Procedure: Higher degree by research – thesis formats and editing

Purpose

This document outlines the content, format, expectations and approval process for Higher degree by research theses. It covers all thesis types that can be submitted at ANU:

• Written thesis
• Thesis by publication
• Thesis by creative works
• Thesis by artefact.

It outlines the requirements for the editing of theses, and the use of confidential or restricted information in theses.

Procedure

1. This document is to be read in conjunction with the Research Awards Rule.
2. A thesis submitted for examination must be a work whose quality aligns with the Australian Qualifications Framework criteria for the program of study in which it is submitted.
3. The format of a thesis is approved by the Delegated Authority (DA) at an appropriate time and takes discipline norms into account. The discipline norms, such as word count, page count, relative weight of creative works or artefacts, may be discipline specific, and agreed at Program level, are endorsed by the DA and approved by the Pro Vice-Chancellor (Graduate Research) and made available online.

Written Thesis

4. The maximum length for a written Doctor of Philosophy thesis is 100,000 words and a Master of Philosophy or Professional Doctorate is 60,000 words. This figure is exclusive of footnotes, tables, figures, maps, bibliographies and appendices, but appendices must be limited to material necessary in support of the main argument of the thesis. Footnotes must only be used for reference or clarification purposes and should not contain substantive arguments or information.
5. Prior to notification of intention to submit, the Delegated Authority may approve:

1. A higher word count;
2. An alternate format for expressing the maximum requirement - such as page count - if words are not an appropriate measure.

6. For editing and formatting requirements refer to paragraphs 61-85 of this procedure.

Thesis by publication

7. A thesis by publication consists of at least three papers (e.g. peer-reviewed research articles, chapters in books). The number of papers is discipline-specific and is agreed at Program level, recorded in the Thesis format requirements document, endorsed by the Delegated Authority, and approved by the Pro Vice Chancellor (Graduate Research).
8. The scope and quality of a thesis by publication is commensurate with the contribution to knowledge expected of a candidate for the relevant degree. The numbers of papers that constitute this requirement may vary between disciplines depending on their norms. Discipline requirements can be varied by program and are set out in their Thesis format requirement document.
9. The candidate must be the sole or joint author of each publication included in the thesis.
10. Where the paper is jointly authored it is expected that at least the majority of the first draft is written by the candidate.
11. All papers submitted in a thesis by publication must follow the Procedure: Authorship.
12. A thesis by publication, in addition to its component papers, contains:

1. An introduction to the field of study and the hypothesis or research questions of the thesis, how these are addressed through its component papers, and a general account of the theory and methodological components of the research where these elements may be distributed across separate papers.
2. Linking text to establish the relationship between one paper and the next, such as through a foreword to each paper.
3. A conclusion drawing together the published papers in a cohesive manner, and addresses how the individual publications link to the theory and methodology adopted and evaluate the contribution that the research makes to the advancement of the research area.

13. The majority of papers must be have been accepted for publication, or have been published. Papers in the following categories may be included within the thesis:

1. Published papers;
2. Manuscripts accepted for publication;
3. Manuscripts under revision following reviewers reports;
4. Manuscripts submitted and under review by reviewers; and
5. Manuscripts in preparation for submission.

14. Unless otherwise approved in writing by the Delegated Authority, more than half of the papers in a thesis by publication at the time of submission of the thesis must consist of papers in categories (a) and (b) of section 13.
15. The papers must have been researched and written during the course of the candidature, except in the case of candidates admitted to a PhD program as a staff member under the Research Awards Rule.
16. A thesis by publication includes a signed declaration that specifies:

1. Title, word length, authorship and publication outlet of each paper;
2. The current status of each paper (In press, Accepted, Under Review, In preparation);
3. The extent of the contribution of the candidate to developing the research questions, creation and collection of data, analysis and interpretation of the data, and to the writing of the paper.

17. For each paper for which the candidate is not the sole author, the collaborating authors sign the declaration. Where this is not possible the lead author signs the declaration on behalf of the collaborating authors, unless the lead author is the candidate or a panel member, in which case another author should sign the declaration. Electronic signatures are considered sufficient for this purpose.
18. The thesis may also include relevant appendices containing additional papers that are not strictly required to fully understand the thesis, raw data, programs, questionnaires and other material as deemed appropriate for each discipline.
19. The non-published parts of the thesis should be formatted as per the requirements for a written thesis at paragraphs 61-84 Published papers or manuscripts should be formatted as published.
20. Candidates who are undertaking a thesis by publication ensure publishers’ agreements do not preclude the inclusion of the published work in their thesis.
21. Only in exceptional circumstances will approval be given to a candidate for a Master of Philosophy or Professional Doctorate to submit a thesis by publication.

