Thesis Submission Requirements

7/31/2019 Thesis Submission Requirements

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has complied with the University's rules and regulations relating to candidature for the

PhD/MPhil/ProfDoc by research.

If a supervisor wishes, he/she may also comment that in his/her view the thesis is not suitable for

submission to the examiners; such comments are not sent to the examiners.

1.3. Arrangements for Submission

1.3.1 When the thesis is ready for submission, the student should make an appointment with the

Examinations Office (ext: 52266).

1.3.2 Four copies of the thesis, bound in the manner indicated below (see Section 3.), must be

submitted. This includes one copy which will be retained in the Office until the student is advised

by the Examinations Office of the College recommendation.

1.3.3 One digital copy may also be provided on CD or DVD at this time for access only by

appointed examiners, if requested. "Examination Copy" must be clearly marked on the

disc. The digital copy will be returned to the student once he/she has received their

recommendation from the Examinations Office.

1.4 Digital Version

1.4.1 All Higher Degree Research (HDR) students who commence their program at ANU on or

after 1 January 2011 are required to provide a digital version in addition to the final bound printed

copy of their thesis. The bibliographic information and abstract for every thesis will be made

available through the ANU Research repository.

1.4.2 The University will not require the digital version of non-awarded theses.

1.4.3 Students providing their final bound thesis on or after 1 January 2011 who commenced

their program prior to this date are encouraged to deposit a digital version of their thesis in

addition to their final bound printed copy.

2. DEFINITION AND CONTENT OF THESES

2.1 Definition

2.1.1 The Research Awards Rules (sr. 1.4(1)) define a thesis as 'original written work', which, forthe PhD may have been published (thesis by publication), or may be comprised of video

recordings, film or other works of visual or sonic arts, computer software, digital material or other

non-written material.

2.1.2 Written work' for a thesis, includes video recordings, film or other works of visual or sonic

arts submitted by a student for examination.

2.1.3 A thesis may be submitted in either traditional format or in publication format or in a format

that is a combination of both (but note 2.3.3 below). Approval is required for a thesis to be

submitted in an alternative format which includes video recordings, film or other works of visual

or sonic arts, computer software, digital material or other non-written material (see RAR sr.

4.2(5)).


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2.1.4 The option of thesis by publication is for PhD students and only extended to MPhil/ProfDoc

students in exceptional circumstances. The scope and quality of the submitted work must be

commensurate with the contribution to knowledge expected of a candidate for the PhD degree

(or the MPhil or Prof Doc, when permitted) (see RAR sr. 4.2(5))

2.1.5 Students submitting by published work should inform the supervisory panel about the

format of their thesis 12 months prior to submission.

2.1.6 Students who are undertaking a thesis by publication should seek advice before signing

publisher's agreements to ensure each agreement does not preclude the inclusion of the

published work in their thesis.

2.1.7 Students intending to submit for examination a thesis in an alternative format, must obtain

approval for the format of the thesis from the Delegated Authority, on the advice of the

supervisory panel, at the time of the initial or an annual review of progress.

2.2 Content

A thesis or other publication shall be an 'original written work' which 'incorporates an account of

research done during an academic program and its result', and, where the 'research is on more

than one topic, demonstrates the relation between the topics'. A thesis must be a connected

piece of writing. In the case of a thesis (or parts of it) based on research carried out jointly with

others, the thesis must include a statement which clearly indicates the nature and extent of the

student's contribution to the research (see RAR r.1.4 and sr. 4.3(2), and Section 3. below).

2.3 Thesis in Published format

2.3.1 A thesis by publication includes papers (e.g. articles, chapters) where the student is the

sole or joint author that have been published or accepted for publication. Students should fully

commit to this form of submission and inform the supervisory panel approximately 12 months

from completion as part of the annual review process. The supervisory panel can have a vital

role in providing sound disciplinary advice on the number of publications and any other relevant

details appropriate to that discipline (see 2.1.4.above). Thesis by publication is the standard

format for submission by students admitted to a program under the ANU staff provisions (see

RAR sr 2.3(3) and 2.3(4)).

2.3.2 A thesis by publication may also include video recordings, film or other works of visual orsonic arts, computer software, digital material or other non-written material for which approval

has been given for submission in alternative format (see 2.1.3 above).

