Post on 29-Jan-2021
transcript
GUIDELINES FOR HIGHER DEGREE RESEARCH
CANDIDATES ON THE
PREPARATION AND SUBMISSION OF HIGHER
DEGREE RESEARCH THESES
March 2006
Table of Contents
INTRODUCTION................................................................................................................................................................... 1
1. WRITINg The ThesIs.............................................................................................................................................. 2
1.1 Whataretherequirementsfortheawardofmydegree?....................................................................................... 2
1.2 CanIsubmitmaterialwhichhasalreadybeenpublished?.................................................................................... 3
1.3 CanIuseacommercialeditortopreparemythesis?............................................................................................ 3
1.4 WherecanIseekfurtheradviceonwritingmythesis?......................................................................................... 4
1.5 Copyright............................................................................................................................................................... 4
1.6 IntellectualProperty............................................................................................................................................... 4
1.7 ResponsiblePracticeofResearch.......................................................................................................................... 4
1.8 RetentionofData................................................................................................................................................... 5
2 PRePaRINg The ThesIs ......................................................................................................................................... 6
2.1 GeneralPresentation.............................................................................................................................................. 7
2.2 MarginsandLayout............................................................................................................................................... 7
2.3 Plans,Diagrams,Tables,andPhotographs............................................................................................................ 8
2.4 LengthofThesis.................................................................................................................................................... 8
2.5 NumberofVolumes............................................................................................................................................... 8
3 sUbmITTINg The ThesIs fOR examINaTION .............................................................................................. 9
3.1 Enrolmentstatusattimeofsubmission................................................................................................................. 9
3.2 TuitionFeesforInternationalStudents................................................................................................................. 9
3.3 Notification of intention to submit....................................................................................................................... 10
3.4 Numberofcopiesrequiredattimeofsubmission............................................................................................... 10
3.5 WhatformsdoIneedtosubmit?......................................................................................................................... 10
3.6 Submission of Thesis and Certification of Completion Form............................................................................. 11
3.7Submittingthethesisfromadistance.................................................................................................................. 11
3.8 Providingadigitalcopyoftheabstract............................................................................................................... 12
3.9 Providing a digital copy of the final Thesis.......................................................................................................... 12
3.10 CirculationofUnexaminedTheses...................................................................................................................... 12
4 The examINaTION PROCess ............................................................................................................................. 13
4.1NumberofExaminersrequired................................................................................................................................. 13
4.2 SelectingPotentialExaminers............................................................................................................................. 13
4.3 CompletingtheNominationofExaminersForm................................................................................................ 14Inconsultationwiththeirsupervisors,candidatesshouldnominateatleastfour(4)potentialexaminersonthe
Nomination of Examiners Form.Thesupervisorswillselecttwoscholarsfromthislisttobeexaminers.
Candidates should not to be informed about the final selection of examiners
4.4 Confidentiality and contacting examiners........................................................................................................... 14
4.5 Howlongdoesittaketoexaminethethesis?...................................................................................................... 15
5 examINaTION OUTCOmes ................................................................................................................................. 16
5.1 Examiner’sReportProforma............................................................................................................................... 16
5.2 Examiner’sWrittenReport.................................................................................................................................. 17
5.3 TheHeadofPostgraduateStudies’Recommendation......................................................................................... 17
5.4 RoleoftheThesisExaminationCommittee........................................................................................................ 17
5.5 ThesisExaminationCommitteeResolutions....................................................................................................... 17
5.6 MakingRevisions................................................................................................................................................ 20
5.7 Time-frameformakingrevisions........................................................................................................................ 20
5.8 Appealsagainstathesisoutcome........................................................................................................................ 20
6 sUbmITTINg The fINal COPy aND gRaDUaTINg .................................................................................... 22
6.1 Numberofcopiesofthethesisrequired.............................................................................................................. 22
6.2 Confidential material and Freedom of Information............................................................................................. 22
6.3 FormatofFinalBoundCopy............................................................................................................................... 22
6.4 Bookbinders......................................................................................................................................................... 23
6.5 ThesisBindingExpenses..................................................................................................................................... 23
6.6 ProcedureforGraduation.....................................................................................................................................24
aPPeNDIx a ReqUIRemeNTs fOR The aWaRD Of The DegRee Of DOCTOR Of PhIlOsOPhy
(PhD) ..................................................................................................................................................................................... 25
aPPeNDIx b ReqUIRemeNTs fOR The aWaRD Of The DegRee Of masTeRs by ReseaRCh
(fORmeRly hONOURs masTeR) ................................................................................................................................ 26
aPPeNDIx C ReqUIRemeNTs fOR The aWaRD Of DOCTOR Of CReaTIve aRTs .................................. 27
aPPeNDIx D ReqUIRemeNTs fOR The aWaRD Of DOCTOR Of eDUCaTION .......................................... 29
aPPeNDIx e ReqUIRemeNTs fOR The aWaRD Of DOCTOR Of PUblIC healTh .................................. 30
aPPeNDIx f ReqUIRemeNTs fOR The aWaRD Of DOCTOR Of PhIlOsOPhy
(ClINICal PsyChOlOgy) ............................................................................................................................................. 31
aPPeNDIx g ReqUIRemeNTs fOR The aWaRD Of DOCTOR Of bUsINess aDmINIsTRaTION .......... 32
aPPeNDIx h ReqUIRemeNTs fOR The aWaRD Of DOCTOR Of PsyChOlOgy
(ClINICal PsyChOlOgy)………………………......................................................................................................... 33
aPPeNDIx ITITle sheeT .............................................................................................................................................. 34
aPPeNDIx J ThesIs CeRTIfICaTION ....................................................................................................................... 35
Contact Information
Forfurtherinformationaboutthethesissubmissionandexaminationprocesspleasecontact:
HDR Thesis & Student Progress Officer
ResearchStudentCentre
Research&InnovationDivision
Building 20 (Ground-floor)
Tel:(02)42213208
Fax:(02)42215697
E-mail:research_student_centre@uow.edu.au
Web:http://www.uow.edu.au/research
�Guidelines on the Preparation and Submission of Research Theses March 2006
gUIDelINes fOR hIgheR DegRee ReseaRCh (hDR) CaNDIDaTes
ON The PRePaRaTION aND sUbmIssION
Of hDR Theses
Thepurposeofthisdocumentistoprovideguidanceandinformationtoresearchhigherdegreecandidates
whoarepreparingtosubmittheirthesis.ResearchhigherdegreesincludeMasters-Research(formerly
knownasHonoursMasters),DoctorofPhilosophy(PhD),DoctorofCreativeArts(DCA),Doctorof
BusinessAdministration(DBA),DoctorofEducation(EdD),DoctorofPublicHealth(DPH)andDoctor
ofPsychologypost20051(DPSyc).TheseguidelinesshouldnotbeusedinthepreparationofaPhDby
Publication2.
TheseguidelinesarebasedontheUniversityRulesgoverningthepreparationandsubmissionoftheses
(refertoSection10oftheUniversityofWollongongGeneralCourseRules3).Candidatesshouldalso
seek theadviceof their supervisorson thegeneral formatof the thesis, including thepreparationof
referencesandtheuseofappendices.Itisthesupervisors’responsibilitytoensurethatthescholarlyand
physicalpresentationofthethesismeetstheUniversity’srequirements.Atthetimeofsubmissionof
thethesis,supervisorsarerequiredtocertifythatanyinadequaciesinthepresentationofthethesiswere
pointedouttothecandidateforcorrectionbeforethethesiswasbound.However,supervisorsarenot
obligedtoproofreadthethesisonbehalfofthecandidate.Noraresupervisorsdeemedresponsiblefor
theoutcomeoftheexaminationprocess.Thisbookletdealswithcommonlyaskedquestionsaboutthe
writingandproductionofathesis.CandidatesshouldalsoconsultFacultyandacademicunithandbooks
andweb-sitesforfurtherinformation.
� For further information about Thesis Examination requirements for the HDR Doctor of Psychology (commenced prior to 2005) please refer to the school of Psychology.2 For further information about PhD by Publication, see Section �0 of the Course Rules in the University Calendar.� http://www.uow.edu.au/student/calendar/rules/course_rules_general.htm#thesisrules
2 Research Student Centre
1. Writing the Thesis
Themainrequirementforcompletionofaresearchhigherdegreeisthesubmissionofathesis.Athesis
isawrittenpieceofworkwhichreportsonthesubstantiveresearchundertakenduringthecourseofa
student’scandidature.Athesisusuallyincludesastatementofaresearchquestion,aliteraturereview,
adescriptionofthemethodology,andareportoftheresults.Disciplineconventionsvarywithregard
tothelengthandformatofaresearchthesis.Candidatesareadvisedtoconsultwiththeirsupervisors
regarding the appropriate format of their thesis, especially any deviations from commonly accepted
standards. The thesis will be examined by experts in the field who will have expectations about the
intellectualcontent,formatandstructureofthethesis.
Candidatesshouldnotunderestimatethetimeandcarerequiredinwritingthethesis. Thequalityof
theresearchundertakencanonlybeassessedbyexaminerson the basis of the information and analysis
presented in the thesis. The process of writing a thesis is an iterative one involving the candidate
andsupervisorsandusuallytakeslongerthananticipated.Guidanceregardingtheresearchdesignand
techniquesshouldbesoughtfromthecandidate’ssupervisors;theactualresearchmustbeundertakenby
thecandidateandthethesismustrepresentanaccountbythecandidateoftheirresearchproject.
