example of thesis by publication

Graduate Research Hub

• Preparing my thesis
• Incorporating your published work in your thesis
• Examples of thesis and chapter formats when including publications

The following examples are acceptable ways of formatting your thesis and chapters when including one or more publications.

Essential requirements

All theses with publications must have the following:

• Declaration
• Preface – noting collaborations, and contributions to authorship
• Acknowledgements
• Table of contents
• List of tables, figures & illustrations
• Main text/chapters
• Bibliography or list of references

Main text examples

• Chapter 1: Introduction
• Chapter 2: Literature review
• Chapter 3: Methods
• Chapter 4: Paper 1 & general discussion
• Chapter 5: Paper 2
• Chapter 6: Regular thesis chapter – results
• Chapter 7 : Regular thesis chapter/general discussion tying in published and unpublished work
• Chapter 8: Conclusion
• Appendices - May include CD, DVD or other material, also reviews & methods papers
• Chapter 2: Methods
• Chapter 3: Paper 1
• Chapter 4: Regular thesis chapter
• Chapter 6: Regular thesis chapter, final preliminary study
• Chapter 7: General discussion
• Chapter 5: Regular thesis chapter
• Chapter 6: Regular thesis chapter
• Chapter 7: Regular thesis chapter, final preliminary study
• Chapter 8: General discussion
• Chapter 4: Paper 2 - e.g. data paper, including meta analyses
• Chapter 5: Paper 3
• Chapter 6: Paper 4
• Chapter 7: Paper 5
• Chapter 3: Major paper
• Chapter 4: Normal thesis chapter, final preliminary study
• Chapter 5: General discussion

Chapter examples

• Introduction – including specific aims and hypotheses
• Introduction – including specific aims, hypotheses
• Methods – results (including validation, preliminary) not included in the paper
• Results (including validation, preliminary) not included in paper
• Discussion – expansion of paper discussion, further method development
• Resources for candidates
• Orientation and induction
• Mapping my degree
• Principles for infrastructure support
• Peer activities
• Change my commencement date
• Meeting expectations
• Working with my supervisors
• Responsible Research & Research Integrity
• Guidelines for external supervisors
• Pre-confirmation
• Confirmation
• At risk of unsatisfactory progress
• Unsatisfactory progress
• Add or drop coursework subjects
• Apply for leave
• Return from leave
• Apply for Study Away
• Return from Study Away
• Change my study rate
• Check my candidature status
• Change my current supervisors
• Request an evidence of enrolment or evidence of qualification statement
• Change my project details
• Change department
• Transfer to another graduate research degree
• Late submission
• Withdraw from my research degree
• Check the status of a request
• Re-enrolment
• Advice on requesting changes
• Extension of candidature
• Lapse candidature
• How to cancel a form in my.unimelb
• Resolving issues
• Taking leave
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Adelaide Graduate Research School

Including Publications In Your Thesis

All students are encouraged to publish their research during candidature.

Publications both give you an advantage for future employment, and show your examiners that your research has been accepted through a peer review process already. It is very important that you read the  guidelines for including publications   and the associated  FAQs   to ensure that you are including a publication appropriately and consult with your supervisor regarding the structure of your thesis. You will also need the  Statement of Authorship   form for all publications you include. You can view an  example statement of authorship  .

Of course you are not required to include publications in your thesis, you can choose to submit a conventional thesis, a combination thesis with some publications and work written specifically for the thesis, or a thesis with a major work. Descriptions of the different thesis types are in the 'Thesis' section of the  Research Student Handbook .

How do I format my thesis when including publications?

In the Specifications for Thesis you will find the essential components of a thesis in clause 3.3.  It is always important that those parts are included.  How to structure ‘the main body of work’ will depend on your publications, how many you are including and what additional information you need to include to ensure your reader (examiner) has a comprehensive understanding of your research.

The main challenges of including publications in a thesis are:

• Maintaining flow of the thesis
• Adding information to your thesis that was not possible in the publication due to style or word limits for so the research presented is complete

Note that thesis is no specific requirement for the number of publications that should be included in a thesis.  This will depend on factors such as discipline norms, depth/length of publications, student contribution to publications etc.

Example thesis formats

Please use these as a guide only as suggested ways a thesis could be formatted, other formats will be accepted as long as they meet the Specifications for Thesis requirements.

Example 1 - Thesis by publication

Chapter 1: Introduction

Chapter 2: Literature Review

Chapter 3: Materials and Methods

Chapter 4: Statement of Authorship and Publication 1

Chapter 5: Statement of Authorship and Publication 2

Chapter 6: Statement of Authorship and Publication 3

Chapter 7: Statement of Authorship and Publication 4

Chapter 8: Statement of Authorship and Publication 5

Chapter 9: Discussion and Conclusions

Example 2 - Combination Thesis

Chapter 2: Materials and Methods

Chapter 3: Statement of Authorship and Publication 1 (Literature Review)

Chapter 4: Regular thesis chapter

Chapter 6: Regular thesis chapter

Chapter 7: Statement of Authorship and Publication 3

Chapter 8: General Discussion

Example 3 - Combination Thesis

Chapter 5: Regular thesis chapter

Chapter 7: Regular thesis chapter

Example 4 - Combination Thesis

Chapter 1: Introduction including literature review

Chapter 4: Statement of Authorship and Publication – large

Publication chapter formats

When you have additional information that should be included in addition to your publication.

Example 1 - Publication with introduction

• Statement of Authorship
• Introduction – including specific aims and hypotheses
• Publication 1

Example 2 - Publication with additional information

• Introduction – including specific aims, hypotheses
• Methods – results (including validation, preliminary) not included in the paper
• Results (including validation, preliminary) not included in paper
• Publication
• Discussion – expansion of paper discussion

Example University of Adelaide theses including publications

The following theses have incorporated publications well.  As you will see there, other than ensuring that you have met the requirements of the Specifications for Thesis, is no set format or style that must be used.

Law, Cheryl Suwen (2019) Advanced Engineering of Nanoporous Anodic Alumina Photonic Crystals for Optical Sensing Applications   http://hdl.handle.net/2440/119957

Feenstra, John Erik (2018)  Modelling the population and catchability of the southern rock lobster (Jasus edwardsii) in South Australia and Victoria using commercial fisheries catch rate data http://hdl.handle.net/2440/118088

Health and Medical Sciences

Amare, Azmeraw Tayelgn (2018) Genetic predictors of response to pharmacotherapy in patients with mood disorders: steps on the path to personalised psychiatry http://hdl.handle.net/2440/118191

Giezenaar, Caroline Gerda Thea (2018) Gastrointestinal mechanisms in the ‘anorexia of ageing’ – effects of dietary protein http://hdl.handle.net/2440/123238

Professions

Edjigu, Habtamu Tesfaye (2019) Essays on international trade and firm performance http://hdl.handle.net/2440/119402

Haque, Qazi G M Ziaul (2018)  Bayesian estimation of monetary DSGE models and testing for indeterminacy    http://hdl.handle.net/2440/114258

Aubert, Matthew Kevern (2018) Molecular and genetic characterisation of early aleurone development in barley (Hordeum vulgare L.) http://hdl.handle.net/2440/120200

Badger, Skye Michelle (2019) Quality of evidence used for the management of antimicrobial resistance in Australian animals http://hdl.handle.net/2440/122582

Other examples are available in the University Library: https://digital.library.adelaide.edu.au/  

Select Theses and do a key word search.

Thesis by Publication

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This post is partially based on guidelines from the University of Western Australia, see: http://www.postgraduate.uwa.edu.au/__data/assets/pdf_file/0006/2930217/ThesisByPapers_160916.pdf

While there’s no worldwide agreement on PhD or Master’s thesis format, increasing pressure to publish is resulting in a move in Australia towards submitting theses as a series of papers (otherwise known as a thesis by publication). Although there is substantial variation in how a thesis by publication should be formatted (you should check your university’s current policy), here we summarise a typical approach, along with some potential benefits of and considerations when choosing this method of completing your PhD thesis .

How should I format my thesis?

Some universities in Australia have specific guidelines that stipulate that a thesis by publication needs to contain a set amount of published work. However, typically, students have the freedom to format their thesis in whatever way is most appropriate for their project and discipline. This may be as a traditional monograph, a series of papers suitable for publication (either a research article in a scholarly journal, which is typical for those in STEM research, or a conference paper or book chapter, which might be more relevant for those in HASS disciplines) or a combination of more traditional research chapters and papers. You should discuss with your supervisors early in your candidature what the most appropriate model is for presenting your PhD thesis, and how many publications are typically expected in your discipline.

Advantages of a thesis by publication

There are a number of advantages to writing your thesis as a series of papers. First, submitting your thesis as a series of already published work usually reduces the time required at the end of your candidature to compile your thesis. A thesis that consists of a series of publications may require some minor formatting changes for consistency, but otherwise you can typically present the papers as they were published. The thesis by publication will also require a substantial literature review in the introduction and a discussion chapter at the end to link the separate papers into a cohesive narrative and to place the papers in the context of the established body of knowledge. Of course, the ease with which this can be done depends on the nature of the papers to be linked; however, for the most part, the hard work has already been done (although this is not to diminish the extra work publishing requires!).

Second, submitting your thesis as a series of papers is efficient if the ultimate goal is to publish. Rather than writing the thesis and then revising this work and separately writing papers for publication, the papers are written and then reproduced in your thesis. 

A third advantage is the increased mentoring and advice received through the peer-review process, which is excellent for your development as a researcher. Preparing manuscripts for publication generally requires substantial feedback from supervisors, and the peer-review process, while arduous at the time, is a great opportunity to hone your research and writing skills, and will greatly improve the quality of each subsequent paper. A thesis by publication also has the benefit of providing direct evidence to examiners that your work is of publishable standard, which is one of the thesis examination criteria.

Finally, publishing work prior to submitting your thesis offers advantages to career progression. It provides the means to create a track record of publications during candidature, which is often required for competitive post-doctoral applications.

Is a thesis by publication right for me?

While there are numerous advantages to producing a thesis as a series of papers, some factors need to be considered. First, not all projects divide well into publishable papers. Research consisting of one main study and an extended data collection period, for example, may be better suited to a more traditionally formatted thesis. Another consideration is that examiners may not be familiar with the thesis by publication format. This may be particularly true in the HASS disciplines. In this case, make sure to determine what the rules of your university are and, if permitted by your university, indicate this in your thesis introduction.

Possibly the main consideration though is that the peer-review process is time-consuming (see a Nature feature article about this topic last year (2016), Does it take too long to publish research? ), and it may be difficult to get all papers published prior to thesis submission. Although not all papers need to be published, most theses by publication should contain at least one published paper. Hence, the time-consuming process of waiting for feedback on submitted papers and the time taken to undertake sometimes major revisions is a sacrifice. In addition, despite one’s best efforts, journals may not publish a paper even though the research presented is high quality. For example, in the sciences, null results can be difficult to publish (although hopefully the tide will begin to change on this, which would save researchers some serious time; see Why it's time to publish research “failures” ). While previously, it was expected that a thesis by publication could only include published papers, many universities have updated their policies to reflect a more flexible format. Most theses by publication can now consist of work that is published, submitted for publication or in preparation for submission. So, in this case, papers that are difficult to publish can still be incorporated into a thesis and presented as manuscripts.

Ultimately, in the words of Professor David Pannell at UWA (see Prose, psychopaths and persistence: Personal perspectives on publishing) , publishing in peer-reviewed journals requires, ‘fortitude, resilience and persistence’. Of course, it is the very nature of withstanding these knockbacks and the time-consuming revisions that are involved in the process of producing a thesis by publication that can both prepare you for future post-doctoral positions, and result in an outstanding thesis.

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Publishing a Master’s Thesis: A Guide for Novice Authors

Robert g. resta.

1 Swedish Cancer Institute, Swedish Medical Center, Seattle, WA USA

Patricia McCarthy Veach

2 Department of Educational Psychology, University of Minnesota, Minneapolis, MN USA

Sarah Charles

3 Jefferson Kimmel Cancer Center, Thomas Jefferson University Hospital, Philadelphia, PA USA

Kristen Vogel

4 Center for Medical Genetics, NorthShore University HealthSystem, Evanston, IL USA

Terri Blase

5 Department of Maternal Fetal Medicine, Advocate Christ Medical Center, Oak Lawn, IL USA

Christina G. S. Palmer

6 Department of Psychiatry & Biobehavioral Sciences, UCLA, Los Angeles, CA USA

7 Department of Human Genetics, UCLA, Los Angeles, CA USA

8 UCLA Semel Institute, 760 Westwood Plaza, Room 47-422, Los Angeles, CA 90095 USA

Publication of original research, clinical experiences, and critical reviews of literature are vital to the growth of the genetic counseling field, delivery of genetic counseling services, and professional development of genetic counselors. Busy clinical schedules, lack of time and funding, and training that emphasizes clinical skills over research skills may make it difficult for new genetic counselors to turn their thesis projects into publications. This paper summarizes and elaborates upon a presentation aimed at de-mystifying the publishing process given at the 2008 National Society of Genetic Counselors Annual Education Conference. Specific topics include familiarizing prospective authors, particularly genetic counseling students, with the basics of the publication process and related ethical considerations. Former students’ experiences with publishing master’s theses also are described in hopes of encouraging new genetic counselors to submit for publication papers based on their thesis projects.

Introduction

Scholarship is important for growth of a profession and for clinical care. For these reasons, the American Board of Genetic Counseling (ABGC) endorses scholarly activities through Practice Based Competency IV.5 (American Board of Genetic Counseling 2009 ). Boyer ( 1990 ) describes four types of scholarship (Scholarship of Discovery, Scholarship of Integration, Scholarship of Application, and Scholarship of Teaching), all of which are endorsed by ABGC and required of accredited genetic counseling training programs. The first three types of scholarship, which involve generating new knowledge or applying existing knowledge to an important problem, are the basis of the ABGC’s requirement that students in accredited programs engage in scholarship and complete a scholarly product. The ABGC defines a scholarly product to include: a master’s thesis, an independent research project, a literature review/case report, a formal needs assessment, design and implementation of an innovative patient, professional, or community educational program, and/or preparation of a grant proposal.

