Submission of thesis

A handy checklist of actions that you need to take before submitting your thesis for examination is available from SUPRA's website, at supra.sydney.edu.au/assets/file/Publications/SUPRAthesisguide.pdf

Please keep in mind that whilst the examination of your degree is governed by Academic Board policy and Senate resolutions, there are some discipline and faculty specific variations to processes and suggested timelines for action, so please ensure that you check with your faculty office in the lead up to submission of your thesis.

Presentation

The Academic Board has prescribed for the PhD the overall form of the thesis, the part published work can play, and the availability of the thesis once examined. It requires a supervisor to declare that a thesis is sufficiently well prepared to be examined: that it is legible, clearly expressed and generally free from typographical and grammatical errors.

The statement also attests that appropriate ethics clearances have been obtained, and that the research and writing embodied in the thesis are those of the candidate except where due reference is made in the text.

There are no University guidelines as to the layout of the thesis. Typeface, font size, spacing, double-siding and the like are matters for which you should seek advice from your supervisor or postgraduate coordinator. Ensuring that the thesis is legible and easily able to be examined will facilitate the process. Note that the University will not proceed with the examination of a thesis not considered to be in a form suitable for examination.

The thesis requirements for the degree of Doctor of Philosophy can be met by a portfolio of musical compositions where the thesis includes prefatory analytical notes for each composition. In such a case the thesis shall be submitted as a bound volume of International A3 or A4 format.

Binding

The form of presentation of the thesis is prescribed for the PhD and many other master’s degrees in similar form. Normally, theses may be submitted in either temporary or permanent binding. Many examiners express a preference for theses that are temporarily bound as they are less bulky to examine and easier to mail back, but provided the basic requirements are met the choice of binding is an individual one. Consult your supervisor or Postgraduate Coordinator if you need guidance.

It is the policy of the University to expect that, where examiners have drawn attention to errors and typographical mistakes in a thesis, these should be corrected in all copies of the thesis that are to remain in the University (ie in the University Library and any faculty, departmental or school library).

In 2008 around 94.5 per cent of all PhD candidates were required to make some emendations or corrections, so do not assume your thesis will be passed without the need for changes to be made. Emendations do not have to involve re-keying and re-printing if a black ink/biro amendment is clear. Emendations can also be made by way of an appendix to the thesis.

Theses submitted in a temporary binding should be strong enough to withstand ordinary handling and postage. The preferred form of temporary binding is thermal or ‘perfect’ binding, which generally entails a soft cardboard cover into which pages are affixed by heat-fused glue. Note that ringback or spiral binding is not acceptable.

Theses submitted in a permanent form (see below for electronic submission) shall normally be on international standard A4 size paper sewn and bound in boards covered with bookcloth or buckram or other binding fabric.

The title of the thesis, the candidate’s initials and surname, the title of the degree, the year of submission and the name of the University of Sydney should appear in lettering on the front cover or on the title page. The lettering on the spine, reading from top to bottom, should conform as far as possible to the above except that the name of the University of Sydney may be omitted and the thesis title abbreviated. Supporting material should be bound in the back of the thesis as an appendix or in a separate set of covers.

Length of thesis

The word limits for research degrees are set by faculties and vary from degree to degree. Please check the resolutions for your degree in the relevant faculty handbook. Handbook information is available from sydney.edu.au/handbooks

Please note that word limits do not include footnotes.

Preface

In presenting your thesis you will be required to state in general terms in the preface, and more specifically in the notes, your sources, the animal and human ethical approvals obtained, the extent to which you have used the work of others and that portion of the thesis you claim to be your own original contribution.

Generally speaking, you will be permitted to incorporate in your thesis work which you may have submitted for another degree provided you identify it as such but, of course, you may not submit a thesis that has already been successfully presented for a degree at this University or elsewhere.

Inclusion of publications

The University of Sydney (Amendment Act) Rule 1999 (as amended) allows for a candidate to submit in support of candidature, any publication of which the candidate is the sole or joint author, along with evidence identifying the sections of the work for which the candidate is responsible.

