Policy and Guidance for the Presentation and Deposit of Research Theses

The following policy relates to the presentation of Research Degree theses at Liverpool John Moores University and applies to full-time and part-time Postgraduate Research Students of the following degrees:

• Doctor of Philosophy (PhD)
• Master of Philosophy (MPhil)

It is a requirement of the university that PGRs registered for an MPhil/PhD produce a thesis or other appropriate form of submitted material which embodies their research for examination at the end of the degree. The term ‘thesis’ is used hereafter to describe all submitted material.

Language

All theses must be written in English; quotations, however, may be given in the language in which they were written.

Formal Submission for Examination

PGRs are required to submit a single final electronic version (PDF) of their thesis via eDoc (irrespective of the number of volumes). A plain-text description needs to be supplied for non-digital materials and digital materials that are unsuitable for electronic submission such as in the case of practice-based theses.

Examiners may request, by exception, hard copies of a thesis. In these instances, hard copies can be supplied by the Doctoral Academy in consultation with the PGR.   

Word count

Theses submitted for PhD must not normally exceed word counts stipulated.

Authorship

Any work submitted for the PhD/MPhil degree must be substantially different from any work that may have previously been submitted by the PGR for any degree at this or any other institution. 

Inclusion of published work in the thesis

PGRs who intend to include material they have already published (for example, journal articles) will need to check if the publisher will permit inclusion of this it in the thesis, for examination and administrative purposes, including upload of the thesis to the online LJMU E-Theses Collection.

Third-party material

Material that is authored by a third party that is used in a thesis must be free of any copyright restrictions and/or the PGR must have obtained a licence or permission to use these materials. Any such licence/permission must extend to the use of the materials by The University for administrative purposes, including examination and preservation via the LJMU E-Theses Collection.

The following requirements shall be adhered to in the format of the thesis submitted for examination:

• Theses shall normally be in A4 format
• For the main text, double or 1.5 spacing in a font type and size which ensures readability must be used (for example 10 point in a font such as Arial, Verdana, Tahoma and Trebuchet or 12 point in Calibri, Times, Times New Roman, Palatino and Garamond); single spacing may be used for quotations, footnotes, references and preliminary pages.
• The style of bibliographic citations and references may be chosen by the candidate but must be consistent throughout the thesis; general guidance can be obtained from the candidate’s Lead Supervisor.
• In the event that examiners request a print version, theses must allow for a margin of at least 40mm margin at the binding edge of any page; other margins must be not less than 15mm.
• Page numbering must consist of one single sequence of Arabic numerals (1, 2, 3, etcetera) throughout the thesis, starting with the title page as page number 1.
• Page numbers must be displayed on all pages except the title page.

Required pages

Title page

• Full title of thesis
• Full name of author

A thesis submitted in partial fulfilment of the requirements of Liverpool John Moores University for the degree of (insert degree title) the Collaborating Establishment(s), if any; and the month and year of submission (a thesis which is referred for revisions or re-examination must bear the month/year of resubmission on and not the date of the original submission).

Please note:
Where a thesis consists of more than one volume, each volume must contain a title page in the form set out above and also include the appropriate volume number, and the total number of volumes (for example Volume I of III).

List of contents

A list of contents, giving all relevant sub-divisions of the thesis and a page number for each item.

Please note:
In a multi-volume thesis, the contents page in the first volume must show the complete contents of the thesis, volume-by-volume, and each subsequent volume must have a contents page giving the contents of that volume.

Abstract

Approximately 300 words synopsis of the thesis stating the nature and scope of the work undertaken and of the contribution made to the knowledge of the subject treated. 

Declaration

A declaration stating:

Either: that no portion of the work referred to in the thesis has been submitted in support of an application for another degree or qualification of this or any other university or other institute of learning.

Or: what portion of the work referred to in the thesis has been submitted in support of an application for another degree or qualification of this or any other university or other institute of learning. This should include reference to joint authorship of published materials which might have been included in a thesis submitted by another PGR to this university or any other university or other institute of learning.

Where a PGR’s research programme is part of a collaborative group project, the thesis shall indicate clearly the PGR’s individual contribution and the extent of the collaboration.

The thesis, regardless of its form, should meet the requirements of  Section 4 of The Framework for Higher Education Qualifications of UK Degree-Awarding Bodies (October 2024 Qualifications Frameworks (qaa.ac.uk)

The text of the thesis should not normally exceed the following length (excluding footnotes, references, bibliography, and lists of figures/diagrams):

Standard monograph in Science/Engineering

• MPhil: 20,000
• PhD: 40,000

In some areas the norm is for a longer thesis. In these cases PGRs should consult their Supervisors on the usual length of theses in their subject area.