Process

22. Candidates submitting by publication will obtain endorsement from their supervisory panel, and approval from the Delegated Authority no more than 12 months prior to submission, and no later than 6 months prior to submission.
23. In considering the request the supervisory panel will provide the candidate with discipline‐specific guidance on the appropriate quantity and quality of papers for submission as a thesis, as well as practical guidance about realistic peer‐review and publication timeframes in their discipline.
24. Prior to notification of intention to submit, the Delegated Authority may approve a higher number of papers than specified in the discipline or program norms document.
25. The Delegated Authority may permit the approval of a thesis by publication and the composition of that thesis less than 6 months prior to submission in exceptional circumstances.
26. Following submission of the thesis the standard ANU examination procedures will apply.

Thesis by creative works

27. A thesis by creative works is work or works designed to produce original creative and/or artistic knowledge. It comprises original creative works with an accompanying written component.
28. The creative works in a thesis by creative works may include one or more of the following:

a) musical works: live and/or recorded performances, score and/or digital compositions, sound recordings, video, online, and multi-media and/or digital musical works, works of musical theatre;

b) artistic works: visual art, paintings, exhibitions, sculptures, designs, photography, sound art, video art, film, installation, performance art, multi-media and digital art works;

c) written works: novel(s), novellas, poems, short stories, plays, scripts;

d) other works considered acceptable by the Delegated Authority.

29. The written component accompanying the creative work may be a dissertation or an exegesis or a combination of both as approved by the Delegated Authority.
30. An exegesis:

1. details the development of the creative work over the duration of the course of study,
2. includes a methodology and reflexive discussion,
3. provides the broad context for the ideas and precedents which inform the development of the research program,
4. enables the candidate to present an account of the research and the process by which it was undertaken,
5. demonstrates how the work addresses the objectives of the approved research project, and
6. where an exegesis and dissertation are both included, the exegesis must demonstrate how the dissertation has informed the creative works.

31. For a dissertation, candidates write a substantial academic essay on a topic of relevance to the objectives of the creative works. The candidate presents a standalone paper or one that is framed within appropriate academic methods through research, documentation, theoretical conceptual frameworks in a form that is relevant to the topic.

Size and weighting of Thesis by creative works

32. The submission as a whole must be a significant and coherent contribution to the advancement of knowledge and a pass standard must be achieved in all components. The weighting of the components is expressed as a percentage and may vary, and is determined by discussion with the candidate, their supervisory panel and approved by the DA.
33. The exegesis for a PhD must be a substantial work of 30,000 to 60,000 words that complements the creative work submitted. The size of a dissertation for a PhD by creative works must be at least 60,000 and no more than 100,000 words, depending on the agreed percentage of each component.
34. The exegesis for an MPhil must be a substantial work of 15,000 to 30,000 words that complements the creative work submitted. The size of a dissertation for a MPhil by creative works must be at least 30,000 and no more than 60,000 words, depending on the agreed percentage of each component described above.
35. Prior to notification of intention to submit, the Delegated Authority may approve:

1. A higher word count;
2. An alternate format for expressing the maximum requirement - such as page count or duration or extent of creative works where words are not an appropriate measure.

36. Candidates intending to submit for examination a thesis by creative works must obtain endorsement from their supervisory panel, and approval from the Delegated Authority about the format of their thesis no more than 12 months prior to submission, and no later than 6 months prior to submission.
37. The formatting and expectations of the written component of the Thesis by creative works is outlined at paragraphs 61-84.

Examination

38. The Delegated Authority approves whether the thesis by creative works is examined by creative works in combination with an exegesis, dissertation, or both, considering paragraphs 30 and 31 above.
39. In cases where the creative work is presented in the form of an exhibition, audio-visual presentation, live performance, recital, lecture recital or similar, the written component is made available to the examiners at least one month before the presentation of the creative work so that the examiners are fully aware of the context of research which has led to the work in the final presentation.
40. Any additional items such as video of the performance, visual presentation of artwork, recording, are either:

1. supplied to the examiners with the written thesis; or
2. supplied to examiners as soon as the documentation is available.

