Melbourne School of Graduate Research

PhD Thesis

Preparation of a PhD thesis

Candidates are strongly advised to discuss with their supervisors the style of writing to be used in the thesis before writing begins.

In all cases the supervisor should be consulted at the beginning of the work. The stages of investigation and writing are likely to vary according to the nature of the subject and should be worked out in consultation with the supervisor.

All candidates are required to prepare at least one substantial piece of work towards the final thesis annually, however, the form this takes, and its relation to the final draft, will vary from discipline to discipline.

The thesis should include general discussion of the candidate's results and findings, and of their significance in relation to the current state of knowledge in the field.

In some disciplines it will be appropriate to concentrate the review of the literature and extended general discussion in introductory and concluding chapters, in other disciplines the review and discussion should be distributed throughout the thesis.

For research topics in the experimental and theoretical sciences, the laboratory or development phase of the work may require the closest supervision and discussion with the candidate.

In the case of creative arts disciplines where the thesis may take the form of creative works and a dissertation, the candidate should specify the form and presentation of the thesis including the proportion to be presented as creative work and the proportion to be presented as a dissertation. Normally the creative work component will not constitute more than 50% of the thesis. The creative work and dissertation must be presented as an integrated, coherent whole. For PhD Music Composition the dissertation may either address an approved research topic independent of the creative work, or address the creative work itself, forming with the folio a complementary mutually reinforcing part of a single project.

The candidate should, at the stage of thesis preparation, be able to express herself/himself with precision, clarity and conciseness.

The supervisor must be consulted on the general form and the content of the thesis up to the stage of the final draft.

 

Questions to consider when writing a PhD thesis

Examiners are provided with information to assist with the marking of the thesis. The format and style of PhD theses can differ as it is expected that a thesis be written to the convention of that field. However examiners are asked to consider, where appropriate, eight questions. These are:

Examiners are also asked to consider the following attributes:

It is expected that examiners consider the thesis solely on its merits as an independent piece of supervised research, irrespective of whether or not the thesis adopts an approach which may be considered as not falling within the mainstream or established research paradigm for the discipline, and irrespective of whether or not the approach to the research is the same as that which the examiner might have used in such a study.

 

Standard of examination of Creative Work

In order to pass the examination, and thus qualify as part of the basis for the award of the PhD degree, the creative work must have the following attributes:

Or

Examiners are advised that they may ask for creative works to be represented or re-documented if they do not meet the above criteria.

 

Editing of theses

Editing in this context has been defined as the detailed and extensive correction of problems in writing style (eg. ghost writing) as opposed to providing general guidelines about problems with style and accuracy, or proof reading for mechanical inaccuracy.

As early as possible in the candidature the supervisor must assess the candidate's writing abilities. In the case of PhD candidates this must be an integral component of the confirmation process, which requires the candidate to provide a piece of written work. This should be of sufficient length to demonstrate writing proficiency and indicate the standard of the candidate's composition skills.

If the supervisor considers that further work is required in areas such as composition and grammar for the candidate to be successful in completing the PhD, the supervisor should then provide advice and assistance as to how an appropriate standard can be achieved. The supervisor needs to explain the level and extent of support the candidate can expect of them as supervisor. Such advice may include referral to the units such as the Learning Skills Unit and the Academic Support Unit at the School of Graduate Research.

The supervisor should continue to monitor the candidate's progress in order to resolve any on-going difficulties. Supervisors should advise candidates about structure, style, and general editing issues and should guide their candidates accordingly. It is appropriate for supervisors to undertake some editing tasks, but within limits. A thesis must express the candidate's voice. Writing is considered an important part of the degree and any assistance with writing must be conducted as part of the overall learning process. Any additional assistance received by the candidate must be fully supported by continuous feedback from supervisors as part of the integral learning process. The integrity of the work relies on the thesis as demonstrably the candidate's work and must indicate that the candidate has the ability to write and argue with clarity.

Acquiring expertise in writing and editing is often seen as an important professional development for postgraduates. Postgraduate colleagues may be appropriate readers and editors of a thesis, and candidates should be encouraged to explore alternative avenues for assistance available from within their department and the wider University community.