The purpose of this article is to encourage students to disseminate their scholarly work (except grant proposals) through a journal publication. This article was developed from an Educational Breakout Session (EBS) at the 2008 National Society of Genetic Counselors (NSGC) Annual Education Conference and draws upon the experiences of a past editor and current assistant editor of the Journal of Genetic Counseling ( JOGC ), a student mentor, and recent genetic counseling graduates who successfully turned their student thesis projects into peer-reviewed publications.

Engaging in scholarship is important for increasing genetic counselors’ self-knowledge, but dissemination of scholarship is essential for the growth of the genetic counseling field. McGaghie and Webster ( 2009 ) identify a wide range of types of scholarly products that promote broad dissemination of information, including peer-reviewed journal articles (e.g., original research, case reports, review articles), book chapters, books or monographs, edited books, essays, editorials, book reviews, letters, conference reports, educational materials, reports of teaching practices, curriculum description, videos, simulations, simulators, and web-based tutorials. As evidence of the importance of disseminating scholarship to the field of genetic counseling, dissemination of scholarly products is actively promoted by the NSGC, the major professional organization for the genetic counseling profession. A prominent example of NSGC’s commitment to dissemination is the JOGC , a professional journal devoted to disseminating peer-reviewed information relevant to the practice of genetic counseling. The success of this journal over nearly two decades is a strong indicator of the value genetic counselors place on publishing journal articles as an essential product of scholarship.

Individuals who have completed a master’s thesis or equivalent should consider publication. This “call to publish” student work is based on evidence that a large proportion of students engage in a scholarly activity with publication potential. A recent survey of 531 genetic counselors suggests that 75% of respondents fulfilled their scholarly activity requirement via a master’s thesis (Clark et al. 2006 ). Among this group, 21% classified their thesis as “hypothesis driven” and 20% classified it as a “descriptive study.” Although the research may be relatively small scale given the time and resource constraints of short training programs (≤2 years), it nonetheless offers a rich and varied source of information about the practice of genetic counseling that could be shared with the broader community through publication. Yet Clark et al. ( 2006 ) found that only 21.6% of respondents who completed a master’s thesis had submitted a manuscript for publication in a peer-reviewed journal. It appears that many students do not submit their research for professional publication, perhaps due to a combination of time constraints, lack of mentoring and support, unfamiliarity with the publication process, lack of professional confidence, and fear of rejection (Clark et al. 2006 ; Cohen et al. 2008 ; Driscoll and Driscoll 2002 ; Keen 2006 ). Because this is one aspect of scholarship that has received limited attention, guidance regarding the details and vicissitudes of the publication process, and acknowledgement that master’s theses can be successfully published, are needed.

Of course, one might question why students should or would publish the results of their graduate work. The answer is complex, without a “one size fits all,” because scholarship can be intrinsically and/or extrinsically motivated. McGaghie and Webster ( 2009 ) describe intrinsic motives as including sharing knowledge, career advancement, status improvement, collegial approval, personal pleasure, and response to challenge; extrinsic motives include academic pressure, commitment to patient care, practice improvement, and promoting the use of new technologies. Although the reasons genetic counselors publish articles have not been empirically evaluated, Clark et al. ( 2006 ) (i) concluded that a substantial number of genetic counselors consider active involvement in research (a form of scholarship and precursor to publication) to be a core role, and (ii) found that respondents endorsed a range of intrinsic and extrinsic motives for their involvement in research. These reasons included interest in the subject, contributing to the field, personal development/satisfaction, diversifying job responsibilities, job requirements, lack of existing research on a particular topic, and career advancement. It is reasonable to infer that these reasons would extend to publication as well.

The work that culminates in a master’s thesis provides the basis for a professional journal article. However, writing a professional journal article differs from writing a master’s thesis. This article, therefore, provides practical ideas and considerations about the process for developing a master’s thesis into a peer-reviewed journal article and describes successful case examples. Research and publication occur in stages and include many important topics. Previous genetic counseling professional development articles have partially or comprehensively addressed the topics of developing and conducting a research project (Beeson 1997 ), writing a manuscript (Bowen 2003 ), and the peer-review process (Weil 2004 ). This paper expands on previous articles by describing the publication process and discussing publication ethics, with emphasis on aspects pertinent to publishing a master’s thesis. It is hoped that this article will encourage genetic counselors to publish their research.

The primary audience for this article is genetic counselors who are conducting a master’s thesis or equivalent or who completed a thesis in the last few years which remains unpublished. The secondary audience is other novice authors and affiliated faculty of genetic counseling training programs. Although the focus of this paper is on journal publications which are subject to a peer-review process (e.g., original research, clinical reports, and reviews), some of the basic information applies to a variety of publishing forms.

The Publication Process

Publish before it perishes.

Like produce and dairy products, data have a limited shelf life. Research results may be rendered marginal by new research, social changes, and shifts in research trends. For example, a study of patient reluctance to undergo genetic testing due to concerns about health insurance discrimination conducted in December 2007 would have been obsolete when the Genetic Information Nondiscrimination Act (Pub.L. 110–233, 122 Stat. 881, enacted May 21, 2008) was enacted 5 months later. Or studies of whether patients think they might undergo testing if a gene for a particular condition were identified become less relevant once the gene is actually mapped and sequenced.

The hardest part about writing is actually writing. Making the time to sit down and compose a report of research findings is a very difficult first step. As noted in the three case examples, this is particularly true for a recent graduate whose time is occupied with searching for a new job, moving to a new city, and learning the details of a new job. However, the longer you wait, the more difficult it becomes, and the greater the risk that your data will grow stale. If you do not write it, the paper will likely not get written. The three case examples identify strong mentorship, ongoing communication with co-authors, constructive criticism, and commitment to publication by every author as key elements for successfully preparing a manuscript. The following sections describe basic processes for preparing a paper. See also Table  1 for helpful references about technical aspects of manuscript preparation.

Table 1

Selected Resources For Manuscript Preparation

Choosing a Journal

Research delivered to an inappropriate audience is ignored. Many journals publish genetic counseling research—as demonstrated by the three case examples—and therefore, choosing the right journal is critical (Thompson 2007 ). The first step is to decide who the audience should be. Is it important to reach genetic counselors? Medical geneticists? Or is the audience outside of the genetic counseling community? Some genetic counseling research is of interest to researchers in patient education, decision-making, or the social sciences. Clinicians such as surgeons, radiology technicians, psychologists, and family practice physicians might benefit from a greater understanding of genetic counseling and how it interfaces with their specialties.

The next step is to decide whether the journal is interested in the type of research conducted. For example, does the journal publish articles mostly on medical and clinical issues? Does it publish qualitative research? A description of the scope, aims, and types of research that are published is located in the “Instructions to Contributors” section on the web page of most journals. A look at the journal’s editorial board might also provide a good idea of a journal’s theoretical approaches, philosophical orientation, and research interests. Another strategy is to contact the journal’s editor or a member of the editorial board prior to submitting a manuscript to discuss the appropriateness of the manuscript for the journal. Many editors welcome such pre-submission contact since it reduces their workload of reading inappropriate manuscripts.

A journal’s “impact factor” may be important to some authors when considering where to publish a manuscript. The impact factor is a—perhaps imperfect—statistical measure of a journal’s importance. The impact factor was developed in the early 1960s by Eugene Garfield and Irving Sher and is technically defined as A/B, where A = the number of times articles published in that journal were cited and B = the number of citable articles published by the journal (letters and editorials are not usually citable articles) (Garfield 1994 ). An impact factor of one indicates that on average, articles published in the journal were cited once by other authors.

A journal’s impact factor can vary greatly from year to year, and its practical utility is widely debated (Andersen et al. 2006 ; Chew et al. 2006 ; Greenwood 2007 ; Ha et al. 2006 ; The PLoS Medicine Editors 2006 ). Genetic counselors often publish small studies and case reports. The journals that might publish such papers usually have impact factors of ten or less. Thus the impact factor may be a less important consideration for many genetic counselors when deciding where to publish.

A publisher’s copyright policy may also influence the choice of where to publish. The majority of publishers own the copyright (United States Copyright Office 2008 ) and authors do not have the right to copy, re-use, or distribute their own publications without buying reprints, which can be a significant source of income for publishers. Some journals, like the Public Library of Science (PLoS), are completely Open Access and make all articles fully available online. Other journals have Delayed Open Access, which makes articles publicly available after a specified period of time, often a year or two. Many journals, such as the JOGC , promote Hybrid Open Access in which authors, for a fee, can make their articles publicly available. Some journals will make select articles publicly available, usually those that attract media attention. For grant-funded research, consider the requirements of the funding source; some granting agencies require that the research results be made publicly available at some point.

Peer Review

Peer review is the process in which two or three experts evaluate a manuscript to determine whether it is worthy of publication. Peer review is the backbone of scholarly publishing; no research manuscript gets published until a team of reviewers and journal editors vets it. Ideally, reviewers are objective, constructively critical, open-minded, fair, and insightful. Some journals blind the reviewer to the author’s identity, in hopes that the authors’ reputations or professional relationships will not influence the review. Some journals will let authors suggest reviewers or request that certain people not review a manuscript. A journal’s peer review policies may be another important consideration in choosing where to submit a manuscript.

In practice, peer review is not always ideal (Benose et al. 2007 ; Curfman et al. 2008 ; Hames 2007 ; Wager et al. 2006 ). Nonetheless, no better or viable alternative has been proposed. Reviews may sometimes appear to be arbitrary, unfair, and poorly performed. Reading such reviews can be very difficult and frustrating, even for experienced authors. However, it is a reviewer’s job to be critical, and there may be elements of truth in even the most negative reviews. Some editors may be willing to send a manuscript to another reviewer if an original reviewer produces a harshly critical or poorly thought out critique. Some journals have a formal appeals process if a manuscript is rejected or an author feels a review is inaccurate, inappropriate, or biased. However, sometimes it is simply easier to submit the manuscript to a different journal. Case # 2 describes a successful example where submitting a manuscript to a different journal led to publication.

The manuscript rejection rate varies widely across journals, but about half of all manuscripts are rejected or require significant revisions (Armstrong et al. 2008 ; Hall and Wilcox 2007 ; Liesegang et al. 2007 ). About half of rejected manuscripts are published in other journals (Armstrong et al. 2008 ; Hall and Wilcox 2007 ; Liesegang et al. 2007 ). Even among articles that are accepted for publication, the vast majority will require significant revisions. All three case examples describe manuscripts that underwent significant revision. Thus, prospective authors should not be disheartened if a manuscript is rejected or needs extensive re-writing; this is the rule rather than the exception . Many editors are willing to work with authors who have questions about specific comments or how best to incorporate the reviewers’ suggestions. Busy journal editors would rather answer questions up front than have to laboriously edit a revised manuscript and send it back for further revisions.

Peer review, and the subsequent manuscript revisions, along with the number of manuscripts submitted to the journal, are probably the most critical bottlenecks in determining how long it takes before a manuscript appears in print. Typically, a year or more may pass from the time of submission to the publication date. The three case examples include their timeframes to highlight the need for perseverance and patience with the publication process.

The clearest way for authors to respond to editors’ and reviewers’ comments is to prepare a table that lists each comment and how the authors addressed them, item by item. Some reviewers’ comments may be inaccurate or simply unrealistic (e.g. “The authors should re-do the entire research study...”); these can be discussed in the table or in the cover letter that accompanies the table. Additional information about the peer-review process can be found in Weil ( 2004 ).

Acceptance!

Once a manuscript is accepted for publication, the publisher or the journal editor will send a copyright transfer statement that spells out ownership of the article. This statement must be signed and returned in short order before the manuscript will be published. The corresponding author will receive page proofs, usually electronically, which must be read by the author for accuracy and returned fairly quickly (usually 2–3 days). Many publishers are reluctant to make significant changes in the page proofs, and they may charge for substantial revisions. Thus, the version of the manuscript that is submitted to the journal before the page proofs are generated should be very close to what the author wishes to see in print. Usually at this time publishers will offer the author the option to purchase reprints to allow the author to share the publication with other researchers, co-authors, and colleagues. Some journals will provide a limited number of free reprints or a complimentary copy of the issue of the journal in which the paper appears. The steps in the publication process are summarized in Table  2 .

Table 2

Steps in the Publication Process

a ∼50% of manuscripts are rejected or require significant revision before being accepted for publication

Ethics of Publishing

“Scholarship (like life) is not always fair or precise.” (Thompson 1994 )

Manuscript preparation and submission for publication can be complicated by ethical issues. Many authors may not be aware of these ethical conundrums, let alone have a plan for addressing them. Ethics is not a stagnant concept. As research methodologies and research questions evolve, new ethical issues in publishing arise. This section contains a description of several issues broadly relevant to the publishing practice of genetic counselors, particularly as students or recent graduates. However, it is important for genetic counselors-as-authors to keep abreast of ethical issues relevant to their own work.

“Ethics” are principles that govern the behavior of individuals or groups (Merriam-Webster 1974 ). Ethical codes of conduct exist in order to preserve the integrity of a profession, ensure the public’s welfare, and protect scholars. Ethical issues particularly relevant to writing for publication, include: (1) authorship determination, (2) disclosure and conflicts of interest, (3) plagiarism, (4) subject confidentiality, (5) accuracy of information, and (6) publishing in multiple sources.

Authorship Determination

Consider the following situation: A student conducted an excellent study for her master’s thesis project. At the beginning of the project, her supervisor promised her that she would have first authorship on any manuscripts based on the project. However, when the time came to write the paper, the student procrastinated. Finally, after the supervisor repeatedly “nagged” her, she submitted a draft to her, but it was very poorly written. The supervisor decided the only way to salvage the paper was to totally rewrite it herself. Now the supervisor thinks that she deserves to be the first author. Is this ethical? Does it matter if the project was the student’s master’s thesis rather than a project in which she was voluntarily involved? Are there guidelines that might be implemented in advance to handle this kind of situation?

