Notice of Intention to Submit a PhD and MPhil Thesis/Thesis Access Declaration
All students who intend to submit a thesis for the degree of MPhil or PhD should complete this form, which should reach the Postgraduate
Research Office not less than TWO MONTHS before the thesis is expected to be presented. Section A is completed by the student. The whole
form is then submitted to the Head of Department (or his/her nominee) for completion of Section B, then forwarded to the Postgraduate Research
Office (without pages 8 and 9).
Students who first register on or after 1 August 2008 are required to submit the FINAL, CORRECTED THESIS in electronic format (.pdf file on
CD). The University of Liverpool Library has published guidance notes for the submission of electronic theses (see p 6 of this form). Students
whose registration commenced before 1 August 2008 may, if they wish, submit their final corrected thesis in electronic format in addition to the
two copies, bound in book form, in the manner described in the University of Liverpool Handbook for Research Students and Supervisors.
SECTION A:
TO BE COMPLETED BY THE STUDENT
Name …….………………………………………......….(family name) ……………..……….…… …………………….(other names) ……………… (title)
Student Number …..……………………. Faculty: ………………..
Department: ……………………………………………………
Supervisors …………………………………………………….……………………………………….…..
Degree sought: MPhil / PhD circle one
Title of thesis ………………………………………………………………………………………………………………………………………………….…….
…………………………………………………………………………………………………………………………………………………………………………
Approximate date of presentation …………………………………………. Will the thesis be presented in a temporary binding? Yes / No
Address for notification of result of application (inc. postcode) ..………………………………………………………………………………………………
………………………………………………………………………………………………………………………………………………………………..……….
Employment Destination Data (if known):……………………………………………………………………………………………………………..……….
………………………………………………………………………………………………………………………………………………………………..……….
Telephone …………………………..………… Email…………………………………………………………….……………………………………………….
SECTION B: TO BE COMPLETED BY THE HEAD OF DEPARTMENT (in typescript or black ink please)
Internal Examiner
External Examiner
Full Name & Title ………………………………………………………
Full Name & Title …………………………………………………………….
Qualifications…………………………………………………………..
Qualifications …………………………………………………………………
University appointment ………………………………………………
Appointment…………………………………………………………………..
Has research-based higher degree?
Has research-based higher degree?
i.e. Senior Lecturer etc; for MD, state if honorary appointment
Yes / No
delete one
i.e. Senior Lecturer etc; clinical appointment if appropriate
Contact address:
Contact address inc. postcode:
Telephone:
Telephone:
Email:
Email:
Yes / No
delete one
If the proposed External Examiner is a former member of staff at Liverpool Hope University,
please confirm that at least five years has elapsed since they left the employment of the
University.
STATEMENT TO SUPPORT THE EXAMINERS NOMINATED
Please indicate the specialised competence of the examiners, their qualifications and how these match the candidate’s thesis (see Code of
Practice on p 3). An individual without a research-based higher degree is unlikely to be approved, unless the Head of Department can
justify this in writing to the Postgraduate Research Office. Justification should also be provided if any proposed examiner is below Senior
Lecturer/Principal Lecturer grade, not an employee of a university, or has not acted as an examiner previously.
___________________________________________________________________________________________________________________
For the attention of the Postgraduate Research Office (justification of any exceptional arrangements being proposed):
I certify that the examiners have agreed to assess this thesis
By signing this form, I certify that:
(i)
the student has undertaken research work in my department in accordance with the requirements of the Ordinance and Regulations for
this degree and I recommend that the examiners named above should be appointed to examine the thesis;
(ii)
the student has completed their laboratory work by clearing their working space and material stored frozen or at room temperature and
leaving all research materials stored in accordance with departmental requirements and University health and safety codes of practice
(see attached completion certificate);
(iii)
the student has completed the Liverpool Hope research skills scheme, evidence of which is attached.
Signed ……………………………………………………. PLEASE PRINT NAME …………………………………………….…………………………...
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Position if not Head of Department .............................……………………………………………………………..…..
(NB – the candidate’s supervisors do not sign this section of the form)
SECTION C: TO BE COMPLETED BY THE CHAIR OF RESEARCH DEGREES SUB COMMITTEE
Date …………………….
On behalf of the Research Degrees Sub Committee, I approve the appointment of the Examiners for the student named on this Intention to
Submit a Thesis form.
Signed ……………………………………………………. PLEASE PRINT NAME …………………………………………….…………………………...
Chair of Research Degrees Sub Committee......……………………………………………………………..…..
Date …………………….
___________________________________________________________________________________________________________________
SECTION D: TO BE COMPLETED BY THE POSTGRADUATE RESEARCH OFFICE
Candidate accepted under Clause ……………… of the Ordinance
Date of acceptance ……………………………………………………....