The Academic Board has approved the policy Submission of Doctor of Philosophy (PhD) Theses Containing Published Work to guide this process. You should consult this policy and discuss any additional requirements with your faculty. The policy is available online at:
sydney.edu.au/ab/policies/PhD_Theses_Published_Wk.pdf

If you choose to include published work in the body of your thesis, then ensure the thesis is a consistent and unified whole, prepared specifically for the submission of examination for the degree. Critically place any published works used in the body of the thesis in the context of the appropriate field of study and the thesis as a whole. You may only include published work if the research and publication of the work occurred during the course of your candidature.

Number of copies

The number of copies of a thesis required varies according to the degree. For example the PhD requires four copies to be submitted, while the Doctor of Juridical Studies in the Faculty of Law and most master's degrees require three copies of the thesis.

You should check the appropriate Senate and faculty resolutions for any degree-specific requirements. The Senate resolutions for the PhD are available in the Calendar while faculty resolutions for other research degrees are available in the appropriate faculty handbook.

Summary

A summary of approximately 300 words must also be submitted with a PhD thesis.

Library copy

During the examination process it is important that one copy remain in the safekeeping of the Registrar while others are being examined. After the award of the degree one copy, corrected as necessary, printed on archival paper and bound in a final form, must be lodged with the Registrar for deposit in the University Library. Individual faculties may require an additional copy, also corrected and bound in a final form, to be lodged in a faculty or departmental/school library. Other copies of your thesis may be returned to you as they are received back, in due course, from examiners. Usually the faculty office will write or telephone to say that copies are available.

The statutes relating to the lodgement of theses in the Library are prescribed in the University of Sydney (Amendment Act) Rule 1999 (as amended) included in Appendix 5 of this Handbook.

The requirement for the library copy to be printed on archival paper is because of the eventual disintegration of works printed on normal paper. The University Librarian has advised that any paper described as 'acid free' or 'archival' is of archival quality and acceptable for use in the copy deposited in the University Library. Most paper used for computer printing is 'acid free'. The University Copy Centre and SUPRA carry stocks of such paper, as do many commercial stationery stores.

Both SUPRA and the University Publishing Service (UPS) are equipped to copy theses economically, and UPS does temporary bindings for examination and case bindings for permanent lodgement. SUPRA also maintains a list of binders that is available on request. Call (02) 9351 3715 or email

Public availability of thesis

It is University policy that a thesis which results from a program of advanced study and research should be lodged immediately in the University Library and/or departmental/school library after the degree has been awarded. There it becomes immediately available for consultation and, subject to your copyright rights, for photocopying and microfilming.

A program of advanced study and research should only be undertaken if these conditions can be fulfilled. The statutes relating to public availability of theses are prescribed in the University of Sydney (Amendment Act) Rule 1999 (as amended) included in Appendix 5 of this Handbook.

There are two types of circumstance for which these provisions may not apply:

• During your candidature it may become clear that it will be necessary for you to use confidential material which you would not be at liberty to disclose in the thesis. In this situation the faculty or college may recommend to the Graduate Studies Committee that permission be granted to include, in an appendix, material essential to the thesis but which may not be made available for general inspection. Access to the appendix would then be restricted by the University Library for a period normally not exceeding five years. The examiners of the thesis and, as necessary, members of committees concerned with the examination will have unrestricted access to the appendix. The University Librarian may also grant access under certain conditions to bona fide scholars. See also the comments about collaborative research projects in Section 5 on intellectual property. Permission to include material in an appendix must be sought during your candidature and not after your thesis is completed.

• You may also apply for a deferment of public availability of your thesis if you are preparing your thesis for publication and have reason to believe your interests would be at risk if the thesis were immediately available. For example, an application for deferment might be made to allow time for registration or protection of intellectual property such as the filing of a patent application. Where this can be anticipated, it is important to apply as soon as possible and to provide an adequate explanation to allow the application to be assessed.

