Doctoral Dissertation | Thesis and Dissertation | Current Students | Students | Faculty of Graduate Studies (FGS)

Graduate Oral Exam Portal

For students: Please note that your Graduate Program Assistant is submitting this request on your behalf. Please consult with your home graduate office to initiate the process.

For staff/faculty: Please login via the graduate oral exam portal.

User Guides for Faculty/Staff:

– A user guide for Graduate Program Assistants is available in GPA Modules (as part of YU Learn) in GPA Resources:

yulink-new.yorku.ca/group/fgs-intranet/gpa-resources

– A user guide for Graduate Program Directors is available in GPD Resources:

For GPDs – Graduate Oral Exam Portal Guide (.pdf)

– A user guide for Supervisors and Supervisory Committee Members is available here:

For Supervisor and Supervisory Committee Members – Graduate Oral Exam Portal Guide (.pdf)

Student Portal

Staff/Faculty Portal

Information about Doctoral Supervision

Doctoral General Requirements

Types of Dissertations

Doctoral dissertations shall be on a topic approved by the student’s supervisor and supervisory committee, and shall include submission and approval of a dissertation proposal, including appropriate ethics review and approval, in accordance with Faculty and program requirements and procedures. Dissertations must embody the results of original research and must be successfully defended at an oral examination.

The doctoral dissertation must embody original work conducted while in program, and must constitute a significant contribution to knowledge. It should contain evidence of critical understanding of the relevant literature. The material embodied in the dissertation should merit publication or other appropriate public dissemination.

By submitting a thesis or dissertation, a student is making the representation that it is entirely their own work and that it has been done while they were a graduate student at York University.

If such is not the case, then the student must indicate in a signed, written statement what part of the thesis or dissertation is solely their own or co-authored. If co-authored, the candidate must provide an account of its provenance. The supervisor must produce their own corroborative written statement.

If a thesis or dissertation is the result of collaborative work, then the nature of the collaboration and the extent of the candidate’s contribution must be described in a written statement signed by the candidate and approved in writing by the candidate’s supervisor. Where there has been collaboration with others in the collection or preparation of data, materials, or documentation included in the thesis or dissertation, then appropriate acknowledgment must be made in the thesis or dissertation. In all instances, the oral examination must be conducted solely by the candidate.

If a thesis or dissertation—or any part thereof—has been published prior to submission of the dissertation, then the candidate must disclose this fact in a signed written statement, and the supervisor must approve in writing the inclusion of such work in the thesis or dissertation. In cases where one or more chapters of the thesis or dissertation have been previously published in a journal or book to which the author has assigned copyright, permission to include the chapter(s) in the thesis or dissertation must be obtained from the copyright holder(s). Please see the section on Copyright for more details.

A thesis or dissertation containing previously published material of which the candidate is the author and/or co-author should also contain a review of the literature that adequately explains the relationship to the literature of the work undertaken. In addition, it should contain a rationale for the study. These elements may form part of the body of the work – normally an introduction or opening chapter – that leads coherently into the publications. Furthermore, there should be a concluding chapter or section that discusses the body of the thesis or dissertation, including all previously published parts.

A false representation or failure to make a disclosure as outlined above is an academic offence and renders the thesis or dissertation ineligible for consideration of the relevant degree.

The manuscript-based thesis/dissertation is composed of a collection of articles on a common theme/subject. The general form and style of this type of thesis/dissertation may differ from program to program, but a thesis/dissertation should be a coherent work. A text explaining the coherence of the components must conform to the preface guidelines outlines in these regulations.

If previously published materials are included, then it should be made clear what exactly is the student’s own work and what is the contribution of other researchers, as outlined above under Originality of a Dissertation.

The Faculty of Graduate Studies does not specify the specific number of articles/manuscripts required to fulfill the requirements of a thesis/dissertation of this type; however, graduate program and/or disciplinary norms and expectations should be adhered to. It is expected that students fulfill the requirements for originality and contribution to knowledge at the same level as all other thesis/dissertation formats.

A complex digital thesis/dissertation is a work with a high reliance on media (e.g., images, audio, videos, computer code and/or data set) in which the digital material is an integral part of the work as a whole.Part of the work must consist of a written text, but core elements of the thesis/dissertation rely on direct experience or interaction with digital materials that are not – or not primarily – a written text.

A text explaining the coherence of the components must conform to the preface guidelines outlines in these regulations.

Multimodal Theses/Dissertations
A multimodal thesis/dissertation is a work in which a central component consists of an object or performance. For multimodal theses/dissertations, part of the work must be in written form, but key elements of the work depend on direct experience by the exam committee with, for example, displayed artworks or theatrical productions.

For both electronic and multimodal theses/dissertations, students may wish to include supplementary files as part of their final submission (see Final Dissertation Submission below).

A text explaining the coherence of the components must conform to the preface guidelines outlines in these regulations.

Special Format Theses/Dissertations
Students wishing to undertake a thesis/dissertation that does not align with one of the above-mentioned formats – monograph, manuscript-based, complex digital, or multimodal – are expected to initiate discussions with their supervisory committee and director of the graduate program concerned as early as possible (see Suitability of Proposed Format for the approval process).

Documentation and Archival Deposit
Students producing a complex digital, multimodal, or special format thesis/dissertation should consult with the Theses Canada Portal on the Library and Archives Canada website for advice on formats supportable for preservation. However, a student may work in or submit work in an unsupported format as part of the oral exam as long as the work is readily accessible by the exam committee and the student submits a written component.

For complex digital theses/dissertations, it is expected that digital components of a thesis/dissertation will be made available for archiving, if/when possible, in line with York University’s commitment to Open Access.

For multimodal and special format theses/dissertations, it is understood that the non-written component of the work may not be archived either locally or with Library and Archives Canada; although, the Faculty of Graduate Studies encourages graduate students and programs to document student work if, and as, appropriate for archiving.

For complex digital, multimodal, and special format theses/dissertations, students may wish to include supplementary files as part of their final submission (see Final Submission Tab).

The monograph is a coherent scholarly work focused on a specific subject consisting of written text formatted under various chapters – including an introduction and conclusion – as a unified body of research. Images, tables and figures may be included but do not constitute a discrete section of the thesis/dissertation.

Programs will specify the dissertation and thesis formats allowed in their programs in the academic calendar as well as working to make this information available to students and faculty members.

Graduate programs seeking to update the types of theses and dissertations they support must submit a Notice of Intent (NOI) through the York University Quality Assurance Procedures (YUQAP). Based on that submission (in line with YUQAP), it will be determined if the proposed change constitute a major or minor modification of a program’s requirements. The appropriate process of updating a program’s permitted dissertation and thesis formats is contingent on that decision.

Approval to pursue one of the above-outlined formats – monograph, manuscript-based, complex digital, or multimodal – not outlined in a program’s requirements may be granted by special request. A student’s request will be reviewed by the appropriate program-level process for matters related to theses and dissertations, subject to confirmation from the supervisory committee that the proposed project will fulfill the requirements of a thesis or dissertation in the program and that relevant supervision and sufficient support for the completion of such work can be provided.

Students considering a thesis or dissertation format not outlined in these regulations should engage their supervisor and supervisory committee to discuss the suitability of the proposed format.

Approval to pursue a special format not specified in this policy may be given in exceptional circumstances subject to the student, with the support of all members of the supervisory committee, providing a proposal and rationale that outlines how the proposed special format affords the student the ability to more fully realize the pan-university requirements that a dissertation:

. Embody original work conducted while in program and must constitute a significant contribution to knowledge.

. Contain evidence of critical understanding of the relevant research.

. Merit publication or other appropriate public dissemination.

The proposal and rationale for the proposed format must be approved through the normal program-level procedures for the review of matters pertaining to dissertations and theses in consultation with the Graduate Program Director. The rationale must then be forwarded to the Dean, Faculty of Graduate Studies who may advise the program, supervisory committee, and student as appropriate to ensure compliance with any relevant Faculty and university policy and procedures.

A thesis or dissertation should be written in English, but approval may be given to a written request from a student for a thesis or dissertation to be written in French or in the language of any Indigenous people in North America, subject to confirmation from the director of the graduate program concerned that relevant supervision and sufficient support for the completion of such written work can be provided.