2.3.3 The thesis comprised of published articles or other published works must have an

introduction and conclusion drawing together the published papers or works in a cohesive

manner. The student should address in the exegesis how the individual publications link to the

theory and methodology adopted and evaluate the contribution that the research in the submitted

publications makes to the advancement of the research area.

2.3.4 Papers submitted in the following categories may be included but each must be presented

as an individual chapter in the thesis:


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a) Published papers

b) Manuscripts accepted for publication

c) Manuscripts submitted and under review by referees; and

d) Manuscripts under revision following referees reports.

Manuscripts that have been rejected by a journal must not be included.

2.3.5 The thesis may also include relevant appendices containing additional papers that are not

relating to the main thrust of the thesis, raw data, programs, questionnaires and other material as

deemed appropriate for each discipline.

2.3.6 Normally, such theses will be based on a number of publications in international peer

reviewed journals. While the number of publications and the type of journal will vary between

disciplines, the aim must always be to maintain the quality of the ANU research degree. Forexample, for some disciplines the benchmark of quality is A and A* journals of the ARC list.

However, this may vary between disciplines.

2.4. Use of Confidential Material

2.4.1 In some instances it may be necessary to make use of confidential material in a thesis. If

the supervisor(s) and the head of the relevant academic section are agreed that this is

necessary, a case will need to be made, via the student's department, the Delegated Authority to

the Pro Vice-Chancellor (Research and Graduate Studies) to prohibit or restrict access to an

appendix to a thesis, to a part of a thesis, or to a thesis or other publication. Students shouldrefer to the Guidelines: Use of Confidential Information in Higher Degree Research Theses.

2.4.2 The Pro Vice-Chancellor (Research and Graduate Studies) will make a decision in relation

to a request to prohibit or restrict access to an appendix to a thesis, to a part of a thesis, or to a

thesis or other publication. If the request is granted to prohibit or restrict access the Pro Vice-

Chancellor (Research and Graduate Studies) will determine the length of time to restrict or

prohibit access after lodgement in the University Library. In determining the length of time to

restrict or prohibit access the Pro Vice-Chancellor (Research and Graduate Studies) should have

regard to the considerations in 2.4.4-2.4.10.

2.4.3 Confidential Information may be generated through research (student/University generated

confidential information) or may be existing confidential information (third party confidential

information).

Student/University generated confidential information

2.4.4 Where confidential information is generated through research and an agreement/contract

has been entered into between the student/University and a third party in relation to the length of

time any information is to remain confidential, the Pro Vice-Chancellor (Research and Graduate

Studies) should be guided by any agreement already made between the student/University and a

third party in relation to the length of time access will be restricted or prohibited. The length oftime access will be restricted or prohibited to an appendix to a thesis, to a part of a thesis, or to a


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thesis or other publication after lodgement in the University Library should not be a shorter

timeframe than the timeframe provided for in any agreement.

2.4.6 In circumstances where such an agreement has not been made access may be restricted

or prohibited for the length of time the Pro Vice Chancellor (Research and Graduate Studies)

considers appropriate having regard to the nature of the confidential information. In relation to

research generated confidential information any restriction or prohibition to an appendix to a

thesis, to a part of a thesis, or to a thesis or other publication would normally be for a period of 6

months or (where exceptional circumstances or the particular discovery or discipline dictates) up

to a maximum of 2 years.

Third party confidential information

2.4.7 Where confidential information is provided to a student by a third party the length of time

access to the information is prohibited or restricted should be guided by any agreement/contract

with the third party in relation to how long the information will remain confidential. The length oftime access will be restricted or prohibited to an appendix to a thesis, to a part of a thesis, or to a

thesis or other publication after lodgement in the University Library should not be a shorter

timeframe than the timeframe provided for in any agreement

2.4.8 In the absence of such an agreement/contract access may be restricted or prohibited to an

appendix to a thesis, to a part of a thesis, or to a thesis or other publication for the length of time

the Pro Vice Chancellor (Research and Graduate Studies) considers appropriate in the

circumstances taking into account the nature of the confidential information. .

2.4.9 In exceptional circumstances, the Pro Vice-Chancellor (Research and Graduate Studies)

may restrict or prohibit access to an appendix to a thesis, to a part of a thesis, or to a thesis or

other publication indefinitely after lodgement in the University Library.