Only in rare and exceptional circumstances and with the knowledge and support of supervisors, should students use paid editorial assistance from an outside source. The use of third party editorial assistance, either paid or voluntary, must be acknowledged in the preface and is limited to the guidelines adopted by the University. See the Editing of Research Theses by Professional Editors.

 

Completion Seminar

Overview

All PhD candidates are required to make a public presentation of their research findings at the University in the 3-6 months prior to submitting their thesis for examination. The public presentation is regarded as an important part of PhD candidature. The Seminar should present the objectives, methods, findings and significance of the candidate's PhD thesis research.

Benefits

For the candidate, the opportunity to take part in a Completion Seminar that includes constructive feedback from informed and experienced researchers, and that is timed to enable the student to refine the dissertation and, if necessary, to further develop the personal skills needed to present the candidate's arguments effectively, will be a positive contribution to student learning.

For the University, it provides the opportunity to verify that the candidate owns and understands the research that they are presenting; illustrates that candidates have the oral presentation and other research attributes expected of PhD graduates from this university; and ensures equity among PhD candidates in procedures for reporting on their research at the university.

Format of the seminar

The seminar will normally be no less than an hour (including time for questions and feedback from the panel and general members of the audience). The Panel may require the candidate to remain in closed session for further discussion as necessary. The candidate should present a thesis summary and chapter outline to members of the Panel at least one week in advance of the presentation. The materials should not exceed 2,000 words and should provide a brief overview of the aims and scope of the thesis and of the main results. In addition the candidate should provide a brief abstract of no more than 100 words to facilitate publicity of the seminar and provide a hard copy of the presentation to the panel for departmental records.

Attendance at the seminar

The time, title and candidate details should be advertised in appropriate University and/or research institute media within the Melbourne region (eg. Uni News) and relevant regional campuses to encourage attendance by interested persons.

Membership and role of the Panel

A panel which consists of a minimum of three members including the thesis supervisor(s) and the Head of Department or nominee must be present. While many panels may be wholly internal in membership, external membership of the Panel is also appropriate, and members may be drawn from any suitable tertiary institution/research organisation. Where the candidate has an established advisory committee then this Committee should act as the Panel (but may include additional members).

Panel members should be at least broadly knowledgeable about the field of study, and might be expert in some aspect of the research topic. However, they are not required to be expert in the same sense as the thesis examiners, to be familiar with the written work of the candidate, or to have read a full draft of the thesis in preparation for the Seminar. Rather, their role is to provide general feedback on the material as presented to them in the seminar. The Panel chair should be a member other than the supervisor. The Panel members are expected to complete a report which notes the strengths and weaknesses of the work as presented and may identify to the candidate how particular aspects of the thesis might be enhanced.

Submission of PhD Thesis Form

Completion of the seminar requirement will be signed off by the supervisor/s and Head of Department on the Completion Seminar section of the Submission of PhD Thesis: Statement by Candidate, Supervisor and Chairperson of Examiners form and will include the date and location of the Completion Seminar. The Completion Seminar is a hurdle requirement for submission of the thesis. Candidates leaving Melbourne earlier than 6 months prior to completion of their thesis should expect to return to Melbourne to present the Completion Seminar, or may be given permission to present an equivalent 'Progress' seminar prior to departing.

 

Writing a thesis in a language other than English or under a Cotutelle arrangement

All theses should normally be written in English.

Should a candidate wish to write a thesis in a language other than English, an application must be made to the RHD Committee at an early stage in the candidature.

The RHD Committee will consider such an application only if full justification is provided by the department for presenting a thesis in a language other than English.

Where permission is granted, a substantial summary of the thesis (approximately 5,000-10,000 words) in English should be bound in the thesis and include an introduction, brief chapter outline and conclusion.

In the case of Cotutelle a thesis written in the language of one of the countries involved, should also have a summary of 5,000-10,000 words including an introduction, brief chapter outline and conclusion, in the language of the other.

 

Word limit

Candidates should aim to write a thesis of 80,000 words.

