
• Table of Contents
• List of Tables (if two or more tables appear in the text)
• List of Figures (if two or more figures appear in the text)
• List of Graphs (if two or more graphs appear in the text)
• List of Plates (if two or more plates appear in the text)

Text (with Arabic numeral page numbers)

• Introduction (as first chapter or section)
• Main body of text divided into various chapters or sections
• Summary or Conclusion (as last chapter or section)

References and Supplemental Sections

• Reference section
• Appendix material (i.e. copyrights)

The following general rules must be followed in the body of the document:

• Divide the body into chapters.
• Use Roman or Arabic numerals in chapter titles and any reference to chapters.
• Each text page needs at least 4.5 inches of text on it unless the page contains a table or a figure or the next text begins a new chapter or major section.
• Numbering of equations must be consecutive. No two equations may be numbered the same unless identical term for term.
• Do not use double columns in text.

Major Headings & Subheadings

The requirements for major headings and subheadings are as follows:

• Major headings in the text are bold if other major headings are bold. Boldface or italics may be used for subheadings.
• Each new chapter begins on a new page.
• The chapter designation (CHAPTER I) is upper-case and centered at the top of the page. The chapter title is also upper-case and centered at least one double-space (no more than two double-spaces) below chapter designation.
• Titles and subheadings more than one line in length must be double-spaced.
• There is no punctuation after a heading or subheading that is on a line by itself.
• Only major headings may be centered and in all capital letters. First level subheadings may be typed in all capital letters provided they are placed flush left.
• Spacing before/after headings and subheadings must be consistent throughout.
• The style used for subheadings must clearly show their various levels and must be consistent from chapter to chapter.
• Subheadings do not begin on a new page. Text continues within a chapter or section.
• A subheading at the bottom of a page must be followed by at least one line of text.

All theses and dissertations must include a references section. The requirements for the section are as follows:

• The title is the same heading used in the journal model (REFERENCES, WORKS CITED, BIBLIOGRAPHY). The heading is in all capital letters and bold if major headings are bold.
• The reference list must be consistent, accurate and complete.
• A journal article or accepted style guide approved by the graduate program director is used as a model for the reference list. Capitalization, punctuation and ordering (alphabetized, or alphabetized and numbered, or non alphabetized and numbered) of information must follow this model.
• The use of italics (or quotation marks) for book titles, journal names and article titles and the use of bold type must match the journal model.
• In an alphabetized list, the system of ordering multiple entries must be consistent.
• Citations should contain: volume number and page range for journal articles; publisher and city for books; city for universities, laboratories or corporations. Refer to the appropriate style manual for rules governing internet citations.
• Unpublished material must contain sufficient information for retrieval.
• Designation of state names (abbreviated or not) should be consistent.
• Single space within citations and between citations or use the spacing of text throughout the entire section.
• All references must be cited in the text and all textual citations must be referenced. All textual citations must be from sources the student has actually used.
• General references consulted and used as background study may be listed under a separate subdivision of the reference section. A subheading such as "Supplemental Sources Consulted" should be added at the end of the sources cited section. Follow the same style used in the reference section.

Appendices are used for supplementary material. The requirements for appendices are as follows: 

• Heading(s) is/are bold if major headings are in bold. 
• Appendix headings may either be on a separate cover sheet before appendix material or at the top of the first page of each appendix. Be consistent from appendix to appendix. 
• Appendix headings are centered. Appendix titles are centered, in all capital letters and appear at least one double space below heading. 
• Page numbering is continued from the last page of references. 
• All material must be within margins. 
• Tables and figures in appendices may be numbered consecutively following the text, or they may be numbered with an appendix designation. If numbered consecutively from the text, they must be included in the List of Tables or List of Figures 
• Material may be reduced but must conform to minimum size and legibility requirements. 
• Material may have mixed fonts and point sizes and may be single-spaced.  