Standard monograph in Arts, Humanities and Social Sciences

• MPhil: 40,000
• PhD: 80,000

Thesis incorporating publications

• MPhil: 20,000
• PhD: 40,000

Thesis incorporating practice

• MPhil: 20,000
• PhD: 40,000

Permission to exceed these limits will be granted only after a consideration by the relevant Faculty Research Degree Committee. The application must set out the reasons why an extension is being sought and the nature of the additional material, and must be supported by the lead supervisor. Applications to exceed the limit of the length of the thesis must be approved before thesis submission planning (when the appointment of examiners is made).

There are few absolute requirements in the research degrees regulations as concerns the content and presentation of a thesis as these will be determined by the norms in the field/discipline. A research thesis may be written as a monograph or as a compendium of several academic papers, or in combination with a creative/practical component. Which type of thesis is appropriate will depend on the topic, norms in the field etc. and it is up to PGRs, in cooperation with supervisors, to decide the type of thesis. It is recommended that PGRs discuss plans early on in the research process and revisit them regularly throughout their registration.

Monograph

A monograph is a unified text describing a specialist topic in detail written by a single author. A PhD/MPhil thesis written as a monograph is structured into various chapters with an introduction and a conclusion.

Thesis incorporating practice

Practice-based inquiry (normally understood to be creative or professionally led research) may result in a submission presented by portfolio (creative or practical work) and thesis (exegesis). The creative or practical work (including, for example, but not limited to: the preparation of a scholarly edition, creative novel, artefacts, film, photography, design prototypes, technical samples, research-curation, multi-media designs, policy, broadcasts etc.) will be the research outcome, while the thesis may reflect on the research process and elaborate, elucidate and place in context the practice undertaken. The accompanying written thesis should be no more than 40,000 words.

The PGR should use the introductory section of their thesis to explain and justify in full the nature and extent of the PGR's own contribution and the contribution of co-authors and other collaborators to the research presented.

The PGR will demonstrate the link between their theoretical and practical investigations and conclusions throughout their submission.

In the case of collaborative work submitted for PhD, the specific individual contribution of each participant to be examined should be clearly indicated in the written submission. 

The portfolio and the thesis will not be examined separately but as an integrated whole constituting the original and substantial contribution to knowledge required for the award. Ordinarily and where practicable, the portfolio component should be submitted to the examiners at the same time as the written thesis. However, it may be necessary to appoint examiners earlier if any process or product is to be examined in advance of the written submission (such as performance or exhibition). In the event of a post-presentation discussion of an examined practical outcome, the examiners should confine their questions to points of clarification about the process leading to the outcome and issues concerning the practice itself, reserving more challenging conceptual questions for the final viva voce.

If necessary, the examiners can require the correction or revision and resubmission of either the portfolio element or the written element or both, in accordance with university regulations.

Thesis incorporating publications

A thesis may incorporate papers that have been published (or accepted for publication). This should not be confused with the PhD by Published Works award for which there are separate regulations and guidance.

PGRs who wish to include publications in their thesis should consult their supervisory team at an early stage in their studies to determine whether the proposed format is appropriate and realistic to their research degree project and discipline area. If a PGR elects to incorporate publications into their thesis, no formal approval beyond agreement with their supervisors is required.

Such theses will incorporate at least one paper published in a peer reviewed publication (or if the article is accepted but not yet published) which is presented in the final, accepted form with appropriate reference numbers (normally a DOI number) from the relevant publication. All items must have been produced during a PGR’s. MPhil/PhD registration. PGRs must obtain the relevant licence or permission to include the final accepted version of articles incorporated in theses, including upload of the thesis to the online LJMU E-Theses Collection. PGRs should use the final accepted version of the manuscript prior to any journal formatting etc. PGRs should conform to the university’s open access guidance.

Please note:
PGRs who have transferred partway through a research degree to LJMU from another institution may include work that was published whilst at the other institution, providing it was part of the same project.

A thesis incorporating publications must conform to the same standards expected for a monograph thesis, for example it must still represent a coherent body of related work, make an original contribution to the field of research, outline the relationship with existing literature and future developments and it must reflect the amount, originality and level of work expected for a conventional thesis.

If any of the articles is written in cooperation with others, PGRs must follow the rules and regulations concerning co-authorship. The PGR should normally be the first author of at least half the articles. A written statement from each co-author should be included, detailing the PGR’s and the co-authors’ contribution.

To clarify contributions where there are multiple authors, PGRs are encouraged to look at the guidance on Contributor Role Taxonomy (CRediT). 

Where two PGRs have worked on a collaborative paper together, both would be entitled to include the paper in their submission, as long as their individual contribution was clearly explained. Each collaborative paper that is incorporated into the thesis must be accompanied by a corresponding declaration which outlines the PGR’s specific contribution to it. Jointly authored material must be accompanied by a declaration from each co-author giving their permission for the paper to appear in the PGR’s thesis.

