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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: (Tick Box)
(i) 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 Supplementary Information
1.1 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
1
Scheme of Study Submission Deadline
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 Completion of Supporting Documentation
2.1 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 Presentation & Binding
1.1 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.
1.2 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 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)
o 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 temporarily-bound
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, SPREG
London
The Prince’s School of Traditional Arts 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
Layout for Declaration/Statements page to be included in Higher Degree
APPENDIX 3 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 Summary of Thesis to be included in the ASLIB journal of abstracts
Title
Surname
Forename(s)
Institution
Degree Sought
Title of Thesis
Summary:
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