This complex situation may be all too familiar for many supervisors and students. It raises issues about valuing contributions to the publication process, the power differential between supervisors and students, determining when renegotiation of authorship is warranted, and setting expectations and priorities up front. Whenever manuscripts are authored by more than one individual, order of authorship should be negotiated as early in the process as possible. Only individuals who have actually contributed to the work should be listed as authors. Their order should indicate “...the relative scientific or professional contributions of the individuals involved, regardless of their status” (Shadish 1994 ) (p. 1096). In the sciences, the first and last authors typically are the individuals that made the greatest contributions to the project (Laflin et al. 2005 ). Many journals require a listing of each author’s contribution to the manuscript in order to make sure each person meets the journal’s requirements to be listed as an author.

Student authors pose a special situation. Doctoral students usually are the first authors of papers based on their dissertation research (Nguyen and Nguyen 2006 ). Authorship order is less clear for masters’ projects because masters’ students may lack sufficient knowledge and skills to conduct a project and prepare a manuscript of publishable quality without considerable input from their supervisor (Shadish 1994 ). Thompson ( 1994 ) recommends that when there is any question as to who made the primary contribution, the student should receive higher authorship. His recommendation helps to protect the person who has less power in the situation. Often students are involved in studies that are not based on their own master’s or doctoral research, but rather are connected to an existing research program, such as case examples 1 and 2. In those situations, some authors contend that their involvement should be creative and intellectual in order to warrant authorship; otherwise, student input can be credited in an acknowledgement section (Fine and Kurdek 1993 ; Holaday and Yost 1995 ; Thompson 1994 ).

Negotiating authorship is an important step that should begin in the initial stages of a project. This step usually involves assessing and agreeing upon each person’s tasks, contributions, and efforts. The amount of supervision required for an individual’s contributions is usually considered as well (Fine and Kurdek 1993 ). Sometimes renegotiation of authorship order is necessary due to unexpected changes and/or substantial revision of the manuscript. The key is to remember that authorship is negotiated. Questions to consider throughout this negotiation process include: Who had the original idea for the basis of the publication? Who designed and conducted the study that generated the data? Who will write most of the first draft of the paper? Is the study part of someone’s research lab? Students should maintain early and on-going communication with their co-authors about their investment of time and efforts and the outcomes of those efforts (Sandler and Russell 2005 ). However, scholarly contribution is more important than actual time and effort expended when determining authorship. For more information regarding authorship determination, it may be useful to review guidelines for discussing and clarifying authorship order (Gibelman and Gelman 1999 ) or developing individualized contracts for research collaboration (Stith et al. 1992 ). These guidelines also may be useful for initiating discussion of authorship as part of the curriculum in genetic counseling training programs.

Take another look at the authorship scenario. At the time of the original negotiation of authorship, it is likely that the supervisor (and other parties) believed the student warranted first authorship due to her creative contributions and time allotted to the study. In most authors’ minds, first authorship is equated with substantial contribution to writing the manuscript, usually the first draft, so it is important the student understand this is part of the responsibilities of being first author. Typically students have no experience writing a journal article, and so some procrastination is likely. In this scenario, the authorship dilemma may have been averted by having in place a plan to mentor the student, providing support, and delineating a specific process for writing the first draft of the manuscript.

Manuscripts invariably undergo substantial revision as co-authors and reviewers weigh in, so it is not unusual that the supervisor would revise the student’s first draft. This activity does not prima facie warrant a change in authorship order. However, by developing a specific plan to support the student’s writing, it may minimize the extent of the supervisor’s revisions. It is possible, though, that the student’s procrastination and poor writing should initiate a renegotiation of authorship order because the level and nature of her contributions to the work may be changing. The supervisor and student should discuss the reasons for changing authorship order; the supervisor should not unilaterally make this change without discussion. Keep in mind that the bar for changing authorship should be much higher if the paper is based on the student’s master’s thesis than if it is based on a project in which she was voluntarily involved. It is also important to inform students early in the process that most research is a collaborative effort, requiring time, energy, and sometimes funding, and therefore their collaborators have expectations that their contributions will be rewarded through publication. Developing an a priori policy for renegotiation may often reduce misunderstandings and minimize conflict.

Disclosure and Conflicts of Interest

Consider the following situation: A student conducted a study to evaluate a new program that her clinic is offering to its patients. She interviewed ten patients who participated in the program about their experience. Nine of these patients were in general agreement about the value of the program, while the 10th patient was quite negative about her experience. The student’s impression of this patient is that she is a generally negative person. The student believes that the patient came into the program expecting not to like it. Furthermore, the student is concerned her clinic will lose funding for this program if she reports this patient’s responses. The student decides to exclude her data from the paper. Is this decision ethical? Why or why not?

One ethical issue raised in this scenario involves determining when it is appropriate to exclude data points. Data collected from research can be messy, and it is not unusual for some data points to be excluded from analyses. However, there must be an explicit methodology for excluding data points or subjects, and this information usually is reported in the manuscript. Examples for exclusions include: missing data (e.g., a participant did not complete a majority of the items on a questionnaire); measurement error (e.g., the recorded measurement of a biological process or part of the anatomy is simply impossible); small sample sizes (e.g., an insufficient number of individuals from a minority group participated in the research resulting in numbers too small for meaningful analysis). In the scenario described above, the rationale provided for excluding the 10th patient’s experience is not sufficient to warrant exclusion. Instead, it appears that exclusion of this individual is based on a desire to promote the new program in the student’s clinic. In order to eliminate this form of conflict of interest, one could consider involving a clinic outsider in the analysis and interpretation of the data. By including a clinic outsider in the project, editor and reviewer concerns about the integrity of the data, analyses, and conclusions will be allayed.

Most journals provide another “safeguard,” by requiring a statement about possible conflicts of interest. A conflict of interest statement requires the author to acknowledge in writing the nature of any circumstances that might bias the process and/or outcome of their work. For example, any project and published report that might result in direct financial gains for an author(s) should be disclosed to a journal’s editor and to the readership. Examples of possible conflicts of interest include conducting a study of the effectiveness of a genetic test funded by the company that developed and is marketing the test, or a program evaluation study whose outcome would determine the continuation of the investigators/authors’ jobs.

Plagiarism is a familiar concept to most people. Everyone generally understands the importance of “giving credit where credit is due.” Yet, the National Science Foundation estimates that the prevalence of plagiarism may be as high as 50% (Roig 2001 ). Probably many of these incidents are unintentional and/or occur because the authors were unaware of some of the nuances regarding plagiarism. Although there is some variability within and across disciplines about the specific behaviors that constitute plagiarism, there is general agreement about two broad types (Roig 2001 ): cryptamnesia -an individual thinks their idea is original when it actually was presented by someone else previously; and inappropriate paraphrasing —an individual uses another person’s published text without properly citing that use, and/or using their statements with little or no modification. Specific examples of inappropriate paraphrasing include: (1) publishing another person’s work as one’s own; (2) copying part of another author’s paper and claiming it as one’s own; (3) copying text from another source without using quotations marks and without citing that source in the text; (4) paraphrasing text from another source without providing an in-text citation; (5) summarizing material from another source without clearly connecting the summary to that source; and (6) using copyrighted materials without author/publisher permission (East 2006 ; Lester and Lester Jr. 1992 ).

Additional types of plagiarism include ambiguous use of citations. For instance, an individual includes a citation in a paragraph but does not clearly indicate which content in the paragraph is from the cited work. Another type of plagiarism is self-plagiarism . Self-plagiarism occurs when an individual includes published work of their own for which they do not own the copyright (e.g., reprinting a table from one of their previously published papers); repeating verbatim text from a previously published article. Permission to reprint material from the publisher must be obtained.

Plagiarism is a serious ethical breach which can result in a legal penalty. Strategies for avoiding plagiarism include limiting the use of direct quotes; avoiding the use of secondary sources—it is always better to read and cite an original source when available; and restating ideas in one’s own words while providing in-text citation of the work that contains the original ideas (East 2006 ; Lambie et al. 2008 ; Lester and Lester Jr. 1992 ). When in doubt regarding the originality of one’s words, it is best to cite the source(s) on which they are based. In this regard, it may help to bear in mind that readers will assume all words in the paper are the author’s unless the source(s) are cited.

Subject Confidentiality

Published papers must be written in a way that no subjects can be recognized by others without their written consent (Gavey and Braun 1997 ). Given the unique nature of genetics, family members may also need to provide written consent (McCarthy Veach et al. 2001 ). When possible, identifying information should be removed or disguised (e.g., use of pseudonyms) and data based on multiple subjects should be reported in aggregate (group) form. Institutional review boards (IRBs) play a critical role in assuring protection of subject confidentiality. Many journals require authors to indicate either in the paper or a cover letter that they have obtained institutional review board approval to conduct their animal or human subjects study. In some cases, an ethics board may have been consulted regarding ethical dilemmas reported in a clinical paper and this should be acknowledged in the paper.

Accuracy of Information

Authors are responsible for rigorously checking the accuracy of their facts, data, and conclusions. However, despite one’s best efforts, substantial errors sometimes are not discovered until after a paper is published. In that case, the corresponding author should contact the journal immediately and ask that an erratum be published. On a related note, authors have a professional responsibility to make data sets reported in published papers available to other professionals. This practice allows for verification of the findings and conclusions, and it also makes possible research replications and extensions of the original study. The length of time for retaining research records depends on institutional policy and sponsor policy, so it is important to be aware of how these policies apply to the research generated by a master’s thesis. Often institutional review boards require researchers to state how long they will maintain a data set, and the researchers must adhere to that time frame.

Another accuracy issue concerns modifying and reporting the use of published material (e.g., an interview protocol, psychological instrument, curriculum) without clearly describing the precise nature of the modifications. Interpretation of findings and their comparison to other studies using the “same” instrumentation may be severely compromised when an author fails to report modifications. Further, professional courtesy suggests that permission be sought from the author before changing her or his material. Also, use of published material requires crediting the author(s) of that material by including relevant citations.

Publishing in Multiple Sources

In the sciences, a manuscript should not be under review by more than one journal at a time. It is, however, acceptable to submit material for presentation at a conference prior to its actual publication in a journal, as the authors in case examples 1 and 3 did. Some conferences publish proceedings , and some journals will not publish work that is already published in a Proceedings unless the two papers differ substantially. When in doubt, it is good practice to contact a journal’s editor to determine the journal’s policy. Journals typically only publish original work, but on occasion there may be interest in reprinting an article. Reprinting a previously published paper requires written permission from the owner of the publication copyright. As a matter of courtesy, one should also seek the corresponding author’s permission, even if the author does not own the copyright.

Examples of Success

The benefits of sharing knowledge within the medical community and with the public via publication have been delineated. The publication of original work contributes to the advancement of the genetic counseling field overall, and at the individual level, authorship establishes a level of professional credibility, enhancing opportunities for future employability, funding and job satisfaction. The opportunity to develop a genetic counseling master’s thesis into a manuscript should therefore not be overlooked. Below are the personal accounts of three recent graduates who successfully transformed their individual master’s theses into published manuscripts. These examples were not systematically ascertained, and as such, do not necessarily represent all experiences with trying to publish a master’s thesis. These stories provide “first-hand accounts” of the authors’ experiences and, while acknowledging the challenges, demonstrate commitment to publishing their own projects throughout their careers. Table  3 contains a list of helpful hints gleaned from these cases.

Table 3

Helpful Hints for First Time Authors

Case 1: Consider Writing Your Thesis and Journal Article Concurrently

As a result of personal determination, and above all, strong mentorship, I was able to turn my master’s thesis work into a manuscript published in Patient Education and Counseling , titled “Satisfaction with genetic counseling for BRCA1 and BRCA2 mutations among African American women” (Charles et al. 2006 ). My work was a small component of an existing research project being conducted within a university academically affiliated with my genetic counseling training program. The project was an evaluation of the overall effects of “Culturally Tailored vs. Standard Genetic Counseling Protocol” among African American women.

I started by reviewing previous publications this group of researchers had produced and using these as a guide for my first draft, followed by multiple revisions. Approximately 17 months elapsed between first submission and publication. We submitted the manuscript in its original form in May 2005. We received the reviewers’ comments later that summer, and submitted revisions five months later. The article was accepted in that same month, published online five months later and in print seven months after the online version appeared. Shortly after graduating from my program I submitted an abstract of the work to NSGC for presentation at the 2005 Annual Education Conference, and subsequently learned that it was selected for the NSGC Beth Fine Student Abstract award.

My experience may be unusual because I worked on the manuscript and thesis project concurrently. Composing separate but related documents while still juggling second year genetic counseling student responsibilities was certainly a challenge. Preparing a comprehensive thesis project is a very different task than manuscript composition, the latter of which is more focused and narrow in scope. Challenges posed by this concurrent approach included ensuring that text requirements and deadlines specific to each document were met, as well as incorporating and addressing the reviews of both the training program and peer-reviewers. The main benefits of this approach were that I was still in school and therefore geographically close to my mentors, which facilitated ongoing communication throughout the process, and that the manuscript was under review by a journal before I started my new job.

Factors contributing to the successful publication of this project include mentorship, accountability, and commitment to publication by every author. Supportive, constructively critical, and well published, my mentors had high standards and knew the process. Frankly, I did not want to disappoint them. I found setting deadlines and meeting them, along with the accountability of in-person meetings (as opposed to email), to be effective approaches. Finally, publishing the project was a stated goal of the authors at the initiation of the project. I will not claim that the process was easy, but the goal is certainly attainable and worthwhile.