2.4.10 An application to restrict access to an appendix to a thesis, to a part of a thesis, or to a

thesis or other publication needs to be made well in advance of the submission, and, if approved

by the Pro Vice-Chancellor (Research and Graduate Studies), will be forwarded to the

Examinations Office for appropriate action (see RAR sr.4.18 (9) and (10)).

2.4.11 For theses by publication students must obtain permission to reproduce copyright material

where that right has not already been granted as part of the publication process by the copyright

holder. If this cannot be done, students may ask for the examination and deposition of the thesesto be treated confidentially.

2.4.12 Any restriction or prohibition of access to an appendix to a thesis, to a part of a thesis, or

to a thesis or other publication is subject to the relevant laws in force at the time of the

Commonwealth of Australia and the Australian Capital Territory.

3. FORMAT AND PRODUCTION OF THESES OR OTHER PUBLICATION

3.1 Length


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3.1.1 One of the criteria by which a student undertaking a research degree is judged is his or her

ability to select the most important evidence and other material needed to support the arguments

advanced and to present the arguments and supporting material concisely.

3.1.2 A PhD thesis should not exceed 100,000 words in length, and an MPhil or Prof Doc thesis

should not exceed 60,000 words, unless, as a result of a special application well in advance of

the intended submission, approval is granted for this limit to be exceeded. Supervisors are asked

to emphasise very strongly to candidates that a thesis can and normally should be considerably

shorter. (The number of words may be judged by the student's Supervisor on a sample of at least

20 pages chosen at random). The limit is, however, exclusive of footnotes, tables, figures, maps

and appendices, but appendices must be limited to material necessary in support of the main

argument of the thesis.

3.1.3 Requirements for Professional Doctorate theses will be found in the information specific to

those programs provided by the relevant ANU College.

3.1.4 A student whose thesis may be close to the maximum length allowable should submit with

the thesis evidence that it is less than the maximum number of words permitted. This could take

the form of a computer word count. Alternatively, candidates could count the words on a

representative sample of at least 20 pages of text, average it and multiply the average by the

total number of pages of text.

3.2 Presentation

3.2.1 The first page of the thesis should give its title, the student's name in full and the month and

year of its submission for examination. It must also include the following statement:-

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

Australian National University."

3.2.2 The second page must contain a statement signed by the student, indicating the extent to

which the thesis is his or her own original work and, in the case of investigations carried out

jointly with others, which clearly indicates what contribution was made by the candidate (see

RAR sr. 4.4(2)).

3.2.3 Acknowledgments should be included in the following pages.

3.2.4 An abstract or brief prcis is also required, amounting to 250-500 words, to be bound in the

thesis. The prcis, or abstract, must also be submitted electronically to the Examinations Office

at, or prior to, submission of the thesis. This can take the form of an email

[email protected]. An electronic abstract exceeding 500 words will be

truncated on the Australian Higher Education Graduation Statement (AHEGS). The electronic

version must use standard text only. Additionally, the electronic version must not contain any

symbols or characters not on a standard keyboard (such as mathematical symbols, super or sub

script). Students should seek information about any other specific requirement of their ANU

College from their supervisor(s) or head of the relevant academic section.

3.2.5 A table of contents appears at the beginning of the thesis.
https://mail.google.com/mail/?view=cm&fs=1&tf=1&[email protected]://mail.google.com/mail/?view=cm&fs=1&tf=1&[email protected]://mail.google.com/mail/?view=cm&fs=1&tf=1&[email protected]://www.anu.edu.au/sas/graduation/ahegs.phphttp://www.anu.edu.au/sas/graduation/ahegs.phphttp://www.anu.edu.au/sas/graduation/ahegs.phphttp://www.anu.edu.au/sas/graduation/ahegs.phphttps://mail.google.com/mail/?view=cm&fs=1&tf=1&[email protected]


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3.2.6 A bibliography of works to which reference has been made must be included at the end of

the thesis. Advice on bibliographical standards is the responsibility of the supervisor(s) and

should always conform to good publishing practice in the particular field.

3.3 Typing/Printing

3.3.1 Printing of Theses

Theses may be printed in either single or double-sided form.