1.1 What are the requirements for the award of my degree?
Candidatesshouldfamiliarisethemselveswiththerequirementsfortheawardofthedegreeforwhichthey
areenrolled.(Section10.7oftheGeneralCourseRules)outlinestheextenttowhichthethesisshould
demonstrate an original and significant contribution to knowledge, as well as any other requirements.
For information on specific courses, please refer to the appendices in this volume.
Candidatesshouldbeaware that theymaynotsubmitas themaincontentof the thesisanyworkor
materialwhichhaspreviouslybeensubmittedforadegreeatthisUniversityorasimilarawardfrom
another institution except in the instance where a Doctoral degree thesis has been resubmitted for
examinationasaMasters-Researchdegree.
1.2 Can I submit material which has already been published?
Candidatesareencouragedtopublishworkbeforesubmissionoftheirthesisandmayincorporatethat
workintheirthesisaslongastheresearchwasundertakenduringthecandidatureforwhichthethesis
isbeingexamined.Thismayincludeelaborationorexplicationofthepreviouslypublishedwork,or
verbatim inclusionof sole-authoredpublishedworkeither inappendicesoraspartof themain text.
Wherepreviouslypublishedworkisincludedverbatim,candidatesarerequiredtoensurethatthematerial
isadequatelyreferenced.Acandidatemaynotusereprintsofjournalarticlesintheirpublishedformas
partofthebodyofthethesisbutthesemaybeincludedintheappendices.
�Guidelines on the Preparation and Submission of Research Theses March 2006
Researchstudentswillnormallybeprimaryauthorsonresearchpublicationswhicharisefromtheirthesis
work.Supervisorsmayonlybeincludedasaco-authoronaresearchstudent’spublicationiftheymeet
theauthorshipcriterialistedinthePolicy on Authorship�.Ifaresearchstudentandhis/hersupervisors
co-authorapublication,theresearchstudentwillnormallybelistedastheprimaryauthor.Itshouldbe
noted,however,thatthisorderofauthorshipmaynotapplytothoseacademicdisciplineswhichfollowa
policyoflistingauthorsalphabetically,regardlessoftheextentoftheirinput.Publicationsarisingfrom
theworkofaresearchstudentwillnotusuallybesubmittedforpublicationwithoutconsultationwith
thestudent’ssupervisors.
1.3 Can I use a commercial editor to prepare my thesis?
Oneaspectofthethesiswhichwillbeassessedisthecandidate’sabilitytopresenttheresearchinawritten
format. While students may seek general advice from supervisors, colleagues and others regarding
thepreparationofa thesis, theactualwritingmustbeundertakenbythecandidate. Candidatesmay
not use ghost-writers. Supervisors may assist to proofread the thesis, however, the final responsibility
foraccuracyandliterarypresentationrestswiththecandidate.Examinersdonotreactfavourablyto
carelesslypreparedwork,andmayrequirethethesistobere-submittedinorderforcorrectionstobe
made.TheDeansandDirectorsofGraduateStudiesandtheCouncilofAustraliaSocietiesofEditors
havedevelopedpolicyrelatingtoeditingofResearchTheses.http://www.ddogs.edu.au/cgi-bin/papers.
pl?cmd=d&fid=33424
1.4 Where can I seek further advice on writing my thesis?
It may be useful for candidates to consult thesis writing publications prior to writing their thesis.
SupervisorsandFacultyLibrarianscanprovidedetailedadviceonrelevantreferences.Candidatesare
also encouraged to read previously examined theses in the relevant field of research. Copies of past
UniversityofWollongongthesesarecontainedinthearchivesoftheUniversityLibrary.
TheUniversityofWollongongLearningDevelopmentUnit (located inBuilding11) frequently runs
a series of workshops on writing research theses. Many academic units also organise for Learning
Development to run discipline specific workshops for research candidates. A collection of thesis writing
materialsisalsolocatedontheOnlineResearchStudentGuide:
http://www.uow.edu.au/research/rsc/student/thesis
� http://www.uow.edu.au/research/rso/policy/authorship.html
� Research Student Centre
1.5 Copyright
Thecandidatenormallyretainscopyrightovertheirthesisunlessotherwiseagreedinwriting(forexample
asaprerequisiterequirementofanexternalsponsor).Forfurtherinformationaboutcopyright,please
contact the Copyright Officer in the Library.
1.6 Intellectual Property
The University has a proprietary interest in all intellectual property developed by students enrolled
intheUniversityandusingitsresources.Atthesametime,theUniversityacknowledgesthatonlya
proportionofthisoutputissuitableforcommercialisationthroughUniversityprocedures.Itthusattempts
to incorporate a level of flexibility into administration of intellectual property which is compatible
with thecomplexitysurrounding intellectualproperty issues. The Intellectual Property Policy5 sets
outguidelinesfordeterminingownershipandexploitationofintellectualproperty.Itisacceptedthat
theoriginators,whetherstafforstudents,need tobe involved in themanagementofany intellectual
propertypursuedthroughUniversityproceduresoutlinedinthispolicy.WhentheUniversityassertsits
proprietaryinterestinintellectualpropertydevelopedbystaffinthecourseoftheiremployment,andby
studentsenrolledintheUniversityandusingitsresources,itwillofferarangeofservicestoassistwith
commercialisationofthatintellectualproperty.
1.7 Responsible Practice of Research
TheCode of Practice - Research6setsoutthecurrentpolicyandbestpracticerelatingtoproceduresfor
responsiblepracticesinresearchanddealingwithproblemsofresearchmisconduct.
Misconductinresearchincludes:
• thefabricationofdata;thatis,claimingresultswherenonehasbeenobtained;• the falsification of data, including changing records; • plagiarism,includingthedirectcopyingoftextualmaterial,theuseofotherpeople’sdataand/or
ideaswithoutacknowledgment;
• misleading ascription of authorship including the listing of authors without their permission,attributingworktoanyonewhohasnotcontributedtotheresearch,andthelackofappropriate
acknowledgmentofworkprimarilyproducedbyaresearchstudent/traineeorassociate;
• falselyclaiminginventorship;• other practices that seriously deviate from those commonly accepted within the research
5 http://www.uow.edu.au/research/oic/ip/ip-policy.html 6 http://www.uow.edu.au/handbook/codesofprac/cop-research.html
5Guidelines on the Preparation and Submission of Research Theses March 2006
communityforproposing,conductingorreportingresearch.Forexample,failuretocomplywith
legal requirements or official University processes (eg ethics compliance).
Itdoesnotincludegenuineerrorsordifferencesininterpretationorjudgementsofdata.Thelistabove
isnotmeanttobeallinclusive.Theremaybeothermisdemeanours.Forexample,inhumanoranimal
experimentation departing from approved protocols accepted by a specific discipline might constitute
misconduct.
1.8 Retention of Data
UndertheCode of Practice – Research, datamustberecordedinadurableandappropriatelyreferenced
form.Whereverpossible,acopyoftheoriginaldatashouldberetainedinthedepartmentorresearch
unit in which they were generated. There may be cases where retention of original data may be difficult,
suchas:
• alargevolumeofsourcematerial;inthesecasessourcematerialshouldbeclearlyreferencedinanypublishedmaterial;or
• dataobtainedfromlimitedaccessdatabasesorinacontractedproject,insuchcasesawrittenindicationof thelocationof theoriginaldataorkeyinformationregardingthelimitedaccess
databasefromwhichitwasextractedmustbekeptinthedepartmentorresearchunit.
TheUniversityexpectsallresearchers,includingresearchstudents,toensurethatoriginaldataaresafely
held for periods of at least five years.
6 Research Student Centre
2 Preparing the Thesis
Candidatesshoulddiscussthestyle(includinggeneralformatandappearance)ofthethesiswiththeir
supervisors. Different disciplines often have specific requirements on such aspects as the structure and
contentofthethesis,aswellasreferencingstyles.Contactyoursupervisorsorpostgraduateco-ordinator
for discipline-specific information.
Thefollowingguideoutlinesthecommonelementsofalltheses:
Contents Comments
Title Page Thetitlepageshouldsetoutthefull-title,theawardforwhichthethesisis submitted (eg.DoctorofPhilosophy), the fullnameandacademicqualifications of the candidate, the name of the academic unit, and the yearofsubmission.AnexampleofthispageisprovidedinAppendixI.
Certification All copies of the thesis must include a certificate signed by the candidate stipulatingthattheworkhasnotbeensubmittedforadegreetoanyotheruniversity or institution. An example of the certification is included in AppendixJ.
Table of Contents The purpose of the Table of Contents is to provide a clear andcomprehensive index to the material presented (including pagenumbers).Itshouldincludechapter(orsection)headings;headingsandsub-headings within chapters; references or bibliography; list of figures, tables,orillustrations;appendices.Finalisationofthetableofcontentscan only take place when the final document has been formatted.
List of Tables, Figures, Illustrations
Tables, figures and illustrations should be numbered, bear an explanatory legendandbereferredtowithinthetext.Thepagesbearingthemshouldalsobenumbered.Separatelistsforeachshouldbeincludedafterthetableofcontents.