Each publication must be called a chapter and have an introductory section that explains how it links to preceding and following chapters. The PGR must argue for the cumulative effect of the papers in demonstrating their significant and original contribution to knowledge. It is at the discretion of the PGR and their supervisors, guided by practice within the appropriate academic discipline, to determine the appropriate number of publications to include in the thesis.

Accepted papers should be stylistically integrated into the thesis, matching typeface, margins, and pagination. References and appendices should be included as in the standard PhD thesis.

Please note:
Any delays or complications arising as a result of a PGR’s decision to present published materials in their thesis do not constitute grounds for extension or appeal.

All researchers must maintain the highest standards of academic integrity enshrined in the university Research Code of Practice.

Generative (AI) tools may support but they must not replace scholarship. Researchers must not become passive in their pursuit of knowledge.

Responsible use of generative (AI) tools should not diminish the credibility and reliability of academic knowledge and PGRs must adhere to the principles outlined here, by:

• being transparent – ensure that the use of generative (AI) tools is disclosed in research methodology and highlight any limitations or assumptions that are made when using them.
• understanding limitations – generative (AI) tools have limitations and biases. They must be used as a tool to augment, rather than replace, a PGR’s critical thinking and analysis.
• avoiding plagiarism – do not use generative (AI) tools to reproduce someone else's work or ideas for the purpose of presenting it as your own.
• verifying information – generative (AI) tools can produce plausible but inaccurate text and bibliographic citations. PGRs should verify any information that is presented, corroborate sources, and ensure credit is given to the cited author(s) of any ideas or content that is used.
• considering ethical implications – be aware of how generative (AI) tools can impact research participants.
• respecting individual’s rights – personal information must not be shared without the explicit consent by individuals and/or anonymising data.
• adhering to regulations - ensuring use of (AI) tools does not contravene any relevant data protection laws, institutional regulations or codes.

Upon successful completion of a research degree, PGRs must upload the final approved copy thesis online to the LJMU E-Theses Collection.

The LJMU E-Theses Collection is an electronic archive of research degree theses that have been accepted by Liverpool John Moores University. The collection holds the full text of all Liverpool John Moores University research degree theses submitted from September 2013 onwards.

In the interests of scholarship, all research degree theses are expected to be made publicly available as soon as possible following the award of a degree, for anyone to read, download, print, copy and reuse. The collection makes the valuable and original research being conducted within the University accessible to all and the University fully endorses the principles of open access.

Submission

All candidates must lodge an electronic copy of the final, approved version of their thesis in the LJMU E-Thesis Collection, within one month of the conferment of the award.

Third party clearance

Before submitting their electronic copy to the E-Theses Collection, candidates should ensure that they have permission to use any third-party material included in the thesis. Further information about how to seek permission, and what to do if permission is not obtained is available on the Library’s E-Theses Copyright webpages.

Restrictions

If PGRs need to restrict access to their thesis they can request an exemption on the E-Theses Access Declaration and Deposit Agreement Form. An exemption (or ‘embargo’) needs to be agreed by the supervisor. It is usually granted for a limited period of time but can be considered for renewal on request. PGRs still need to submit an electronic copy of their thesis but this will not be made public during the embargo.

Copyright

The rights granted to the LJMU E-Theses Collection when depositing the thesis are entirely non-exclusive and royalty free. PGRs are free to publish the thesis or future versions of the thesis elsewhere. The repository administrators or any third party with whom the repository has an agreement to do so may, without changing content, translate the work to any medium or format for the purpose of future preservation and accessibility. 

Further information on the conditions under which disclosure, publication and commercialisation of this thesis, the Copyright and any Intellectual Property and/or Reproductions described in it may take place is available on the E-Theses service webpage.

The university’s policy and guidance documents relating to the Electronic Thesis Collection can be found on the E-Theses service webpage.

PGRs should talk to their supervisor before completing and signing the e-thesis access and declaration form to establish whether there is likely to be a valid reason for restricting access to their thesis. PGRs should consult the Restricting Access site for information. This discussion should take account of the need to ensure that research is made available as soon as possible and consider the benefits of immediate publication.

Where an embargo is approved, an electronic copy of the thesis will still be required, but LJMU will not make it publicly available online in accordance with the terms of the agreement.

Disputes between PGRs and Supervisors regarding whether to embargo a thesis should be locally resolved wherever possible and referred to the Faculty Research Degrees Committee in the first instance.  If a local resolution cannot be agreed, the Doctoral Academy should be informed via PGRExaminations@ljmu.ac.uk for the matter to be considered by the University Research Degrees Committee.

PGRs should be aware that LJMU is subject to the Freedom Of Information Act 2000 (FOIA) and the Environmental Information Regulations 2004 (EIR) which gives a general right of access to all information held by the University, including theses, unless an exemption applies. Reasons for restricting access to a thesis should be compatible with the exemptions detailed by the FOIA and EIR.