Theses should be printed on International Standards Organisation A4 size paper (297mm

x 210mm).

Paper with a minimum weight of 80gsm should be used to ensure that the print does not

show through on microcopies.

A thesis which includes diagrams, tables, etc., which do not fit well on to A4 sized paper,

may be printed on I.S.O. B4 size (353mm x 250mm).

The use of re-cycled paper for the thesis is not recommended as it does not provide goodcopy and detracts from quality reproduction.

Paste-up work should be clearly photocopied prior to printing and the copy supplied in

place of the original.

The University Printing Service (ext. 52514) offers a thesis printing service for ANU

students.

3.3.2 Typing of Theses

Double spacing or one and a half spacing may be used; single spacing is not acceptable

(apart from indented quotations, footnotes and bibliographies) except in specialcircumstances.

Computer typeset theses must use fonts that are easy to read, and no smaller than 11

points for text and 9 points for footnote text. Line spacing should be at least 2 points

greater than text size.

The margins will be determined by whether the thesis is being printed single or double

sided. To ensure readability after binding, margins should be no narrower than:

Single sided -

left hand: 4cm

top, right and bottom: 2cm

Double sided -

odd page - left hand: 4cm

top, right and bottom: 2cm

even page - right hand: 4cm

top, left and bottom: 2cm


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Page numbers should be within the margins, as the print often tends to enlarge slightly

when photocopied.

3.3.3 For theses in published format, the papers, exegesis, and any supporting material should

be on A4 size paper bound in a single volume. The thesis, including the published papers, will be

formatted in the acceptable style although journal formatting can be preserved where

appropriate. Students should seek guidance from their supervisor in this regard.

3.3.4 Students are strongly advised to proof-read theses very carefully before submission as

even minor errors may lead to delay in acceptance of the thesis and admission to the degree.

3.3.5 It is generally expected that proof-reading/editing of theses is part of the academic process

on which a student is judged, and therefore would be performed by the student and members of

the supervisory panel. It is also reasonable that a student might ask mentors, friends or fellow

students to read their work. It is important however that the thesis is the student's own work, and

in this context it is important that the student and any proof-reader/editor are clear about theextent and nature of assistance that can be offered in the editing of a thesis. The policy

onEditing of Research Theses by Professional Editorsprovides guidance for students.

3.3.6 All copies, other than the University Library copy, remain the student's own property.

Unless the student has indicated otherwise, examiners will be asked to return the copy of the

thesis sent to them for examination, and the Examinations Office will take all reasonable steps to

ensure they are returned. These copies will be returned to the student.

An academic section/ANU College may reach agreement with a candidate for the deposit of a

further copy of the thesis in the departmental library.

3.3.7 A student retains the copyright of the thesis and may make such use of it as he or she

wishes.

3.4 Binding

3.4.1 Four copies of the thesis (irrespective of whether two or three examiners are to be

appointed) are to be submitted to the Examinations Office (see 1.3 above). The four copies may

be:

(a) Fully bound with stiff cloth covers and lettered on the spine in gold leaf with the title(shortened if necessary) being followed by the student's initials and surname and year. If

possible, the lettering should be across the spine, but if it has to be placed lengthwise it should

run from the top; or

(b) in an appropriate demountable binding, the choice of type and style of demountable binding

being a matter for the student (ring-binder folders are not accepted). If this option is chosen, even

if no corrections are required, the candidate must provide a fully bound copy of the thesis (see

(a) above) to the Examinations Office for lodgement in the University Library (see Section 6.

below) on completion of the examination process.

3.5 Digital Version (see 1.4 above)
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3.5.1 For deposit of the digital version of the thesis the student will need to provide:

Any files in the original file format used to create the final version of the thesis (including

still images, video, sound etc.)

Separate files for any confidential material or if the confidential material is throughout the

whole thesis a separate file for the whole thesis

A pdf of all text portions of the printed thesis (excluding any confidential material)

A list of all files - and software they were created with - that are contained in the package.

In the small number of cases where the thesis format will not be able to be presented this way,

the student should contact the Library for assistance.

3.5.2 The University Library will restrict the availability of the digital version of the thesis in line

with the student's signed Declaration Regarding Access. The digital version will be used, if

permitted, by the Library to fill requests for copies of your thesis from individuals or institutions

who undertake to use it for the purpose of private study and research.