Thesis not to be submitted before ……………………………….…….
Eligible to submit thesis up to ……………………………………..……
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CODE OF PRACTICE FOR RESEARCH DEGREE EXAMINATIONS AND EXAMINERS
1.
Appointment of Examiners
The formal responsibility for the appointment of examiners for MPhil and PhD candidates rests with the Head of Department, acting on
behalf of the Dean. The following procedures should be adopted within the Faculties prior to the submission of examiners' names to the
Postgraduate Research Office by the Head of Department:
1.
2.
3.
4.
5.
6.
7.
8.
2.
The First Supervisor, on behalf of the supervisory team, should present the Head of Department concerned with a documentary
synopsis of a candidate's thesis indicating clearly the field or fields of specialist study that are involved, to ensure the Head of
Department is aware of the expertise required of the examiners.
Supervisors should also supply a list of proposed or potential internal and external examiners, with a clear indication of their
specialised competence and how well this matches the detailed content of the candidate's thesis (This is particularly important
when the thesis embodies a range of work in disparate methodologies.).
Supervisors should ensure that none of the proposed examiners have had a substantial direct involvement in the student's
research project/thesis.
Examiners should not be approached, even informally, until the Head of Department has seen the above documentation and has
agreed to the nomination of the supervisor's suggested examiners.
Once the Chair of Research degrees Sub Committee has ratified the Head of Department's choice of proposed examiners, the
Postgraduate Research Office will write to the examiners concerned outlining the conditions of appointment and their
responsibilities.
Candidates must not be consulted about, nor informed of, the choice of examiners until the formal appointment of examiners by
the University has taken place.
Where the candidate is a member of staff, there must be two external examiners appointed in addition to an internal examiner.
Former members of staff of the University should not be invited to act as External Examiners before a lapse of at least five years
or sufficient time for students undertaking research under the supervision of that member of staff (whether as primary or
secondary supervisor) to have left the University, whichever is the longer.)
Duties and Responsibilities of Internal Examiners
The Internal Examiner has the following responsibilities under this Code:
1.
2.
3.
3.
To prepare an independent preliminary report on the thesis in advance of the examination, identifying any concerns and giving
an initial recommendation. This must not be disclosed to or discussed with the student or the supervisors prior to the oral
examination.
Where the examiners do not agree on a recommendation, to prepare an independent final report, and forward this to the
Postgraduate Research Office, and provide instructions to the external examiner(s) to do likewise.
Where minor modifications have been requested to the thesis, to ensure that all designated examiners have seen and approved
the modifications and signed a form to this effect, which must be forwarded to the Postgraduate Research Office. It is expected
that such modifications will be completed by the student and approved by the examiners within three months of the oral
examination.
Duties and Responsibilities of External Examiners
External Examiners, in accordance with the terms of their appointment, have the following responsibilities:
1.
2.
3.
4.
5.
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To read the thesis and prepare a preliminary report on it in advance of the oral examination, identifying any concerns and giving
an initial recommendation. This must not be disclosed to or discussed with the student or the supervisors prior to the oral
examination.
To conduct him/herself in the oral examination in a way which is fair and reasonable and gives the candidate every opportunity to
explain and defend their work.
To be rigorous in ensuring that the thesis and the candidate have been examined in accordance with the Ordinances and
Regulations of the University of Liverpool.
To ensure that an agreed final report is signed by all examiners, and given to the Independent Chair.
To ensure that detailed feedback in respect of any modifications or revisions required to the thesis are made available to the
internal examiner no later than one week after the examination.
6.
7.
8.
9.
To agree with the other examiners who will be responsible for approving any modifications required to the thesis. Where this
includes the external examiner, to ensure that the modified thesis is read and approved within three months of the oral
examination and the appropriate form signed and forwarded to the internal examiner or Postgraduate Research Office as
instructed.
To give informal feedback to the candidate, with the other examiners, on the day of the examination.
To ensure that any concerns about general issues are notified to the Independent Chair. These may also be raised directly with
the Postgraduate Office.
Where the examiners do not agree on a recommendation, to prepare an independent final report, and forward this to the
Postgraduate Research Office.
4.
Duties and Responsibilities of the Independent Chair (Liverpool Hope University)
1.
To arrange the date and location of the oral examination, in consultation with the external examiner(s) and the student and
Primary Supervisor, ensuring that all parties are formally notified of the date, which must be no more than three months after
submission of the thesis, and normally will be no more than two months after submission of the thesis.
To ensure that the examiner[s] have prepared independent preliminary report[s] in advance of the examination.
To meet with the examiner[s] on the day of the examination before the candidate is seen, and to agree how the examination is to
proceed.
