Guide to the successful thesis and dissertation

guide to the successful thesis and dissertation a handbook for students and writing a thesis a guide to long essays and dissertations pdf
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School of Gradute a Studie S Guide to Theses and DissertationsGuide to Theses and Dissertations This document is a general guide to the presentation and submission of theses and dissertations and contains additional information about related policies and procedures. It should be read alongside the relevant regulations the thesis or dissertation candidate is registered under and the University of Auckland Calendar. The online version of the Calendar (www.calendar.auckland.ac.nz) remains the definitive source of information. In the event of any conflict between the relevant regulations and this guide, the regulations outlined in the online version of the Calendar will prevail. Enquiries: School of Graduate Studies ClockTower — East Wing 22 Princes Street, Auckland Phone: +64 9 373 7599 ext 81321 Fax: +64 9 373 7610 / ext 84310 (internal) Email: postgraduateauckland.ac.nz Website: www.postgrad.auckland.ac.nz Last updated: September 2014Contents 1 Introduction ............................................................................................................................... 1 2 Where can I get help? ............................................................................................................... 2 2.1 Your Supervisor ..........................................................................................................................2 2.2 Departmental Graduate Adviser ............................................................................................2 2.3 Faculty Student Centre .............................................................................................................2 2.4 School of Graduate Studies ......................................................................................................2 2.5 Libraries and Learning Services ..............................................................................................3 2.6 Computing Services...................................................................................................................3 3 Integrity in Research ................................................................................................................. 4 3.1 Applying for Ethics Approval ....................................................................................................4 3.2 Avoiding Plagiarism ...................................................................................................................4 3.3 Turnitin .........................................................................................................................................4 3.4 Using copyright material other than your own .....................................................................5 a Copyright has expired ...........................................................................................................6 b Copyright under licence .......................................................................................................7 c Fair dealing for criticism and review ..................................................................................7 d No copyright ...........................................................................................................................8 e Copying permitted ................................................................................................................8 3.5 Collaboration..............................................................................................................................8 3.6 Commissioning ...........................................................................................................................9 3.7 Joint ownership ....................................................................................................................... 10 3.8 Obtaining permission ............................................................................................................. 10 3.9 Third party editing ...................................................................................................................12 4 Style and Format ..................................................................................................................... 13 4.1 Backing up your work ............................................................................................................. 13 4.2 Proofreading ............................................................................................................................ 13 4.3 Language ................................................................................................................................. 13 4.4 Word length ............................................................................................................................. 13 4.5 Page size ................................................................................................................................... 14 4.6 Margins .................................................................................................................................... 14 4.7 Typeface ................................................................................................................................... 14 4.8 Paragraphing and line spacing ............................................................................................ 14 4.9 Quotations ............................................................................................................................... 15 4.10 Footnotes .................................................................................................................................. 15 4.11 Page order and pagination ................................................................................................... 15 4.12 Elements of a thesis or dissertation..................................................................................... 16 a Library Thesis Consent Form ............................................................................................ 19 b Title page ............................................................................................................................. 19 c Abstract ............................................................................................................................... . 