3.5.3 The digital version of the thesis on CD or DVD should be included in a CD sleeve attached

to the inside back cover of the final bound copy of the thesis.

3.5.4 The University encourages HDR students to make the full text of their thesis available

through open access via the ANU Digital Theses Collection. (see 11.2 below).

3.6 Grant toward Theses Production Costs

3.6.1 PhD students who have held Full ANU Scholarships or Awards may be entitled to an

allowance towards thesis production costs as outlined in the scholarship Conditions of

Award. The allowance must be claimed within 12 months of submission of the thesis for

examination and no more than two years after expiry of the scholarship/award. Reimbursement

will be made on presentation of original receipts or accounts.

3.6.2 MPhil students who have held Full ANU Scholarships may also be entitled to an allowance

towards thesis production costs as outlined in the scholarship Conditions of Award. The

allowance must be claimed within 12 months of submission of the thesis for examination and no

more than two years after expiry of the scholarship/award. Reimbursement will be made on

presentation of original receipts or accounts.

3.6.2 The grant is not payable prior to submission of the thesis for examination.

4. CIRCULATION OF UNEXAMINED THESES

4.1 It is not advisable to release any copies of a thesis outside the candidate's own department

until the result of the examination is known; even with the best of theses there are often

comments from examiners recommending corrections or revisions before acceptance and

subsequent deposit in the University Library.

4.2 If there are circumstances which make earlier release desirable, the advice of the head of the

relevant academic section and the Delegated Authority should be obtained in advance, and any

copies so released must have on, or attached permanently to, the title page a dated statement


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making it clear that the thesis has been submitted for the PhD or MPhil or Prof Doc degree of the

University, but has not yet been examined.

5. CONTACT WITH EXAMINERS

5.1 Direct contact between the student and examiners during the examination process (except ifrequired by an oral examination) is prohibited (see RAR sr. 4.5), as is direct contact between the

student's supervisor and the examiners.

5.2 However, the Education Dean of the relevant ANU College may, at the request of an

examiner, nominate a person other than the student's supervisor to provide further information

about the thesis or, in the case of joint work, the student's contribution to the thesis (see RAR sr.

4.4(9))

6. ORAL EXAMINATION

6.1 A student may be required to attend an oral examination on the thesis. University policy and

procedure on the holding of oral examinations is set out in Research Degree Oral

Examinations(paper 803B/2001) available

athttp://policies.anu.edu.au/policies/research_degree_oral_examinations/policyand in the RAR

(r. 4.7 - 4.9).

6.2 An oral examination takes the form of a defence of the thesis, but it is suggested to the

examiners that they need not be too restrictive in their questions and that they should be free to

cover the general background of the subject in the light of the standard and scope expected.

6.3 A student should take to the oral examination a copy of the thesis paginated in the same wayas the copies submitted for examination.

6.4 Travelling Expenses: An oral examination will be held in Canberra unless otherwise

approved. The University will meet reasonable travel and accommodation expenses within

Australia necessarily incurred by a student in attending an oral. The University will not meet the

high cost of attending an oral examination incurred by a student who has chosen to leave

Australia after submission; the scale of reimbursement will be considered in each case on its

merits. Travel and accommodation expenses will not be paid to a student in the case of more

than one oral examination, such as might occur following the submission of a revised thesis for

re-examination.

7. WRITTEN EXAMINATION

7.1 A candidate may be required to undertake a written examination in place of, or in addition to,

an oral examination. The Examinations Office will advise the candidate of arrangements for any

written examination.

8. RECOMMENDATIONS OF EXAMINERS

8.1 Examiners must make one of the following four recommendations after completing the

examination (including any oral and/or written examination):
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a) That the student be granted the award; or

b) That the student be granted the award subject to corrections or revisions required by the

examiners in the thesis to be made to the satisfaction of the Delegated Authority in the copy

intended for deposit with the University Library; or

c) That the student be permitted to submit a revised thesis for re-examination; or

d) That the student be failed.

8.2 For a thesis in published format, corrections and revisions refer to corrections and revisions

to the thesis exegesis.