The word limit is exclusive of words in tables, maps, bibliographies and appendices. Footnotes are included as part of the word limit. Appendices must be limited to supporting material genuinely subsidiary to the main argument of the thesis.

Candidates may write up to 100,000 words without seeking special permission from the RHD Committee. In exceptional circumstances, application can be made to the RHD Committee to submit theses longer than 100,000 words. The application must be made prior to submission of the thesis. It must include the justification for the request, the expected length of the thesis and be supported by the supervisor and head of department, who must also certify that the proposed examiners do not object to examining a longer thesis.

In the case of creative arts disciplines where the thesis may take the form of creative works and a dissertation, the integrated thesis should normally represent the equivalent of 80,000 words. The creative work component will be determined between the candidate and supervisor, be approved by the head of Department and be relevant to the proportion of the thesis submitted as creative work. The length of the dissertation will also depend on what proportion of the thesis it constitutes, but will normally be at least 40,000 words.

 

Published material

Candidates are strongly encouraged where appropriate to publish work from their PhD research during candidature. However, the preparation of publications should not impede progress on the thesis, which must remain the candidate's and the supervisor's priority.

While work from the thesis may have been published prior to submission, the thesis must be presented, in both form and content, as a unified whole, and be prepared specifically for submission for examination for the degree. A candidate may not include the actual publications such as reprints or journal articles in their published form as part of the body of the thesis.

Material that has been published may be included, for example as chapters of the thesis, provided that it is suitably acknowledged in the text and the Preface.

Actual publications, such as reprints of journal articles, published creative writing and catalogues and documentation of public performances or exhibited work, may be included in an appropriate form in the appendix, including for example as DVD, CD Rom, or URL addresses.

Work carried out in collaboration with others, and the nature and proportion of the contribution of others, must be clearly indicated in the preface and in general terms the portions of the work that the candidate claims as original.

Where multi-author published material is included in the thesis, the candidate must prepare a statement explaining the contributions of all involved. The statement must be signed by all authors and be included with the submission form.

NB: The above advice is subject to any obligations or contractual agreements with a third party that may encumber the publication of a student's research but not the inclusion of such work in the student's thesis.

 

Format of the thesis

It is impractical to lay down general regulations on preparation, form and content of PhD theses. The great majority of candidates will previously have successfully submitted an Honours or Masters thesis, and it may be presumed that they are familiar with the scholarly conventions in the presentation of references, accuracy of quotation and construction of bibliographies applicable to their discipline. Some departments issue instructions on these matters.

International Standard Paper Size A4 (297 x 210mm) should be used.

The typing should be 1.5 spaced and presented in a clear and legible font and would normally be expected to be double-sided.

Left and right margins should be no less than 30mm and page numbers should appear inside the margins.

Pages should be numbered consecutively and clearly.

Folding diagrams or charts should be arranged so as to open to the top and right.

Before producing final copies of a thesis for submission, the candidate should ensure that all the spelling, grammar, punctuation and choice of language are of a doctoral standard and the bibliography is complete and exact.

In the case of creative arts disciplines the thesis may take the form of creative work plus dissertation. The creative work may take the form of performance, exhibition, writing (poetry, fiction, script or other written literary forms), design, film, video, multimedia, CD Rom or other New Media technologies and modes of presentation. Where appropriate to the study, the creative work must be comprehensively documented. Either the documentation or the creative work or both must be submitted with the dissertation.

The dissertation and the creative work should be considered as complementary, mutually reinforcing parts of a single project. The candidate may argue, however, that the relationship between the two parts contributes to the originality and creativity of the whole. The dissertation should not simply describe the creative work and how it was undertaken. While it will often include information on the materials and methodology used and elucidate the creative work and place it in an artistic, intellectual and/or cultural context, the dissertation must answer to the requirement of every PhD research thesis that it makes an original contribution to knowledge.

For candidates enrolled in PhD Music Composition the written dissertation may either address an approved research topic independent of the creative work, or address the creative work itself, forming with the folio a complementary, mutually reinforcing part of a single project.

The format of the creative work component of the thesis will be agreed between the candidate and supervisor, and be approved by the Head of Department at confirmation. The format of the dissertation component will normally meet the guidelines for a written thesis set out above.

