PROCEDURE FOR THE SUBMISSION OF PHD THESES FOR EXAMINATION:
VALIDATED INSTITUTIONS OF THE UNIVERSITY OF WALES
Dear Candidate,
1)
Please find attached the following documentation:
o
a copy of the ‘Notes of Guidance’ (purple forms) that will assist you when
completing the form necessary to support the submission of your PhD
thesis for examination by the University of Wales. On the back of this
letter is a checklist to help you to ensure that all the necessary steps have
been taken prior to submission of your work.
o
a loose ‘Summary Sheet’ (white form) which you must complete and
submit to your Head of Department/School.
2) Please read the ‘Notes of Guidance’ carefully, separate them from the other forms and
retain them for future reference.
It will help your Institution to expedite the examination of your thesis if you follow the
provided guidance fully. Thank you in advance for your co-operation.
Yours Sincerely

Huw Flynn Hughes
Director of the Validation Unit
CANDIDATE’S CHECKLIST
Items that must be completed prior to submission of Higher Degree Theses
The following should be completed prior to submission:
(i)
(Tick
Box)
Two duplicate copies of thesis- typed and bound.
(See Appendix 1 for details)
(ii)
One completed ‘Summary of Thesis Form’ to be included in the ASLIB
journal of abstracts.
(See Section 2.2 for details; form found in Appendix 4)
(iii)
A fully signed copy of the required ‘Declaration & Statements Page’,
to be bound into each copy of the thesis.
(See Section 2.3 for details; form found in Appendix 3).
(iv)
You should have matriculated (See Section 1.1 for details) and have
discharged all of your financial obligations.
(See Section 2.4 for details).
All of the items detailed above, should be submitted to Head of your Department/School.
You may wish to note that, once you have submitted all of the required documents, the
Convenor of the Examining Board (a member of staff in your Department/School of study)
will send one typed and bound copy of the thesis to the external examiner, together with
the relevant Regulations and associated procedural guidance.
PLEASE NOTE THAT IF ANY OF THE ABOVE ARE OMITTED
THERE WILL BE A DELAY IN THE EXAMINATION
OF YOUR THESIS
NOTES OF GUIDANCE
SECTION 1
1.1
Supplementary Information
Matriculation
Students who are not already graduates of the University of Wales are required to
‘matriculate’ (be accepted) into the University at the commencement of their
scheme of research. You should have completed and submitted a ‘Matriculation
Application Form’ along with any necessary supporting documentation, i.e. proof
of existing qualifications. If you have been successfully matriculated you should
have received confirmation from your Institution, in the form of a headed letter
from the University of Wales to this effect. If you have not matriculated, or are
uncertain of the situation, you are advised to seek advice from you Institution
Registry as a matter of urgency.
Failure to matriculate is the most common cause of delays in the examination of
theses. No result can be processed and no award issued for a candidate who has
not completed the matriculation process.
1.2
Time Limits
PhD: Students and Research Staff
Scheme of Study
Submission Deadline1
3 Year
Full-time
5 Years
2 Year
Full-time
4 Years
5 Year
Part-time
9 Years
3 Year
Part-time
7 Years
Please note, however, that certain institutions have chosen to require candidates
to submit by an earlier deadline. If you are in any doubt concerning policy of the
institution at which you are registered, you should contact the Institution Registry
for advice.
1.3
Length of Thesis
The text of the thesis should not normally exceed 100,000 words; this excludes
appendices, genuine footnotes, referencing and the bibliography.
1
The submission deadline runs from the official commencement of scheme of study.
1.4
Oral Examination (First Submission)
An oral examination (sometimes called a ‘viva voce’ examination) is compulsory
and will almost always be held at the institution at which you registered for study.
1.5
Oral Examination (Re-submission)
In the event of a re-examination it will be for the examining board to decide
whether a further oral examination will be required. If so, you must be available to
attend such an examination which normally will be held at your institution. (Very
exceptionally, special permission may be given for the oral examination to take
place at an alternative location.)