Case 2: You Need Not Publish Every Thesis Finding—Pick The Most Interesting and Relevant

As is the case for many graduate students, the first time I attempted to publish was after I completed my thesis. My thesis concerned the development of a minority research recruitment database and was the result of my graduate research on underserved populations.

Following graduation, I started my first job as a genetic counselor in a new city. During the overwhelming process of adjusting to “my new life,” my thesis advisor asked me to submit a manuscript to the American Journal of Public Health in response to a call for abstracts on genetics topics. Unfortunately, the deadline was only one week away. I scrambled to cut down my lengthy thesis to a reasonable length and submitted it, knowing that it was not my best work given the time constraint. Needless to say, it was rejected.

I decided that before resubmitting the manuscript to a different journal, I would need to take a different approach to the paper, more or less starting over. While my research results were interesting, they were limited in their application. I decided to publish instead on the success of our research initiative, as other researchers could learn from our process. Since I was changing the focus of the manuscript, I had to do an additional literature search and produce much of the writing from scratch. Most of this work had to be completed in my free time. While it was difficult to stay motivated, working on my manuscript when first starting a job was manageable as my caseload was lightest in the beginning. After several weeks of hard work, I submitted the manuscript to Health Promotion Practice .

About one month later, the editor contacted me and asked me to resubmit my manuscript with revisions. Three different reviewers provided feedback. Initially, it was overwhelming to read through their comments and frustrating, particularly when the reviewers contradicted each other. Despite my frustration, with my co-authors’ guidance I forged ahead and resubmitted, only to have the editor and reviewers ask for additional revisions. There were comments from the same three reviewers, however, far fewer in number. Still, I was beginning to think they would never accept the manuscript. I once again called upon my co-authors for guidance and was able to address the reviewers’ comments and resubmit the manuscript once again.

This time when I heard from the editor, the manuscript was finally accepted. What started out as a 120 page thesis ended up being published as an eight page paper (Vogel et al. 2007 ). It took approximately 8 months of writing and revising before the manuscript was finally accepted and an additional year before it came out in print. While the entire process was a true test of patience and determination, it was ultimately worth it. The experience gave me the foundation to carry on my research career and continue to publish successfully.

Case 3: Expectations and Mentorship are Crucial

I defended my thesis, received my Master’s degree, and was about to move back to the Midwest to start my new job as a genetic counselor, but my long “To-Do” list had one remaining item: Publish master’s thesis. I started the initial master’s thesis process with the expectation from one of my thesis advisors, and now a co-author, that research is not “put down and set aside” until published. I never questioned the process; if I was going to work with this advisor, I would be publishing. I was excited to undertake this challenge and impressed by my thesis advisor’s dedication, mentorship, and desire to see our hard work recognized. Nearly two years later, I could proudly say that this expectation, held by all of my thesis advisors and me, was accomplished. The manuscript, published in the JOGC , describes qualitative research regarding communication of genetic test results within a family (Blase et al. 2007 ).

In the beginning, I was unfamiliar with the publication process, but because of the support and guidance of my advisors, I began to learn the process, and so the frustrations and uncertainties were minimal. I also had a great working relationship with my co-authors that included communicating regularly and setting and meeting deadlines. After deciding the JOGC was the most appropriate venue for my research, I spent a good deal of time reducing and reformatting the 80 page thesis to a 20–25 page manuscript to meet the journal’s guidelines. Given the page constraints, this process necessitated determining which data to focus on and re-framing some information to appropriately fit the readers of my selected journal. Conversations with my advisors were instrumental in this phase.

There was nothing quick about publishing my master’s thesis. I graduated in June 2005, received an email shortly thereafter from one of my advisors about how to begin constructing a first draft of a manuscript, and began working on the manuscript in July 2005. I submitted the manuscript to JOGC in May 2006 and subsequently was informed by the editor that based on the reviews, revisions were required before the manuscript could be considered for publication. In September 2006, after two rounds of revisions, my manuscript was accepted, and by June 2007 it was published in the journal.

Although ultimately I was successful in publishing my master’s thesis, the process had its moments of frustration. I remember getting my first round of comments from the reviewers; I thought I was never going to get to the point of publication. My co-authors supported and encouraged me by explaining that revisions are truly part of the process. I was overwhelmed by the reviewers’ list of questions and changes after my initial submission, followed by additional reviews and revisions. Not only did I have to figure out how to keep the manuscript a priority in light of my new job, but I had to weed through and address the reviewers’ comments, and the suggestions of each co-author. The guidance of my thesis advisors, now co-authors, helped me navigate this process.

I have gained much through this experience. The process has opened doors for me including opportunities to work with other professionals with impressive publishing experiences, as well as speaking and poster presentation opportunities at national conferences. I also have greater confidence about the publishing process. What seemed like such a daunting and impossible task is now an attainable outcome. Although my master’s thesis was my most recent publication, the thought of taking on the publication process again is not nearly as intimidating as I once thought.

Publication of original research, clinical experience, and literature reviews are vital to the growth of the genetic counseling field and to the delivery of genetic counseling services. Publishing also promotes personal growth by counting toward maintenance of ABGC-certification as well as establishing the author as a credible and respected authority both within and outside the genetic counseling field. This professional recognition in turn can lead to employment opportunities, speaking engagements, research funding, and career advancement.

Submitting a manuscript for publication also can be an intellectually challenging, emotionally trying, and time-consuming task. But similar to life’s other difficult tasks, the rewards and satisfaction are commensurately great—to see your name in print, have your work cited by other authors, and know that you have contributed in a meaningful way to the practice and understanding of genetic counseling. Transforming a master’s thesis into a journal article is an obvious first step in developing and sustaining a commitment to publishing for our genetic counseling profession. Common themes in the three success experiences include the importance of mentorship and clear expectations for publishing, recognition of the length of the process and concomitant need for perseverance in the face of revisions, awareness of personal and professional benefits in terms of presentations at national meetings, awards, and motivation to continue publishing. Hopefully the information provided in this article will help to de-mystify the publishing process, promote consideration of ethical issues in publishing, and stimulate genetic counseling students and new graduates to embrace a “Publish for Success” philosophy.

Acknowledgments

This paper was developed from an Educational Breakout Session (EBS) sponsored by the Jane Engelberg Memorial Fellowship Advisory Group at the 2008 NSGC Annual Education Conference.

Open Access

This article is distributed under the terms of the Creative Commons Attribution Noncommercial License which permits any noncommercial use, distribution, and reproduction in any medium, provided the original author(s) and source are credited.

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• Wager E, Parkin EC, Tamber PS. Are reviewers suggested by authors as good as those chosen by editors? Results of a rater-blinded, retrospective study. BMC Medicine. 2006; 30 :13. doi: 10.1186/1741-7015-4-13. [ PMC free article ] [ PubMed ] [ CrossRef ] [ Google Scholar ]
• Weil J. Peer review: an essential step in the publishing process. Journal of Genetic Counseling. 2004; 13 :183–187. doi: 10.1023/B:JOGC.0000028252.93942.40. [ PubMed ] [ CrossRef ] [ Google Scholar ]

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Theses including publications

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Under the Thesis and examinations higher degrees by research policy (pdf, 199KB) , a research thesis is a coherent and cohesive narrative describing a body of scholarly activity that adds to knowledge.

At the University a collection of published papers is not a thesis, neither is a publication on its own sufficient to warrant the award of a research degree.

However, you can, and should, include papers you have published in your thesis. A thesis including publications (also called a thesis with publications) is one where the core chapters of your thesis consist of papers you have submitted for publication, have been accepted for publication, or have already been published. See our information on preparing your thesis for how to indicate that your thesis contains material you have published as part of your candidature.

A thesis including publication is suited to certain disciplines where your study progresses in discrete stages or involves a sequence of related components; for example, a series of lab experiments or several artworks.

One of the benefits of doing a thesis including publications is that you’ll graduate with a number of publications to your credit. This will get your career as a researcher off to a good start.

You need to check with your faculty/school or department to see if a thesis including publications is possible and to find out their specific requirements. For more information see the Thesis and examination of higher degrees by research policy (pdf, 199KB) .

The following is a general guide to some common requirements for a thesis including publications.

Types of theses including publications

All chapters of your thesis can contain material previously published by you and need to be in a consistent format. Offprints are not considered chapters. These may be papers already published, submitted or accepted for publication, or not submitted.

Published papers need to be supplemented by an introduction (containing your aims and the context of the thesis) and a conclusion that synthesises the knowledge generated during your candidature. In some cases, thesis chapters are amended versions of published papers. The published papers are then put in the appendix.

Only papers researched and written during your candidature can be included in your thesis. Some faculties or schools allow you to include papers regardless of their stage of publication. In other cases, papers need to have been accepted for publication, not just submitted and awaiting acceptance. You need to check with your faculty/school or department regarding their requirements.

Papers need to be accepted by reputable, high-profile journals which require full peer review of contributions.

If you want your thesis to contain material you’ve published elsewhere, you need to get written permission from your publisher.

The University library has more information on copyright .

You should be the main contributor and/or lead author to the papers you include. This means you have been responsible for the key ideas, the development of the study and the writing of the paper. It’s possible to include papers co-written with other authors, as long as you have their permission (preferably in writing).

Find more information about authorship attribution statements and the format required.

A cohesive thesis

The papers you submit need to form a cohesive whole. They need to be linked thematically, having a consistent focus on a particular topic. They also need a cohesive structure, including an introduction, explanatory material between the chapters and a conclusion.

The introduction and conclusion are particularly important in tying your thesis together. Coherence can be made explicit throughout your thesis. You could link your chapters using:

• the list of publications, where you can note which publication corresponds to which chapter
• a concept map or a flowchart at the end of the introduction
• the literature review, where you refer to how the chapters fill in particular gaps in the literature
• a page or half-page introduction or 'bridging section' before each chapter of the body, or at the end of each chapter
• the discussion section, referring back to the various papers.

You don’t need all of these features, but the more links you can establish between the various parts of your thesis the more coherent it will be.

List of publications

You need to include a list of publications either before or after the table of contents. In this section, you can link the publications to the specific chapter in which they are found. Many theses also record the bibliographical details of the article on the title page of each chapter.

If you need to include a co-author contribution statement, this is usually put with the list of publications or before each chapter.

Find more information about authorship statements and the format required.

There are different ways you can give context for your research when you do the literature review for each paper. For example:

• paraphrasing rather than repeating the same information
• where you integrate reviews in the main literature review in the introduction and cut down the literature reviews in the articles
• making each literature review substantially different
• removing the article(s)’s literature review, but only if the published chapter is presented in manuscript form.

Discussion section

Your final discussion section draws together the main points from the discussion in each chapter into a single discussion. You need to avoid presenting or repeating in detail your ideas in the final discussion chapter by chapter or aim by aim, as this will not meet the requirements of a thesis. A way of doing this is to frame the discussion broadly, always in respect to ‘this thesis/research project’ or ‘this thesis’.

Reference lists

• When all articles are in journal format, their individual reference lists are included. This means the reference list at the end of the thesis contains only references from the introduction/literature review and discussion/conclusion.
• When all articles are in manuscript form, there is often no reference list attached to individual articles. Instead, all references are listed at the end of the thesis.
• Some theses have a separate reference list at the end of each chapter, including the introduction/conclusion.

Page numbers

Most theses show both the thesis page number and the journal article page numbers. However, you could omit the thesis page number.

This material was developed by the Learning Hub (Academic Language and Learning), which offers workshops, face-to-face consultations and resources to support your learning. Find out more about how they can help you develop your communication, research and study skills .

See our handout on Writing a thesis proposal (pdf, 341KB) .

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Thesis by compilation

A thesis by compilation (otherwise known as a thesis by publication) is a thesis which includes some of your journal article manuscripts which have been or are in the process of being published. If you are writing a thesis by compilation, its structure may be slightly different to that of a traditional thesis. However, a thesis by compilation still requires you to have a central argument. Even though you may present multiple manuscripts, they each need to develop your argument in response to your main research question(s). 

There are several ways to structure a thesis by compilation. Since manuscripts typically only convey a part of your research, and are published as standalone pieces, you will need to explain throughout the thesis how each manuscript develops your main argument. It is also very likely that you will need to include chapters in addition to the manuscripts, so that your argument is fully developed. There are a range of options for how to do this.

One popular option is to provide linking sections between the manuscripts. Linking sections introduce your manuscripts and explain how they contribute to your thesis' research question(s) and argument. These sections are usually a few pages long, but can be longer. You can also provide linking sections at the end of a manuscript. Typically, this format includes: 

• A thesis introduction
• A literature review (which may be part of the thesis introduction or a separate chapter)
• Manuscripts, each preceded by a linking section introducing the manuscript. A summary section further linking the manuscript to the central argument may also follow each manuscript. 
• Non-published chapters 
• A general discussion chapter and/or conclusion.

In addition to providing linking sections, you might consider expanding on the material in your manuscripts. Since manuscripts fit concise word limits, they can usually only represent part of your research. You might wish to include further data, analysis and discussion relevant to the manuscripts and your argument. Such expanded material could be presented following the relevant manuscripts, or presented as additional body chapters. Another approach is to present revised and extended versions of manuscripts as if they were traditional thesis chapters. This approach enables authors to add material and show the full extent of their data and analysis. In these cases, the manuscript is usually placed either directly before or after its extended version.

Note, however, that if you wish to include any supplementary material that is secondary to your central research question, then it should be placed in appendices rather than in the main thesis. 

Whichever options you consider, discuss your approach with your supervisor. Your supervisor will be able to provide guidance about whether you are meeting the requirements for a thesis by compilation. Further, the ANU has policies and procedures  which provide important information about the amount of of published work to include in the thesis and arrangements about co-authoring.

Thesis structures

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Incorporating publications in your thesis

Publications and your doctorate thesis.

This resource provides a brief introduction to incorporating publications in your thesis. It includes activities to help you apply tips and reflect on your learning, and should take you 15-20 minutes to read and complete. Check out the further resources at the bottom of each section and references on the last page for more information on this topic.