Criteria for requesting an embargo

An embargo may be approved:

• If a thesis has been commercially sponsored, and a signed agreement is in place where the sponsor does not permit making it publicly available, whether for a limited period of time or permanently.  This will need to be indicated in the E-Thesis Access Declaration and Deposit Agreement form. 
• If the thesis contains material whose copyright belongs to a third party and the gaining of approval to publish the material electronically would be onerous or expensive; and the removal of the copyright material would compromise the thesis.  In this instance, two electronic versions of the thesis must be submitted:
• The full version, with all third-party copyright material retained (even if not third party copyright permission has not been obtained).
• An edited version, with any copyright material for which permission has not been granted or sought is removed.

The edited electronic version only will be made publicly available - the full version will not.

• If the thesis contains commercially sensitive information, the release of which might prejudice the commercial interests of any person including the author, the University or an external company.
• If the thesis includes material that was obtained under a promise of confidentiality.
• If the release of the thesis might endanger the physical or mental health or the safety of an individual.
• If publication would cause the author or third parties mentioned in the text to be open to legal challenge or racial, ethnic, political or other persecution.
• If the thesis is due for publication, either as a series of articles or as a monograph and the publisher does not allow prior publication of the thesis. Authors may check with journals in question whether a thesis in the repository would be counted as published.
• If the thesis contains the personal information of third parties which is restricted under the General Data Protection Regulation 2018 (GDPR) and Data Protection Act 2018.

PGRs should consult any sponsoring organisations that may hold intellectual property rights in a thesis.

If an embargo is required, this must be clearly indicated on the e-thesis access and declaration form, otherwise the thesis will be made publicly available.

Timescales

The maximum length of embargo normally permitted will be 12 months. Requests for embargoes must be accompanied by a rationale as to why they are required.  Relevant evidence available to support a request for an embargo, for example a copy of a contract or publishers’ letter, should be submitted as part of the rationale. Such requests will normally be endorsed by the Doctoral Academy if the Lead Supervisor has agreed the request.

Embargoes for a period of over 12 months and requests for permanent suppression will require approval from the relevant Faculty Research Degrees Committee and the Doctoral Academy. Relevant evidence available to support the request, for example a copy of a contract, should be submitted as part of the rationale. 

The University recognises that extensions to an approved embargo may be required from time to time.   It is the PGR’s responsibility to ensure that the request for an extension is made at least one month before the embargo expiry date.  Failure to submit a timely request may mean that the thesis is made publicly available once the embargo date expires.  Once a thesis under an embargo has been made public, a further embargo will only be applied in exceptional circumstances.

Requests for extensions beyond 1 year will not normally be approved unless there are very exceptional reasons. Examples of this may include contractual agreements requiring a longer embargo, or a potential threat to personal security.  Only one extension to an embargo will normally be permitted.

Requests should be made via the Extension to Embargo Request Form to the Doctoral Academy at the PGRExaminations@ljmu.ac.uk email and will require approval from the relevant Faculty Research Degrees Committee and the Doctoral Academy. Relevant evidence available to support a request for an extended embargo, for example a copy of a contract, should be submitted as part of the rationale.

The University recommends that PGRs apply a CC BY- NC licence when depositing the thesis. This is a Creative Commons Licence, which is one of a series of licences designed to encourage the creation of content that can be copied, distributed and re-used, without infringing the creator’s copyright. The CC BY-NC licence allows users to copy and redistribute the material in any medium or format. They may also create and distribute modified versions of the work. This is on the condition that: they credit the author and do not use it, or any derivative works, for a commercial purpose.

It is possible to select a different Creative Commons Licence when depositing the thesis and this must be indicated on the E-Thesis Access Declaration and Deposit Agreement form.

A Creative Commons Licence will not be applied to a thesis which is under permanent suppression.

Reuse licences and third-party content

Permission must be gained to reuse the third-party content in a thesis which will be deposited to an institutional repository. This permission might be granted by a licence on the third-party content: for example, if the third-party work itself uses a CC BY licence it can be reproduced if it is correctly attributed.  

If the thesis contains third-party content, which the PGR has received permission to use, a Creative Commons licence can be applied to the thesis, but the third-party content must be clearly marked within the thesis and the terms of use for this content indicated. 

Example

“The photo X is © 2009 Jane Park, used under a Creative Commons Attribution-Non-commercial licence: http://creativecommons.org/licenses/by-nc/3.0/.”

Certificates will not be issued until the PGR has successfully uploaded an electronic copy of their final thesis, and any associated embargo requests have been approved.

Any delay in the submission of the electronic copy of the final thesis will delay the release of the degree certificate.

Degree certificates are issued by Registry Services.