List of Special Names or Abbreviations
A list of any foreign language terms (and definitions) used in the thesis. Alistofabbreviationsandfullname.
Abstract An abstract is a summary of the thesis. It should outline what theresearchwasabout(includingtheresearchquestions), thepurposeoraimsoftheresearch,themethodologyused,andthemajorconclusionsreached.Anabstractwillusuallybe1-2pagesinlength.Fordoctoralcandidates only the abstract provided will be re-produced in an official certificate and presented to the candidate at graduation. It is anticipated that this certificate will be used to demonstrate the research effort to potentialemployersandothers.Itisthereforeessentialthattheabstractis accurate,grammaticallycorrect anderror free. Asoft copyof theabstractshouldalsobeprovidedtotheResearchStudentCentreonaPCdisksavedinMicrosoftWord.
�Guidelines on the Preparation and Submission of Research Theses March 2006
Contents Comments
Acknowledgments Candidates should acknowledge any assistance received during theirresearch candidature, including academic, technical, secretarial,administrative, financial, or personal (eg. family) assistance. Acknowledgmentsshouldnotnormallyexceedonepage.
Main Body of Text Themaintextwillusuallybedividedintochapters.Eachchaptershouldhaveatitle,andstartonaseparatepage.
Bibliography or List of References
Referencingofmaterialused in the thesis isa formalmechanismforgivingappropriateacknowledgmentof theworkofothers. Thestyleof referencingusedvariesbetweendisciplines,butcandidatesshouldensurethattheyuseasinglemethodconsistentlythroughoutthethesis.
Appendices Appendicesshouldcontainanysupplementarymaterialthattheauthorconsidersnecessarytotheinterpretationofthetextitself.Longtables,essentialrawdata,detailedreportsorcomputerprintoutsaregenerallymoreappropriatelyincludedasanappendix.Ifthereismorethanoneappendix,theappendicesshouldbenumberedorletteredinsequence.
Other Supplementary Material
Supplementary material such as rolls of film, floppy disks, CD-ROM, whichcannotbeboundtogetherwiththedissertationshouldbeplacedinastoragecontainerorsleaveatthebackofthethesis.Ensurethatthepackagingprovidesadequateprotection.
2.1 general Presentation
Itisimportantthatthethesisbepresentedclearlyandneatly.Thereshouldbenohand-writtencorrections,
pasting-inoftextordiagrams,orotherobviousamendments.Examinerswillexpectahighqualityof
English languageexpression, includingspelling,grammarandpunctuation. All typographicalerrors
shouldbecorrectedpriortobinding.
2.2 margins and layout
Theses are to be prepared in accordance with the following specifications:
• thetextofthethesis(inEnglish)mustbeindouble-spacedoroneandahalf-spacedtypescript;• theprintsizeofthetextinthemainbodyofthethesisshouldnotbelessthan10point;• InternationalStandardsOrganizationpapersizeA4size(297mmx210mm)whiteopaquepaper
ofgoodqualitymustbeused,except for illustrativematerial suchasdrawings,photographs,
printoutsandsleevesforaudiorecords,onwhichnorestrictionisplaced;
• thetextmaybeprinteddouble-sidedorsingle-sided;• themarginsoneachsheetmustbenotlessthan40mmontheleft-handside,20mmontheright-
� Research Student Centre
handside,30mmatthetopand20mmatthebottom.Nb:Ifprintingdouble-sided,notethat
theleftandright-handmarginsshouldbereversedontheevennumberedpages;
• pagesshouldbenumberedsequentially.
2.3 Plans, Diagrams, Tables, and Photographs
Smalldiagrams,tables,graphsandphotographsshouldbeincorporatedintothetext.Theyshouldbe
easy to understand without reference to the text, and must therefore include an appropriate label or
caption. Captions for tables are to be inserted above, whereas legends to figures should be placed below
the figure.
Occasionally,somethesesinvolvethepreparationandpresentationofmaterialinlargetablesorplans
greaterthanA4size.Suchmaterialshouldbeplacedafterthemainbodyofthethesisandboundinsuch
amannerthatitisabletobeopenedoutandreadevenwhentherestofthethesisisclosed.Careshould
be taken that all photographs or images are professionally fixed in place (normal adhesive tape is not
acceptable).
Whenbindingathesiswhichincludesmountedphotographs,graphsorplans,youshouldensurethat
adequatepackingisinsertedintothespinetoensureeventhicknessofthevolume.
2.4 length of Thesis
There isnoprescribedminimumlengthfora thesisas thiswillvarywith theresearch topicand the
formofpresentation.Consultwithyoursupervisorsonthelengthofthethesis,assomedisciplinesmay
specifyamaximumwordlength.Candidatesshouldnote,however,thatifthethesisislongerthan400
pages, examiners are notified and may refuse to be involved in the examination. If your thesis includes
largeappendices,youmayconsiderbindingtheseinaseparatevolume.
2.5 Number of volumes
Candidatesarestronglyadvisedtobindtheirthesisinonevolume(however,bindersmaynotbeable
to bind a thesis in one volume if it exceeds 300 pages). For a lengthy thesis, candidates may find it
appropriate to bind the appendices as a separate volume. Examiners are notified when the thesis is
longerthan400pages,andmaychoosenottoexamineathesiswhichisofanygreaterlength.Each
volumeshouldbeclearlylabelledandincludeaseparatetitlepage.
�Guidelines on the Preparation and Submission of Research Theses March 2006
3 submitting the Thesis for examination
Theses must first be submitted to the primary supervisor. Once approved, the thesis, and appropriate
signedpaperworkissubmittedtotheResearchStudentCentre,GroundFloor,Building20.
You can submit your thesis at any time of the year. At the time of submission, the Thesis Officer
willchecktomakesureyouareenrolled,andthatyouhavesubmittedalltheappropriateforms.You
shouldalsosupplyyourcontactdetailsduringtheexaminationperiod.Manystudentsmoveinterstate
or overseas after they submit their thesis, and it is vital thatwe can contact youquicklyduring the
examinationperiod.
3.1 enrolment status at time of submission
Candidatesmustbeenrolledatthetimeofsubmissionandcannotsubmitbeforetheminimumcourse
length specified in the course rules. The thesis should be submitted no later than your maximum
submissiondate.Ifyoucannotmeetthisdeadline,andhavenotrequestedanextensiontoyourmaximum
submissiondateinyourAnnualProgressReport,thenawrittenrequestforanextensionofthisdatemust
besubmittedtotheHeadofUnit.Thissubmissionshouldincludetheamountofextratimeyourequire,
thereasonsfortheextension,andastatementofsupportfromyoursupervisor.
DesT Course Completion Time limits for hDR Candidates
The duration for research higher degree candidatures are specified by minimum and maximum submission dates of the thesis, which are calculated from the first session of enrolment.
masters by Research minimum submission maximum submission
Full-time 1year(2sessions) 2years(4sessions)
Part-time 2years(4sessions) 4years(8sessions)
Doctor of Philosophy minimum submission maximum submission
Full-time 2years(4sessions) 4years(8sessions)
Part-time 4years(8sessions) 8years(16sessions)
Candidaturemaybeextendedbeyondthemaximumtimeperiodfollowingasatisfactoryreviewofprogress.
3.2 Tuition fees for International students
InternationalStudentswhowishtoavoidpayingtuitionfeesforthefollowingsession,mustsubmittheir
thesisbefore31March(forfeesdueinAutumnSession)or31August(forfeesdueinSpringSession).
Please note that the University will advise the Department of Immigration (DIMIA) once you have
�0 Research Student Centre
submittedyourthesisandarenolongerenrolled.InternationalstudentswhowishtoremaininAustralia
duringthethesisexaminationperiod,mayapplytoDIMIAforaThesisExaminationVisa.
3.3 Notificationofintentiontosubmit
AcandidateisrequiredtogivetheHeadofPostgraduateStudies(HPS)twomonthswrittennoticeof
intentiontosubmitthethesis.Thisallowstimefortheappointmentofexaminersandminimisesdelays
oncethethesisissubmitted.The‘HeadofPostgraduateStudies’isatermusedbytheResearchStudent
Centretorefertothepersonresponsibleforexaminationmattersinrelationtohigherdegreeresearch
studentswithintheFaculty.IfyouareunsurewhoyourHPSis,pleasecontacttheRSC.
3.4 Number of copies required at time of submission
Candidatesmustsubmitforexternalexamination3 (three)provisionallybound(spiralorcoilbound)
copiesofthethesis.Anumberofcommercialstationerysuppliersandphotocopierscanspiral(coil)bind
the thesis, including the University Bookshop, Office Works, and Xerox copy centre.
OnecopyoftheprovisionallyboundthesisiskeptintheResearchStudentCentreincaseofdamage
or loss during mailing to external examiners. Please note that it is currently University policy that
examinersmaykeeptheircopiesofthethesisiftheywish.
3.5 What forms do I need to submit?
Candidatesarerequiredto lodge thefollowingitemswhensubmittingtheir theses. Theseformsare
availablefromtheResearchStudentCentreorviatheResearchweb-page:
http://www.uow.edu.au/research/rsc/student/thesis/submitting.html
Thesis Declaration The copyright declaration form is forwarded to the UniversityLibraryatthetimeofgraduation.