19 d Dedication ........................................................................................................................... 19 e Preface and/or acknowledgments ................................................................................... 19 f Table of contents ................................................................................................................ 19 g Lists of tables, figures etc .................................................................................................. 20 h Glossary ............................................................................................................................... 20 i Co-Authorship/Co-Production Forms ................................................................................ 20 j Main text of thesis or dissertation .................................................................................... 20 k Appendices............................................................................................................................ 21 l Bibliography/list of references ........................................................................................... 21 5 Binding .......................................................................................................................................22 5.1 Paper ............................................................................................................................................ 22 5.2 Images ......................................................................................................................................... 22 5.3 Folded Maps or Charts ............................................................................................................. 22 5.4 Additional Material ................................................................................................................... 22 5.5 General Binding Requirements................................................................................................ 22 5.6 Binding a Masters Thesis ......................................................................................................... 23 a Initial submission ................................................................................................................. 23 b Final submission ................................................................................................................... 23 5.7 Binding a Doctoral Thesis ........................................................................................................ 24 a Initial submission ................................................................................................................. 24 b Final submission ................................................................................................................... 24 5.8 Binding Dissertations, Research Portfolios, etc..................................................................... 24 6 Digital copies and ResearchSpace .........................................................................................25 7 Submission ................................................................................................................................26 7.1 Masters Thesis, Research Portfolio or Dissertation .............................................................. 26 a Deadlines for submission of a masters thesis, research portfolio or dissertation .... 26 b Submitting a masters thesis or research portfolio ......................................................... 26 c Deposit of digital copy ........................................................................................................ 26 d Submitting a dissertation ................................................................................................... 27 7.2 Doctor of Philosophy, Doctor of Medicine and Doctor of Education................................. 27 a Make an appointment......................................................................................................... 27 b Copies for examination ....................................................................................................... 27 c Statutory declaration as to originality .............................................................................. 27 d Hardbound copies ............................................................................................................... 28 e Deposit of digital copy ........................................................................................................ 28 7.3 Doctor of Clinical Psychology .................................................................................................. 29 7.4 Doctor of Fine Arts, Doctor of Music and Doctor of Musical Arts .................................... 29 7.5 Higher Doctorates ..................................................................................................................... 29 8 Library Matters .........................................................................................................................30 8.1 Deposit of Theses in the Library.............................................................................................. 30 8.2 Author’s Rights ........................................................................................................................... 30 a Reproduction ......................................................................................................................... 30 b Copyright ............................................................................................................................... 30 c Restrictions on access (embargoes) .................................................................................. 30 8.3 Failed Works ............................................................................................................................... 30 9 Selected Bibliography ............................................................................................................... 