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Submission of Theses

A booklet entitled Thesis Preparation and Thesis Examination Regulations is available in the Thesis Office. It is also available online. A thesis may be submitted to the Thesis Office in the School of Graduate Studies (2145 Mackay Street, main floor) at any time, but if a candidate intends to graduate at a particular graduation, it must be submitted before the deadlines set out in the Academic Calendar each year. The official submission of the thesis to the Thesis Office begins the formal examination process.

Supervisor’s Approval

The student’s supervisor should approve the thesis for formal examination before the initial formal submission to the Thesis Office. The Graduate Program Director and the Dean of Graduate Studies may be required to arbitrate in a case where the student and supervisor cannot reach an agreement on the readiness of the thesis for submission. Although it is not recommended, the student maintains the right to defend his or her thesis without the supervisor’s approval.

Some programs require earlier deadlines than the Thesis Office in order to allow time for approval by the student’s supervisor. Students should check with their programs to inform themselves of earlier deadlines.

Thesis Formats

When the student submits the thesis to the Thesis Office, it must be in its final version and ready for formal evaluation. The Thesis Office checks the format to ensure that it meets the regulations as set forth below, and forwards the thesis copies with the examiners’ evaluation forms to the student’s program so that the thesis defence can be scheduled.

Non-Thesis Formats

A number of programs require their students to submit a Research Paper, Major Report, Internship Report, etc. to the Thesis Office to be bound. Any document approved to be bound by the Thesis Office should conform to the same requirements as outlined in the Thesis Preparation and Thesis Examination Regulations and include a Title Page, Signature Page, Abstract, Table of Contents, etc. Students should submit such documents to the Thesis Office at least two weeks before the final deadline (April 15 for Spring graduation; September 15 for Fall graduation). This will ensure that the student has sufficient time to make any required format changes.

Manuscript-Based Thesis

As an alternative to the traditional thesis format, a thesis can consist of a collection of papers that have a cohesive, unitary character making them a report of a single program of research. The structure for a manuscript-based thesis must conform to the following:

1. Candidates have the option of including, as part of the thesis, the text of one or more papers submitted, or to be submitted, for publication, or the clearly-duplicated text (not the reprints) of one or more published papers. These texts must conform to the Thesis Preparation and Thesis Examination Regulations with respect to font size, line spacing and margin sizes and must be bound together as an integral part of the thesis. (Reprints of published papers can be included in the appendices at the end of the thesis).
2. The thesis must be more than a collection of manuscripts. All components must be integrated into a cohesive unit with a logical progression from one chapter to the next. In order to ensure that the thesis has continuity, connecting texts that provide logical bridges between the different papers are mandatory.
3. The thesis must conform to all other requirements of the Thesis Preparation and Thesis Examination Regulations in addition to the manuscripts. The thesis must include the following: a table of contents; an abstract; an introduction which clearly states the rationale and objectives of the research, a comprehensive review of the literature (in addition to that covered in the introduction to each paper); a final conclusion and summary; and, rather than individual reference lists after each chapter or paper, one comprehensive bibliography or reference list, at the end of the thesis, after the final conclusion and summary.
4. As manuscripts for publication are frequently very concise documents, where appropriate, additional material must be provided (e.g., in appendices) in sufficient detail to allow a clear and precise judgment to be made of the importance and originality of the research reported in the thesis.
5. In general, when co-authored papers are included in a thesis, the candidate must have made a substantial contribution to all papers included in the thesis. In addition, the candidate is required to make an explicit statement in the thesis as to who contributed to such work and to what extent. This statement should appear in a single section entitled “Contributions of Authors” as a preface to the thesis. The supervisor must attest to the accuracy of this statement at the defence. The supervisor must also complete a form provided by the Thesis Office for this purpose. Since the task of the examiners is made more difficult in these cases, it is in the candidate’s interest to clearly specify the responsibilities of all the authors of the co-authored papers.
6. When previously published copyright material is presented in a thesis, the candidate must obtain, if necessary, signed waivers from the co-authors and publishers and submit these to the Thesis Office with the final deposition.
7. If at the oral defence the examiners decide that the thesis has major omissions with regard to the above guidelines, the candidate may be required to resubmit an amended version of the thesis.
8. In no case can a co-author of any component of such a thesis serve as an examiner for that thesis.

Theses written in French. Students who intend to submit their thesis in French should make this clear when the thesis topic is originally submitted to their supervisor for approval.

Theses written in a Language other than English or French. If a student wishes to submit the thesis in a language other than English or French, the thesis supervisor should make a recommendation to this effect to the graduate committee when the thesis topic is submitted for approval. Upon approval of the recommendation, the Thesis Office should also be notified.