For theses/dissertation written in English, either American or British spelling is acceptable provided that it is used consistently throughout.

Manuscript-based, complex digital, multimodal, or special format theses/dissertations must contain a preface explaining the relationship of the components (e.g., manuscript chapters; digital or multimodal components) to the overall thesis/dissertation.

While the introductory chapter of the thesis/dissertation outlines the scholarly context and objectives of the research, a preface links the various components to the work as a whole and provides a roadmap to the reader through the individual sections of the whole. The length of a preface should be based on disciplinary norms.

Students preparing their dissertation should follow a single style guide appropriate to their discipline. The Yor k University Libraries provides links to various style guides for various disciplines.

Dissertation Proposals

In accordance with program requirements and procedures, all students should prepare a thesis/dissertation proposal, normally in consultation with their supervisor in advance of commencing their proposed inquiry. Each program should have written guidelines and should communicate them to candidates, as and when appropriate.

At a minimum, the proposal should contain a brief statement in non-technical language on the purpose/goals of the thesis/dissertation research, its relationship to existing work in the area, through an abbreviated literature review, the research question(s), the proposed methodology(ies) with rationale, and the contribution which the researcher hopes to make to the advancement of knowledge in the field. In addition, the proposal includes a title, the name of the supervisor and the supervisory committee. The title should indicate as clearly as possible the area of research, but it is understood that this title may change. The recommended maximum length of a proposal is 3,500 words, but individual programs may require proposals of a greater length. Proposals must be reviewed and approved by a student’s thesis or dissertation committee.

Following approval of the proposal by the supervisory committee, students must submit one or more copies of the proposal to the graduate program director. After confirming that the relevant Faculty and internal program requirements have been satisfied, the program director is responsible for submitting the proposals to the Office of the Dean, Graduate Studies using the Form TD1: Dissertation Research Submission.

As indicated on Form TD1: Dissertation Research Submission, submission of the proposal to the Office of the Dean, Graduate Studies, includes submission of the relevant research ethics forms and documentation. For more information, please refer to the Research Ethics section of this Handbook.

For a doctoral dissertation, the supervisory committee must review the student’s research proposal and recommend its approval not less than six months prior to the date set for the oral examination.

Please note that the deadlines outlined above are the Faculty’s minimum requirements, and individual graduate programs may have more specific requirements and timelines with respect to the development, review and approval of dissertation proposals. Students should consult their program for more details. Further, the Faculty deadlines outlined above may not provide the time necessary for ethics approval, if required. More information regarding research ethics is provided below.

Research Ethics

York University is committed to the highest standards of integrity in research. All projects involving the use of human subjects, animals, and biohazardous materials are subject to review by the appropriate University committee. York has formulated policies and procedures for the conduct of research involving all three of these areas.

As indicated on Form TD1: Thesis/Dissertation Research Submission, submission of the thesis/dissertation proposal to the Office of the Dean, Graduate Studies for approval must include the relevant research ethics forms and documentation.

All research involving human participants is governed by the Senate Policy for the Ethics Review Process for Research Involving Human Participants. The Senate Policy stipulates that all University-based research involving human participants, whether funded or non-funded, faculty or student, scholarly, commercial or consultative, is subject to an ethics review process. The Senate Policy for the Ethics Review Process for Research Involving Human Participants and corresponding review procedures adhere to the published guidelines of the Canadian Institutes of Health Research, the Natural Sciences and Engineering Research Council, and the Social Sciences and Humanities Research Council, known as the Tri-Council Policy Statement (TCPS).

Please note that in accordance with the TCPS and Senate policy, graduate students undertaking research with human participants may not begin that research until their proposal has received approval from the appropriate body. Further, prior to conducting research involving human participants, graduate students are required to complete the complete the TCPS tutorial.

Details regarding the ethics review procedures for thesis/dissertation research involving human participants is available on the Faculty of Graduate Studies research ethics web page.

Students conducting research with human participants may be required to submit the Form TD2: Human Participants Research Protocol (.pdf). Additional forms may be required.

Further details regarding the University policies and ethics review procedures for thesis/dissertation research involving animals and bio-hazardous materials is available on the Office of Research Ethics web page.

Ethics guidelines for other research situations are also available on the Office of Research Ethics web page, including:

Invasive Procedures
Health and Safety Checklist
Surveys and Research in an Online Environment
Research Conducted by External Researchers
Research Conducted in Hospital Clinical Settings
Research in Educational Settings
Research Involving Minor Age Participants
Research with People who are Homeless

Copyright

Students hold copyright to their dissertations, regardless of the method of submission. Consequently, a student is free to publish his or her dissertation following a successful oral examination. Please note that if a dissertation includes any work which is copyrighted to another party, permission may be required to publish the dissertation.

After a successful oral examination the Library and Archives Canada Thesis Non-Exclusive License (.pdf) must be submitted to the Office of the Dean, Faculty of Graduate Studies. The student must also accept the terms of the York University Copyright License as part of the electronic submission of their dissertation using the Electronic Thesis and Dissertation (ETD).

By signing these licenses, a student is confirming that his or her dissertation is his or her original work, that his or her dissertation does not infringe any rights of others, and that he or she has the right to make the grant conferred by those copyright licenses. In addition, the student is granting a Licence to York University to make copies including electronically formatted copies, and/or distribute worldwide all or part of the dissertation, subject to the conditions outlined.

If applicable, the student should submit copies of any required copyright permissions prior to the final dissertation submission to the Office of the Dean, Graduate Studies. The student should also retain copies of all copyright permission requests and approvals.

The following sections provide guidance and suggestions with respect to when and how to secure copyright permission. It is, however, the responsibility of the student to confirm that if there is copyrighted material in his or her dissertation, it either complies with the “fair dealing” provisions of the Canadian Copyright Act or documented permission has been obtained to use the copyrighted material. The Office of the Dean, Faculty of Graduate Studies cannot offer legal advice as to whether or not copyright permission is required.

Limit of Copyright Protection: Copyright protection applies to original, literary, musical, dramatic or artistic works in a variety of forms, including written materials, computer software, and web-based formats regardless of whether the work in question is published or not and whether someone has made it available to the public or not. This protection expires 50 years after the death of the originator, regardless of who holds copyright at that time.

Public Domain: A work that is freely available to the public is not necessarily in the public domain. For a work to be in the public domain, the originator must have specifically waived copyright to the work, or copyright must have legally expired. Work that is in the public domain can be used by anyone without copyright being violated.

Fair Dealing: A student is allowed to use copyrighted material in his or her dissertation provided it falls under the Canadian Copyright Act’s definition of “fair dealing”. Information on York University’s Fair Dealing Guidelines can be reviewed at York University—Copyright.

While it is required academic practice to cite sources, proper citation does not remove the obligation to obtain documented permission to use copyrighted permission that is not covered under the “fair dealing” provisions of the Canadian Copyright Act. If a dissertation includes any of the following elements, the student should seek copyright permission. (Please note that this is not an exhaustive list. If you require additional information on York’s Copyright Policy or Fair Dealing Guidelines contact the Copyright Office at copy@yorku.ca).

Material or parts of material written by the dissertation author which have been previously published in a journal and to which the author has assigned copyright
Material co-authored with another author(s) who share copyright
Tables, figures, and all forms of images including photos, maps, graphs, drawings, logos etc. that have been obtained from a copyrighted source, including websites, newspapers, journals, books, brochures, professors’ lecture notes, etc.
Scripts and recordings of any performance

In cases where a student is not certain that his or her use of copyrighted material is covered under the “fair dealing” provisions of the Canadian Copyright Act, documented permission from the copyright holder(s) must be obtained in order to include the material in the dissertation. Since securing copyright permission may take some time, it is strongly recommended that students being this process sooner rather than later. Please note that the copyright holder must be aware of and agree to the terms of the York University Copyright License and Library and Archives Canada Thesis Non-Exclusive License.

If seeking permission from a journal, a good first step is to check the journal’s website, which may provide information with respect to copyright, including advance permission to journal authors who have signed over copyright, how to request permission, and uses that are specifically prohibited. There are also a number of websites that may be helpful in determining the copyright policies of particular journals/publishers, including Sherpa Romeo and EPrints. Some journals and publishers provide (on their website or on request) a policy statement granting copyright permission to the author of a dissertation who signed over copyright to the journal/publisher. In such cases, retain a copy of that policy statement as evidence of documented permission.