1.6
Re-submission
There are several situations in which a thesis may need to be resubmitted to the
University of Wales:
o
In the event that a PhD thesis requires minor modifications and/or
typographical corrections, the candidate is required to effect these changes
within a time limit stipulated by the board of examiners; this is usually 4 or
12 weeks of the date of the Viva Voce examination. No resubmission fee is
payable in this instance.
o
In the event that a thesis is deemed to be currently unacceptable for the award
of PhD, the candidate may be required to modify and resubmit the thesis within
a time limit stipulated by the board of examiners; this is usually 2 calendar
years of the date of the official result letter. A resubmission fee of £274 is
payable.
o
In the event that a thesis is deemed unacceptable for the award of PhD and
requires minor modifications and/or typographical corrections to be eligible for
the award of MPhil, the candidate is required to effect these changes within a
time limit stipulated by the board of examiners; this is usually 4 or 12 weeks
of the date of the Viva Voce examination. No resubmission fee is payable in this
instance.
o
In the event that a thesis is deemed to be currently unacceptable for the award
of PhD, the candidate may be required to modify and resubmit the thesis within
a time limit stipulated by the board of examiners for the award of MPhil; this
is usually 1 calendar year of the date of the official result letter. A resubmission
fee of £226 is payable.
All resubmission fees are payable to the University of Wales, either directly by the
candidate or by care of the candidate’s institution and should be submitted with the
revised thesis.
1.7
Admittance to Degree
Should you qualify for your degree by satisfying the examiners, you must be
admitted to it formally before you can receive a degree certificate or use the
appropriate letters after your name. Students attending Validated or Affiliated
Institutions will be admitted in absentia by decree of the Vice-Chancellor of the
University of Wales. This is an administrative procedure at which you will not be
present. Certificates are issued as soon as possible after the Vice-Chancellor has
ratified candidates’ results.
NOTES OF GUIDANCE
SECTION
2
2.1
Completion of Supporting Documentation
Summary of Thesis
Two copies of the summary of your thesis should be included with your
submission; one should be bound into your thesis and one should be included
unbound. This will be used by the Association of Special Libraries and
Information Bureaux (ASLIB) for inclusion in a national journal of abstracts; a
‘Summary of Thesis’ form is provided at the end of this booklet for you to
complete. It is essential that the summary should be typed in single spacing, and
occupies only one side of the sheet provided.
Please bear in mind, when writing your summary, that this may be the only part of
the thesis that is read by other research workers. It should be written in such a
way as to help researchers in the same field decide whether to read the thesis and
to give readers who are only marginally concerned in the subject enough
information to make it unnecessary for them to read the work in full. The
summary should consist of a piece of connected prose and should not be more than
300 words in length. It may be much shorter. Abbreviations should be avoided.
2.2
Declaration & Statements
The following declaration and statements should be incorporated on a single page,
as illustrated by the ‘Specimen Layout for Declarations/Statements page to be
included in Higher Degree Theses’ included in Appendix 3, at the beginning of the
thesis:
o
A statement, signed by the candidate, showing to what extent the work
submitted is the result of the candidate's own investigations.
Acknowledgement of other sources (such as correction services or text
editors other than spelling/grammar checkers) must be made by the use of
footnotes giving explicit references. A full bibliography must be appended
to the work.
o
A declaration, signed by the candidate, to certify that the work has not
already been accepted in substance for any degree, and is not being
concurrently submitted in candidature for any degree.
o
A signed statement that you give consent (a) for your thesis, if accepted for
a higher degree, to be made available for photocopying and for inter-library
loan (subject to the law of copyright) and (b) for the title and summary to
be made available to outside organisations.
You must take particular care not to commit the offence of plagiarism- the
presentation for examination of the work of others as if it were your own. Plagiarism
is classed as unfair practice and candidates found to have committed this offence are
dealt with severely.
2.3
Fees
This fee list relates to examination and re-examination fees for the University of
Wales:
MPhil
£226
PhD
£274
The required fee must be paid, in full, before the Thesis can be forwarded to the
external examiner.