31 10 Useful Websites ........................................................................................................................32 Thesis Submission Checklist for Students ...................................................................................33 Checklist for Supervisors/Heads of Department .......................................................................341 Introduction A thesis or dissertation is the written report of a research study undertaken in fulfilment or partial fulfilment of a graduate degree such as a doctorate, masters degree, bachelors (honours) degree, or a postgraduate diploma. It is an undertaking that allows you to explore areas or problems in detail, and develop and utilise your thinking and analytical skills. Your thesis or dissertation should demonstrate a capacity for independent thinking, contribute to existing scholarship and must meet international standards for such scholarly research. Before embarking on your research, you should consult the current University of Auckland Calendar regulations applicable for your degree, the Academic and General Statutes and Regulations (which include the General Regulations — Masters Degrees, the General Regulations for Named Doctorates, and the Examination Regulations, as well as the Doctor of Philosophy and Higher Doctorates regulations). These are available on the University of Auckland website: www.calendar.auckland.ac.nz. PhD students should also refer to the Statute and Guidelines for the Degree of Doctor of Philosophy (PhD). Policy and Guideline documents for thesis and dissertation candidates can be found at: www.auckland.ac.nz/uoa/home/for/current-students/cs-current-pg/cs-current-pg-policies. If you are undertaking a named doctorate, please refer to the University of Auckland Calendar (www.calendar.auckland.ac.nz). All research students should consult the Student Charter: www.auckland.ac.nz/uoa/pid/ lang/en/cs-student-charter. The Student Charter represents a philosophical understanding between the University and its students, and is aimed at preventing problems before they occur. It provides information about student rights and responsibilities, and clarifies the responsibilities of the University. 1 Guide to Theses and Dissertations 2 Where can I get help? If you require assistance with the presentation and submission of your thesis or dissertation, your supervisors and department/faculty are your principal sources of support. However, several other service divisions at the University are also able to assist you. Sources of support are outlined below. 2.1 Your Supervisor The responsibility for the submission of your thesis is yours (Senate Guidelines on Thesis Supervision — www.auckland.ac.nz/uoa/cs-pg-doc-theses-dissertations); however, the decision as to when it is ready is crucial, and you should seek and heed guidance from your supervisor. The final stage of the thesis is demanding and you are likely to need supervisory support and expertise as you prepare to submit. 2.2 Departmental Graduate Adviser The Departmental Graduate Adviser is another expert who may be able to give you advice about departmental or disciplinary requirements for the presentation of your thesis or dissertation. Should any difficulties arise at the completion phase that you cannot resolve with your supervisor, the Departmental Graduate Adviser is able to give advice and direction. 2.3 Faculty Student Centre Staff at Faculty Student Centres can help you plan your programme and clarify the requirements of your degree. See www.auckland.ac.nz/uoa/faculty-student-centres for information about your Faculty Student Centre. 2.4 School of Graduate Studies The School of Graduate Studies and postgraduate student advisers are located at the Graduate Centre. Staff can advise you on regulations, doctoral/masters administration, examination processes, thesis submission, dispute and appeals procedures, and the role of the Board of Graduate Studies. The Graduate Centre is located in the East Wing of the ClockTower, 22 Princes St, City Campus and is open from 8.30am to 5pm each weekday. Telephone 373 7599 ext 81321, email postgraduateauckland.ac.nz, or alternatively visit the website (www.postgrad.auckland.ac.nz). Guide to Theses and Dissertations 2 2.5 Libraries and Learning Services Libraries and Learning Services staff can assist with literature searching, writing theses and dissertations and many other areas of postgraduate study. Contact a Subject Librarian or visit the website www.library.auckland.ac.nz to get help with literature searching. The Theses and Dissertations page, www.library.auckland.ac.nz/thesis/ provides advice on how to search for local and international theses. The Student Learning Services team provides workshops, online resources and advice on most aspects of the thesis and dissertation writing process, including research and data analysis, critical analysis in the literature review, self-management, computing and presenting at conferences. Details of the postgraduate courses and resources provided by Student Learning Services can be found at www.library.auckland.ac.nz/student-learning/. Within Student Learning Services the English Language Enrichment (ELE) team can provide online and face-to-face advice for students who want assistance with academic English. Visit www.library.auckland.ac.nz/ele/ for more information. Information about Libraries and Learning Services courses specifically for doctoral students can be found on the Doctoral Skills webpage at www.auckland.ac.nz/uoa/cs-dsp. 2.6 Computing Services IT literacy is an essential aspect of writing a thesis. The University of Auckland provides a range of IT services to assist you with your course of study. Consult Student IT Essentials on the University website for further information: www.auckland.ac.nz/uoa/home/for/current-students/cs-student-it-essentials Otherwise, you may obtain assistance from the computer support person for your department or telephone the Information Commons Helpdesk on 373 7599 ext 82333, email ichelpdeskauckland.ac.nz. 3 Guide to Theses and Dissertations 3 Integrity in Research 3.1 Applying for Ethics Approvals If your thesis research involves human participants or animals in any way, you must obtain ethics approval from the University of Auckland Human Participants Ethics Committee, the relevant New Zealand Health and Disability Ethics Committee, or the Animal Ethics Committees. Discuss with your supervisor the appropriate way to document your ethics approval within your thesis. Guidelines can be downloaded from the University website: www.auckland.ac.nz/uoa/re-ethics. 