Alternatively, a student should contact the copyright holder. Sample text for a copyright permission request is included below. Although email proof of permission is acceptable, please note that an original, signed letter on the copyright holder’s letterhead is the best protection against accusations of copyright violation.

Students should provide copies of any required copyright permissions prior to submission of their final dissertation to the thesis coordinator in the Office of the Dean, Graduate Studies. Students should also retain copies of all copyright permission requests and approvals.

[Date]

[Name]

[Address]

Re: Request for Permission to Use Copyrighted Material in a Dissertation

Dear:

I am a York University student preparing my dissertation for submission as part of the requirements of my master’s/doctoral degree in [program]. The title of my [dissertation] is: […]

The reason I am writing is to ask permission to include the following material in my dissertation: [Provide standard reference information for the material, including figure/table number, if any, and page numbers. If appropriate, you can also briefly describe the manner/context in which the material will be used in dissertation.] The material will be fully cited in my dissertation.

In the interest of facilitating research by others, my dissertation will be available on the internet for reference, study and/or copy. The electronic version of my dissertation will be accessible through the York University Libraries website and catalogue, and also through various web search engines. I will be granting Library and Archives Canada a non-exclusive license to reproduce, loan, distribute, or sell single copies of my thesis by any means and in any form or format. These rights will in no way restrict republication of the material in any other form by you or by others authorized by you.

Could you please confirm in writing or by email that these arrangements meet with your approval. If you do not solely control the copyright in the material, please let me know as soon as possible. I would also appreciate any information you can provide about others to whom I should write to request permission.

If you would like to confirm permission in writing, you can do so by signing and completing the information below and returning this signed and completed letter in the enclosed self-addressed stamped envelope by [date].

If you would like to confirm permission by email, my email address is […].

Sincerely,[Your Name and Signature]

I, the undersigned, hereby represent and warrant that I have authority to grant the permission requested and do grant the permission.

Signature:
Name:

Students must include full citations for any copyrighted material used in their dissertation regardless of source, including photos, pictures, charts, graphs and tables.

Each citation must include the copyright symbol, name of the copyright holder (who may or may not be the author), and, if applicable, a statement that the use of the material or adaptation (in the case of adapted graphics) is by permission of the copyright holder.

In cases where use of copyrighted material is not covered under the “fair dealing” provisions of the Canadian Copyright Act and a student is unable to secure permission from the copyright holder (or there is a charge for obtaining permission), the material in question must be removed from the dissertation. In its place, the student should indicate that the material has been removed because of copyright restrictions.

Depending upon the nature of the material, the student may want to include additional information. In the case of a figure or image that has been removed, a description of the missing material and a full citation of source material and where it can be found (including, if possible, a link to an online source) would be helpful to those reading the dissertation. In the case of a chapter that was previously published in a journal, an abstract of the chapter content and link to the journal website where the article can be found could be provided.

Organization and Technical Requirements

Although the form, style, sections, etc. of main body (text) of the dissertation may differ from program to program, all theses/dissertations must include the following components in the following order.

The front matter of the dissertation must be numbered with lower case Roman numerals. The page number should be not be included on the title page, although the title page is considered page i. Numbering must be included starting with the abstract, as page ii, and continue until the end of the front matter, as follows:

Title Page	No number appears
Abstract	Numbered as: ii
Dedication (optional)	Numbered as: iii
Acknowledgments (optional)	Numbered as: iv
Table of Contents	Numbered as: v
List of Tables, if appropriate	Numbered as: vi
List of Figures, if appropriate	Numbered as: vii
List of Illustrations, if appropriate	Numbered as: ix

The main body of the dissertation, starting with the introduction or chapter one, must be numbered with Arabic numerals, beginning with the number 1. Each chapter of the main body must begin on a separate page. Footnotes and/or endnotes are considered part of the main body of the dissertation.

The back matter of the dissertation includes references (or the bibliography), as well as any appendices, glossaries, indexes, where and as applicable. The back matter must be numbered with Arabic numerals, which should follow from the last page of the main body of the dissertation.

Each appendix must be assigned an alphabetical letter and title, (e.g., Appendix A: Title). Appendices are ordered in the same sequence as they are referred to in the body of the text; that is, the appendix first mentioned in the text is assigned the letter A, the second is B, etc. Materials in the appendices that are copied from other sources must meet the same requirements as the body of the paper, for example, copies or scans from books, maps, etc., must be clear and legible, and must maintain the same margins.

Technical Requirements

A sample title page is provided below. The title page should include the following information:

Dissertation Title: The title should provide a concise and meaningful description of the thesis/dissertation. It is recommended that the title include keywords to make the dissertation more easily searchable. It is also recommended that formulas, Greek letters, symbols and abbreviations be avoided in the title, and that they be written out as words instead.
Student Name: The name on the title page must be the one under which the student is registered at York University.
All title pages must include the following statement: A Dissertation* submitted to the Faculty of Graduate Studies in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy* [*For a master’s thesis, replace “Dissertation” with “Thesis”, and indicate the master’s degree designation (e.g. Master of Arts, Master of Science, Master of Fine Arts) in place of “Doctor of Philosophy”]
Program and Institution: Name of Program [e.g. English, Biology, Music], York University, Toronto, Ontario
Date: The month and year that the Chair of the Examining Committee confirmed successful defence of the thesis/dissertation
Copyright: The universal copyright symbol ©, followed by the student name (which must be the name under which the student is registered at York University) and year that the Chair of the Examining Committee confirmed successful defence of the dissertation.

The information on the title page may be centered, as long as all margins are at least 1 inch (25 mm). The font of the title page need not be the same as that used in the sample title page provided below.

Each dissertation must contain an abstract. The abstract is expected to give a succinct account of the dissertation so that a reader can decide whether to read the complete work.

For doctoral dissertations, the abstract cannot exceed 350 words. An abstract contains a statement of the problem, the procedure or methods used, the results and the conclusions.

The abstract should be inserted immediately following the Title Page, and should be numbered “ii”.

An acknowledgements page may be included.

The Table of Contents, List of Tables and List of Figures, where applicable, should follow the abstract (or acknowledgements, if any). Curriculum vitae, list of student-authored publications, or conference presentations do not form part of the contents of the dissertation. A truncated version of the Table of Contents should not precede each chapter.

The document must be formatted using letter sized pages (8.5 x 11 inches).

The same font type (e.g. Arial or Times New Roman) should be used throughout the dissertation, particularly the main body.

The font size of the main body of the dissertation must be a minimum of 10 points, with smaller font sizes permitted for endnotes/footnotes, graphs, formulae, appendices, etc. A font size larger than 12 points is not recommended for the main body of the dissertation.

The line spacing must be at least one-and-a-half (1.5) spaces or double-spaced. Single spacing may be used for long quotations and foot/endnotes.

All margins must beat least 1 inch (25mm). Margins may be wider but not narrower than the stated requirements. For example, the first page of every chapter may have a top margin of 2.5 inches.

Running headers to put title, name, chapter, etc., on each page are not acceptable.

All page numbers should be in a consistent location, that is either centre bottom, centre top, right top corner, or right bottom corner. They must fall at the 1 inch (25 mm) margin. There should be no blank pages or large blank spaces within the dissertation.

Each diagram and table should be numbered. Page numbers should appear in the same position on the page as they appear elsewhere in the body of the text. Tables may be horizontal or vertical as long as the required margins are used. Diagrams must be generated by graphic software.

All images included in the thesis or dissertation should be of high quality and sufficient resolution.

Oral Examination

Doctoral Dissertation Exam Committees

A dissertation examining committee shall consist of at least five voting members, including the Chair, for whom participation poses no conflict of interest¹. Voting members are as follows:

The Dean of the Faculty of Graduate Studies or their representative, who will be at arm’s length² from the supervision of the dissertation, and who will serve as Chair of the examining committee;
One external examiner, from outside York University, at arm’s length from the dissertation, recommended by the program director;
One graduate faculty member at arm’s length from the dissertation, and normally from outside the program, recommended by the program director;
Two graduate faculty members from the supervisory committee, or one member from the supervisory committee and one graduate faculty member from the program.