Submission of Thesis and Certification of Completion
This form must be signed by the candidate, the candidate’ssupervisorsandtheHeadofPostgraduateStudies.
PleasenotethattheNominationofExaminersformmust notbesubmittedbythecandidateastheidentity
oftheexaminersmustnotbedisclosedtocandidatesatthistime.IftheNominationofExaminersform
issubmittedbyacandidate,thesupervisormayberequestedtoselectnewexaminers.
From the July 2006 graduation ceremonies, doctoral candidates’ research will be briefly described at
thegraduationceremonies.Sothatawideaudiencecanunderstandthenatureoftheresearch,doctoral
��Guidelines on the Preparation and Submission of Research Theses March 2006
candidatesarerequestedtoprovidea15 word (maximum) description in plain english.Provisionis
madeontheNominationofExaminersformforsupplyingthisinformationtoRSC.
3.6 SubmissionofThesisandCertificationofCompletionForm
Candidatesareadvisedthatinsigningthisform,thesupervisorscertify:
i)thatthethesisconformstotherequirementsoftheRulesforthepreparationandsubmissionof
thesesforhigherdegrees;
ii)that the thesis includes a certificate indicating the extent to which the work has been performed
bythecandidate;
iii)thatthethesisisproperlypresentedandisprimafacieworthyofexamination;
iv)thatanyinstancesofinadequatepresentationwerepointedouttothecandidateforcorrection;
v)thatthecandidatehascompletedanapprovedprogrammeofstudyandresearchasrequired.
vi)For doctoral candidates only the abstract provided will be re-produced in an official certificate
and presented to the candidate at graduation. It is anticipated that this certificate will be used to
demonstratetheresearchefforttopotentialemployersandothers.Itisthereforeessentialthatthe
abstractisaccurate,grammaticallycorrectanderrorfree.Asoftcopyoftheabstractshouldalso
beprovidedtotheResearchStudentCentreonaPCdisksavedinMicrosoftWord.
Ifyoursupervisorsareunabletocertifythatthethesisconformstotherequirementsoutlinedabove,they
arerequiredtoadviseyouoftheirconcernsinwriting.If,followingdiscussionswithyoursupervisors,
youstillwishtosubmityourthesis,thematterwillbereferredtotheHeadofPostgraduateStudiesfor
adviceandcounselling.
Ifyouwish tosubmityour thesiswithout thesupportofyoursupervisororHPS, thematterwillbe
referredtoThesisExaminationCommittee.Youwillberequiredtoprovideawrittenstatementoutlining
whythethesisshouldbesubmittedwithoutyoursupervisors’consent.Supervisorswillalsoberequested
toprovideawrittenstatementoutliningwhytheydonotsupportthesubmission.Thethesismayormay
notbesentout forexamination. Examinerswillnotbe informed that the thesishasbeensubmitted
withoutthesupervisors’support.
3.7 submitting the thesis from a distance
IfyouarenotresidentinWollongongatthetimeofsubmission,youmayarrangeforsomeoneelseto
submitthethesisonyourbehalf.Youmustensure,however,thatyouhavesignedalltherelevantforms.
Alternatively,youmaymailthethesisdirectlytotheResearchStudentCentrebyregisteredmail.You
musthaveprovidedacopyofyourthesistoyoursupervisor/spreviously,astheyhavetosignoffonthe
Submission of Thesis & Certification of Completion form.
�2 Research Student Centre
3.8 Providing a digital copy of the abstract
At the time of submission, candidates are required to submit a soft-copy (on floppy disk) of their thesis
abstract. The file can be saved to a PC disk, and should be formatted using Microsoft Word. The file
shouldinclude:
• titleofthethesis• candidate’sname• degreeforwhichthethesisisbeingsubmitted• academicunit• entireabstract
The Research Student Centre will use this abstract to prepare a certificate for graduation. It is essential
thatthisabstractisgrammaticallycorrectanderrorfreeasitwillbereproduced(forDoctoralStudents
only at this stage) in an official certificate and presented to the HDR candidate at graduation.
3.9 Providingadigitalcopyofthefinalthesis
A cd containing the final version of the thesis must be supplied to the RSC before graduation can
takeplace.ThesisDeclaration:PartBmustalsobecompletedbythecandidateandsupervisor/sand
forwardedwith thecd. Informationaboutdigital theses isavailableat: http://www.library.uow.edu.
au/theses/index.html
3.10 Circulation of Unexamined Theses
It is not advisable to circulate any copies of the thesis during the examination process. Examiners
oftenrequireminorrevisionstobemadebeforethethesisisacceptedanddepositedintheUniversity
Library.
��Guidelines on the Preparation and Submission of Research Theses March 2006
4 The examination Process
4.1 Number of examiners required
master - Research Two examiners – one may be internal, one must be external to theUniversityofWollongong
Doctoral degrees Twoexaminers-bothexternaltotheUniversityofWollongong
4.2 selecting Potential examiners
Candidates should discuss the selection of potential examiners with their supervisors in the final months
beforesubmission.Inselectingpotentialexaminers,thecandidateandsupervisorsshouldconsiderthe
followingguidelines:
a. examiners, external and internal, should be, so far as possible, at arm’s length from the
supervisors and candidate so as to ensure the maximum degree of objectivity
Whenexaminersarenominated,theHeadofPostgraduateStudies(HPS)shouldspecifythenature
ofanyknownrelationshipbetweenthenominatedexaminersandtheHPS,supervisorsorstudent.It
could be difficult, both for the Thesis Examination Committee and the student, if a relationship not
disclosedatthetimeoftheappointmentofexaminerscomestolightpriorto,orevensubsequent
to,thecompletionoftheexaminationprocess.Withoutgoodreason,externalexaminersshouldnot
be recently moved or retired members of staff, or affiliates of the relevant academic unit, nor recent
researchcollaboratorswiththeHPS,supervisorsorstudent.
B. Examinersshouldbequalifiedtoexamine
The expertise of the examiners in the field of study ought to be unchallengeable. The University
does not encourage the use as examiners, people who have not themselves qualified at the level of
the thesis being sent to them. There may be justifiable exceptions to this rule of thumb, but it is
incumbentontheHPStomakethecasewheneversuchanexceptionisproposed.
C. Examinersshouldberespectedintheirfield
The University views the use of external examiners as being as much for the student’s benefit
as forpreserving the integrityof itsdegrees. HPSshould therefore seek toobtainexaminersof
acknowledgedhighrepute.
�� Research Student Centre
D. Other points to take into account are:
• itisexpectedthataHPSwillnotnominatetwoexternalexaminersfromtheonedepartmentorinstitution;
• itisexpectedthataHPSwillnotnominatetwoexaminersfromthecountryoforiginofacandidatefromoverseas,withoutacompellingreasontodoso;
• itisexpectedthatanyexaminersnominatedwillbeawareofthequalityofthesisrequiredfortherelevantdegree,particularlyifthedegreeisnotcommonlyofferedintheirowncountry;
• itisexpectedthatHPSwillnotnominateexaminerswhohavebeeninvolvedindraftingorhaveseendraftsofthethesis;and
• it is expected that the examination will remain confidential.
4.3 Completing the Nomination of examiners form
In consultation with their supervisors, candidates should nominate at least four (4) potential
examiners on the Nomination of Examiners Form. The supervisors will select two scholars from
this list to be examiners. Candidatesmustnot be informed about the final selection of examiners.
ThesupervisorswillforwardtheNomination of Examiners FormtotheHeadofPostgraduateStudiesfor
final approval. The HPS will then forward the form to the Research Student Centre.
Ifthesupervisorscontactthepotentialexaminerspriortosubmissionofthesisandobtaintheexaminer’s
consenttoreceivethethesis,thenitissentouttotheexaminerimmediately.Ifexaminershavenotbeen
contacted, the Thesis Officer will write to the examiner asking if they are available to examine. One
monthisallowedforthisprocedure.Ifafteronemonthnoreplyhasbeenreceived,theHPSwillbe
notified and asked to advise on the next appropriate action.
4.4 Confidentialityandcontactingexaminers
Examiners are advised that the task of examination must be undertaken on a confidential basis. If
necessary, an examiner can be asked to sign a confidentiality agreement.
Neither the candidate nor the supervisors should contact the examiner with regard to the thesis for
anyreasonduringtheexaminationprocess. Theidentityoftheexaminersmayberevealedoncethe
examinationprocessiscompleted.Ifyouarecontactedbyyourexaminersduringthistime,pleaserefer
the examiner to the Thesis Officer, Research Student Centre. There may be occasions when you will
meetwithpersonslistedas‘PotentialExaminers’atprofessionalconferencesorothersuchevents.If
thisoccurs,youshouldrefrainfromdiscussingtheexaminationwiththem.
�5Guidelines on the Preparation and Submission of Research Theses March 2006
4.5 how long does it take to examine the thesis?
Examinersaregivensixweeksfromthedateofreceiptofthethesisinwhichtoassessandreturntheir
reports.Itnormallytakesfromthreetosixmonthsfromthedatethethesisissentoutforexamination
for a recommendation regarding the award of the degree to be finalised, particularly in cases where a
thesisisforwardedoverseasforexamination.Theexaminationprocessmaytakelongerifcandidates
arerequiredtomakerevisionstotheirthesis.