Number of Copies for a Doctoral Thesis. Students submit 3 copies to the Thesis Office; students in the Special Individualized Program submit 4 copies (for the student’s external examiner(s), external-to-program examiner and chair of the exam). Copies for all other examiners are submitted to the student’s graduate program assistant. After graduation, four of these copies will be bound. These copies must be bound at the Concordia Digital Store for which the student pays the whole cost. Two will be deposited in the University Library, one given to the student’s department and one to the thesis supervisor.

Number of Copies for a Master’s Thesis. 1 copy of the thesis must be to the Thesis Office for format approval. Copies for all other examiners are submitted to the student’s graduate program assistant. After graduation, three copies of the thesis will be bound. These copies must be bound at the Concordia Digital Store for which the student pays the whole cost. Two copies will be deposited in the University Library and one will be given to the student’s department or Faculty.

Thesis-equivalent Material. If a thesis or thesis-equivalent consists in whole or in part of non-typescript material (film, slides, etc.), two copies of such non-typescript material must be submitted. In the case of the thesis-equivalent in Educational Technology, the student pays for the master videotape while the University supplies the viewing tape. The viewing videotape is erased after twelve months. The master tape forms a part of the library’s permanent collection. For all non-conventional theses as described above, all typescript material must be submitted in three copies in the case of a master’s thesis or six copies in the case of a doctoral thesis.

Scholarly Conventions. Theses shall be prepared in accordance with the conventions governing the presentation and citation of scholarly work, as articulated in any of the following manuals: R.M. Wiles, Scholarly Reporting in the Humanities, 4^th edition (Toronto: University of Toronto Press for the Humanities Research Council of Canada, 1972); K.L. Turabian, A Manual for Writers of Term Papers, Theses, and Dissertations, 6^th edition (Chicago: University of Chicago Press, 1996); The MLA Handbook for Writers of Research Papers, Modern Language Association, 5^th edition, New York, 1999; Publication Manual of the American Psychological Association, 5^th edition, American Psychological Association, Washington, D.C., 2001; L. Fieser, Style-Guide for Chemists (New York, 1960); AIP Style Manual for Physicists, 4^th edition, (New York: The American Institute of Physics, 1990); A Manual for Authors of Mathematical Papers, 5^th edition, (Providence, Rhode Island: American Mathematical Society, 1973).

Page Format. The thesis must be submitted on letter-size paper, 8.5 x 11 inches. It must be double-spaced, in a standard type face, with a 1.5 inch (3.81 cm) left-hand margin and a 1 inch (2.54 cm) margin at the top, bottom and right. Please note that charts, tables, figures, appendices, references, and all other pages must conform to the required technical regulations.

Paper Quality. All copies submitted must be clear and dark and the typescript must be even, and maintain stipulated margins. Final copies of the thesis must be clean, on good quality cotton or linen content bond paper with watermark, minimum 20 lbs, paper of good quality. It is not necessary to submit the original copy.

Page Numbering. Pages must be numbered consecutively, as must be chapters, sections, etc., in accordance with the above-mentioned style manuals, or with standard conventions used in technical work. Consistency in numbering must be maintained throughout the work (including Appendices).

Typographical Corrections. The thesis must be free from typographical errors. Corrections made in ink are not acceptable; nor is the use of opaquing fluid.

Boxes. The printed copy of the thesis should be submitted in a thesis box (available at the Bookstore) which should be labelled with the student’s name, degree and program.

Technical, Scientific and Non-standard Theses. If students who find it necessary to depart from the form described in the above-mentioned style manuals, the format used must conform to standard usage in their field, and be acceptable to the supervisor. See specific rules as outlined in the Thesis Preparation and Thesis Examination Regulations.

Title and Signature Pages. A standard title page and signature page must be included, prepared in accordance with the examples set out in the Thesis Preparation and Thesis Examination Regulations.

Doctoral Thesis Abstract. Each copy of the thesis must be accompanied by an abstract, with the title Abstract, name of author, title of thesis, the degree sought, Concordia University, and a summary not exceeding 350 words. The abstract should precede the Table of Contents. Please refer to the Thesis Preparation and Thesis Examination Regulations for a sample.

Master’s Thesis Abstract. Each copy of the thesis must be accompanied by an abstract, typed on a separate single sheet, with the title Abstract, name of the author, title of the thesis, and a summary not exceeding 250 words. The abstract should precede the Table of Contents. Please refer to the Thesis Preparation and Thesis Examination Regulations for a sample.