These are minimum requirements with respect to the composition of and quorum for dissertation examining committees. Individual graduate programs may include one additional voting member on examining committees, in accordance with program requirements and procedures.

In exceptional circumstances, the Dean may approve a program director’s recommendation that a York University faculty member who is not a member of the graduate faculty serve as a member (but not the Chair) of an examining committee. Such recommendations are to be accompanied by a brief rationale and an up-to-date curriculum vitae, which may be attached to the Recommendation for Oral Examination Form.

In addition to the voting members, the thesis examining committee may include the following ex-officio members (non-voting, unless present as one of the voting members named above): Vice-President Academic & Provost, Dean of the Faculty of Graduate Studies or their representative, Graduate Program Director.

Only under rare, exceptional and compelling circumstances can an oral examination proceed in the absence of the external examiner, and only with the express permission of the Dean. In such circumstances, the following conditions must be met:

the external’s absence must be unplanned and unavoidable (i.e. it must have been the initial intent that the external would be present);
a written assessment of the dissertation must be received before the scheduled examination, including certification that the dissertation is examinable, and identification of any areas that need revision, or questioning and clarification at the oral exam. However, if the external examiner feels that the result of the examination depends upon the oral exam, then the external examiner shall be present or the oral exam will be postponed until the external examiner can be present or an alternative external examiner is appointed.

Normally, it is preferred that local examining committee members and the candidate being examined are physically present at York University for thesis/dissertation oral examinations. The examination may be conducted in person, remotely by videoconference, or in hybrid format. While there are several benefits to conducting an in-person examination, the student’s preference is to be considered in the final decision. Students are encouraged to consult with their supervisor and Graduate Program Director in making a venue decision that balances learning outcomes associated with in-person oral examinations with the needs/wishes of those involved in the examination.

External examiners who would otherwise require local lodging will be asked to participate remotely via videoconference unless there is a demonstrable benefit to in-person participation.

¹Individuals in the Faculty of Graduate Studies are responsible for ensuring that they do not have a real, perceived, or potential conflict of interest that may impact the integrity of their activities, particularly, involving assessment and evaluation arising from current, previous, or foreseen future relationships. See Conflict of Interest Disclosure with Respect to Graduate Student Education for more information.

²“Arm’s length” refers to a relationship which is “conducted between parties that have no corporate or other direct connections, familial or financial relationships with each other, and thus act each in its own self-interest.”

Prior to the establishment of a doctoral dissertation exam committee, the student’s supervisory committee must read the dissertation and agree that the version read is ready to proceed to oral examination.

Following agreement by the supervisory committee that the dissertation is ready to proceed to oral examination, rrecommendation for membership of a doctoral dissertation exam committee (as well as the date and location of the oral exam) can be formally initiated by the Graduate Program Assistant, after consultation with the Graduate Program Director, via the Graduate Oral Exam portal.

Final approval of doctoral dissertation exam committee membership recommendations rests with the Dean of the Faculty of Graduate Studies.

The membership of each committee must be recommended by the appropriate graduate program director for approval and appointment by the Dean of Graduate Studies as soon as possible and no later than 20 business days before the date set for the oral examination.

Copies of the doctoral dissertation approved by the supervisory committee must be provided to the members of the examining committee no less than 20 business days before the date of the oral examination. (The oral exam may be held less than 20 business days from the time copies are sent to the examining committee provided all parties agree.)

External Examiners are expected to be established academics and recognized experts on the subject of the dissertation research. They must be at arm’s length from the student’s research process and have no conflicts of interest which might impact their ability to perform the duty of assessment of the dissertation and its oral defence by the candidate. Normally they are members of a graduate Faculty at another university. Students may not initiate the invitation to external examiners; this is the responsibility of the program director and/or the supervisor.

Following approval by the Dean of the program’s external examiner recommendation, a formal letter of invitation will be sent by the Dean to the external examiner, including instructions for the written evaluation, format of the examination, and offer of an honorarium. Program directors must obtain approval from their anchor Faculty Dean’s Office for travel expenses for external examiners not participating remotely based on academic rationale. Funds must be secured prior to the graduate program offering reimbursement of the travel expenses of an external examiner.

The program assistant or the supervisor (not the student), should send the external examiner’s copy of the dissertation. The copy must be received by the external examiner at least 20 business days prior to the exam. It should be accompanied, at the minimum, by generic instructions and notification that the Dean’s official letter of invitation will follow, if it had not been sent by this time (see below for generic instructions). If the external examiner requests a paper copy of the written component(s) of the dissertation, it is the graduate program’s responsibility to make arrangements once an e-copy has been provided by the student to the program.

The external examiner will be asked to submit written comments at least five business days in advance of the oral examination. These comments may be made available to the candidate after the oral, with the external examiner’s permission.

The following generic instructions should be used when sending a copy of the dissertation to the external examiner.

Enclosed is your copy of the dissertation for [student’s name] at whose oral examination you will serve as the external examiner.

As the external examiner, you are recognized as being an eminent person in the field of the dissertation, whose assessment will be treated as the standard by which the quality of the candidate’s work will be measured. As a voting member of the committee, you do not have a formal power of veto, but the exam committee must have substantial reasons for not accepting your recommendation, especially if the recommendation is negative.

Five business days before the date set for the oral defence, please send a written assessment of the dissertation to Dean, Faculty of Graduate Studies. This written assessment may be sent by mail (Office of the Dean, Faculty of Graduate Studies, 230 York Lanes, York University, 4700 Keele St, North York, Ontario, M3J 1P3), by FAX (416-736- 5592) or by e-mail to the appropriate Graduate Milestones Coordinator.

The written assessment report should:

outline the strengths and weaknesses of the dissertation
be more than a statement of errata and/or questions you would pose to the student
contain an explicit statement indicating whether the dissertation is examinable
be written with the understanding that should the dissertation be nominated for a Dissertation Prize, the report will form part of the nomination papers
This report will be distributed to the program director and members of the Examining Committee before the examination.
Where the Committee deems it advisable and if you agree, the report may be made available to the student at the end of the examination.
If you have serious doubts about the examinability of this dissertation, please contact the Graduate Program Director «GPD name» (416-736-2100, ext. «GPD telephone») or the Dean at 416-736-5329 at least five business days before the date of the oral.

The formal invitation from the Dean of the Faculty of Graduate Studies will follow shortly. Thank you for your participation.

Scheduling of Doctoral Dissertation Oral Exams

In consultation with the student, the members of the exam committee, and the Graduate Program Director, the Graduate Program Assistant will recommend the date, time and location of an oral exam via the Graduate Oral Exam portal.

Oral examinations for doctoral dissertations shall be held normally no less than 20 business days from the date on which copies of the completed dissertation approved by the supervisory committee are sent to each member of the examining committee. The oral exam may be held less than 20 business days from the time copies are sent to the examining committee provided all parties agree.

The student must be registered as active for the term in which the oral exam is scheduled to take place.

Number of Copies
The number of copies of a dissertation required for an oral exam depends upon the number of members on the exam committee. A dissertation exam committee consists of at least five voting members, including the Chair. However, it is often the case that more than five copies of the dissertation are required for an oral exam. The dissertation supervisor or program director will inform the student how many copies of the dissertation are required for the exam.

Nature of Copies
The student is responsible for ensuring that all members of the exam committee have an e-copy of the dissertation, unless prior approval has been received for the submission of a paper copy. (If paper copies are submitted for the oral exam, the pagination and formatting of each page of the paper copies and the e-copies must match.)

For a complex electronic dissertation, the student is responsible for ensuring that all members of the exam committee have an e-copy of the written component of the dissertation, unless prior approval has been received for the submission of a paper copy. (If paper copies are submitted for the oral exam, the pagination and formatting of each page of the paper copies and the e-copies must match.) For the remaining component of the work, it is the student’s responsibility to ensure that the work produced for the dissertation can be examined by the examining committee. Students producing a multimedia dissertation should consult with the Library and Archives Canada website for advice on formats supportable for preservation. However, a student may work in/submit work in an unsupported format as part of the oral exam as long as the work is readily accessible by the exam committee and the student submits a written component.