Including papers that you have written for publication as part of your thesis shows your achievements and impact as a researcher.

This page looks at some key considerations for including publications in your thesis and connecting them into a unified narrative.

Approaching a thesis that includes publication

There are several approaches to incorporating publications into your thesis. You might:

• include individual papers that you have already prepared, or start with a broad thesis plan that sets out the individual papers you wish to submit for publication as you work on your research project.
• finalise your publications before or after you’ve written the related thesis chapters.
• be modifying your publications to fit the thesis or adapting your thesis into publications.

No matter what your circumstances, the university offers a wide range of options for putting together a graduate research thesis. Keep in mind:

• The same criteria, including the required volume of work, apply to theses with or without publication, and theses with small or large publication proportions.
• Focus on the thesis as a whole and the integration of any publication to strengthen the thesis, rather than the number or status of your publications.
• Your thesis, first and foremost, should provide a clear and cohesive narrative of your research to your readers.

Challenges of a thesis that includes publication

Although any form of thesis will have its challenges, writing a thesis that includes publication may create extra demands on you.

For example, choosing to get your work published early in your candidature might mean you feel the pressure to write like an expert, even when you don’t yet feel like one.

Also, your papers might speak to different audiences with different purposes at different stages of your research, and follow different journal conventions. This means that, when it comes time to incorporate your publications into a longer piece of work, you will need to align them and make them fit the purpose and audience of your thesis.

To help you start tackling these challenges, it’s useful to know what qualities a doctorate thesis needs to demonstrate and think about how to curate your publications to show these.

Showing doctorate qualities using your publications

High standards apply to the examination of a doctorate thesis. Nygaard and Solli (2021) synthesise these standards into five qualities:

Your thesis writing needs to be of a publishable standard. While this can be evaluated in terms of potential publishability, including published work or papers intended for publication in your thesis can provide clear evidence of this.

• How many publications do you intend to include in your thesis? What are they?
• What are the publication statuses of these papers (intended/under review/published)?
• What journals are your works published in/intended for? Are they peer-reviewed?

While your publications need to speak to the scholarly communities of the journals you submit them to, which may or may not fit neatly in a single discipline, your thesis will need to show that it belongs in the discipline it sits within. Show awareness of the terminology, conventions, key conversations or debates of your field, even when you’re deviating from these.

If your thesis is interdisciplinary, state early in your writing what disciplines it brings together and why; you will also need to deal with the terminology and conventions of these disciplines for readers who may not be familiar with them.

• What discipline(s) does your thesis belong in?
• How do your publications relate to this discipline?
• What disciplinary terminology, conventions, conversations or debates are you drawing on in your thesis?

Your thesis needs to show you’re making a new and significant contribution to your field.

This could be providing a new understanding of or solution to an existing problem, building a new model, framework or methodology for tackling an old issue, or continuing or investigating someone else’s work. Originality involves finding your own angle or position on your research problem, not just reporting new data. This angle or position should be embedded in your whole thesis, including your publications.

• What contribution will your thesis make to your field?
• In what ways will this contribution be new and significant?
• What are the contributions of your publications? How do they align with the overall contribution of the thesis?

While you can draw extensively on your discipline, your examiners will be looking for clear evidence of your ability to think independently and express your own ideas confidently as a researcher and writer.

If your research is part of a bigger team project, or if you intend to include co-authored papers in your thesis, indicate clearly which part of the work you undertook, how your work shaped the bigger project and what you learned from working with others.

• Is your research part of a bigger project involving a team of researchers?
• Are you including co-authored papers in your thesis? If so, do they meet the University’s authorship requirements for inclusion ?
• If you answered ‘yes’ to either of the above questions, what is your part of the work? How has it shaped the bigger work? What have you learned from the collaboration?

Your thesis, whether with or without publication, needs to form a cohesive text from beginning to end. All its elements need to align effectively with one another to make a unified overarching argument.

For example, your conclusion should address at a high level the research problem described in the introduction, whereas the middle chapters should pace the answer to the research question or hypothesis in a way that draws on the foregoing chapters and builds up to the more conceptual discussion at the end.

• Can you identify an overarching argument in your thesis? If so, what is it?
• What are the key messages of your thesis chapters, including publications?
• How do these messages relate to one another and the overarching argument?

For information on how to write a paper for publication and on policy questions about formal requirements for a thesis that includes publications, click on ‘Further resources’.

Writing a paper for publication

Graduate Research Training Policy

Graduate Research Hub: Incorporating publications

Use the side menu to go the next section: Planning your thesis including publications , where we explore thesis and publication mapping tools.

Planning your thesis including publications

Aim to plan your publications as part of initial planning of the whole thesis. This reduces duplication or gaps between the papers, and involves less work than retrofitting publications to your thesis later on. Nevertheless, it’s never too late to recalibrate your plan with emerging publications in mind.

Use planning tools

Planning tools such as a thesis map and publication map  can be used both prospectively and retrospectively. It’s a good idea to go through this process in the thesis planning phase, and review the results regularly throughout your candidature.

This video shows you how to use a thesis mapping template and publication mapping tool to plan your thesis and publications. You can download the  thesis mapping template (DOCX 23.0 KB) and publication mapping template  (DOCX 19.9 KB) that are shown in the video.

Consider how publications relate to the thesis

It's rare to have a linear, one-to-one relationship whereby each publication answers one research question completely. An example of this might be that each publication reports one experiment in a series of experiments that correspond neatly to the list of aims and hypotheses in a thesis. Even if your thesis fits this category, you still need to demonstrate how these aims and hypotheses relate together as part of a whole narrative.

More often, though, your publications will address the overarching research question in a complementary manner, for example by using different methods or focusing on different aspects of the problem. Ask:

• How do the papers complement one another and provide a nuanced answer to the research question?
• If they are in conflict, how could you resolve it or justify a more complex answer?

Sequence publications logically

Incorporate publications in an order that progresses your argument, not necessarily in the order of the writing or publication dates. It is usual to have one publication as one chapter in the thesis.

However, if it makes more sense to combine two shorter papers into one chapter, or to omit part of a publication from a chapter, explain and justify your choice clearly in the introduction to the chapter.

Learn from example theses

As part of your planning, you may find it valuable to look through a few examples of theses that include publications. Use the prompts below to help you reflect on how you could learn from examples.

1. Explore examples of thesis and chapter formats when including publications . Which thesis and chapter format resonates the most with your thesis plan?

2. Have a look at a few theses that include publications in your field or as close to your field as you can find. You can use the example theses on the Graduate Research Hub or find your own examples on Minerva . Ask:

• How many papers for publication are included as part of the thesis?
• What kind of papers are included? Empirical, theoretical, methodological or review?
• What structure does the thesis have? Does it follow an IMRAD (Introduction, Methods, Results and Discussion) structure, a variation of this or a different structure? Note down its key parts.
• How would you like your thesis to be structured?

Compare you answers to the above questions to your thesis plan or map. Would you like to change anything about it?

Examples of thesis and chapter formats when including publications

Examples of theses with publications

Minerva Access: University of Melbourne’s institutional repository

Publishing from the PhD – make a publication plan

Co-authoring a PhD by publication: Assigning percentages to who did what

Use the side menu to go the next section: Relating publications to thesis sections , where we look at the role of different thesis sections in integrating publications.

Relating publications to thesis sections

Sections of your writing that are exclusive to your thesis, which do not appear in your publications, can help integrate your publications by guiding readers to see links between your thesis and those publications. These links can demonstrate a strong sense of control over the design of your thesis and show examiners that you can connect the parts to the whole seamlessly.

The role of thesis sections in integrating your publications

Gives you the chance to frame, explicitly, the relationship between your publications and the thesis (the examples given below this presentation will indicate some ways to do this).

• Relates directly to your overarching research question
• Is more comprehensive and contains more detail than the background sections of publications
• Can include a paper for publication, which may need modifying so that it addresses your thesis question with an appropriate breadth and depth.

If the methods in your included publications don’t demonstrate the overarching approach of the thesis, or if they have evolved since, consider:

• Writing an overview of the methodology and its development in the introduction or a separate methodology chapter.
• Discussing how the methods reported in the publications link to the overarching methodology in the introduction or reflection sections of the chapters that contain the publications.

A chapter that contains publication typically begins with an added introductory section. In this section, you can:

• List the paper(s) included in the chapter.
• Briefly overview its specific aims or hypotheses in the context of the whole thesis.
• State any changes you’ve made to the original paper (additions, deletions and other modifications) and briefly give reasons for these changes.

If a publication forms sufficient material for a chapter, a basic chapter structure including an introductory section followed by the paper is a great choice. However, if the publication forms only part of the chapter, consider a more complex chapter structure, such as the following:

• Introduction – including specific aims and hypotheses
• Methods not included in the paper
• Results not included in the paper
• Discussion – extension of the paper’s discussion, further method development

While chapters that include publications usually highlight their specific contributions, the overall thesis discussion or conclusion should state the combined significance of all the findings at a more conceptual level.

You can synthesise findings from your papers using visualisation, such as in this example:

Visualising integration of findings across publications using bullet points and arrows (Bjerke, 2017, cited in Nygaard & Solli, 2021, p. 145)

Explore an example

This example raises your awareness of the different roles the thesis introduction plays in connecting publications to the thesis. In the presentation below, you will read three introduction excerpts from a history thesis (adapted from Mody, 2018, pp. 1–19). Answer the question on each slide, then turn the card to read the analysis. Some key language has been bolded to aid you.

*If content below does not display, please refresh your browser window

Use the side menu to go the next section: Establishing a cohesive narrative , where we look at how to approach the narrative for a thesis that includes publications.

Establishing a cohesive narrative

The narrative of a thesis refers to the broad enquiry that develops through and connects the more data-focused parts of the thesis, which can include publications.

The narrative typically includes the thesis introduction and thesis discussion/conclusion, as well as the text that introduces and reflects on the data chapters.

Establishing an effective narrative can help you:

• Transition between ideas smoothly
• Create a unified whole for your thesis
• Emphasise aspects of a publication to both differentiate and connect it to the thesis
• Resolve gaps, repetitions or tensions between publications or other thesis components
• Address issues that publications don’t accommodate but which are key to thesis examination, such as a detailed exploration of ethical challenges or your journey of learning and development as a researcher
• Develop new publication ideas, which may emerge from a comprehensive view of the whole thesis.

Engaging in crafting the narrative throughout your candidature can strengthen both your work and your researcher identity.

Overarching argument

Use the table of contents to place your publications in the thesis and gauge whether you can see a clear argument across all thesis components. The following example demonstrates how publications sit alongside chapters written for the thesis as equal components making up a whole.

While acknowledgement of a publication should be made, it’s important to integrate it into the thesis and avoid over-emphasising the role of publications to the extent that they may undermine any non-publication material.

Examine example narratives

Work through the following examples of thesis narratives and complete the associated activities to find out more about the features of an effective narrative. Some critical language has been bolded to help with your observations.

Reflect on the role of your publications, whether completed or intended, throughout the planning and writing of your thesis. This helps you to approach both your publications and your thesis proactively, and build strong research outputs and skills as a researcher-writer.

For more information and support in your writing, Explore: Academic Skills Graduate Research services

The “exegesis” in PhD by publication

Arundel, J. (2015). The spatio-temporal distribution of honey bees and floral resources in Australia [PhD thesis, University of Melbourne]. http://hdl.handle.net/11343/59612

Bibb, J. (2016). Musical recovery: The role of group singing in regaining healthy relationships with music to promote mental health recovery [PhD thesis, University of Melbourne]. http://hdl.handle.net/11343/124271

Mody, F. (2018). Doctors down under: European medical migrants in Victoria (Australia), 1930-60 [PhD thesis, University of Melbourne]. http://hdl.handle.net/11343/221550

Nygaard, L., & Solli, K. (2021). Strategies for writing a thesis by publication in the social sciences and humanities . Routledge.

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• How to Write a Thesis Statement | 4 Steps & Examples

How to Write a Thesis Statement | 4 Steps & Examples

Published on January 11, 2019 by Shona McCombes . Revised on August 15, 2023 by Eoghan Ryan.

A thesis statement is a sentence that sums up the central point of your paper or essay . It usually comes near the end of your introduction .

Your thesis will look a bit different depending on the type of essay you’re writing. But the thesis statement should always clearly state the main idea you want to get across. Everything else in your essay should relate back to this idea.

You can write your thesis statement by following four simple steps:

• Start with a question
• Write your initial answer
• Develop your answer
• Refine your thesis statement

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Table of contents

What is a thesis statement, placement of the thesis statement, step 1: start with a question, step 2: write your initial answer, step 3: develop your answer, step 4: refine your thesis statement, types of thesis statements, other interesting articles, frequently asked questions about thesis statements.

A thesis statement summarizes the central points of your essay. It is a signpost telling the reader what the essay will argue and why.

The best thesis statements are:

• Concise: A good thesis statement is short and sweet—don’t use more words than necessary. State your point clearly and directly in one or two sentences.
• Contentious: Your thesis shouldn’t be a simple statement of fact that everyone already knows. A good thesis statement is a claim that requires further evidence or analysis to back it up.
• Coherent: Everything mentioned in your thesis statement must be supported and explained in the rest of your paper.

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The thesis statement generally appears at the end of your essay introduction or research paper introduction .

The spread of the internet has had a world-changing effect, not least on the world of education. The use of the internet in academic contexts and among young people more generally is hotly debated. For many who did not grow up with this technology, its effects seem alarming and potentially harmful. This concern, while understandable, is misguided. The negatives of internet use are outweighed by its many benefits for education: the internet facilitates easier access to information, exposure to different perspectives, and a flexible learning environment for both students and teachers.

You should come up with an initial thesis, sometimes called a working thesis , early in the writing process . As soon as you’ve decided on your essay topic , you need to work out what you want to say about it—a clear thesis will give your essay direction and structure.