3.2 Avoiding Plagiarism In any thesis, dissertation, report or project, unacknowledged copying or plagiarism is not acceptable. Plagiarism is defined as follows: Plagiarism means using the work of others in preparing an assignment and presenting it as your own without explicitly acknowledging — or referencing — where it came from. Plagiarism can also mean not acknowledging the full extent of indebtedness to a source. Work can be plagiarised from many sources including books, articles, the internet, and other students’ assignments. Plagiarism can also occur unconsciously or inadvertently. Direct copying is definitely plagiarism. Paraphrasing of another work without attribution is also plagiarism. Submitting someone else’s work or ideas without acknowledgement or attribution is not evidence of your own grasp of the material and cannot earn you marks. Thesis and dissertation candidates are governed by the University’s Student Academic Conduct Statute, which defines ‘academic misconduct’, explains the procedures for investigating claims of academic misconduct, and outlines the penalties for students found guilty of academic misconduct. The Academic Integrity Course provides information about academic integrity at university, avoiding academic dishonesty, acknowledging the work of others, using copyrighted material correctly and the consequences of academic dishonesty at the University of Auckland. Further information can be found at www.auckland.ac.nz/ uoa/home/about/teaching-learning/academic-integrity including a link to the University of Auckland Academic Integrity Course. In addition, the Doctoral Skills Programme offers a session on Citing and Avoiding Plagiarism (www.auckland.ac.nz/uoa/cs-dsp). Students may also wish to submit a final draft of their thesis or dissertation through Turnitin (see next section for further information). 3.3 Turnitin Turnitin is a web-based originality checking service that is used by many universities worldwide. When a student’s work is submitted to Turnitin it is matched against millions of internet pages, electronic journals, books, and a database of all previously and concurrently submitted assignments. Turnitin then generates an originality report providing a summary of matching or similar text found in the submitted work. Turnitin can be used to check sources have been correctly acknowledged and cited. The student should ensure that, irrespective of the results of the Turnitin originality report, all copyright requirements as well as the University’s standard on avoiding plagiarism are met. Guide to Theses and Dissertations 4 Masters and doctoral students who wish to submit a draft of their theses through Turnitin can either arrange this through their supervisor, or contact the Graduate Centre (postgraduateauckland.ac.nz). Students who use Turnitin through the Graduate Centre will be sent the required course code and password and will have full access to the originality report for their work. The originality report will not be made available to anyone else and will not be used for any other purpose. Students may wish to discuss the originality report with their supervisor, or refer to the Turnitin website for information on understanding their originality report. Additional information on Turnitin is available from: www.auckland.ac.nz/uoa/home/about/teaching-learning/academic-integrity/tl-turnitin-for-students www.turnitin.com 3.4 Using copyright material other than your own While you are permitted under the Copyright Act 1994 to copy another person’s copyright work (third party copyright) and include this copy in a live, printed or digital format with your thesis for the purposes of examination, this exception does not apply if you “publish” or “communicate” your thesis to the public by way of the internet or live exhibition/performance. If your thesis is to be deposited as a digital copy into ResearchSpace it becomes a “commercial 1 publication” under section 11 of the Copyright Act because it has been posted on the internet and made “available to the public”. Prior written permission to allow your thesis to be made publicly available must be obtained from the copyright owners (this will include the publisher of your own work if you have assigned copyright to them or granted them an exclusive licence to publish) where: •.a.“whole.work”.is.copied.—.a.poem,.diagram,.chart,.graphic.or.image.is.considered.to.be.a.“whole. work” and is not just a part of the publication from which it has been taken; or •.a.substantial.part.of.a.work.has.been.copied.—.a.copy.of.a.part.of.a.work.is.considered.substantial. 2 if it represents the essence or an important or significant part of that w ork; or •.you.have.collaborated.with.another.person.to.create.a.copyright.work.which.is.jointly.owned;.or •.where.you.have.permission.to.use.a.work.for.one.purpose.(for.example,.a.performance).and.you. now wish to include a recording of that work in your thesis i.e. the permission does not cover the use of the work for another purpose. Note that works on the internet are likewise protected by copyright. You do not need the permission of the third party copyright owner if: 1. copyright has expired — 50 years from the death of the author (section 22); 2. the third party work copied or used is not protected by copyright — see the paragraph headed “No Copyright” below for further details; ______________________________ 1 “Commercial publication” in relation to a literary, dramatic, musical or artistic work, means the publication of the work consisting of…(b) Making the work available to the public by means of an electronic retrieval system;…(section 11) 2 A substantial part does not necessarily relate to the amount copied but rather the quality: Vanilla Ice sampled less than 3 seconds of the most identifiable riffs from David Bowie and Queen’s song Under Pressure without consent or licence which apparently resulted in an out of court financial settlement, see: http://www.benedict.com/Audio/Vanilla/Vanilla.aspx. 5 Guide to Theses and Dissertations 3. copying is permitted under the Act — e.g. abstracts of scientific and technical articles (section 71); buildings and sculptures on public display (section 73); literary or artistic works relating to medicines imported by the Crown (section 76); 4. use clearly falls under one of the fair dealing exceptions in the Act such as fair dealing for the purpose of criticism and review (section 42); 5. the author has made the work available under a licence which permits the use you intend to make of the work. Before you rely on any of these exceptions to copy a work without permission of the copyright owner, you must read a fuller explanation of permitted uses of the above which is set out below. Note that where you are copying or using another person’s work you must fully attribute those copyright works or you will be in breach of the original author’s “moral rights” which