For a multimodal dissertation, the student is responsible for ensuring that all members of the exam committee have an e-copy of the written component of the dissertation, unless prior approval has been received for the submission of a paper copy. (If paper copies are submitted for the oral exam, the pagination and formatting of each page of the paper copies and the e-copies must match.) For the remaining component of the work, it is the student’s responsibility to make arrangements for the exam committee to view/engage in the non-written component.

Note: If an examining committee member requests a paper copy of the written component(s) of the dissertation, it is the graduate program’s responsibility to make arrangements once an e-copy has been provided by the student.

Before an oral examination can be convened, a majority of the exam committee members must agree that the thesis is examinable. The graduate program director shall poll the members of the exam committee five business days before the scheduled date for the oral. If the student does not receive a majority vote, the members of the examining committee who do not agree that the thesis is examinable are required to give their reasons in writing to the student, the supervisor, and the Dean within five business days after the poll. In such cases, the oral shall be postponed for a period not to exceed 12 months. However, the student has the right to insist that the oral proceed as planned.

the external’s absence must be unplanned and unavoidable (i.e. it must have been the initial intent that the external would be present);
a written assessment of the dissertation must be received before the scheduled examination, including certification that the dissertation is examinable, and identification of any areas that need revision, or questioning and clarification at the oral exam. However, if the external examiner feels that the result of the examination depends upon the oral exam, then the external examiner shall be present or the oral exam will be postponed until the external examiner can be present or an alternative external examiner is appointed.

With the consent of the voting members of the examination committee, the program director and the student, the Dean may approve a recommendation that an oral examination be rescheduled due to exceptional circumstances.

The use of audio-visual (AV) equipment at oral exams is governed by the following principles:

AV equipment may be used for oral exam presentations but the Faculty of Graduate Studies is not responsible for ordering supplies or equipment (e.g., overhead projectors).
Audio-taping or videotaping of oral exams is not permitted.

The oral exam is a public academic event. Faculty members, graduate students and others may attend oral exams at the discretion of the Chair of the exam committee. They may, at the discretion of the Chair, participate in the questioning. Only members of the exam committee may be present for the evaluation and for the vote at the conclusion of an oral exam.

Graduate students have the right to choose to hold a thesis or dissertation defence in an electronically mediated, audio/visual, online format (via Zoom) or to defend in person. Consult with your supervisor, supervisory committee, and Graduate Program Assistant via email. GPAs can then convey this information to FGS.

If the external examiner is unable to participate in the defence medium chosen, then the defence must be cancelled and rescheduled when they are able to participate. Please contact the Graduate Milestones and Progression Coordinators to convey this information by visiting our FGS Staff Directory.

Please note that the graduate regulation prohibiting audio-taping or videotaping oral exams remains in place for defences conducted online (see Use of Audio-Visual Equipment at Oral Exams for Master’s students and doctoral students).

Doctoral Dissertation Oral Exam Evaluation Guidelines and Reporting of Results

Doctoral dissertations submitted by students in partial fulfillment of degree requirements must be successfully defended at oral examinations. The oral examination will centre on the dissertation.
The dissertation oral examination requirement is met if one of the following situations exists:
- if the committee accepts the dissertation with no revisions; or,
- if the committee accepts the dissertation with specified revisions.
Specified revisions could range from typographical errors or changes of a minor editorial nature, to specified insertions or deletions which do not radically modify the development/argument of the dissertation. The committee must specify such changes with precision. It is the responsibility of the supervisor to ensure that all such changes are made, and the Dean’s representative will confirm that this is the case. Specified revisions must be completed within six months of the date of the oral examination.
In cases where there are no more than two votes for major revision or one vote for failure, then specified revisions are expected.

A dissertation is referred for major revision if any of the following conditions exist:
the committee agrees that the dissertation requires substantive changes in order to be acceptable; or,
- there are two votes for failure; or,
- there is one vote for failure plus a minimum of one vote for major revision; or,
- there are at least three votes for major revision.
In the cases of major revision, one of the following procedures, agreed upon by the committee before the examination is adjourned, must be used to finalize the oral results:
- the committee will reconvene within twelve months to continue the oral examination; or,
- the revised dissertation will be circulated within twelve months to all members, who will inform the Dean’s representative whether they feel the stipulated requirements have been met.
Detailed reasons for referring pending major revisions must be supplied in writing by the Chair to the Dean, the program director and the student concerned within 10 business days.
After an adjournment and when the major revisions have been completed, the dissertation is failed if there are two or more votes for failure. A dissertation cannot be referred for major revisions more than once and no further adjournment is permitted. In the event of failure, detailed reasons must be supplied in writing by the Chair to the Dean, program director and student within 10 business days.
A dissertation is failed if there are a minimum of three votes for failure. In the event of failure, detailed reasons must be supplied in writing by the Chair to the Dean, program director and student within 10 business days.

The results of the oral exam, as determined by the exam committee in accordance with the evaluation guidelines described above, are reported to the Office of the Dean, Graduate Studies, via the Oral Examination Report Form. The form should be signed by the Chair of the exam committee and should include, where appropriate, details regarding any required revisions under “comments”.

In accordance with the evaluation guidelines described above, the Oral Examination Report Form requires that the committee reach one of the following four decisions:

1. Accepted with No Revision

2. Accepted Pending Specified Revisions
The nature of the revisions should be agreed to by the exam committee and reported in detail on Oral Examination Report Form under “comments”. Specified revisions must be completed within six months of the date of the oral exam. Specified revisions must be completed within six months of the date of the oral exam. It is the responsibility of the supervisor to ensure that all of the specified revisions are made and the Chair will confirm that this is the case. Approval of specified revisions should be reported to the Office of the Dean, Graduate Studies, via the Revisions Approved Memorandum or via email to the appropriate Graduate Milestones and Progression Coordinator.

3. Referred Pending Major Revisions
In cases involving a referred pending major revisions decisions, one of the following procedures, agreed upon by the committee before the examination is adjourned, must be used to finalize the oral results: a) the committee will reconvene within twelve months to continue the oral examination, or b) the revised dissertation will be circulated within twelve months to all members, who will inform the Chair whether they feel the stipulated requirements have been met.

Please note that a clear consensus must be reached by the committee as to the extent and nature of the revisions required. Detailed reasons for referring pending major revision must be supplied in writing by the Chair of the exam committee to the Dean, the program director and the candidate concerned within 10 business days.

Approval of major revisions should be reported to the Office of the Dean, Graduate Studies, via the Revisions Approved Memorandum or via email to the appropriate Graduate Milestones and Progression Coordinator.

4. Failed
In the event of failure, detailed reasons must be supplied in writing by the Chair of the exam committee to the Dean, program director and candidate within 10 business days.

Exam Committee Roles and Responsibilities

Before an oral examination can be convened, a majority of the exam committee members must agree that the dissertation is examinable. The graduate program director shall poll the members of the exam committee five business days before the scheduled date for the oral. If the student does not receive a majority vote, the members of the examining committee who do not agree that the thesis is examinable are required to give their reasons in writing to the student, the supervisor, and the Dean within five business days after the poll. In such cases, the oral shall be postponed for a period not to exceed 12 months. However, the student has the right to insist that the oral proceed as planned.

For doctoral dissertations, the Dean of the Faculty of Graduate Studies or her/his representative, who will be at arm’s length from the supervision of the dissertation, will serve as Chair of the exam committee.

The Chair of the exam committee normally participates fully in the questioning of the candidate, the discussion and the vote.

In general, the role of the Chair of the exam committee is to ensure:

that the process of oral exam is fair and orderly,
that the student is truly being examined and challenged, and
that high standards of scholarship are met.

Prior to the formal start of the oral exam, the Chair should:

verify that all members of the exam committee are present. (If any member is not in attendance, the examination shall be postponed. Only under rare, exceptional and compelling circumstances can an oral examination proceed in the absence of the external examiner. Please see Role of the External Examiner below for more details.)
verify that the members of the exam committee are agreed that the thesis/dissertation is “examinable”. (If the thesis/dissertation is found to be unexaminable at this time, the oral exam may be postponed for a period not to exceed 12 months. However, the student has the right to insist that the oral proceed as planned.)
discuss with the members of the Committee the expected length of the examination, and the order in which the exam committee will question the student.