You might already have a question in your assignment, but if not, try to come up with your own. What would you like to find out or decide about your topic?

For example, you might ask:

After some initial research, you can formulate a tentative answer to this question. At this stage it can be simple, and it should guide the research process and writing process .

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Now you need to consider why this is your answer and how you will convince your reader to agree with you. As you read more about your topic and begin writing, your answer should get more detailed.

In your essay about the internet and education, the thesis states your position and sketches out the key arguments you’ll use to support it.

The negatives of internet use are outweighed by its many benefits for education because it facilitates easier access to information.

In your essay about braille, the thesis statement summarizes the key historical development that you’ll explain.

The invention of braille in the 19th century transformed the lives of blind people, allowing them to participate more actively in public life.

A strong thesis statement should tell the reader:

• Why you hold this position
• What they’ll learn from your essay
• The key points of your argument or narrative

The final thesis statement doesn’t just state your position, but summarizes your overall argument or the entire topic you’re going to explain. To strengthen a weak thesis statement, it can help to consider the broader context of your topic.

These examples are more specific and show that you’ll explore your topic in depth.

Your thesis statement should match the goals of your essay, which vary depending on the type of essay you’re writing:

• In an argumentative essay , your thesis statement should take a strong position. Your aim in the essay is to convince your reader of this thesis based on evidence and logical reasoning.
• In an expository essay , you’ll aim to explain the facts of a topic or process. Your thesis statement doesn’t have to include a strong opinion in this case, but it should clearly state the central point you want to make, and mention the key elements you’ll explain.

If you want to know more about AI tools , college essays , or fallacies make sure to check out some of our other articles with explanations and examples or go directly to our tools!

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A thesis statement is a sentence that sums up the central point of your paper or essay . Everything else you write should relate to this key idea.

The thesis statement is essential in any academic essay or research paper for two main reasons:

• It gives your writing direction and focus.
• It gives the reader a concise summary of your main point.

Without a clear thesis statement, an essay can end up rambling and unfocused, leaving your reader unsure of exactly what you want to say.

Follow these four steps to come up with a thesis statement :

• Ask a question about your topic .
• Write your initial answer.
• Develop your answer by including reasons.
• Refine your answer, adding more detail and nuance.

The thesis statement should be placed at the end of your essay introduction .

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While Sandel argues that pursuing perfection through genetic engineering would decrease our sense of humility, he claims that the sense of solidarity we would lose is also important.

This thesis summarizes several points in Sandel’s argument, but it does not make a claim about how we should understand his argument. A reader who read Sandel’s argument would not also need to read an essay based on this descriptive thesis.  

Broad thesis (arguable, but difficult to support with evidence) 

Michael Sandel’s arguments about genetic engineering do not take into consideration all the relevant issues.

This is an arguable claim because it would be possible to argue against it by saying that Michael Sandel’s arguments do take all of the relevant issues into consideration. But the claim is too broad. Because the thesis does not specify which “issues” it is focused on—or why it matters if they are considered—readers won’t know what the rest of the essay will argue, and the writer won’t know what to focus on. If there is a particular issue that Sandel does not address, then a more specific version of the thesis would include that issue—hand an explanation of why it is important.  

Arguable thesis with analytical claim 

While Sandel argues persuasively that our instinct to “remake” (54) ourselves into something ever more perfect is a problem, his belief that we can always draw a line between what is medically necessary and what makes us simply “better than well” (51) is less convincing.

This is an arguable analytical claim. To argue for this claim, the essay writer will need to show how evidence from the article itself points to this interpretation. It’s also a reasonable scope for a thesis because it can be supported with evidence available in the text and is neither too broad nor too narrow.  

Arguable thesis with normative claim 

Given Sandel’s argument against genetic enhancement, we should not allow parents to decide on using Human Growth Hormone for their children.

This thesis tells us what we should do about a particular issue discussed in Sandel’s article, but it does not tell us how we should understand Sandel’s argument.  

Questions to ask about your thesis 

• Is the thesis truly arguable? Does it speak to a genuine dilemma in the source, or would most readers automatically agree with it?  
• Is the thesis too obvious? Again, would most or all readers agree with it without needing to see your argument?  
• Is the thesis complex enough to require a whole essay's worth of argument?  
• Is the thesis supportable with evidence from the text rather than with generalizations or outside research?  
• Would anyone want to read a paper in which this thesis was developed? That is, can you explain what this paper is adding to our understanding of a problem, question, or topic?
• picture_as_pdf Thesis

Home / Guides / Citation Guides / APA Format / How to Cite a Thesis or Dissertation in APA

How to Cite a Thesis or Dissertation in APA

In this citation guide, you will learn how to reference and cite an undergraduate thesis, master’s thesis, or doctoral dissertation. This guide will also review the differences between a thesis or dissertation that is published and one that has remained unpublished. The guidelines below come from the 7th edition of the Publication Manual of the American Psychological Association (2020a), pages 333 and 334. Please note that the association is not affiliated with this guide.

Alternatively, you can visit EasyBib.com for helpful citation tools to cite your thesis or dissertation .

Guide Overview

Citing an unpublished thesis or dissertation, citing a published dissertation or thesis from a database, citing a thesis or dissertation published online but not from a database, citing a thesis or dissertation: reference overview, what you need.

Since unpublished theses can usually only be sourced in print form from a university library, the correct citation structure includes the university name where the publisher element usually goes.

Author’s last name, F. M. (Year published). Title in sentence case [Unpublished degree type thesis or dissertation]. Name of institution.

Ames, J. H., & Doughty, L. H. (1911). The proposed plans for the Iowa State College athletic field including the design of a reinforced concrete grandstand and wall [Unpublished bachelor’s thesis]. Iowa State University.

In-text citation example:

• Parenthetical :  (Ames & Doughty, 1911)
• Narrative :  Ames & Doughty (1911)

If a thesis or dissertation has been published and is found on a database, then follow the structure below. It’s similar to the format for an unpublished dissertation/thesis, but with a few differences:

• The institution is presented in brackets after the title
• The archive or database name is included

Author’s last name, F. M. (Year published). Title in sentence case (Publication or Document No.) [Degree type thesis or dissertation, Name of institution]. Database name.

Examples 1:

Knight, K. A. (2011). Media epidemics: Viral structures in literature and new media (Accession No. 2013420395) [Doctoral dissertation, University of California, Santa Barbara]. ProQuest Dissertations Publishing.

Trotman, J.B. (2018). New insights into the biochemistry and cell biology of RNA recapping (Document No. osu1523896565730483) [Doctoral dissertation, Ohio State University]. OhioLINK Electronic Theses & Dissertations Center.

In the example given above, the dissertation is presented with a Document Number (Document No.). Sometimes called a database number or publication number, this is the identifier that is used by the database’s indexing system. If the database you are using provides you with such a number, then include it directly after the work’s title in parentheses.

If you are interested in learning more about how to handle works that were accessed via academic research databases, see Section 9.3 of the Publication Manual.

In-text citation examples :

• Parenthetical citation : (Trotman, 2018)
• Narrative citation : Trotman (2018)

Author’s last name, F. M. (Year Published). Title in sentence case [Degree type thesis or dissertation, Name of institution]. Name of archive or collection. URL

Kim, O. (2019). Soviet tableau: cinema and history under late socialism [Doctoral dissertation, University of Pittsburgh]. Institutional Repository at the University of Pittsburgh. https://d-scholarship.pitt.edu/37669/7/Olga%20Kim%20Final%20ETD.pdf

Stiles, T. W. (2001). Doing science: Teachers’ authentic experiences at the Lone Star Dinosaur Field Institute [Master’s thesis, Texas A&M University]. OAKTrust. https://hdl.handle.net/1969.1/ETD-TAMU-2001-THESIS-S745

It is important to note that not every thesis or dissertation published online will be associated with a specific archive or collection. If the work is published on a private website, provide only the URL as the source element.

In-text citation examples:

• Parenthetical citation : (Kim, 2019)
• Narrative citation : Kim (2019)
• Parenthetical citation : (Stiles, 2001)
• Narrative citation : Stiles (2001)

We hope that the information provided here will serve as an effective guide for your research. If you’re looking for even more citation info, visit EasyBib.com for a comprehensive collection of educational materials covering multiple source types.

If you’re citing a variety of different sources, consider taking the EasyBib citation generator for a spin. It can help you cite easily and offers citation forms for several different kinds of sources.

To start things off, let’s take a look at the different types of literature that are classified under Chapter 10.6 of the Publication Manual :

• Undergraduate thesis
• Master’s thesis
• Doctoral dissertation

You will need to know which type you are citing. You’ll also need to know if it is published or unpublished .

When you decide to cite a dissertation or thesis, you’ll need to look for the following information to use in your citation:

• Author’s last name, and first and middle initials
• Year published
• Title of thesis or dissertation
• If it is unpublished
• Publication or document number (if applicable; for published work)
• Degree type (bachelor’s, master’s, doctoral)
• Thesis or dissertation
• Name of institution awarding degree
• DOI (https://doi.org/xxxxx) or URL (if applicable)

Since theses and dissertations are directly linked to educational degrees, it is necessary to list the name of the associated institution; i.e., the college, university, or school that is awarding the associated degree.

To get an idea of the proper form, take a look at the examples below. There are three outlined scenarios:

• Unpublished thesis or dissertation
• Published thesis or dissertation from a database
• Thesis or dissertation published online but not from a database

American Psychological Association. (2020a). Publication manual of the American Psychological Association (7th ed.). https://doi.org/10.1037/0000165-000

American Psychological Association. (2020b). Style-Grammar-Guidelines. https://apastyle.apa.org/style-grammar-guidelines/citations/basic-principles/parenthetical-versus-narrative

Published August 10, 2012. Updated March 24, 2020.

Written and edited by Michele Kirschenbaum and Elise Barbeau. Michele Kirschenbaum is a school library media specialist and the in-house librarian at EasyBib.com. Elise Barbeau is the Citation Specialist at Chegg. She has worked in digital marketing, libraries, and publishing.

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• Paraphrasing
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To cite a published thesis in APA style, it is important that you know some basic information such as the author, publication year, title of the thesis, institute name, archive name, and URL (uniform resource locator). The templates for an in-text citation and reference list entry of a thesis, along with examples, are given below:

In-text citation template and example:

Use the author surname and the publication year in the in-text citation.

Author Surname (Publication Year)

Cartmel (2007)

Parenthetical:

(Author Surname, Publication Year)

(Cartmel, 2007)

Reference list entry template and example:

The title of the thesis is set in sentence case and italicized. Enclose the thesis and the institute awarding the degree inside brackets following the publication year. Then add the name of the database followed by the URL.

Author Surname, F. M. (Publication Year). Title of the thesis [Master’s thesis, Institute Name]. Name of the Database. URL

Cartmel, J. (2007). Outside school hours care and schools [Master’s thesis, Queensland University of Technology]. EPrints. http://eprints.qut.edu.au/17810/1/Jennifer_Cartmel_Thesis.pdf

To cite an unpublished dissertation in APA style, it is important that you know some basic information such as the author, year, title of the dissertation, and institute name. The templates for in-text citation and reference list entry of an online thesis, along with examples, are given below:

Author Surname (Year)

Averill (2009)

(Author Surname, Year)

(Averill, 2009)

The title of the dissertation is set in sentence case and italicized. Enclose “Unpublished doctoral dissertation” inside brackets following the year. Then add the name of the institution awarding the degree.

Author Surname, F. M. (Publication Year). Title of the dissertation [Unpublished doctoral dissertation]. Name of the Institute.

Averill, R. (2009). Teacher–student relationships in diverse New Zealand year 10 mathematics classrooms: Teacher care [Unpublished doctoral dissertation]. Victoria University of Wellington.

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The Ultimate Guide to Getting Your Thesis Published in a Journal

• 7-minute read
• 25th February 2023

Writing your thesis and getting it published are huge accomplishments. However, publishing your thesis in an academic journal is another journey for scholars. Beyond how much hard work, time, and research you invest, having your findings published in a scholarly journal is vital for your reputation as a scholar and also advances research findings within your field.

This guide will walk you through how to make sure your thesis is ready for publication in a journal. We’ll go over how to prepare for pre-publication, how to submit your research, and what to do after acceptance.

Pre-Publication Preparations

Understanding the publishing process.

Ideally, you have already considered what type of publication outlet you want your thesis research to appear in. If not, it’s best to do this so you can tailor your writing and overall presentation to fit that publication outlet’s expectations. When selecting an outlet for your research, consider the following:

●  How well will my research fit the journal?

●  Are the reputation and quality of this journal high?

●  Who is this journal’s readership/audience?

●  How long does it take the journal to respond to a submission?

●  What’s the journal’s rejection rate?

Once you finish writing, revising, editing, and proofreading your work (which can take months or years), expect the publication process to be an additional three months or so.

Revising Your Thesis

Your thesis will need to be thoroughly revised, reworked, reorganized, and edited before a journal will accept it. Journals have specific requirements for all submissions, so read everything on a journal’s submission requirements page before you submit. Make a checklist of all the requirements to be sure you don’t overlook anything. Failing to meet the submission requirements could result in your paper being rejected.

Areas for Improvement

No doubt, the biggest challenge academics face in this journey is reducing the word count of their thesis to meet journal publication requirements. Remember that the average thesis is between 60,000 and 80,000 words, not including footnotes, appendices, and references. On the other hand, the average academic journal article is 4,000 to 7,000 words. Reducing the number of words this much may seem impossible when you are staring at the year or more of research your thesis required, but remember, many have done this before, and many will do it again. You can do it too. Be patient with the process.

Additional areas of improvement include>

·   having to reorganize your thesis to meet the section requirements of the journal you submit to ( abstract, intro , methods, results, and discussion).

·   Possibly changing your reference system to match the journal requirements or reducing the number of references.

·   Reformatting tables and figures.

·   Going through an extensive editing process to make sure everything is in place and ready.