41. The weighting of the components must be clearly indicated to the examiners.
42. In the case of resubmission being required only the component that has failed to meet the appropriate standard is required to be resubmitted.
43. If one component of a Thesis by creative works receives a final assessment of Fail then the whole Thesis by creative works is to be assessed as a Fail.
44. The final outcome of the creative work component of the thesis is presented for examination in the form of an exhibition, or audio-visual presentation, recital, lecture recital or in such other form as had been approved by the Delegated Authority in the candidate's research program.

Thesis by artefact

45. A thesis by artefact comprises a written component along with artefacts that have been produced by the candidate during their research. The works produced together with the written component make an original and coherent contribution to knowledge.
46. A thesis by artefact may be presented as a portfolio of works, including:

a) Digital works including, but not limited to: software, data sets, code, AI works, archives, websites;

b) Printed works including, but not limited to: policies, dictionaries, translation documents, legal documents, catalogues;

c) Built material object works including, but not limited to: prototypes, electronic objects, objects of cultural, historical, or functional significance;

d) Multi-media works including, but not limited to: documentaries, podcasts, images, videos;

e) Combinations of digital, printed, built object and/or multimedia works as considered appropriate by the Delegated Authority.

47. The written component accompanying the artefact(s) may be a dissertation or an exegesis or a combination of both as approved by the Delegated Authority.
48. An exegesis:

7. details the development of the artefact(s) over the duration of the course of study,
8. includes a methodology and reflexive discussion,
9. provides the broad context for the ideas and precedents which inform the development of the research program,
10. enables the candidate to present an account of the research and the process by which it was undertaken,
11. demonstrates how the work addresses the objectives of the approved research project, and
12. where an exegesis and dissertation are both included, the exegesis must demonstrate how the dissertation has informed the production of artefacts.

49. For a dissertation, candidates write a substantial academic essay on a topic of relevance to the objectives of the artefact. The candidate presents a standalone paper or one that is framed within appropriate academic methods through research, documentation, theoretical and conceptual frameworks in a form that is relevant to the topic.

Length of thesis/Size of thesis and (portfolio of) artefacts

50. The submission as a whole must be a significant and coherent contribution to the advancement of knowledge and a pass standard must be achieved in all components. The weighting of the components can vary depending on the nature and extent of the artefact, and the relative weighting of the written work and the artefacts is determined by discussion with the candidate, their supervisory panel as a percentage and approved by the Delegated Authority.
51. Candidates intending to submit for examination a thesis by artefact must obtain endorsement from their supervisory panel, and approval from the Delegated Authority about the format of their thesis no more than 12 months prior to submission, and no later than 6 months prior to submission.
52. The exegesis for a PhD must be a substantial work of 30,000 to 60,000 words that complements and contextualises the artefact(s) submitted. The size of a dissertation for a PhD by artefact must be at least 60,000 and no more than 100,000 words, as approved by the Delegated Authority.
53. The exegesis for an MPhil must be a substantial work of 15,000 to 30,000 words that complements and contextualises the artefact(s) submitted. The size of a dissertation for a MPhil by artefact must be at least 30,000 and no more than 60,000 words, depending on the agreed percentage of each component described at 50 above.
54. Prior to notification of intention to submit, the Delegated Authority may approve:

1. A higher word count;
2. An alternate format for expressing the maximum requirement - such as page count - if words are not an appropriate measure.

55. The formatting and expectations of the written component of the Thesis by artefact is outlined at paragraphs 6262-85.

Examination

56. Each component of a Thesis by creative works may receive a different examination outcome.
57. In the case of resubmission being required only the component that has failed to meet the appropriate standard is required to be resubmitted.
58. If one component of a Thesis by artefact receives a final assessment of Fail then the whole Thesis by artefact is to be assessed as a Fail.
59. The final outcome of the artefact component(s) of the thesis is presented for examination in the appropriate form for that artefact, or in such other form as had been approved by the Delegated Authority in the candidate's research program.
60. The weighting of the components must be clearly indicated to the examiners.

Editing of theses

61. The Institute of Professional Editors Limited (IPEd) have collaboratively developed an agreed set of guidelines based on the Australian standards for editing practice that provide guidance to candidates, supervisors and professional editors in how much assistance they should provide to candidates who have requested help in writing their theses.