At the outset of and during the oral exam, the Chair should:

clarify to both the exam committee and the student the procedures to be followed,
determine the point at which further questioning will not produce additional useful information for the consideration of the exam committee, and
monitor the procedures throughout the oral exam.

After the candidate and any observers have left the room, the Chair should:

assess the committee’s opinion from the discussion, including whether the exam committee considers the work sufficiently outstanding to merit nomination for the Faculty of Graduate Studies Thesis/Dissertation Prize.
If there is no consensus, the Chair should call for a vote to determine the outcome of the oral exam. The outcome of the vote shall be governed by the master’s thesis oral exam evaluation guidelines or doctoral dissertation oral exam evaluation guidelines, as appropriate.
In cases of accepted pending specified revisions, the Chair should ensure the nature of the on the Oral Examination Report Form under “comments”. A clear consensus must be reached by the committee as to the extent of the revisions required.
In cases of major revision, the Chair should confirm which of the following two procedures, agreed upon by the committee before the exam is adjourned, will be used to finalize the oral results:
- the committee will reconvene within twelve months to continue the oral examination; or,
- the revised dissertation will be circulated within twelve months to all members, who will inform the Chair whether they feel the stipulated requirements have been met.

After the exam committee has reached a decision, the Chair should:

recall the candidate to convey the decision, including a description of any required revisions, as appropriate, and
inform the program director if the thesis/dissertation has been nominated for the Faculty of Graduate Studies Dissertation Prize, where applicable.

If the thesis/dissertation was accepted with no revisions, the Chair should:

ensure that a properly completed and signed Oral Examination Report Form, is returned to the thesis coordinator in the Office of the Dean, Graduate Studies.

If the dissertation was accepted pending specified revisions, the Chair should:

ensure that a properly completed (including a clear description of the required revisions) and signed Oral Examination Report Form is returned to the thesis coordinator in the Office of the Dean, Graduate Studies. It is the responsibility of the supervisor to ensure that all of the specified revisions are made and the Chair will confirm that this is the case. Specified revisions must be completed within six months of the date of the oral exam.
Approval of specified revisions should be reported to the Office of the Dean, Graduate Studies, via the Revisions Approved Memorandum or via email to the appropriate Graduate Milestones and Progression Coordinator.

In cases of referred pending major revisions, the Chair should:

ensure that a properly completed (including a clear description of the required revisions) is returned to the thesis coordinator in the Office of the Dean, Graduate Studies, and
provide detailed reasons for the exam committee’s decision in writing to the Dean, program director and student within 10 business days of the oral exam.

When major revisions have been completed satisfactorily as decided by the exam committee, the Chair should:

Report approval of the major revisions to the Office of the Dean, Graduate Studies, via the Revisions Approved Memorandum or via email to the appropriate Graduate Milestones and Progression Coordinator.

In cases of failure, the Chair should:

ensure that a properly completed and signed Oral Examination Report Form is returned to the thesis coordinator in the Office of the Dean, Graduate Studies, and
provide detailed reasons for the exam committee’s decision in writing to the Dean, program director and student within 10 business days of the oral exam.

The exam committee members have the responsibility of ensuring that high standards of scholarship are met.

The “at arm’s length from the thesis/dissertation” committee member has a particular responsibility of ensuring that these high standards of scholarship are met from a perspective broader than that of the student’s own program. Such exam committee members who are appointed to the student’s program should be especially mindful of this responsibility.

Note: All doctoral dissertation exam committee must include an external examiner. The following description of external examiner roles and responsibilities also applies to those master’s programs that require an external or outside examiner on their exam committee.

External examiners are expected to be established academics, normally members of a graduate Faculty at another university. The assessment of the dissertation provided by the external examiner should be treated as the yardstick by which to measure the quality of the candidate’s work relative to standards at other universities. The external examiner is a voting member of the Committee and must have been at arm’s length from the dissertation. The external examiner does not have a formal power of veto, but the exam committee must have substantial reasons for not accepting an external examiner’s recommendation, especially if the recommendation is negative. The external examiner’s written comments will be provided to the other members of the exam committee prior to the oral exam and, where the exam committee deems advisable and the external examiner agrees, may be made available to the student at the end of the oral exam.

the external’s absence must be unplanned and unavoidable (i.e. it must have been the initial intent that the external would be present);
a written assessment of the dissertation must be received before the scheduled examination, including certification that the dissertation is examinable, and identification of any areas that need revision, or questioning and clarification at the oral exam. However, if the external examiner feels that the result of the examination depends upon the oral exam, then the external examiner shall be present or the oral exam will be postponed until the external examiner can be present or an alternative external examiner is appointed.

In addition to the voting members, the Vice-President Academic & Provost and Graduate Program Director may participate as ex-officio members (non-voting, unless present as one of the voting members) on doctoral dissertation exam committees.

As the oral examination is the culmination of a graduate student’s study and advances the mission of York University as a whole, the inclusion of these positions as ex-officio members of the dissertation exam committees recognizes and emphasizes the importance of the oral exam. Due to the nature of the workload of the incumbents in these positions, they are not expected to attend every oral exam. When they do attend in their capacity as ex-officio members, they are encouraged to be active participants, but they do not vote.

For all doctoral dissertation oral exams and for those master’s programs that require an external or outside examiner, the written comments provided by the external examiner will be made available to the committee prior to the oral exam.
At the oral exam, the student may be given the opportunity to present an oral summary of his or her work. If this procedure is followed, the Chair of the exam committee will inform the student and indicate the time available.
Normally, the first round of questions will refer to general aspects of the work. Subsequent questions will deal with more detailed matters. For all doctoral dissertation oral exams and for those master’s programs that require an external or outside examiner, the external examiner will normally begin each round of questioning and will be followed by the other members of the committee in an order agreed upon before the exam.
The Chair of the exam committee will ensure that each member of the exam committee has an equal opportunity to pose questions. After the formal rounds of questioning, general discussion and order of further questioning will be at the Chair’s discretion.
The question period should normally run its natural course, with members of the exam committee indicating when they are satisfied. The Chair of the exam committee will, however use his/her discretion as to the appropriate closing point. For a master’s thesis, a general guideline for the length of the oral exam is approximately 10 to 20 minutes for presentation (if applicable) and 1.5 hours for questioning. For a doctoral dissertation, a general guideline for the length of the oral exam is 20 to 40 minutes for presentation (if applicable) and 2 hours for questioning.
After the candidate and any observers have left the room, the exam committee will discuss the work and the oral defense of that work, the discussion beginning with the external examiner’s remarks.
The Chair of the exam committee will then assess the committee’s opinion from the discussion.
If there is no consensus, the Chair of the exam committee will call for a vote to determine the outcome of the oral exam. The outcome of the vote shall be governed by the master’s thesis oral exam evaluation guidelines and doctoral dissertation oral exam evaluation guidelines.
In cases of accepted pending specified revisions, the nature of the revisions will be agreed to by the exam committee and reported in detail by the Chair in the “comments” section of the Oral Examination Report Form.
In cases of major revision, the Chair of the exam committee will confirm which of the following two procedures, agreed upon by the committee before the exam is adjourned, will be used to finalize the oral results: a) the committee will reconvene within twelve months to continue the oral examination; or, b) the revised dissertation will be circulated within twelve months to all members, who will inform the Chair whether they feel the stipulated requirements have been met.
After the exam committee has reached a decision, the candidate will be recalled and informed by the Chair of the outcome of the examination. Should revisions be required, their exact nature will be transmitted to the student by the Chair.
The written comments of the external examiner will, with his or her permission, be provided to the student and program director.
The Oral Examination Report Form will properly completed (including, where appropriate, a clear description of required revisions) and signed by the Chair and returned to the thesis coordinator in the Office of the Dean, Graduate Studies.
- In cases of accepted pending specified revisions, it is the responsibility of the supervisor to ensure that all of the specified revisions are made and the Chair will confirm that this is the case. Specified revisions must be completed within six months of the date of the oral examination. Approval of specified revisions should be reported to the Office of the Dean, Graduate Studies, via the Revisions Approved Memorandum or via email to the appropriate Graduate Milestones and Progression Coordinator.
- In cases of referred pending major revisions or failure, the Chair will provide detailed reasons for the exam committee’s decision in writing to the Dean, program director and student within 10 business days of the oral exam. When major revisions have been completed satisfactorily as decided by the exam committee, the Chair should report approval of the major revisions to the Office of the Dean, Graduate Studies, via the Revisions Approved Memorandum or via email to the appropriate Graduate Milestones and Progression Coordinator.