The requirements for the vita section are as follows:

• The heading (VITA) is in bold if major headings are in bold.
• Wording of the student's name must agree with the name on the first three thesis pages.
• The vita should contain the address for department of study and a brief biographical sketch listing educational background (including background for all previous degrees: degree, major subject, university and date of graduation).
• Other information is optional but encouraged: professional experience, publications, business or academic information.
• Name of the word processor may be stated at the bottom of the page. (Example: The word processor for this thesis was Mary Jones.)
• The vita is limited to one page.
• Use either paragraph style with same spacing as text or resume style.

Dean's Office Checklist

Theses and dissertations submitted to the Dean's Office will be reviewed for acceptable execution of the following requirements:

General neatness and legibility.

Consistency in style and format.

Correspondence between titles and page numbers in the text and in the Table of Contents, List of Tables, and List of Figures.

Each major heading is centered, in all capital letters, and at the top of a new page.

Formatting and legibility of figures and tables should follow requirements in this guide.

Use only page numbers outside the margins.

Inclusion of a major introductory chapter or section and a major concluding chapter or section.

Quality of digitization or reproduction.

Title/Approval Page and Abstract must match the format of samples in this guide.

Journal model or style guide formatting for tables, figures and references.

Major headings and first level subheadings appear in the Table of Contents.

Consecutive numbering of tables and figures throughout the body of the thesis.

Documents should begin with the Title/Approval Page and end with the Vita.

Consistent subheading formatting throughout.

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• Preparing my thesis

Preparation of Graduate Research Theses Rules

Materials required for submission of the thesis or compilation.

1.1 Candidates must provide the following materials on submission of their thesis or compilation for examination:

(a) where multi-authored papers have been submitted as part of the thesis or compilation, agreement by all co-authors that the paper may be included in the thesis, in the format required by the Academic Registrar; and

(b) an electronic version of the thesis or compilation, prepared in accordance with these rules.

1.2 The Academic Registrar may accept or request hard copy theses for examination.

1.3 Hard copy theses submitted for examination are only returned to the student if a request for their return was made at the time of submission or if their return is a requirement of a confidentiality agreement signed by the examiners.

1.4 Each electronic copy of the thesis or compilation must:

(a) be in a single clearly named file;

(b) be printable on international standard paper size A4 paper (297mm x210mm);

(c) have left and right margins of at least 3cm when printed;

(d) have logically numbered pages; and

(e) In the absence of any specific expectations or restrictions, any additional formatting is at the candidate’s discretion.

1.5 If required, each hard copy of the thesis or compilation must:

(a) be thermal bound and have sturdy front and back covers;

(b) have the candidate’s name clearly marked on the spine, with the family name in capital letters;

(c) be printed double-sided, on international standard paper size A4 paper (297mmx 210mm);

(d) have left and right margins of at least 3cm;

(e) have logically numbered pages;

(f) any folding diagrams and charts should be arranged to open out to the top and right; and

(g) In the absence of any specific expectations or restrictions, any additional formatting is at the candidate’s discretion.

1.6 The University of Melbourne logo is not permitted to be used in the thesis or compilation.

Thesis format

1.7 The thesis must be presented in the following order:

(a) title page, which must include the following information in the following order: (i) the title of the thesis; (ii) the full name of the author (as it appears in the student record); (iii) the ORCID identifier of the author; (iv) the degree for which the thesis is being submitted; (v) month and year of submission; (vi) month and year of re-submission (if resubmission is required) (vii) the names of the departments/schools or faculties in which the research was carried out; then (viii) a statement of whether the thesis is being submitted in partial or total fulfilment of the degree, and whether the degree is being completed under a jointly awarded degree.

(b) an English language summary of the thesis, where approval was granted for the thesis to be written in a language other than English. The summary should include an introduction, chapter outline and conclusion. It should be 5000 – 10000 words in length for a Doctoral Degree (Research) and 2500 –5000 for a Master Degree (Research);

(c) an abstract of 300 – 500 words in length. If the thesis contains creative works the abstract must include a description of the form and presentation of the creative work;

(d) declaration page which must be signed on submission for examination by the candidate and contain declarations that: (i) the thesis comprises only their original work towards the <name of the award> except where indicated in the preface; (ii) due acknowledgement has been made in the text to all other material used; and (iii) the thesis is fewer than the maximum word limit in length, exclusive of tables, maps, bibliographies and appendices or that the thesis is [number of words] as approved by the Higher Degrees by Research Committee.