Studentsmaytracktheprogressoftheirthesisatourweb-siteat:
http://130.130.53.3:591/default.htm
�6 Research Student Centre
5 examination Outcomes
5.1 examiner’s Report Proforma (PhD)
AllexaminersareprovidedwithaReportProformatocomplete.TheProformacontainstwosections–
a)areportonthequalityofthethesis;andb)arecommendationinrelationtotheexaminationoutcome.
Ineachsection,theexaminersareaskedaseriesofquestionsandarerequiredtocircleanappropriate
response.
examINeR’s PROfORma
Section1.Report
Ireportthatinmyopinion:a) thethesisprovidesevidencethatthecandidateconductedoriginalresearch;b) the thesis demonstrates that the candidate has made a significant contribution to the knowledge
ofthesubjectconcerned;c) thethesisrevealsthatthecandidatehasabroadunderstandingofthedisciplinewithinwhichthe
workwasconducted;d) thethesiscontainsmaterialsuitableforpublication;e) the candidate has presented the thesis in a manner and level appropriate to the field of research;
andf) theliterarystandardofthethesisisadequate.
Section2.Recommendation
Irecommendthat:a)thecandidatebeawardedthedegreewithoutfurtherexamination;
or b) the candidate be awarded the degree subject to the minor revisions specified being completedtothesatisfactionoftheHPS;
or c) the candidate be awarded the degree subject to substantial revisions specified being completedtothesatisfactionoftheHPS;
or d) the candidate be awarded the degree subject to the substantial revisions specified being completed to the satisfaction of the HPS and being sighted by the examiner(s) forconfirmation of the revisions to their satisfaction;
or e)thecandidateberequiredtoresubmitthethesisinrevisedformforexaminationafterasuitableperiodofstudyand/orresearch;inthisevent,areyoupreparedtoexaminetherevisedthesis?;
or f) as there are exceptional circumstances, the candidate be required to attend an oralexaminationtodeterminewhetherasatisfactorystandardofcompetenceintheworkhasbeenattained;
or g)(i) the candidate be awarded the degree of Masters Research without furtherexamination;
or (ii) the candidate be permitted to submit the revised thesis for examination for aMastersResearchdegree;
or h)thecandidatebenotawardedthedegree.
��Guidelines on the Preparation and Submission of Research Theses March 2006
5.2 examiner’s Written Report
InadditiontocompletinganExaminer’sReportProforma,examinersareexpectedtoprovideawritten
reportonthethesis.Thelengthofthewrittenreportmayvarydependingonthenatureofanysuggested
revisions.Manyexaminersseetheirroleasoneofprovidingfeedbackandsuggestionsforimprovement
ratherthanasamarkerwhowillpass/failthethesis.Forthisreason,writtenreportsareoftenseveral
pagesinlengthandcontainsuggestionsandcomments.ThewrittenreportprovidesadvicetotheThesis
ExaminationCommitteeonthenatureandtypeofrevisionsthatmayberequired.
5.3 The head of Postgraduate studies’ Recommendation
Oncebothexaminers’reportshavebeenreceivedbytheResearchStudentCentre(RSC),copiesaresent
totheHeadofPostgraduateStudieswhowilldiscusstheresultswiththesupervisors.Candidates do
NOT receive copies of the examiners’ reports at this stage. AmemofromtheHPSissenttotheRSC
with a draft resolution to go before the Thesis Examination Committee (TEC). The memo identifies the
responsesrequiredbythecandidatetoeachpointraisedbytheexaminers.
5.4 Role of the Thesis examination Committee
TheThesisExaminationCommitteeisresponsiblefordetermininganexamination resolutionbased
ontheexaminers’reportsandthereportfromtheHeadofPostgraduateStudies.TheTECmeetsevery
month,exceptJanuary,toconsideranyreportswhichhavebeenreceived.TheCommitteeconsistsofa
Chair,andonerepresentativefromeachfaculty.7
OncetheTECdeterminesaresolution,thecandidate,HPSandexaminersareadvisedinwriting.This
isthefirsttimethecandidatewillreceiveadviceabouttheexaminationoutcome.Thecandidate
isalsosentcopiesof theexaminers’ reports,and theHPS’comments. If revisionsare required, the
candidateisrequestedtocontacttheirsupervisorsandtheHPS.
5.5 Thesis examination Committee Resolutions
ThesisExaminationCommitteeresolutionsfallintothefollowingcategories:
a) Straightforwardmatters
b) Revisionsrequired
c) ThirdExaminerrequired
d) Furtherstudyrequired
� For a list of the current TEC membership, please refer to: http://www.uow.edu.au/research/committees/tec.html
�� Research Student Centre
e) Oralexaminationrequired
f) Downgradeofaward(forPhDonly)
g) Fail
a. straightforward matters:
• thecandidatebeawardedthedegreewithoutfurtherexamination• the candidate be awarded the degree subject to straightforward revisions specified being completed
‘Straightforwardmatters’are those that requirenochanges,orextremelyminimal revisions. In this
instance, the candidate supplies a copy of the final bound thesis to the Research Student Centre as soon
aspossible(seenextchapter).
b. Revisions required:
• thecandidatebeawardedthedegreesubjecttotheminor revisions specified being completed to thesatisfactionoftheHPS.
• thecandidatebeawardedthedegreesubjecttothesubstantial revisions specified being completed tothesatisfactionoftheHPS.
• the candidate be awarded the degree subject to the substantial revisions specified being completed to the satisfaction of the HPS and being sighted by the examiner(s) for confirmation of the revisionstotheirsatisfaction.
• the candidate be awarded the degree subject to the substantial revisions specified being completed tothesatisfactionoftheHPSandbeingre-examinedbytheexaminer(s).
Seesectionbelow–MakingRevisions.
C. Third examiner required:
• thethesistobesenttoathirdexaminerforadjudication.• thethesistobesenttoathirdexaminerforexamination.
A third examiner may be appointed if the two reports are conflicting. The third examiner may be
requiredtoadjudicateortoexaminethethesiswithoutinputfromtheotherexaminers.Inthecaseof
adjudication,theexaminerissuppliedwithacopyofthethesisandthetwoexaminers’reports,andis
asked to determine a resolution of the conflicting reports. In the case of examination, the third examiner
isprovidedwithacopyofthethesisforexaminationandisnotinformedthatthethesishasalreadybeen
examinedbytwootherexaminers.
Ifthethesisistobesenttoathirdexaminerforadjudicationorexamination,thesparecopyofthethesis
issentouttotheexaminer.Oncetheexaminer’sreportisreceived,themattergoesbacktotheTECfor
consideration.
��Guidelines on the Preparation and Submission of Research Theses March 2006
D. further study required:
• thecandidateberequiredtoresubmitthethesisinrevisedformforexaminationafterasuitableperiodofstudyand/orresearch.
IftheTECdeterminesthatfurtherstudyand/orresearchisrequired,thecandidatemustre-enrolandpay
anynecessaryfees.TheHPSandsupervisorswilldeterminewhatprogramofstudyand/orresearchis
required.Afterthisperiodoffurtherwork,thethesiswillberevisedandre-submitted.Newexaminers
maybeappointed,andtheprocessofexaminationbeginsagain.
e. Oral examination required:
• the candidate be required to attend an oral examination to determine whether a satisfactorystandardofcompetenceintheworkhasbeenattained.
Oralexaminationofcandidatesisexceptionalandwillonlybeconductedwhendoubtsaboutathesis
judgedas‘border-line’mayberesolvedbysuchexamination.Anoralexaminationmaythenbeused
to:
• Examine the depth of the candidate’s understanding in respect of any particular area of thethesis;
• Clarifyinterpretationsplacedonexperimental/empiricalwork;and/or• Test a candidate’s general knowledge in areas related to the specific work.
Incaseswhereanoralexaminationistobeconducted,theexaminationwillnormallytakeplaceatthe
UniversityofWollongong. Theexaminingpanelwillusuallyconsistof theexaminersof the thesis,
however,examinersareinvitedtosubmitquestionstobeputtothecandidateontheirbehalf.
PleasenotethatoralexaminationsarerarelyundertakenattheUniversityofWollongong.
f. Downgrade of award (PhD only)
• thecandidatebeawardedthedegreeofMastersResearchwithoutfurtherexamination.• thecandidatebepermittedtosubmittherevisedthesisforexaminationforaMastersResearchdegree.
In exceptional cases, the TEC may determine that a thesis submitted for a PhD is only of sufficient
qualityforaMastersbyResearchdegree.TheawardmaybegrantedbytheTEC,or,itmayberevised
andsentouttonewexaminersforre-examinationasaMastersbyResearchdegree.
g. fail:
• thecandidatebenotawardedthedegree.
20 Research Student Centre
Onveryrareoccasions,theTECmaydeterminethatonthebasisoftheexaminer’sreports,thatafailbe
awardedinrelationtothedegreeprogram.
5.6 making Revisions
If no revisions are required, the candidate submits two properly bound copies of the final thesis to
ResearchStudentCentre.
Ifrevisions are requiredtothesatisfactionoftheHPSand/orexaminer(s):
• the candidate makestherevisions andwritesamemoinformingthesupervisorsandtheHPSthatthechangeshavebeenmade.Thecandidateshouldidentifytherevisionsthroughtheuseof
post-it-notesorbookmarks,andshouldincludeawrittenstatementoutliningwhatrevisionswere
made,andwheretheexaminers’suggestionswerenotadopted,anexplanationastowhy.