Graduate programs, normally through the program assistant, must consult the Faculty of Graduate Studies’ Standard Operating Procedure for scheduling remote defences.

Remote participants must ensure they have a reliable internet connection prior to the defence commencing, and must test all relevant equipment (internet connection, back-up connection and devices) in advance.

The Chair has the right to suspend the proceedings temporarily due to technical issues experienced by remote participants. If technical issues persist, impacting the integrity of the oral examination, and/or relevant connections cannot be restored in a reasonable amount of time without an appropriate back-up option in place, the Chair may suspend the proceedings if:

the minimum requirements with respect to the composition of and quorum for the examining committee cannot now be met due to an absence of identification of any areas that need revision, or questioning and clarification at the oral exam;
one or more committee members feel that the result of the examination continues to depend upon the oral exam, as outlined above.

The Chair must notify the Faculty of Graduate Studies of the suspension of the defence immediately via email to the appropriate Graduate Milestones and Progression Coordinator, after which discussion with the Dean’s Office shall occur to remedy the situation in as timely a manner as possible.

Final Submission

Following a successful oral exam (including confirmed approval of any specified revisions or major revisions), submission by the student of the final approved thesis/dissertation is a requirement for graduation and convocation.

The thesis or dissertation is submitted electronically using York University’s Electronic Thesis and Dissertation (ETD) platform. The thesis coordinator in the Office of the Dean, Graduate Studies, will check that the thesis/dissertation meets the Faculty’s organizational and technical requirements, and has the right to refuse any unacceptable document until it is submitted in acceptable form.

Once the submission is approved and all requirements for graduation are met, the thesis/ dissertation will be transferred to YorkSpace, York University’s institutional repository of research outputs, where it will be accessible to Library and Archives Canada as well as major search engines and other repositories.

The degree completion date is NOT based on the date of the oral examination; it is based on the date of submission to the Office of the Electronic Thesis & Dissertation Tool (ETD) and the Office of the Dean, Graduate Studies, of the acceptable final approved copy. Students are responsible for active registration and all tuition fees until the final copy is submitted to and approved by the Office of the Dean, Graduate Studies.

Submission deadlines with respect to convocation can be found under Important Dates.

An ETD record will be created for each student by the thesis coordinator in the Office of the Dean, Faculty of Graduate Studies once all of the following have been received:

Oral Examination Report (passed)
Revisions Approved Memorandum, if applicable
Library and Archives Canada Theses Non-Exclusive License form, signed and dated
Copies of copyright permissions (if applicable)

Once an ETD record is opened, the student will receive an email with instructions on how to log in and complete their submission. Students should ensure that they have followed the organization and technical requirements for theses/dissertations prior to making a submission to the Office of the Dean, Graduate Studies through the ETD platform. If, after reading the Organization & Technical Requirements section of this handbook, students have any questions concerning formatting and preparation, they should direct these questions to the thesis coordinator. Instructions for the use of the ETD platform are available at Electronic Thesis and Dissertation (ETD).

By signing the Library and Archives Canada (LAC) Theses Non-Exclusive License form, the student authorizes LAC to reproduce, publish, archive, preserve, conserve, communicate to the public, loan, distribute and sell the thesis/dissertation for commercial or non-commercial purposes. Further information about the Non-Exclusive License and the Library & Archives Canada thesis program is available on the Library and Archives Canada website.

The student must also accept the terms of the York University Copyright License as part of the electronic submission of their thesis/dissertation using the Electronic Thesis and Dissertation (ETD) application.

If required, students should provide copies of any needed copyright permissions prior to the final thesis/dissertation submission. Students should also retain copies of all copyright permission requests and approvals.

As a publicly funded institution, York University has an obligation to ensure that research produced by its graduate students is available for the benefit of the public, particularly by making successfully defended theses and dissertations available through York University Libraries and Library and Archives Canada. With that in mind, there is normally no restriction on the publication of and access to successfully defended theses and dissertations. However, in some exceptional instances it may be detrimental to the author or sponsor of the thesis/dissertation research to have the thesis/dissertation publicly available immediately following a successful defence. Valid reasons to delay publication/restrict access to a successfully defended thesis/dissertation may include:

approved intellectual property contract between a research sponsor and the University that specifies a period of confidentiality;
that public distribution of the thesis/dissertation would invalidate a patent application;
that public distribution of the thesis/dissertation would invalidate a publication contract; and,
that public distribution of the thesis/dissertation would pose a risk to the personal safety of the author.

Prior to submission of the final version of their thesis being accepted on the Electronic Thesis & Dissertation Tool (ETD), students may request to delay (or to extend a previously approved delay) publication of/restrict access to their thesis/dissertation for a maximum of three years. Requests for embargo must be made to the Office of the Dean, Faculty of Graduate Studies, through the Request for a Delay of Publication (Embargo) on a Thesis or Dissertation form, prior to the submission of the final version of the thesis/dissertation. Requests will only be considered with the recommendation of the student’s supervisor and graduate program director. If approved, the body of the thesis/dissertation will be withheld from York University Libraries and Library and Archives Canada for the approved period. At the end of the approved period, the body of the thesis/dissertation will be released to York University Libraries and Library and Archives Canada via YorkSpace.

To submit a request for an embargo/delay of publication, including extension requests, please do so using the Request for a Delay of Publication (Embargo) on a Thesis or Dissertation Form. Your request will be reviewed by the Faculty of Graduate Studies and a decision will be communicated to you by email.

For more information on the Delay of Publication/Embargo Processes, please contact the Graduate Record & Enrolment Coordinator for your Faculty.

Students who wish to have personal copies of the thesis/dissertation bound must make their own arrangements.

How to Submit

Submitting your thesis/dissertation using York University’s Electronic Theses and Dissertations (ETD) application is a quick and easy process.

The instructions below outline the step by step process of using the application. Please refer to the Thesis, Dissertation and Submission Guidelines below for details on the policies and process leading up to the point of final submission, including formatting and other requirements. To view the York University ETD collection, visit the Faculty of Graduate Studies section on YorkSpace.

You can access the ETD application from any computer with an internet connection. Recommended browsers include Google Chrome, Firefox, Safari or Opera.

Instructions for converting your thesis to a PDF file are available on the YorkSpace Resources Site.

An ETD record will be set up for you by a staff member in the Office of the Dean, Faculty of Graduate Studies (FGS). FGS will need to receive the following before you will be able to access your record:

Oral Examination Report (normally provided by the Dean’s representative on your Examining Committee as soon as possible following your defense);
Revisions Approved Memorandum, if applicable (if your thesis/dissertation was approved with specified revisions). A blank form is usually provided to you by FGS prior to your defense. You will need to ensure it is completed and returned to FGS;
Library and Archives Canada Theses Non–Exclusive License Form, signed and dated;
Copies of copyright permissions, if applicable.

Once all of the above items have been received, you will receive an email from a Graduate Milestones and Progression Coordinator letting you know that your ETD record has been created and inviting you to log in using your Passport York ID. Click on the link provided in the email to take you to etd.library.yorku.ca.

You’ll notice that there is a navigation bar across the top of the screen. You can click on any of the “tabs” to move back and forth through the process.

At the bottom right of each screen there are also arrows you can click on to move on to the next step (or move back).

image showing the location of the navigation arrows for ETD upload process

You will not lose data by moving back and forth.

You can stop and save your work at any point in the process, and resume your submission simply by logging back in. To save your work, click on the navigation arrow at the bottom right of your screen. The information you have entered will be stored until you log back in.

As long as the status of your ETD record is “Open”, you can continue to make edits, updates and changes. Only once you have clicked on “I accept and send for review” on the “Submit for Review” tab will your record be closed.

If for some reason you need to request that your submission be re-opened (for example if you notice a mistake or forgot to add something), please email a Graduate Milestones and Progression Coordinator.

If you’d like more information or instructions for any of the fields you are being asked to fill out, just click on the question mark icon next to the field.