are protected under the Copyright Act and the University’s policies on plagiarism. a Copyright has expired Material in which copyright has expired may be copied in full and dealt with freely by the public. Under current New Zealand law, the duration of copyright varies depending on the type of work protected. Note that if you intend publishing articles or a book overseas based on your thesis you may need to get permission to use work which is in the public domain in New Zealand, as in many other countries including Australia, the United States and Europe, copyright expires 70 years following the death of the author. The duration of the term of copyright is as follows: 3 4 5 6 •. Literary , dramatic , musical or artistic works remain copyright protected until the end of the period of 50 years from the end of the calendar year in which the author dies (section 22). • Sound recordings and films remain protected f or 50 years from the end of the calendar year in which the film is made or made available to the public whichever is later (section 23). 7 • Communication works remain protected for 50 years from the end of the calendar year in which the work is first communicated to the public (section 24). •. Typographical arrangement or copyright in the layout, typically a published book or journal, remains protected for 25 years from the end of the calendar year in which the work was first published. Thus, new copyright protection attaches to each new typographical arrangement of a work; so that material contained within a new typographical arrangement of a book is subject to the copyright protection the book enjoys. That work may not be copied or dealt with unless it is done so under a licence or with the express permission of the rights holder, normally the publisher (section 25). ______________________________ 3 “Literary work” means any work, other than a dramatic or musical work, that is written, spoken, or sung; and includes (a) a table or compilation; and (b) a computer programme. 4 “Dramatic work” includes (a) a work of dance or mime; and (b) a scenario or script for a film. 5 “Musical work” means a work consisting of music, exclusive of any words intended to be sung or spoken with the music or any actions intended to be performed with the music. 6 "Artistic work” means (a) (i) graphic work, photograph, painting, sculpture, collage, or model, irrespective of artistic quality; or (ii) a work of architecture, being a building or model for a building; or (iii) a work of artistic craftsmanship… 7 “Communication work” means a transmission of sounds, visual images, or other information, or a combination of any of those, for reception by members of the public, and includes a broadcast or a cable programme. Guide to Theses and Dissertations 6 •. Works of unknown authorship — if it is not possible to ascertain the identity of the author by reasonable enquiry and it is reasonable to assume that the author has been dead for 50 years and copyright has expired, you may freely use the work. DigitalNZ has created an easy reference guide “Copyright terms and the public domain in New Zealand” for anyone wanting to know what was out of copyright in New Zealand as of 1 January 2011. The guide is available on the DigitalNZ website at: http://makeit.digitalnz.org/guidelines/enabling-use-reuse/public-domain-guide/ b Copying under licence Works posted on the internet are protected by copyright. Unless the author has clearly stated that you are permitted to copy the work and post it on the internet then you may only copy that work to the extent permitted under the Copyright Act 1994. The author may also make a work available under a licence such as a Creative Commons licence. Creative Commons licences allow creators (licensors) to retain copyright while allowing others to copy, distribute, and make some uses of their work providing they give the licensor credit for their work. Creative Commons offers 6 main licence types. Providing the licence permits you to copy the original work and distribute it online you may include that work in your thesis. More information about creative commons licences can be found at www.creativecommons.org.nz/licences/. c Fair dealing for criticism and review Fair dealing means a use which is reasonable. There is no clear formula for the amount which can be copied for the purpose of criticism and review. This will depend on the particular circumstances of the use. The courts have held that the following factors will determine whether or not a use is fair: •. t he . number. and. e xt ent. of. q uo t ations. and. e xtr acts . fr om . t he. w ork . copied. –. t oo. man y. q uo t es,. and. q uo t es. which are too long, are unlikely to be considered fair; •. whe t her. t he . pr opor tion . of. t he. w ork . q uo t ed. or. t he. number. of. imag es. copied. is. more. t han. is. necessar y. t o. criticise or review the work — long extracts and short comments will not be considered fair; •. t he . deg ree. t o. whic h. t he. use. com pe t es. wit h. t he. w ork . copied, . so,. f or. e x am ple, . if. t he. use. w ould. reduce. demand for and affect sales of the work copied; •. in . some. inst ances. whole. w orks . ma y. be. copied. —. f or. e x am ple. if . a. w ork. of. ar t. or. a. shor t. poem. w as. being. criticised or reviewed; •. a . cour t. w ould. be. less. lik el y . t o. consider. t hat. cop ying. f or. criticism . or. re vie w. is. “f air”. if. a. w ork. is. un published. and not in the public domain or widely distributed; •. t he . cop ying. must . be. f or. criticism,. but . need. no t. be. of. t he. w ork . criticised. or. re vie w ed.. It. ma y. be. permissible. to copy a work for the purpose of illustrating certain points in relation to the work being criticised; •. criticism. ma y . e xt end . t o. t he. ideas. underl ying . t he. w ork. 7 Guide to Theses and Dissertations Any works copied under this provision of the Act must be accompanied by sufficient acknowledgment. This means the work must be identified by its title or other description and by its author unless the work has been published anonymously or it is not possible by reasonable enquiry to ascertain who the author is. d No copyright Under section 27 of the Copyright Act no copyright exists in any of the following New Zealand works which may be copied freely: •.Bills.and.Acts.of.Parliament •.Regulations.and.Bylaws •.Reports.of.Select.Committees •.New.Zealand.Parliamentary.Debates •.Judgments.of.any.New.Zealand.court.or.tribunal..Note:.Head.notes.are.protected.by.copyright.and. may