Where the creative work component involves performance (dance, drama, music), a good quality recording of the performance must be included as part of the thesis, or in the case of Music composition, to the folio. Where the creative work component involves exhibited visual art works, good quality photographic reproductions of the work must be included as an appendix to the dissertation.

 

Order of contents

A thesis follows the following order:

Title page

A thesis must be preceded by a title page. The University logo is not permitted to be used in the thesis. The title page of the thesis should show:

Candidates who have pursued a course of study by research alone, including combined Masters/PhD degrees, shall state on the title page:

"Submitted in total fulfilment of the requirements of the degree of Doctor of Philosophy"

Candidates who have pursued a course of study with coursework component shall state:

"Submitted in partial fulfilment of the requirements of the degree of Doctor of Philosophy (with coursework component)"

Candidates who have submitted a thesis consisting of creative work and a dissertation shall state:

"Submitted in partial fulfilment of the requirements of the degree of Doctor of Philosophy (by creative work and dissertation)"

Candidates who have submitted a thesis under a Cotutelle arrangement shall state: "Submitted in total fulfilment of the requirements of the degree of Doctor of Philosophy under a Cotutelle arrangement with The University of Melbourne and [name of partner institution].

Example of title page:

Title of the thesis
The full name of the author
Submitted in total fulfilment of the requirements
of the degree of Doctor of Philosophy
Month Year
Department or Faculty
The University of Melbourne

Abstract

The title page must be followed by:

Declaration

This is to certify that

  1. the thesis comprises only my original work towards the PhD except where indicated in the Preface*,
  2. due acknowledgement has been made in the text to all other material used,
  3. the thesis is less than 100,000 words in length, exclusive of tables, maps, bibliographies and appendices or the thesis is [number of words] as approved by the RHD Committee.

Preface

*If applicable, a Preface includes where appropriate, a statement of:

 

Thesis preparation and binding

Theses should normally be bound using thermal binding.

Thermal binding must be used with covers strong enough to resist damage by bending or knocking. Twin-ring, spring-back and spiral binders are not acceptable, as theses bound in these ways frequently do not survive travel through the post. Thermal binding should not exceed 300 pages (absolute maximum thickness of 35mm per copy).

If there are photographs or charts which need to be included in the thesis, facilities are available for colour laser printing and photocopying in the Postgraduate Association and a scanner is available in the Graduate Publishing and Presentation Centre.

 

Notice of intention to submit thesis

80-word summary

Three months prior to the submission date of the thesis, the candidate is required to submit an 80-word summary of the thesis argument to the School of Graduate Research. Candidates are required to discuss the time-frame for thesis submission with their supervisor prior to submitting an 80-word summary. The 80-word summary should be submitted via the on-line form. In addition to the 80-word summary the following information is required:

The summary activates the process of nominating potential examiners for the thesis.

Candidates are not informed of the names of persons nominated as possible examiners, but are permitted to name individuals whom they do not wish appointed as examiners. Candidates who wish to name individuals whom they do not wish to act as their examiners should provide a written statement to the head of department at the time of submission of their 80-word summary.

In the case of creative arts disciplines where a thesis consists of creative works and a dissertation, and where the creative work component includes performance or exhibition of visual art works, candidates are additionally required to submit an extended abstract of 1,000-3,000 words to the Chairperson of Examiners for forwarding to the examiners one week prior to the viewing.

 

NB: If more than 3 months lapses between submission of the 80-word summary and the thesis for examination, it is recommended that the candidate notify the SGR two weeks before the thesis is to be submitted to avoid delays with the examination. SGR Examinations Office can be notified by e-mail at: msgr-exams@unimelb.edu.au.