• the supervisors checkthattherevisionshavebeenmade,andadvisetheHPS.• afterconsultationwiththesupervisors,the hPs writesamemototheRSCindicatinghis/her
satisfactionwiththerevisions.
Iftherevisedthesisistobesenttotheexaminers:
• theHPSwritesamemototheRSCindicatinghis/hersatisfactionwiththerevisions;• copiesof therevised(provisionallybound)thesisshouldbesuppliedtotheResearchStudent
Centresothattheycanbesenttotheexaminer(s).
• if the examiner(s) is satisfied with the revisions, the HPS and the candidate are informed that the final bound copies should now be submitted to the RSC;
OR
• if the examiner is not satisfied with the revisions, the matter goes back to the TEC.
5.7 Time-frame for making revisions
Under the course rules, candidates have 12 months from the date of the Thesis Examination Committee
Resolutiontomaketheirrevisionsandre-submittheirthesis.Thecandidateandtheirsupervisormaymake
arequesttotheDirector,RSCforanextensiontothisperiodunderexceptionalcircumstances.Iftherevised
thesisisnotreceivedbytheResearchStudentCentrewithin12months,thecandidatewillbeawardedafail.
5.8 appeals against a thesis outcome
TheUniversityhasestablishedaprocedurewhichgivesstudents,incertaincircumstances,therightofappeal
againsttheexaminationandevaluationoftheircandidature.Appealsarepermittedonprocedural grounds only,
andonlywhereafailhasbeenawardedorwhereacandidatehasnotbeenpermittedtore-submittheirthesis
2�Guidelines on the Preparation and Submission of Research Theses March 2006
forre-examination.Appealsbydisgruntledstudentssimplyrejectingtheassessmentofthemeritoftheirwork
arenotpermitted.Appealsongroundsofinadequacyofsupervisoryorotherarrangementsduringtheperiodof
study,arenormallynotpermitted,unlessthestudentcanshowthatpersistenteffortstodealwiththeseissueswere
notadequatelyaddressed.TheAppealsProcessisoutlinedintheHDRStudentAcademicGrievancePolicy.
GroundsforAppeal:
Theonlygroundsnormallypermittedforanappealagainstadecisionnottoawardahigherresearch
degreeornottoallowre-submissionofathesisforre-examination,are:
• proceduralirregularitiesintheconductoftheexamination,thatmayhavehadaneffectontheoutcomeoftheexamination;
• circumstancesaffectingthestudent’sperformanceofwhichtheexaminerswerenotaware;• documentableevidenceofprejudiceorofbiasonthepartofoneormoreoftheexaminers;• failuretoconsultthestudentaboutthechoiceofexaminer.
Procedure:
AppealsmustbemadebythecandidatetotheProVice-Chancellor(Research),inwriting,withinone
monthof thedecisionof theThesisExaminationCommittee. TheCandidatemust setout fully the
groundsfortheappealandprovidedocumentaryevidenceinsupportoftheappeal.
22 Research Student Centre
6 submitting the final Copy and graduating
6.1 Number of copies of the thesis required
a.
Followingexaminationofthethesisandcompletionofrequiredcorrections,candidatesarerequiredto
providetheResearchStudentCentrewithtwoproperlyboundcopiesofthethesis-onefordepositin
theUniversityLibraryandonewiththerelevantAcademicUnit.Atthisstage,thecandidateiseligible
tograduate(see6.6).
b.
A candidate is also required to submit a digital copy of the final version of the thesis. The digital copy
ofthethesiswillbeaccessiblesubjecttoapprovedaccessrestrictionsrequestedbytheauthorthrough
the University ofWollongong’s web site, a national database ofAustralian theses and through web
searchengines.ThesisDeclaration:PartB,completedbythecandidateandprincipalsupervisor,must
accompanythedigitalcopyofthethesis.
6.2 ConfidentialmaterialandFreedomofInformation
TheUniversity is committed tomaking theoutcomesof researchpublicly available. Theremaybe
instances when a thesis contains confidential information which cannot be made freely accessible. Such
confidentiality may relate to the substance of the information or the source of the information. For
example, the thesismaycontainmaterial forwhich theauthor intends toapply forpatentprotection
or there are other possible commercial benefits. In other instances, an industry partner or research
participantmayrequestthatmaterialcontainedinthethesisisrestricted.
In most cases, confidentiality will apply to a part or parts of the thesis only. If practical, confidential
material should form a separate confidential appendix. Alternatively, it may be possible to apply for the
thesistobeembargoedforaperiodoftime.CandidatesintendingtorestrictaccesstotheLibrarycopy
oftheirthesisshouldseektheadviceoftheirsupervisors.Theperiodofrestrictionnormallygrantedwill
betwelvemonths.Requeststorestrictaccessforalongertermwillonlybeapprovedinexceptional
circumstances.Allapplicationsmustexplainthereasonsforwhichembargoisrequested,andinclude
thesignaturesofthesupervisorandHeadofPostgraduateStudies.
Candidatesshouldconsidercarefullytheimpactthataperiodofembargoorrestrictionwillhaveontheir
abilitytopublishand/orseekemployment.
6.3 format of final bound Copy
Theformallyboundcopiesofthethesisshouldbepresentedinthefollowingmanner:
2�Guidelines on the Preparation and Submission of Research Theses March 2006
• the thesismustbeboundinboards,coveredwithbuckram. The thesismaybeboundinanycolour,butcheckwithyouracademicunittoseeiftheyhaveapreference;
• theletteringonthespinebindingmustbe10mminheightandshouldbe15mmfromthebottomandacross-UW;70mmfromthebottomandacross-thedegree;underneaththedegree,the
yearofsubmissionof thethesis; andevenlyspacedbetweenthedegreeandthetop,reading
upwards, the name of the author, initials of given name or names first followed by family name;
• nootherletteringordecorationispermittedonthespineorelsewhereonthebinding;• in thebindingof a thesiswhich includesmountedphotographsorgraphsor contains aback
pocket,packingmustbeinsertedatthespinetoensureeventhicknessofthevolume;
• thethesismustbepresentedinapermanentandlegibleformasoriginaltypescript,offsetprinting,orcopybyotherapprovedtechnique;
• thethesismaybeprintedonsingleordouble-sidedpaper.
quality of paper and printing
Donotbindanylaserprintedpages.Librarianshavenotedadeteriorationoftextsfromcertainlaser
printersoverlongperiodsoftime.Onlybindyourphotocopiedpages.Inaddition,youshoulduseacid
freepapertoensurethattheboundcopieslast.
binding more than one volume
Ifyouarebindingthethesisintwoormorevolumes,ensurethateachvolumeismarkedas‘Volume
1’or‘Volume2’,andthateachvolumehasatitlepage.Ifnot,itisveryeasyforthevolumestobe
separatedintheLibrary.
6.4 bookbinders
Please refer to local Yellow Pages to find suitable bookbinders in your area.
6.5 Thesis binding expenses
RecipientsofAustralianPostgraduateAwards(APAandAPA(I))andUniversityPostgraduateAwards
(UPA)andsomefacultyscholarshipsreceivea thesisallowancewhichassistswiththecostsdirectly
associated with the production of the thesis, including typing, photocopying, temporary and final binding.
Candidates must cover this expenditure themselves and then present the account to the Thesis Officer in
theResearchStudentCentreforreimbursement.Claimscanonlybemadeaftersubmissionofthethesis.
Thecostsofbuyingcomputersorcomputerequipmentcannotbeclaimed.
Candidateswhodonotreceiveathesisallowancethroughascholarshipareresponsiblefortheirown
thesisbindingexpenses.
2� Research Student Centre
6.6 Procedure for graduation
Candidates can apply to graduate on-line once they submit their thesis. Once two final bound copies of
thethesisarelodgedwiththeRSCandaCDcontainingtherevisedthesis,accompaniedbyaletterfrom
theHeadofPostgraduateStudiescertifyingthatanyrevisions,whererequired,havebeensatisfactorily
completed, the graduation process is initiated. You can nominate to graduate at a ceremony or in
absentiaataUniversityCouncilmeeting.Furtherinformationaboutthegraduationprocessisavailable
at:
http://www.uow.edu.au/student/graduation/ Please note that the application Closure date does
not necessarily apply to Postgraduate Research students. Contact RsC for further information.
25Guidelines on the Preparation and Submission of Research Theses March 2006
aPPeNDIx a
Requirements for the award of the Degree of Doctor of Philosophy (PhD)
TheprincipalcriterionfortheawardofthedegreeofDoctorofPhilosophyiswhetherthethesisrepresents an original and significant contribution to knowledge, either by the discovery of new facts and/ortheexercisingofindependentcriticalabilityand/orthearticulationofanewornovelapproachtotheresearchquestion.
An original contribution to knowledge may be reflected in a number of ways. The candidate may haveraisedanimportantnewproblemorhaveaddressedanexistingprobleminanovelway.Acandidatemayhaveinvestigatedpreviouslyignoredmaterial,developednewtechniquesforinvestigatingissues,orhaveappliedexistingtechniquestoanewareaofresearch.