If you still have questions, you may wish to contact:

A Graduate Milestones and Progression Coordinator in the Office of the Dean, Faculty of Graduate Studies;
Your Graduate Program Assistant.

Step by Step Instructions

On the first screen you will find welcome text, along with the title of your thesis/dissertation and some other information from your student record (such as your degree name and program).

To begin entering your details, click on the title of your thesis/dissertation. Alternatively, you can click on the “Update Details” button on the bottom right, or on the “Update Details” tab in the navigation bar.

On the second screen, “Update Details”, you’ll notice that there are some fields already filled in, and others that you will need to complete.

The fields that are already filled in are automatically pulled from your Student Information System (SIS) and Graduate Event Module (GEM) records. You cannot edit these fields yourself, so if you notice an error, please contact a Graduate Milestones and Progression Coordinator in the Faculty of Graduate Studies.

In the second section, you’ll find the following fields for you to complete:

Language
Click on the arrow to see the drop-down menu. You will be able to select English, French, or Other (a thesis or dissertation normally should be written in English, but approval may be given to write in French or the language of any Aboriginal/First Nations people in North America).

Abstract
Copy and paste your abstract into this field (the abstract must be provided in English regardless of the language of your thesis or dissertation). Please note the maximum number of words allowed (Master’s thesis 150 words; doctoral dissertation 350 words).

Subjects
Click on the arrow to see the drop-down menu. You must select at least one subject that best describes the overall subject of your thesis or dissertation. You have the option of selecting up to two additional secondary subjects from the other drop-down menu boxes.

screenshot highlighting the Search by Subject search bar and drop-down menu

Keywords
Enter as many terms or search phrases as you like. Please use a comma to separate each keyword or string of keywords. Tip: the more terms you provide, the more likely it is that users will find your work in their searches.

screenshot highlight the keyboards text box

When you are finished updating your details, click “Save Details” on the bottom right to move to the next screen, or to save and return later to make further updates.

Uploading Files

Before uploading your files, you will need to save your thesis or dissertation as a PDF file (.pdf), which must be compatible with Adobe Acrobat version 5.0 or higher

This PDF document should contain the full body of your thesis/dissertation, including:

title page;
abstract;
dedication (optional);
acknowledgements (optional);
table of contents;
list of tables, figures and illustrations (if applicable);
all chapters and written body of the thesis/dissertation;
references or bibliography;
all appendices.

You may upload only ONE PDF file.

Your document must be saved using the following naming convention:

Lastname_Firstname_MiddleInitial_yearofcopyright_PhDORMasters

Replace “Lastname” with your last name and “Firstname” with your first name. So, for example, if Jane Smith completed her PhD in 2014, she would save her documents as

Smith_Jane_E_2014_PhD.pdf

The “year of copyright” refers to the date that appears on the title page of your thesis/dissertation (this is the year you successfully defended).

To upload your file, simply click on the “upload primary file” button.

A box will open giving you the option to choose a file from your computer or a disk, USB key or other source.

Once you have chosen the file, click on “upload.”

In addition to the PDF of your thesis or dissertation, you may have supplementary files to add. Supplementary files refer to items that are part of the approved, examined thesis/dissertation that cannot be included in the PDF, such as multi–media, sound, video or hypertext

A list of acceptable file formats includes:

Documents: Portable Document Format (.pdf), Text (.txt), Hypertext Markup Language (.html, .htm), Open Document Format (.odt, .odp, .ods);
Images: Portable Network Graphics format (.png), Tagged Image File format (.tif), JPEG (.jpg);
Data: Comma–separated values (.csv) or other delimited text, Extensible Markup Language (.xml);
Video: 8–10 bit uncompressed AVI (.avi);
Audio: Free Lossless Audio Codec or WAVE (.flac or .wav).

If you wish to upload a type of file that you do not see on this list, please email Digital Initiatives @ York .

Keep in mind that a supplementary file is NOT an appendix. Regular appendices can be included in the PDF document of your thesis/dissertation.

To upload your file, simply click on the “upload supplementary files“ button.

A box will open giving you the option to choose a file from your computer or a disk, USB key or another source. You may upload as many files as necessary, but no single file can exceed 500 MB. If you have a file that exceeds this size, please contact a Graduate Milestones and Progression Coordinator in the Faculty of Graduate Studies .

Once you have chosen the file, click on “upload.” To upload more than one file, simply click on the “upload supplementary files” button as many times as necessary.

When you have finished uploading all files, click “Review Details” on the bottom right to move to the next screen, or to save and return later to make further updates.

This is an opportunity for you to do a final confirmation that all of the details are accurate and your record is complete. Please make sure that all uploaded files are attached (they will be listed at the bottom of this screen).

As always, you can use the navigation bar at the top or arrows in the bottom right corner to go back and update any information.

When you are certain that all the information is correct and complete, click on “Submit for Review” at bottom right.

The final step in submitting your thesis or dissertation is agreeing to the York University Copyright License.

By clicking on “I Accept and Send for Review,” you are confirming that your thesis/dissertation is your original work, that your thesis/dissertation does not infringe on any rights of others and that you have the right to make the grant conferred by this copyright license. In addition, you are granting a license to York University to make copies, including electronically formatted copies, and/or distribute worldwide all or part of your thesis or dissertation, subject to the conditions outlined.

You retain copyright to your thesis/dissertation and may make it available on a personal website and pursue other sources of publication as well.

If you have questions or concerns about this license, please contact your supervisor or a Thesis Coordinator in the Faculty of Graduate Studies. You can then log back in to agree to the terms and make your submission once any queries you have are resolved.

Please carefully read this information and click on “I Accept and Send for Review” to send your thesis/dissertation to the Faculty of Graduate Studies.

Congratulations! You have completed your submission.

What Happens Next?

Once you send your thesis/dissertation for review, the status of your ETD record will change from “Open” to “Under Review” and you will not be able to make further changes. You will receive a confirmation email letting you know it is being reviewed.

If for some reason you realize you have made an error or forgotten to add something, you can email a Graduate Milestones and Progression Coordinator to request that your record be re–opened. Please remember to include your student ID number in all correspondence

After your submission has been reviewed by a Thesis Coordinator in FGS, you will receive an email notifying you of one of two outcomes:

Your submission has been approved and will be deposited in YorkSpace upon conferral of your degree; or,
Your submission has formatting or other errors and has been returned to you for modification.

If your submission is returned to you for modification, your ETD record will be reopened to enable you to make the required changes and resubmit. The required changes will be outlined in the email you receive from the Thesis Coordinator. If you are asked to make changes to your PDF thesis/dissertation document, simply replace the previously uploaded file with the updated one. Make sure you click on “I Accept and Send for Review” on the “Submit for Review” tab to resubmit your thesis/dissertation to FGS.

At any time you can log in to your ETD record to check on the status of your submission. Simply click on the “Check Status” tab in the navigation bar.

YorkSpace is York University’s Open Access Institutional Repository (IR). It is a platform that enables York community members to post, organize and preserve their research online in an institutional context. It showcases the scholarship of the York University community through the use of a special standards-based software platform that collects usage statistics and promotes visibility on the web.

Once your submission is approved by the Thesis Coordinator and all required forms received and fees paid, your thesis/dissertation will be deposited in YorkSpace at the time of conferral of your degree, according to the publication date listed on your ETD record (normally November 1, July 1 or March 1).

Once the thesis/dissertation is deposited in YorkSpace, it will be available for harvesting by Library and Archives Canada (LAC) Theses Portal, other Open Archives Initiative (OAI) metadata harvesters, and major search engines such as Google Scholar. You retain copyright to your thesis/dissertation and may make it available on a personal website and pursue other sources of publication as well.

Students who wish to have personal copies of their thesis/dissertation bound must make their own arrangements. One option available:

Wallaceburg Bookbinding

Please note that you may be required to make minor formatting adjustments to your document to prepare it for binding. For example, many binders will require that the top and left margins are at least 1.5 inches.

Graduate students who are members of CUPE 3903 (Unit 1) may submit reimbursement requests for thesis, dissertation or MRP production costs to the Office of the Dean, Faculty of Graduate Studies, using the Reimbursement of Thesis/Dissertation Production Costs Form.