To ensure that the oral examination is conducted in accordance with the Regulations and Code of Practice.
To ensure that an agreed final report is produced and signed by all examiners, and to forward a copy of this to the Postgraduate
Research Office without delay.
To ensure that any modifications or revisions required to a thesis are notified in detail to the candidate in writing, no later than
one week after the oral examination.
To ensure that informal feedback on the examination and the thesis is given to the candidate on the day of the examination.
Where the examiners do not agree on a recommendation, to prepare an independent final report, and forward this to the
Postgraduate Research Office, and provide instructions to the examiner(s) to do likewise.
Where minor modifications have been requested to the thesis, to ensure that all designated examiners have seen and approved
the modifications and signed a form to this effect, which must be forwarded to the Postgraduate Research Office.
To report to the Pro-Vice Chancellor [Research and Academic Development] any significant problems which occur in the
examination, and to report to Research Degrees Sub Committee any general issues arising from the examination.
2.
3.
4.
5.
6.
7.
8.
9.
10.
You do not need to include pages 4 and 5 with the Intention to Submit form
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Notes for Guidance: Depositing your thesis in the University of Liverpool Repository
Students registering from 1 August 2008 are required to submit an electronic copy of any thesis or dissertation submitted by you and approved as
fulfilling the requirements for a higher degree or doctorate. This shall be retained by the University and held in the University of Liverpool
Repository. You will be required to submit an electronic copy of the final version of your thesis to the University Repository as soon as it has been
approved. This replaces the requirement to submit a bound, printed copy in the University Library. Students whose registration commenced
before 1 August 2008 may, if they wish, submit their final corrected thesis in electronic format in addition to the two copies, bound in book form, in
the manner described in the Handbook for Research Students and Supervisors.
Preparing your thesis
The thesis should be prepared in accordance with the University Repository policy (1). You need to be aware of and have taken steps to address
any issues relating to the use of third party copyright material (see copyright section below for more information) in your thesis.
Submitting your thesis
The thesis should be submitted to the University Repository as soon as the final version, including modifications has been approved. The thesis
should be identical to the final approved version including modifications required by the examiners.
The thesis should be submitted even if it will not immediately be publicly available as you have asked that access to it be restricted. Where
access to your thesis is restricted, it will be stored in the repository and only made publicly available once the specified embargo period ends.
The thesis should be submitted online via the University of Liverpool Repository web site(2).
Restricted access to your thesis
You may seek to restrict access to your thesis for up to 5 years (3). In most cases this should not be necessary but if you decide you need to go
ahead and restrict access, you should know that if the University receives a request to view your thesis under the provisions of the Freedom of
Information Act (FOIA), this request could only be denied if one of the exemptions under FOIA could legitimately be invoked. The exemptions
identified are:
a.
b.
c.
d.
e.
where making an electronic version available online would prejudice the possibility of future publication or
undermine the competitive position of a University department;
where commercial sponsorship necessitates the imposition of an embargo;
where open access to thesis contents might threaten the personal safety of the author.
the material includes information that was obtained under a promise of confidentiality.
Requests to restrict access to your thesis must be made on the relevant form (see p.9). In order for your request to be granted, it must be signed
by you, your primary supervisor, and must be countersigned by the Head of Department. Where you, your supervisor and the Head of
Department are not unanimous in their view, the decision on whether to restrict access will be referred to the Chair of Research Degrees Sub
Committee.
Information relating to your thesis will appear in the University library catalogue and in Index to Theses, even when access is restricted, except
where the restriction has been imposed for reasons of personal safety.
Copyright and other rights
Copyright in the thesis
Copyright in the thesis usually rests with the author (unless ownership of copyright has been transferred to another individual or body).
Third party copyright
Although the copyright of the thesis usually lies with the author, it may contain material where the copyright is held by another individual or body.
This is known as third party copyright. This could be a photograph, diagram or extract from another work.
While you might be permitted to use such materials in the thesis for the purposes of examination, you do not automatically have permission to
make these materials freely available online. This means that you will need to obtain permission or clear the copyright for the use of third party
material in a thesis which is to be deposited in the University Repository.
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You are responsible for obtaining permission or clearing the copyright for third party material included in your thesis. You are strongly advised
to clear all rights and obtain all permissions for material from third party rights holders as you gather your resources and write up your
thesis, rather than leaving it to the point at which you are required to deposit it in the University repository.
Before depositing your thesis in the University Repository, please check its contents to make sure that:
a.
b.
it does not contain any material where the copyright is held by a third party and for which you do not have permission to make it
available online
where your thesis contains material where the copyright is held by a third party and you have permission to make that material
available online, you supply proof of this permission to University Repository staff
If your thesis contains material where the copyright is held by a third party but where you have been unable to obtain permission to make it
available online, please contact University Repository staff to discuss your options.