not be copied without permission •.Reports.of.New.Zealand.Royal.Commissions,.Commissions.of.Inquiry,.Ministerial.Inquiries.or. Statutory Inquiries. Note: This does not extend to legislation, judgments or reports from outside New Zealand. e Copying permitted Under the Copyright Act the following works may be copied without infringing copyright: •.abstracts.of.scientific.or.technical.articles.accompanying.an.article.in.a.periodical.indicating.the. contents of the article (section 71); •.buildings.and.sculptures.permanently.on.public.display.may.be.drawn,.photographed.or.filmed. (section 73) — this does not extend to copying someone else’s graphic image, photograph or film of a sculpture or building on public display, as a separate copyright will exist in the graphic image, the photograph or film itself, which will belong to the artist, photographer or filmmaker; •.text.or.images.relating.to.a.medicine.imported.by.the.Crown.and.published.overseas.by.the. copyright owner (section 76). For example copying a photograph published overseas of a medicine imported by PHARMAC or a DHB would not breach copyright in the photograph. 3.5 Collaboration If you are intending to include a video or a sound recording of a performance in your thesis there may be a number of different authors each of whom owns copyright in different aspects of the performance and the recording. Copyright law protects not only the work of the traditional authors of literary, musical or artistic works, but authors such as: •.in.the.case.of.computer.generated.literary,.dramatic,.musical,.or.artistic.works,.the.person.who. undertakes the necessary arrangements for the creation of the work; •. in. t he . case . of . a. sound. or. video. recor ding,. t he. person . who. under t ak es. t he. necessar y. arr ang ements. f or. t he. making of the recording and the person who undertakes the editing or the compiling of recordings into a final output; Guide to Theses and Dissertations 8 •. in . t he . case. of. a. “communication. w ork” . (communication. w orks . are. a. “tr ansmission. of. sounds,. visual. images, or other information” made available on the internet or a broadcast or cable programme), the person who makes the communication work; • . per f ormers,. whe t her. t he y. be. act ors, . musicians,. dancers. or . o t hers. who. hav e. deliber at el y. contribut ed. through their presence within the performance/exhibition or recording; •. costume. and . se t . designers, . c horeog r aphers,. dr amatur gs. or. o t hers. who. hav e. deliber at el y. contribut ed. concepts and conceptual materials to the performance/exhibition or recording. If your thesis includes a film or a sound recording of a performance, you will need to have permission from each of the “authors” before the thesis is posted in ResearchSpace. Each of the “authors” will also retain copyright in their own performance and that copyright will be infringed by a person who, without the author’s consent, makes a recording of the whole or any substantial part of a performance and communicates that recording to the public. Posting your recording of a performance in ResearchSpace without the author’s consent will be a breach of copyright. Specific contributions by individuals should be recorded in the Co-Production Form. 3.6 Commissioning Under current New Zealand law, you are the owner of copyright of any work you produce and can use that work as you wish, unless there is an agreement to the contrary where you commission and pay, or agree to pay for, the taking of a photograph or the making of a computer programme, painting, drawing, diagram, map, chart, plan, engraving, model, sculpture, film or sound recording and the work is made as a result of that commission. If you are commissioning someone to create a work for you, you must check any written agreement you are asked to sign to ensure that you retain copyright. Note that the commissioning rule does not apply to literary works or musical works, so if you have commissioned someone to produce music or text for inclusion in one of your works you will need to ensure that copyright in the work is either assigned to you in writing or is licensed to you to enable you to include it in your thesis and post it in the University’s digital repository. If you are not paying for the work and the creator is gifting the work to you, then to be an effective assignment, the work will have to be assigned by way of a deed. This means the assignment must be signed and the signature must be witnessed. A nominal sum is generally sufficient consideration. In summary, where you are commissioning and paying another person to produce a work which will form part of your submitted thesis you will own the copyright in that work unless it is a musical work or a literary work. If you do not own copyright then you must ensure that you have a licence to use that work, or that the copyright in that work has either been assigned or licensed to you. 9 Guide to Theses and Dissertations 3.7 Joint ownership A work of joint authorship will arise if you have collaborated with one or more persons to jointly create a work. For it to be a work of joint authorship, the contribution of each author is not distinct from the other authors. If the work is a work of joint authorship you will own the copyright in that work jointly with that person or persons. This means you cannot copy or publish that work without the written permission of your co-author(s). Specific contributions by individuals should be recorded in the Co-Authorship Form. 3.8 Obtaining permission Obtaining permission to use a copyright work requires that you enter into an agreement with the rights owner(s) of that work. This agreement must give you the right or licence to use the work. Getting permission requires you to undertake the following steps before your thesis or dissertation can be placed in ResearchSpace: 1. determine that the work is protected by copyright; 2. identify the rights owner(s); 3. contact the owner(s) and negotiate whether payment is needed; and 4. get each permission in writing. If you are unsure whether you need to obtain written permission you will need to check with your supervisor or Head of Department. A draft letter which can be used for approaching copyright holders for permission is provided on page 11. If you have been unable to obtain permission to reproduce material, you may consider placing that material in a separate section of your thesis which can then be suppressed from public view or the whole text of the thesis can be suppressed. These