(e) preface, if applicable. Where applicable, the following information must be included in a preface: (i) a description of work towards the thesis that was carried out in collaboration with others, indicating the nature and proportion of the contribution of others and in general terms the portions of the work which the student claims as original; (ii) a description of work towards the thesis that has been submitted for other qualifications; (iii) a description of work towards the thesis that was carried out prior to enrolment in the degree; (iv) whether any third party editorial assistance was provided in preparation of the thesis and whether the persons providing this assistance are knowledgeable in the academic discipline of the thesis; (v) the contributions of all persons involved in any multi-authored publications or articles in preparation included in the thesis; (vi) the publication status of all chapters presented in article format using the descriptors below;

• Unpublished material not submitted for publication
• Submitted for publication to [publication name] on[date]
• In revision following peer review by [publication name]
• Accepted for publication by [publication name] on[date]
• Published by [publication name] on[date]

(vii) an acknowledgement of all sources of funding, including grant identification numbers where applicable and Australian Government Research Training Program Scholarships, including fee offset scholarships.

(f) acknowledgments;

(g) table of contents;

(h) list of tables, figures and illustrations where more than 10 such items are included in the thesis;

(i) list of all third party copyright material included in the thesis and whether permissions have been obtained to include this content in the open access version of the thesis;

(j) main text, divided into chapters as appropriate;

(k) bibliography or list of references;

(l) creative works, if applicable, which may be submitted in electronic format. The following forms of creative works are required: (i) a good quality recording of a performance of dance, drama, music; (ii) a folio of a good quality recording of a performance and the accompanying musical score for a degree in music composition; (iii) good quality photographic reproduction or recording of exhibited visual art works.

(m) appendices, if applicable. Appendices must be limited to supporting material genuinely subsidiary to the main argument of the thesis and may include e-prints of journal articles, published creative writing and catalogues and documentation of public performances or exhibited work.

1.8 If the thesis contains accepted or published articles either as a chapter, or in the appendix of the thesis, the author-accepted version of the manuscript should be used.

Format of the compilation

1.9 The compilation must be presented in the following order:

(a) title page as described at 1.7 (a);

(b) preface as described at 1.7 (e);

(c) general introduction;

(d) literature review, that encompasses the historical and current literature;

(e) published papers;

(f) a durable record of any creative works;

(g) general discussion;

(h) summary.

Final copy of the thesis or compilation

1.10 Once a final result of ‘pass’ has been recommended, the candidate must provide an electronic copy of the thesis or compilation for inclusion in the University of Melbourne Library. The final copy must incorporate any necessary amendments or revisions required by the examiners.

1.11 The electronic copy must be prepared in accordance with the University of Melbourne Electronic Repository guidelines.

1.12 The declaration page of the thesis or compilation should not contain a copy of the student’s signature in this publicly accessible document.

Publication authorised by the Academic Secretary, 02 May 2022

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Managing candidature

Information for graduate researchers on important milestones and managing changes during candidature.

During your degree, you will need to complete milestones to make sure that your research is on track and you have the support you need. If your personal circumstances impact your research, you may need to change how you conduct your research. Students are encouraged to review the following information and discuss matters relating to their candidature with their supervisor.

Action plan

Develop an action plan to help you stay on track during your research journey.

Confirming candidature

An early candidature milestone to confirm the viability of your research project and progression.

Annual progress report

An annual candidature milestone for PhD/MPhil students to check the progression of your research.

Changes to candidature

You should discuss changes to your candidature with your supervisor before making a request.

Thesis preparation

Your thesis must follow all content, presentation, formatting, and length and binding requirements.

Progressing to PhD

Information for Master of Research students who would like to progress to PhD.

• Graduate Research Academy
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• T: +61 (2) 9850 4741
• E: [email protected]

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