Sponsoring bodies/agencies should be made aware of the University policy which endorses the principle of early publication, and where possible the need for and duration of deferment should be included in the initial funding contract. In any case, applications for deferment of public availability of the thesis should be made as soon as the need for deferment is identified, and certainly before the thesis is submitted for examination.

Potential examiners will also need to be made aware of the confidential nature of the thesis matter and may be required to sign confidentiality agreements before the thesis can be examined.

Your faculty can grant a deferment of up to six months without further consultation and can recommend to the Graduate Studies Committee that a further deferment, normally no longer than an additional six months, be granted. In exceptional circumstances you may apply to defer public availability for a longer period. In all cases application is made via your faculty office, on the appropriate form, available from your faculty or from:
sydney.edu.au/ab/committees/PhD_award/phd_award_forms

In all such applications, you should set out clearly the reasons for your request and submit firm evidence supporting it, such as a letter of acceptance from a publisher, contract with an industry partner or an explanation of the necessity to maintain confidentiality to protect patent or other rights. You will also need the support of your supervisor and head of department.

Submission

When you submit the required number of copies to the faculty office your thesis should be accompanied by the statement from your supervisor stating that the thesis is suitable for examination. Many faculties will not accept your thesis unless it is accompanied by this statement.

At this point you will sign the statement about your thesis being available for public use after examination and will receive a receipt acknowledging lodgement. If appropriate, this receipt can then be used to claim thesis preparation expenses. Please contact your faculty office for advice if you will not be able to submit your thesis in person.

Once your thesis is lodged the faculty office will affix a label inside covering copyright in relation to the thesis before it is distributed for examination.

Electronic submission of theses

The Academic Board has made provision for electronic submission of theses for the purpose of examination where the candidate wishes to submit in this form and examiners are prepared to examine in this way.

While the present print form of submission is likely to remain the most acceptable form of submission for the foreseeable future, this new method will probably become increasingly popular with the passage of time and improvements in technology. It will also provide a saving in thesis printing and binding costs and examining time.

The introduction of the electronic option does not detract from the present system in any way and only increases the degree of choice available to both candidates and examiners.

The rules relating to electronic submission are set out in detail in Appendix 3. Students who wish to submit electronically need to inform their supervisor and faculty of their intention at least three months before their expected date of submission. Additionally, they need to specify clearly the medium(s)/format(s) in which they wish to submit.

It is the responsibility of the supervisor to advise examiners about the electronic format(s) available and to ascertain whether or not the examiner has the appropriate software available for electronic examination. It is not intended that examiners negotiate the format or that it be discussed between candidate and examiner.

The University provides general guidelines on the preferred form of electronic submission, with Academic Board policy suggesting submission of the thesis on disk. It is noted that the title of the thesis, the candidate’s initials and surname, the title of the degree, the year of submission and the name of the University of Sydney should appear on both the title page of the thesis and on a label affixed to the disk.

The Academic Board also suggests that each chapter must be contained in a separate document. Some faculties have decided that they prefer theses submitted electronically to be submitted as a single document, preferably in PDF format, which may easily be emailed to examiners.

It is also suggested that a hard copy of the thesis should normally be submitted for retention by the faculty office even when the thesis is being examined electronically, although faculties may waive this requirement.

If after examination the degree is awarded, candidates who elect to have their thesis examined electronically must still submit one permanently bound copy of the corrected thesis printed on acid-free paper, for lodgement in the University Library. Note that the degree will not be awarded until this has been done.

Dissemination of your thesis

As the Library is one of the contributing members to the Australian Digital Theses Program, you may also wish to have your thesis included in this database. Information regarding this project, the relevant deposit form and instructions on uploading your thesis may be obtained from the Library website:
www.library.usyd.edu.au/theses/subfaq.html

You may wish to have your thesis listed in Dissertation Abstracts International and to be available for purchase from its publisher, University Microfilms International. Details, including the fee charged for this service, can be obtained by consulting the UMI website at: www.tls.il.proquest.com/en-US/products/dissertations