Identifying Potential Publishers

Many options exist for publishing your academic research in a journal. However, along with the many credible and legitimate publishers available online, just as many predatory publishers are out there looking to take advantage of academics. Be sure to always check unfamiliar publishers’ credentials before commencing the process. If in doubt, ask your mentor or peer whether they think the publisher is legitimate, or you can use Think. Check. Submit .

If you need help identifying which journals your research is best suited to, there are many tools to help. Here’s a short list:

○  Elsevier JournalFinder

○  EndNote Matcher

○  Journal/Author Name Estimator (JANE)

○  Publish & Flourish Open Access

·   The topics the journal publishes and whether your research will be a good fit.

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·   The journal’s audience (whom you want to read your research).

·   The types of articles the journal publishes (e.g., reviews, case studies).

·   Your personal requirements (e.g., whether you’re willing to wait a long time to see your research published).

Submitting Your Thesis

Now that you have thoroughly prepared, it’s time to submit your thesis for publication. This can also be a long process, depending on peer review feedback.

Preparing Your Submission

Many publishers require you to write and submit a cover letter along with your research. The cover letter is your sales pitch to the journal’s editor. In the letter, you should not only introduce your work but also emphasize why it’s new, important, and worth the journal’s time to publish. Be sure to check the journal’s website to see whether submission requires you to include specific information in your cover letter, such as a list of reviewers.

Whenever you submit your thesis for publication in a journal article, it should be in its “final form” – that is, completely ready for publication. Do not submit your thesis if it has not been thoroughly edited, formatted, and proofread. Specifically, check that you’ve met all the journal-specific requirements to avoid rejection.

Navigating the Peer Review Process

Once you submit your thesis to the journal, it will undergo the peer review process. This process may vary among journals, but in general, peer reviews all address the same points. Once submitted, your paper will go through the relevant editors and offices at the journal, then one or more scholars will peer-review it. They will submit their reviews to the journal, which will use the information in its final decision (to accept or reject your submission).

While many academics wait for an acceptance letter that says “no revisions necessary,” this verdict does not appear very often. Instead, the publisher will likely give you a list of necessary revisions based on peer review feedback (these revisions could be major, minor, or a combination of the two). The purpose of the feedback is to verify and strengthen your research. When you respond to the feedback , keep these tips in mind:

●  Always be respectful and polite in your responses, even if you disagree.

●  If you do disagree, be prepared to provide supporting evidence.

●  Respond to all the comments, questions, and feedback in a clear and organized manner.

●  Make sure you have sufficient time to make any changes (e.g., whether you will need to conduct additional experiments).

After Publication

Once the journal accepts your article officially, with no further revisions needed, take a moment to enjoy the fruits of your hard work. After all, having your work appear in a distinguished journal is not an easy feat. Once you’ve finished celebrating, it’s time to promote your work. Here’s how you can do that:

●  Connect with other experts online (like their posts, follow them, and comment on their work).

●  Email your academic mentors.

●  Share your article on social media so others in your field may see your work.

●  Add the article to your LinkedIn publications.

●  Respond to any comments with a “Thank you.”

Getting your thesis research published in a journal is a long process that goes from reworking your thesis to promoting your article online. Be sure you take your time in the pre-publication process so you don’t have to make lots of revisions. You can do this by thoroughly revising, editing, formatting, and proofreading your article.

During this process, make sure you and your co-authors (if any) are going over one another’s work and having outsiders read it to make sure no comma is out of place.

What are the benefits of getting your thesis published?

Having your thesis published builds your reputation as a scholar in your field. It also means you are contributing to the body of work in your field by promoting research and communication with other scholars.

How long does it typically take to get a thesis published?

Once you have finished writing, revising, editing, formatting, and proofreading your thesis – processes that can add up to months or years of work – publication can take around three months. The exact length of time will depend on the journal you submit your work to and the peer review feedback timeline.

How can I ensure the quality of my thesis when attempting to get it published?

If you want to make sure your thesis is of the highest quality, consider having professionals proofread it before submission (some journals even require submissions to be professionally proofread). Proofed has helped thousands of researchers proofread their theses. Check out our free trial today.

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25 Thesis Statement Examples That Will Make Writing a Breeze

Understanding what makes a good thesis statement is one of the major keys to writing a great research paper or argumentative essay. The thesis statement is where you make a claim that will guide you through your entire paper. If you find yourself struggling to make sense of your paper or your topic, then it's likely due to a weak thesis statement.

Let's take a minute to first understand what makes a solid thesis statement, and what key components you need to write one of your own.

A thesis statement always goes at the beginning of the paper. It will typically be in the first couple of paragraphs of the paper so that it can introduce the body paragraphs, which are the supporting evidence for your thesis statement.

Your thesis statement should clearly identify an argument. You need to have a statement that is not only easy to understand, but one that is debatable. What that means is that you can't just put any statement of fact and have it be your thesis. For example, everyone knows that puppies are cute . An ineffective thesis statement would be, "Puppies are adorable and everyone knows it." This isn't really something that's a debatable topic.

Something that would be more debatable would be, "A puppy's cuteness is derived from its floppy ears, small body, and playfulness." These are three things that can be debated on. Some people might think that the cutest thing about puppies is the fact that they follow you around or that they're really soft and fuzzy.

All cuteness aside, you want to make sure that your thesis statement is not only debatable, but that it also actually thoroughly answers the research question that was posed. You always want to make sure that your evidence is supporting a claim that you made (and not the other way around). This is why it's crucial to read and research about a topic first and come to a conclusion later. If you try to get your research to fit your thesis statement, then it may not work out as neatly as you think. As you learn more, you discover more (and the outcome may not be what you originally thought).

Additionally, your thesis statement shouldn't be too big or too grand. It'll be hard to cover everything in a thesis statement like, "The federal government should act now on climate change." The topic is just too large to actually say something new and meaningful. Instead, a more effective thesis statement might be, "Local governments can combat climate change by providing citizens with larger recycling bins and offering local classes about composting and conservation." This is easier to work with because it's a smaller idea, but you can also discuss the overall topic that you might be interested in, which is climate change.

So, now that we know what makes a good, solid thesis statement, you can start to write your own. If you find that you're getting stuck or you are the type of person who needs to look at examples before you start something, then check out our list of thesis statement examples below.

Thesis statement examples

A quick note that these thesis statements have not been fully researched. These are merely examples to show you what a thesis statement might look like and how you can implement your own ideas into one that you think of independently. As such, you should not use these thesis statements for your own research paper purposes. They are meant to be used as examples only.

• Vaccinations Because many children are unable to vaccinate due to illness, we must require that all healthy and able children be vaccinated in order to have herd immunity.
• Educational Resources for Low-Income Students Schools should provide educational resources for low-income students during the summers so that they don't forget what they've learned throughout the school year.
• School Uniforms School uniforms may be an upfront cost for families, but they eradicate the visual differences in income between students and provide a more egalitarian atmosphere at school.
• Populism The rise in populism on the 2016 political stage was in reaction to increasing globalization, the decline of manufacturing jobs, and the Syrian refugee crisis.
• Public Libraries Libraries are essential resources for communities and should be funded more heavily by local municipalities.
• Cyber Bullying With more and more teens using smartphones and social media, cyber bullying is on the rise. Cyber bullying puts a lot of stress on many teens, and can cause depression, anxiety, and even suicidal thoughts. Parents should limit the usage of smart phones, monitor their children's online activity, and report any cyber bullying to school officials in order to combat this problem.
• Medical Marijuana for Veterans Studies have shown that the use of medicinal marijuana has been helpful to veterans who suffer from Post-Traumatic Stress Disorder (PTSD). Medicinal marijuana prescriptions should be legal in all states and provided to these veterans. Additional medical or therapy services should also be researched and implemented in order to help them re-integrate back into civilian life.
• Work-Life Balance Corporations should provide more work from home opportunities and six-hour workdays so that office workers have a better work-life balance and are more likely to be productive when they are in the office.
• Teaching Youths about Consensual Sex Although sex education that includes a discussion of consensual sex would likely lead to less sexual assault, parents need to teach their children the meaning of consent from a young age with age appropriate lessons.
• Whether or Not to Attend University A degree from a university provides invaluable lessons on life and a future career, but not every high school student should be encouraged to attend a university directly after graduation. Some students may benefit from a trade school or a "gap year" where they can think more intensely about what it is they want to do for a career and how they can accomplish this.
• Studying Abroad Studying abroad is one of the most culturally valuable experiences you can have in college. It is the only way to get completely immersed in another language and learn how other cultures and countries are different from your own.
• Women's Body Image Magazines have done a lot in the last five years to include a more diverse group of models, but there is still a long way to go to promote a healthy woman's body image collectively as a culture.
• Cigarette Tax Heavily taxing and increasing the price of cigarettes is essentially a tax on the poorest Americans, and it doesn't deter them from purchasing. Instead, the state and federal governments should target those economically disenfranchised with early education about the dangers of smoking.
• Veganism A vegan diet, while a healthy and ethical way to consume food, indicates a position of privilege. It also limits you to other cultural food experiences if you travel around the world.
• University Athletes Should be Compensated University athletes should be compensated for their service to the university, as it is difficult for these students to procure and hold a job with busy academic and athletic schedules. Many student athletes on scholarship also come from low-income neighborhoods and it is a struggle to make ends meet when they are participating in athletics.
• Women in the Workforce Sheryl Sandberg makes a lot of interesting points in her best-selling book, Lean In , but she only addressed the very privileged working woman and failed to speak to those in lower-skilled, lower-wage jobs.
• Assisted Suicide Assisted suicide should be legal and doctors should have the ability to make sure their patients have the end-of-life care that they want to receive.
• Celebrity and Political Activism Although Taylor Swift's lyrics are indicative of a feminist perspective, she should be more politically active and vocal to use her position of power for the betterment of society.
• The Civil War The insistence from many Southerners that the South seceded from the Union for states' rights versus the fact that they seceded for the purposes of continuing slavery is a harmful myth that still affects race relations today.
• Blue Collar Workers Coal miners and other blue-collar workers whose jobs are slowly disappearing from the workforce should be re-trained in jobs in the technology sector or in renewable energy. A program to re-train these workers would not only improve local economies where jobs have been displaced, but would also lead to lower unemployment nationally.
• Diversity in the Workforce Having a diverse group of people in an office setting leads to richer ideas, more cooperation, and more empathy between people with different skin colors or backgrounds.
• Re-Imagining the Nuclear Family The nuclear family was traditionally defined as one mother, one father, and 2.5 children. This outdated depiction of family life doesn't quite fit with modern society. The definition of normal family life shouldn't be limited to two-parent households.
• Digital Literacy Skills With more information readily available than ever before, it's crucial that students are prepared to examine the material they're reading and determine whether or not it's a good source or if it has misleading information. Teaching students digital literacy and helping them to understand the difference between opinion or propaganda from legitimate, real information is integral.
• Beauty Pageants Beauty pageants are presented with the angle that they empower women. However, putting women in a swimsuit on a stage while simultaneously judging them on how well they answer an impossible question in a short period of time is cruel and purely for the amusement of men. Therefore, we should stop televising beauty pageants.
• Supporting More Women to Run for a Political Position In order to get more women into political positions, more women must run for office. There must be a grassroots effort to educate women on how to run for office, who among them should run, and support for a future candidate for getting started on a political career.

Still stuck? Need some help with your thesis statement?

If you are still uncertain about how to write a thesis statement or what a good thesis statement is, be sure to consult with your teacher or professor to make sure you're on the right track. It's always a good idea to check in and make sure that your thesis statement is making a solid argument and that it can be supported by your research.

After you're done writing, it's important to have someone take a second look at your paper so that you can ensure there are no mistakes or errors. It's difficult to spot your own mistakes, which is why it's always recommended to have someone help you with the revision process, whether that's a teacher, the writing center at school, or a professional editor such as one from ServiceScape .

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APA 7th Edition Citation Examples

• Volume and Issue Numbers
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• Citing a Source Within a Source
• In-Text Citations
• Academic Journals
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• Book, Film, and Product Reviews
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Format for dissertations and theses

Dissertations and theses database.

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Author last name, first initial. (Year).  Title of dissertation/thesis  (Publication No.) [Doctoral dissertation/Master's thesis, University]. Database. URL

• Author:  List the last name, followed by the first initial (and second initial). See  Authors  for more information.
• Year:  List the year between parentheses, followed by a period.
• Title of dissertation/thesis:  In italics. Capitalize the first word of the title, subtitle, and proper nouns.
• Publication number: Can be found in Dissertations and Theses database, listed in the item record as “Dissertation/thesis number.”
• Doctoral dissertation/Master's thesis:  List whether it is a dissertation or a thesis.
• University:  List the university associated with the dissertation/thesis.
• Database:  List database the dissertation/thesis was found in, if found in a database.
• URL:  List URL if found on the free Web rather than in a database.

See specific examples below.

Dissertations:

Pecore, J. T. (2004). Sounding the spirit of Cambodia: The living tradition of Khmer music and dance-drama in a Washington, DC community  (Publication No. 3114720) [Doctoral dissertation, University of Maryland]. ProQuest Dissertations and Theses Global. 

Master's Theses:

Hollander, M. M. (2017). Resitance to authority: Methodological innovations and new lessons from the Milgram experiment   (Publication No. 10289373) [Master's thesis, University of Wisconsin - Madison]. ProQuest Dissertations and Theses Global.

APA calls for the citation to include a unique identifying number for the dissertation, labeling it “Publication No.” That number can be found in Dissertations and Theses database, listed in the item record as “Dissertation/thesis number.”