 

Thesis submission

Three copies of the thesis must be submitted to the School of Graduate Research, with the candidates name clearly marked on the spine, family name in capitals. In the case of creative arts disciplines where a thesis consists of creative works and a dissertation, and where the creative work component includes performance or exhibition of visual art works, four copies must be submitted within six months from the time of the viewing. Where a candidate submits the thesis by courier (or mail) the School of Graduate Research will send all appropriate forms to the candidate, along with a thesis receipt. On receipt of an approved submission form two copies will be sent to the examiners and one will be retained for the reference of the Chairperson of Examiners. The Chair's copy will be available to the candidate on receipt of a result. Candidates are strongly advised to retain a further copy of the thesis for their own use during the examination.

Examiners' copies will only be returned if prior agreement has been made with the School of Graduate Research. A request for the return of your thesis can be made on the Submission of PhD Thesis: Statement by Candidate, Supervisor and Chairperson of Examiners form, sent by the School of Graduate Research on receipt of your 80-word summary. As an academic courtesy, it is hoped that candidates will allow examiners to keep their copy of the thesis.

Upon submission, candidates will be required to sign an agreement to lodge one copy of the thesis in the University of Melbourne Library. Candidates may restrict access to copies of their thesis for a period of up to two years, one year in the first instance, (see section on Restricted Access).

The Submission of PhD Thesis: Statement by Candidate, Supervisor and Chairperson of Examiners form, also certifies that the thesis comprises only the candidate's original work, and that due acknowledgement has been made to all other material used. A supervisor (normally the principal supervisor) and Chairperson of Examiners (normally the head of department) will be required to certify that the thesis is prima facie ready to go forward to examination and that it embodies the candidate's own work. The form also includes a section where the candidate (in consultation with the supervisor) may request that the examiners maintain the confidentiality of the thesis contents. Such a request may be required where there are research contracts with outside organisation or other issues related to intellectual property.

At the time of submission, the candidate must also provide to the School of Graduate Research details of their address for the next four to six months and details of any scholarship awards they currently hold.

 

Final form of the thesis

On completion of the examination two copies of the thesis in permanent binding, incorporating any necessary amendments or revisions, must be submitted to the Chairperson of Examiners to be approved. Addenda of any length are not accepted. One copy must be printed on archival quality paper (paper should be approximately 80-100gsm) available from the University Bookshop or stationery suppliers. The words "Produced on archival quality paper" should be printed or typed on the title page of this copy. The University logo is not permitted to be used in the thesis.

The following must be printed on the spine of the thesis:

There are no colour restrictions for the thesis cover. The archival quality copy is for the Baillieu Library and the second copy for the Department Library.

 

Making your thesis available on the University of Melbourne ePrints Repository (UMER)

On completion of the examination, and, in addition to submitting the thesis in permanent binding, candidates are encouraged to deposit an electronic version of their thesis on the University of Melbourne ePrints Repository (UMER). Candidates are required to discuss with their supervisor any Intellectual Property implications and seek their approval prior to lodging their thesis on-line. In addition theses cannot be made available to external readers via the on-line process until all copyright has been cleared.

The ePrints repository is part of a GO8 initiative in Australia. Two of the aims of the initiative are: to enhance access and contribution to internationally linked scholarship; and to increase awareness of and improve accessibility to Australian research. The University of Melbourne ePrints Repository uses software which is searchable by 'scholarly' search engines such as Google Scholar, Arc, my.Oai and OAISter.

Uploading of theses onto the ePrint Repository is relatively straightforward. There are clear instructions to guide the uploading process.

All PhD theses loaded onto the ePrint Repository will be automatically transferred to the Australasian Digital Theses Program site.

Further information about the University of Melbourne ePrints Repository (UMER): http://eprints.unimelb.edu.au/

Registering for uploading the thesis: http://eprints.unimelb.edu.au/perl/register

Information about uploading the thesis electronically: http://eprints.unimelb.edu.au/help/#Process

Information about Australasian Digital Theses Program: http://adt.caul.edu.au/

 

Manuals on the presentation of theses

Library services, resources and contacts for postgraduates

http://www.lib.unimelb.edu.au/postgrad/index.html
 The University of Melbourne library collection contains a variety of publications on the writing of theses. There are also numerous information guides written by Information Librarians which can be accessed online at:

http://dydo.infodiv.unimelb.edu.au/index.php?

Research help

http://www.lib.unimelb.edu.au/sg/tools.html

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