Lay Abstract. All students are required to submit a lay version of their abstract to the Thesis Office by the final submission deadline. While not part of the formal thesis (i.e. it will not be included in the bound thesis), the lay abstract will be entered in the thesis database. The lay abstract should be written in plain language that is comprehensible to any interested nonspecialist in the field of study.

English and French Abstracts. In the case of theses written in a language other than English or French, a brief summary of the contents of the thesis, written in English or French, should be included with the abstract, this summary not to exceed 400 words.

Any deviations from the stated requirements must have the prior approval of the Dean of Graduate Studies. Theses which do not meet the outlined specifications will be returned for correction, with consequent delay in the granting of the degree. The Thesis Office is open throughout the year for consultation regarding thesis format. Students may also wish to consult the Thesis Preparation and Examination Regulations.
Note: Students are advised not to follow the format of theses written in previous years since these do not necessarily meet the current standards.

Examination of Theses

Doctoral Theses

The doctoral thesis examination is the culmination of the candidates’ research program. It exposes their work to scholarly criticism by members of the University, and gives students the opportunity to defend it.

When candidates give notice of their readiness to submit the thesis for examination and make the initial formal submission to the Thesis Office, the Graduate Studies Committee of the candidate’s program appoints an Examining Committee in consultation with the thesis supervisor. The Graduate Program Director forwards a doctoral examination form to the Thesis Office. This form lists the members of the Examining Committee, the name and address of the external examiner and the preferred date and time for the oral examination. A copy of the external examiner’s C.V. must also be attached. In the John Molson School of Business and the Faculty of Engineering and Computer Science, the Graduate Studies Committee is a Faculty committee. The doctoral examination form for students in the Faculty of Engineering and Computer Science must be approved by the Faculty Associate Dean prior to being sent to the Thesis Office. In the Faculties of Arts and Science and Fine Arts, this committee is departmental. The Special Individualized Programs are administered by the School of Graduate Studies.

The Examining Committee consists of at least five members, of whom at least one must be from a department or program within the university other than the candidate’s (external-to-program examiner), and one from outside the University (external examiner). The candidate’s supervisor is a member of the Examining Committee.

Any member of the Examining Committee who cannot attend the defence must submit a written report on the thesis with questions to be raised on the thesis to the Dean of Graduate Studies at least two weeks before the defence. The Graduate Studies Committee will then appoint a delegate to raise these questions at the examination. The proxy examiner will assume the role of the absent member of the Examining Committee.

The student’s program is responsible for verifying that the proposed date of examination is agreeable to all examiners prior to submitting the doctoral thesis examination form. When the copies of the thesis are submitted to the Thesis Office, one remains on deposit in the School of Graduate Studies, where it is available for examination by any member of the University from the date of submission until one week before the thesis defence. The thesis and the approved examination form should be submitted a minimum of six weeks prior to the expected date of defence to allow the thesis to be in the hands of the external examiners at least one month before they are required to submit a report to the Dean of Graduate Studies.

The Thesis Office announces the upcoming examination by a notice which is posted at the School of Graduate Studies website. Questions on a thesis by members of the University, other than those on the Examining Committee, must be submitted in writing to the Dean of Graduate Studies no later than one week before the thesis defence. The thesis defence is an oral examination conducted by a chair who shall be the Dean of Graduate Studies or a Pro-Dean, selected from a relevant discipline. Any member of the University is free to attend the oral examination.

The candidate first presents the thesis orally with whatever aids are required to make an effective presentation. The candidate is then questioned on the thesis.

The chair will give priority to questions from members of the Examining Committee. Any member of the University who has submitted written criticism may be recognized by the Chair. The chair adjourns the examination when the Examining Committee decides that further questioning is unnecessary.

The chair presides over the Examining Committee during its deliberations in camera, but takes no part in the decision. The decision of the Examining Committee is based both on the thesis and on the candidate’s ability to defend it. It is the responsibility of the chair to see that a report on the examination is prepared before the committee adjourns. This report will be made on a report form provided for this purpose, and will carry the signatures of all members of the Examining Committee, including the delegates of absent members. The written reports of absent readers, and of members of the Examining Committee who dissent from its decision, must accompany it. Where the chair has been a Pro-Dean, the chair’s final responsibility is to report to the Dean of Graduate Studies on the conduct of the examination.

Four decisions are open to the Examining Committee, voting to be based on a simple majority. The thesis can be accepted as submitted, accepted with minor modifications, accepted with major modifications, or rejected. Minor modifications are defined as corrections which can be made immediately to the satisfaction of the supervisor. When a thesis is accepted with major modifications, a precise description of the modifications must be included in the Examining Committee’s report along with a date for their completion. It is then the responsibility of the candidate’s supervisor to demonstrate to the Examining Committee that the required modifications have been made. It is not necessary to reconvene the committee. The candidate’s supervisor should inform the Thesis Office in writing that the modifications have been approved. When the thesis has been rejected, the candidate may not resubmit the thesis for six months from the date of the original defence. A rejected thesis may be submitted, in revised form, only once.