Karamanos, X. (2020). The influence of professional development models on student mathematics performance in New Jersey public elementary schools [Doctoral dissertation, Seton Hall University]. Seton Hall University Dissertations and Theses (ETDs). https://scholarship.shu.edu/dissertations/2732

Bordo, V. C. (2011). Making a case for the use of foreign language in the educational activities of nonprofit arts organizations [Master's thesis, University of Akron]. OhioLINK Electronic Theses & Dissertations Center. http://rave.ohiolink.edu/etdc/view?acc_num=akron1311135640

Caprette, C. L. (2005). Conquering the cold shudder: The origin and evolution of snake eyes  [Doctoral dissertation, Ohio State University].

Angelova, A. N. (2004). Data pruning  [Master's thesis, California Institute of Technology].

See  Publication Manual , 10.6.

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• Publication Process

How to Write a Journal Article from a Thesis

• 3 minute read
• 201.6K views

Table of Contents

You are almost done with your PhD thesis and want to convert it into a journal article. Or, you’re initiating a career as a journal writer and intend to use your thesis as a starting point for an article. Whatever your situation, turning a thesis into a journal article is a logical step and a process that eventually every researcher completes. But…how to start?

The first thing to know about converting a thesis into a journal article is how different they are:

Thesis Characteristics:

• Meets academic requirements
• Reviewed by select committee members
• Contains chapters
• Lengthy, no word limits
• Table of contents
• Lengthy research of literature
• IRB approval described in detail
• Description and copies of tools used
• All findings presented
• Verb tenses may vary

Journal Article Characteristics:

• Meets journalistic standards
• Reviewed by a panel of “blind” reviewers
• Word limits
• Manuscript format
• Succinct research of literature
• IRB described in 1 to 3 sentences
• Essential and succinct tool information
• Selected findings presented
• Verb tenses are fairly consistent

Converting your thesis to a journal article may be complex, but it’s not impossible.

A thesis is a document of academic nature, so it’s more detailed in content. A journal article, however, is shorter, highlighting key points in a more succinct format. Adapting a thesis for conversion into a journal article is a time-consuming and intricate process that can take you away from other important work. In that case, Elsevier’s Language Editing services may help you focus on important matters and provide a high-quality text for submission in no time at all.

If you are going to convert a thesis into a journal article, with or without professional help, here is a list of some of the steps you will likely have to go through:

1. Identify the best journal for your work

• Ensure that your article is within the journal’s aim and scope. How to find the right journal? Find out more .
• Check the journal’s recommended structure and reference style

2. Shorten the length of your thesis

• Treat your thesis as a separate work
• Paraphrase but do not distort meaning
• Select and repurpose parts of your thesis

3. Reformat the introduction as an abstract

• Shorten the introduction to 100-150 words, but maintain key topics to hold the reader’s attention.
• Use the introduction and discussion as basis for the abstract

4. Modify the introduction

• If your thesis has more than one research question or hypothesis, which are not all relevant for your paper, consider combining your research questions or focusing on just one for the article
• Use previously published papers (at least three) from the target journal as examples

5. Tighten the methods section

• Keep the discussion about your research approach short

6. Report main findings in the results

• Expose your main findings in the results section in concise statements

7. Discussion must be clear and concise

• Begin by providing an interpretation of your results: “What is it that we have learned from your research?”
• Situate the findings to the literature
• Discuss how your findings expand known or previous perspectives
• Briefly present ways in which future studies can build upon your work and address limitations in your study

8. Limit the number of references

• To choose the most relevant and recent
• To format them correctly
• Consider using a reference manager system (e.g. Mendeley ) to make your life easier

If you are not a proficient English speaker, the task of converting a thesis into a journal article might make it even more difficult. At Elsevier’s Language Editing services we ensure that your manuscript is written in correct scientific English before submission. Our professional proofers and editors check your manuscript in detail, taking your text as our own and with the guarantee of maximum text quality.

Language editing services by Elsevier Author Services:

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Publication-based doctorate: is it for me?

Potential research higher degree candidates from academia or industry will need to decide between a doctorate by thesis or by publication. Here are key questions to ask before embarking on the doctoral journey

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Prospective doctoral candidates have much less understanding of the process and requirements for a publication-based doctorate than they do for the more popular thesis-based route. Completing a doctorate, thesis- or publication-based, takes time and effort. Selecting the right mode is important before starting a research higher degree (RHD), so that the prospective doctoral candidate can be confident of completing it.

Here, I discuss the questions that future doctoral candidates should ask if they are considering a publication-based doctorate.

• Why get a PhD by publication (and other career tips)
• Why getting a PhD is like building a Lego duck
• Don’t jettison traditional academic writing just yet

What is my goal in completing a doctorate?

A thesis-based doctorate helps the candidate to explore a subtopic of a research field as deeply as possible, based on few theoretical variables and within a limited practical context (for example, a limited dataset from a single socio-economic setting). A publication-based doctorate could explore a topic with more variables and contexts (for example, different publications on same topic would have different variables and datasets). It gives a publication-based doctorate a little more flexibility to explore a topic more widely. Therefore, the goal of exploring a subtopic area as widely as possible could fit better for a publication-based doctorate.

What is my thesis?

Yes, even for a publication-based doctorate, candidates need to produce a thesis, a theory or a proposition on a single topic, in combination with the overall contributions of published papers. As a result, the candidates need to think about how they can draw together the relevant findings from published papers to produce new knowledge on a single topic.

Are my publications cohesive?

For a publication-based doctorate, the publications you may already have and the outputs you plan to produce within an agreed time frame should focus on and contribute to a single subtopic. So ask yourself: how unified are my existing and planned publications? Designing the research aim, research question, methodology and contribution of your intended publications in relation to these sections among your existing publications is instrumental to ensuring that your publications are cohesive.

Where am I publishing?

Understanding where you publish should be a key consideration, as not all publications will be eligible for inclusion in your submission. All fields of studies have their own benchmark publications. For example, in business, the journal lists of the Association of Business Schools in the UK and the Australian Business Deans’ Council are often used to indicate a publication’s quality. In general, a publication-based doctorate could consist of journal papers, book chapters or published conference proceedings. Industry-based publications could be considered as well in some instances (for example, if you have an article published by a reputable chamber of commerce). Articles in predatory journals and publications such as brief op-ed articles or blogs might not be considered for a doctorate by publication.

Will the findings and contributions of my publications stand the test of time?

Doctoral candidates may already have publications, perhaps even in good academic journals, but they may be 10 years old. The knowledge produced perhaps made a contribution to your field of study, but the subsequent progress of the field may have surpassed your work or made it obsolete over time. So considering the potential significance of publications during the projected time of a doctoral submission is important. Comparing your work with existing publications in your field is a good way to understand the significance of the work you produce.

What is the extent of my theoretical and practical contribution?  

All doctorates should make significant contribution of theoretical knowledge and practical implication. But we know that the extent of theoretical and practical contribution of a RHD can differ based on the type of doctorate someone would undertake. For example, a doctor of philosophy needs to produce significant theoretical knowledge, whereas a professional doctorate would need more practical implications. Therefore, the candidate needs to consider the extent of theoretical and practical implications of their publications, in order to decide whether a doctor of philosophy or a professional doctorate would be more relevant.

Am I publishing as a sole author or a co-author?

Often, we work in a team and publish with our co-authors. Therefore, if you are planning to include one or several co-authored publications in a publication-based doctorate, securing permission from co-authors to include the relevant sections (that you have contributed to those co-authored publications) into a publication-based doctoral thesis will be helpful in avoiding any future conflict of interest among co-authors.

What is my career stage?

Career stage would have an influence on whether to opt for a doctorate by publication. For example, a candidate may already have five or 10 years of academic teaching or industry experience but has perhaps produced few academic or industry-based publications. In general, working to publish more papers in next two years, and combining them with existing publications to produce a new knowledge, would be useful to submit a thesis by publication. Mid-career candidates from either academia or industry might be considering a publication-based doctorate alongside other commitments but find that their work-life balance is unsustainable. In this case, a doctor of philosophy would be more appropriate for academic candidates, while a professional doctorate would be more relevant for candidates from industry.

How do I find a PhD supervisor?

Irrespective of whether the doctorate is by thesis or publication, RHD supervisors play a significant role in training their candidates to become independent researchers. So looking at the prospective supervisors’ profile, comparing your topic with their research area, emailing them to share your draft proposal, and requesting an appointment to talk about it further will be valuable for prospective candidates. It will help them to develop their topic of research, understand research procedures and requirements, and secure a supervisor.

These questions will help an academic or an industry professional considering a doctorate by publication to weigh their options carefully.

Riad Shams is assistant professor and head of the PhD programme at the Newcastle Business School at Northumbria University, UK. He is a board member of the Northern Advanced Research Training Initiative, a fellow of the Higher Education Academy and the EuroMed Academy of Business, and associate editor of the Journal of Social Entrepreneurship .

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Research Guides

Submit and publish your thesis.

• The Graduate Thesis: What is it?
• Thesis Defences
• Deadlines and Fees
• Formatting in MS Word
• Formatting in LaTeX
• Making Thesis Accessible
• Thesis Embargo
• Review and Release
• Your Rights as an Author
• Re-using Third Party Materials
• Creative Commons Licenses for Theses
• Turning Thesis into an Article
• Turning Thesis into a Book
• Other Venues of Publication

Publishing from your thesis before or after graduation

"Will repository submission affect my publishing plans?"

... this is a common question for someone looking to publish from their thesis before or after graduation.

Most journals welcome submissions based on a thesis or dissertation. Some may have additional requirements, such as to:

• Let them know about the university’s requirement to make your thesis publicly available
• Submit a manuscript that is substantially different than the thesis content
• Embargo the thesis until after publication, etc.

Your steps will depend on the following scenarios:

Scenario 1 - you ARE NOT planning on publishing your thesis before or after graduation

In this case:

• You can submit your thesis without an embargo
• Your thesis will become publicly available in TSpace  and Library and Archives Canada after your convocation and will be widely indexed via search engines and indexes
• Use the TSpace-generated permanent URL to share and cite your thesis - see example of such citation below

Tajdaran, K. (2015). Enhancement of Peripheral Nerve Regeneration with Controlled Release of Glial Cell Line-derived Neurotrophic Factor (GDNF) (Master’s Thesis, University of Toronto). Retrieved from http://hdl.handle.net/1807/74747

Scenario 2 - You ARE planning on publishing your thesis AFTER graduation

Most journals are interested in “original, previously unpublished” research. Some journals consider theses as a form of “prior publications”, others do not, and the majority does not have a clear definition. It will be best to check journal policy before you submit your thesis.

Nature Research will consider submissions containing material that has previously formed part of a PhD or other academic thesis which has been published according to the requirements of the institution awarding the qualification.

►►►How to check journal policies:

• MIT Libraries' list of policy excerpts from major publishers
• Journal’s website - usually under Information for Authors or Copyright / Permissions or Editorial Policy; or in the publication agreement if available online
• If such information cannot be located online, contact the editors directly
• If the journal requires that you place an embargo on your thesis until after publication, see the SGS instructions on how to request an embargo on your thesis .

Scenario 3 - You ARE planning on publishing (or have already published) from your thesis BEFORE graduation

You may want or be expected to publish parts of your thesis before your thesis is submitted, such as with an integrated/publication-based/sandwich thesis. The most important thing to keep in mind here is copyright. You own copyright of your written materials, and a publisher may require copyright transfer of your manuscript.

You need to ensure you retain certain rights or obtain permission in order to satisfy the university’s requirement of making your thesis openly accessible via TSpace, ProQuest and Library and Archives Canada (LAC). For more details on these repositories, see the  Review and Release  section of this guide.

Check whether the journal requires prior notification about U of T’s open access requirement for theses. Some journals want to be notified of this mandate whether or not they restrict the re-use of articles in theses.

Check whether the publisher requires copyright transfer . This should be stated on their website, in the publication agreement, or you can inquire directly with the journal.

If the publisher does not require copyright transfer , i.e. author retains copyright, then you can reuse your article/chapter in your thesis; no permission needed.

If the publisher requires copyright transfer , follow these steps:

Check if the publisher has special provisions for reusing your published work in your thesis. They may permit the inclusion of a non-final version, such as your submitted or accepted manuscript. See more below on understanding different article versions for sharing .

►►►How to check journal policies:  See MIT Libraries' list of policy excerpts from major publishers or the journal/publisher website.

For example, Taylor and Francis policy allows to:

Include your article Author’s Original Manuscript (AOM) or Accepted Manuscript(AM) , depending on the embargo period in your thesis or dissertation. The Version of Record cannot be used. https://authorservices.taylorandfrancis.com/copyright-and-you/

Check if the article is distributed under a Creative Commons license. This may allow re-use.

►►►How to check journal's CC license:  See the journal/publisher website or contact the journal directly.

If the publisher requires copyright transfer, has no special provisions and does not publish under a CC license, you will need to contact them to request permission to include your article in your thesis. You can:

• Negotiate making the article available as part of the thesis in TSpace, ProQuest, and LAC Theses Portal; 
• Request an embargo [link to Lisa’ section on embargo] if the publisher only permits open sharing after some time post-publication;
• If permission is denied you may include in place of the chapter an abstract and a link to the article on the journal website.

If you have specific questions about your situation, publisher policy or author rights, contact the Scholarly Communications and Copyright Office at [email protected] for a consultation (best before you publish!)

Understanding different versions of a published article

A publisher may distinguish between the versions of an article that you may be allowed to include in your thesis:

• Submitted manuscript / pre-print - version you initially send in (often permitted)
• Accepted manuscript / post-print - version after peer review but before copyediting, layout editing, formatting, etc. (sometimes permitted; publisher may require an embargo/access restriction for a period of time)
• Version of record / final publisher’s PDF - version that appears in the journal (many publishers do not permit sharing this version)

►►►How to check article versions permitted for sharing:

• MIT Libraries’s list of policy excerpts from major publishers
• Sherpa/RoMEO database of publisher policies
• Journal’s website - usually under Information for Authors or Copyright/Permissions or Editorial Policy; or in the publication agreement if available online
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• Last Updated: Sep 15, 2023 3:23 PM
• URL: https://guides.library.utoronto.ca/thesis

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