Whether a candidate’s work constitutes a “significant contribution to knowledge” could be gaugedbytheextenttowhichthethesisispublishable.NormallyasatisfactoryDoctoralthesismightbeexpectedtoformthebasisforoneormorearticlesinrecognisedrefereedresearchjournals,orinsomedisciplines,toformthebasisofamonograph.Examinersareinvitedtoofferanopiniononwhetherthethesiscontainsmaterialsuitableforpublication.
Thethesismayincludeforconsiderationanymaterialpreviouslypublished,providedtheresearchwasundertakenduringthecandidatureforthisDoctorofPhilosophy.
Theresearchthesisshoulddemonstratethecandidate’sabilitytopresenttheresearchinawrittenformat;itshouldbefreeoftypographicalandgrammaticalerrorsandcommunicatethepurposeandresultoftheresearchinaconciseandeffectivemanner.
Thecandidateshouldbeabletoassesscriticallythepresentstateofknowledgeinthesubjectandunderstand the place of the research in relation to the field.
26 Research Student Centre
aPPeNDIx b
Requirements for the award of the Degree of masters by Research (formerly
honours master)
Candidateswillberequiredtodemonstratetheyhavereceivedadequatetraininginresearchandresearch methods. While the candidate is expected to contribute to knowledge in his/her field, he/she willbemorecloselysupervisedthanwouldadoctoralcandidate;theMastersdegreeisseenprimarilyasadegreeprovidingadvancedtraininginresearchdesignandtechnique
Theexamineristhereforerequestedtoconsiderthethesisfromtheperspectiveofitsapproachtoaproblemanditsgraspofprocedureandtechnique. Itshouldnotbeassumedthatthecandidatewill have chosen the topic. Candidates who have completed an Honours degree at first class standard, orundertakenequivalentresearchworkpriortotheiradmission,arenormallyrequiredtocompleteonefull-time year of research: candidates without these qualifications on admission are required to complete 6monthsofequivalentfull-timestudybycourseworkfollowedbyoneyearofresearch.Anexaminermay assume that a candidate has successfully completed the coursework prior to submission of thethesis.
The thesismay includematerial previouslypublished, provided the researchwasundertakenduringcandidatureforthisMastersbyResearchdegree.
Theresearchthesisshoulddemonstratethecandidate’sabilitytopresenttheresearchinawrittenformat; it shouldbefreeof typographicalandgrammaticalerrorsandcommunicate thepurposeandresultoftheresearchinaconciseandeffectivemanner.
Thecandidateshouldbeabletoassesscriticallythepresentstateofknowledgeinthesubjectandunderstand the place of their research in relation to the field.
2�Guidelines on the Preparation and Submission of Research Theses March 2006
aPPeNDIx C
Requirements for the award of Doctor of Creative arts
ThesubmissionfortheDoctorofCreativeArtscomprisesthecreativeworktogetherwithitsaccompanyingdocumentation.Thedocumentationwillbeprimarilyinwrittenform,andmayincludeotherformsasarecordofthecreativework(forexample,photographic,soundandvideorecordings).
Thedocumentationisintendedtosupplementthecreativework,withtheprimaryemphasisandfocusofthisdegreeonthecreativework.Thereshouldbeanintegralrelationshipbetweenthecreativeworkand thedocumentation.Thedocumentation, ineffect,aims todemonstrate that thesubmissionmeetsthecriteriafortheawardingofthedegree.Itshouldassisttheexaminerstodeterminewhether,andin what ways the submission makes an original and significant contribution to the creative discipline(s) and/orthearea(s)ofinquirywithinwhichtheworkislocated.
Creativediscipline(s)isusedheretorefertothepracticeandconceptualbaseoftherelevantartform(s), such as painting, music composition, prose fiction, theatre design. Note that the creative work mayspanmorethanonecreativediscipline,orbeinterdisciplinaryinrelationtocreativedisciplines,orexplorenewartformsforwhichthereisnoestablisheddisciplinarylocation.Areaofinquiryisusedheretorefertowayinwhichthesubmissionmayconstituteaninvestigationofanareaofknowledgeotherthanthecreativediscipline(s).Putsimply,thecreativeworkmaybeaboutsomethingotherthanitsowncontributiontothecreativediscipline(s).Thedocumentationshouldclarifytheintentionofthecandidateinrelationtothecreativediscipline(s)andthearea(s)ofinquiryofthesubmission.
TheReportindicateswhether,intheopinionoftheexaminer,thesubmissionmeetsthecriteriafortheawardingofthedegreeofDoctorofCreativeArts.Theprincipalcriteriaarethoseoforiginalcreative work and significant contribution to the creative discipline(s) and/or area(s) of inquiry. The followingnotesmayassisttheexaminerinpreparingtheReport:
a) Thecandidate’sproductionoforiginalcreativeworkshouldbeevidencedinthecreativework
itself,supportedbythedocumentation.(Forexample,thedocumentationmaydiscusspreviouswork in the relevant field(s) in order to demonstrate the advance or innovation to the body of workmadebythecreativework.)
b) The candidate’s significant contribution should be evidenced in the creative work itself and in the documentation.Ingeneral,thedocumentationshouldindicatethenatureofthecontributionandindicate the grounds on which its significance may be inferred.
c) The candidate’s broad understanding of the creative discipline(s) should be evidenced in thecreativeworkitselfandmaybeafocusofthedocumentation.Wherethesubmissionaddressesarea(s)ofinquirybeyondthecreativediscipline,generallythedocumentationwilldemonstratethenatureandextentoftheresearchinvolved.
d) Theexaminer is requested to reportonwhether thesubmissioncontainsmaterialsuitable forpublication.Publicationisusedhereinthebroadsensetoincludeexhibition,performanceandrecordings. Frequently the creative work which forms one component of the submission ispresentedforexaminationinapublicandprofessionalcontext,suchasapublicexhibitionorperformance.Inaddition,creativeworkproducedinthecontextofthecandidacy,andreferredtointhedocumentation,islikelytohavebeenpreviouslypublished,performedorexhibited.The
2� Research Student Centre
examinerisnotconstrainedbyactualpublicationinforminganopinionaboutthesuitabilityoftheworkforpublication.Suitabilityrepresentsajudgementabouttheworthinessofthesubmission(inpartorinitsentirety)forpublicpromulgation,inparticulardirectedtowardsprofessional,creativeand/orscholarlyaudiencesorreaderships.
e) Theexaminerisrequestedtoreportonwhetherthesubmissionachievesappropriatestandardsand modes of presentation. Examiners are likely to consider the creative work in relation toappropriatestandardsandexpectationsofprofessionalpracticewithinthecreativediscipline(s)concerned.Injudgingthewrittendocumentation,theexaminershouldreportonwhetheritmeetsadequateandappropriateliterarystandards.Wherethedocumentationincludesmaterialinotherforms(mostfrequently,photographic,video,orsoundrecording),theexaminermayreportonwhetherthetechnicalandaestheticstandardsachievedareadequate.
2�Guidelines on the Preparation and Submission of Research Theses March 2006
aPPeNDIx D
Requirements for the award of Doctor of education
TheDoctorofEducation(EdD)isanadvanceddegreegrantedonsuccessfulcompletionofanapprovedprogramofcourseworkandanindependentandoriginalinvestigationofaneducationalissuerelevant to theeducationprofession.Thepurposeof thedegreeofDoctorofEducationis toprepareprofessional leaders in Education and related fields. Candidates undertake a focused program of study, includingcourseworkinresearchmethodology,aspecialistareaofeducationstudies,andathesis.
Thepresentationoftheinvestigationandresultsshouldbeinanacceptableformforexaminationasathesis.Thethesisshouldreportoriginalwork,theresearchmaybeofanappliednature,intoissuesofprofessionalorpolicyconcern.TheEdDthesiscomprisestwo-thirdsofthetotalprogram,96cpofthe144cpprogram(approximately95,000words).
TheprincipalcriteriafortheawardofthedegreeofDoctorofEducationiswhetherthethesisrepresents an original and significant contribution to knowledge and/or professional practice, either by thediscoveryofnewfactsorunderstandings,and/ortheexercisingofindependentcriticalabilityand/orthearticulationofanewornovelapproachtotheresearchquestion.
An original contribution to knowledge may be reflected in a number of ways. The candidate may haveraisedanimportantnewproblemorhaveaddressedanexistingprobleminanovelway.Acandidatemayhaveinvestigatedpreviouslyignoredmaterial,developednewtechniquesforinvestigatingissues,orhaveappliedexistingtechniquestoanewareaofstudy.Whether a candidate’s work constitutes a “significant contribution to knowledge” could be gauged by theextenttowhichmaterialfromthethesisispublishable.NormallyasatisfactoryDoctoralthesismightbeexpectedtoformthebasisforoneormorearticlesinrecognisedrefereedprofessionaljournals,orbethebasisforamonograph.Examinersareinvitedtoofferanopiniononthepublishablecontentofathesis.
The thesis may include for consideration any material previously published, provided theresearchformsanintegralpartoftheirthesisandwasundertakenduringthecandidatureforthisDoctorofEducation.