different access options can be selected on the online deposit form. Guide to Theses and Dissertations 10 SAMPLE LETTER: Dear insert name of owner or authorising person I am a postgraduate research student in the Department of name at the University of Auckland. I am seeking permission to use the following copyright material in my thesis/dissertation entitled title of thesis or dissertation for the purposes of examination and subsequent deposit in the University of Auckland’s publicly available digital repository, ResearchSpace: •..Insert.description.and.source.of.material.for.which.permission.is.sought. If you are happy to grant permission, please sign the authority at the bottom of this letter and return a copy to me. You may also add specific instructions regarding the attribution statement that I will include in my thesis/dissertation, and any additional terms and conditions that you require. If you wish to discuss the matter further, please contact me at insert email address or telephone insert number. Thank you for your consideration of this request. Yours sincerely Name Permission I, as Copyright Owner (or the person with authority to sign on behalf of the Copyright Owner) of the material described above, grant permission for name of student to copy the material as requested for the stated purposes, with no further action required. Signed: ……………………………………….. Date: ………..………….. Attribution statement Please note any specific instructions you would like included in my acknowledgement of Copyright Ownership: Terms and conditions Please note any terms and conditions of the permission: 11 Guide to Theses and Dissertations 3.9 Third party editing Many masters and doctoral candidates have their theses or dissertations reviewed by third parties, including professional editors. Such third parties must make no contribution to the intellectual content of the thesis or dissertation, or be involved in rewriting text. Their role is confined to advice on editorial changes, as specified in the document Third Party Editing and Proofreading of Theses and Dissertations (www.auckland.ac.nz/uoa/cs-pg-doc-theses-dissertations). It is the candidate’s duty to convey the policy and guidelines to third parties (including any professional editor) engaged in checking the final version of the thesis or dissertation. Candidates must acknowledge in their thesis or dissertation any contribution by a third party, in accordance with this document. Guide to Theses and Dissertations 12 4 Style and Format The following are basic recommendations for setting up the text of your doctoral thesis. Many of the recommendations on style and format are also relevant to masters theses, dissertations and other research work; however you must consult your own departmental guidelines because these may vary. 4.1 Backing up your work The importance of backing up your work cannot be over-emphasised. Back up your computer files regularly, name the different versions of your documents appropriately, and keep these copies in a separate safe location. It is also a good idea to retain copies of collected data, notes, drafts and any other material that might be necessary to reconstruct your thesis in the event that something goes wrong. 4.2 Proofreading Careful proofreading for grammar, punctuation, spelling and general consistency is essential. Do not rely on the spellchecker in your programme to pick up errors. It is also a good idea to have someone else read through your work to pick up any mistakes that you may have overlooked (see section 3.9 on third party editing). A high standard of presentation is very important, so allow plenty of time for this before you submit your work. A practical guide to punctuation is Jenny Buxton, Susan Carter and Sean Sturm, Punc rocks: Foundation stones for precise punctuation, 2nd edn, Auckland: Pearson New Zealand, 2012. 4.3 Language A doctoral thesis is to be presented in English unless otherwise approved by the Board of Graduate Studies at the time of registration. Candidates wishing to present and defend a thesis in Māori must, before applying to the Head of Department to be registered, obtain the permission of the Pro Vice- Chancellor (Māori). For detailed regulations governing the language of doctoral theses, refer to the Statute and Guidelines for the Degree of Doctor of Philosophy (PhD), Clauses 4g(v), 4o and 8f (www.auckland.ac.nz/uoa/cs-pg-doc-phd-statute). Applications to submit a masters thesis, honours dissertation, or other postgraduate research work in a language other than English or Māori must be made at the initial stage of enrolment, through the supervisor and Head of Department to the Board of Graduate Studies. All applications will be considered on a case-by-case basis. Generally, an application will be granted only where the Board is satisfied that the field of study and topic make this essential, and that suitable examiners will be available for the examination. It is unlikely that permission would be granted merely on the grounds that a student’s first language is not English. 4.4 Word length One of the skills of completing a thesis or dissertation is writing within the word length. This is one of the factors that examiners consider as they mark your work. Examiners are reluctant to examine theses that exceed the maximum length, and are within their rights to refuse to examine those pages that exceed the agreed word limit. The word lengths stated below include appendices, footnotes and the reference list. 13 Guide to Theses and Dissertations PhD theses may not, without the prior permission of the Board of Graduate Studies, exceed 100,000 words in total, or 60,000 words in total when accompanied by a corpus of creative work by a candidate enrolled in a creative arts or design discipline. The approximate number of words will vary considerably across disciplines, and according to the topic and the other means of conveying thought such as charts, formulae etc. Your supervisor will be able to advise you on what would be expected normally. Where the core of the thesis comprises a series of published or unpublished research papers and/or case studies, the candidate must be the lead or sole author of each paper or case study and have written the text, and must provide a contextual framework and concluding discussion. The range and focus of this material shall generally correspond with the introductory and concluding chapters of a thesis. The thesis must be presented in a consistent format, citation style and typeface. See the Guidelines for Including Publications in a Thesis for more information: http://www.auckland.ac.nz/uoa/cs-pg-doc-theses-dissertations. The. t o t al. lengt h . of . a . 