The deposit agreement
Before a thesis is deposited in the University of Liverpool Repository the author has to agree to the University of Liverpool grant of non-exclusive
license. This licence sets out both the author's and the University of Liverpool Libraries’ responsibilities. It is required so that the University
Library can preserve your thesis for the long term, make it available via University Repository and so that it can be included in EThOS, the new
UK thesis service.
Questions
If you have any questions about submitting your thesis to the University of Liverpool Repository, please contact your Subject Librarian at the
University of Liverpool. A list of Subject Librarians and their contact details are available from http://www.liv.ac.uk/library/info/subjcontacts.html
References
(1) The policy will be available from https://eprints.liv.ac.uk/
(2) https://eprints.liv.ac.uk/
(3) Access may be restricted indefinitely where it has been imposed for reasons of personal safety.
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UNIVERSITY OF LIVERPOOL THESIS ACCESS DECLARATION
Section A
Candidate’s Name: ……………………………………………………………………………….......................................……………………………………..
Thesis Title: ………………………………………………………………………………………………………………………........................................…….
………….……………………………………………………………………………………………………………………….........................................…….....
Department/Faculty: ……………………………….......................................……………………………………………………………………………………
Registration number: ……………………........................................……………………………………………………………………………………………..
Name of supervisors: ………………………………………………………………….. ........................................……………………………………………..
The Freedom of Information Act 2000 (FOIA) ensures access to any information held by the University of Liverpool, including theses, unless an
exemption or exception applies.
In the interests of scholarship, theses of the University of Liverpool are normally made freely available online in the University Institutional
Repository immediately on deposit. You may choose to restrict access to your thesis for a period of up to five years. Reasons for restricting
access to the electronic thesis should be derived from exemptions under FOIA.
I do not need to restrict access to my thesis (go to section C)
I want to restrict access to my thesis (go to section B)
Section B
Candidates who believe there is a valid reason to restrict access to their electronic thesis should select the appropriate category in the list below
and provide specific details in the space provided:
Publication of the thesis is planned
The release of the thesis would substantially prejudice the commercial interests of any person including the author, the University or
an external company
The thesis includes material that was obtained under a promise of confidentiality
Details of procedures and methods which might affect the competitiveness of a line of research if made available online;
The thesis contains material whose copyright belongs to a third party and the gaining of approval to publish the material
electronically would be onerous or expensive; and the removal of the copyright material would compromise the thesis;
The student intends to publish the thesis as a monograph or series of articles and electronic publication could prejudice
opportunities for publication.
The thesis contains information which might endanger the physical or mental health or the personal safety of an individual or group
of individuals.
Candidates who have selected one of the categories above should give specific details of why an exemption/exception is necessary (continue on
an attached sheet of paper as necessary):
…………………………………………………………………………………………………………………………………………
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Access may be restricted for a maximum of five years, except in those cases where a thesis contains information which might endanger the
physical or mental health or the personal safety of an individual or group of individuals where it may be restricted indefinitely. Please select the
number of years for which you want to restrict access to your thesis.
One
Two
Three
Four
Five
Indefinitely
In normal circumstances any thesis to which access has been restricted will be made available once the period of restriction has ended.
Does any organisation other than the University of Liverpool have an interest in the intellectual property rights to your work? If yes, please specify
the organisation and the nature of their interest:
…………………………………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………………………………
Candidates should consult their primary supervisor before completing and signing this form to establish whether there is likely to be a valid
reason for restricting access to their thesis for a limited period of time.
Section C
To be completed by the student:
I confirm that the information I have given on this form is complete and accurate.
Signed (Author): …………………………………………………………………………………………………………………..........................……………….
Address (Author): ………………………………………………………………………………………………………………............................……………….
………………………………………………………………………………………………………………………………...................……………………………
E-mail address (Author): ……………………………………………………………………………………................................……………………………….
Date: ……………………………………..................................................................................................................................................…………………
To be completed by the primary supervisor:
Signed: ………………………………………………………………………………………………………………………..............................………………….
Address: …………………………………………………………………………………………………………………………………….......................………..
E-mail address: ………………………………………………………………………………………………………………………...........................…………..
Date: ……………………………………..................................................................................................................................................…………………
To be completed by the Head of Department:
Signed: ………………………………………………………………………………………………………………………..............................………………….
Address: …………………………………………………………………………………………………………………………………….......................………..
E-mail address: ………………………………………………………………………………………………………………………...........................…………..
Date: ……………………………………..................................................................................................................................................…………………
Please send this completed form (pp 8 and 9 only) to Liz Bugler, Postgraduate Research Administrator, AJB024, Liverpool Hope
University, L16 9JD
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