If the Examining Committee is not prepared to reach a decision concerning the thesis at the time of the thesis defence, it is the responsibility of its chair to determine what additional information is required by the committee to reach a decision, to arrange to obtain this information for the committee, and to call another meeting of the committee as soon as the required information is available. It is also the chair’s responsibility to inform the candidate that the decision is pending. The candidate is not normally required to be present at the second meeting of the Examining Committee.

On the basis of the Examining Committee’s report and its own records of the candidate’s progress in their assigned program of study, the Graduate Studies Committee decides whether the candidate has fulfilled the requirements of the doctoral degree. If its decision is yes, the committee requests that the Dean of Graduate Studies recommends to the Council of the School of Graduate Studies that the degree be awarded. If the Dean has any reason to feel that the acceptance of the thesis is open to dispute, the matter may be brought before the Council of the School of Graduate Studies. When the recommendation for the award of the doctoral degree has been made to Senate, the thesis is bound and two copies are deposited in the library, one is deposited in the department and one is sent to the supervisor.

Master’s Theses

When candidates give notice of their readiness to submit the thesis for examination and make the initial formal submission to the Thesis Office, the Graduate Studies Committee of the program in which the candidate is enrolled appoints an Examining Committee in consultation with the thesis supervisor. The Examining Committee consists of a minimum of three, and a maximum of five, members. The candidate’s supervisor is a member of the Examining Committee. In programs where there is a thesis supervisory committee, any or all members may be named as members of the Examining Committee, subject to the policy of the program concerned. SIP students must have one external examiner on their committee. Students in the MASc programs in Engineering must have an examiner from outside their department.

The defence normally shall be scheduled within a period of no fewer than two, and no more than five, weeks from the submission of the thesis. The parties concerned may agree upon a postponement.

The Examining Committee, and the thesis defence examination, will be chaired by a person appointed by the program Graduate Studies Committee. The chair will act as a neutral person. Each member of the Examining Committee must submit a written report on the thesis to the chair before the defence. Any member of the University is free to attend a master’s oral thesis defence. The chair will give priority to questions from members of the Examining Committee. Only members of the faculty of the University may be recognized by the chair. The chair adjourns the examination when the Examining Committee decides that further questioning is unnecessary. The deliberations of the Examining Committee are held in camera, that is to say, only appointed members of the committee are present. It is the responsibility of the chair to see that a report on the examination is prepared before the committee adjourns. The examiner’s evaluation forms and the examination report must be signed and returned to the Thesis Office.

Four decisions are open to the Examining Committee, voting to be based on a simple majority. The thesis can be accepted as submitted, accepted with minor modifications, accepted with major modifications, or rejected. Minor modifications are defined as corrections which can be made immediately to the satisfaction of the supervisor. Major modifications are defined as corrections requiring further research, or structural changes, or other substantive revision. When a thesis is accepted with major modifications, a precise description of the modifications must be included in the Examining Committee’s report along with a date for their completion. It is then the responsibility of the candidate’s supervisor to demonstrate to the Examining Committee that the required modifications have been made. The candidate’s supervisor should inform the Thesis Office in writing that the modifications have been approved.

If the Examining Committee is not prepared to reach a decision concerning the thesis at the time of the thesis defence, it is the responsibility of the chair to determine what additional information is required by the committee to reach a decision, to arrange to obtain this information for the committee, and to call another meeting of the committee as soon as the required information is available. It is also the chair’s responsibility to inform the candidate that the decision is pending.

Graduating Students

Graduating students must submit 1 copy of their thesis in its final format (i.e., all modifications completed) to the Thesis Office by April 15 for Spring convocation or by September 15 for Fall convocation. Students should check with their program to inform themselves of earlier deadlines that may be set by the program. The student’s program or department is responsible for ensuring that the examiner evaluation forms, the examination report and the completed signature sheets are forwarded to the Thesis Office by the above dates.

Re-submission of Theses

A thesis given a final grade of Rejected may be submitted only one more time in revised form, after an interval of six months or more from the date of the original defence. Formal re-submission of a thesis follows the same procedure as an initial submission.

Microfilming

At the time of submission of a thesis, students are requested to complete a permission to microfilm form as part of their graduate requirements. This gives consent for the thesis to be microfilmed by the Library & Archives Canada.

Dissertation Abstracts International

All doctoral students’ abstracts are printed in Dissertation Abstracts International.

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