8.3 Revision and resubmission of a thesis may occur once only.

8.4 It is not open to examiners to recommend the award of another degree (e.g. the MPhil for a

thesis submitted for a PhD). Transfer between research awards is available to the student underthe Rules (RAR Div. 3.6).

9. ARRANGEMENTS REGARDING REVISION AND RESUBMISSION OF A THESIS

9.1 Examiners who recommend revision and resubmission of a thesis are asked to specify what

is required of the student before re-examination, on the understanding that anonymous

examiners' reports, in full or in part, will be made available to the student by the Examinations

Office.

9.2 The student is given a time-limit of one year in which to revise the thesis and submit it for re-

examination. An extension of a maximum of one year may be granted. Only in very special

circumstances may the two year period be further extended (see RAR sr. 6.2(1) and (2)).

10. ACCESS TO EXAMINERS' REPORTS

10.1 Examiners are invited to provide reports on the basis of a written undertaking from the

University that their reports will be treated on an "in confidence" basis. Other than as set out

below access to such reports is therefore limited to the relevant Education Dean, Delegated

Authority, head of the relevant academic section, supervisor(s) and where appropriate, to ANU

committees considering the award of prizes for excellence in theses.

10.2 It is firm policy of the University not to grant direct access to examiners' reports. Once the

outcome of the examination has been determined, anonymous reports may, however, in all

cases be made available in full or in part after deletion of any section of a report an examiner has

specified may not be made available to the student.

11. DEPOSIT OF AND ACCESS TO THESES

11.1 In the University Library

11.1.1 One fully bound printed copy of the thesis, with accompanying maps and/or other

separate material will be lodged in the University Library by the Registrar.


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11.1.2 Access to and distribution of ANU research theses has been extended, with the student's

permission, to include paper, microform or digital copies, both in the University Library and

outside on demand for private study and research. The student may request that his/her thesis

be made available immediately after it is lodged in the University Library or that it not be made

available until 12 months after the date on which it was lodged in the University Library. (Further

degrees of restriction are dealt with in 2.4 above.)

11.1.3 In addition, students who commence their program on or after 1 January 2011 are

required to deposit a digital version of their thesis when submitting the final bound printed copy.

The files should be provided on CD or DVD in accordance with digital deposit guidelines at 3.5

(above).

11.1.4 Students providing their final bound thesis to the Examinations Office on or after 1

January 2011 who commenced their program prior to this date are encouraged to deposit a

digital version of their thesis in addition to their final bound printed copy under the same

arrangements described at 3.5 (above).

11.2 Open Access

11.2.1 The University encourages HDR students to make their thesis available under open

access conditions by depositing the work in the ANU Digital Thesis Collection

http://thesis.anu.edu.au/. This will make the thesis appear in Australian Research Online

(http://research.nla.gov.au/) and make it discoverable by search engines such as Google.

11.2.2 Students who are undertaking a thesis by publication are encouraged to submit their final,

peer reviewed, corrected version (the Accepted Version) of their papers to the ANU Research

repository, so that if the publisher's copyright conditions permit, these can be made open access.

11.2.3 There are specific considerations with making theses by publication available open

access. In some cases the open access version will differ in format and, depending on the

publisher's agreement, may differ in content. When this is the case, the online version will need

to be identified as different from the bound version held in the University Library.

11.2.4 Further information about publishing theses with open access is contained in the

University's Code of Practice for Scholarly Publication and Dissemination at ANU at

http://policies.anu.edu.au/by_title.

12. RESPONSIBLE ADMINISTRATIVE STAFF

The Senior HDR Examinations Officer, Examinations Office, (ext: 52266

[email protected]) is responsible for all HDR examinations and should be the first

point of contact on matters covered in this paper. The Senior HDR Examinations Officer is

located in the Examinations Office in the Division of Registrar and Student Services.
http://thesis.anu.edu.au/http://thesis.anu.edu.au/http://research.nla.gov.au/http://research.nla.gov.au/http://research.nla.gov.au/http://policies.anu.edu.au/by_titlehttp://policies.anu.edu.au/by_titlemailto:[email protected]:[email protected]:[email protected]://policies.anu.edu.au/by_titlehttp://research.nla.gov.au/http://thesis.anu.edu.au/

Thesis Submission Requirements

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