NOTES OF GUIDANCE
APPENDIX
1
1.1
1.2
Presentation & Binding
Candidates submitting higher degree theses and dissertations for examination
shall submit the required number of copies either in a condition suitable for
eventual deposit and use in libraries (see below) or - in the case of research
degree candidates, where the policy of the institution concerned either requires
or permits - in temporary binding. Candidates choosing to submit their work for
examination in temporary binding are advised:
o
to consult their department at an early stage to determine whether such a
submission is in accordance with the institution's policy on the submission of
research theses;
o
to ensure that temporary binding - if used - is nonetheless sufficiently secure
to withstand transit to and from the examiners;
o
that any thesis/dissertation submitted for examination in temporary binding
must bear on the spine, in a form which cannot easily be erased or detached,
the candidate’s name, institution attended and the degree for which he/she is
a candidate.
Irrespective of the type of binding used for examination purposes:
o
Taught Master’s degree dissertations which are to be deposited in the
National Library or in the library of the institution concerned shall, prior to
the release of successful candidates’ results by Convenors of Examining
Boards, be bound permanently, either as in (a) immediately above, or in
paperback binding with plastic overlay. Successful taught Master’s degree
dissertations which are not to be deposited in the National Library or in the
library of the institution concerned need not be bound permanently either
before, or after, the release of results.
1.3
In the case of all works which are to be deposited in libraries, the permanently
bound volumes shall bear on the spine the surname and initials of the candidate,
the full or abbreviated title of the work, the name of the degree for which it was
submitted and the date of submission. This information shall be printed along
the spine in such a way as to be readable when the volume is lying flat with the
front cover uppermost. If the work consists of more than one volume the spine
shall also bear the number of each volume.
1.4
All copies of theses/dissertations, whether for the purpose of examination or for
deposit in libraries, shall be presented in permanent and legible form in
typescript or print and the characters employed in the main text (but not
necessarily in illustrations, maps etc) shall be not less than 12pt; characters
employed in all other texts, notes, footnotes, etc., shall be not less than 10pt.
Typing shall be of even quality with clear black characters, and capable of
photographic reproduction. Double or one-and-a-half spacing shall be used in
the main text, but single spacing shall be used in the summary and in any
indented quotations and footnotes. Drawings and sketches shall be in black ink;
unnecessary detail should be omitted and the scale should be such that the
minimum space between lines is not less than 1mm. Colour graphics for charts,
diagrams etc and colour photographs may be used, but candidates must in all
cases ensure that material is capable of being photocopied and microfilmed.
Copies produced by xerographic or comparable permanent processes are
acceptable. A4 paper shall be used and should be of good quality and sufficient
opacity for normal reading.
1.5
Diagrams, maps and similar documents shall be submitted in a portfolio of
reasonable size and shall bear the particulars stated to be necessary for the
volume.
1.6
Candidates may submit non-book material such as audio or video tapes with their
thesis/dissertation, if such material forms a useful addition to, or explanation of,
work contained in the written submission and if such material constitutes the
most appropriate method of presenting the information concerned. Any material
of this type shall be enclosed in a container which is suitable for storage on a
library shelf and which bears the same information as that required on the spine
of the thesis/dissertation, so placed as to be readily legible when the container is
in its stored position. Candidates considering the submission of audio or video
tapes as adjuncts to their thesis/dissertation should consult their supervisor and
the Librarian of the institution for advice at an early stage of their project
Guidelines for candidates wishing to Submit a Dissertation in a Temporary Binding
1.7
In accordance with regulations stipulated by the Regulations and Special Cases
Committee of the Academic Board, arrangements for submission of a thesis in a
temporary binding will depend upon the policy of the Institution concerned. A
student cannot insist upon submitting in temporary binding against the wishes
of the Institution concerned.
Types of Temporary Binding
1.8
Temporary binding is still subject to regulations and should not be confused with
‘any’ binding; loose sheets placed in a wallet file are not acceptable.
o
o
The following types of temporary binding are recommended:
o
perfect binding (as used in this document)
o
spring-back binding (provided that the binders are not over-filled)
o
slide-in plastic binders (of the type used to hang posters on walls)
The following types of temporary binding are not suitable, since the conversion
to permanent binding would be much more time-consuming (and therefore
expensive) and either the holes in the pages will be visible in the permanent
version or the pages will be considerably less than full A4 width:
o
spiral binding
o
ring-folder or lever-arch folder
If you are still unsure, after reading these guidelines, as to the suitability of your
chosen binding, you are advised to contact the Academic Registry of your
institution for advice.