Thethesisshoulddemonstratethecandidate’sabilitytopresenttheresearchinawrittenformatwithrelatedtechnologiesasappropriate;itshouldbefreeoftypographicalandgrammaticalerrorsandcommunicatethepurposeandresultoftheresearchprojectinaconciseandeffectivemanner.Itshoulddemonstrate that key findings have been appropriately communicated to significant stakeholders. The candidateshouldbeabletoassesscriticallythepresentstateofknowledgeinthesubjectandunderstandthe place of their research project in relation to the field.
�0 Research Student Centre
aPPeNDIx e
Requirements for the award of Doctor of Public health
ThetotalworkloadoftheDoctorofPublicHealthdegreeisthesameasforotherdoctoraldegrees.Therequirementsforthedegreeshould,ifthecandidateprogresseswell,becompletedinthreeyearsfull-timestudy,orlongerifthestudyprogramisnotfull-time.Courseworkmakesupone-thirdofthisworkload(48creditpoints),theothertwo-thirds(96creditpoints)consistingoftheresearchcomponent,submittedasathesis.Itisexpectedthatthetotalamountoftimeallocatedtotheresearchcomponentwillbeonly two-thirds thenormalallocationforafullDoctorofPhilosophyresearchprogram(alsotaken tobe threeyears full-time). Theworkrequired toconstruct the thesis is less thanfora thesissubmittedforaDoctorofPhilosophydegreeand(perhaps)thescopeismorelimited,butthequalityandlevelofresearchshouldbesimilar.
Theprincipalcriterionfor theawardof thedegreeofDoctorofPublicHealth iswhether thethesis represents an original and significant contribution to knowledge and/or professional practice, eitherbythediscoveryofnewfactsand/orunderstandingand/ortheexercisingofindependentcriticalabilityand/orthearticulationofanewornovelapproachtotheresearchquestion.
An original contribution to knowledge may be reflected in a number of ways. The candidate may haveraisedanimportantnewproblemorhaveaddressedanexistingprobleminanovelway.Acandidatemayhaveinvestigatedpreviouslyignoredmaterial,developednewtechniquesforinvestigatingissues,or have applied existing theory and/or techniques in a new situation of significance.
Whether a candidate’s work constitutes a “significant contribution to knowledge” could be gaugedbytheextenttowhichthethesisispublishable.NormallyasatisfactoryDoctoralthesismightbe expected to form the basis for one or more articles in a recognised refereed journal, or in somedisciplines,onthebasisofamonograph.Examinersareinvitedtoofferanopiniononthepublishablecontentofathesis.
Thethesismayincludeforconsiderationanymaterialpreviouslypublishedprovidedtheresearchformsan integralpartof the thesisandwasundertakenduring thecandidature for thisDoctorateofPublicHealth.
Thethesisshoulddemonstratethecandidate’sabilitytopresenttheresearchinawrittenformat;itshouldbefreeoftypographicalandgrammaticalerrorsandcommunicatethepurposeandresultoftheresearchinaconciseandeffectivemanner.Thecandidateshouldbeabletoassesscriticallythepresentstate of knowledge in the subject and understand the place of their research in relation to the field.
��Guidelines on the Preparation and Submission of Research Theses March 2006
aPPeNDIx f
Requirements for the award of Doctor of Philosophy (Clinical Psychology)
ThetotalworkloadoftheDoctorofPhilosophy(ClinicalPsychology)degreeisthesameasforotherdoctoraldegrees.Courseworkmakesupone-thirdofthisworkload,theothertwo-thirdsconsistingoftheresearchcomponentwhichisexaminedbysubmissionofthethesis.
TheprincipalcriterionfortheawardofthedegreeofDoctorofPhilosophyiswhetherthethesisrepresents an original and significant contribution to knowledge, either by the discovery of new facts and/ortheexercisingofindependentcriticalabilityand/orthearticulationofanewornovelapproachtotheresearchquestion.
An original contribution to knowledge may be reflected in a number of ways. The candidate may haveraisedanimportantnewproblemorhaveaddressedanexistingprobleminanovelway.Acandidatemayhaveinvestigatedpreviouslyignoredmaterial,developednewtechniquesforinvestigatingissues,orhaveappliedexistingtechniquestoanewareaofresearch.
Whether a candidate’s work constitutes a “significant contribution to knowledge” could be gaugedbytheextenttowhichthethesisispublishable.NormallyasatisfactoryDoctoralthesismightbe expected to form the basis for one or more articles in a recognised refereed journal, or in somedisciplines,onthebasisofamonograph.Examinersareinvitedtoofferanopiniononthepublishablecontentofathesis.
ThethesismayincludeforconsiderationanymaterialpreviouslypublishedprovidedtheresearchwasundertakenduringthecandidatureforthisDoctorofPhilosophy.
Thethesisshoulddemonstratethecandidate’sabilitytopresenttheresearchinawrittenformat;itshouldbefreeoftypographicalandgrammaticalerrorsandcommunicatethepurposeandresultoftheresearchinaconciseandeffectivemanner.
Thecandidateshouldbeabletoassesscriticallythepresentstateofknowledgeinthesubject,andunderstand the place of their research in relation to the field.
�2 Research Student Centre
aPPeNDIx g
Requirements for the award of Doctor of business administrationTheDoctorofBusinessAdministration(DBA)isanadvanceddegreegrantedonsuccessfulcompletionofanapprovedprogramofcourseworkandan independentandoriginal investigationofaresearchproblemwithin a professional environment.ThepurposeoftheDbaistoprepareprofessionalleadersin Business and related fields. Candidates undertake a focused program of study, including coursework inresearchmethodology,andathesis.TheDBAwillbecompletedin2stages:
Stage1willrequirethesuccessfulcompletionofthefollowingfourcoresubjects:
-BusinessResearch:principlesandprocesses(12credits)-Methodology–QualitativeandQuantitative(12credits)-LiteratureReviewandAnnotatedBibliography–10,000words(12credits)-ProposalandDefence–10,000words(12credits)
Progression to stage 2 requires a grading of no less than 65% in each of the Dba’s four core subjects.
Failuretoreachthisgrade,butgainingatleast50%ineachsubjectwillallowthestudenttograduatewithaMastersofBusiness(Research)
Stage 2 is the field work and research thesis element of the program. This will be deemed to be of equivalent standing to that of the PhD. It must therefore be an original work with significant contribution to the chosen field of research. Two supervisors must be nominated for each candidate. The thesis should reportoriginalwork, the researchmaybeof anappliednature, into issuesofprofessionalorpolicyconcern.TheDBAthesiscomprisestwo-thirdsofthetotalprogram,(approximately70,000 words).
TheprincipalcriteriafortheawardofthedegreeofDBAiswhetherthethesisrepresentsanoriginaland significant contribution to knowledge and/or professional practice, either by the discovery of new factsorunderstandings,and/ortheexercisingofindependentcriticalabilityand/orthearticulationofanewornovelapproachtotheresearchquestion.
��Guidelines on the Preparation and Submission of Research Theses March 2006
aPPeNDIx h
Requirements for the award of the Doctor of Psychology (Clinical Psychology)
TheDoctorofPsychology(DPsyc)wasrevisedin2005sothatitcomplieswithnationalguidelinesforaResearchhigherdegree.
The Doctor of Psychology will be awarded on successful completion of an approved program ofcourseworkandpracticums,andcompletionofasupervisedresearchprogramonatopicthatisconsistentwiththekeyresearchinterestsoftheAcademicunitandtheFaculty..
Thecourseworkcomponentmakesupone-thirdoftheworkloadandtheothertwo-thirdsconsistsoftheresearchcomponent.Thepracticumcomponentsareintegratedwiththecourseworktoencouragetheseamlesstransitionformtheorytopracticumtraining
Completionofthisdegreewillequipstudentswiththehighlevelresearchskillsrequiredforaprofessionalinpsychology.Studentswillbeinvolvedinallaspectsofanindependentresearchprogramincludingacomprehensivereviewandcritiqueofcurrentliterature,andthedesigning,conductionandreportingofoneormoreempiricalstudies.Togetherwithotherresearchcomponentswithinthedegree,thestudywillculminate in a doctoral thesis that constitutes a significant contribution to research or scholarship.
Researchandcourseworkwillbecompletedinparallelandtheentiredegreewillbecompletedinfouryearsoffull-timestudy(orpat-timeequivalent).
�� Research Student Centre
aPPeNDIx I
Title sheet
(TITle Of ThesIs)
*A thesis submitted in (partial) fulfilment of the
requirementsfortheawardofthedegree
(Name Of DegRee)
from
UNIveRsITy Of WOllONgONg
by
(aUThOR’s Name, DegRee(s) helD)
(Name Of aCaDemIC UNIT)
(yeaR)
* Where the thesis is in partial fulfilment of the requirement for the award of the degree the word
“partial” must be inserted immediately before the word “fulfilment”.
�5Guidelines on the Preparation and Submission of Research Theses March 2006
APPENDIX J
Thesis Certification
Sample Certification for inclusion in Thesis:
CERTIFICATION
I, Karen M. Smith, declare that this thesis, submitted in partial fulfilment of the requirements for the award of Doctor of Philosophy, in the Department of Biological Sciences, University of Wollongong, is wholly my own work unless otherwise referenced or acknowledged. The document has not been submitted for qualifications at any other academic institution.
(Signature) Karen M. Smith
2� January 2006
�6 Research Student Centre
NOTes