Proof-Reading and Editing of Research Theses and Dissertations

62. Academic supervisors of higher degree by research candidates provide editorial advice to their candidates on:

3. Matters of content, substance and structure;
4. Interpretation of the research literature and data;
5. use of illustrations and tables;
6. use of language (including clarity, voice and tone, grammar, spelling and punctuation);
7. use of technical and specialised terminology. (IPEd 2019).

63. Supervisors may also provide copy editing and proofreading. The Australian standards for editing practice outline the differences between editorial advice on content, substance and structure (Part C), copy editing (Part D) and proofreading (Part E).

64. Candidates may use third parties (professional or otherwise) to assist in preparing their thesis for submission, provided they discuss this with their supervisor and provide the editor with a copy of this guideline and the Australian Standards for editing practice guideline before they commence work.
65. Third party editorial intervention is restricted to:

1. Standard D
2. Standard E

66. Where a third party provides advice on matters of structure (Standard C), only examples should be given, not detailed sets of changes.
67. Feedback as a result of professional editing or proofreading is provided in a format that encourages consideration of the recommendations of the editor rather than simply acceptance of those recommendations.
68. Where editorial advice is given, it is acknowledged as per the Higher degree by research - submission and examination of theses procedure.

Editorial Services

69. Available editorial services include:

1. A directory of editors from the Canberra Society of Editors;
2. A searchable database from the Institute of Professional Editors (IPEd).

70. Before commissioning an editor, the Canberra Society of Editors checklist should be used to determine the scope of work.

Use of ‘Artificial Intelligence’ (AI)

71. ‘Artificial Intelligence’ (AI) is intended to refer to generative AI tools, such as (but not limited to) ChatGPT, Microsoft CoPilot, Grammarly and other technologies reliant on Large Language Models (LLM) for text or image generation.
72. It is permissible to use AI in the editing of theses for tasks such as spell checking, grammar checking and making text shorter, consistent with Standards D and E under paragraph 63.
73. If AI tools have been used to edit the thesis, then the extent of the use of the technology should be noted in the acknowledgements section of the thesis.
74. If a candidate elects to use AI they should be mindful of ethical implications of their actions and refer to ANU guidance as updated from time to time.

Requirements for the front matter and editing

75. The first page of the thesis gives its title, the candidate's name in full and the month and year of its submission for examination. It includes the statement:

"A thesis submitted for the degree of Doctor [or Master, as appropriate] of Philosophy of The Australian National University."

76. It also includes a copyright notice providing the full legal name of the author, centred at the bottom of the page:

© Copyright by [Candidate’s Full Name] [Year]

All Rights Reserved

77. The second page contains a statement signed by the candidate, indicating the extent to which the thesis is their own original work, if the research is conducted jointly with another person, clearly indicates the nature and extent of the candidate’s contribution to the research, and a word count or equivalent.
78. Acknowledgments are included in the following pages.
79. When third party editorial advice has been provided the name of the editor and a brief description of the service rendered is printed in the acknowledgements as per the Australian standards for editing practice. If the third party editor's current or former area of academic specialisation is similar to that of the candidate, this is also stated in the acknowledgements. If the candidate used digital editing tools or generative AI this should be acknowledged.
80. An abstract of 250-500 words is on the page or pages following the acknowledgement. The electronic version of the abstract must use standard text only.
81. A table of contents appears following the abstract.
82. A bibliography of works to which reference has been made is included at the end of the thesis. The bibliographical standards applied are consistent with the discipline.
83. The format of written components of theses or written theses should comply with that of International Standards Organisation (ISO) A4 size (297mm x 210mm), unless the diagrams, tables etc. do not fit appropriately on this size, in which case it may be printed on ISO B4 size (353mm x 250mm).
84. The format of text in a written thesis or written component of a thesis must comply with the following formatting:

1. text is double spaced or one and a half spaced. Single spacing is used only for indented quotations, footnotes and bibliographies.
2. text is in a font that is easy to read, and no smaller than 11 points for text and 9 points for footnote text. For a digital thesis, it is recommended to use Arial or another Sans-Serif font. For more information, please refer to the ANU Style Guide.
3. All margins are with header and footing settings as 2.5cm from the top and bottom:

Confidential and restricted information in theses

85. On the award of a Higher Degree by Research, the thesis will be available via Open Access through the University library.
86. In exceptional circumstances, it may be necessary to request full confidentiality and/or to restrict access to a thesis because of the use of confidential or restricted information. Full confidentiality refers to an examination process where the examiners are bound by a confidentiality agreement and the thesis, once approved, has restricted access.
87. Where confidential information is used, both the candidate and University are obliged to abide by all decisions in relation to confidentiality and ensure that open access is not available to those portions of the thesis where access has been restricted or prohibited.
88. Any restriction or prohibition of access to an appendix to a thesis, to a part of a thesis, or to a thesis or other publication is subject to the relevant laws in force at the time of the Commonwealth of Australia and the Australian Capital Territory.

Generation of confidential information

89. Confidential information may be generated from research itself, by interactions with a third party, or obtaining information regarded as confidential from a third party.
90. Confidential information that is generated may include:

1. Requirements to prevent the substance of information becoming public;
2. Requirements to restrict the way in which information is expressed;
3. Requirements to maintain confidentiality regarding the source of information;
4. Ethical standards in regards to the conduct of research and statements in those standards in relation to confidential information;
5. Where a contractual agreement or undertaking has been entered into in relation to the use of any information that is required to be kept confidential.

91. Prior to entering into any agreement with a third party which includes a confidentiality clause the candidate:

1. Should read the Student Intellectual Property procedure; and
2. Should seek independent advice, for example legal assistance from ANUSA, in relation to the conditions of the agreement.

Format of Confidential Information in a Thesis

92. If a thesis contains confidential information, it should be confined to a Confidential Appendix wherever possible.
93. Where it is not possible to confine confidential information to a Confidential Appendix, it may be inserted in a chapter or chapters of the thesis or throughout the thesis as a whole.

Approval process

94. Where it is necessary to request full confidentiality or to restrict access for reasons of confidential or restricted information in a thesis, a proposal including rationale and timeframes is developed by the candidate in consultation with their supervisory panel in advance of the intended submission date and prior to any notification to submit.
95. The restriction of access to all or part of a thesis is normally approved only for a specified timeframe.
96. Full confidentiality is requested online as part of the Notice of Intent to Submit (NOI) eForm, and approved by Pro Vice-Chancellor (Graduate Research).
97. Where restricted access is requested for 12 months or less the approval is considered to be granted automatically and the request is made online as part of NOI. Restricted access for greater than 12 months requires approval by Pro Vice-Chancellor (Graduate Research).
98. Where confidentiality and/or restricted access is requested for greater than 12 months, the application includes a brief but concrete summary addressing the following points:

1. what part of the thesis is confidential and why;
2. why these risks abate after the period of the requested restriction;
3. whether these risks were known by the candidate and/or supervisor at the time of application for candidature or approval of the thesis topic;
4. whether the research was funded under contract from a funder and the contract requires the thesis to be held on restricted access;
5. whether the thesis contains confidential material or material which may cause distress, offence to or impact the safety and security of any person.

99. Where restricted access is requested for greater than 12 months, the request and timeframe is:

1. Reviewed by the Delegated Authority and Associate Dean; and
2. Approved by the Pro Vice-Chancellor (Graduate Research) acting under delegation from the Deputy Vice-Chancellor.

100. Approval for extension of confidentiality greater than 12 months will not be given for reasons of publication intent where the candidate cannot produce:

1. a contract with a publisher for publication of the thesis and
2. concrete evidence from that publisher that this confidentiality is a requirement of that contract.

Examination Process

101. The submission and examination process follows the Submission and Examination of Higher Degree by Research Theses Procedure, with the following revisions:

1. In the case of a Confidential Appendix or chapters, the appendix or chapters are submitted separately to the thesis;
2. Examiners sign a non-disclosure agreement prior to the dispatch of the thesis for examination;
3. Appendices or theses are made available to examiners on a confidential and temporary basis in line with the approval from the Pro Vice-Chancellor (Graduate Research).

Confidentiality timeframes

102. Where an agreement is entered into between a candidate and a third party the length of time access to the information is restricted is in accordance with that agreement.
103. In exceptional circumstances the Pro Vice-Chancellor (Graduate Research) may approve confidentiality or restricted access for a longer or indefinite amount of time.
104. The timeframe commences from the date of approval, or the date the thesis is deposited to the ANU library, whichever is later.