1.9
Candidates (and those advising them) are asked to bear in mind that temporarilybound dissertation must be able to withstand handling, transit to and from
examiners and the examining process itself. Care must be taken to ensure that any
form of temporary binding used is sufficiently secure not to degrade, i.e. burst or
fall apart.
1.12
Whatever the form of acceptable temporary binding that is chosen, it is absolutely
essential that the spine bears the information required by University Regulation.
Dissertations cannot be processed efficiently if this information is not given
clearly on the spine, in a form which cannot easily be erased or detached. Space
may be saved by using shortened versions of Institution names such as the
following examples:
Full Name
Shortened Version
Oxford Centre for Mission Studies
OCMS
Spurgeon’s College, London
Spurgeon’s
Wessex Institute of Technology
WIT
International Baptist Seminary, Prague
IBTS
School of Psychotherapy and Counselling, Regent’s
College, London
The Prince’s School of Traditional Arts
SPREG
PW-VITA
1.13
Other requirements regarding the submission of theses for examination remain
unaltered. Whether permanently or temporarily bound, submission deadlines
must be met and the theses themselves must conform to the requirements of the
regulations regarding size of characters, size of paper, space between lines etc. All
pages should be appropriately numbered. In short, the facility - with the
department's approval - to submit a dissertation for examination in temporary
binding is not an invitation to candidates to submit work in draft form for
examination.
1.14
Submission in temporary binding has no effect on the regulations which state
that - except in order that minor/typographical errors in a successful dissertation
may be carried out prior to its deposit in the libraries - a candidate may not
amend, add to or delete from the dissertation after it has been submitted for
examination. Submitted dissertations may not, therefore, be returned to
candidates for improvement prior to the completion of the Examining Board’s
deliberations and formal recommendation. A work which cannot be passed as
submitted will be failed and subsequently re-submitted formally in modified
form for re-examination.
NOTES OF GUIDANCE
APPENDIX
2
Provisions for Bars on Access to Higher Degree Dissertations
University regulations lay down that research work accepted for a higher degree shall
be openly available, and subject to no security classification or restriction of access.
Please note, however, that the University requires the reader of a dissertation to sign a
declaration that in any statement or written work being prepared on the subject (or
cognate subject) of the dissertation, due acknowledgement to the author will be made
for any helpful information obtained from the dissertation.
In cases where there is an overriding need for a restriction of copying or access (for
example where sponsored research has resulted in a dissertation which contains
commercially-sensitive information) the University may, on the special recommendation
of an Institution, place a bar on photocopying of and/or access to a dissertation for a
specified period, normally three years in the first instance. It is the responsibility of the
candidate's supervisor to make an application to the Institution as soon as is reasonably
practicable. The Institution will normally forward a recommendation to the University.
In the event that a bar on photocopying and/or access has been granted by the
University, the signed statement to be included with each copy of the dissertation
submitted should indicate that the dissertation may be made openly available after the
expiry of the bar on access.
Normally, the title and summary of the dissertation will be freely available
NOTES OF GUIDANCE
APPENDIX
3
Layout for Declaration/Statements page to be included in
Higher Degree Dissertation
DECLARATION
This work has not previously been accepted in substance for any degree and is not being
concurrently submitted in candidature for any degree.
Signed
(Candidate)
Date
STATEMENT 1
This thesis is the result of my own investigations, except where otherwise stated. Where
correction services have been used, the extent and nature of the correction is clearly
marked in a footnote(s).
Other sources are acknowledged by footnotes giving explicit references. A bibliography is
appended.
Signed
(Candidate)
Date
STATEMENT 2
I hereby give consent for my thesis, if accepted, to be available for photocopying and for
inter-library loan, and for the title and summary to be made available to outside
organisations.
Signed
(Candidate)
Date
Candidates on whose behalf a bar on access has been approved by the University, should use
the following version of Statement 2:
I hereby give consent for my thesis, if accepted, to be available for photocopying and for
inter-library loans after expiry of a bar on access approved by the University of Wales
on the special recommendation of the Member Institution concerned.
Signed
(Candidate)
Date
SUMMARY OF THESIS
APPENDIX
4
Title
Surname
Forename(s)
Institution
Degree Sought
Title of Thesis
Summary:
Summary of Thesis to be included in the ASLIB journal of abstracts