1 20. point. mast ers. t hesis. is. usuall y . ar ound. 35,000–40,000. w or ds. including. an. abstr act. of 350 words. However it is important to check with your supervisor/departmental graduate adviser for individual departmental requirements, which may vary. Departmental guidelines on the length of dissertations also vary and it is essential that you consult your super visor/depar tment al. g r aduat e. adviser .. As. a. g ener al. guide,. a. 30. point. disser t ation . is. ar ound. 1 0,000– 1 2,000. w or ds,. and. a . 60. point . disser t ation. ar ound . 1 5,000–20,000. w or ds. in. lengt h. 4.5 Page size The recommended page size is A4. 4.6 Margins A binding margin of at least 19mm is required on the left for the spine, and at least 15mm margins on the three remaining sides. If printing double-sided, “mirror margins” must be used. All written and illustrative material, including headers, footers, footnotes and page numbers, must fall within these margins to allow for trimming during binding. 4.7 Typeface Clear, easily readable, standard True Type fonts in black should be used (these fonts are used on both screen and printer). The recommended font styles are 12 point Times New Roman or 10 point Arial. Footnotes may be of a smaller font size. 4.8 Paragraphing and line spacing Paragraph and line spacing, as well as some other specific details, are usually a department-specific requirement. First line indent or flush left aligned first line are both acceptable. Line spacing should be no less than 1½ line space and no more than double line space, with the exception of longer quotations, footnotes, material in tables/figures and the bibliography/list of references (which may be single line spaced). Guide to Theses and Dissertations 14 4.9 Quotations The format of quotations is usually a department-specific requirement. As a guide, in-text quotations of three lines or longer should appear as separate paragraphs, indented 10mm from the left-hand margin throughout the passage with quote-marks omitted. 4.10 Footnotes For those who are using footnotes, Arabic numerals are used consecutively throughout a chapter, and should normally appear at the bottom of the relevant page, keyed to the same number following the word or phrase in the text to which it refers. If a footnote is too long for the relevant page, it may be continued on the following page preceding the footnotes for that page. If the number of footnotes is very large, numbers may be restarted with each chapter. The first reference to a work in a footnote should be given in full, but subsequent references may be abbreviated using “ibid.”, “op.cit.” and so on, as appropriate. This is dependent on the referencing style used and departmental requirements. 4.11 Page order and pagination Page numbers should be located in a consistent position throughout the thesis (either bottom right-hand corner or centre is recommended). The recommended order of material in a thesis is as follows: Elements of a thesis Pagination a Library Thesis Consent Form Not counted and not numbered b Title page Counted but not numbered c Abstract d Dedication (optional) e Preface and/or acknowledgements Numbered in Roman numerals f Table of contents g Lists of tables, figures, etc (optional) h Glossary (optional) Co-Authorship and/or Co-Production i Forms (for PhD students) j Main text of thesis or dissertation k Appendices (optional) Numbered in Arabic numerals starting at 1 l Bibliography/List of references 15 Guide to Theses and Dissertations 4.12 Elements of a thesis or dissertation Theses may take different forms: Monograph The thesis or dissertation may be written as a traditional monograph. You may include published or unpublished research papers and/or case studies within your thesis, provided that you are the lead or sole author of each paper or case study and wrote the text. If you are not the sole author of any of the papers or case studies, a Co-Authorship Form must be completed. In the case of published or unpublished research papers and/or case studies that you have contributed to but are not the sole or lead author of, you may report in your thesis your contribution to the research with due reference to the original paper and/or case study. These research papers and/or case studies should be listed in the bibliography and a Co-Authorship Form completed for each co-authored work referred to. The co-authorship forms should then be included in each copy of the thesis. In both cases, the thesis must be presented in a consistent format, citation style and typeface. Thesis with publications PhD candidates registered under the 2011 Statute may choose to write a thesis with publications. Where a thesis includes published or unpublished research papers and/or case studies, these must have been conducted under supervision for this degree; you must be the lead or sole author of each paper or case study and have written the text. The thesis must be presented in a consistent format, citation style and typeface. If the core of the thesis comprises submitted papers or work published during PhD enrolment, you must provide a contextual framework and concluding discussion. The range and focus of this material shall generally correspond with the introductory and concluding chapters of a thesis. When writing a thesis with publications that involves co-authorship candidates must complete co- authorship forms signed by all authors. These are best completed as soon as the paper is submitted. An example of a Co-Authorship Form is included on page 17 and can also be accessed at the following link: www.auckland.ac.nz/uoa/cs-pg-doctoral-forms. For more on the thesis with publications option see Guidelines for Including Publications in a Thesis: www.auckland.ac.nz/uoa/cs-pg-doc-theses-dissertations. Thesis with creative practice PhD candidates registered under the 2011 Statute may apply to undertake a thesis with creative practice. If the application is successful, the final thesis may not exceed 60,000 words in total plus a corpus of creative work. The thesis should be accompanied by a Co-Production Form signed by all those involved in each creative practice aspect of the thesis. These are best completed as soon as the work is produced. An example of a Co-Production Form is included on page 18 and can also be accessed at the following link: www.auckland.ac.nz/uoa/cs-pg-doctoral-forms. Guide to Theses and Dissertations 16